Bill - 2003-04 PPGG
STATE OF NEW YORK
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S. 1406 A. 2106
SENATE - ASSEMBLY
January 29, 2003
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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 amend the general business law, in relation to allowing the
department of correctional services' division of correctional indus-
tries to purchase inmate made goods, wares and merchandise from the
correctional industry programs of the government of the United States
or any other state of the United States (Part A); to amend the vehicle
and traffic law, in relation to authorizing the commissioner of motor
vehicles to set the fee for license plates (Part B); to amend the
public lands law, in relation to expanding the allowable purposes for
which unappropriated state lands may be transferred to municipalities
(Part C); to amend the executive law, in relation to increasing the
fee paid by nuclear power generating plant operators in support of
state and local radiological emergency preparedness requirements (Part
D); to amend the vehicle and traffic law and the environmental conser-
vation law, in relation to raising the fines associated with violating
certain provisions of law (Part E); to amend chapter 152 of the laws
of 2001, amending the military law relating to military funds of the
organized militia, in relation to the effectiveness thereof (Part F);
to amend the correction law, in relation to merit time allowances,
earned eligibility and presumptive release; to amend the executive law
and the penal law, in relation to presumptive release; and providing
for the repeal of certain provisions upon expiration thereof (Part G);
to amend the penal law, the correction law, the criminal procedure
law, the executive law and the village law, in relation to fees for
sex offender registration and DNA databank (Part H); to amend the
executive law, in relation to criminal history surcharges (Part I); to
amend the executive law, in relation to extending the duration of
certain pilot programs for the prevention of automobile theft and
insurance fraud; to amend chapter 55 of the laws of 1992, amending the
tax law generally and enacting the omnibus revenue act of 1992, in
relation to extending the effectiveness of certain provisions thereof;
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and to amend chapter 57 of the laws of 2000, amending the state
finance law, in relation to a report on automobile theft prevention
activities of the state police, in relation to extending the effec-
tiveness of certain provisions thereof (Part J); to amend the penal
law, in relation to aggregate weight standards for controlled
substance offenses (Part K); to amend the vehicle and traffic law, in
relation to requiring criminal history checks (Part L); to amend chap-
ter 887 of the laws of 1983, amending the correction law relating to
the psychological testing of candidates, in relation to extending the
expiration of such chapter; to amend chapter 428 of the laws of 1999,
amending the executive law and the criminal procedure law, relating to
expanding the geographic area of employment of certain police offi-
cers, in relation to extending the expiration of such chapter; to
amend chapter 886 of the laws of 1972, amending the correction law and
the penal law relating to prisoner furloughs in certain cases and the
crime of absconding therefrom, in relation to extending the expiration
of such chapter; to amend chapter 261 of the laws of 1987, amending
chapters 50, 53 and 54 of the laws of 1987, the correction law, the
penal law and other chapters and laws relating to correctional facili-
ties, in relation to extending the expiration of such chapter; to
amend chapter 55 of the laws of 1992, amending the tax law and other
laws relating to taxes, surcharges, fees and funding, in relation to
extending the expiration of such chapter; to amend chapter 339 of the
laws of 1972, amending the correction law and the penal law relating
to inmate work release, furlough and leave, in relation to extending
the expiration of such chapter; to amend chapter 60 of the laws of
1994 relating to certain provisions which impact upon expenditure of
certain appropriations made by chapter 50 of the laws of 1994 enacting
the state operations budget, in relation to extending the expiration
of such chapter; to amend chapter 554 of the laws of 1986, amending
the correction law and the penal law relating to providing for commu-
nity treatment facilities and establishing the crime of absconding
from the community treatment facility, in relation to extending the
expiration of such chapter; to amend chapter 3 of the laws of 1995,
amending the correction law and other laws relating to the incarcera-
tion fee, in relation to extending the expiration of such chapter; to
amend chapter 79 of the laws of 1989, amending the correction law and
other laws relating to release and supervision of persons serving a
definite sentence, in relation to extending the expiration of such
chapter; to amend chapter 907 of the laws of 1984, amending the
correction law, the New York city criminal court act and the executive
law relating to prison and jail housing and alternatives to detention
and incarceration programs, in relation to extending the expiration of
such chapter; to amend chapter 166 of the laws of 1991, amending the
tax law and other laws relating to taxes, in relation to extending the
expiration of such chapter; to amend the vehicle and traffic law, in
relation to extending certain provisions of such law; to amend chapter
713 of the laws of 1988, amending the vehicle and traffic law relating
to the ignition interlock device program, in relation to extending the
expiration thereof; to amend chapter 435 of the laws of 1997, amending
the military law and other laws relating to various provisions, in
relation to extending the expiration date of the merit provisions of
the correction law and the penal law of such chapter; and to amend
chapter 412 of the laws of 1999, amending the civil practice law and
rules and the court of claims act relating to prisoner litigation
reform, in relation to extending the expiration of the inmate filing
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fee provisions of the civil practice law and rules and general filing
fee provision and inmate property claims exhaustion requirement of the
court of claims act of such chapter (Part M); to amend the county law,
the judiciary law, the vehicle and traffic law, and the state finance
law, in relation to assigned counsel; to amend the state finance law,
in relation to aggregate receipts from mandatory surcharges in certain
cases; to amend the judiciary law, in relation to attorney registra-
tion fees; to amend the vehicle and traffic law, in relation to park-
ing surcharges; to amend chapter 166 of the laws of 1991, amending the
tax law and other laws relating to taxes, in relation to extending of
certain provisions contained therein; to amend the vehicle and traffic
law, the judiciary law, the civil practice law and rules, the real
property tax law, the surrogate's court procedure act, the uniform
district court act, and the New York city civil court act, in relation
to civil court fee increases; to amend the vehicle and traffic law, in
relation to driving while intoxicated and driving while ability
impaired surcharges; and to repeal subdivision 4-a of section 510 of
the vehicle and traffic law relating thereto (Part N); to amend the
civil service law, the labor law, the executive law, the state finance
law, the public authorities law, the retirement and social security
law, the education law, the county law and the judiciary law, in
relation to merging the public employment relations board and the
state employment relations board, and to repeal section 702 of the
labor law, relating to the state employment relations board (Part O);
to amend the alcoholic beverage control law and the executive law, in
relation to eliminating the state liquor authority and to provide for
the continuation of the authority's powers and duties; to amend the
alcoholic beverage control law, in relation to entering an unpaid
civil penalty as a judgment; and to repeal certain provisions of the
alcoholic beverage control law and the executive law, relating thereto
(Part P); to amend the penal law and the vehicle and traffic law, in
relation to victim assistance fees and mandatory surcharges and to
amend chapter 166 of the laws of 1991 amending the tax law and other
laws relating to taxes, in relation to extending the expiration of
certain provisions contained therein (Part Q); to amend the criminal
procedure law, in relation to the admissibility as evidence before a
grand jury of a sworn statement by a police officer (Part R); to amend
the executive law, in relation to the termination of a sentence (Part
S); to amend the workers' compensation law and the state finance law,
in relation to compensation and benefits paid by insolvent self-in-
sured employers (Part T); to amend the general business law, in
relation to broker dealer statement fees and real estate syndication
offering fees (Part U); to amend the abandoned property law, in
relation to the treatment of uncashed state checks as unclaimed prop-
erty, to claims for abandoned property representing monies paid into
court and to uniform requirements for written notice by holders to
owners of unclaimed property; to amend the state finance law, in
relation to making checks or drafts issued by the state of New York
subject to the abandoned property law and to repeal certain provisions
of the abandoned property law relating thereto (Part V); to amend the
executive law, the insurance law, and the state finance law, in
relation to motor vehicle law enforcement fees; to amend the executive
law, in relation to the prevention of automobile theft and insurance
fraud; to amend chapter 55 of the laws of 1992, amending the tax law
generally and enacting the omnibus revenue act of 1992, in relation to
extending the effectiveness of certain provisions relating thereto;
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and to amend chapter 57 of the laws of 2000, amending the executive
law relating to requiring the superintendent of state police to report
yearly to the governor and the legislature the auto theft prevention
activities of the state police for the previous year, in relation to
the effectiveness of certain provisions of such chapter (Part W); to
amend chapter 411 of the laws of 1999, amending the executive law,
relating to permitting the secretary of state to provide special
handling for all documents filed or issued by the division of corpo-
rations and to permit additional levels of such expedited service, in
relation to extending the effectiveness thereof (Part X); to amend the
legislative law, in relation to the registration fees charged to
certain lobbyists (Part Y); to amend the executive law, in relation to
transcripts of parole board release interviews and revocation hearings
(Part Z); to amend the civil service law, in relation to contributions
for health insurance coverage of state employees and retired state
employees (Part AA); to amend the state finance law, in relation to
overpayments of salary (Part BB); to provide for the administration of
certain funds and accounts related to the 2003-2004 budget; to amend
the state finance law, in relation to the school tax relief fund and
the debt reduction reserve fund and certificates of participation; to
amend chapter 81 of the laws of 2002 relating to providing for the
administration of certain funds and accounts related to the 2002-2003
budget, in relation to the expiration and repeal of certain provisions
thereof; to amend chapter 389 of the laws of 1997 relating to the
financing of the correctional facilities improvement fund and the
youth facility improvement fund, in relation to the issuance of
certain bonds, notes and other obligations by the New York state urban
development corporation; to amend the private housing finance law, in
relation to housing bonds and notes; to amend chapter 81 of the laws
of 2002 relating to the financing of the Alfred E. Smith office build-
ing and the Elk street parking garage located in the city of Albany,
in relation to the issuance of certain bonds, notes and other obli-
gations by the New York state urban development corporation; to amend
the public authorities law, in relation to state environmental infras-
tructure projects and certain indebtedness; to amend the state finance
law and the labor law, in relation to the interest assessment
surcharge fund; to amend the state finance law, in relation to vari-
able rates and swap limitations, debt reform and bond cap limitations;
to amend the public authorities law, in relation to the approval of
indebtedness functions of the New York state public authorities
control board; to repeal certain provisions of the state finance law
relating to issuance of certificates of participation; and providing
for the repeal of certain provisions upon expiration thereof (Part
CC); to amend the public authorities law, in relation to financial
activities of the tobacco settlement financing corporation; to amend
chapter 555 of the laws of 1989 amending the public authorities law
and other laws relating to establishing a new New York state infras-
tructure trust fund, in relation to the effectiveness of such chapter;
and to create the tobacco settlement financing corporation act (Part
DD); and to amend the civil service law, in relation to the consider-
ation of ability to pay in the determination of arbitration awards; to
amend the labor law, in relation to the determination of the wage paid
in public construction projects; to amend the general municipal law
and the public officers law, in relation to the authorization of
intermunicipal agreements; to amend the general municipal law, in
relation to the merger and consolidation of municipal governments; to
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amend the village law, in relation to adopting a plan for the dissol-
ution of villages; to amend the state finance law, in relation to the
payment of general purpose local government aid; to amend the general
municipal law, the state finance law, the education law, the environ-
mental conservation law, the highway law, the labor law, the public
authorities law, the county law, the facilities development corpo-
ration act, chapter 560 of the laws of 1980 relating to authorizing
the city of New York to adopt a waste management law, the urban devel-
opment corporation act, chapter 345 of the laws of 1968 relating to
establishing a united nations development district and formulating and
administering plans for the development of such district, chapter 35
of the laws of 1979 relating to appropriating funds to the New York
state urban development corporation for the acquisition and initial
planning of convention and exhibition center facilities in New York
county, chapter 735 of the laws of 1979 relating to providing for
construction of an American stock exchange/office facility in New York
county and chapter 825 of the laws of 1987 amending the public author-
ities law and other laws relating to the construction and improvement
of court facilities, in relation to requirements for separate
contracts for certain public works; to amend the civil practice law
and rules, in relation to making certain technical corrections and to
amend the general municipal law, the public housing law, the state
finance law and chapter 585 of the laws of 1939 relating to the rate
of interest to be paid by certain public corporations upon judgments
and accrued claims, in relation to the rate of interest on judgments;
to amend the education law, the public authorities law, the public
housing law, the racing, pari-mutuel wagering and breeding law, and
the New York city health and hospitals corporation act, in relation to
providing for the exclusive jurisdiction of the court of claims over
claims against boards of education and school districts, the community
colleges of the city university of New York, the New York city transit
authority, the metropolitan transportation authority, the triborough
bridge and tunnel authority, the New York city housing authority, the
New York city off-track betting corporation and the New York city
health and hospitals corporation, and claims against the officers and
employees thereof that arise out of their employment, for damages for
personal injury, injury to property and wrongful death; to amend the
state finance law, the general municipal law, and the public authori-
ties law, in relation to municipal investment opportunities; to amend
chapter 130 of the laws of 1998 amending the general municipal law
relating to temporary investments by local governments, in relation to
making the provisions of such chapter permanent; to amend the general
municipal law, in relation to authorizing fees for police services and
fees and charges for emergency medical services; to amend the local
finance law and the retirement and social security law, in relation to
payments of contributions, incentives and obligations; to amend the
education law, the general municipal law, the public authorities law,
the state finance law and the local finance law, in relation to fiscal
stability and fiscal recovery financing by local governments and
establishing a comprehensive process of identification, oversight and
monitoring of and assistance to local governments undergoing financial
difficulties, and to provide for fiscal recovery financing; to repeal
certain provisions of chapter 413 of the laws of 1991 amending the
local finance law and other laws relating to providing relief to local
governments for certain mandated programs and services, and repealing
section 101 of the general municipal law, section 135 of the state
S. 1406 6 A. 2106
finance law, section 151-a of the public housing law, subdivisions 1
and 2 of section 458 of the education law, subdivisions 1 and 2 of
section 482 of the education law, section 6281 of the education law,
paragraph f of subdivision 27 of section 1680 of the public authori-
ties law, paragraph b of subdivision 1 of section 1734 of the public
authorities law, subdivision 2 of section 2350-o of the public author-
ities law, paragraph (a) of subdivision 6 of section 2466 of the
public authorities law, subdivision 1 of section 2722 of the public
authorities law, subdivisions (d) and (e) of rule 4111 of the civil
practice law and rules, section 11 of chapter 795 of the laws of 1967,
relating to the construction of boards of cooperative educational
services buildings, section 9 of chapter 892 of the laws of 1971
amending the public authorities law relating to construction by the
dormitory authority, section 21 of chapter 464 of the laws of 1972
amending the public authorities law and other laws relating to provid-
ing facilities for community colleges and the powers of the state
university trustees, and section 29 of chapter 337 of the laws of
1972, amending the correction law and other laws relating to facili-
ties for the department of correctional services; and to repeal subdi-
visions (a) and (b) of section 4545 of the civil practice law and
rules, relating to the admissibility of collateral source of payment
and the associated reduction of damage awards in certain malpractice
actions and in certain actions for personal injury or wrongful death
arising out of an injury sustained by a public employee acting in the
scope of his public employment or duties, relating thereto (Part EE)
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 which are necessary to implement the state fiscal plan for the 2003-2004
3 state fiscal year. Each component is wholly contained within a Part
4 identified as Parts A through EE. The effective date for each particular
5 provision contained within such Part is set forth in the last section of
6 such Part. Any provision in any section contained within a Part, includ-
7 ing the effective date of the Part, which makes reference to a section
8 "of this act", when used in connection with that particular component,
9 shall be deemed to mean and refer to the corresponding section of the
10 Part in which it is found. Section three of this act sets forth the
11 general effective date of this act.
12 PART A
13 Section 1. Section 69 of the general business law, as amended by chap-
14 ter 166 of the laws of 1991, is amended to read as follows:
15 § 69. Sale of inmate made goods. No goods, wares, or merchandise,
16 manufactured, produced or mined wholly or in part by inmates, except
17 inmates or persons on parole, probation, or release, shall be sold in
18 this state to any person, firm, association or corporation except that
19 nothing in this section shall be construed to forbid the sale of such
20 goods produced in the correctional facilities of this state to the
21 state, the government of the United States or to any state of the United
22 States, or any political subdivision thereof, or for any public institu-
23 tion owned or managed and controlled by the state, or any political
24 subdivision thereof, as provided in section one hundred eighty-four of
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1 the correction law, or any public corporation or eleemosynary associ-
2 ation or corporation funded in whole or in part by any federal, state or
3 local funds, or to forbid the sale, subject to the rules and regulations
4 of the head of the department or other like governmental authority
5 having jurisdiction, of any product resulting from occupational therapy
6 within any penal or correctional institution, as provided in section one
7 hundred ninety-seven of the correction law.
8 Nothing in this section shall be construed to forbid the sale of parts
9 and components produced by inmate labor in correctional industry
10 programs of the government of the United States or any state of the
11 United States, or any political subdivision thereof, to the department
12 of correctional services' division of correctional industries for use in
13 its manufacturing operations.
14 A violation of the provisions of this section shall constitute a
15 misdemeanor.
16 § 2. This act shall take effect immediately and shall be deemed to
17 have been in full force and effect on and after April 1, 2003.
18 PART B
19 Section 1. Paragraph a of subdivision 3 of section 401 of the vehicle
20 and traffic law, as amended by chapter 166 of the laws of 1991, is
21 amended to read as follows:
22 a. Upon filing of such application and the payment of the fee herein-
23 after provided, the commissioner shall assign to such motor vehicle a
24 distinctive number and, without expense to the applicant, issue and
25 deliver in such manner as the commissioner may select to the owner a
26 certificate of registration, in such form as the commissioner shall
27 prescribe, and two number plates at a place within the state of New York
28 named by the applicant in his application. A number plate, within the
29 meaning of this chapter, may, in the discretion of the commissioner, be
30 a plate of a permanent nature, treated with reflectorized material
31 according to specifications prescribed by the commissioner, and with a
32 date tag attached to such plate or to the vehicle as prescribed by regu-
33 lations of the commissioner indicating the validity of the plate during
34 a certain period and the issuance of such a number plate with such date
35 tag to a person possessing such a number plate shall be deemed the issu-
36 ance of a number plate. [An additional] A fee, [not to exceed one dollar
37 and fifty cents above the actual cost of the plates, rounded to the
38 nearest twenty-five cents,] set by the commissioner, shall be paid to
39 the commissioner whenever a set of reflectorized number plates is issued
40 for any vehicle for which a registration fee is normally charged except
41 that, with respect to any number plate which is specifically requested
42 by the applicant, such fee shall be paid to the commissioner upon
43 approval of such request. In the event of the loss, mutilation or
44 destruction of any certificate of registration, any number plate or set
45 of number plates whether with or without a date tag or tags, or any date
46 tag or set of date tags provided for in this article, the owner of a
47 registered motor vehicle may file such statement and proof of the facts
48 as the commissioner shall require, with a fee of three dollars, in the
49 office of the commissioner, or, unless and until the commissioner shall
50 otherwise direct, in the office of the agent who issued the certificate,
51 plate, plates, tag or tags and the commissioner or his agent, as the
52 case may be, shall issue a duplicate or substitute. It shall be the
53 duty of every owner holding a certificate of registration to notify the
54 commissioner in writing of any change of residence of such person within
S. 1406 8 A. 2106
1 ten days after such change occurs, and to inscribe on such certificate,
2 in the place provided by the commissioner, a record of such change of
3 residence.
4 § 2. This act shall take effect immediately.
5 PART C
6 Section 1. Subdivision 1 of section 34 of the public lands law, as
7 amended by chapter 703 of the laws of 1994, is amended to read as
8 follows:
9 1. Such commissioner of general services may, from time to time,
10 transfer and convey to a city, incorporated village, town or county, in
11 consideration of one dollar to be paid to the state of New York, and on
12 such terms and conditions as such commissioner may impose, a part or all
13 of any parcel or parcels of unappropriated state lands upon certif-
14 ication that such parcel or parcels are useful for local mental health
15 facilities, mental retardation facilities, park, recreation, playground,
16 reforestation, street [or], highway, or, provided the parcel or parcels
17 have been previously devoted to the use of the organized militia and
18 disposed of in accordance with section one hundred eighty-six of the
19 military law and section twenty-five of this chapter, government
20 purposes, and that they will be properly improved and maintained for one
21 or more of such purposes and provided that this disposition of such
22 parcel or parcels is not otherwise prohibited. Certification shall be
23 evidenced by a formal request from the board of estimate, common coun-
24 cil, village board, town board or county board of supervisors, setting
25 forth in detail the parcel or parcels to be released, transferred and
26 conveyed and the availability and usefulness of such parcel or parcels
27 for one or more of such purposes. In the city of New York however,
28 certification shall be evidenced by a formal request from the mayor. In
29 the event that lands transferred under the provisions of this section
30 are not properly improved and maintained for one or more of the purposes
31 contemplated by this section by the city, village, town or county to
32 which they were transferred, the title thereto shall revert to the
33 people of the state of New York, and the attorney-general may institute
34 an action in the supreme court for a judgment declaring a revesting of
35 such title in the state. Such commissioner may also transfer any unap-
36 propriated state lands to the office of parks, recreation and historic
37 preservation or the department of environmental conservation, upon the
38 application of the commissioner thereof indicating that such unappropri-
39 ated state lands are required for state park purposes within the area of
40 jurisdiction of such office or department.
41 § 2. This act shall take effect immediately.
42 PART D
43 Section 1. Paragraph (b) of subdivision 2 of section 29-c of the exec-
44 utive law, as amended by chapter 169 of the laws of 1994, is amended to
45 read as follows:
46 (b) The amount of such fee shall be determined annually by the commis-
47 sion taking into account the costs of such responsibilities not other-
48 wise provided for and unexpended amounts of previous fees paid by any
49 such licensee. In no event shall an annual fee for any facility exceed
50 [five] nine hundred fifty thousand dollars. Such fee, which shall be
51 payable to the commission on or before April first, shall be expended or
52 distributed only by appropriation.
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1 § 2. This act shall take effect April 1, 2003; 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, 2003.
5 PART E
6 Section 1. Subdivisions (b) and (e) of section 1800 of the vehicle and
7 traffic law, subdivision (b) as amended by chapter 202 of the laws of
8 1995 and subdivision (e) as added by chapter 540 of the laws of 1993,
9 are amended to read as follows:
10 (b) Every person convicted of a traffic infraction for a violation of
11 any of the provisions of this chapter or of any ordinance, order, rule
12 or regulation adopted pursuant to section sixteen hundred thirty or
13 sixteen hundred thirty-one for which another penalty is not provided
14 shall for a first conviction thereof be punished by a fine of not more
15 than one hundred fifty dollars or by imprisonment for not more than
16 fifteen days or by both such fine and imprisonment; for a conviction of
17 a second violation, both of which were committed within a period of
18 eighteen months, such person shall be punished by a fine of not more
19 than [two hundred] three hundred dollars or by imprisonment for not more
20 than forty-five days or by both such fine and imprisonment; upon a
21 conviction of a third or subsequent violation, all of which were commit-
22 ted within a period of eighteen months, such person shall be punished by
23 a fine of not more than [three hundred] four hundred fifty dollars or by
24 imprisonment for not more than ninety days or by both such fine and
25 imprisonment, except that a person convicted of a traffic infraction for
26 a violation of paragraph one of subdivision (d) of section one thousand
27 one hundred eleven of this chapter outside of a city having a population
28 of one million or more shall, for a first conviction thereof, be
29 punished by a fine of not less than [fifty] seventy-five dollars nor
30 more than [one hundred fifty] two hundred twenty-five dollars or by
31 imprisonment for not more than fifteen days or by both such fine and
32 imprisonment; for a conviction of a second violation, both of which were
33 committed within a period of eighteen months, such person shall be
34 punished by a fine of not less than one hundred fifty dollars nor more
35 than [two hundred fifty] three hundred seventy-five dollars or by impri-
36 sonment for not more than forty-five days or by both such fine and
37 imprisonment; upon a conviction of a third or subsequent violation, all
38 of which were committed within a period of eighteen months, such person
39 shall be punished by a fine of not less than [two hundred fifty] three
40 hundred seventy-five dollars nor more than [four hundred fifty] six
41 hundred seventy-five dollars or by imprisonment for not more than ninety
42 days or by both such fine and imprisonment except that a person
43 convicted for a violation of paragraph one of subdivision (d) of section
44 one thousand one hundred eleven of this chapter shall, for a first
45 conviction thereof, be punished by a fine of not less than one hundred
46 fifty dollars nor more than [three hundred] four hundred fifty dollars
47 or by imprisonment for not more than fifteen days or by both such fine
48 and imprisonment; for a conviction of a second violation, both of which
49 were committed within a period of eighteen months, such person shall be
50 punished by a fine of not less than [two hundred] three hundred dollars
51 nor more than [five hundred] seven hundred fifty dollars or by imprison-
52 ment for not more than forty-five days or by both such fine and impri-
53 sonment; upon a conviction of a third or subsequent violation, all of
54 which were committed within a period of eighteen months, such person
S. 1406 10 A. 2106
1 shall be punished by a fine of not less than [five hundred] seven
2 hundred fifty dollars nor more than one thousand five hundred dollars or
3 by imprisonment for not more than ninety days or by both such fine and
4 imprisonment.
5 (e) Every person convicted of a violation of the provisions of section
6 eleven hundred forty-four of this chapter shall for a first conviction
7 thereof be punished by a fine of not more than [one hundred fifty] two
8 hundred seventy-five dollars or by imprisonment for not more than
9 fifteen days or by both such fine and imprisonment. For a conviction of
10 a second violation, both of which were committed within a period of
11 eighteen months, such person shall be punished by a fine of not more
12 than [three hundred] four hundred fifty dollars or by imprisonment for
13 not more than forty-five days or by both such fine and imprisonment. For
14 a conviction of a third violation and all subsequent violations, all of
15 which were committed within a period of eighteen months, such person
16 shall be punished by a fine of not more than [five hundred] seven
17 hundred fifty dollars or by imprisonment for not more than ninety days
18 or by both such fine and imprisonment.
19 § 2. Subdivisions 1 and 2 of section 1801 of the vehicle and traffic
20 law, subdivision 1 as amended by chapter 61 of the laws of 1989 and
21 subdivision 2 as added by chapter 816 of the laws of 1986, are amended
22 to read as follows:
23 1. Every person convicted of a misdemeanor for a violation of any of
24 the provisions of this chapter for which another penalty is not provided
25 shall for a first conviction thereof be punished by a fine of not more
26 than [two hundred] three hundred dollars or by imprisonment for not more
27 than thirty days or by both such fine and imprisonment; for a conviction
28 or a second violation, both of which were committed within a period of
29 eighteen months, such person shall be punished by a fine of not more
30 than [three hundred fifty] five hundred twenty-five dollars or by impri-
31 sonment for not more than ninety days or by both such fine and imprison-
32 ment; upon a conviction of a third or subsequent violation, all of which
33 were committed within a period of eighteen months, such person shall be
34 punished by a fine of not more than [seven hundred fifty] one thousand
35 one hundred twenty-five dollars or by imprisonment for not more than one
36 hundred eighty days or by both such fine and imprisonment, except that
37 any fine imposed upon conviction of a violation of section twelve
38 hundred twelve of this chapter shall be not less than one hundred
39 dollars.
40 2. Notwithstanding the provisions of subdivision one of this section,
41 every operator or registered owner of a motor vehicle having a regis-
42 tered maximum gross weight of eighteen thousand pounds or more convicted
43 of a misdemeanor for a violation of the provisions of the closing para-
44 graph of subdivision one of section three hundred seventy-five of this
45 chapter with respect to the knowing disconnection of any set of service
46 brakes on such motor vehicle, shall be punished by a fine of not more
47 than [one thousand five hundred] two thousand two hundred fifty dollars.
48 § 3. Subdivisions 11 and 12 of section 509 of the vehicle and traffic
49 law, subdivision 11 as added by chapter 61 of the laws of 1989, and
50 subdivision 12 as amended by chapter 429 of the laws of 1994, are
51 amended to read as follows:
52 11. A violation of any provision of this section shall be punishable
53 by a fine of not less than [fifty] seventy-five nor more than [two]
54 three hundred dollars, or by imprisonment for not more than fifteen
55 days, or by both such fine and imprisonment except, if the violation
56 consists of failure to renew a license which was valid within sixty
S. 1406 11 A. 2106
1 days, the fine shall be not less than [twenty-five] forty dollars, and
2 except that a violation of subdivision seven or eight of this section
3 shall be punishable by a fine of not more than [fifty] seventy-five
4 dollars.
5 12. A violation of subdivision two of this section involving the oper-
6 ation for hire of any vehicle as a taxicab, livery as defined in section
7 one hundred twenty-one-e of this chapter, coach, limousine, van or
8 wheelchair accessible van or tow truck within the state without the
9 appropriate license therefor, shall be punishable by a fine of not less
10 than [one hundred fifty] two hundred twenty-five dollars nor more than
11 [three hundred] four hundred fifty dollars. A person who operates a
12 vehicle for hire without the appropriate license therefor pursuant to
13 subdivision two of this section after having been convicted of such a
14 violation within the preceding five years shall be punished by a fine of
15 not less than [two hundred fifty] three hundred seventy-five dollars nor
16 more than [five hundred] seven hundred fifty dollars. A person who oper-
17 ates a vehicle for hire without the appropriate license therefor pursu-
18 ant to subdivision two of this section after having been convicted two
19 or more times of such a violation within the preceding ten years shall
20 be punished by a fine of not less than [five hundred] seven hundred
21 fifty dollars nor more than one thousand five hundred dollars.
22 § 4. Paragraph 1 of subdivision (h) of section 1180 of the vehicle and
23 traffic law, as amended by chapter 173 of the laws of 1990, the opening
24 paragraph as amended by chapter 484 of the laws of 1999, is amended to
25 read as follows:
26 1. Every person convicted of a violation of subdivision (b) or para-
27 graph one of subdivision (d) of this section shall be punished as
28 follows:
29 (i) Where the court or tribunal records or enters that the speed upon
30 which the conviction was based exceeded the applicable speed limit by
31 not more than ten miles per hour, by a fine of not less than [thirty]
32 forty-five nor more than one hundred fifty dollars;
33 (ii) Where the court or tribunal records or enters that the speed upon
34 which the conviction was based exceeded the applicable speed limit by
35 more than ten miles per hour but not more than thirty miles per hour, by
36 a fine of not less than [sixty] ninety nor more than [two] three hundred
37 dollars or by imprisonment for not more than fifteen days or by both
38 such fine and imprisonment;
39 (iii) Where the court or tribunal records or enters that the speed
40 upon which the conviction was based exceeded the applicable speed limit
41 by more than thirty miles per hour, by a fine of not less than one
42 hundred [twenty] eighty nor more than [four] six hundred dollars, or by
43 imprisonment for not more than thirty days, or by both such fine and
44 imprisonment.
45 § 5. Paragraph 2 of subdivision (h) of section 1180 of the vehicle and
46 traffic law, as amended by chapter 173 of the laws of 1990, is amended
47 to read as follows:
48 2. Every person convicted of a violation of subdivision (a) or (e) of
49 this section shall be punished by a fine of not less than [thirty]
50 forty-five nor more than one hundred fifty dollars, or by imprisonment
51 for not more than fifteen days, or by both such fine and imprisonment.
52 § 6. Paragraph 3 of subdivision (h) of section 1180 of the vehicle and
53 traffic law, as amended by chapter 173 of the laws of 1990, the opening
54 paragraph as amended by chapter 432 of the laws of 1997, is amended to
55 read as follows:
S. 1406 12 A. 2106
1 3. Every person convicted of a violation of paragraph two of subdivi-
2 sion (d), subdivision (f) or (g) of this section shall be punished as
3 follows:
4 (i) Where the court or tribunal records or enters that the speed upon
5 which the conviction was based exceeded the applicable speed limit by
6 not more than ten miles per hour, by a fine of not less than [sixty]
7 ninety nor more than one hundred fifty dollars;
8 (ii) Where the court or tribunal records or enters that the speed upon
9 which the conviction was based exceeded the applicable speed limit by
10 more than ten miles per hour, but not more than thirty miles per hour,
11 by a fine of not less than one hundred [twenty] eighty nor more than
12 [two] three hundred dollars or by imprisonment for not more than thirty
13 days, or by both such fine and imprisonment, provided, however, that
14 where the vehicle is either (A) in violation of any rules or regulations
15 involving an out-of-service defect relating to brake systems, steering
16 components and/or coupling devices, or (B) transporting flammable gas,
17 radioactive materials or explosives, the fine shall be [two] three
18 hundred dollars or imprisonment for not more than thirty days, or both
19 such fine and imprisonment;
20 (iii) Where the court or tribunal records or enters that the speed
21 upon which the conviction was based exceeded the applicable speed limit
22 by more than thirty miles per hour, by a fine of not less than [two
23 hundred forty] three hundred sixty nor more than [four] six hundred
24 dollars or by imprisonment for not more than thirty days or by both such
25 fine and imprisonment, provided, however, that where the vehicle is
26 either (A) in violation of any rules or regulations involving an out-of-
27 service defect relating to brake systems, steering components and/or
28 coupling devices, or (B) transporting flammable gas, radioactive materi-
29 als or explosives, the fine shall be [four] six hundred dollars or
30 imprisonment for not more than thirty days, or both such fine and impri-
31 sonment.
32 § 7. Paragraph 4 of subdivision (h) of section 1180 of the vehicle and
33 traffic law, as added by chapter 484 of the laws of 1999, is amended to
34 read as follows:
35 4. Every person convicted of a violation of subdivision (c) of this
36 section when such violation occurs in a school speed zone during a
37 school day between the hours of seven o'clock A.M. and six o'clock P.M.,
38 shall be punished as follows:
39 (i) Where the court or tribunal records or enters that the speed upon
40 which the conviction was based exceeded the applicable speed limit by
41 not more than ten miles per hour, by a fine of not less than [sixty]
42 ninety nor more than [two] three hundred dollars;
43 (ii) Where the court or tribunal records or enters that the speed upon
44 which the conviction was based exceeded the applicable speed limit by
45 more than ten miles per hour but not more than thirty miles per hour, by
46 a fine of not less than one hundred [twenty] eighty nor more than [four]
47 six hundred dollars or by imprisonment for not more than fifteen days or
48 by both such fine and imprisonment;
49 (iii) Where the court or tribunal records or enters that the speed
50 upon which the conviction was based exceeded the applicable speed limit
51 by more than thirty miles per hour, by a fine of not less than [two
52 hundred forty] three hundred sixty nor more than [eight] one thousand
53 two hundred dollars, or by imprisonment for not more than thirty days,
54 or by both such fine and imprisonment.
S. 1406 13 A. 2106
1 § 8. Paragraph 5 of subdivision (h) of section 1180 of the vehicle and
2 traffic law, as amended by chapter 173 of the laws of 1990 and as renum-
3 bered by chapter 484 of the laws of 1999, is amended to read as follows:
4 5. Notwithstanding the foregoing provisions of this subdivision, the
5 maximum fine provided herein for the violation for which the person is
6 sentenced may be increased by an additional one hundred fifty dollars if
7 the conviction is for a second violation of any subdivision of this
8 section where both violations were committed within an eighteen month
9 period, and the maximum fine provided herein for the violation for which
10 the person is sentenced may be increased by an additional [two hundred
11 fifty] three hundred seventy-five dollars if the conviction is for a
12 third or subsequent violation of any subdivision of this section where
13 all such violations were committed within an eighteen month period.
14 Where an additional fine is provided by this paragraph, a sentence of
15 imprisonment for not more than thirty days may be imposed in place of or
16 in addition to any fine imposed.
17 § 9. Subdivisions 1 and 2 of section 1182 of the vehicle and traffic
18 law, subdivision 1 as amended by chapter 247 of the laws of 1991 and
19 subdivision 2 as amended by chapter 594 of the laws of 1987, are amended
20 to read as follows:
21 1. Except as provided in section eleven hundred eighty-two-a of this
22 article or section sixteen hundred thirty, sixteen hundred forty,
23 sixteen hundred forty-two or sixteen hundred sixty of this chapter, no
24 races, exhibitions or contests of speed shall be held and no person
25 shall engage in or aid or abet in any motor vehicle or other speed
26 contest or exhibition of speed on a highway. Such event, if held, shall
27 be fully and efficiently patrolled for the entire distance over which
28 such race, exhibition or contest for speed is to be held. Participants
29 in a race, exhibition or contest of speed are exempted from compliance
30 with any traffic laws otherwise applicable thereto, but shall exercise
31 reasonable care. A violation of any of the provisions of this section
32 shall constitute a misdemeanor and be punishable by imprisonment of not
33 more than thirty days or a fine of not less than [two] three hundred
34 dollars nor more than [three hundred fifty] five hundred twenty-five
35 dollars, or both such fine and imprisonment.
36 2. A second conviction within twelve months of a violation of this
37 section shall be punishable by imprisonment of not more than six months
38 or a fine of not less than [three hundred fifty] five hundred twenty-
39 five dollars nor more than [five hundred] seven hundred fifty dollars,
40 or both such fine and imprisonment.
41 § 10. Subdivision 18 of section 401 of the vehicle and traffic law, as
42 amended by chapter 61 of the laws of 1989, is amended to read as
43 follows:
44 18. A violation of subdivision one of this section shall be punishable
45 by a fine of not less than [fifty] seventy-five nor more than [two]
46 three hundred dollars, or by imprisonment for not more than fifteen
47 days, or by both such fine and imprisonment except, if the violation
48 consists of failure to renew a registration which was valid within sixty
49 days, the fine shall be not less than [twenty-five] forty dollars. A
50 violation of subdivision seven or eight of this section shall be punish-
51 able by a fine of not less than one hundred fifty nor more than [two
52 hundred fifty] three hundred seventy-five dollars, or by imprisonment
53 for not more than thirty days, or by both such fine and imprisonment,
54 for the first offense, except where the violation was committed with a
55 vehicle having a maximum gross weight of less than eighteen thousand
56 pounds the violation should be punished by a fine of not less than
S. 1406 14 A. 2106
1 [twenty-five] forty nor more than [two hundred fifty] three hundred
2 seventy-five dollars; by a fine of not less than [two hundred fifty]
3 three hundred seventy-five dollars nor more than [five hundred] seven
4 hundred fifty dollars, or by imprisonment for not more than sixty days,
5 or by both such fine and imprisonment, for the second or subsequent
6 offense; provided that a sentence or execution thereof for any violation
7 under this subdivision may not be suspended. For any violation of said
8 subdivision seven or eight of this section, the registration of the
9 vehicle may be suspended for a period of not less than ten days nor more
10 than six months whether at the time of the violation the vehicle was in
11 charge of the owner or his agent. The provisions of section five hundred
12 ten of this chapter shall apply to such suspension except as otherwise
13 provided herein.
14 § 11. Subdivisions 1 and 5 of section 319 of the vehicle and traffic
15 law, subdivision 1 as amended by chapter 294 of the laws of 1980 and
16 subdivision 5 as amended by chapter 61 of the laws of 1989, are amended
17 to read as follows:
18 1. Any owner of a motor vehicle registered in this state, or an unreg-
19 istered motor vehicle, who shall operate such motor vehicle or permit it
20 to be operated in this state without having in full force and effect the
21 financial security required by the provisions of this chapter and any
22 other person who shall operate in this state any motor vehicle regis-
23 tered in this state, or an unregistered motor vehicle, with the know-
24 ledge that the owner thereof does not have in full force and effect such
25 proof of financial security, except a person who, at the time of opera-
26 tion of such motor vehicle, had in effect an operator's policy of
27 liability insurance, as defined in section three hundred eighteen, with
28 respect to his operation of such vehicle shall be guilty of a traffic
29 infraction and upon conviction may be fined not less than one hundred
30 fifty dollars or more than one thousand five hundred dollars or may be
31 imprisoned for not more than fifteen days or both. In addition to the
32 penalties herein set forth, such person, upon conviction, shall also
33 become liable for payment to the department of the civil penalty
34 provided in subdivision five of this section.
35 5. The civil penalty for a violation of subdivision one of this
36 section shall be [five hundred] seven hundred fifty dollars.
37 § 12. Paragraph d of subdivision 10 of section 375 of the vehicle and
38 traffic law, as added by chapter 827 of the laws of 1990, is amended to
39 read as follows:
40 d. Every new passenger-type motor vehicle, except a motorcycle, manu-
41 factured for sale in New York state on or after January first, in the
42 year next succeeding the effective date of this paragraph shall be manu-
43 factured with an interior rear-view mirror of the selective position
44 prismatic type with a reflectance value in the night driving position of
45 at least four percent; or its functional equivalent. For purposes of
46 this section, "passenger-type motor vehicle" shall mean any motor vehi-
47 cle with a seating capacity of not more than fifteen adults, not includ-
48 ing the driver, that is equipped with one or more rear windows. Any
49 violation of the provisions of this paragraph by any manufacturer shall
50 constitute an offense and shall be punishable by a civil fine of not
51 more than [five hundred] seven hundred fifty dollars for each offense.
52 § 13. Paragraph (f) of subdivision 28-f of section 375 of the vehicle
53 and traffic law, as added by chapter 761 of the laws of 1975, is amended
54 to read as follows:
55 (f) No registered owner shall permit a motor vehicle, required to have
56 an exhaust emission control device in proper working condition pursuant
S. 1406 15 A. 2106
1 to the provisions of this subdivision, to be operated in the portion of
2 the state to which this subdivision is applicable, unless such vehicle
3 is equipped with an approved exhaust emission control device in proper
4 working condition. Every person convicted of a violation of this para-
5 graph shall for a first violation thereof with respect to a particular
6 motor vehicle be punished by a fine of [five hundred] seven hundred
7 fifty dollars. Such fine may not be waived, suspended or in any other
8 manner not levied, except that [three hundred] four hundred fifty
9 dollars of such fine may be waived upon presentation of acceptable
10 evidence prior to the final determination of the violation that the
11 device required pursuant to paragraph (a) of this subdivision has been
12 installed on the vehicle and is in proper working condition. Every
13 person convicted of a second or subsequent violation with respect to a
14 particular vehicle shall be punished by a fine of [five hundred] seven
15 hundred fifty dollars, which fine may not be waived, suspended or in any
16 other manner not levied.
17 § 14. Subdivision 32 of section 375 of the vehicle and traffic law, as
18 amended by chapter 61 of the laws of 1989, is amended to read as
19 follows:
20 32. The violation of any of the provisions of this section with
21 respect to adequate brakes except those relating to emergency or hand
22 brakes shall constitute a misdemeanor and the violation of any of the
23 other provisions of this section, including those relating to emergency
24 or hand brakes, shall be punishable by a fine not exceeding one hundred
25 fifty dollars or by imprisonment for not exceeding thirty days, or by
26 both such fine and imprisonment, except as herein otherwise provided.
27 § 15. Paragraph (b) of subdivision 47 of section 375 of the vehicle
28 and traffic law, as added by chapter 856 of the laws of 1990, is amended
29 to read as follows:
30 (b) Any person convicted of a violation of this section shall for a
31 first conviction thereof be punished by a fine of up to one hundred
32 fifty dollars; for a conviction of a second violation, both of which
33 were committed within a period of eighteen months, such person shall be
34 guilty of a traffic infraction and shall be punished by a fine of not
35 less than one hundred fifty dollars and not more than [two] three
36 hundred dollars; upon conviction of a third or subsequent violation, all
37 of which were committed within a period of eighteen months, such person
38 shall be guilty of a traffic infraction and shall be punished by a fine
39 of not less than [two hundred fifty] three hundred seventy-five dollars
40 and not more than [five hundred] seven hundred fifty dollars.
41 § 16. Subdivision 18 of section 385 of the vehicle and traffic law, as
42 amended by chapter 549 of the laws of 1985, is amended to read as
43 follows:
44 18. Except as provided in subdivision nineteen of this section, the
45 violation of the provisions of this section including a violation
46 related to the operation, within a city not wholly included within one
47 county, of a vehicle which exceeds the limitations provided for in the
48 rules and regulations of the city department of transportation of such
49 city, shall be punishable by a fine of not less than [two] three hundred
50 nor more than [five hundred] seven hundred fifty dollars, or by impri-
51 sonment for not more than thirty days, or by both such fine and impri-
52 sonment, for the first offense; by a fine of not less than [five
53 hundred] seven hundred fifty nor more than one thousand five hundred
54 dollars, or by imprisonment for not more than sixty days, or by both
55 such fine and imprisonment, for the second or subsequent offense;
56 provided that a sentence or execution thereof for any violation under
S. 1406 16 A. 2106
1 this subdivision may not be suspended. For any violation of the
2 provisions of this section, including a violation related to the opera-
3 tion, within a city not wholly included within one county, of a vehicle
4 which exceeds the limitations provided for in the rules and regulations
5 of the city department of transportation of such city, the registration
6 of the vehicle may be suspended for a period not to exceed one year
7 whether at the time of the violation the vehicle was in charge of the
8 owner or his agent. The provisions of section five hundred ten of this
9 chapter shall apply to such suspension except as otherwise provided
10 herein.
11 § 17. Paragraph (a) of subdivision 19 of section 385 of the vehicle
12 and traffic law, as amended by chapter 929 of the laws of 1985, is
13 amended to read as follows:
14 (a) A violation of the provisions of subdivision ten of this section
15 by any vehicle or combination of vehicles whose weight exceeds the
16 weight limitations as set forth in this section, or such rules and regu-
17 lations, or the weight limitations specified by permit issued pursuant
18 to subdivision fifteen of this section shall be punishable by fines
19 levied on the registered owner of the vehicle or vehicles, whether at
20 the time of the violation the vehicle was in the charge of the regis-
21 tered owner or his agent or lessee in accordance with the following
22 schedule:
23 Excess Total Weight
24 (pounds) Amount of Fine
25 greater than less than or equal to (dollars)
26 0 2,000 [50] 75
27 2,000 3,000 [75] 115
28 3,000 4,000 [100] 150
29 4,000 5,000 [200] 300
30 5,000 6,000 [300] 450
31 6,000 7,000 [400] 600
32 7,000 8,000 [500] 750
33 8,000 9,000 [600] 900
34 9,000 10,000 [700] 1,050
35 10,000 15,000 [1,200] 1,800
36 15,000 20,000 [1,700] 2,550
37 20,000 25,000 [2,200] 3,300
38 25,000 30,000 [2,700] 4,050
39 30,000 [six] nine cents for each pound in excess of
40 30,000
41 (NOTE: Where the excess total weight is greater than 10,000 pounds in
42 excess of the limits specified by a permit, the permit shall be deemed
43 voided and then the amount of fine shall be determined in accordance
44 with the maximum weight which would have been in effect for the opera-
45 tion of such vehicle if the permit to exceed such maximum weight had not
46 been issued.)
47 § 18. Paragraph (b) of subdivision 19 of section 385 of the vehicle
48 and traffic law, as amended by chapter 929 of the laws of 1985, is
49 amended to read as follows:
50 (b) A violation of the provisions of subdivisions eight and nine of
51 this section by any vehicle or combination of vehicles whose weight
52 exceeds the weight limitations as set forth in this section, or such
53 rules or regulations, or the weight limitations specified by permit
S. 1406 17 A. 2106
1 issued pursuant to subdivision fifteen of this section shall be punisha-
2 ble by fines levied on the registered owner of the vehicle or vehicles,
3 whether at the time of the violation the vehicle was in the charge of
4 the registered owner, or his agent, or lessee, in accordance with the
5 following schedule:
6 Percentage of excess weight
7 (percentage) Amount of Fine
8 greater than less than or equal to (dollars)
9 0 5.0 [100] 150
10 5.0 10.0 [200] 300
11 10.0 15.0 [350] 525
12 15.0 20.0 [600] 900
13 20.0 25.0 [1000] 1,500
14 25.0 30.0 [1600] 2,400
15 30.0 [2450] 3,675
16 (NOTE: Where the excess axle or axles weight is greater than ten percent
17 in excess of 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 In connection with the weighting of a vehicle or combination of vehi-
23 cles, if it is found that there is a violation of subdivision fifteen
24 and/or subdivision ten and also of subdivision eight or nine, or both
25 subdivisions eight and nine, of this section, there shall be a single
26 fine imposed and the maximum amount of such fine shall not exceed the
27 highest fine that could be imposed under paragraph (a) of this subdivi-
28 sion or this paragraph.
29 § 19. Paragraph (c) of subdivision 19 of section 385 of the vehicle
30 and traffic law, as added by chapter 929 of the laws of 1985, is amended
31 to read as follows:
32 (c) Notwithstanding paragraph (a) of this subdivision, a violation of
33 the provisions of subdivision ten of this section in a city not wholly
34 included within one county or of the provisions of the rules or regu-
35 lations of the city department of transportation setting forth the maxi-
36 mum allowable gross weight for the operation of a vehicle in such city
37 without a permit for such vehicle, by any vehicle or combination of
38 vehicles whose weight exceeds the weight limitations as set forth in
39 this section, or such rules and regulations, or the weight limitations
40 specified by permit issued pursuant to subdivision fifteen of this
41 section (excluding enforcement scale tolerance not to exceed five
42 percent) shall be punishable by fines levied on the registered owner of
43 the vehicle or vehicles, whether at the time of the violation the vehi-
44 cle was in the charge of the registered owner or his agent or lessee in
45 accordance with the following schedule:
46 Excess Total Weight
47 (pounds) Amount of Fine
48 greater than less than or equal to (dollars)
49 0 2,000 [50] 75
50 2,000 3,000 [75] 115
51 3,000 4,000 [100] 150
52 4,000 5,000 [200] 300
S. 1406 18 A. 2106
1 5,000 6,000 [300] 450
2 6,000 7,000 [400] 600
3 7,000 8,000 [500] 750
4 8,000 9,000 [600] 900
5 9,000 10,000 [700] 1,050
6 10,000 15,000 [1,200] 1,800
7 15,000 20,000 [1,700] 2,550
8 20,000 25,000 [2,200] 3,300
9 25,000 30,000 [2,700] 4,050
10 30,000 35,000 [3,200] 4,800
11 35,000 40,000 [3,700] 5,550
12 40,000 45,000 [4,200] 6,300
13 45,000 50,000 or greater [4,700] 7,050
14 (NOTE: Where the excess total weight is greater than the limits speci-
15 fied by a permit, the permit shall be deemed voided and then the amount
16 of fine shall be determined in accordance with the maximum weight which
17 would have been in effect for the operation of such vehicle if the
18 permit to exceed such maximum weight had not been issued.)
19 § 20. Paragraph (d) of subdivision 19 of section 385 of the vehicle
20 and traffic law, as added by chapter 929 of the laws of 1985, is amended
21 to read as follows:
22 (d) Notwithstanding paragraph (b) of this subdivision, a violation of
23 the provisions of subdivisions eight and nine of this section in a city
24 not wholly included within one county or of the provisions of the rules
25 or regulations of the city department of transportation setting forth
26 the maximum allowable axle or tandem axle weight for the operation of a
27 vehicle in such city without a permit for such vehicle, by any vehicle
28 or combination of vehicles whose weight exceeds the weight limitations
29 as set forth in this section, or such rules or regulations, or the
30 weight limitations specified by permit issued pursuant to subdivision
31 fifteen of this section shall be punishable by fines levied on the
32 registered owner of the vehicle or vehicles, whether at the time of the
33 violation the vehicle was in the charge of the registered owner, or his
34 agent, or lessee, in accordance with the following schedule:
35 Percentage of excess weight
36 (percentage) Amount of Fine
37 greater than less than or equal to (dollars)
38 0 5.0 [100] 150
39 5.0 10.0 [200] 300
40 10.0 15.0 [350] 525
41 15.0 20.0 [600] 900
42 20.0 25.0 [1000] 1,500
43 25.0 30.0 [1600] 2,400
44 30.0 35.0 [2450] 3,675
45 35.0 40.0 [3600] 5,400
46 40.0 45.0 [5100] 7,650
47 45.0 [7000] 10,500
48 (NOTE: Where the excess axle or axles weight is greater than the limits
49 specified by a permit, the permit shall be deemed voided and then the
50 amount of fine shall be determined in accordance with the maximum weight
51 which would have been in effect for the operation of such vehicle if the
52 permit to exceed such maximum weight had not been issued.)
S. 1406 19 A. 2106
1 § 21. Subdivision 1 of section 71-2103 of the environmental conserva-
2 tion law, as amended by chapter 608 of the laws of 1993, is amended to
3 read as follows:
4 1. Except as provided in section 71-2113, any person who violates any
5 provision of article nineteen or any code, rule or regulation which was
6 promulgated pursuant thereto; or any order except an order directing
7 such person to pay a penalty by a specified date issued by the commis-
8 sioner pursuant thereto, shall be liable, in the case of a first
9 violation, for a penalty not less than [two hundred fifty] three hundred
10 seventy-five dollars nor more than [ten] fifteen thousand dollars for
11 said violation and an additional penalty of not to exceed [ten] fifteen
12 thousand dollars for each day during which such violation continues. In
13 the case of a second or any further violation, the liability shall be
14 for a penalty not to exceed [fifteen thousand] twenty-two thousand five
15 hundred dollars for said violation and an additional penalty not to
16 exceed [fifteen thousand] twenty-two thousand five hundred dollars for
17 each day during which such violation continues. In addition thereto,
18 such person may be enjoined from continuing such violation as hereinaft-
19 er provided.
20 § 22. Subdivision 1 of section 71-2105 of the environmental conserva-
21 tion law, as amended by chapter 608 of the laws of 1993, is amended to
22 read as follows:
23 1. Except as provided in section 71-2113, any person who shall wilful-
24 ly violate any of the provisions of article 19 or any code, rule or
25 regulation promulgated pursuant thereto or any final determination or
26 order of the commissioner made pursuant to article 19 shall be guilty of
27 a misdemeanor, and, upon conviction thereof, shall be punished by a
28 fine, in the case of a first conviction, of not less than [two hundred
29 fifty] three hundred seventy-five dollars nor more than [ten] fifteen
30 thousand dollars or by imprisonment for a term of not more than one
31 year, or by both such fine and imprisonment, for each separate
32 violation. If the conviction is for an offense committed after the first
33 conviction of such person under this subdivision, such person shall be
34 punished by a fine not to exceed [fifteen thousand] twenty-two thousand
35 five hundred dollars, or by imprisonment, or by both such fine and
36 imprisonment. Each day on which such violation occurs shall constitute a
37 separate violation.
38 § 23. Subdivision 1 of section 71-2113 of the environmental conserva-
39 tion law, as added by chapter 942 of the laws of 1984, is amended to
40 read as follows:
41 1. Civil and administrative sanctions. Any person who violates any of
42 the provisions of, or who fails to perform any duty imposed by section
43 19-0304 of this chapter, or any rule or regulation promulgated pursuant
44 thereto, or any term or condition of any certificate or permit issued
45 pursuant thereto, or any final determination or order of the commission-
46 er made pursuant to article 19 of this chapter concerning a violation of
47 section 19-0304 of this chapter shall be liable in the case of a first
48 violation, for a civil penalty not to exceed [twenty-five thousand]
49 thirty-seven thousand five hundred dollars and an additional penalty of
50 not more than [twenty-five thousand] thirty-seven thousand five hundred
51 dollars for each day during which such violation continues, to be
52 assessed by the commissioner after an opportunity to be heard pursuant
53 to the provisions of section 71-1709 of this [chapter] article, or by
54 the court in any action or proceeding pursuant to section 71-2107 of
55 this [chapter] title, and, in addition thereto, such person may by simi-
56 lar process be enjoined from continuing such violation and any permit or
S. 1406 20 A. 2106
1 certificate issued to such person may be revoked or suspended or a pend-
2 ing renewal application denied. In the case of a second and any further
3 violation, the liability shall be for a civil penalty not to exceed
4 [fifty] seventy-five thousand dollars for each such violation and an
5 additional penalty not to exceed [fifty] seventy-five thousand dollars
6 for each day during which such violation continues.
7 § 24. Subdivision 2 of section 71-2113 of the environmental conserva-
8 tion law, as added by chapter 942 of the laws of 1984, is amended to
9 read as follows:
10 2. Criminal sanctions. Any person who, having any of the culpable
11 mental states defined in section 15.05 of the penal law, shall violate
12 any of the provisions of or who fails to perform any duty imposed by
13 section 19-0304 of this chapter, or any rules and regulations promulgat-
14 ed pursuant thereto, or any term or condition of any certificate or
15 permit issued pursuant thereto, or any final determination or order of
16 the commissioner made pursuant to article 19 of this chapter concerning
17 a violation of section 19-0304 of this chapter shall be guilty of a
18 misdemeanor and, upon conviction thereof, shall for a first conviction
19 be punished by a fine not to exceed [twenty-five thousand] thirty-seven
20 thousand five hundred dollars per day of violation or by imprisonment
21 for a term of not more than one year, or both such fine and imprison-
22 ment. If the conviction is for an offense committed after a first
23 conviction of such person under this subdivision, punishment shall be by
24 a fine not to exceed [fifty] seventy-five thousand dollars per day of
25 violation, or by imprisonment for not more than two years or by both
26 such fine and imprisonment.
27 § 25. Paragraph a of subdivision 1 of section 71-2703 of the environ-
28 mental conservation law, as amended by chapter 508 of the laws of 1995,
29 is amended to read as follows:
30 a. Any person who violates any of the provisions of, or who fails to
31 perform any duty imposed by title 3 or 7 of article 27 of this chapter
32 or any rule or regulation promulgated pursuant thereto, or any term or
33 condition of any certificate or permit issued pursuant thereto, or any
34 final determination or order of the commissioner made pursuant to this
35 title shall be liable for a civil penalty not to exceed [five thousand]
36 seven thousand five hundred dollars for each such violation and an addi-
37 tional penalty of not more than one thousand five hundred dollars for
38 each day during which such violation continues, to be assessed by the
39 commissioner after an opportunity to be heard pursuant to the provisions
40 of section 71-1709 of this [chapter] article, or by the court in any
41 action or proceeding pursuant to section 71-2727 of this [chapter]
42 title, and, in addition thereto, such person may by similar process be
43 enjoined from continuing such violation and any permit or certificate
44 issued to such person may be revoked or suspended or a pending renewal
45 application denied.
46 § 26. Subparagraphs i and ii of paragraph b of subdivision 1 of
47 section 71-2703 of the environmental conservation law, as added by chap-
48 ter 508 of the laws of 1995, are amended to read as follows:
49 i. Any person who violates any of the provisions of, or who fails to
50 perform any duty imposed by, title 3 or 7 of article 27 of this chapter,
51 or any rule or regulation promulgated pursuant thereto, or any term or
52 condition of any certificate or permit issued pursuant thereto and
53 thereby causes the release of solid waste into the environment, shall be
54 liable for a civil penalty not to exceed [seven thousand five hundred]
55 eleven thousand two hundred fifty dollars for each such violation and an
56 additional penalty of not more than [seven thousand five hundred] eleven
S. 1406 21 A. 2106
1 thousand two hundred fifty dollars for each day during which such
2 violation continues, to be assessed by the commissioner after an oppor-
3 tunity to be heard pursuant to the provisions of section 71-1709 of this
4 [chapter] article, or by the court in any action or proceeding pursuant
5 to section 71-2727 of this [chapter] title, and, in addition thereto,
6 such person may by similar process be enjoined from continuing such
7 violation and any permit or certificate issued to such person may be
8 revoked or suspended or a pending renewal application denied.
9 ii. Any person who violates any of the provisions of, or who fails to
10 perform any duty imposed by, title 3 or 7 of article 27 of this chapter,
11 or any rule or regulation promulgated pursuant thereto, or any term or
12 condition of any certificate or permit issued pursuant thereto and
13 thereby causes the release of more than ten cubic yards of solid waste
14 into the environment, shall be liable for a civil penalty not to exceed
15 [fifteen thousand] twenty-two thousand five hundred dollars for each
16 such violation and an additional penalty of not more than [fifteen thou-
17 sand] twenty-two thousand five hundred dollars for each day during which
18 such violation continues, to be assessed by the commissioner after an
19 opportunity to be heard pursuant to the provisions of section 71-1709 of
20 this [chapter] article, or by the court in any action or proceeding
21 pursuant to section 71-2727 of this [chapter] title, and, in addition
22 thereto, such person may by similar process be enjoined from continuing
23 such violation and any permit or certificate issued to such person may
24 be revoked or suspended or a pending renewal application denied.
25 § 27. Paragraph a and subparagraphs i and ii of paragraph b of subdi-
26 vision 2 of section 71-2703 of the environmental conservation law, para-
27 graph a as amended and subparagraphs i and ii of paragraph b as added by
28 chapter 508 of the laws of 1995, are amended to read as follows:
29 a. Any person who, having any of the culpable mental states defined in
30 section 15.05 of the penal law, shall violate any of the provisions of
31 or who fails to perform any duty imposed by title 3 or 7 of article 27
32 of this chapter, or any rules and regulations promulgated pursuant ther-
33 eto, or any final determination or order of the commissioner made pursu-
34 ant to this title shall be guilty of a violation and, upon conviction
35 thereof, shall be punished by a fine of not less than one thousand five
36 hundred dollars nor more than [ten] fifteen thousand dollars per day of
37 violation or by imprisonment for not more than fifteen days or by both
38 such fine and imprisonment.
39 i. Any person who shall violate paragraph a of this subdivision and
40 thereby causes or attempts to cause the release of more than ten cubic
41 yards of solid waste into the environment shall be guilty of a class B
42 misdemeanor and, upon conviction thereof, shall be punished by a fine of
43 not less than [two thousand five hundred] three thousand seven hundred
44 fifty dollars per day nor more than [fifteen thousand] twenty-two thou-
45 sand five hundred dollars per day of violation, or by imprisonment for a
46 term in accordance with the penal law, or by both such fine and impri-
47 sonment.
48 ii. Any person who shall violate paragraph a of this subdivision and
49 thereby causes or attempts to cause the release of more than ten cubic
50 yards of solid waste into the environment, after having been convicted
51 of a violation of this subdivision within the preceding five years,
52 shall be guilty of a class A misdemeanor and, upon conviction thereof,
53 shall be punished by a fine of not less than [two thousand five hundred]
54 three thousand seven hundred fifty dollars per day nor more than [twen-
55 ty-five thousand] thirty-seven thousand five hundred dollars per day of
S. 1406 22 A. 2106
1 violation, or by imprisonment for a term in accordance with the penal
2 law, or by both such fine and imprisonment.
3 § 28. Subparagraphs i and ii of paragraph c of subdivision 2 of
4 section 71-2703 of the environmental conservation law, as added by chap-
5 ter 508 of the laws of 1995, are amended to read as follows:
6 i. Any person who shall violate paragraph a of this subdivision and
7 thereby causes or attempts to cause the release of more than seventy
8 cubic yards of solid waste into the environment shall be guilty of a
9 class A misdemeanor and, upon conviction thereof, shall be punished by a
10 fine of not less than [two thousand five hundred] three thousand seven
11 hundred fifty dollars per day nor more than [twenty-five thousand] thir-
12 ty-seven thousand five hundred dollars per day of violation, or by
13 imprisonment for a term in accordance with the penal law, or by both
14 such fine and imprisonment.
15 ii. Any person who shall violate paragraph a of this subdivision and
16 thereby causes or attempts to cause the release of more than seventy
17 cubic yards of solid waste into the environment, after having been
18 convicted of a violation of this subdivision within the preceding five
19 years, shall be guilty of a class E felony and, upon conviction thereof,
20 shall be punished by a fine of not less than [five thousand] seven thou-
21 sand five hundred dollars per day nor more than [fifty] seventy-five
22 thousand dollars per day of violation, or by imprisonment for a term in
23 accordance with the penal law, or by both such fine and imprisonment.
24 § 29. Subdivision 3 of section 71-2703 of the environmental conserva-
25 tion law, as amended by chapter 508 of the laws of 1995, is amended to
26 read as follows:
27 3. Additional sanctions. Any person who violates any of the provisions
28 of, or who fails to perform any duty imposed by title 7 of article 27,
29 with regard to the construction and operation of facilities for the
30 disposal of construction and demolition debris or any rule or regulation
31 promulgated pursuant thereto, or any term or condition of any certif-
32 icate or permit issued pursuant thereto or any final determination or
33 order of the commissioner made pursuant to this title shall be liable
34 for a civil penalty not to exceed [ten] fifteen thousand dollars and
35 each day of such deposition shall constitute a separate violation and
36 said civil penalty is in addition to any other fines or penalties which
37 may be applied pursuant to this title.
38 § 30. Subdivision 1 of section 71-2705 of the environmental conserva-
39 tion law, as amended by chapter 493 of the laws of 1985, is amended to
40 read as follows:
41 1. Civil and administrative sanctions. Any person who violates any of
42 the provisions of, or who fails to perform any duty imposed by titles 9,
43 11 and 13 of article 27 or any rule or regulation promulgated pursuant
44 thereto, or any term or condition of any certificate or permit issued
45 pursuant thereto, or any final determination or order of the commission-
46 er made pursuant to this title shall be liable in the case of a first
47 violation, for a civil penalty not to exceed [twenty-five thousand]
48 thirty-seven thousand five hundred dollars and an additional penalty of
49 not more than [twenty-five thousand] thirty-seven thousand five hundred
50 dollars for each day during which such violation continues, to be
51 assessed by the commissioner after an opportunity to be heard pursuant
52 to the provisions of section 71-1709 of this [chapter] article, or by
53 the court in any action or proceeding pursuant to section 71-2727 of
54 this [chapter] title, and, in addition thereto, such person may by simi-
55 lar process be enjoined from continuing such violation and any permit or
56 certificate issued to such person may be revoked or suspended or a pend-
S. 1406 23 A. 2106
1 ing renewal application denied. In the case of a second and any further
2 violation, the liability shall be for a civil penalty not to exceed
3 [fifty] seventy-five thousand dollars for each such violation and an
4 additional penalty not to exceed [fifty] seventy-five thousand dollars
5 for each day during which such violation continues.
6 § 31. Subdivision 2 of section 71-2705 of the environmental conserva-
7 tion law, as added by chapter 550 of the laws of 1980, is amended to
8 read as follows:
9 2. Criminal sanctions. Any person who, having any of the culpable
10 mental states defined in section 15.05 of the penal law, shall violate
11 any of the provisions of or who fails to perform any duty imposed by
12 titles 9, 11 and 13 of article 27 or any rules and regulations promul-
13 gated pursuant thereto, or any term or condition of any certificate or
14 permit issued pursuant thereto, or any final determination or order of
15 the commissioner made pursuant to this title shall be guilty of a misde-
16 meanor and, upon conviction thereof, shall for a first conviction be
17 punished by a fine not to exceed [twenty-five thousand] thirty-seven
18 thousand five hundred dollars per day of violation or by imprisonment
19 for a term of not more than one year, or both such fine and imprison-
20 ment. If the conviction is for an offense committed after a first
21 conviction of such person under this subdivision, punishment shall be by
22 a fine not to exceed [fifty] seventy-five thousand dollars per day of
23 violation, or by imprisonment for not more than two years or by both
24 such fine and imprisonment.
25 § 32. Subdivision 2 of section 71-2721 of the environmental conserva-
26 tion law, as amended by chapter 671 of the laws of 1986, is amended to
27 read as follows:
28 2. Fines. A sentence to pay a fine shall be a sentence to pay an
29 amount fixed by the court, not exceeding the higher of:
30 (a) [Two] Three hundred thousand dollars for a class C felony;
31 (b) [One hundred fifty thousand] Two hundred twenty-five thousand
32 dollars for a class D felony;
33 (c) One hundred fifty thousand dollars for a class E felony;
34 (d) [Twenty-five thousand] Thirty-seven thousand five hundred dollars
35 for a class A misdemeanor;
36 (e) [Ten] Fifteen thousand dollars for a class B misdemeanor; or
37 (f) Double the amount of the defendant's gain from the commission of
38 the crime.
39 § 33. Subdivision 1 of section 71-2722 of the environmental conserva-
40 tion law, as added by chapter 152 of the laws of 1990, is amended to
41 read as follows:
42 1. Any person who knowingly or intentionally violates any of the
43 provisions or fails to perform any duty imposed by section 27-1701 of
44 this chapter, except the duty to accept a lead-acid battery pursuant to
45 subdivision four of such section, shall be liable for a civil penalty
46 not to exceed [fifty] seventy-five dollars for each violation, provided
47 that such civil penalty shall be in addition to any other penalties
48 authorized under other state or local laws governing the illegal
49 disposal of lead-acid batteries.
50 § 34. Subdivision 2 of section 71-2722 of the environmental conserva-
51 tion law, as added by chapter 152 of the laws of 1990, is amended to
52 read as follows:
53 2. Any retailer or distributor who refuses to accept a lead-acid
54 battery as required pursuant to subdivision four of section 27-1701 of
55 this chapter shall be liable for a civil penalty not to exceed [five
56 hundred] seven hundred fifty dollars.
S. 1406 24 A. 2106
1 § 35. Subdivision 2 of section 71-1909 of the environmental conserva-
2 tion law, is amended to read as follows:
3 2. Any person violating any provision of section 17-1709 shall be
4 guilty of a misdemeanor, and punishable by a fine of not more than [five
5 hundred] seven hundred fifty dollars or by imprisonment for not more
6 than one year or by both such fine and imprisonment.
7 § 36. Section 71-1911 of the environmental conservation law, is
8 amended to read as follows:
9 § [17-1911] 71-1911. Enforcement of section 17-1711.
10 Any person violating any provision of section 17-1711 shall be guilty
11 of an offense, and punishable by a fine of not more than [fifty] seven-
12 ty-five dollars.
13 § 37. Subdivision 1 of section 71-1929 of the environmental conserva-
14 tion law, as amended by chapter 360 of the laws of 1988, is amended to
15 read as follows:
16 1. A person who violates any of the provisions of, or who fails to
17 perform any duty imposed by titles 1 through 11 inclusive and title 19
18 of article 17, or the rules, regulations, orders or determinations of
19 the commissioner promulgated thereto or the terms of any permit issued
20 thereunder, shall be liable to a penalty of not to exceed [twenty-five
21 thousand] thirty-seven thousand five hundred dollars per day for each
22 violation, and, in addition thereto, such person may be enjoined from
23 continuing such violation as hereinafter provided. Violation of a permit
24 condition shall constitute grounds for revocation of such permit, which
25 revocation may be accomplished either as provided in paragraph f of
26 subdivision 4 of section 17-0303 or by order of judgment of the supreme
27 court as an alternate or additional civil penalty in an action brought
28 pursuant to subdivision 3 of this section.
29 § 38. Subdivision 1 of section 71-1933 of the environmental conserva-
30 tion law, as amended by chapter 360 of the laws of 1988, is amended to
31 read as follows:
32 1. Any person who, having any of the culpable mental states defined in
33 section 15.05 of the penal law, shall violate any of the provisions of
34 titles 1 through 5, 9 through 11 and 19 of article 17 or the rules,
35 regulations, orders or determinations of the commissioner promulgated
36 thereto, or the terms of any permit issued thereunder, shall be guilty
37 of a misdemeanor and, upon conviction thereof, shall be punished by a
38 fine of not less than [two thousand five hundred] three thousand seven
39 hundred fifty dollars nor more than [twenty-five thousand] thirty-seven
40 thousand five hundred dollars per day of violation or by imprisonment
41 for a term of not more than one year, or by both such fine and imprison-
42 ment. If the conviction is for an offense committed after a first
43 conviction of such person under this subdivision, punishment shall be by
44 a fine of not more than [fifty] seventy-five thousand dollars per day of
45 violation, or by imprisonment for not more than two years, or by both.
46 § 39. Subparagraphs i, ii, iii, and iv of paragraph b of subdivision 8
47 of section 71-1933 of the environmental conservation law, as added by
48 chapter 360 of the laws of 1988, is amended to read as follows:
49 i. [$500,000] $750,000 for a class C felony committed by an organiza-
50 tion as defined in section 71-1932 of this title;
51 ii. [$250,000] $375,000 for a class C felony;
52 iii. [$50,000] $75,000 per day of continuing violation for a class E
53 felony defined under subdivision four of this section but in no event
54 less than [$5,000] $7,500; and [$10,000] $15,000 for a class E felony
55 defined under subdivision seven of this section;
S. 1406 25 A. 2106
1 iv. [$25,000] $37,500 per day of continuing violation for a class A
2 misdemeanor but in no event less than [$2,500] $3,750.
3 § 40. Subdivision 1 of section 71-1941 of the environmental conserva-
4 tion law, as amended by chapter 613 of the laws of 1983, is amended to
5 read as follows:
6 1. Except where the owner of or a person in actual or constructive
7 possession or control of more than one thousand one hundred gallons, in
8 bulk, of any liquid including petroleum which, if released, would or
9 would be likely to pollute the lands or waters of the state including
10 the groundwaters thereof can prove that the entry or presence of any
11 part of such liquid onto such lands or into or in such waters causing or
12 contributing to a condition therein in contravention of the standards
13 adopted or deemed adopted by the water pollution control board or any of
14 its legal successors was caused solely by (A) an act of God, (B) an act
15 of war, (C) negligence on the part of the United States or New York
16 State Government or (D) an act or omission of a third party without
17 regard to whether any such act or omission was or was not negligent, or
18 any combination of the foregoing clauses, such owner or person shall be
19 liable for a penalty of not more than [two thousand five hundred] three
20 thousand seven hundred fifty dollars for an initial incident resulting
21 in or contributing to such a contravention and for an additional penalty
22 not to exceed [five hundred] seven hundred fifty dollars for each day
23 during which such contravention or contribution thereto continues, and
24 in addition shall be liable to the people of the state of New York for
25 the actual costs incurred by or on behalf of the people of the state for
26 the removal or neutralization of such liquid and for any and all reason-
27 able measures taken or attempted to reduce, limit or diminish the extent
28 or effect of such contravention.
29 § 41. Section 71-1943 of the environmental conservation law, as added
30 by chapter 400 of the laws of 1973, is amended to read as follows:
31 § 71-1943. Enforcement of section 17-1743.
32 Any person who fails to so notify the department of such release,
33 discharge or spill into the waters of the state as described in section
34 17-1743 of this chapter shall, upon conviction, be fined not more than
35 [two thousand five hundred] three thousand seven hundred fifty dollars
36 or imprisoned for not more than one year, or both.
37 § 42. This act shall take effect immediately.
38 PART F
39 Section 1. Section 3 of part C of chapter 152 of the laws of 2001,
40 amending the military law relating to military funds of the organized
41 militia, is amended to read as follows:
42 § 3. This act shall take effect on the same date as the reversion of
43 subdivision 5 of section 183 and subdivision 1 of section 221 of the
44 military law as provided by section 76 of chapter 435 of the laws of
45 1997, as amended by section 1 of chapter 19 of the laws of 1999 notwith-
46 standing this act shall be deemed to have been in full force and effect
47 on and after July 29, 2001 [and shall remain in full force and effect
48 until July 31, 2003 when upon such date this act shall expire].
49 § 2. This act shall take effect April 1, 2003; provided however, if
50 this act shall become a law after such date it shall take effect imme-
51 diately and shall be deemed to have been in full force and effect on and
52 after April 1, 2003.
53 PART G
S. 1406 26 A. 2106
1 Section 1. Paragraph (d) of subdivision 1 of section 803 of the
2 correction law, as added by chapter 435 of the laws of 1997, is amended
3 to read as follows:
4 (d) Every person under the custody of the department or confined in a
5 facility in the department of mental hygiene serving an indeterminate
6 sentence of imprisonment with a minimum [term] period in excess of one
7 year and no determinate sentence of imprisonment, except a person serv-
8 ing an indeterminate sentence for an A-I felony offense, a violent felo-
9 ny offense as defined in section 70.02 of the penal law, manslaughter in
10 the second degree, vehicular manslaughter in the second degree, vehicu-
11 lar manslaughter in the first degree, criminally negligent homicide, an
12 offense defined in article one hundred thirty of the penal law, incest,
13 or an offense defined in article two hundred sixty-three of the penal
14 law, may receive merit time allowance against the minimum [term or]
15 period of his or her sentence in the amount of one-sixth of the minimum
16 [term or] period imposed by the court. Notwithstanding the foregoing, a
17 person serving an indeterminate sentence for an A-I felony offense
18 defined in article two hundred twenty of the penal law may receive merit
19 time allowance against the minimum period of his or her sentence in the
20 amount of one-third of the minimum period imposed by the court. Such
21 allowance may be granted when an inmate successfully participates in the
22 work and treatment program assigned pursuant to section eight hundred
23 five of this article and when such inmate obtains a general equivalency
24 diploma, an alcohol and substance abuse treatment certificate, a voca-
25 tional trade certificate following at least six months of vocational
26 programming or performs at least four hundred hours of service as part
27 of a community work crew.
28 Such allowance shall be withheld for any serious disciplinary infrac-
29 tion or upon a judicial determination that the person, while an inmate,
30 commenced or continued a civil action, proceeding or claim that was
31 found to be frivolous as defined in subdivision (c) of section eight
32 thousand three hundred three-a of the civil practice law and rules, or
33 an order of a federal court pursuant to rule 11 of the federal rules of
34 civil procedure imposing sanctions in an action commenced by a person,
35 while an inmate, against a state agency, officer or employee.
36 § 2. Subdivision 2-a of section 803 of the correction law, as added by
37 chapter 435 of the laws of 1997, is amended to read as follows:
38 2-a. If a person is serving more than one indeterminate sentence, the
39 authorized merit time allowance granted pursuant to paragraph (d) of
40 subdivision one of this section shall be calculated as follows:
41 (a) A person serving two or more indeterminate sentences with differ-
42 ent minimum [terms] periods which run concurrently shall have the mini-
43 mum [term] period of the indeterminate sentence with the longest unex-
44 pired minimum [term] period to run reduced in the amount of one-sixth of
45 such minimum [term] period; provided, however, that where the minimum
46 [term] period of any other concurrent indeterminate sentence is greater
47 than such reduced minimum [term] period, the minimum [term] period of
48 such other concurrent indeterminate sentence shall also be reduced but
49 only to the extent that the minimum [term] period of such other concur-
50 rent sentence, as so reduced, is equal to the reduced minimum [term]
51 period of such sentence with the longest unexpired minimum [term] period
52 to run.
53 (b) A person serving two or more indeterminate sentences with the same
54 minimum [terms] periods which run concurrently, and no concurrent inde-
55 terminate sentence with any greater minimum [term] period, shall have
S. 1406 27 A. 2106
1 the minimum [term] period of each such sentence reduced in the amount of
2 one-sixth of such minimum [term] period.
3 (c) A person serving two or more indeterminate sentences that run
4 consecutively shall have the aggregate minimum [term] period of such
5 sentences reduced in the amount of one-sixth of such aggregate minimum
6 [term] period.
7 § 3. Section 803 of the correction law is amended by adding a new
8 subdivision 2-b to read as follows:
9 2-b. Notwithstanding the foregoing, if a person is serving more than
10 one indeterminate sentence, at least one of which is imposed for a class
11 A-I felony offense defined in article two hundred twenty of the penal
12 law, the authorized merit time allowance granted pursuant to paragraph
13 (d) of subdivision one of this section shall be calculated as follows:
14 (a) In the event a person is serving two or more indeterminate
15 sentences with different minimum periods which run concurrently, the
16 merit time allowance shall be based upon the sentence with the longest
17 unexpired minimum period. If the sentence with the longest unexpired
18 minimum period was imposed for a class A-I felony, the merit time credit
19 shall be one-third of such sentence's minimum period; if such sentence
20 was imposed for an offense other than a class A-I felony, such merit
21 time credit shall be one-sixth of such sentence's minimum period.
22 Provided, however, that where the minimum period of any other concurrent
23 indeterminate sentence is greater than such reduced minimum period, the
24 minimum period of such other concurrent indeterminate sentence shall
25 also be reduced but only to the extent that the minimum period of such
26 other concurrent sentence, as so reduced, is equal to the reduced mini-
27 mum period of such sentence with the longest unexpired minimum period to
28 run.
29 (b) A person serving two or more indeterminate sentences with the same
30 minimum periods which run concurrently, and no concurrent indeterminate
31 sentence with any greater minimum period, shall have the minimum period
32 of each such sentence reduced in the amount of one-third of such minimum
33 period if all such sentences were imposed for a class A-I felony.
34 (c) A person serving two or more indeterminate sentences that run
35 consecutively shall have the aggregate minimum period of such sentences
36 reduced in the amount of one-third of such aggregate minimum period of
37 the sentences imposed for a class A-I felony, plus one-sixth of such
38 aggregate minimum period of the sentences imposed for an offense other
39 than a class A-I felony.
40 § 4. Section 805 of the correction law, as amended by chapter 3 of the
41 laws of 1995, is amended to read as follows:
42 § 805. Earned eligibility program. Persons committed to the custody of
43 the department under an indeterminate or determinate sentence of impri-
44 sonment shall be assigned a work and treatment program as soon as prac-
45 ticable. No earlier than two months prior to the inmate's eligibility to
46 be paroled pursuant to subdivision one of section 70.40 of the penal
47 law, the commissioner shall review the inmate's institutional record to
48 determine whether he has complied with the assigned program. If the
49 commissioner determines that the inmate has successfully participated in
50 the program he may issue the inmate a certificate of earned eligibility.
51 Notwithstanding any other provision of law, an inmate who is serving a
52 sentence with a minimum term of not more than [six] eight years and who
53 has been issued a certificate of earned eligibility, shall be granted
54 parole release at the expiration of his minimum term or as authorized by
55 subdivision four of section eight hundred sixty-seven of this chapter
56 unless the board of parole determines that there is a reasonable proba-
S. 1406 28 A. 2106
1 bility that, if such inmate is released, he will not live and remain at
2 liberty without violating the law and that his release is not compatible
3 with the welfare of society. Any action by the commissioner pursuant to
4 this section shall be deemed a judicial function and shall not be
5 reviewable if done in accordance with law.
6 § 5. The correction law is amended by adding a new section 806 to read
7 as follows:
8 § 806. Presumptive release program for nonviolent inmates. 1.
9 Notwithstanding any other provision of law to the contrary and except as
10 provided in subdivision two of this section, an inmate who has been
11 awarded a certificate of earned eligibility by the commissioner as set
12 forth in section eight hundred five of this article may be entitled to
13 presumptive release at the expiration of the minimum or aggregate mini-
14 mum period of his or her indeterminate term of imprisonment, provided
15 that:
16 (i) the inmate has not been convicted previously of, nor is presently
17 serving a sentence imposed for a class A-I felony, a violent felony
18 offense as defined in section 70.02 of the penal law, manslaughter in
19 the second degree, vehicular manslaughter in the second degree, vehicu-
20 lar manslaughter in the first degree, criminally negligent homicide, an
21 offense defined in article one hundred thirty of the penal law, incest,
22 or an offense defined in article two hundred sixty-three of the penal
23 law,
24 (ii) the inmate has not committed any serious disciplinary infraction,
25 and
26 (iii) there has been no judicial determination that the person while
27 an inmate commenced or continued a civil action, proceeding or claim
28 that was found to be frivolous as defined in subdivision (c) of section
29 eight thousand three hundred three-a of the civil practice law and
30 rules, or an order has not been issued by a federal court pursuant to
31 rule 11 of the federal rules of civil procedure imposing sanctions in an
32 action commenced by the inmate against a state agency, officer or
33 employee.
34 2. In the case of an inmate who meets the criteria set forth in subdi-
35 vision one of this section and who also meets the criteria for merit
36 time as provided for in paragraph (d) of subdivision one of section
37 eight hundred three of this article, such inmate may be entitled to
38 presumptive release, as provided in this section, at the expiration of
39 five-sixths of the minimum or aggregate minimum period of his or her
40 indeterminate term of imprisonment.
41 3. Any inmate eligible for presumptive release pursuant to this
42 section shall be required to apply for such release pursuant to section
43 two hundred fifty-nine-g of the executive law. Upon release from the
44 department of correctional services, such person shall be in the legal
45 custody of the division of parole as provided in subdivisions two,
46 three, four, five, six and seven of section two hundred fifty-nine-i of
47 the executive law.
48 4. The commissioner shall promulgate rules and regulations for the
49 granting, withholding, cancellation and revocation of presumptive
50 release authorized by this section in accordance with the criteria here-
51 in specified.
52 5. No person shall have the right to demand or require presumptive
53 release authorized by this section. The commissioner may revoke at any
54 time an inmate's scheduled presumptive release pursuant to this section
55 for any disciplinary infraction committed by the inmate or for any fail-
56 ure to continue to participate successfully in any assigned work and
S. 1406 29 A. 2106
1 treatment program after the certificate of earned eligibility has been
2 awarded. The commissioner may deny presumptive release to any inmate
3 whenever the commissioner determines that such release may not be
4 consistent with the safety of the community or the welfare of the
5 inmate. Any action by the commissioner pursuant to this section shall be
6 deemed a judicial function and shall not be reviewable if done in
7 accordance with law.
8 6. Any eligible inmate who is not released pursuant to subdivision one
9 or two of this section shall be considered for discretionary release on
10 parole pursuant to the provisions of section eight hundred five of this
11 article or section two hundred fifty-nine-i of the executive law, which-
12 ever is applicable.
13 7. Any reference to parole and conditional release in this chapter
14 shall also be deemed to include presumptive release.
15 § 6. Subdivisions 2, 4, 5, 6, 8 and paragraph (a) of subdivision 9 of
16 section 259-a of the executive law, as amended by chapter 1 of the laws
17 of 1998, are amended to read as follows:
18 2. The division shall cause complete records to be kept of every
19 person on presumptive release, parole, conditional release or post-re-
20 lease supervision. Such records shall contain the aliases and photograph
21 of each such person, and the other information referred to in subdivi-
22 sion one of this section, as well as all reports of parole officers in
23 relation to such persons. Such records shall be maintained by the divi-
24 sion and may be made available as deemed appropriate by the chairman for
25 use by the department of correctional services, the division, and the
26 board of parole. Such records shall be organized in accordance with
27 methods of filing and indexing designed to insure the immediate avail-
28 ability of complete information about such persons.
29 4. In accordance with the provisions of this chapter, the division
30 shall supervise inmates released on presumptive release, parole or
31 conditional release, or to post-release supervision, except that the
32 division may consent to the supervision of a released inmate by the
33 United States parole commission pursuant to the witness security act of
34 nineteen hundred eighty-four.
35 5. The division shall conduct such investigations as may be necessary
36 in connection with alleged violations of presumptive release, parole,
37 conditional release or post-release supervision.
38 6. The division shall assist inmates eligible for presumptive release,
39 parole or conditional release and inmates who are on presumptive
40 release, parole, conditional release or post-release supervision to
41 secure employment, educational or vocational training.
42 8. The division may establish a parole transition program which is
43 hereby defined as community-based residential facilities designed to aid
44 presumptive release, parole, conditional release or post-release super-
45 vision violators develop an increased capacity for adjustment to commu-
46 nity living. [Parolees,] Presumptive releasees, parolees, conditional
47 releasees and those under post-release supervision who have either (i)
48 been found pursuant to section two hundred fifty-nine-i of this article
49 to have violated one or more conditions of release in an important
50 respect, or (ii) who have allegedly violated one or more of such condi-
51 tions upon a finding of probable cause at a preliminary hearing or upon
52 the waiver thereof may be placed in a parole transition facility. Place-
53 ment in a parole transition facility upon a finding of probable cause or
54 the waiver thereof shall not preclude the conduct of a revocation hear-
55 ing, nor, absent a waiver, operate to deny the releasee's right to such
56 revocation hearing.
S. 1406 30 A. 2106
1 (a) The division shall collect a fee of thirty dollars per month, from
2 all persons over the age of eighteen who after the effective date of
3 this subdivision are supervised on presumptive release, parole, condi-
4 tional release or post-release supervision by the division. The divi-
5 sion shall waive all or part of such fee where, because of the indigence
6 of the offender, the payment of said fee would work an unreasonable
7 hardship on the person convicted, his or her immediate family, or any
8 other person who is dependent on such person for financial support.
9 § 7. Subdivisions 2, 6 and 15 of section 259-c of the executive law,
10 subdivisions 2 and 6 as amended by chapter 1 of the laws of 1998 and
11 subdivision 15 as added by chapter 62 of the laws of 2001, are amended
12 to read as follows:
13 2. have the power and duty of determining the conditions of release
14 of the person who may be presumptively released, conditionally released
15 or subject to a period of post-release supervision under an indetermi-
16 nate or determinate sentence of imprisonment;
17 6. have the power to revoke the presumptive release, parole, condi-
18 tional release or post-release supervision status of any person and to
19 authorize the issuance of a warrant for the re-taking of such persons;
20 15. have the duty to provide written notice to such inmates prior to
21 release on presumptive release, parole, parole supervision, conditional
22 release or post release supervision or pursuant to subdivision six of
23 section 410.91 of the criminal procedure law of any requirement to
24 report to the crime victims board any funds of a convicted person as
25 defined in section six hundred thirty-two-a of this chapter, the proce-
26 dure for such reporting and any potential penalty for a failure to
27 comply.
28 § 8. Section 259-e of the executive law, as amended by chapter 1 of
29 the laws of 1998, is amended to read as follows:
30 § 259-e. Institutional parole services. The division shall provide
31 institutional parole services. Subject to the authority of the chair-
32 man, these shall include preparation of reports and other data required
33 by the state board of parole in the exercise of its functions with
34 respect to release on presumptive release, parole, conditional release
35 or post-release supervision of inmates. Employees of the division who
36 collect data, interview inmates and prepare reports for the state board
37 of parole in institutions under the jurisdiction of the department of
38 correctional services shall not work under the direct or indirect super-
39 vision of the head of the institution.
40 § 9. Subdivisions 1 and 2 of section 259-f of the executive law,
41 subdivision 1 as amended by chapter 1 of the laws of 1998 and subdivi-
42 sion 2 as added by chapter 904 of the laws of 1977, are amended to read
43 as follows:
44 1. Employees in the division who perform the duties of supervising
45 inmates released on presumptive release, parole, conditional release or
46 post-release supervision, and employees who perform professional duties
47 in institutions and who are assigned to provide institutional parole
48 services pursuant to section two hundred fifty-nine-e of this article,
49 shall be parole officers.
50 2. No person shall be eligible for the position of parole officer who
51 is under twenty-one years of age or who does not possess a baccalaureate
52 degree conferred by a post-secondary institution accredited by an
53 accrediting agency recognized by the United States office of education,
54 or who is not fitted physically, mentally and morally. Parole officers
55 selection shall be based on definite qualifications as to character,
56 ability and training with an emphasis on capacity and ability to provide
S. 1406 31 A. 2106
1 a balanced approach to influencing human behavior and to use judgment in
2 the enforcement of the rules and regulations of presumptive release,
3 parole and conditional release. Parole officers shall be persons likely
4 to exercise a strong and helpful influence upon persons placed under
5 their supervision while retaining the goal of protecting society.
6 § 10. Section 259-g of the executive law, as added by chapter 904 of
7 the laws of 1977, is amended to read as follows:
8 § 259-g. Applications for presumptive release or conditional release.
9 1. All requests for presumptive release or conditional release shall be
10 made in writing on forms prescribed and furnished by the division of
11 parole. Within one month from the date any such application is received,
12 if it appears that the applicant is eligible for presumptive release or
13 conditional release or will be eligible for [conditional] such release
14 during such month, the conditions of release shall be fixed in accord-
15 ance with rules prescribed by the board. Such conditions shall be
16 substantially the same as conditions imposed upon parolees.
17 2. No person shall be presumptively released or conditionally released
18 unless [he] the applicant has agreed in writing to the conditions of
19 release. The agreement shall state in plain, easily understandable
20 language the consequences of a violation of one or more of the condi-
21 tions of release.
22 § 11. Paragraphs (a) and (b) of subdivision 2, subdivision 3 and
23 paragraph (a) of subdivision 4 of section 259-i of the executive law,
24 paragraph (a) of subdivision 2 as amended by chapter 3 of the laws of
25 1995, paragraph (b) of subdivision 2, the subdivision heading, subpara-
26 graphs (i), (ii) and (iii) of paragraph (a), paragraph (b), subpara-
27 graphs (i), (ii), (iii), (iv) and (vi) of paragraph (c), paragraph (d),
28 subparagraphs (iv), (vi), (ix), (x) and (xi) of paragraph (f), paragraph
29 (g), paragraph (i) of subdivision 3 and paragraph (a) of subdivision 4
30 as amended by chapter 1 of the laws of 1998, subdivision 3 as added by
31 chapter 904 of the laws of 1977 and subparagraph (iv) of paragraph (a)
32 of subdivision 3 as added by chapter 435 of the laws of 1984, are
33 amended to read as follows:
34 (a) [At] (i) Except as provided in subparagraph (ii) of this para-
35 graph, at least one month prior to the date on which an inmate may be
36 paroled pursuant to subdivision one of section 70.40 of the penal law, a
37 member or members as determined by the rules of the board shall
38 personally interview such inmate and determine whether he should be
39 paroled in accordance with the guidelines adopted pursuant to subdivi-
40 sion four of section two hundred fifty-nine-c of this article. If parole
41 is not granted upon such review, the inmate shall be informed in writing
42 within two weeks of such appearance of the factors and reasons for such
43 denial of parole. Such reasons shall be given in detail and not in
44 conclusory terms. The board shall specify a date not more than twenty-
45 four months from such determination for reconsideration, and the proce-
46 dures to be followed upon reconsideration shall be the same. If the
47 inmate is released, he shall be given a copy of the conditions of
48 parole. Such conditions shall where appropriate, include a requirement
49 that the parolee comply with any restitution order and mandatory
50 surcharge previously imposed by a court of competent jurisdiction that
51 applies to the parolee. The board of parole shall indicate which resti-
52 tution collection agency established under subdivision eight of section
53 420.10 of the criminal procedure law, shall be responsible for
54 collection of restitution and mandatory surcharge as provided for in
55 section 60.35 of the penal law and section eighteen hundred nine of the
56 vehicle and traffic law.
S. 1406 32 A. 2106
1 (ii) Any inmate who is scheduled for presumptive release pursuant to
2 section eight hundred six of the correction law shall not appear before
3 the parole board as provided in subparagraph (i) of this paragraph
4 unless such inmate's scheduled presumptive release is withheld,
5 forfeited, canceled, or revoked subsequently as provided in such law. In
6 such event, the inmate shall appear before the parole board for release
7 consideration as provided in subparagraph (i) of this paragraph as soon
8 thereafter as is practicable.
9 (b) Persons presumptively released, paroled, conditionally released
10 or released to post-release supervision from an institution under the
11 jurisdiction of the department of correctional services or the depart-
12 ment of mental hygiene shall, while on presumptive release, parole,
13 conditional release or post-release supervision, be in the legal custody
14 of the division of parole until expiration of the maximum term or period
15 of sentence, or expiration of the period of supervision, including any
16 period of post-release supervision, or return to the custody of the
17 department of correctional services, as the case may be.
18 3. Revocation of presumptive release, parole, conditional release and
19 post-release supervision. (a) (i) If the parole officer having charge of
20 a presumptively released, paroled or conditionally released person or a
21 person released to post-release supervision or a person received under
22 the uniform act for out-of-state parolee supervision shall have reason-
23 able cause to believe that such person has lapsed into criminal ways or
24 company, or has violated one or more conditions of his presumptive
25 release, parole, conditional release or post-release supervision, such
26 parole officer shall report such fact to a member of the board of
27 parole, or to any officer of the division designated by the board, and
28 thereupon a warrant may be issued for the retaking of such person and
29 for his temporary detention in accordance with the rules of the board.
30 The retaking and detention of any such person may be further regulated
31 by rules and regulations of the division not inconsistent with this
32 article. A warrant issued pursuant to this section shall constitute
33 sufficient authority to the superintendent or other person in charge of
34 any jail, penitentiary, lockup or detention pen to whom it is delivered
35 to hold in temporary detention the person named therein; except that a
36 warrant issued with respect to a person who has been released on medical
37 parole pursuant to section two hundred fifty-nine-r of this article and
38 whose parole is being revoked pursuant to paragraph (h) of subdivision
39 four of such section shall constitute authority for the immediate place-
40 ment of the parolee only into the custody of the department of correc-
41 tional services to hold in temporary detention. A warrant issued pursu-
42 ant to this section shall also constitute sufficient authority to the
43 person in charge of a drug treatment campus, as defined in subdivision
44 twenty of section two of the correction law, to hold the person named
45 therein, in accordance with the procedural requirements of this section,
46 for a period of at least ninety days to complete an intensive drug
47 treatment program mandated by the board of parole as an alternative to
48 presumptive release or parole or conditional release revocation, or the
49 revocation of post-release supervision, and shall also constitute suffi-
50 cient authority for return of the person named therein to local custody
51 to hold in temporary detention for further revocation proceedings in the
52 event said person does not successfully complete the intensive drug
53 treatment program. The board's rules shall provide for cancellation of
54 delinquency and restoration to supervision upon the successful
55 completion of the program.
S. 1406 33 A. 2106
1 (ii) Whenever a presumptively released, paroled or conditionally
2 released person or a person under post-release supervision or a prisoner
3 received under the uniform act for out-of-state parolee supervision has,
4 pursuant to this paragraph, been placed in any county jail or penitenti-
5 ary, or a city prison operated by a city having a population of one
6 million or more inhabitants, the state shall pay to the city or county
7 operating such facility the actual per day per capita cost as certified
8 to the state commissioner of correctional services by the appropriate
9 local official for the care of such person and as approved by the direc-
10 tor of the budget. The reimbursement rate shall not, however, exceed
11 thirty dollars per day per capita and forty dollars per day per capita
12 on and after the first day of April, nineteen hundred eighty-eight.
13 (iii) A warrant issued for a presumptive release, a parole, a condi-
14 tional release or a post-release supervision violator may be executed by
15 any parole officer or any officer authorized to serve criminal process
16 or any peace officer, who is acting pursuant to his special duties, or
17 police officer. Any such officer to whom such warrant shall be deliv-
18 ered is authorized and required to execute such warrant by taking such
19 person and having him detained as provided in this paragraph.
20 (iv) Where the alleged violator is detained in another state pursuant
21 to such warrant and is not under parole supervision pursuant to the
22 uniform act for out-of-state parolee supervision or where an alleged
23 violator under parole supervision pursuant to the uniform act for out-
24 of-state parolee supervision is detained in a state other than the
25 receiving state, the warrant will not be deemed to be executed until the
26 alleged violator is detained exclusively on the basis of such warrant
27 and the division of parole has received notification that the alleged
28 violator (A) has formally waived extradition to this state or (B) has
29 been ordered extradited to this state pursuant to a judicial determi-
30 nation. The alleged violator will not be considered to be within the
31 convenience and practical control of the division of parole until the
32 warrant is deemed to be executed.
33 (b) A person who shall have been taken into custody pursuant to this
34 subdivision for violation of one or more conditions of presumptive
35 release, parole, conditional release or post-release supervision shall,
36 insofar as practicable, be incarcerated in the county or city in which
37 the arrest occurred.
38 (c) (i) Within fifteen days after the warrant for retaking and tempo-
39 rary detention has been executed, unless the releasee has been convicted
40 of a new crime committed while under presumptive release, parole, condi-
41 tional release or post-release supervision, the board of parole shall
42 afford the alleged presumptive release, parole, conditional release or
43 post-release supervision violator a preliminary revocation hearing
44 before a hearing officer designated by the board of parole. Such hear-
45 ing officer shall not have had any prior supervisory involvement over
46 the alleged violator.
47 (ii) The preliminary presumptive release, parole, conditional release
48 or post-release supervision revocation hearing shall be conducted at an
49 appropriate correctional facility, or such other place reasonably close
50 to the area in which the alleged violation occurred as the board may
51 designate.
52 (iii) The alleged violator shall, within three days of the execution
53 of the warrant, be given written notice of the time, place and purpose
54 of the hearing unless he is detained pursuant to the provisions of
55 subparagraph (iv) of paragraph (a) of this subdivision. In those
56 instances, the alleged violator will be given written notice of the
S. 1406 34 A. 2106
1 time, place and purpose of the hearing within five days of the execution
2 of the warrant. The notice shall state what conditions of presumptive
3 release, parole, conditional release or post-release supervision are
4 alleged to have been violated, and in what manner; that such person
5 shall have the right to appear and speak in his own behalf; that he
6 shall have the right to introduce letters and documents; that he may
7 present witnesses who can give relevant information to the hearing offi-
8 cer; that he has the right to confront the witnesses against him.
9 Adverse witnesses may be compelled to attend the preliminary hearing
10 unless the prisoner has been convicted of a new crime while on super-
11 vision or unless the hearing officer finds good cause for their non-at-
12 tendance.
13 (iv) The preliminary hearing shall be scheduled to take place no
14 later than fifteen days from the date of execution of the warrant. The
15 standard of proof at the preliminary hearing shall be probable cause to
16 believe that the presumptive releasee, parolee, conditional releasee or
17 person under post-release supervision has violated one or more condi-
18 tions of his presumptive release, parole, conditional release or post-
19 release supervision in an important respect. Proof of conviction of a
20 crime committed while under supervision shall constitute probable cause
21 for the purposes of this section.
22 (v) At the preliminary hearing, the hearing officer shall review the
23 violation charges with the alleged violator, direct the presentation of
24 evidence concerning the alleged violation, receive the statements of
25 witnesses and documentary evidence on behalf of the prisoner, and allow
26 cross examination of those witnesses in attendance.
27 (vi) At the conclusion of the preliminary hearing, the hearing offi-
28 cer shall inform the alleged violator of his decision as to whether
29 there is probable cause to believe that the presumptive releasee, paro-
30 lee, conditional releasee or person on post-release supervision has
31 violated one or more conditions of his release in an important respect.
32 Based solely on the evidence adduced at the hearing, the hearing officer
33 shall determine whether there is probable cause to believe that such
34 person has violated his presumptive release, parole, conditional release
35 or post-release supervision in an important respect. The hearing officer
36 shall in writing state the reasons for his determination and the
37 evidence relied on. A copy of the written findings shall be sent to
38 both the alleged violator and his counsel.
39 (vii) If the hearing officer is satisfied that there is no probable
40 cause to believe that such person has violated one or more conditions of
41 release in an important respect, he shall dismiss the notice of
42 violation and direct such person be restored to supervision.
43 (viii) If the hearing officer is satisfied that there is probable
44 cause to believe that such person has violated one or more conditions of
45 release in an important respect, he shall so find.
46 (d) If a finding of probable cause is made pursuant to this subdivi-
47 sion either by a determination at a preliminary hearing or by the waiver
48 thereof, or if the releasee has been convicted of a new crime while
49 under presumptive release, parole, conditional release or post-release
50 supervision, the board's rules shall provide for (i) declaring such
51 person to be delinquent as soon as practicable and shall require reason-
52 able and appropriate action to make a final determination with respect
53 to the alleged violation or (ii) ordering such person to be restored to
54 presumptive release, parole, conditional release or post-release super-
55 vision under such circumstances as it may deem appropriate or (iii) when
56 a presumptive releasee, parolee, conditional releasee or person on post-
S. 1406 35 A. 2106
1 release supervision has been convicted of a new felony committed while
2 under such supervision and a new indeterminate or determinate sentence
3 has been imposed, the board's rules shall provide for a final declara-
4 tion of delinquency. The inmate shall then be notified in writing that
5 his release has been revoked on the basis of the new conviction and a
6 copy of the commitment shall accompany said notification. The inmate's
7 next appearance before the board shall be governed by the legal require-
8 ments of said new indeterminate or determinate sentence, or shall occur
9 as soon after a final reversal of the conviction as is practicable.
10 (e) (i) If the alleged violator requests a local revocation hearing,
11 he shall be given a revocation hearing reasonably near the place of the
12 alleged violation or arrest if he has not been convicted of a crime
13 committed while under supervision. However, the board may, on its own
14 motion, designate a case for a local revocation hearing.
15 (ii) If there are two or more alleged violations, the hearing may be
16 conducted near the place of the violation chiefly relied upon as a basis
17 for the issuance of the warrant as determined by the board.
18 (iii) If a local revocation hearing is not ordered pursuant to subpar-
19 agraph one the alleged violator shall be given a revocation hearing upon
20 his return to a state correctional facility.
21 (f) (i) Revocation hearings shall be scheduled to be held within nine-
22 ty days of the probable cause determination. However, if an alleged
23 violator requests and receives any postponement of his revocation hear-
24 ing, or consents to a postponed revocation proceeding initiated by the
25 board, or if an alleged violator, by his actions otherwise precludes the
26 prompt conduct of such proceedings, the time limit may be extended.
27 (ii) The revocation hearing shall be conducted by a presiding officer
28 who may be a member or a hearing officer designated by the board in
29 accordance with rules of the board.
30 (iii) Both the alleged violator and an attorney who has filed a notice
31 of appearance on his behalf in accordance with the rules of the board of
32 parole shall be given written notice of the date, place and time of the
33 hearing as soon as possible but at least fourteen days prior to the
34 scheduled date.
35 (iv) The alleged violator shall be given written notice of the rights
36 enumerated in subparagraph (iii) of paragraph (c) of this subdivision as
37 well as of his right to present mitigating evidence relevant to restora-
38 tion to presumptive release, parole, conditional release or post-release
39 supervision and his right to counsel.
40 (v) The alleged violator shall be permitted representation by counsel
41 at the revocation hearing. In any case where such person is financially
42 unable to retain counsel, the criminal court of the city of New York,
43 the county court or district court in the county where the violation is
44 alleged to have occurred or where the hearing is held, shall assign
45 counsel in accordance with the county or city plan for representation
46 placed in operation pursuant to article eighteen-B of the county law. He
47 shall have the right to confront and cross-examine adverse witnesses,
48 unless there is good cause for their non-attendance as determined by the
49 presiding officer; present witnesses and documentary evidence in defense
50 of the charges; and present witnesses and documentary evidence relevant
51 to the question whether reincarceration of the alleged violator is
52 appropriate.
53 (vi) At the revocation hearing, the charges shall be read and the
54 alleged violator shall be permitted to plead not guilty, guilty, guilty
55 with explanation or to stand mute. As to each charge, evidence shall be
56 introduced through witnesses and documents, if any, in support of that
S. 1406 36 A. 2106
1 charge. At the conclusion of each witness's direct testimony, he shall
2 be made available for cross-examination. If the alleged violator intends
3 to present a defense to the charges or to present evidence of mitigating
4 circumstances, the alleged violator shall do so after presentation of
5 all the evidence in support of a violation of presumptive release,
6 parole, conditional release or post-release supervision.
7 (vii) All persons giving evidence at the revocation hearing shall be
8 sworn before giving any testimony as provided by law.
9 (viii) At the conclusion of the hearing the presiding officer may
10 sustain any or all of the violation charges or may dismiss any or all
11 violation charges. He may sustain a violation charge only if the charge
12 is supported by a preponderance of the evidence adduced.
13 (ix) If the presiding officer is not satisfied that there is a prepon-
14 derance of evidence in support of the violation, he shall dismiss the
15 violation, cancel the delinquency and restore the person to presumptive
16 release, parole, conditional release or post-release [to] supervision.
17 (x) If the presiding officer is satisfied that there is a preponder-
18 ance of evidence that the alleged violator violated one or more condi-
19 tions of release in an important respect, he or she shall so find. For
20 each violation so found, the presiding officer may (A) direct that the
21 presumptive releasee, parolee, conditional releasee or person serving a
22 period of post-release supervision be restored to supervision; (B) as an
23 alternative to reincarceration, direct the presumptive releasee, paro-
24 lee, conditional releasee or person serving a period of post-release
25 supervision be placed in a parole transition facility for a period not
26 to exceed one hundred eighty days and subsequent restoration to super-
27 vision; (C) in the case of presumptive releasee, parolees or conditional
28 releasees, direct the violator's reincarceration and fix a date for
29 consideration by the board for re-release on presumptive release, or
30 parole or conditional release, as the case may be; or (D) in the case of
31 persons released to a period of post-release supervision, direct the
32 violator's reincarceration for a period of at least six months and up to
33 the balance of the remaining period of post-release supervision, not to
34 exceed five years. Where a date has been fixed for the violator's re-re-
35 lease on presumptive release, parole or conditional release, as the case
36 may be, the board or board member may waive the personal interview
37 between a member or members of the board and the violator to determine
38 the suitability for re-release; provided, however, that the board shall
39 retain the authority to suspend the date fixed for re-release and to
40 require a personal interview based on the violator's institutional
41 record or on such other basis as is authorized by the rules and regu-
42 lations of the board. If an interview is required, the board shall
43 notify the violator of the time of such interview in accordance with the
44 rules and regulations of the board. If the violator is placed in a
45 parole transition facility or restored to supervision, the presiding
46 officer may impose such other conditions of presumptive release, parole,
47 conditional release, or post-release supervision as he may deem appro-
48 priate, as authorized by rules of the board.
49 (xi) If the presiding officer sustains any violations, he must prepare
50 a written statement, to be made available to the alleged violator and
51 his counsel, indicating the evidence relied upon and the reasons for
52 revoking presumptive release, parole, conditional release or post-re-
53 lease supervision, and for the disposition made.
54 (g) Revocation of presumptive release, parole, conditional release or
55 post-release supervision shall not prevent re-parole or re-release
S. 1406 37 A. 2106
1 provided such re-parole or re-release is not inconsistent with any other
2 provisions of law.
3 (h) If the alleged violation is not sustained and the alleged violator
4 is restored to supervision, the interruptions specified in subdivision
5 three of section 70.40 of the penal law shall not apply, but the time
6 spent in custody in any state or local correctional institution shall be
7 credited against the term of the sentence in accordance with the rules
8 specified in paragraph (c) of [that] such subdivision.
9 (i) Where there is reasonable cause to believe that a presumptive
10 releasee, parolee, conditional releasee or person under post-release
11 supervision has absconded from supervision the board may declare such
12 person to be delinquent. This paragraph shall not be construed to deny
13 such person a preliminary revocation hearing upon his retaking, nor to
14 relieve the division of parole of any obligation it may have to exercise
15 due diligence to retake the alleged absconder, nor to relieve the paro-
16 lee or releasee of any obligation he may have to comply with the condi-
17 tions of his release.
18 (a) Except for determinations made upon preliminary hearings upon
19 allegations of violation of presumptive release, parole, conditional
20 release or post-release supervision, all determinations made pursuant to
21 this section may be appealed in accordance with rules promulgated by the
22 board. Any board member who participated in the decision from which the
23 appeal is taken may not participate in the resolution of that appeal.
24 The rules of the board may specify a time within which any appeal shall
25 be taken and resolved.
26 § 12. The section heading of section 70.40 of the penal law is amended
27 to read as follows:
28 Release on parole; conditional release; presumptive release.
29 § 13. Subdivision 1 of section 70.40 of the penal law is amended by
30 adding a new paragraph (c) to read as follows:
31 (c) A person who is serving one or more than one indeterminate
32 sentence of imprisonment shall, if he or she so requests, be released
33 from the institution in which he or she is confined if granted presump-
34 tive release pursuant to section eight hundred six of the correction
35 law. The conditions of release shall be such as may be imposed by the
36 state board of parole in accordance with the provisions of the executive
37 law. Every person so released shall be under the supervision of the
38 state board of parole for a period equal to the unserved portion of his
39 or her maximum or aggregate maximum term.
40 § 14. Paragraph (a) of subdivision 3 of section 70.40 of the penal
41 law, as amended by chapter 1 of the laws of 1998, is amended to read as
42 follows:
43 (a) When a person is alleged to have violated the terms of presumptive
44 release or parole and the state board of parole has declared such person
45 to be delinquent, the declaration of delinquency shall interrupt the
46 person's sentence as of the date of the delinquency and such inter-
47 ruption shall continue until the return of the person to an institution
48 under the jurisdiction of the state department of correctional services.
49 § 15. This act shall take effect April 1, 2003; provided, however,
50 that
51 (a) the amendments to paragraph (d) of subdivision 1 and subdivision
52 2-a of section 803 of the correction law made by sections one and two of
53 this act shall not affect the repeal of such paragraph (d) and such
54 subdivision 2-a and shall be deemed to be repealed therewith;
55 (b) subdivision 2-b of section 803 of the correction law as added by
56 section three of this act shall expire and be deemed repealed on the
S. 1406 38 A. 2106
1 same date as subdivision 6 of section 76 of chapter 435 of the laws of
2 1997, as amended and shall not affect the expiration and reversion of
3 such section;
4 (c) the amendments to section 805 of the correction law made by
5 section four of this act shall not affect the expiration of such section
6 and shall be deemed to expire therewith;
7 (d) section 806 of the correction law as added by section five of this
8 act shall expire and be deemed repealed on the same date as subdivision
9 6 of section 76 of chapter 435 of the laws of 1997, as amended;
10 (e) the amendments to subdivision 4 and paragraph (a) of subdivision 9
11 of section 259-a of the executive law made by section six of this act
12 shall not affect the repeal or expiration of such subdivisions and shall
13 be deemed to be repealed or to expire therewith;
14 (f) the amendments made to subdivision 2 of section 259-c of the exec-
15 utive law made by section seven of this act shall not affect the expira-
16 tion of such subdivision and shall be deemed to expire therewith;
17 (g) the amendments to paragraph (a) of subdivision 2 and subparagraph
18 (i) of paragraph (a) and paragraph (d) of subdivision 3 of section 259-i
19 of the executive law made by section eleven of this act shall not affect
20 the expiration of such paragraph (a) of subdivision 2, such subparagraph
21 (i) of paragraph (a) and such paragraph (d) of subdivision 3 and shall
22 be deemed to expire therewith; and
23 (h) paragraph (c) of subdivision 1 of section 70.40 of the penal law
24 as added by section thirteen of this act shall expire and be deemed
25 repealed on the same date as subdivision 6 of section 76 of chapter 435
26 of the laws of 1997, as amended.
27 PART H
28 Section 1. The section heading and subdivisions 1, 2, 3, 4, 5 and 8 of
29 section 60.35 of the penal law, the section heading and subdivisions 2,
30 3 and 4 as amended by chapter 62 of the laws of 1989, subdivision 1 as
31 amended by section 1 of part L of chapter 57 of the laws of 2000, subdi-
32 vision 5 as amended and subdivision 8 as added by chapter 3 of the laws
33 of 1995 and paragraph (a) of subdivision 5 as amended by chapter 385 of
34 the laws of 1999, are amended to read as follows:
35 Mandatory surcharge, sex offender registration fee, DNA databank fee
36 and crime victim assistance fee required in certain cases.
37 1. Except as provided in section eighteen hundred nine of the vehicle
38 and traffic law and section 27.12 of the parks, recreation and historic
39 preservation law, whenever proceedings in an administrative tribunal or
40 a court of this state result in a conviction for a felony, a misdemea-
41 nor, or a violation, as these terms are defined in section 10.00 of this
42 chapter, there shall be levied at sentencing a mandatory surcharge, sex
43 offender registration fee, DNA databank fee and a crime victim assist-
44 ance fee in addition to any sentence required or permitted by law, in
45 accordance with the following schedule:
46 (a) a person convicted of a felony shall pay a mandatory surcharge of
47 two hundred dollars and a crime victim assistance fee of ten dollars;
48 (b) a person convicted of a misdemeanor shall pay a mandatory
49 surcharge of one hundred ten dollars and a crime victim assistance fee
50 of ten dollars;
51 (c) a person convicted of a violation shall pay a mandatory surcharge
52 of fifty dollars and a crime victim assistance fee of ten dollars;
53 (d) a person convicted of a sex offense as defined by subdivision two
54 of section one hundred sixty-eight-a of the correction law or a sexually
S. 1406 39 A. 2106
1 violent offense as defined by subdivision three of section one hundred
2 sixty-eight-a of the correction law shall, in addition to a mandatory
3 surcharge and crime victim assistance fee, pay a sex offender registra-
4 tion fee of fifty dollars.
5 (e) a person convicted of a designated offense as defined by subdivi-
6 sion seven of section nine hundred ninety-five of the executive law
7 shall, in addition to a mandatory surcharge and crime victim assistance
8 fee, pay a DNA databank fee of fifty dollars.
9 2. Where a person is convicted of two or more crimes or violations
10 committed through a single act or omission, or through an act or omis-
11 sion which in itself constituted one of the crimes or violations and
12 also was a material element of the other, the court shall impose a
13 mandatory surcharge and a crime victim assistance fee in accordance with
14 the provisions of this section for the crime or violation which carries
15 the highest classification, and no other sentence to pay a mandatory
16 surcharge or a crime victim assistance fee required by this section
17 shall be imposed. Where a person is convicted of two or more sex
18 offenses or sexually violent offenses, as defined by subdivisions two
19 and three of section one hundred sixty-eight-a of the correction law,
20 committed through a single act or omission, or through an act or omis-
21 sion which in itself constituted one of the offenses and also was a
22 material element of the other, the court shall impose only one sex
23 offender registration fee. Where a person is convicted of two or more
24 designated offenses, as defined by subdivision seven of section nine
25 hundred ninety-five of the executive law, committed through a single act
26 or omission, or through an act or omission which in itself constituted
27 one of the offenses and also was a material element of the other, the
28 court shall impose only one DNA databank fee.
29 3. The mandatory surcharge, sex offender registration fee, DNA data-
30 bank fee and crime victim assistance fee provided for in subdivision one
31 of this section shall be paid to the clerk of the court or administra-
32 tive tribunal that rendered the conviction. Within the first ten days of
33 the month following collection of the mandatory surcharge and crime
34 victim assistance fee, the collecting authority shall determine the
35 amount of mandatory surcharge and crime victim assistance fee collected
36 and, if it is an administrative tribunal, or a town or village justice
37 court, it shall then pay such money to the state comptroller who shall
38 deposit such money in the state treasury pursuant to section one hundred
39 twenty-one of the state finance law to the credit of the criminal
40 justice improvement account established by section ninety-seven-bb of
41 the state finance law. Within the first ten days of the month following
42 collection of the sex offender registration fee and DNA databank fee,
43 the collecting authority shall determine the amount of the sex offender
44 registration fee and DNA databank fee collected and, if it is an admin-
45 istrative tribunal, or a town or village justice court, it shall then
46 pay such money to the state comptroller who shall deposit such money in
47 the state treasury pursuant to section one hundred twenty-one of the
48 state finance law to the credit of the general fund. If such collecting
49 authority is any other court of the unified court system, it shall,
50 within such period, pay such money attributable to the mandatory
51 surcharge or crime victim assistance fee to the state commissioner of
52 taxation and finance to the credit of the criminal justice improvement
53 account established by section ninety-seven-bb of the state finance law.
54 If such collecting authority is any other court of the unified court
55 system, it shall, within such period, pay such money attributable to the
S. 1406 40 A. 2106
1 sex offender registration fee and the DNA databank fee to the state
2 commissioner of taxation and finance to the credit of the general fund.
3 4. Any person who has paid a mandatory surcharge, sex offender regis-
4 tration fee, DNA databank fee or a crime victim assistance fee under the
5 authority of this section based upon a conviction that is subsequently
6 reversed or who paid a mandatory surcharge, sex offender registration
7 fee, DNA databank fee or a crime victim assistance fee under the
8 authority of this section which is ultimately determined not to be
9 required by this section shall be entitled to a refund of such mandatory
10 surcharge, sex offender registration fee, DNA databank fee or crime
11 victim assistance fee upon application to the state comptroller. The
12 state comptroller shall require such proof as is necessary in order to
13 determine whether a refund is required by law.
14 5. (a) When a person who is convicted of a crime or violation and
15 sentenced to a term of imprisonment has failed to pay the mandatory
16 surcharge, sex offender registration fee, DNA databank fee or crime
17 victim assistance fee required by this section, the clerk of the court
18 that rendered the conviction shall notify the superintendent or the
19 municipal official of the facility where the person is confined. The
20 superintendent or the municipal official shall cause any amount owing to
21 be collected from such person during his term of imprisonment from
22 moneys to the credit of an inmates' fund or such moneys as may be earned
23 by a person in a work release program pursuant to section eight hundred
24 sixty of the correction law. Such moneys attributable to the mandatory
25 surcharge or crime victim assistance fee shall be paid over to the state
26 comptroller to the credit of the criminal justice improvement account
27 established by section ninety-seven-bb of the state finance law and such
28 moneys attributable to the sex offender registration fee or DNA databank
29 fee shall be paid over to the state comptroller to the credit of the
30 general fund, except that any such moneys collected which are
31 surcharges, sex offender registration fees, DNA databank fees or crime
32 victim assistance fees levied in relation to convictions obtained in a
33 town or village justice court shall be paid within thirty days after the
34 receipt thereof by the superintendent or municipal official of the
35 facility to the justice of the court in which the conviction was
36 obtained. For the purposes of collecting such mandatory surcharge, sex
37 offender registration fee, DNA databank fee and crime victim assistance
38 fee, the state shall be legally entitled to the money to the credit of
39 an inmates' fund or money which is earned by an inmate in a work release
40 program. For purposes of this subdivision, the term "inmates' fund"
41 shall mean moneys in the possession of an inmate at the time of his
42 admission into such facility, funds earned by him as provided for in
43 section one hundred eighty-seven of the correction law and any other
44 funds received by him or on his behalf and deposited with such super-
45 intendent or municipal official.
46 (b) The incarceration fee provided for in subdivision two of section
47 one hundred eighty-nine of the correction law shall not be assessed or
48 collected if any order of restitution or reparation, fine, mandatory
49 surcharge, sex offender registration fee, DNA databank fee or crime
50 victim assistance fee remains unpaid. In such circumstances, any monies
51 which may lawfully be withheld from the compensation paid to a prisoner
52 for work performed while housed in a general confinement facility in
53 satisfaction of such an obligation shall first be applied toward satis-
54 faction of such obligation.
55 8. Subdivision one of section 130.10 of the criminal procedure law
56 notwithstanding, at the time that the mandatory surcharge, sex offender
S. 1406 41 A. 2106
1 registration fee or DNA databank fee is imposed a town or village court
2 may, and all other courts shall, issue and cause to be served upon the
3 person required to pay the mandatory surcharge, sex offender registra-
4 tion fee or DNA databank fee, a summons directing that such person
5 appear before the court regarding the payment of the mandatory
6 surcharge, sex offender registration fee or DNA databank fee if after
7 sixty days from the date it was imposed it remains unpaid. The desig-
8 nated date of appearance on the summons shall be set for the first day
9 court is in session falling after the sixtieth day from the imposition
10 of the mandatory surcharge, sex offender registration fee or DNA data-
11 bank fee. The summons shall contain the information required by subdivi-
12 sion two of section 130.10 of the criminal procedure law except that in
13 substitution for the requirement of paragraph (c) of such subdivision
14 the summons shall state that the person served must appear at a date,
15 time and specific location specified in the summons if after sixty days
16 from the date of issuance the mandatory surcharge, sex offender regis-
17 tration fee or DNA databank fee remains unpaid. The court shall not
18 issue a summons under this subdivision to a person who is being
19 sentenced to a term of confinement in excess of sixty days in jail or in
20 the department of correctional services. The mandatory surcharges, sex
21 offender registration fee and DNA databank fees for those persons shall
22 be governed by the provisions of section 60.30 of the penal law.
23 § 2. Subdivision 5 of section 60.35 of the penal law, as amended by
24 chapter 385 of the laws of 1999, is amended to read as follows:
25 5. When a person who is convicted of a crime or violation and
26 sentenced to a term of imprisonment has failed to pay the mandatory
27 surcharge, sex offender registration fee, DNA databank fee or crime
28 victim assistance fee required by this section, the clerk of the court
29 that rendered the conviction shall notify the superintendent or the
30 municipal official of the facility where the person is confined. The
31 superintendent or the municipal official shall cause any amount owing to
32 be collected from such person during his term of imprisonment from
33 moneys to the credit of an inmates' fund or such moneys as may be earned
34 by a person in a work release program pursuant to section eight hundred
35 sixty of the correction law. Such moneys attributable to the mandatory
36 surcharge or crime victim assistance fee shall be paid over to the state
37 comptroller to the credit of the criminal justice improvement account
38 established by section ninety-seven-bb of the state finance law and such
39 moneys attributable to the sex offender registration fee or DNA databank
40 fee shall be paid over to the state comptroller to the credit of the
41 general fund, except that any such moneys collected which are
42 surcharges, sex offender registration fees, DNA databank fees or crime
43 victim assistance fees levied in relation to convictions obtained in a
44 town or village justice court shall be paid within thirty days after the
45 receipt thereof by the superintendent or municipal official of the
46 facility to the justice of the court in which the conviction was
47 obtained. For the purposes of collecting such mandatory surcharge, sex
48 offender registration fee, DNA databank fee and crime victim assistance
49 fee, the state shall be legally entitled to the money to the credit of
50 an inmates' fund or money which is earned by an inmate in a work release
51 program. For purposes of this subdivision, the term "inmates' fund"
52 shall mean moneys in the possession of an inmate at the time of his
53 admission into such facility, funds earned by him as provided for in
54 section one hundred eighty-seven of the correction law and any other
55 funds received by him or on his behalf and deposited with such super-
56 intendent or municipal official.
S. 1406 42 A. 2106
1 § 3. Subdivision 4 of section 154 of the correction law, as amended by
2 chapter 661 of the laws of 1988, is amended to read as follows:
3 4. Payment of court fines, mandatory surcharge, sex offender registra-
4 tion fee, DNA databank fee, restitution or reparation, or forfeitures.
5 § 4. Section 168-b of the correction law is amended by adding a new
6 subdivision 8 to read as follows:
7 8. The division shall charge a fee of ten dollars each time a sex
8 offender registers any change of address or any change of his or her
9 status of enrollment, attendance, employment or residence at any insti-
10 tution of higher education as required by subdivision four of section
11 one hundred sixty-eight-f of this article. The fee shall be paid to the
12 division by the sex offender. The state comptroller is hereby authorized
13 to deposit such fees into the general fund.
14 § 5. Subdivision 4 of section 168-f of the correction law, as amended
15 by chapter 11 of the laws of 2002, is amended to read as follows:
16 4. Any sex offender shall register with the division no later than ten
17 calendar days after any change of address or any change of his or her
18 status of enrollment, attendance, employment or residence at any insti-
19 tution of higher education. A fee of ten dollars, as authorized by
20 subdivision eight of section one hundred sixty-eight-b of this article,
21 shall be submitted by the sex offender each time such offender registers
22 any change of address or any change of his or her status of enrollment,
23 attendance, employment or residence at any institution of higher educa-
24 tion. Any failure or omission to submit the required fee shall not
25 affect the acceptance by the division of the change of address or change
26 of status.
27 § 6. Subdivision 3 of section 420.30 of the criminal procedure law, as
28 amended by chapter 3 of the laws of 1995, is amended to read as follows:
29 3. Restrictions. In no event shall a mandatory surcharge, sex offen-
30 der registration fee, DNA databank fee or crime victim assistance fee be
31 remitted.
32 § 7. Subdivisions 1, 2 and 3 of section 420.35 of the criminal proce-
33 dure law, as amended by chapter 3 of the laws of 1995, is amended to
34 read as follows:
35 1. The provisions of section 420.10 of this article governing the
36 collection of fines and the provisions of section 420.40 of this article
37 governing deferral of mandatory surcharges, sex offender registration
38 fees, DNA databank fees and financial hardship hearings and the
39 provisions of section 430.20 of this chapter governing the commitment of
40 a defendant for failure to pay a fine shall be applicable to a mandatory
41 surcharge, sex offender registration fee, DNA databank fee and a crime
42 victim assistance fee imposed pursuant to subdivision one of section
43 60.35 of the penal law, subdivision twenty-a of section three hundred
44 eighty-five of the vehicle and traffic law, subdivision nineteen-a of
45 section four hundred one of the vehicle and traffic law, or a mandatory
46 surcharge imposed pursuant to section eighteen hundred nine of the vehi-
47 cle and traffic law or section 27.12 of the parks, recreation and
48 historic preservation law. When the court directs that the defendant be
49 imprisoned until the mandatory surcharge, sex offender registration fee
50 or DNA databank fee is satisfied, it must specify a maximum period of
51 imprisonment not to exceed fifteen days; provided, however, a court may
52 not direct that a defendant be imprisoned until the mandatory surcharge,
53 sex offender registration fee, or DNA databank fee is satisfied or
54 otherwise for failure to pay the mandatory surcharge, sex offender
55 registration fee or DNA databank fee unless the court makes a contempo-
56 raneous finding on the record, after according defendant notice and an
S. 1406 43 A. 2106
1 opportunity to be heard, that the payment of the mandatory surcharge,
2 sex offender registration fee or DNA databank fee upon defendant will
3 not work an unreasonable hardship upon him or her or his or her immedi-
4 ate family.
5 2. Under no circumstances shall the mandatory surcharge, sex offender
6 registration fee, DNA databank fee or the crime victim assistance fee be
7 waived.
8 3. It shall be the duty of a court of record or administrative tribu-
9 nal to report to the division of criminal justice services on the dispo-
10 sition and collection of mandatory surcharges, sex offender registration
11 fees or DNA databank fees and crime victim assistance fees. Such report
12 shall include, for all cases, whether the surcharge, sex offender regis-
13 tration fee, DNA databank fee or crime victim assistance fee levied
14 pursuant to subdivision one of section 60.35 of the penal law or section
15 eighteen hundred nine of the vehicle and traffic law has been imposed
16 pursuant to law, collected, or is to be collected by probation or
17 corrections or other officials. The form, manner and frequency of such
18 reports shall be determined by the commissioner of the division of crim-
19 inal justice services after consultation with the chief administrator of
20 the courts and the commissioner of the department of motor vehicles.
21 § 8. Subdivisions 1, 2, 3, 4 and 5 of section 420.40 of the criminal
22 procedure law, as added by chapter 3 of the laws of 1995, is amended to
23 read as follows:
24 1. Applicability. The procedure specified in this section governs the
25 deferral of the obligation to pay all or part of a mandatory surcharge,
26 sex offender registration fee or DNA databank fee imposed pursuant to
27 subdivision one of section 60.35 of the penal law and financial hardship
28 hearings relating to mandatory surcharges.
29 2. On an appearance date set forth in a summons issued pursuant to
30 subdivision three of section 60.35 of the penal law, section eighteen
31 hundred nine of the vehicle and traffic law or section 27.12 of the
32 parks, recreation and historic preservation law, a person upon whom a
33 mandatory surcharge, sex offender registration fee or DNA databank fee
34 was levied shall have an opportunity to present on the record credible
35 and verifiable information establishing that the mandatory surcharge,
36 sex offender registration fee or DNA databank fee should be deferred, in
37 whole or in part, because, due to the indigence of such person the
38 payment of said surcharge, sex offender registration fee or DNA databank
39 fee would work an unreasonable hardship on the person or his or her
40 immediate family.
41 3. In assessing such information the superior court shall be mindful
42 of the mandatory nature of the surcharge, sex offender registration fee
43 and DNA databank fee, and the important criminal justice and victim
44 services sustained by such fees.
45 4. Where a court determines that it will defer part or all of a manda-
46 tory surcharge, sex offender registration fee or DNA databank fee
47 imposed pursuant to subdivision one of section 60.35 of the penal law, a
48 statement of such finding and of the facts upon which it is based shall
49 be made part of the record.
50 5. A court which defers a person's obligation to pay a mandatory
51 surcharge, sex offender registration fee or DNA databank fee imposed
52 pursuant to subdivision one of section 60.35 of the penal law shall do
53 so in a written order. Such order shall not excuse the person from the
54 obligation to pay the surcharge, sex offender registration fee or DNA
55 databank fee. Rather, the court's order shall direct the filing of a
56 certified copy of the order with the county clerk of the county in which
S. 1406 44 A. 2106
1 the court is situate except where the court which issues such order is
2 the supreme court in which case the order itself shall be filed by the
3 clerk of the court acting in his or her capacity as the county clerk of
4 the county in which the court is situate. Such order shall be entered by
5 the county clerk in the same manner as a judgment in a civil action in
6 accordance with subdivision (a) of rule five thousand sixteen of the
7 civil practice law and rules. The order shall direct that any unpaid
8 balance of the mandatory surcharge, sex offender registration fee or DNA
9 databank fee may be collected in the same manner as a civil judgment.
10 The entered order shall be deemed to constitute a judgment-roll as
11 defined in section five thousand seventeen of the civil practice law and
12 rules and immediately after entry of the order, the county clerk shall
13 docket the entered order as a money judgment pursuant to section five
14 thousand eighteen of such law and rules.
15 § 9. Paragraph (a) of subdivision 2 of section 259-i of the executive
16 law, as amended by chapter 3 of the laws of 1995, is amended to read as
17 follows:
18 (a) At least one month prior to the date on which an inmate may be
19 paroled pursuant to subdivision one of section 70.40 of the penal law, a
20 member or members as determined by the rules of the board shall
21 personally interview such inmate and determine whether he should be
22 paroled in accordance with the guidelines adopted pursuant to subdivi-
23 sion four of section two hundred fifty-nine-c. If parole is not granted
24 upon such review, the inmate shall be informed in writing within two
25 weeks of such appearance of the factors and reasons for such denial of
26 parole. Such reasons shall be given in detail and not in conclusory
27 terms. The board shall specify a date not more than twenty-four months
28 from such determination for reconsideration, and the procedures to be
29 followed upon reconsideration shall be the same. If the inmate is
30 released, he shall be given a copy of the conditions of parole. Such
31 conditions shall where appropriate, include a requirement that the paro-
32 lee comply with any restitution order [and], mandatory surcharge, sex
33 offender registration fee and DNA databank fee previously imposed by a
34 court of competent jurisdiction that applies to the parolee. The board
35 of parole shall indicate which restitution collection agency established
36 under subdivision eight of section 420.10 of the criminal procedure law,
37 shall be responsible for collection of restitution [and], mandatory
38 surcharge, sex offender registration fees and DNA databank fees as
39 provided for in section 60.35 of the penal law and section eighteen
40 hundred nine of the vehicle and traffic law.
41 § 10. Section 259-j of the executive law, as amended by chapter 1 of
42 the laws of 1998, is amended to read as follows:
43 § 259-j. Discharge from parole and conditional release. Except where a
44 determinate sentence or a sentence with a maximum term of life imprison-
45 ment was imposed for a felony other than a felony defined in article two
46 hundred twenty of the penal law, if the board of parole is satisfied
47 that an absolute discharge from parole or from conditional release is in
48 the best interests of society, the board may grant such a discharge
49 prior to the expiration of the full maximum term to any person who has
50 been on unrevoked parole or conditional release for at least three
51 consecutive years. A discharge granted under this section shall consti-
52 tute a termination of the sentence with respect to which it was granted.
53 No such discharge shall be granted unless the board of parole is satis-
54 fied that the parolee, otherwise financially able to comply with an
55 order of restitution and the payment of any mandatory surcharge, sex
56 offender registration fee or DNA databank fee previously imposed by a
S. 1406 45 A. 2106
1 court of competent jurisdiction, has made a good faith effort to comply
2 therewith.
3 § 11. Section 259-j of the executive law, as separately amended by
4 chapter 396 of the laws of 1987 and chapter 1 of the laws of 1998, is
5 amended to read as follows:
6 § 259-j. Discharge from parole and conditional release. Except where a
7 determinate sentence or a sentence with a maximum term of life imprison-
8 ment was imposed for a felony other than a felony defined in article two
9 hundred twenty of the penal law, if the board of parole is satisfied
10 that an absolute discharge from parole or from conditional release is in
11 the best interests of society, the board may grant such a discharge
12 prior to the expiration of the full maximum term to any person who has
13 been on unrevoked parole or conditional release for at least three
14 consecutive years. A discharge granted under this section shall consti-
15 tute a termination of the sentence with respect to which it was granted.
16 No such discharge shall be granted unless the board of parole is satis-
17 fied that the parolee, otherwise financially able to comply with an
18 order of restitution and the payment of any mandatory surcharge, sex
19 offender registration fee or DNA databank fee previously imposed by a
20 court of competent jurisdiction, has made a good faith effort to comply
21 therewith.
22 § 12. Section 4-411 of the village law, as added by chapter 460 of the
23 laws of 1991, is amended to read as follows:
24 § 4-411 Disposition of fines and penalties. Except as otherwise
25 provided by law, all fines and penalties imposed for the violation of a
26 village local law, ordinance or regulation shall be the property of the
27 village, whether or not the village has established the office of
28 village justice. Nothing in this section shall be deemed to affect the
29 disposition of mandatory surcharges, sex offender registration fees, DNA
30 databank fees or crime victim assistance fees as provided by section
31 60.35 of the penal law, or of mandatory surcharges as provided by
32 section eighteen hundred nine of the vehicle and traffic law, or of
33 fines, penalties and forfeitures as provided by section eighteen hundred
34 three of the vehicle and traffic law relating to traffic offenses.
35 § 13. This act shall take effect immediately, provided that the amend-
36 ments to subdivision 5 of section 60.35 of the penal law made by section
37 one of this act shall be subject to the expiration and reversion of such
38 subdivision pursuant to section 74 of chapter 3 of the laws of 1995, as
39 amended, when upon such date the provisions of section two of this act
40 shall take effect; and further provided that the amendments to section
41 259-j of the executive law made by section ten of this act shall be
42 subject to the expiration and reversion of such section pursuant to
43 section 74 of chapter 3 of the laws of 1995 as amended, when upon such
44 date the provisions of section eleven of this act shall take effect.
45 PART I
46 Section 1. Subdivision 8-a of section 837 of the executive law, as
47 amended by chapter 309 of the laws of 1996, is amended to read as
48 follows:
49 8-a. Charge a fee when, pursuant to statute or the regulations of the
50 division, it conducts a search of its criminal history records and
51 returns a report thereon in connection with an application for employ-
52 ment or for a license or permit. The division shall adopt and may, from
53 time to time, amend a schedule of such fees which shall be in amounts
54 determined by the division to be reasonably related to the cost of
S. 1406 46 A. 2106
1 conducting such searches and returning reports thereon but, in no event,
2 shall any such fee exceed twenty-five dollars and an additional
3 surcharge of [twenty-five] fifty dollars. [Except as provided in section
4 three hundred fifty-nine-e of the general business law, the fee shall be
5 paid to the division by the applicant and shall accompany the appli-
6 cant's fingerprint card or application form upon which the search
7 request is predicated.] The comptroller is hereby authorized to deposit
8 such fees into the general fund [effective August thirty-first, nineteen
9 hundred ninety-six], provided, however, that the monies received by the
10 division of criminal justice services for payment of the additional
11 surcharge shall be deposited in equal amounts to the general fund and to
12 the fingerprint identification and technology account.
13 § 2. This act shall take effect immediately.
14 PART J
15 Section 1. Paragraphs (b) and (d) of subdivision 2 and subdivision 3
16 of section 846-m of the executive law, as amended by section 6 of part T
17 of chapter 57 of the laws of 2000, are amended to read as follows:
18 (b) Activities eligible for funding include, but are not limited to,
19 the following: prosecution and adjudication services; law enforcement
20 services; neighborhood or community based programs designed to reduce
21 the incidence of motor vehicle theft and motor vehicle insurance fraud;
22 educational programs designed to inform owners of motor vehicles
23 concerning activities designed to prevent the incidence of theft of
24 motor vehicles and fraudulent claims practices; and programs designed to
25 examine, evaluate and make recommendations relating to the efficacy of
26 motor vehicle theft prevention devices or methods including, but not
27 limited to, passive tracking devices designed to identify the location
28 of a motor vehicle at any given point in time and window glass etching
29 with vehicle identification numbers or any other unique identifying
30 symbol including decal programs such as New York city's operation combat
31 auto theft (C.A.T.) funds provided under this program shall be used to
32 augment, and not to supplant, the provider agency's current funding, if
33 any, for motor vehicle theft and insurance fraud detection, prevention,
34 or reduction activities, and shall only be used to fund pilot programs
35 of a specified duration not to extend beyond July first, two thousand
36 [three] six.
37 (d) The state comptroller shall conduct an audit of all moneys
38 received and expended by the fund as well as all other funds expended
39 from any other source for the purposes of this program, and shall submit
40 a written report detailing such audit to the governor and legislature on
41 or before March first, two thousand [three] six.
42 3. This article shall expire on July first, two thousand [three] six.
43 § 2. Subdivision (bbb) of section 427 of chapter 55 of the laws of
44 1992, amending the tax law generally and enacting the omnibus revenue
45 act of 1992, as amended by section 7 of part T of chapter 57 of the laws
46 of 2000, is amended to read as follows:
47 (bbb) the provisions of subdivision (f) of section 9110 of the insur-
48 ance law as added by section three hundred eighty-six of this act and
49 section 89-d of the state finance law as added by section three hundred
50 eighty-eight of this act shall expire on July 1, [2003] 2006.
51 § 3. Section 9 of part T of chapter 57 of the laws of 2000, amending
52 the state finance law relating to a report on automobile theft
53 prevention activities of the state police, is amended to read as
54 follows:
S. 1406 47 A. 2106
1 § 9. This act shall take effect immediately provided, however, that
2 the amendments to sections 846-j, 846-k, 846-l and 846-m of the execu-
3 tive law made by this act shall not affect the expiration of such
4 sections and shall be deemed to expire therewith; provided, further,
5 however, that the provisions of subdivision 4 of section 97-mm of the
6 state finance law, as added by section eight of this act, shall expire
7 [and be deemed repealed] on July 1, [2003] 2006.
8 § 4. This act shall take effect April 1, 2003; provided however, if
9 this act shall become 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, 2003.
12 PART K
13 Section 1. Section 220.06 of the penal law, as amended by chapter 75
14 of the laws of 1995, subdivision 4 as amended by chapter 537 of the laws
15 of 1998 and subdivisions 6 and 7 as added by chapter 635 of the laws of
16 1997, is amended to read as follows:
17 § 220.06 Criminal possession of a controlled substance in the fifth
18 degree.
19 A person is guilty of criminal possession of a controlled substance in
20 the fifth degree when he knowingly and unlawfully possesses:
21 1. a controlled substance with intent to sell it; or
22 2. one or more preparations, compounds, mixtures or substances
23 containing a narcotic preparation and said preparations, compounds,
24 mixtures or substances are of an aggregate weight of [one-half ounce]
25 fourteen grams or more; or
26 3. one or more preparations, compounds, mixtures or substances
27 containing phencyclidine and said [phencyclidine weighs fifty milli-
28 grams] preparations, compounds, mixtures or substances are of an aggre-
29 gate weight of five hundred milligrams or more; or
30 4. one or more preparations, compounds, mixtures or substances
31 containing concentrated cannabis as defined in paragraph (a) of subdivi-
32 sion four of section thirty-three hundred two of the public health law
33 and said preparations, compounds, mixtures or substances are of an
34 aggregate weight of [one-fourth ounce] seven grams or more; or
35 5. one or more preparations, compounds, mixtures or substances
36 containing cocaine and said [cocaine weighs five hundred milligrams]
37 preparations, compounds, mixtures or substances are of an aggregate
38 weight of eight hundred thirty-three milligrams or more.
39 6. one or more preparations, compounds, mixtures or substances
40 containing ketamine and said [ketamine weighs] preparations, compounds,
41 mixtures or substances are of an aggregate weight of more than one thou-
42 sand milligrams; or
43 7. ketamine and has previously been convicted of possession or the
44 attempt to commit possession of ketamine in any amount.
45 Criminal possession of a controlled substance in the fifth degree is a
46 class D felony.
47 § 2. Section 220.09 of the penal law, as amended by chapter 75 of the
48 laws of 1995, subdivision 10 as amended by chapter 537 of the laws of
49 1998 and subdivision 13 as amended and subdivision 14 as added by chap-
50 ter 635 of the laws of 1997, is amended to read as follows:
51 § 220.09 Criminal possession of a controlled substance in the fourth
52 degree.
53 A person is guilty of criminal possession of a controlled substance in
54 the fourth degree when he knowingly and unlawfully possesses:
S. 1406 48 A. 2106
1 1. one or more preparations, compounds, mixtures or substances
2 containing a narcotic drug and said preparations, compounds, mixtures or
3 substances are of an aggregate weight of [one-eighth ounce] three and
4 one-half grams or more; or
5 2. one or more preparations, compounds, mixtures or substances
6 containing methamphetamine, its salts, isomers or salts of isomers and
7 said preparations, compounds, mixtures or substances are of an aggregate
8 weight of [one-half ounce] fourteen grams or more; or
9 3. one or more preparations, compounds, mixtures or substances
10 containing a narcotic preparation and said preparations, compounds,
11 mixtures or substances are of an aggregate weight of [two ounces]
12 fifty-seven grams or more; or
13 4. one or more preparations, compounds, mixtures or substances
14 containing a stimulant and said [stimulant weighs one gram] prepara-
15 tions, compounds, mixtures or substances are of an aggregate weight of
16 two grams or more; or
17 5. one or more preparations, compounds, mixtures or substances
18 containing lysergic acid diethylamide and said [lysergic acid diethylam-
19 ide weighs one milligram] preparations, compounds, mixtures or
20 substances are of an aggregate weight of three hundred milligrams or
21 more; or
22 6. one or more preparations, compounds, mixtures or substances
23 containing a hallucinogen and said [hallucinogen weighs twenty-five
24 milligrams] preparations, compounds, mixtures or substances are of an
25 aggregate weight of five grams or more; or
26 7. one or more preparations, compounds, mixtures or substances
27 containing a hallucinogenic substance and said [hallucinogenic substance
28 weighs one gram] preparations, compounds, mixtures or substances are of
29 an aggregate weight of three grams or more; or
30 8. one or more preparations, compounds, mixtures or substances
31 containing a dangerous depressant and [such dangerous depressant weighs
32 ten ounces] said preparations, compounds, mixtures or substances are of
33 an aggregate weight of two hundred eighty-three grams or more; or
34 9. one or more preparations, compounds, mixtures or substances
35 containing a depressant and [such depressant weighs two pounds] said
36 preparations, compounds, mixtures or substances are of an aggregate
37 weight of nine hundred six grams or more; or
38 10. one or more preparations, compounds, mixtures or substances
39 containing concentrated cannabis as defined in paragraph (a) of subdivi-
40 sion four of section thirty-three hundred two of the public health law
41 and said preparations, compounds, mixtures or substances are of an
42 aggregate weight of [one ounce] twenty-eight grams or more; or
43 11. one or more preparations, compounds, mixtures or substances
44 containing phencyclidine and said [phencyclidine weighs two hundred
45 fifty milligrams] preparations, compounds, mixtures or substances are of
46 an aggregate weight of two and one-half grams or more; or
47 12. one or more preparations, compounds, mixtures or substances
48 containing methadone and said [methadone weighs three hundred sixty
49 milligrams] preparations, compounds, mixtures or substances are of an
50 aggregate weight of seven grams or more; or
51 13. one or more preparations, compounds, mixtures or substances
52 containing phencyclidine and said [phencyclidine weighs fifty milli-
53 grams] preparations, compounds, mixtures or substances are of an aggre-
54 gate weight of five hundred milligrams or more with intent to sell it
55 and has previously been convicted of an offense defined in this article
56 or the attempt or conspiracy to commit any such offense; or
S. 1406 49 A. 2106
1 14. one or more preparations, compounds, mixtures or substances
2 containing ketamine and said [ketamine weighs four thousand milligrams]
3 preparations, compounds, mixtures or substances are of an aggregate
4 weight of four grams or more.
5 Criminal possession of a controlled substance in the fourth degree is
6 a class C felony.
7 § 3. Section 220.16 of the penal law, as amended by chapter 75 of the
8 laws of 1995, is amended to read as follows:
9 § 220.16 Criminal possession of a controlled substance in the third
10 degree.
11 A person is guilty of criminal possession of a controlled substance in
12 the third degree when he knowingly and unlawfully possesses:
13 1. a narcotic drug with intent to sell it; or
14 2. a stimulant, hallucinogen, hallucinogenic substance, or lysergic
15 acid diethylamide, with intent to sell it and has previously been con-
16 victed of an offense defined in this article [two hundred twenty] or the
17 attempt or conspiracy to commit any such offense; or
18 3. one or more preparations, compounds, mixtures or substances
19 containing a stimulant with intent to sell it and said [stimulant weighs
20 one gram] preparations, compounds, mixtures or substances are of an
21 aggregate weight of two grams or more; or
22 4. one or more preparations, compounds, mixtures or substances
23 containing lysergic acid diethylamide with intent to sell it and said
24 [lysergic acid diethylamide weighs one milligram] preparations,
25 compounds, mixtures or substances are of an aggregate weight of three
26 hundred milligrams or more; or
27 5. one or more preparations, compounds, mixtures or substances
28 containing a hallucinogen with intent to sell it and said [hallucinogen
29 weighs twenty-five milligrams] preparations, compounds, mixtures or
30 substances are of an aggregate weight of five grams or more; or
31 6. one or more preparations, compounds, mixtures or substances
32 containing a hallucinogenic substance with intent to sell it and said
33 [hallucinogenic substance weighs one gram] preparations, compounds,
34 mixtures or substances are of an aggregate weight of three grams or
35 more; or
36 7. one or more preparations, compounds, mixtures or substances
37 containing methamphetamine, its salts, isomers or salts of isomers with
38 intent to sell it and said preparations, compounds, mixtures or
39 substances are of an aggregate weight of [one-eighth ounce] three and
40 one-half grams or more; or
41 8. one or more preparations, compounds, mixtures or substances
42 containing a stimulant and said [stimulant weighs five grams] prepara-
43 tions, compounds, mixtures or substances are of an aggregate weight of
44 ten grams or more; or
45 9. one or more preparations, compounds, mixtures or substances
46 containing lysergic acid diethylamide and said [lysergic acid diethylam-
47 ide weighs five milligrams] preparations, compounds, mixtures or
48 substances are of an aggregate weight of one thousand five hundred
49 milligrams or more; or
50 10. one or more preparations, compounds, mixtures or substances
51 containing a hallucinogen and said [hallucinogen weighs one hundred
52 twenty-five milligrams] preparations, compounds, mixtures or substances
53 are of an aggregate weight of twenty-five grams or more; or
54 11. one or more preparations, compounds, mixtures or substances
55 containing a hallucinogenic substance and said [hallucinogenic substance
S. 1406 50 A. 2106
1 weighs five grams] preparations, compounds, mixtures or substances are
2 of an aggregate weight of fifteen grams or more; or
3 12. one or more preparations, compounds, mixtures or substances
4 containing a narcotic drug and said preparations, compounds, mixtures or
5 substances are of an aggregate weight of [one-half ounce] fourteen grams
6 or more; or
7 13. one or more preparations, compounds, mixtures or substances
8 containing phencyclidine and said [phencyclidine weighs one thousand
9 two hundred fifty milligrams] preparations, compounds, mixtures or
10 substances are of an aggregate weight of twelve and one-half grams or
11 more.
12 Criminal possession of a controlled substance in the third degree is a
13 class B felony.
14 § 4. Section 220.18 of the penal law, as amended by chapter 75 of the
15 laws of 1995, is amended to read as follows:
16 § 220.18 Criminal possession of a controlled substance in the second
17 degree.
18 A person is guilty of criminal possession of a controlled substance in
19 the second degree when he knowingly and unlawfully possesses:
20 1. one or more preparations, compounds, mixtures or substances
21 containing a narcotic drug and said preparations, compounds, mixtures or
22 substances are of an aggregate weight of [two ounces] fifty-seven grams
23 or more; or
24 2. one or more preparations, compounds, mixtures or substances
25 containing methamphetamine, its salts, isomers or salts of isomers and
26 said preparations, compounds, mixtures or substances are of an aggregate
27 weight of [two ounces] fifty-seven grams or more; or
28 3. one or more preparations, compounds, mixtures or substances
29 containing a stimulant and said [stimulant weighs ten grams] prepara-
30 tions, compounds, mixtures or substances are of an aggregate weight of
31 twenty grams or more; or
32 4. one or more preparations, compounds, mixtures or substances
33 containing lysergic acid diethylamide and said [lysergic acid diethylam-
34 ide weighs twenty-five milligrams] preparations, compounds, mixtures or
35 substances are of an aggregate weight of seven and one-half grams or
36 more; or
37 5. one or more preparations, compounds, mixtures or substances
38 containing a hallucinogen and said [hallucinogen weighs six hundred
39 twenty-five milligrams] preparations, compounds, mixtures or substances
40 are of an aggregate weight of one hundred twenty-five grams or more; or
41 6. one or more preparations, compounds, mixtures or substances
42 containing a hallucinogenic substance and said [hallucinogenic substance
43 weighs twenty-five grams] preparations, compounds, mixtures or
44 substances are of an aggregate weight of seventy-five grams or more; or
45 7. one or more preparations, compounds, mixtures or substances
46 containing methadone and said [methadone weighs two thousand eight
47 hundred eighty milligrams] preparations, compounds, mixtures or
48 substances are of an aggregate weight of fifty-eight grams or more.
49 Criminal possession of a controlled substance in the second degree is
50 a class A-II felony.
51 § 5. Section 220.21 of the penal law, as amended by chapter 75 of the
52 laws of 1995, is amended to read as follows:
53 § 220.21 Criminal possession of a controlled substance in the first
54 degree.
55 A person is guilty of criminal possession of a controlled substance in
56 the first degree when he knowingly and unlawfully possesses:
S. 1406 51 A. 2106
1 1. one or more preparations, compounds, mixtures or substances
2 containing a narcotic drug and said preparations, compounds, mixtures or
3 substances are of an aggregate weight of [four ounces] one hundred thir-
4 teen grams or more; or
5 2. one or more preparations, compounds, mixtures or substances
6 containing methadone and said [methadone weighs five thousand seven
7 hundred sixty milligrams] preparations, compounds, mixtures or
8 substances are of an aggregate weight of one hundred fifteen grams or
9 more.
10 Criminal possession of a controlled substance in the first degree is a
11 class A-I felony.
12 § 6. Section 220.34 of the penal law, as amended by chapter 280 of the
13 laws of 1986, subdivisions 2 and 4 as amended by chapter 75 of the laws
14 of 1995, subdivision 3 as amended by chapter 537 of the laws of 1998,
15 subdivision 6-a as added by chapter 635 of the laws of 1997, and subdi-
16 vision 7 as amended and subdivision 8 as added by chapter 289 of the
17 laws of 1998, is amended to read as follows:
18 § 220.34 Criminal sale of a controlled substance in the fourth degree.
19 A person is guilty of criminal sale of a controlled substance in the
20 fourth degree when he knowingly and unlawfully sells:
21 1. a narcotic preparation; or
22 2. one or more preparations, compounds, mixtures or substances
23 containing a dangerous depressant or a depressant and the [dangerous
24 depressant weighs ten ounces or more, or the depressant weighs two
25 pounds] preparations, compounds, mixtures or substances containing a
26 dangerous depressant are of an aggregate weight of two hundred eighty-
27 three grams or more, or said preparations, compounds, mixtures or
28 substances containing the depressant are of an aggregate weight of nine
29 hundred six grams or more; or
30 3. concentrated cannabis as defined in paragraph (a) of subdivision
31 four of section thirty-three hundred two of the public health law; or
32 4. one or more preparations, compounds, mixtures or substances
33 containing phencyclidine and [the phencyclidine weighs fifty milligrams]
34 said preparations, compounds, mixtures or substances are of an aggregate
35 weight of two and one-half grams or more; or
36 5. methadone; or
37 6. any amount of phencyclidine and has previously been convicted of an
38 offense defined in this article or the attempt or conspiracy to commit
39 any such offense; or
40 6-a. one or more preparations, compounds, mixtures or substances
41 containing ketamine and said [ketamine weighs four thousand milligrams]
42 preparations, compounds, mixtures or substances are of an aggregate
43 weight of four grams or more.
44 7. a controlled substance in violation of section 220.31 of this arti-
45 cle, when such sale takes place upon school grounds; or
46 8. a controlled substance in violation of section 220.31 of this arti-
47 cle, when such sale takes place upon the grounds of a child day care or
48 educational facility under circumstances evincing knowledge by the
49 defendant that such sale is taking place upon such grounds. As used in
50 this subdivision, the phrase "the grounds of a child day care or educa-
51 tional facility" shall have the same meaning as provided for in subdivi-
52 sion five of section 220.44 of this article. For the purposes of this
53 subdivision, a rebuttable presumption shall be established that a person
54 has knowledge that they are within the grounds of a child day care or
55 educational facility when notice is conspicuously posted of the presence
56 or proximity of such facility.
S. 1406 52 A. 2106
1 Criminal sale of a controlled substance in the fourth degree is a
2 class C felony.
3 § 7. Section 220.39 of the penal law, as amended by chapter 1051 of
4 the laws of 1973, subdivisions 3, 4, 5, 6, 7 and 8 as amended by chapter
5 75 of the laws of 1995 and subdivision 9 as added and the closing para-
6 graph as amended by chapter 410 of the laws of 1979, is amended to read
7 as follows:
8 § 220.39 Criminal sale of a controlled substance in the third degree.
9 A person is guilty of criminal sale of a controlled substance in the
10 third degree when he knowingly and unlawfully sells:
11 1. a narcotic drug; or
12 2. a stimulant, hallucinogen, hallucinogenic substance, or lysergic
13 acid diethylamide and has previously been convicted of an offense
14 defined in this article [two hundred twenty] or the attempt or conspira-
15 cy to commit any such offense; or
16 3. one or more preparations, compounds, mixtures or substances
17 containing a stimulant and the [stimulant weighs one gram] preparations,
18 compounds, mixtures or substances are of an aggregate weight of two
19 grams or more; or
20 4. one or more preparations, compounds, mixtures or substances
21 containing lysergic acid diethylamide and the [lysergic acid diethylam-
22 ide weighs one milligram] preparations, compounds, mixtures or
23 substances are of an aggregate weight of three hundred milligrams or
24 more; or
25 5. one or more preparations, compounds, mixtures or substances
26 containing a hallucinogen and the [hallucinogen weighs twenty-five
27 milligrams] preparations, compounds, mixtures or substances are of an
28 aggregate weight of five grams or more; or
29 6. one or more preparations, compounds, mixtures or substances
30 containing a hallucinogenic substance and the [hallucinogenic substance
31 weighs one gram] preparations, compounds, mixtures or substances are of
32 an aggregate weight of three grams or more; or
33 7. one or more preparations, compounds, mixtures or substances
34 containing methamphetamine, its salts, isomers or salts of isomers and
35 the preparations, compounds, mixtures or substances are of an aggregate
36 weight of [one-eighth ounce] three and one-half grams or more; or
37 8. one or more preparations, compounds, mixtures or substances
38 containing phencyclidine and the [phencyclidine weighs two hundred fifty
39 milligrams] preparations, compounds, mixtures or substances are of an
40 aggregate weight of two and one-half grams or more; or
41 9. a narcotic preparation to a person less than twenty-one years old.
42 Criminal sale of a controlled substance in the third degree is a class
43 B felony.
44 § 8. Section 220.41 of the penal law, as added by chapter 276 of the
45 laws of 1973, subdivisions 1, 2, 3, 4, 5, 6 and 7 as amended by chapter
46 75 of the laws of 1995, is amended to read as follows:
47 § 220.41 Criminal sale of a controlled substance in the second degree.
48 A person is guilty of criminal sale of a controlled substance in the
49 second degree when he knowingly and unlawfully sells:
50 1. one or more preparations, compounds, mixtures or substances
51 containing a narcotic drug and the preparations, compounds, mixtures or
52 substances are of an aggregate weight of [one-half ounce] fourteen grams
53 or more; or
54 2. one or more preparations, compounds, mixtures or substances
55 containing methamphetamine, its salts, isomers or salts of isomers and
S. 1406 53 A. 2106
1 the preparations, compounds, mixtures or substances are of an aggregate
2 weight of [one-half ounce] fourteen grams or more; or
3 3. one or more preparations, compounds, mixtures or substances
4 containing a stimulant and the [stimulant weighs five grams] prepara-
5 tions, compounds, mixtures or substances are of an aggregate weight of
6 ten grams or more; or
7 4. one or more preparations, compounds, mixtures or substances
8 containing lysergic acid diethylamide and the [lysergic acid diethylam-
9 ide weighs five milligrams] preparations, compounds, mixtures or
10 substances are of an aggregate weight of one thousand five hundred
11 milligrams or more; or
12 5. one or more preparations, compounds, mixtures or substances
13 containing a hallucinogen and the [hallucinogen weighs one hundred twen-
14 ty-five milligrams] preparations, compounds, mixtures or substances are
15 of an aggregate weight of twenty-five grams or more; or
16 6. one or more preparations, compounds, mixtures or substances
17 containing a hallucinogenic substance and the [hallucinogenic substance
18 weighs five grams] preparations, compounds, mixtures or substances are
19 of an aggregate weight of fifteen grams or more; or
20 7. one or more preparations, compounds, mixtures or substances
21 containing methadone and the [methadone weighs three hundred sixty
22 milligrams] preparations, compounds, mixtures or substances are of an
23 aggregate weight of seven grams or more.
24 Criminal sale of a controlled substance in the second degree is a
25 class A-II felony.
26 § 9. Section 220.43 of the penal law, as amended by chapter 785 of the
27 laws of 1975, subdivisions 1 and 2 as amended by chapter 75 of the laws
28 of 1995, is amended to read as follows:
29 § 220.43 Criminal sale of a controlled substance in the first degree.
30 A person is guilty of criminal sale of a controlled substance in the
31 first degree when he knowingly and unlawfully sells:
32 1. one or more preparations, compounds, mixtures or substances
33 containing a narcotic drug and the preparations, compounds, mixtures or
34 substances are of an aggregate weight of [two ounces] fifty-seven grams
35 or more; or
36 2. one or more preparations, compounds, mixtures or substances
37 containing methadone and [the methadone weighs two thousand eight
38 hundred eighty milligrams] said preparations, compounds, mixtures or
39 substances are of an aggregate weight of fifty-eight grams or more.
40 Criminal sale of a controlled substance in the first degree is a class
41 A-I felony.
42 § 10. This act shall take effect April 1, 2003.
43 PART L
44 Section 1. Subparagraph (ii) of paragraph (b) of subdivision 2 of
45 section 501 of the vehicle and traffic law, as added by chapter 173 of
46 the laws of 1990, is amended to read as follows:
47 (ii) H endorsement. Shall be required to transport hazardous materials
48 as defined in section one hundred three of the hazardous materials
49 transportation act, public law 93-633, title I, when the vehicle trans-
50 porting such materials is required to be placarded under the hazardous
51 materials regulation, 49 CFR part 172, subpart F. A farm vehicle shall
52 be exempt from the requirement for such endorsement when transporting
53 hazardous materials within one hundred fifty miles of the person's farm.
54 However, a separate non-commercial endorsement shall be required for
S. 1406 54 A. 2106
1 such exempted transportation. In order to obtain such endorsement, the
2 license holder must submit fingerprints for purposes of a criminal
3 history record check pursuant to subdivision six of this section.
4 § 2. Section 501 of the vehicle and traffic law is amended by adding a
5 new subdivision 6 to read as follows:
6 6. H endorsement criminal history record check. Upon receipt of an
7 application and completion of all other requirements imposed by the
8 commissioner for an H endorsement to permit the operator to transport
9 hazardous materials as defined in section one hundred three of the
10 hazardous materials transportation act, public law 93-633, title I, when
11 the vehicle transporting such materials is required to be placarded
12 under the hazardous materials regulation, 49 CFR part 172, subpart F,
13 the commissioner, subject to the rules and regulations of the division
14 of criminal justice services, shall initiate a criminal history record
15 check of the person making the application. The commissioner shall
16 obtain from each applicant two sets of fingerprints and the division of
17 criminal justice services processing fee imposed pursuant to subdivision
18 eight-a of section eight hundred thirty-seven of the executive law and
19 any fee imposed by the federal bureau of investigation. The commissioner
20 shall promptly transmit such fingerprints and fees to the division of
21 criminal justice services for processing. The federal bureau of investi-
22 gation and the division of criminal justice services shall forward such
23 criminal history record, if any, to the commissioner. All such criminal
24 history records processed and sent pursuant to this section shall be
25 confidential pursuant to the applicable federal and state laws, rules
26 and regulations, and shall not be published or in any way disclosed to
27 persons other than authorized personnel, unless otherwise authorized by
28 law. Neither the state nor any political subdivision thereof, nor any
29 agency, officer or employee thereof, shall be liable in any action for
30 damages for any action or inaction of any person or entity pursuant to
31 this section, or for any action or inaction of the state or political
32 subdivision taken or not taken pursuant to or with regard to matters
33 addressed by this section. The commissioner shall review such criminal
34 history record for a conviction within the previous ten years for: (i)
35 any violent felony offense, as defined in section 70.02 of the penal
36 law; or (ii) any felony defined in article one hundred twenty, one
37 hundred twenty-five, one hundred thirty, one hundred thirty-five, one
38 hundred forty, one hundred forty-five, one hundred fifty, one hundred
39 fifty-five, one hundred sixty, one hundred seventy, one hundred seven-
40 ty-five, two hundred, two hundred ten, two hundred twenty, two hundred
41 twenty-one, two hundred forty, two hundred sixty-five, four hundred
42 sixty, four hundred seventy, four hundred eighty-five, or four hundred
43 ninety of the penal law or section fifty-three-e of the railroad law; or
44 (iii) any offense in another jurisdiction which includes all of the
45 essential elements of such offenses described in paragraphs (i) and (ii)
46 of this subdivision and for which a sentence of imprisonment for more
47 than one year was authorized in the other jurisdiction and is authorized
48 in this state, regardless of whether such sentence was imposed; or any
49 of the following federal offenses: improper transportation of a hazard-
50 ous material, as defined in 49 U.S.C. 46312, conveying false information
51 or threats, as defined in 49 U.S.C. 46507, espionage, as defined in 18
52 U.S.C. 793, 794 or 3077, sedition, as defined in 18 U.S.C. 2384, 2385
53 or section 4 of the subversive activities control act of 1950, treason,
54 as defined in 18 U.S.C. 2381 or conspiracy or solicitation, as defined
55 in 18 U.S.C. 371 or 373; or (iv) an attempt or conspiracy to commit any
56 of the offenses specified in paragraphs (i), (ii), or (iii) of this
S. 1406 55 A. 2106
1 subdivision. In calculating such ten year period, any period of time
2 during which the person was incarcerated for any reason between the time
3 of commission of the previous felony and the time of commission of the
4 present felony shall be excluded and such ten year period shall be
5 extended by a period or periods equal to the time served under such
6 incarceration. After receipt of a criminal history record from the divi-
7 sion of criminal justice services, if any, and review of such record,
8 the commissioner shall promptly notify the applicant whether he or she
9 will be granted an H endorsement based upon the applicant's criminal
10 history. When the commissioner denies an applicant an H endorsement,
11 such applicant shall be afforded notice and an opportunity to be heard
12 and offer proof in opposition to such determination. Upon request and
13 pursuant to the rules and regulations of the division of criminal
14 justice services, any applicant may obtain, review and seek correction
15 of his or her criminal history record.
16 § 3. This act shall take effect immediately.
17 PART M
18 Section 1. Section 2 of chapter 887 of the laws of 1983, amending the
19 correction law relating to the psychological testing of candidates, as
20 amended by chapter 95 of the laws of 2001, is amended to read as
21 follows:
22 § 2. This act shall take effect on the one hundred eightieth day after
23 it shall have become a law and shall remain in effect until September 1,
24 [2003] 2005.
25 § 2. Section 3 of chapter 428 of the laws of 1999, amending the execu-
26 tive law and the criminal procedure law, relating to expanding the
27 geographic area of employment of certain police officers, as amended by
28 chapter 95 of the laws of 2001, is amended to read as follows:
29 § 3. This act shall take effect on the first day of November next
30 succeeding the date on which it shall have become a law, and shall
31 remain in effect until the first day of November, [2003] 2005, when it
32 shall expire and be deemed repealed.
33 § 3. Section 3 of chapter 886 of the laws of 1972, amending the
34 correction law and the penal law, relating to prisoner furloughs in
35 certain cases and the crime of absconding therefrom, as amended by chap-
36 ter 95 of the laws of 2001, is amended to read as follows:
37 § 3. This act shall take effect 60 days after it shall have become a
38 law and shall remain in effect until September 1, [2003] 2005.
39 § 4. Section 20 of chapter 261 of the laws of 1987, amending chapters
40 50, 53 and 54 of the laws of 1987, the correction law, the penal law and
41 other chapters and laws relating to correctional facilities, as amended
42 by chapter 95 of the laws of 2001, is amended to read as follows:
43 § 20. This act shall take effect immediately except that section thir-
44 teen of this act shall expire and be of no further force or effect on
45 and after September 1, [2003] 2005 and shall not apply to persons
46 committed to the custody of the department after such date, and provided
47 further that the commissioner of correctional services shall report each
48 January first and July first during such time as the earned eligibility
49 program is in effect, to the chairmen of the senate crime and correction
50 committee, the senate codes committee, the assembly correction commit-
51 tee, and the assembly codes committee, the standards in effect for
52 earned eligibility during the prior six-month period, the number of
53 inmates subject to the provisions of earned eligibility, the number who
54 actually received certificates of earned eligibility during that period
S. 1406 56 A. 2106
1 of time, the number of inmates with certificates who are granted parole
2 upon their first consideration for parole, the number with certificates
3 who are denied parole upon their first consideration, and the number of
4 individuals granted and denied parole who did not have earned eligibil-
5 ity certificates.
6 § 5. Subdivision (q) of section 427 of chapter 55 of the laws of 1992,
7 amending the tax law and other laws relating to taxes, surcharges, fees
8 and funding, as amended by chapter 95 of the laws of 2001, is amended to
9 read as follows:
10 (q) the provisions of section two hundred eighty-four of this act
11 shall remain in effect until September 1, [2003] 2005 and be applicable
12 to all persons entering the program on or before August 31, [2003] 2005.
13 § 6. Section 10 of chapter 339 of the laws of 1972, amending the
14 correction law and the penal law relating to inmate work release,
15 furlough and leave, as amended by chapter 95 of the laws of 2001, is
16 amended to read as follows:
17 § 10. This act shall take effect 30 days after it shall have become a
18 law and shall remain in effect until September 1, [2003] 2005, and
19 provided further that the commissioner of correctional services shall
20 report each January first, and July first, to the chairman of the senate
21 crime victims, crime and correction committee, the senate codes commit-
22 tee, the assembly correction committee, and the assembly codes commit-
23 tee, the number of eligible inmates in each facility under the custody
24 and control of the commissioner who have applied for participation in
25 any program offered under the provisions of work release, furlough, or
26 leave, and the number of such inmates who have been approved for partic-
27 ipation.
28 § 7. Subdivision (c) of section 46 of chapter 60 of the laws of 1994,
29 relating to certain provisions which impact upon expenditure of certain
30 appropriations made by chapter 50 of the laws of 1994 enacting the state
31 operations budget, as amended by chapter 95 of the laws of 2001, is
32 amended to read as follows:
33 (c) sections forty-one and forty-two of this act shall expire Septem-
34 ber 1, [2003] 2005; provided, that the provisions of section forty-two
35 of this act shall apply to inmates entering the work release program on
36 or after such effective date; and
37 § 8. Section 5 of chapter 554 of the laws of 1986, amending the
38 correction law and the penal law relating to providing for community
39 treatment facilities and establishing the crime of absconding from the
40 community treatment facility, as amended by chapter 95 of the laws of
41 2001, is amended to read as follows:
42 § 5. This act shall take effect immediately and shall remain in full
43 force and effect until September 1, [2003] 2005, and provided further
44 that the commissioner of correctional services shall report each January
45 first and July first during such time as this legislation is in effect,
46 to the chairmen of the senate crime and correctional committee, the
47 senate codes committee, the assembly correction committee, and the
48 assembly codes committee, the number of individuals who are released to
49 community treatment facilities during the previous six-month period,
50 including the total number for each date at each facility who are not
51 residing within the facility, but who are required to report to the
52 facility on a daily or less frequent basis.
53 § 9. Subdivision h of section 74 of chapter 3 of the laws of 1995,
54 amending the correction law and other laws relating to the incarceration
55 fee, as amended by chapter 95 of the laws of 2001, is amended to read as
56 follows:
S. 1406 57 A. 2106
1 h. Section fifty-two of this act shall be deemed to have been in full
2 force and effect on and after April 1, 1995; provided, however, that the
3 provisions of section 189 of the correction law, as amended by section
4 fifty-five of this act, subdivision 5 of section 60.35 of the penal law,
5 as amended by section fifty-six of [the] this act, and section fifty-
6 seven of this act shall expire September 1, [2003] 2005, when upon such
7 date the amendments to the correction law and penal law made by sections
8 fifty-five and fifty-six of this act shall revert to and be read as if
9 the provisions of this act had not been enacted; provided, further,
10 however, that sections sixty-two, sixty-three and sixty-four of this act
11 shall be deemed to have been in full force and effect on and after March
12 1, 1995 and shall be deemed repealed April 1, 1996 and upon such date
13 the provisions of subsection (e) of section 9110 of the insurance law
14 and subdivision 2 of section 89-d of the state finance law shall revert
15 to and be read as set out in law on the date immediately preceding the
16 effective date of sections sixty-two and sixty-three of this act;
17 § 10. Section 7 of chapter 79 of the laws of 1989, amending the
18 correction law and other laws relating to release and supervision of
19 persons serving a definite sentence, as amended by chapter 95 of the
20 laws of 2001, is amended to read as follows:
21 § 7. This act shall take effect immediately and shall remain in effect
22 until September 1, [2003] 2005, at which time article 12 of the
23 correction law and section 257-b of the executive law, as added, respec-
24 tively, by sections one and two of this act, shall be repealed. In addi-
25 tion, on such date the amendatory deletions and additions made by
26 sections three through six of this act shall likewise be repealed.
27 § 11. Subdivision (z) of section 427 of chapter 55 of the laws of
28 1992, amending the tax law and other laws relating to taxes, surcharges,
29 fees and funding, as amended by chapter 95 of the laws of 2001, is
30 amended to read as follows:
31 (z) the provisions of section three hundred eighty-one of this act
32 shall apply to all persons supervised by the division of parole on or
33 after the effective date of this act, provided however, that subdivision
34 9 of section 259-a of the executive law, as added by section three
35 hundred eighty-one of this act, shall expire on September 1, [2003]
36 2005;
37 § 12. Subdivision (aa) of section 427 of chapter 55 of the laws of
38 1992, amending the tax law and other laws relating to taxes, surcharges,
39 fees and funding, as amended by chapter 95 of the laws of 2001, is
40 amended to read as follows:
41 (aa) the provisions of sections three hundred eighty-two, three
42 hundred eighty-three and three hundred eighty-four of this act shall
43 expire on September 1, [2003] 2005;
44 § 13. Section 12 of chapter 907 of the laws of 1984, amending the
45 correction law, the New York City criminal court act and the executive
46 law relating to prison and jail housing and alternatives to detention
47 and incarceration programs, as amended by chapter 95 of the laws of
48 2001, is amended to read as follows:
49 § 12. This act shall take effect immediately, except that the
50 provisions of sections one through ten of this act shall remain in full
51 force and effect until September 1, [2003] 2005 on which date those
52 provisions shall be deemed to be repealed.
53 § 14. Subdivision (p) of section 406 of chapter 166 of the laws of
54 1991, amending the tax law and other laws relating to taxes, as amended
55 by chapter 95 of the laws of 2001, is amended to read as follows:
S. 1406 58 A. 2106
1 (p) The amendments to section 1809 of the vehicle and traffic law made
2 by sections three hundred thirty-seven and three hundred thirty-eight of
3 this act shall not apply to any offense committed prior to such effec-
4 tive date; provided, further, that section three hundred forty-one of
5 this act shall take effect immediately and shall expire November 1, 1993
6 at which time it shall be deemed repealed; sections three hundred
7 forty-five and three hundred forty-six of this act shall take effect
8 July 1, 1991; sections three hundred fifty-five, three hundred fifty-
9 six, three hundred fifty-seven and three hundred fifty-nine of this act
10 shall take effect immediately and shall expire June 30, 1995 and shall
11 revert to and be read as if this act had not been enacted; section three
12 hundred fifty-eight of this act shall take effect immediately and shall
13 expire June 30, 1998 and shall revert to and be read as if this act had
14 not been enacted; section three hundred sixty-four through three hundred
15 sixty-seven of this act shall apply to claims filed on or after such
16 effective date; sections three hundred sixty-nine, three hundred seven-
17 ty-two, three hundred seventy-three, three hundred seventy-four, three
18 hundred seventy-five and three hundred seventy-six of this act shall
19 remain in effect until November 1, [2003] 2005, at which time they shall
20 be deemed repealed; provided, however, that the mandatory surcharge
21 provided in section three hundred seventy-four of this act shall apply
22 to parking violations occurring on or after said effective date; and
23 provided further that the amendments made to section 235 of the vehicle
24 and traffic law by section three hundred seventy-two of this act, the
25 amendments made to section 1809 of the vehicle and traffic law by
26 sections three hundred thirty-seven and three hundred thirty-eight of
27 this act and the amendments made to section 215-a of the labor law by
28 section three hundred seventy-five of this act shall expire on November
29 1, [2003] 2005 and upon such date the provisions of such subdivisions
30 and sections shall revert to and be read as if the provisions of this
31 act had not been enacted; the amendments to subdivisions 2 and 3 of
32 section 400.05 of the penal law made by sections three hundred seventy-
33 seven and three hundred seventy-eight of this act shall expire on July
34 1, 1992 and upon such date the provisions of such subdivisions shall
35 revert and shall be read as if the provisions of this act had not been
36 enacted; the state board of law examiners shall take such action as is
37 necessary to assure that all applicants for examination for admission to
38 practice as an attorney and counsellor at law shall pay the increased
39 examination fee provided for by the amendment made to section 465 of the
40 judiciary law by section three hundred eighty of this act for any exam-
41 ination given on or after the effective date of this act notwithstanding
42 that an applicant for such examination may have prepaid a lesser fee for
43 such examination as required by the provisions of such section 465 as of
44 the date prior to the effective date of this act; the provisions of
45 section 306-a of the civil practice law and rules as added by section
46 three hundred eighty-one of this act shall apply to all actions pending
47 on or commenced on or after September 1, 1991, provided, however, that
48 for the purposes of this section service of such summons made prior to
49 such date shall be deemed to have been completed on September 1, 1991;
50 the provisions of section three hundred eighty-three of this act shall
51 apply to all money deposited in connection with a cash bail or a
52 partially secured bail bond on or after such effective date; and the
53 provisions of sections three hundred eighty-four and three hundred
54 eighty-five of this act shall apply only to jury service commenced
55 during a judicial term beginning on or after the effective date of this
56 act; provided, however, that nothing contained herein shall be deemed to
S. 1406 59 A. 2106
1 affect the application, qualification, expiration or repeal of any
2 provision of law amended by any section of this act and such provisions
3 shall be applied or qualified or shall expire or be deemed repealed in
4 the same manner, to the same extent and on the same date as the case may
5 be as otherwise provided by law;
6 § 15. Subdivision 8 of section 1809 of the vehicle and traffic law, as
7 amended by chapter 95 of the laws of 2001, is amended to read as
8 follows:
9 8. The provisions of this section shall only apply to offenses commit-
10 ted on or before October thirty-first, two thousand [three] five.
11 § 16. Subdivision (r) of section 427 of chapter 55 of the laws of
12 1992, amending the tax law and other laws relating to taxes, surcharges,
13 fees and funding, as amended by chapter 95 of the laws of 2001, is
14 amended to read as follows:
15 (r) the provisions of sections two hundred eighty-six through two
16 hundred ninety-one of this act shall apply to all persons released on
17 medical parole prior to September 1, [2003] 2005, and shall expire and
18 be of no further effect on September 1, [2003] 2005;
19 § 17. Section 6 of chapter 713 of the laws of 1988 amending the vehi-
20 cle and traffic law relating to the ignition interlock device program,
21 as amended by chapter 86 of the laws of 2001, is amended to read as
22 follows:
23 § 6. This act shall take effect on the first day of April next
24 succeeding the date on which it shall have become a law; provided,
25 however, that effective immediately, the addition, amendment or repeal
26 of any rule or regulation necessary for the implementation of the fore-
27 going sections of this act on their effective date is authorized and
28 directed to be made and completed on or before such effective date and
29 shall remain in full force and effect until the first day of July,
30 [2003] 2005 when upon such date the provisions of this act shall be
31 deemed repealed.
32 § 18. Paragraph a of subdivision 6 of section 76 of chapter 435 of the
33 laws of 1997 amending the military law and other laws relating to vari-
34 ous provisions, as amended by section 1 of part D of chapter 81 of the
35 laws of 2002, is amended to read as follows:
36 a. sections forty-three through forty-five of this act shall expire
37 and be deemed repealed on September 1, [2003] 2005;
38 § 19. Section 4 of part D of chapter 412 of the laws of 1999 amending
39 the civil practice law and rules and the court of claims act relating to
40 prisoner litigation reform, as amended by section 1 of part F of chapter
41 81 of the laws of 2002, is amended to read as follows:
42 § 4. This act shall take effect 120 days after it shall have become a
43 law and shall remain in full force and effect until September 1, [2003]
44 2005, when upon such date it shall expire.
45 § 20. This act shall take effect immediately and shall be deemed to
46 have been in full force and effect on and after April 1, 2003.
47 PART N
48 Section 1. Section 722-b of the county law, as amended by chapter 317
49 of the laws of 1987 and the opening paragraph as amended by chapter 453
50 of the laws of 1999, is amended to read as follows:
51 § 722-b. Compensation and reimbursement for representation. 1. All
52 counsel assigned in accordance with a plan of a bar association conform-
53 ing to the requirements of section seven hundred twenty-two of this
54 article whereby the services of private counsel are rotated and coordi-
S. 1406 60 A. 2106
1 nated by an administrator shall at the conclusion of the representation
2 receive [compensation at a rate not exceeding forty]:
3 (a) for representation of a person entitled to representation by law
4 who is initially charged with a misdemeanor or lesser offense and no
5 felony, compensation for such misdemeanor or lesser offense represen-
6 tation at a rate of sixty dollars per hour for time [expended in court
7 or before a magistrate, judge or justice,] reasonably expended, and
8 shall receive reimbursement for expenses reasonably incurred; and [twen-
9 ty-five]
10 (b) for representation of a person in all other cases governed by this
11 article, including all representation in an appellate court, compen-
12 sation at a rate of seventy-five dollars per hour for time reasonably
13 expended [out of court], and shall receive reimbursement for expenses
14 reasonably incurred[; except that counsel assigned for representation in
15 an appellate court shall receive compensation at a rate not exceeding
16 forty dollars per hour for time reasonably expended, whether in court or
17 out of court. Where a defendant is charged with a crime which may be
18 punishable by death compensation shall not exceed two thousand four
19 hundred dollars where one counsel has been assigned, and shall not
20 exceed three thousand two hundred dollars where two or more counsel have
21 been assigned. Where a defendant is charged with one or more other felo-
22 nies, compensation shall not exceed one thousand two hundred dollars.
23 Where a defendant is charged with one or more other crimes, compensation
24 shall not exceed eight hundred dollars. For representation pursuant to
25 the provisions of section two hundred sixty-two of the family court act,
26 article six-C of the correction law or section four hundred seven of the
27 surrogate's court procedure act, compensation shall not exceed eight
28 hundred dollars. For representation upon the hearing of a motion for a
29 writ of error coram nobis or a motion to vacate judgment or set aside
30 sentence made pursuant to article four hundred forty of the criminal
31 procedure law, compensation shall not exceed eight hundred dollars. For
32 representation in the court of appeals on an appeal from a judgment of
33 death, compensation shall not exceed two thousand eight hundred dollars
34 where one counsel has been assigned, and shall not exceed three thousand
35 two hundred dollars where two or more counsel have been assigned. For
36 representation in an appellate court on an appeal from a judgment of
37 conviction for one or more other felonies, compensation shall not exceed
38 one thousand two hundred dollars. For representation in an appellate
39 court on an appeal in any other criminal action or proceeding, or on any
40 appeal described in section eleven hundred twenty of the family court
41 act or section four hundred seven of the surrogate's court procedure
42 act, compensation shall not exceed eight hundred dollars].
43 2. Except as provided in this section, compensation for time expended
44 in providing representation:
45 (a) pursuant to paragraph (a) of subdivision one of this section shall
46 not exceed one thousand six hundred dollars; and
47 (b) pursuant to paragraph (b) of subdivision one of this section shall
48 not exceed four thousand dollars.
49 3. For representation on an appeal, compensation and reimbursement
50 shall be fixed by the appellate court. For all other representation,
51 compensation and reimbursement shall be fixed by the [court where judg-
52 ment of conviction or acquittal or order of dismissal was entered] trial
53 court judge. In extraordinary circumstances a trial or appellate court
54 may provide for compensation in excess of the foregoing limits and for
55 payment of compensation and reimbursement for expenses before the
56 completion of the representation.
S. 1406 61 A. 2106
1 4. Each claim for compensation and reimbursement shall be supported by
2 a sworn statement specifying the time expended, services rendered,
3 expenses incurred and reimbursement or compensation applied for or
4 received in the same case from any other source. No counsel assigned
5 hereunder shall seek or accept any fee for representing the party for
6 whom he or she is assigned without approval of the court as herein
7 provided.
8 § 2. Section 722-c of the county law, as amended by chapter 682 of the
9 laws of 1977 and the opening paragraph as amended by chapter 453 of the
10 laws of 1999, is amended to read as follows:
11 § 722-c. Services other than counsel. Upon a finding in an ex parte
12 proceeding that investigative, expert or other services are necessary
13 and that the defendant or other person described in section two hundred
14 forty-nine or section two hundred sixty-two of the family court act,
15 article six-C of the correction law or section four hundred seven of the
16 surrogate's court procedure act, is financially unable to obtain them,
17 the court shall authorize counsel, whether or not assigned in accordance
18 with a plan, to obtain the services on behalf of the defendant or such
19 other person. The court upon a finding that timely procurement of neces-
20 sary services could not await prior authorization may authorize the
21 services nunc pro tunc. The court shall determine reasonable compen-
22 sation for the services and direct payment to the person who rendered
23 them or to the person entitled to reimbursement. Only in extraordinary
24 circumstances may the court provide for compensation in excess of [three
25 hundred] one thousand dollars per investigative, expert or other service
26 provider.
27 Each claim for compensation shall be supported by a sworn statement
28 specifying the time expended, services rendered, expenses incurred and
29 reimbursement or compensation applied for or received in the same case
30 from any other source.
31 § 3. Subdivision 3 of section 35 of the judiciary law, as amended by
32 chapter 317 of the laws of 1987, is amended to read as follows:
33 3. No counsel assigned pursuant to this section shall seek or accept
34 any fee for representing the person for whom he or she is assigned with-
35 out approval of the court as herein provided. Whenever it appears that
36 such person is financially able to obtain counsel or make partial
37 payment for the representation, counsel may report this fact to the
38 court and the court may terminate the assignment or authorize payment,
39 as the interests of justice may dictate, to such counsel. Counsel
40 assigned hereunder shall at the conclusion of the representation receive
41 compensation at a rate [not exceeding forty] of seventy-five dollars per
42 hour for time [expended in court, and twenty-five dollars per hour for
43 time] reasonably expended [out of court], and shall receive reimburse-
44 ment for expenses reasonably incurred[; except that counsel assigned
45 hereunder for representation in an appellate court shall receive compen-
46 sation at a rate not exceeding forty dollars per hour for time reason-
47 ably expended, whether in court or out of court]. For representation
48 upon a hearing, compensation and reimbursement shall be fixed by the
49 court wherein the hearing was held and such compensation shall not
50 exceed [eight hundred] four thousand dollars. For representation in an
51 appellate court, compensation and reimbursement shall be fixed by such
52 court and such compensation shall not exceed [eight hundred] four thou-
53 sand dollars[, except that when counsel is assigned pursuant to para-
54 graph (b) of subdivision one of this section for representation on
55 appeal from (i) a judgment of death, compensation shall not exceed two
56 thousand eight hundred dollars where one counsel has been assigned and
S. 1406 62 A. 2106
1 shall not exceed three thousand two hundred dollars where two or more
2 counsel have been assigned, or (ii) a judgment of conviction for any
3 other felony, compensation shall not exceed one thousand two hundred
4 dollars]. In extraordinary circumstances the court may provide for
5 compensation in excess of the foregoing limits.
6 § 4. Paragraph (a) of subdivision 3 of section 226 of the vehicle and
7 traffic law, as amended by chapter 505 of the laws of 1997, is amended
8 to read as follows:
9 (a) If the person charged with the violation shall fail to answer the
10 summons as provided herein, the commissioner may suspend such person's
11 license or driving privilege or, if the charge involves a violation of
12 section three hundred eighty-five, section four hundred one or section
13 five hundred eleven-a of this chapter by a registrant who was not the
14 operator of the vehicle, the registration of such vehicle or the privi-
15 lege of operation of any motor vehicle owned by such registrant may be
16 suspended, until such person shall answer as provided in subdivision two
17 of this section. If a person shall fail to appear at a hearing, when
18 such is provided for pursuant to this section, such person's license, or
19 registration or privilege of operating or of operation, as appropriate,
20 may be suspended pending appearance at a subsequent hearing, or the
21 disposition of the charges involved. Any suspension permitted by this
22 subdivision, if already in effect, may be terminated or if not yet in
23 effect, may be withdrawn or withheld, prior to the disposition of the
24 charges involved if such person shall appear and post security in the
25 amount of forty dollars to guarantee his or her appearance at any
26 required hearing. The security posted pursuant to this subdivision shall
27 be returned upon appearance at the scheduled hearing or an adjourned
28 hearing which results in a final disposition of the charge, and other-
29 wise shall be forfeited. If a suspension has been imposed pursuant to
30 this subdivision and the case is subsequently transferred pursuant to
31 subdivision two of section two hundred twenty-five of this [chapter]
32 article, such suspension shall remain in effect until the person answers
33 the charges in the court to which the case was transferred. Any suspen-
34 sion issued pursuant to this paragraph shall be subject to the
35 provisions of paragraph (j-1) of subdivision two of section five hundred
36 three of this chapter.
37 § 5. Paragraph a of subdivision 4 of section 227 of the vehicle and
38 traffic law, as amended by chapter 607 of the laws of 1993, is amended
39 to read as follows:
40 a. An order entered upon the failure to answer or appear or after the
41 receipt of an answer admitting the charge or where a determination is
42 made that the charge has been established shall be civil in nature, but
43 shall be treated as a conviction for the purposes of this chapter. The
44 commissioner or his designee may include in such order an imposition of
45 any penalty authorized by any provision of this chapter for a conviction
46 of such violation, except that no penalty therefore shall include impri-
47 sonment, nor, if monetary, exceed the amount of the fine which could
48 have been imposed had the charge been heard by a court. The driver's
49 license or privileges, or, if the charge involves a violation of section
50 three hundred eighty-five or section four hundred one of this chapter by
51 a registrant who was not the operator of the vehicle, the registration
52 of such vehicle or privilege of operation of any motor vehicle owned by
53 such registrant may be suspended pending the payment of any penalty so
54 imposed. Any suspension issued pursuant to this paragraph shall be
55 subject to the provisions of paragraph (j-1) of subdivision two of
56 section five hundred three of this chapter.
S. 1406 63 A. 2106
1 § 6. Subdivision 2 of section 503 of the vehicle and traffic law is
2 amended by adding a new paragraph (j-1) to read as follows:
3 (j-1) (i) When a license issued pursuant to this article, or a privi-
4 lege of operating a motor vehicle or of obtaining such a license, has
5 been suspended based upon a failure to answer an appearance ticket or a
6 summons or failure to pay a fine, penalty or mandatory surcharge, pursu-
7 ant to subdivision three of section two hundred twenty-six, subdivision
8 four of section two hundred twenty-seven, subdivision four-a of section
9 five hundred ten or subdivision five-a of section eighteen hundred nine
10 of this chapter, such suspension shall remain in effect until a termi-
11 nation of a suspension fee of thirty-five dollars is paid to the court
12 or tribunal that initiated the suspension of such license or privilege.
13 In no event may the aggregate of the fees imposed by an individual court
14 pursuant to this paragraph for the termination of all suspensions that
15 may be terminated as a result of a person's answers, appearances or
16 payments made to such individual court on a single occasion exceed two
17 hundred dollars. For the purposes of this paragraph, the various
18 locations of the administrative tribunal established under article two-A
19 of this chapter shall be considered a single court.
20 (ii) Any such fee collected by any court, judge, magistrate or other
21 officer in subdivision one of section thirty-nine of the judiciary law,
22 establishing a unified court budget, shall be paid to the state commis-
23 sioner of taxation and finance on a monthly basis no later than ten days
24 after the last day of each month. All such monies collected under this
25 subdivision shall be deposited to the indigent legal services fund
26 established by section ninety-eight-b of the state finance law.
27 (iii) Any such fee collected by any other court, judge, magistrate or
28 other officer shall, except as provided in paragraph (k) of this subdi-
29 vision, be paid to the state comptroller within the first ten days of
30 the month following collection. Every such payment to the comptroller
31 shall be accompanied by a statement in such form and detail as the comp-
32 troller shall provide. All such monies collected under this subdivision
33 shall be deposited to the indigent legal services fund established by
34 section ninety-eight-b of the state finance law.
35 § 7. Paragraph (k) of subdivision 2 of section 503 of the vehicle and
36 traffic law, as amended by chapter 309 of the laws of 1996, is amended
37 to read as follows:
38 (k) Fees assessed for reapplication for a driver's license or rein-
39 statement of driving privileges after revocation or required to be paid
40 for termination of suspension as provided in paragraphs (h), (i) and (j)
41 of this subdivision shall be paid to the commissioner for deposit to the
42 general fund. Fees assessed for termination of suspension as provided in
43 paragraph (j-1) of this subdivision and collected by an administrative
44 tribunal established under article two-A of this chapter shall be paid
45 over to the state comptroller to the credit of the indigent legal
46 services fund established by section ninety-eight-b of the state finance
47 law.
48 § 8. Subdivision 4-a of section 510 of the vehicle and traffic law is
49 REPEALED and a new subdivision 4-a is added to read as follows:
50 4-a. Suspension for failure to answer an appearance ticket or to pay a
51 fine. (a) Upon receipt of a court notification of the failure of a
52 person to appear within sixty days of the return date or new subsequent
53 adjourned date, pursuant to an appearance ticket charging said person
54 with a violation of any of the provisions of this chapter (except one
55 for parking, stopping, or standing), of any violation of the tax law or
56 of the transportation law regulating traffic or of any lawful ordinance
S. 1406 64 A. 2106
1 or regulation made by a local or public authority, relating to traffic
2 (except one for parking, stopping, or standing) or the failure to pay a
3 fine imposed by a court the commissioner or his or her agent may suspend
4 the driver's license or privileges of such person pending receipt of
5 notice from the court that such person has appeared in response to such
6 appearance ticket or has paid such fine. Such suspension shall take
7 effect no less than thirty days from the day upon which notice thereof
8 is sent by the commissioner to the person whose driver's license or
9 privileges are to be suspended. Any suspension issued pursuant to this
10 paragraph shall be subject to the provisions of paragraph (j-l) of
11 subdivision two of section five hundred three of this chapter.
12 (b) The provisions of paragraph (a) of this subdivision shall not
13 apply to a registrant who was not operating a vehicle, but who was
14 issued a summons or an appearance ticket for a violation of section
15 three hundred eighty-five, four hundred one or five hundred eleven-a of
16 this chapter. Upon the receipt of a court notification of the failure of
17 such person to appear within sixty days of the return date or a new
18 subsequent adjourned date, pursuant to an appearance ticket charging
19 said person with such violation, or the failure of such person to pay a
20 fine imposed by a court, the commissioner or his or her agent may
21 suspend the registration of the vehicle or vehicles involved in such
22 violation or privilege of operation of any motor vehicle owned by the
23 registrant pending receipt of notice from the court that such person has
24 appeared in response to such appearance ticket or has paid such fine.
25 Such suspension shall take effect no less than thirty days from the day
26 upon which notice thereof is sent by the commissioner to the person
27 whose registration or privilege is to be suspended. Any suspension
28 issued pursuant to this paragraph shall be subject to the provisions of
29 paragraph (j-1) of subdivision two of section five hundred three of this
30 chapter.
31 (c) Upon receipt of notification from a traffic and parking violations
32 agency of the failure of a person to appear within sixty days of the
33 return date or new subsequent adjourned date, pursuant to an appearance
34 ticket charging said person with a violation of:
35 (i) any of the provisions of this chapter except one for parking,
36 stopping or standing and except those violations described in paragraphs
37 (a), (b), (d), (e) and (f) of subdivision two of section three hundred
38 seventy-one of the general municipal law;
39 (ii) section five hundred two or subdivision (a) of section eighteen
40 hundred fifteen of the tax law;
41 (iii) section fourteen-f (except paragraph (b) of subdivision four of
42 section fourteen-f), two hundred eleven or two hundred twelve of the
43 transportation law; or
44 (iv) any lawful ordinance or regulation made by a local or public
45 authority relating to traffic (except one for parking, stopping or
46 standing); or the failure to pay a fine imposed by a traffic and parking
47 violations agency, the commissioner or his or her agent may suspend the
48 driver's license or privileges of such person pending receipt of notice
49 from the agency that such person has appeared in response to such
50 appearance ticket or has paid such fine. Such suspension shall take
51 effect no less than thirty days from the day upon which notice thereof
52 is sent by the commissioner to the person whose driver's license or
53 privileges are to be suspended. Any suspension issued pursuant to this
54 paragraph shall be subject to the provisions of paragraph (j-1) of
55 subdivision two of section five hundred three of this chapter.
S. 1406 65 A. 2106
1 § 9. Subdivision 3 of section 514 of the vehicle and traffic law, as
2 amended by chapter 496 of the laws of 1990, is amended to read as
3 follows:
4 3. (a) Upon the failure of a person to appear or answer, within sixty
5 days of the return date or any subsequent adjourned date, or the failure
6 to pay a fine imposed by a court, pursuant to a summons charging him or
7 her with a violation of any of the provisions of this chapter (except
8 one for parking, stopping or standing), section five hundred two or five
9 hundred twelve of the tax law, section fourteen-f, two hundred eleven or
10 two hundred twelve of the transportation law or of any law, ordinance,
11 rule or regulation made by a local authority, relating to traffic
12 (except for parking, stopping or standing), the trial court or the clerk
13 thereof shall within ten days certify that fact to the commissioner, in
14 the manner and form prescribed by the commissioner, who shall record the
15 same in his or her office. Thereafter and upon the appearance of any
16 such person in response to such summons or the receipt of the fine by
17 the court, the trial court or the clerk thereof shall forthwith certify
18 that fact to the commissioner, in the manner and form prescribed by the
19 commissioner; provided, however, no such certification shall be made
20 unless the court has collected the termination of suspension fee
21 required to be paid pursuant to paragraph (j-1) of subdivision two of
22 section five hundred three of this chapter.
23 (b) Upon the failure of a person to appear or answer, within sixty
24 days of the return date or any subsequent adjourned date, or the failure
25 to pay a fine imposed by a traffic and parking violations agency pursu-
26 ant to a summons charging him or her with a violation of:
27 (1) any of the provisions of this chapter except one for parking,
28 stopping or standing and except those violations described in paragraphs
29 (a), (b), (d), (e) and (f) of subdivision two of section three hundred
30 seventy-one of the general municipal law;
31 (2) section five hundred two or subdivision (a) of section eighteen
32 hundred fifteen of the tax law;
33 (3) section fourteen-f (except paragraph (b) of subdivision four of
34 section fourteen-f), two hundred eleven or two hundred twelve of the
35 transportation law; or
36 (4) any lawful ordinance or regulation made by a local or public
37 authority relating to traffic (except one for parking, stopping or
38 standing);
39 the clerk thereof shall within ten days certify that fact to the commis-
40 sioner, in the manner and form prescribed by the commissioner, who shall
41 record the same in his or her office. Thereafter and upon the appearance
42 of any such person in response to such summons or the receipt of the
43 fine by the agency, the traffic and parking violations agency or the
44 clerk thereof shall forthwith certify that fact to the commissioner, in
45 the manner and form prescribed by the commissioner; provided, however,
46 no such certification shall be made unless the traffic and parking
47 violations agency has collected the termination of suspension fee
48 required to be paid pursuant to paragraph (j-1) of subdivision two of
49 section five hundred three of this chapter.
50 § 10. Subdivision 5-a of section 1809 of the vehicle and traffic law,
51 as amended by chapter 55 of the laws of 1992, is amended to read as
52 follows:
53 5-a. The provisions of paragraph (j-1) of subdivision two of section
54 five hundred three, subdivision four-a of section five hundred ten,
55 subdivision three of section five hundred fourteen and subdivision three
56 of section two hundred twenty-seven of this chapter governing actions
S. 1406 66 A. 2106
1 which may be taken for failure to pay a fine or penalty shall be appli-
2 cable to a mandatory surcharge or crime victim assistance fee imposed
3 pursuant to this section.
4 § 11. The state finance law is amended by adding a new section 98-b to
5 read as follows:
6 § 98-b. Indigent legal services fund. 1. There is hereby established
7 in the joint custody of the comptroller and the commissioner of taxation
8 and finance a special fund to be known as the indigent legal services
9 fund.
10 2. Such fund shall consist of all moneys appropriated for the purpose
11 of such fund, all other moneys required to be paid into or credited to
12 such fund, and all moneys received by the fund or donated to it.
13 3. Moneys of the indigent legal services fund shall be available,
14 subject to appropriation and in accordance with law.
15 § 12. Notwithstanding the provisions of any other law: (a) the fee
16 collected by the office of court administration for the provision of
17 criminal history searches and other searches for data kept electron-
18 ically by the unified court system shall be fifty dollars for each coun-
19 ty searched; and (b) thirty-four dollars of each such fee collected
20 shall be deposited in the indigent legal services fund established by
21 section 98-b of the state finance law, as added by section eleven of
22 this act, and the remainder shall be deposited in the general fund and
23 subject to transfer in accordance with section 94-b of the state finance
24 law as amended by section thirteen of this act.
25 § 13. Subdivision 3 of section 94-b of the state finance law, as added
26 by chapter 55 of the laws of 1992, is amended to read as follows:
27 3. On or before April twentieth in each year commencing with April
28 twentieth, [nineteen hundred ninety-three] two thousand four, the chief
29 administrator shall determine and certify to the comptroller the differ-
30 ence between: (a) the aggregate receipts derived by the state from fees
31 collected by the office of court administration for the provision of
32 criminal history searches and other searches for data kept electron-
33 ically by the unified court system during the fiscal year ending the
34 preceding March thirty-first, less twenty-seven dollars for each such
35 fee collected, and (b) the aggregate receipts derived by the state from
36 fees collected by the office of court administration for the provision
37 of criminal history searches during the fiscal year commencing April
38 first, nineteen hundred ninety-one. The amount of such difference shall
39 thereupon be transferred by the comptroller from the general fund to the
40 judiciary data processing offset fund.
41 § 14. Section 121 of the state finance law is amended by adding a new
42 subdivision 3-a to read as follows:
43 3-a. On or before the twentieth day of October in each year commencing
44 with the twentieth of October, two thousand three, the comptroller shall
45 determine the difference between: (a) the aggregate receipts derived by
46 the state from mandatory surcharges collected by an administrative
47 tribunal or a town or village justice court pursuant to section one
48 thousand eight hundred nine of the vehicle and traffic law during the
49 preceding year ending September thirtieth, and (b) the aggregate
50 receipts derived by the state from such mandatory surcharge collected by
51 an administrative tribunal or a town or a village justice court in
52 accordance with the provisions of section one thousand eight hundred
53 nine of the vehicle and traffic law in effect immediately prior to April
54 first, two thousand three during the preceding year ending September
55 thirtieth. Such difference shall be thereupon transferred by the comp-
S. 1406 67 A. 2106
1 troller to the credit of the indigent legal services fund established by
2 section ninety-eight-b of this chapter.
3 § 15. Subdivision 4 of section 468-a of the judiciary law, as amended
4 by chapter 190 of the laws of 1990, is amended to read as follows:
5 4. The biennial registration fee shall be three hundred fifty dollars,
6 sixty dollars of which shall be allocated to and be deposited in a fund
7 established pursuant to the provisions of section ninety-seven-t of the
8 state finance law, fifty dollars of which shall be allocated to and
9 shall be deposited in a fund established pursuant to the provisions of
10 section ninety-eight-b of the state finance law and the remainder of
11 which shall be deposited in the attorney licensing fund. Such fee shall
12 be required of every attorney who is admitted and licensed to practice
13 law in this state, whether or not the attorney is engaged in the prac-
14 tice of law in this state or elsewhere, except attorneys who certify to
15 the chief administrator of the courts that they have retired from the
16 practice of law.
17 § 16. Paragraph a of subdivision 2 of section 235 of the vehicle and
18 traffic law, as amended by chapter 526 of the laws of 1991, is amended
19 to read as follows:
20 a. Notice. (1) Whenever a city issues a notice of violation for a
21 parking violation, it shall be served in the manner prescribed by subdi-
22 vision two of section two hundred thirty-eight of this article.
23 (2) Whenever a person has been issued a notice of violation for a
24 parking violation and has not responded in the manner described in the
25 notice, a city shall give the owner a second notice of the violation by
26 regular first class mail: (i) within forty days of issuance of the first
27 notice of violation for a parking violation where the vehicle is a vehi-
28 cle registered in this state; or (ii) within forty days of the receipt
29 by such city of the name and address of the owner of the vehicle where
30 the vehicle is a vehicle registered in any other state. Such second
31 notice shall include, but not be limited to, the following information:
32 (A) that the owner has a period of twenty days from issuance of the
33 second notice in which to respond to the notice of violation for a park-
34 ing violation;
35 (B) that failure to respond to the notice of violation for a parking
36 violation may result in the suspension and non-renewal of the owner's
37 registration;
38 (C) that failure to respond to the notice of violation for a parking
39 violation may subject the owner to additional penalties as provided in
40 paragraph b of this subdivision;
41 (D) that failure to respond to the notice of violation for a parking
42 violation shall subject the owner to a default judgment as provided in
43 paragraph c of this subdivision and the additional penalties imposed
44 upon parking violations pursuant to paragraph b of this subdivision; and
45 (E) that submission of a plea of guilty to the parking violation makes
46 the owner liable for payment of the stated fine and additional penalties
47 imposed pursuant to paragraph b of this subdivision and the mandatory
48 surcharge of [five] fifteen dollars imposed upon parking violations
49 pursuant to section eighteen hundred nine-a of this chapter.
50 (1) Upon written application of the chief executive officer of any
51 such city, the commissioner of the department of motor vehicles may
52 authorize for a specified time period the use of a notice mailer form
53 that does not contain all the information set forth in this subdivision
54 but which was used by such city on or before the effective date of this
55 section.
S. 1406 68 A. 2106
1 (2) In addition, the commissioner may suspend for a period not to
2 exceed one year from the effective date of this section the provisions
3 of this subdivision requiring that a second notice of violation be
4 served within forty days of issuance of the first notice of a parking
5 violation, upon written application of the chief executive officer of
6 any such city demonstrating that immediate imposition of such notice
7 requirement will cause substantial financial hardship to such city, and
8 setting forth the steps to be taken by such city to achieve compliance
9 with the notice requirements of this subdivision at the end of such one
10 hundred eighty day period. Upon granting such application, the commis-
11 sioner shall specify a period, not to exceed seventy-five days, within
12 which such second notice must be served, and shall adjust accordingly
13 the time periods set forth in paragraph b of this subdivision to provide
14 that the additional penalties set forth in such subdivision will not be
15 imposed prior to the stated number of days from the service of such
16 notice.
17 § 17. Subdivision (p) of section 406 of chapter 166 of the laws of
18 1991, amending the tax law and other laws relating to taxes, as amended
19 by chapter 95 of the laws of 2001, is amended to read as follows:
20 (p) The amendments to section 1809 of the vehicle and traffic law made
21 by sections three hundred thirty-seven and three hundred thirty-eight of
22 this act shall not apply to any offense committed prior to such effec-
23 tive date; provided, further, that section three hundred forty-one of
24 this act shall take effect immediately and shall expire November 1, 1993
25 at which time it shall be deemed repealed; sections three hundred
26 forty-five and three hundred forty-six of this act shall take effect
27 July 1, 1991; sections three hundred fifty-five, three hundred fifty-
28 six, three hundred fifty-seven and three hundred fifty-nine of this act
29 shall take effect immediately and shall expire June 30, 1995 and shall
30 revert to and be read as if this act had not been enacted; section three
31 hundred fifty-eight of this act shall take effect immediately and shall
32 expire June 30, 1998 and shall revert to and be read as if this act had
33 not been enacted; section three hundred sixty-four through three hundred
34 sixty-seven of this act shall apply to claims filed on or after such
35 effective date; sections three hundred sixty-nine, three hundred seven-
36 ty-two, three hundred seventy-three, [three hundred seventy-four,] three
37 hundred seventy-five and three hundred seventy-six of this act shall
38 remain in effect until November 1, 2003, at which time they shall be
39 deemed repealed; section three hundred seventy-four of this act shall
40 remain in effect until November 1, 2005 at which time it shall be deemed
41 repealed; provided, however, that the mandatory surcharge provided in
42 section three hundred seventy-four of this act shall apply to parking
43 violations occurring on or after said effective date; and provided
44 further that the amendments made to section 235 of the vehicle and traf-
45 fic law by section three hundred seventy-two of this act[,] shall expire
46 on November 1, 2005 and the amendments made to section 1809 of the vehi-
47 cle and traffic law by sections three hundred thirty-seven and three
48 hundred thirty-eight of this act and the amendments made to section
49 215-a of the labor law by section three hundred seventy-five of this act
50 shall expire on November 1, 2003 and upon such date the provisions of
51 such subdivisions and sections shall revert to and be read as if the
52 provisions of this act had not been enacted; the amendments to subdivi-
53 sions 2 and 3 of section 400.05 of the penal law made by sections three
54 hundred seventy-seven and three hundred seventy-eight of this act shall
55 expire on July 1, 1992 and upon such date the provisions of such subdi-
56 visions shall revert and shall be read as if the provisions of this act
S. 1406 69 A. 2106
1 had not been enacted; the state board of law examiners shall take such
2 action as is necessary to assure that all applicants for examination for
3 admission to practice as an attorney and counsellor at law shall pay the
4 increased examination fee provided for by the amendment made to section
5 465 of the judiciary law by section three hundred eighty of this act for
6 any examination given on or after the effective date of this act
7 notwithstanding that an applicant for such examination may have prepaid
8 a lesser fee for such examination as required by the provisions of such
9 section 465 as of the date prior to the effective date of this act; the
10 provisions of section 306-a of the civil practice law and rules as added
11 by section three hundred eighty-one of this act shall apply to all
12 actions pending on or commenced on or after September 1, 1991, provided,
13 however, that for the purposes of this section service of such summons
14 made prior to such date shall be deemed to have been completed on
15 September 1, 1991; the provisions of section three hundred eighty-three
16 of this act shall apply to all money deposited in connection with a cash
17 bail or a partially secured bail bond on or after such effective date;
18 and the provisions of sections three hundred eighty-four and three
19 hundred eighty-five of this act shall apply only to jury service
20 commenced during a judicial term beginning on or after the effective
21 date of this act; provided, however, that nothing contained herein shall
22 be deemed to affect the application, qualification, expiration or repeal
23 of any provision of law amended by any section of this act and such
24 provisions shall be applied or qualified or shall expire or be deemed
25 repealed in the same manner, to the same extent and on the same date as
26 the case may be as otherwise provided by law;
27 § 18. Subdivisions 1 and 2 of section 1809-a of the vehicle and traf-
28 fic law, subdivision 1 as added by chapter 166 of the laws of 1991 and
29 subdivision 2 as separately amended by chapters 309 and 690 of the laws
30 of 1996, are amended to read as follows:
31 1. The provisions of any other general or special law notwithstanding,
32 whenever, in a city having a population of one hundred thousand or more
33 according to the nineteen hundred eighty United States census,
34 proceedings in an administrative tribunal or a court result in a finding
35 of liability, or conviction for the violation of any statute, local law,
36 ordinance or rule involving the parking, stopping or standing of a motor
37 vehicle, there shall be levied a mandatory surcharge in addition to any
38 other sentence, fine or penalty otherwise permitted or required, in the
39 amount of [five] fifteen dollars. Such surcharge shall not be deemed a
40 monetary penalty for the purposes of section two hundred thirty-seven of
41 this chapter or section 19-203 of the administrative code of the city of
42 New York.
43 2. The mandatory surcharge provided for in subdivision one of this
44 section shall be paid to the clerk of the court or administrative tribu-
45 nal that made the determination of liability. Within the first ten days
46 of the month next succeeding the collection of such surcharge, the
47 collecting authority shall pay [two] seven dollars and fifty cents of
48 each surcharge to the justice court fund held by the state comptroller
49 pursuant to section ninety-nine-a of the state finance law which monies
50 shall then be deposited to the credit of the general fund. Each such
51 payment shall be accompanied by a true and complete report in such form
52 and detail as the comptroller shall prescribe. The remaining amount of
53 the surcharge shall be paid to the chief fiscal officer of the munici-
54 pality and used by the municipality from which it originated for its
55 local criminal justice programs and purposes.
S. 1406 70 A. 2106
1 § 19. Paragraph (e) of subdivision 2 of section 39 of the judiciary
2 law, as amended by chapter 83 of the laws of 1995, is amended to read as
3 follows:
4 (e) All fees collected pursuant to sections eighteen hundred three,
5 eighteen hundred three-A and nineteen hundred eleven of the New York
6 city civil court act, all fees collected pursuant to state law by the
7 county clerks in the city of New York, except as otherwise provided
8 herein with respect to fees collected pursuant to subdivision (a) of
9 section eight thousand eighteen of the civil practice law and rules and
10 except those fees collected by the clerk of Richmond county which in the
11 other counties of the city of New York are collected by the city regis-
12 ters, all fees collected pursuant to section eight thousand eighteen of
13 the civil practice law and rules except only to the extent of [one] two
14 hundred [sixty] five dollars of any fee collected pursuant to subdivi-
15 sion (a) of such section and except for those collected pursuant to [the
16 third undesignated] paragraph three of such subdivision (a), all fees
17 collected pursuant to section eight thousand twenty of the civil prac-
18 tice law and rules except for those collected pursuant to subdivisions
19 (f), (g) and (h) of said section, all fees collected pursuant to section
20 eight thousand twenty-two of the civil practice law and rules, all fees
21 collected pursuant to section twenty-four hundred two of the surrogate's
22 court procedure act, all fees collected pursuant to section eighteen
23 hundred three, eighteen hundred three-A and subdivision (a) of section
24 nineteen hundred eleven of the uniform district court act, all fees
25 collected pursuant to section eighteen hundred three, eighteen hundred
26 three-A and subdivision (a) of section nineteen hundred eleven of the
27 uniform city court act and all fines, penalties and forfeitures
28 collected pursuant to subdivision eight of section eighteen hundred
29 three of the vehicle and traffic law, except such fines, penalties and
30 forfeitures collected by the Nassau county traffic and parking
31 violations agency, section 71-0211 of the environmental conservation
32 law, section two hundred one of the navigation law and subdivision one
33 of section 27.13 of the parks, recreation and historic preservation law
34 shall be paid to the state commissioner of taxation and finance on a
35 monthly basis no later than ten days after the last day of each month.
36 The additional fee of five dollars collected by county clerks in New
37 York city pursuant to [the third undesignated] paragraph three of subdi-
38 vision (a) of section eight thousand eighteen of the civil practice law
39 and rules shall be distributed monthly by the county clerks as follows:
40 four dollars and seventy-five cents to the commissioner of education for
41 deposit into the local government records management improvement funds;
42 and twenty-five cents to the city of New York.
43 § 20. Paragraph 1 of subdivision (a) of section 8018 of the civil
44 practice law and rules, as amended by section 1 of part B of chapter 83
45 of the laws of 2002, is amended to read as follows:
46 1. A county clerk is entitled, for the assignment of an index number
47 to an action pending in a court of which he or she is clerk, to a fee of
48 [one] two hundred [sixty-five] thirty dollars, payable in advance.
49 § 21. Subdivision (f) of section 8019 of the civil practice law and
50 rules, as added by chapter 192 of the laws of 1988, is amended to read
51 as follows:
52 (f) Copies of records. The following fees, up to a maximum of [thirty]
53 forty dollars per record shall be payable to a county clerk or register
54 for copies of the records of the office except records filed under the
55 uniform commercial code:
S. 1406 71 A. 2106
1 1. to prepare a copy of any paper or record on file in [his] the
2 office, except as otherwise provided, [fifty] sixty-five cents per page
3 with a minimum fee of one dollar thirty cents;
4 2. to certify a prepared copy of any record or paper on file, [fifty]
5 sixty-five cents per page with a minimum fee of [four] five dollars
6 twenty cents;
7 3. to prepare and certify a copy of any record or paper on file, one
8 dollar twenty-five cents per page with a minimum fee of [four] five
9 dollars; and
10 4. to prepare and certify a copy of a certificate of honorable
11 discharge, except as provided for in the military law, two dollars fifty
12 cents.
13 § 22. Subdivisions (a) and (c) of section 8020 of the civil practice
14 law and rules, subdivision (a) as amended by chapter 309 of the laws of
15 1996 and subdivision (c) as amended by chapter 15 of the laws of 1983,
16 are amended to read as follows:
17 (a) Placing cause on calendar. For placing a cause on a calendar for
18 trial or inquest, one hundred twenty-five dollars in the supreme court
19 and county court; except that where rules of the chief administrator of
20 the courts require that a request for judicial intervention be made in
21 an action pending in supreme court or county court, the county clerk
22 shall be entitled to a fee of [seventy-five] ninety-five dollars, paya-
23 ble before a judge may be assigned pursuant to such request, and there-
24 after, for placing such a cause on a calendar for trial or inquest, the
25 county clerk shall be entitled to an additional fee of [twenty-five]
26 thirty dollars, and no other fee may be charged thereafter pursuant to
27 this subdivision; except that the county clerk shall be entitled to a
28 fee of thirty-five dollars upon the filing of each motion in such
29 action.
30 (c) Filing demand for jury trial. For filing a demand for a jury trial
31 in the following counties, where the right to a jury trial is duly
32 demanded:
33 1. in the counties within the city of New York, [fifty] sixty-five
34 dollars in the supreme court;
35 2. in all other counties, [fifty] sixty-five dollars in the supreme
36 court and county court.
37 § 23. Subdivision 3 of section 730 of the real property tax law, as
38 amended by chapter 357 of the laws of 1983, is amended to read as
39 follows:
40 3. The petition for review pursuant to this title shall be filed with-
41 in thirty days after the completion and filing of the final assessment
42 roll containing such assessment or, in a city with a population of one
43 million or more, before the twenty-fifth day of October following the
44 time when the determination sought to be reviewed was made, in accord-
45 ance with the rules promulgated pursuant to section seven hundred thir-
46 ty-seven of this title. A fee of [twenty-five] thirty dollars shall be
47 paid upon filing of each petition, which shall be the sole fee required
48 for petitions filed pursuant to this title. The county clerk of each
49 county outside the city of New York shall retain five dollars of each
50 filing fee and shall pay the balance of each fee to the state commis-
51 sioner of taxation and finance as provided in paragraph (e) of subdivi-
52 sion two of section thirty-nine of the judiciary law. For the purposes
53 of this section an assessment roll shall not be considered finally
54 completed and filed until the last day provided by law for the filing of
55 such assessment roll or until notice thereof has been given as required
56 by law, whichever is later. Failure to file the petition within such
S. 1406 72 A. 2106
1 time shall constitute a complete defense to the petition and the peti-
2 tion must be dismissed.
3 § 24. Section 8022 of the civil practice law and rules, as amended by
4 chapter 309 of the laws of 1996, is amended to read as follows:
5 § 8022. Fee on civil appeals proceedings before appellate courts. (a)
6 A county clerk, upon filing a notice of appeal, is entitled to a fee of
7 [fifty] sixty-five dollars, payable in advance.
8 (b) The clerks of the appellate divisions of the supreme court and the
9 clerk of the court of appeals are entitled, upon the filing of a record
10 on a civil appeal or a statement in lieu of record on a civil appeal, as
11 required by rule 5530 of this chapter, to a fee of [two] three hundred
12 [fifty] fifteen dollars, payable in advance. The clerks of the appel-
13 late divisions also shall be entitled to such fee upon the filing of a
14 notice of petition or order to show cause commencing a special proceed-
15 ing in their respective courts. In addition, the clerks of the appel-
16 late divisions of the supreme court and the clerk of the court of
17 appeals are entitled, upon the filing of each motion with respect to
18 such appeal or special proceeding, to a fee of thirty-five dollars,
19 payable in advance.
20 § 25. Subdivisions 4, 7, 8, 9, 10, 11, 12, 13, 14 and 15 of section
21 2402 of the surrogate's court procedure act, as amended by chapter 190
22 of the laws of 1990 and as renumbered by section 33 of part A of chapter
23 389 of the laws of 1997, are amended to read as follows:
24 4. Instruments settling accounts. For filing an instrument which
25 releases and discharges a fiduciary but does not contain any statement
26 of account, no fee shall be charged. For recording any such instrument,
27 the fee shall be [five] six dollars per page or part thereof. Upon
28 filing or recording an instrument pursuant to section 2202, the fee
29 shall be as shown by the following schedule based on the gross value of
30 assets accounted for including principal and income, and such fee shall
31 include the filing or recording of such instrument. If separate instru-
32 ments executed by several beneficiaries release and discharge the same
33 fiduciary or fiduciaries and settle in whole or in the part one and the
34 same account, only a single fee shall be charged for the filing or
35 recording of all such instruments.
36 7. The fee schedule for subdivision 1 through 7 inclusive is as
37 follows:
38 Value of Estate or Subject Matter Fee Rate
39 Less than $10,000 $ [35.00] 45.00
40 10,000 but under 20,000 [60.00] 75.00
41 20,000 but under 50,000 [170.00] 215.00
42 50,000 but under 100,000 [225.00] 280.00
43 100,000 but under 250,000 [335.00] 420.00
44 250,000 but under 500,000 [500.00] 625.00
45 500,000 and over [1,000.00] 1,250.00
46 8. (a) For filing a petition to commence the following proceedings,
47 the fee shall be as indicated:
48 SCPA Fee Rate
49 607 To punish respondent for contempt .................. $[25.00] 30.00
50 711 Suspend, modify, revoke letters or
51 remove a fiduciary other than a custodian
52 or guardian ....................................... [60.00] 75.00
S. 1406 73 A. 2106
1 711 Suspend, modify, revoke letters or
2 remove a custodian or guardian .................... [25.00] 30.00
3 715 Application of fiduciary to resign .................. [25.00] 30.00
4 717 Suspend powers-fiduciary in war ..................... [25.00] 30.00
5 1401 Compel production of will ........................... [15.00] 20.00
6 1420 Construction of will ................................ [60.00] 75.00
7 1421 Determination of right of election .................. [60.00] 75.00
8 1502 Appointment of trustee .............................. [35.00] 45.00
9 1508 Release against state ............................... [40.00] 50.00
10 1703 Appointment of guardian ............................. [15.00] 20.00
11 2003 Open safe deposit box ............................... [15.00] 20.00
12 2102 Proceedings against a fiduciary ..................... [15.00] 20.00
13 2103 Proceedings by fiduciary
14 to discover property .............................. [60.00] 75.00
15 2107 Advice and directions ............................... [60.00] 75.00
16 2108 Continue business ................................... [35.00] 45.00
17 2114 Review corporate trustee compensation ................ [7.00] 10.00
18 2205 Petition to compel fiduciary to account ............. [25.00] 30.00
19 EPTL
20 7-4.6 Appointment of successor custodian ................. [15.00] 20.00
21 (b) For filing a petition to commence a proceeding for the appointment
22 of a trustee of a lifetime trust or for the appointment of a conserva-
23 tor, the fee shall be the same as that which is payable in the supreme
24 court pursuant to section eight thousand eighteen of the civil practice
25 law and rules.
26 9. For filing:
27 Fee Rate
28 (i) a demand for trial by jury in
29 any proceeding, SCPA 502
30 $[120.00] 150.00
31 (ii) objections to the probate of a
32 will SCPA 1410
33 [120.00] 150.00
34 (iii) a note of issue in any proceeding
35 [35.00] 45.00
36 (iv) objection or answer in any
37 action or proceeding other
38 than probate
39 [60.00] 75.00
40 (v) a will for safekeeping pursuant
41 to section 2507 of this act
42 except that the court in any
43 county may reduce or dispense
44 with such fee
45 [35.00] 45.00
46 (vi) a bond, including any additional
47 bond: less than $10,000
48 [15.00] 20.00
49 $10,000 and over...................................... [25.00] 30.00
50 10. For furnishing a transcript of a decree ........... $[15.00] 20.00
51 11. For a certificate of letters evidencing that the appointment of a
52 fiduciary is still in full force and effect ............... $[5.00] 6.00
S. 1406 74 A. 2106
1 12. (a) For making and certifying or comparing and certifying a copy
2 of a will or any paper on file or recorded in his office:
3 ...................................................... $[5.00] 6.00 pg.
4 (b) Authenticating the same, additional: .............. $[15.00] 20.00
5 13. For searching and certifying to any record for which search is
6 made:
7 $[25.00] 30.00 for under 25 years
8 $[70.00] 90.00 for over 25 years
9 14. (a) For producing papers, documents, books of record on file in
10 his office under a subpoena duces tecum, for use within the county
11 where the office of the court is situated: $[25.00] 30.00
12 (b) For use in any other county, such fee to be paid for each day or
13 part thereof that the messenger is detailed from the office and to be in
14 addition to mileage fee and the necessary expenses of the messenger. The
15 clerk of the court shall not be required to make any collection or
16 return of the money so paid for expenses: $[.25] .30
17 15. For recording:
18 (a) any instrument, decree or other paper which is required by law to
19 be recorded: $[6.00] 8.00 per pg.
20 or part $[12.00] 16.00 minimum
21 (b) for filing an authenticated copy of a foreign will:
22 $[6.00] 8.00 per pg.
23 $[48.00] 64.00 minimum
24 (c) for taxing bill of costs: $[10.00] 15.00
25 § 26. Subdivisions (a) and (c) of section 1803 of the uniform district
26 court act, subdivision (a) as amended by chapter 309 of the laws of 1996
27 and subdivision (c) as added by chapter 90 of the laws of 1996, are
28 amended to read as follows:
29 (a) Small claims shall be commenced upon the payment by the claimant
30 of a filing fee of [ten] fifteen dollars for claims in the amount of one
31 thousand dollars or less and [fifteen] twenty dollars for claims in the
32 amount of more than one thousand dollars, without the service of a
33 summons and, except by special order of the court, without the service
34 of any pleading other than a statement of his cause of action by the
35 claimant or someone in his behalf to the clerk, who shall reduce the
36 same to a concise, written form and record it in a docket kept especial-
37 ly for such purpose. Such procedure shall provide for the sending of
38 notice of such claim by ordinary first class mail and certified mail
39 with return receipt requested to the party complained against at his
40 residence, if he resides within a district of the court in the county,
41 and his residence is known to the claimant, or at his office or place of
42 regular employment within such a district if he does not reside therein
43 or his residence within such a district is not known to the claimant.
44 If, after the expiration of twenty-one days, such ordinary first class
45 mailing has not been returned as undeliverable, the party complained
46 against shall be presumed to have received notice of such claim. Such
47 notice shall include a clear description of the procedure for filing a
48 counterclaim, pursuant to subdivision (c) of this section.
49 Such procedure shall further provide for an early hearing upon and
50 determination of such claim. No filing fee, however, shall be demanded
51 or received on small claims of employees who shall comply with § 1912
52 (a) of this act which is hereby made applicable, except that necessary
53 mailing costs shall be paid.
54 (c) A defendant who wishes to file a counterclaim shall do so by
55 filing with the clerk a statement containing such counterclaim within
S. 1406 75 A. 2106
1 five days of receiving the notice of claim. At the time of such filing
2 the defendant shall pay to the clerk a filing fee of [three] five
3 dollars plus the cost of mailings which are required pursuant to this
4 subdivision. The clerk shall forthwith send notice of the counterclaim
5 by ordinary first class mail to the claimant. If the defendant fails to
6 file the counterclaim in accordance with the provisions of this subdivi-
7 sion, the defendant retains the right to file the counterclaim, however
8 the claimant may, but shall not be required to, request and obtain
9 adjournment of the hearing to a later date. The claimant may reply to
10 the counterclaim but shall not be required to do so.
11 § 27. Subdivisions (a), (b) and (d) of section 1803-A of the uniform
12 district court act, subdivision (a) as amended by chapter 90 of the laws
13 of 1996, subdivision (b) as amended by chapter 847 of the laws of 1990,
14 the third undesignated paragraph of subdivision (b) as amended by chap-
15 ter 347 of the laws of 1995, and subdivision (d) as added by chapter 90
16 of the laws of 1996, are amended to read as follows:
17 (a) Commercial claims other than claims arising out of consumer trans-
18 actions shall be commenced upon the payment by the claimant of a filing
19 fee of [twenty] twenty-five dollars and the cost of mailings as herein
20 provided, without the service of a summons and, except by special order
21 of the court, without the service of any pleading other than a required
22 certification verified as to its truthfulness by the claimant on a form
23 prescribed by the state office of court administration and filed with
24 the clerk, that no more than five such actions or proceedings (including
25 the instant action or proceeding) have been instituted during that
26 calendar month, and a statement of its cause of action by the claimant
27 or someone in its behalf to the clerk, who shall reduce the same to a
28 concise, written form and record it in a filing system maintained espe-
29 cially for such purpose. Such procedure shall provide that the commer-
30 cial claims part of the court shall have no jurisdiction over, and shall
31 dismiss, any case with respect to which the required certification is
32 not made upon the attempted institution of the action or proceeding.
33 Such procedure shall provide for the sending of notice of such claim by
34 ordinary first class mail and certified mail with return receipt
35 requested to the party complained against at his residence, if he
36 resides within the municipality in which the court is located, and his
37 residence is known to the claimant, or at his office or place of regular
38 employment within such municipality if he does not reside within such
39 municipality or his residence within the municipality is not known to
40 the claimant. If, after the expiration of twenty-one days, such ordinary
41 first class mailing has not been returned as undeliverable, the party
42 complained against shall be presumed to have received notice of such
43 claim. Such notice shall include a clear description of the procedure
44 for filing a counterclaim, pursuant to subdivision (d) of this section.
45 Such procedure shall further provide for an early hearing upon and
46 determination of such claim. The hearing shall be scheduled in a manner
47 which, to the extent possible, minimizes the time the party complained
48 against must be absent from employment.
49 Either party may request that the hearing be scheduled during evening
50 hours, provided that the hearing shall not be scheduled during evening
51 hours if it would cause unreasonable hardship to either party. The court
52 shall not unreasonably deny requests for evening hearings if such
53 requests are made by the claimant upon commencement of the action or by
54 the party complained against within fourteen days of receipt of the
55 notice of claim.
S. 1406 76 A. 2106
1 (b) Commercial claims in actions arising out of consumer transactions
2 shall be commenced upon the payment by the claimant of a filing fee of
3 [twenty] twenty-five dollars and the cost of mailings as herein
4 provided, without the service of a summons and, except by special order
5 of the court, without the service of any pleading other than a required
6 statement of the cause of action by the claimant or someone on its
7 behalf to the clerk, who shall reduce the same to a concise written form
8 including the information required by subdivision (c) of this section,
9 denominate it conspicuously as a consumer transaction, and record it in
10 the docket marked as a consumer transaction, and by filing with the
11 clerk a required certificate verified as to its truthfulness by the
12 claimant on forms prescribed by the state office of court adminis-
13 tration. Such verified certificate shall certify (i) that the claimant
14 has mailed by ordinary first class mail to the party complained against
15 a demand letter, no less than ten days and no more than one hundred
16 eighty days prior to the commencement of the claim, and (ii) that, based
17 upon information and belief, the claimant has not instituted more than
18 five actions or proceedings (including the instant action or proceeding)
19 during the calendar month.
20 A form for the demand letter shall be prescribed and furnished by the
21 state office of court administration and shall require the following
22 information: the date of the consumer transaction; the amount that
23 remains unpaid; a copy of the original debt instrument or other document
24 underlying the debt and an accounting of all payments, and, if the
25 claimant was not a party to the original transaction, the names and
26 addresses of the parties to the original transaction; and a statement
27 that the claimant intends to use this part of the court to obtain a
28 judgment, that further notice of a hearing date will be sent, unless
29 payment is received by a specified date, and that the party complained
30 against will be entitled to appear at said hearing and present any
31 defenses to the claim.
32 In the event that the verified certificate is not properly completed
33 by the claimant, the court shall not allow the action to proceed until
34 the verified certificate is corrected. Notice of such claim shall be
35 sent by the clerk by both ordinary first class mail and certified mail
36 with return receipt requested to the party complained against at his
37 residence, if he resides within the municipality in which the court is
38 located, and his residence is known to the claimant, or at his office or
39 place of regular employment within such municipality if he does not
40 reside therein or his residence is not known to the claimant. If, after
41 the expiration of thirty days, such ordinary first class mailing has not
42 been returned as undeliverable, the party complained against shall be
43 presumed to have received notice of such claim.
44 Such procedure shall further provide for an early hearing upon and
45 determination of such claim. The hearing shall be scheduled in a manner
46 which, to the extent possible, minimizes the time the party complained
47 against must be absent from employment. Either party may request that
48 the hearing be scheduled during evening hours, provided that the hearing
49 shall not be scheduled during evening hours if it would cause unreason-
50 able hardship to either party. The court shall not unreasonably deny
51 requests for evening hearings if such requests are made by the claimant
52 upon commencement of the action or by the party complained against with-
53 in fourteen days of receipt of the notice of claim.
54 (d) A defendant who wishes to file a counterclaim shall do so by
55 filing with the clerk a statement containing such counterclaim within
56 five days of receiving the notice of claim. At the time of such filing
S. 1406 77 A. 2106
1 the defendant shall pay to the clerk a filing fee of [three] five
2 dollars plus the cost of mailings which are required pursuant to this
3 subdivision. The clerk shall forthwith send notice of the counterclaim
4 by ordinary first class mail to the claimant. If the defendant fails to
5 file the counterclaim in accordance with the provisions of this subdivi-
6 sion, the defendant retains the right to file the counterclaim, however
7 the claimant may, but shall not be required to, request and obtain
8 adjournment of the hearing to a later date. The claimant may reply to
9 the counterclaim but shall not be required to do so.
10 § 28. Subdivision (a) of section 1911 of the uniform district court
11 act, as amended by chapter 190 of the laws of 1990, is amended to read
12 as follows:
13 (a) There shall be paid to the clerk the following sums as court fees
14 in civil matters and there shall be no others:
15 (1) Upon the issuance of a summons, order of arrest or attachment,
16 requisition or warrant of seizure, or a notice of petition or order to
17 show cause in lieu thereof in a summary proceeding to recover real prop-
18 erty, [thirty-five] forty-five dollars.
19 (2) Upon filing the first paper in an action or proceeding, including
20 a special proceeding for the settlement of a claim of an infant or
21 incompetent, [thirty-five] forty-five dollars, unless there has been
22 paid a fee of [thirty-five] forty-five dollars for the issuance of a
23 summons, order of arrest or attachment, requisition or warrant of
24 seizure, or a notice of petition or order to show cause in lieu thereof
25 in a summary proceeding, as provided for by subparagraph (1) hereof.
26 (3) For entry of judgment upon confession, [thirty-five] forty-five
27 dollars, unless there has been paid a fee of [thirty-five] forty-five
28 dollars in accordance with the provisions of subparagraphs (1) and (2)
29 hereof.
30 (4) On filing notice of appeal, [twenty-five] thirty dollars.
31 (5) For issuing a satisfaction of judgment, or a certificate regarding
32 the judgment, [five] six dollars.
33 (6) Upon demand for a trial by jury, [fifty-five] seventy dollars; to
34 be paid by the party demanding the jury, at the time of the demand.
35 (7) For exemplification of a copy of a paper on file in the clerk's
36 office [ten] fifteen dollars.
37 (8) For certifying a copy of a paper on file in the clerk's office,
38 [five] six dollars.
39 (9) For filing a notice of trial, [thirty] forty dollars. All fees
40 shall be prepaid before the service shall be performed.
41 § 29. Subdivisions (a) and (c) of section 1803 of the New York city
42 civil court act, subdivision (a) as amended by chapter 309 of the laws
43 of 1996 and subdivision (c) as added by chapter 90 of the laws of 1996,
44 are amended to read as follows:
45 (a) Small claims shall be commenced upon the payment by the claimant
46 of a filing fee of [ten] fifteen dollars for claims in the amount of one
47 thousand dollars or less and [fifteen] twenty dollars for claims in the
48 amount of more than one thousand dollars, without the service of a
49 summons and, except by special order of the court, without the service
50 of any pleading other than a statement of his cause of action by the
51 claimant or someone in his behalf to the clerk, who shall reduce the
52 same to a concise, written form and record it in a docket kept especial-
53 ly for such purpose. Such procedure shall provide for the sending of
54 notice of such claim by ordinary first class mail and certified mail
55 with return receipt requested to the party complained against at his
56 residence, if he resides within the city of New York, and his residence
S. 1406 78 A. 2106
1 is known to the claimant, or at his office or place of regular employ-
2 ment within the city of New York if he does not reside therein or his
3 residence within the city of New York is not known to the claimant. If,
4 after the expiration of twenty-one days, such ordinary first class mail-
5 ing has not been returned as undeliverable, the party complained against
6 shall be presumed to have received notice of such claim. Such notice
7 shall include a clear description of the procedure for filing a counter-
8 claim, pursuant to subdivision (c) of this section.
9 Such procedure shall further provide for an early hearing upon and
10 determination of such claim. No filing fee, however, shall be demanded
11 or received on small claims of employees who shall comply with § 1912
12 (a) of this act which is hereby made applicable, except that necessary
13 mailing costs shall be paid.
14 (c) A defendant who wishes to file a counterclaim shall do so by
15 filing with the clerk a statement containing such counterclaim within
16 five days of receiving the notice of claim. At the time of such filing
17 the defendant shall pay to the clerk a filing fee of [three] five
18 dollars plus the cost of mailings which are required pursuant to this
19 subdivision. The clerk shall forthwith send notice of the counterclaim
20 by ordinary first class mail to the claimant. If the defendant fails to
21 file the counterclaim in accordance with the provisions of this subdivi-
22 sion, the defendant retains the right to file the counterclaim, however
23 the claimant may, but shall not be required to, request and obtain
24 adjournment of the hearing to a later date. The claimant may reply to
25 the counterclaim but shall not be required to do so.
26 § 30. Subdivisions (a), (b) and (d) of section 1803-A of the New York
27 city civil court act, subdivision (a) as amended by chapter 90 of the
28 laws of 1996, subdivision (b) as amended by chapter 847 of the laws of
29 1990, the third undesignated paragraph of subdivision (b) as amended by
30 chapter 347 of the laws of 1995, and subdivision (d) as added by chapter
31 90 of the laws of 1996, are amended to read as follows:
32 (a) Commercial claims other than claims arising out of consumer trans-
33 actions shall be commenced upon the payment by the claimant of a filing
34 fee of [twenty] twenty-five dollars and the cost of mailings as herein
35 provided, without the service of a summons and, except by special order
36 of the court, without the service of any pleading other than a required
37 certification verified as to its truthfulness by the claimant on a form
38 prescribed by the state office of court administration and filed with
39 the clerk, that no more than five such actions or proceedings (including
40 the instant action or proceeding) have been instituted during that
41 calendar month, and a required statement of its cause of action by the
42 claimant or someone in its behalf to the clerk, who shall reduce the
43 same to a concise, written form and record it in a docket kept especial-
44 ly for such purpose. Such procedure shall provide that the commercial
45 claims part of the court shall have no jurisdiction over, and shall
46 dismiss, any case with respect to which the required certification is
47 not made upon the attempted institution of the action or proceeding.
48 Such procedure shall provide for the sending of notice of such claim by
49 ordinary first class mail and certified mail with return receipt
50 requested to the party complained against at his residence, if he
51 resides within the city of New York, and his residence is known to the
52 claimant, or at his office or place of regular employment within the
53 city of New York if he does not reside therein or his residence within
54 the city of New York is not known to the claimant. If, after the expira-
55 tion of twenty-one days, such ordinary first class mailing has not been
56 returned as undeliverable, the party complained against shall be
S. 1406 79 A. 2106
1 presumed to have received notice of such claim. Such notice shall
2 include a clear description of the procedure for filing a counterclaim,
3 pursuant to subdivision (d) of this section.
4 Such procedure shall further provide for an early hearing upon and
5 determination of such claim. The hearing shall be scheduled in a manner
6 which, to the extent possible, minimizes the time the party complained
7 against must be absent from employment.
8 Either party may request that the hearing be scheduled during evening
9 hours, provided that the hearing shall not be scheduled during evening
10 hours if it would cause unreasonable hardship to either party. The court
11 shall not unreasonably deny requests for evening hearings if such
12 requests are made by the claimant upon commencement of the action or by
13 the party complained against within fourteen days of receipt of the
14 notice of claim.
15 (b) Commercial claims in actions arising out of consumer transactions
16 shall be commenced upon the payment by the claimant of a filing fee of
17 [twenty] twenty-five dollars and the cost of mailings as herein
18 provided, without the service of a summons and, except by special order
19 of the court, without the service of any pleading other than a required
20 statement of the cause of action by the claimant or someone on its
21 behalf of the clerk, who shall reduce the same to a concise written form
22 including the information required by subdivision (c) of this section,
23 denominate it conspicuously as a consumer transaction, and record it in
24 the docket marked as a consumer transaction, and by filing with the
25 clerk a required certificate verified as to its truthfulness by the
26 claimant on forms prescribed by the state office of court adminis-
27 tration.
28 Such verified certificate shall certify (i) that the claimant has
29 mailed by ordinary first class mail to the party complained against a
30 demand letter, no less than ten days and no more than one hundred eighty
31 days prior to the commencement of the claim, and (ii) that, based upon
32 information and belief, the claimant has not instituted more than five
33 actions or proceedings (including the instant action or proceeding)
34 during the calendar month.
35 A form for the demand letter shall be prescribed and furnished by the
36 state office of court administration and shall require the following
37 information: the date of the consumer transaction; the amount that
38 remains unpaid; a copy of the original debt instrument or other document
39 underlying the debt and an accounting of all payments, and, if the
40 claimant was not a party to the original transaction, the names and
41 addresses of the parties to the original transaction; and a statement
42 that the claimant intends to use this part of the court to obtain a
43 judgment, that further notice of a hearing date will be sent, unless
44 payment is received by a specified date, and that the party complained
45 against will be entitled to appear at said hearing and present any
46 defenses to the claim.
47 In the event that the verified certificate is not properly completed
48 by the claimant, the court shall not allow the action to proceed until
49 the verified certificate is corrected. Notice of such claim shall be
50 sent by the clerk by both ordinary first class mail and certified mail
51 with return receipt requested to the party complained against at his
52 residence, if he resides within the city of New York, and his residence
53 is known to the claimant, or at his office or place of regular employ-
54 ment within the city of New York if he does not reside therein or his
55 residence within the city of New York is not known to the claimant. If,
56 after the expiration of thirty days, such ordinary first class mailing
S. 1406 80 A. 2106
1 has not been returned as undeliverable, the party complained against
2 shall be presumed to have received notice of such claim.
3 Such procedure shall further provide for an early hearing upon and
4 determination of such claim. The hearing shall be scheduled in a manner
5 which, to the extent possible, minimizes the time the party complained
6 against must be absent from employment. Either party may request that
7 the hearing be scheduled during evening hours, provided that the hearing
8 shall not be scheduled during evening hours if it would cause unreason-
9 able hardship to either party. The court shall not unreasonably deny
10 requests for evening hearings if such requests are made by the claimant
11 upon commencement of the action or by the party complained against with-
12 in fourteen days of receipt of the notice of claim.
13 (d) A defendant who wishes to file a counterclaim shall do so by
14 filing with the clerk a statement containing such counterclaim within
15 five days of receiving the notice of claim. At the time of such filing
16 the defendant shall pay to the clerk a filing fee of [three] five
17 dollars plus the cost of mailings which are required pursuant to this
18 subdivision. The clerk shall forthwith send notice of the counterclaim
19 by ordinary first class mail to the claimant. If the defendant fails to
20 file the counterclaim in accordance with the provisions of this subdivi-
21 sion, the defendant retains the right to file the counterclaim, however
22 the claimant may, but shall not be required to, request and obtain
23 adjournment of the hearing to a later date. The claimant may reply to
24 the counterclaim but shall not be required to do so.
25 § 31. Section 1911 of the New York city civil court act, as amended by
26 chapter 190 of the laws of 1990, is amended to read as follows:
27 § 1911. Fees payable to the clerk. There shall be paid to the clerk
28 the following sums as court fees in an action:
29 (a) Upon issuance of a summons, order of arrest or attachment, or
30 requisition or warrant of seizure by the clerk, together with copies
31 thereof, [thirty-five] forty-five dollars.
32 (b) Upon filing summons with proof of service thereof, or upon filing
33 of the first paper in that county in any action or proceeding, [thirty-
34 five] forty-five dollars, unless there has been paid in that county a
35 fee of [thirty-five] forty-five dollars pursuant to subdivision (a)
36 hereof.
37 (c) Upon filing an infant's compromise, where no summons was filed,
38 [thirty] forty dollars.
39 (d) On filing a notice of trial, [thirty] forty dollars.
40 (e) For entry of judgment upon confession, [thirty-five] forty-five
41 dollars, unless there has been paid a fee pursuant to subdivision (a) or
42 subdivision (b) hereof.
43 (f) On filing notice of appeal, [twenty-five] thirty dollars.
44 (g) For issuing a satisfaction of judgment, or a certificate regarding
45 the judgment, [five] six dollars.
46 (h) Upon demand for a trial by jury, [fifty-five] seventy dollars; to
47 be paid by the party demanding the jury, at the time of demand.
48 (i) For exemplification of any paper filed, [ten] fifteen dollars.
49 (j) For certifying a copy of a paper on file in the clerk's office,
50 [five] six dollars.
51 (k) For issuing a notice of petition, or an order to show cause in
52 lieu thereof, in a summary proceeding to recover possession of real
53 property, [thirty-five] forty-five dollars.
54 (l) For issuing a petition for change of name, [fifty] sixty-five
55 dollars.
S. 1406 81 A. 2106
1 (m) For any other matter, not provided for above, for which there
2 would be a fee payable in the supreme court of a county within the city
3 of New York, the same fee.
4 All fees shall be prepaid before the service shall be performed.
5 § 32. The vehicle and traffic law is amended by adding a new section
6 1809-c to read as follows:
7 § 1809-c. Additional surcharge required for certain violations relat-
8 ing to driving while intoxicated and driving while impaired. 1.
9 Notwithstanding any other provision of law, whenever proceedings in a
10 court of this state result in a conviction pursuant to section eleven
11 hundred ninety-two of this chapter, there shall be levied, in addition
12 to any sentence or other surcharge required or permitted by law, an
13 additional surcharge of twenty-five dollars.
14 2. The additional surcharge provided for in subdivision one of this
15 section shall be paid to the clerk of the court that rendered the
16 conviction. Within the first ten days of the month following collection
17 of the surcharge the collecting authority shall determine the amount of
18 surcharge collected and it shall pay such money to the state comptroller
19 who shall deposit such money in the state treasury pursuant to section
20 one hundred twenty-one of the state finance law to the credit of the
21 general fund.
22 3. The provisions of subdivision three of section two hundred twenty-
23 seven, subdivision four-a of section five hundred ten, and subdivision
24 three of section five hundred fourteen of this chapter governing actions
25 which may be taken for failure to pay a fine or penalty shall be appli-
26 cable to the additional surcharge imposed pursuant to this section.
27 § 33. This act shall take effect on the one hundred eightieth day
28 after it shall have become a law; provided, however that:
29 a. sections one, two and three of this act shall take effect January
30 1, 2004, and shall apply to representation provided on or after such
31 date; and
32 b. a county or city in which a county is wholly contained may, by
33 local law, elect to have the provisions of section one, two or three of
34 this act take effect prior to such date.
35 c. the amendments to paragraph a of subdivision 2 of section 235 of
36 the vehicle and traffic law made by section sixteen of this act shall
37 not affect the expiration of such section and shall be deemed expired
38 therewith.
39 PART O
40 Section 1. Section 200 of the civil service law, as amended by chapter
41 24 of the laws of 1969, is amended to read as follows:
42 § 200. Statement of policy. The legislature of the state of New York
43 declares that it is the public policy of the state and the purpose of
44 this [act] article to promote harmonious and cooperative relationships
45 between government and its employees and to protect the public by assur-
46 ing, at all times, the orderly and uninterrupted operations and func-
47 tions of government. These policies are best effectuated by (a) grant-
48 ing to public employees the right of organization and representation,
49 (b) requiring the state, local governments and other political subdivi-
50 sions to negotiate with, and enter into written agreements with employee
51 organizations representing public employees which have been certified or
52 recognized, (c) encouraging such public employers and such employee
53 organizations to agree upon procedures for resolving disputes, (d)
54 creating a public and private employment relations board to assist in
S. 1406 82 A. 2106
1 resolving disputes between public employees and public employers as
2 prescribed in this article, and between private sector employees and
3 employers as prescribed in article twenty of the labor law, (e) continu-
4 ing the prohibition against strikes by public employees and providing
5 remedies for violations of such prohibition, and (f) coordinating the
6 provision of public and private sector labor dispute resolution services
7 as provided in the civil service law and labor law by consolidating the
8 provision of such services in a single board.
9 § 2. Subdivision 1 of section 201 of the civil service law, as added
10 by chapter 392 of the laws of 1967, is amended to read as follows:
11 1. The term "board" means the public and private employment relations
12 board created by section two hundred five of this article.
13 § 3. The section heading, subdivisions 1, 2, 3, 4, 6 and the opening
14 paragraph of subdivision 5 of section 205 of the civil service law, the
15 section heading, subdivision 2, the opening paragraph of subdivision 5,
16 and subdivision 6 as added by chapter 392 of the laws of 1967, subdivi-
17 sion 1 as amended by chapter 391 of the laws of 1969, subdivision 3 as
18 amended by chapter 307 of the laws of 1979, subdivision 4 as amended by
19 chapter 503 of the laws of 1971, are amended and subdivision 5 is
20 amended by adding a new paragraph (m) to read as follows:
21 Public and private employment relations board. 1. There is hereby
22 created in the state department of civil service a board, formerly known
23 as the public employment relations board, to be hereafter known as the
24 public and private employment relations board, which shall consist of
25 three members appointed by the governor, by and with the advice and
26 consent of the senate from persons representative of the public. Not
27 more than two members of the board shall be members of the same poli-
28 tical party. No member of the board shall accept employment as a labor
29 or management advocate. Each member shall be appointed for a term of six
30 years[, except that of the members first appointed, one shall be
31 appointed for a term to expire on May thirty-first, nineteen hundred
32 sixty-nine, one for a term to expire on May thirty-first, nineteen
33 hundred seventy-one, and one for a term to expire on May thirty-first,
34 nineteen hundred seventy-three]. The governor shall designate one member
35 who shall serve as [chairman] chairperson of the board until the expira-
36 tion of his or her term. A member appointed to fill a vacancy shall be
37 appointed for the unexpired term of the member whom he or she is to
38 succeed. The members of the public employment relations board, in
39 office on the effective date of the chapter of the laws of two thousand
40 three that added this sentence, shall continue to serve as members of
41 the public and private employment relations board until the expiration
42 of their respective terms of office.
43 2. Members of the board shall hold no other public office or public
44 employment in the state. The [chairman] chairperson shall give his or
45 her whole time to his or her duties.
46 3. Members of the board other than the [chairman] chairperson shall,
47 when performing the work of the board, be compensated at [the] a per
48 diem rate of [two hundred and fifty dollars per day] .0038 of the annual
49 salary of the chairperson, together with an allowance for actual and
50 necessary expenses incurred in the discharge of their duties hereunder.
51 The [chairman] chairperson shall receive an annual salary to be fixed
52 within the amount available therefor by appropriation, in addition to an
53 allowance for expenses actually and necessarily incurred by him or her
54 in the performance of his or her duties.
55 4. (a) The board may appoint an executive director and such other
56 persons, including but not limited to attorneys, mediators, trial exam-
S. 1406 83 A. 2106
1 iners, directors for local or program areas, members of fact-finding
2 boards and representatives of employee organizations and public employ-
3 ers to serve as technical advisers to such fact-finding boards, as it
4 may from time to time deem necessary for the performance of its func-
5 tions, prescribe their duties, fix their compensation and provide for
6 reimbursement of their expenses within the amounts made available there-
7 for by appropriation. Attorneys appointed under this section may, at the
8 direction of the board, appear for and represent the board in any case
9 in court.
10 (b) No member of the board or its appointees pursuant to this subdivi-
11 sion, including without limitation any mediator or fact-finder employed
12 or retained by the board, shall, except as required by this article, be
13 compelled to nor shall he or she voluntarily disclose to any administra-
14 tive or judicial tribunal or at the legislative hearing, held pursuant
15 to subparagraph (iii) of paragraph (e) of subdivision three of section
16 two hundred nine of this article, any information relating to the resol-
17 ution of a particular dispute in the course of collective negotiations
18 acquired in the course of his or her official activities under this
19 article, nor shall any reports, minutes, written communications, or
20 other documents pertaining to such information and acquired in the
21 course of his or her official activities under this article be subject
22 to subpoena or voluntarily disclosed; except that where the information
23 so required indicates that the person appearing or who has appeared
24 before the board has been the victim of, or otherwise involved in, a
25 crime, other than a criminal contempt in a case involving or growing out
26 of a violation of this article, said members of the board and its
27 appointees may be required to testify fully in relation thereto upon any
28 examination, trial, or other proceeding in which the commission of such
29 crime is the subject of inquiry.
30 In addition to the powers and functions provided in other sections of
31 this article and article twenty of the labor law, the board shall have
32 the following powers and functions:
33 (m) To coordinate the administration and oversight of labor practices
34 and labor relations dispute resolution activities for public and private
35 sector employees and employers as provided for in this article and in
36 article twenty of the labor law.
37 6. Notwithstanding any other provisions of law, neither the [president
38 of the civil service commission] commissioners of the civil service
39 department nor the state department of labor, or the civil service
40 commission or any other officer, employer, board or agency of the
41 [department] departments of civil service or labor shall supervise,
42 direct or control the board in the performance of any of its functions
43 or the exercise of any of its powers under this article; provided,
44 however, that nothing herein shall be construed to exempt employees of
45 the board from the provisions of [the civil service law] this chapter.
46 § 4. Subdivision 1 of section 154-c of the civil service law, as added
47 by chapter 306 of the laws of 1985, is amended to read as follows:
48 1. The term "managerial or confidential employee" as used in this
49 section shall mean a full-time employee or officer in the executive
50 branch of the state whose position is designated managerial or confiden-
51 tial pursuant to article fourteen of this chapter, civilian state
52 employees of the division of military and naval affairs in the executive
53 department whose positions are not in, or are excluded from represen-
54 tation rights in, any recognized or certified negotiating unit, officers
55 and employees excluded from representation rights under article fourteen
56 of this chapter pursuant to rules and regulations of the public and
S. 1406 84 A. 2106
1 private employment relations board, officers and employees whose sala-
2 ries are prescribed by section nineteen of the correction law, officers
3 and employees whose salaries are provided for by paragraph (a) of subdi-
4 vision one of section two hundred fifteen of the executive law, and
5 employees in positions in the professional service in the state univer-
6 sity which are designated, stipulated or excluded from negotiating units
7 as managerial or confidential as defined pursuant to article fourteen of
8 this chapter.
9 § 5. Paragraph a of subdivision 2 of section 159 of the civil service
10 law, as amended by chapter 1028 of the laws of 1981, is amended to read
11 as follows:
12 a. The benefits provided thereby shall be available to all state offi-
13 cers and employees in the executive branch whose positions are desig-
14 nated managerial or confidential pursuant to article fourteen of this
15 chapter and all state officers and employees excluded from represen-
16 tation rights under this chapter pursuant to rules and regulations of
17 the public and private employment relations board, subject to reasonable
18 underwriting restrictions of the selected insurers;
19 § 6. Paragraph (d) of subdivision 3 of section 209 of the civil
20 service law, as amended by chapter 216 of the laws of 1977, is amended
21 to read as follows:
22 (d) in the event that the findings of fact and recommendations are
23 made public by a fact-finding board appointed by the board or estab-
24 lished pursuant to procedures agreed upon by the parties under subdivi-
25 sion two of this section, and the impasse continues, the public and
26 private employment relations board shall have the power to take whatever
27 steps it deems appropriate to resolve the dispute, including (i) the
28 making of recommendations after giving due consideration to the findings
29 of fact and recommendations of such fact-finding board, but no further
30 fact-finding board shall be appointed and (ii) upon the request of the
31 parties, assistance in providing for voluntary arbitration;
32 § 7. Subdivision 9 of section 701 of the labor law, as amended by
33 chapter 166 of the laws of 1991, is amended to read as follows:
34 9. The term "board" means the public and private employment relations
35 board created by section [seven hundred two of this article] two hundred
36 five of the civil service law.
37 § 8. Section 702 of the labor law is REPEALED.
38 § 9. The labor law is amended by adding a new section 717-a to read as
39 follows:
40 § 717-a. Employment relations board abolished. The New York state
41 employment relations board created by former section seven hundred two
42 of this article is hereby abolished and the term of any member thereof
43 not already in hold over status hereby expires with the enactment of
44 this section.
45 § 10. Paragraph (c) of subdivision 1 of section 169 of the executive
46 law, as amended by chapter 634 of the laws of 1998, is amended to read
47 as follows:
48 (c) commissioner of agriculture and markets, commissioner of alcohol-
49 ism and substance abuse services, adjutant general, commissioner and
50 president of state civil service commission, commissioner of economic
51 development, chair of the energy research and development authority,
52 executive director of the board of real property services, president of
53 higher education services corporation, commissioner of motor vehicles,
54 member-chair of board of parole, director of probation and correctional
55 alternatives, chair of public and private employment relations board,
56 secretary of state, chair of the state racing and wagering board,
S. 1406 85 A. 2106
1 commissioner of alcoholism and substance abuse services, executive
2 director of the housing finance agency, commissioner of housing and
3 community renewal, executive director of state insurance fund, commis-
4 sioner-chair of state liquor authority, chair of the workers' compen-
5 sation board;
6 § 11. Paragraph (e) of subdivision 1 of section 169 of the executive
7 law, as amended by chapter 437 of the laws of 1995, is amended to read
8 as follows:
9 (e) chairman of state athletic commission, chairman and executive
10 director of consumer protection board, member-chairman of crime victims
11 board, chairman of human rights appeal board, chairman of the industrial
12 board of appeals, [chairman of the employment relations board,] chairman
13 of the state commission of correction, members of the board of parole,
14 members of the state racing and wagering board, member-chairman of unem-
15 ployment insurance appeal board, director of veterans' affairs, and
16 vice-chairman of the workers' compensation board;
17 § 12. Subdivision b of section 229 of the executive law, as added by
18 chapter 336 of the laws of 1969, is amended to read as follows:
19 b. The said review panel shall consist of three persons who shall be
20 selected as follows. One person shall be selected by the superintendent.
21 One person shall be selected by the employee organization recognized or
22 certified to represent the member pursuant to the provisions of article
23 fourteen of the civil service law. The third person shall be selected by
24 the other two or, if they cannot agree, he or she shall be selected by
25 the chair of the public and private employment relations board. Each of
26 the three persons so selected shall be appointed by the superintendent
27 and shall hold office until a successor has been selected and appointed.
28 § 13. Subdivision 12-f of section 8 of the state finance law, as
29 amended by chapter 732 of the laws of 1988, is amended to read as
30 follows:
31 12-f. Notwithstanding any inconsistent provision of the court of
32 claims act, examine, audit and certify for payment of any claim submit-
33 ted and approved by the head of the state department or agency for
34 personal property of an officer or employee, whose position is desig-
35 nated managerial or confidential pursuant to article fourteen of the
36 civil service law, and of civilian state employees of the division of
37 military and naval affairs in the executive department whose positions
38 are not in, or are excluded from representation rights in, any recog-
39 nized or certified negotiating unit, and of officers and employees
40 excluded from representation rights under article fourteen of the civil
41 service law pursuant to rules and regulations of the public and private
42 employment relations board, damaged or destroyed in the actual perform-
43 ance of official duties without fault or negligence of the officer or
44 employee other than a claim specified and covered by subdivision twelve
45 or twelve-d of this section after March thirty-first, nineteen hundred
46 eighty-eight. Payment of such claim shall not exceed the sum of three
47 hundred fifty dollars. Such payments for claims not in excess of seven-
48 ty-five dollars may be made from a petty cash account established pursu-
49 ant to section one hundred fifteen of this chapter and in the manner
50 prescribed therein and pursuant to regulations of the comptroller. No
51 person submitting a claim under this subdivision shall have any claim
52 for damages to such personal property approved pursuant to the provision
53 of subdivision four of section five hundred thirty of the labor law or
54 any other applicable provision of law.
55 § 14. Subdivisions 3, 11 and 13 of section 201 of the state finance
56 law, subdivisions 3 and 13 as amended by chapter 233 of the laws of 1992
S. 1406 86 A. 2106
1 and subdivision 11 as added by chapter 421 of the laws of 1990, are
2 amended to read as follows:
3 3. The comptroller is hereby authorized to deduct from the salary of
4 any employee of the state in the executive branch whose position is
5 designated managerial or confidential pursuant to article fourteen of
6 the civil service law, employees covered by section nineteen of the
7 correction law, employees in the professional service in the state
8 university which are designated, stipulated or excluded from negotiating
9 units as managerial or confidential as defined pursuant to article four-
10 teen of the civil service law, employees covered by paragraph (a) of
11 subdivision one of section two hundred fifteen of the executive law or
12 in the division of military and naval affairs of the executive depart-
13 ment or excluded from representation rights under article fourteen of
14 the civil service law pursuant to rules or regulations of the public and
15 private employment relations board, judges and justices of the unified
16 court system and nonjudicial employees thereof not in collective negoti-
17 ating units, such amount as such employee may specify in writing filed
18 in a manner determined by the comptroller for the payment of insurance
19 premiums for a group insurance plan, or a wholesale, franchise or simi-
20 lar mass-marketed insurance policy or program and transmit deductions so
21 withheld to the insurance or other company, organization, or agency
22 issuing or administering said policy. Any such written authorization may
23 be withdrawn by the employee at any time upon filing written notice of
24 such withdrawal in a manner determined by the comptroller, or such
25 deduction may be terminated on notice to the comptroller by the insur-
26 ance or other company, organization or agency in accordance with the
27 terms of the policy.
28 11. Notwithstanding any other inconsistent provision of law, the comp-
29 troller, after receipt of written directions of the director of employee
30 relations, is authorized to deduct from the salary of any employee of
31 the state in the executive branch whose position is designated manageri-
32 al or confidential pursuant to article fourteen of the civil service
33 law, employees covered by section nineteen of the correction law,
34 employees in the professional service in the state university which are
35 designated, stipulated or excluded from negotiating units as managerial
36 or confidential as defined pursuant to article fourteen of the civil
37 service law, employees covered by paragraph (a) of subdivision one of
38 section two hundred fifteen of the executive law or in the division of
39 military and naval affairs of the executive department or excluded from
40 representation rights under article fourteen of the civil service law
41 pursuant to rules or regulations of the public and private employment
42 relations board, employees of the legislature, judges and justices of
43 the unified court system and nonjudicial employees thereof not in
44 collective negotiating units, such amount as such employee may specify
45 in writing filed with the payroll officer of such employee's agency for
46 the payment of child care fees for services at child care centers desig-
47 nated by the director of employee relations and transmit deductions so
48 withheld to such designated child care center providing such services.
49 Any such written authorization may be withdrawn by the employee at any
50 time upon filing written notice of such withdrawal with the payroll
51 officer of such employee's agency, or such deduction may be terminated
52 on notice to the payroll officer of such employee's agency by the child
53 care center.
54 13. The comptroller is authorized to deduct from the salary of any
55 employee of the state in the legislative branch and any employee in the
56 executive or judicial branch whose position is designated managerial or
S. 1406 87 A. 2106
1 confidential pursuant to article fourteen of the civil service law, any
2 employee covered by section nineteen of the correction law, employees in
3 the professional service in the state university which are designated,
4 stipulated or excluded from negotiating units as managerial or confiden-
5 tial as defined pursuant to article fourteen of the civil service law,
6 employees covered by paragraph (a) of subdivision one of section two
7 hundred fifteen of the executive law or in the division of military and
8 naval affairs of the executive department or excluded from represen-
9 tation rights under article fourteen of the civil service law pursuant
10 to rules or regulations of the public and private employment relations
11 board or any employee represented by an employee organization who elects
12 pursuant to an agreement entered into between the state and the employee
13 organization to participate in such state authorized individual retire-
14 ment plan such amount as such employee may specify in writing filed in a
15 manner determined by the comptroller for contribution to an authorized
16 individual retirement plan as determined pursuant to section two hundred
17 eight of this article and to transmit deductions so withheld to the
18 financial organization which operates such authorized individual retire-
19 ment plan. Any such written authorization may be withdrawn by the
20 employee at any time upon filing written notice of such withdrawal in a
21 manner determined by the comptroller or such deduction may be terminated
22 on notice to the comptroller by the financial organization in accordance
23 with the terms of such plan.
24 § 15. Subdivisions 1 and 2 of section 209-a of the state finance law,
25 as amended by chapter 138 of the laws of 1997, are amended to read as
26 follows:
27 1. Notwithstanding any other law, rule or regulation to the contrary,
28 where, and to the extent that, an agreement between the state or the New
29 York state canal corporation and an employee organization entered into
30 pursuant to article fourteen of the civil service law on behalf of
31 employees in a collective negotiating unit established pursuant to arti-
32 cle fourteen of the civil service law provides for the payment of a
33 supplement to the workers' compensation award, such supplement shall be
34 paid in accordance with such agreement. Officers and employees serving
35 in positions in the executive branch which are designated managerial or
36 confidential pursuant to article fourteen of the civil service law,
37 civilian state employees of the division of military and naval affairs
38 of the executive department whose positions are not in, or are excluded
39 from representation rights in any recognized or certified negotiating
40 unit, those excluded from representation rights under article fourteen
41 of the civil service law pursuant to rules and regulations of the public
42 and private employment relations board and officers and employees of the
43 legislature shall receive a supplement to the workers' compensation
44 award provided, however, that officers and employees serving in posi-
45 tions in the executive branch which are designated managerial or confi-
46 dential pursuant to article fourteen of the civil service law, civilian
47 state employees of the division of military and naval affairs of the
48 executive department whose positions are not in, or are excluded from
49 representation rights in any recognized or certified negotiating unit
50 and those excluded from representation rights under article fourteen of
51 the civil service law pursuant to rules and regulations of the public
52 and private employment relations board shall receive such supplement
53 only with respect to an absence resulting from an occupational injury or
54 disease occurring on or before June thirtieth, nineteen hundred ninety-
55 two. Such supplement shall be paid in accordance with rules and regu-
S. 1406 88 A. 2106
1 lations to be promulgated by the president of the civil service commis-
2 sion.
3 For the sole purpose of retirement credit, retirement contribution and
4 final average salary under the retirement and social security law, an
5 employee's compensation for the period during which he or she receives
6 such supplement and such award shall be deemed to be the full compen-
7 sation or salary such employee would have earned or been entitled to
8 receive had he or she not received the workers' compensation benefit
9 provided by such agreement. During the period of time an employee
10 receives payment of such supplement and workers' compensation award,
11 such employee shall be deemed on the payroll in full status for those
12 purposes provided for in such agreement.
13 2. Notwithstanding any other law, rule or regulation to the contrary,
14 where, and to the extent that, an agreement between the state or the New
15 York state canal corporation and an employee organization entered into
16 pursuant to article fourteen of the civil service law on behalf of
17 employees in a collective negotiating unit established pursuant to arti-
18 cle fourteen of the civil service law so provides, an employee placed on
19 an authorized leave without pay during the course of an absence result-
20 ing from an occupational injury or disease found to be compensable by
21 the workers' compensation board shall be deemed to be on the payroll at
22 such employee's prevailing rate of annual compensation for the purpose
23 of retirement credit and employer contributions to the retirement
24 system. Officers and employees serving in positions in the executive
25 branch which are designated managerial or confidential pursuant to arti-
26 cle fourteen of the civil service law, civilian state employees of the
27 division of military and naval affairs of the executive department whose
28 positions are not in, or are excluded from representation rights in any
29 recognized or certified negotiating unit and those excluded from repre-
30 sentation rights under article fourteen of the civil service law pursu-
31 ant to rules and regulations of the public and private employment
32 relations board who are placed on an authorized leave without pay during
33 the course of an absence resulting from an occupational injury or
34 disease found to be compensable by the workers' compensation board
35 occurring on or after July first, nineteen hundred ninety-two, shall be
36 deemed to be on the payroll at such officer's or employee's prevailing
37 rate of compensation for the purpose of retirement credit and employer
38 contributions to the retirement system. Any employee contribution relat-
39 ing to the retirement credit provided by this subdivision shall be paid
40 directly by such employee to the retirement system pursuant to the rules
41 and regulations of the comptroller. The retirement credit provided by
42 this subdivision shall only apply to a period of authorized leave with-
43 out pay occurring during the first twelve months of absence related to
44 such occupational injury or disease.
45 § 16. Subdivision 2 of section 209-b of the state finance law, as
46 added by chapter 315 of the laws of 1995, is amended to read as follows:
47 2. Notwithstanding any other law, rule or regulation to the contrary,
48 officers and employees serving in positions in the executive branch
49 which are designated managerial or confidential pursuant to article
50 fourteen of the civil service law, civilian state employees of the divi-
51 sion of military and naval affairs of the executive department whose
52 positions are not in, or are excluded from representation rights in any
53 recognized or certified negotiating unit and those excluded from repre-
54 sentation rights under article fourteen of the civil service law pursu-
55 ant to rules and regulations of the public and private employment
56 relations board whose permanent positions in the competitive, non-com-
S. 1406 89 A. 2106
1 petitive or labor classes are abolished as a consequence of the state
2 contracting for goods and services may receive a severance benefit in
3 the form of a lump sum payment or an educational stipend. Such severance
4 benefit shall be paid in accordance with rules and regulations to be
5 promulgated by the president of the civil service commission. A sever-
6 ance benefit in the form of a lump sum payment shall be repaid to the
7 state under the circumstances and in the manner specified by such rules
8 and regulations.
9 § 17. Subdivision 2 of section 1226-k of the public authorities law,
10 as added by chapter 647 of the laws of 1994, is amended to read as
11 follows:
12 2. A transferred employee shall remain in the same collective bargain-
13 ing unit as was the case prior to his or her transfer; successor employ-
14 ees to the positions held by such transferred employees shall, consist-
15 ent with the provisions of article fourteen of the civil service law, be
16 included in the same unit as their predecessors. Employees serving in
17 positions in newly created titles shall be assigned to the same collec-
18 tive bargaining unit as they would have been assigned to such unit were
19 such titles created prior to the establishment of the authority. Nothing
20 contained in this title shall be construed (a) to diminish the rights of
21 employees pursuant to a collective bargaining agreement or (b) to affect
22 existing law with respect to an application to the public and private
23 employment relations board seeking a designation by the board that
24 certain persons are managerial or confidential.
25 § 18. Subdivision 2 of section 1699-i of the public authorities law,
26 as added by chapter 83 of the laws of 1995, is amended to read as
27 follows:
28 2. A transferred employee shall remain in the same collective bargain-
29 ing unit as was the case prior to his or her transfer; successor employ-
30 ees to the positions held by such transferred employees shall, consist-
31 ent with the provisions of article fourteen of the civil service law, be
32 included in the same unit as their predecessors. Employees, other than
33 managerial or confidential persons (as defined in article fourteen of
34 the civil service law), serving in positions in newly created titles
35 shall be assigned to the appropriate bargaining unit. Nothing contained
36 herein shall be construed to affect: (a) the rights of employees pursu-
37 ant to a collective bargaining agreement; (b) the representational
38 relationships among employee organizations or the bargaining relation-
39 ships between the state and an employee organization; or (c) existing
40 law with respect to an application to the public and private employment
41 relations board, provided, however, that the merger of such negotiating
42 units of employees shall be effected only with the consent of the recog-
43 nized and certified representatives of such units and of the authority.
44 § 19. Subdivision 1 of section 1739 of the public authorities law, as
45 added by chapter 738 of the laws of 1988, is amended to read as follows:
46 1. For the purpose of article fourteen of the civil service law, the
47 authority shall be deemed to be the public employer and as such shall
48 negotiate with and enter into written agreements with employee organiza-
49 tions representing the staff of the authority that have been certified
50 or recognized under such article. In carrying on such negotiations, the
51 authority shall consult with and seek assistance from the office of
52 labor relations and collective bargaining of the city board and the New
53 York city office of municipal labor relations. The state public and
54 private employment relations board shall have exclusive jurisdiction for
55 the purpose of administering the provisions of such article and the
S. 1406 90 A. 2106
1 provisions of section two hundred twelve of such article shall not be
2 applicable to any such negotiations.
3 § 20. Paragraph b of subdivision 4 of section 1739 of the public
4 authorities law, as added by chapter 738 of the laws of 1988, is amended
5 to read as follows:
6 b. Any such titles for which terms and conditions are bargained pursu-
7 ant to paragraph a of this subdivision shall be deemed to be successor
8 titles within the meaning of applicable law and, so long as the respon-
9 sibilities of employees in these titles are reasonably related to the
10 responsibilities of employees currently represented by a public employee
11 organization, shall be accreted to the appropriate bargaining certif-
12 icates for which such public employee organization shall be voluntarily
13 recognized as the bargaining agent under procedures acceptable to the
14 state public and private employment relations board.
15 § 21. Subdivision 2 of section 2755 of the public authorities law, as
16 added by chapter 663 of the laws of 1989, is amended to read as follows:
17 2. A transferred employee shall remain in the same collective bargain-
18 ing unit as was the case prior to his or her transfer; successor employ-
19 ees to the positions held by such transferred employees shall, consist-
20 ent with the provisions of article fourteen of the civil service law, be
21 included in the same unit as their predecessors. Employees serving in
22 positions in newly created titles shall be assigned to such same collec-
23 tive bargaining unit if they would have been assigned to such unit were
24 such titles created prior to the establishment of the authority. Nothing
25 contained in this title shall be construed to diminish (a) the rights of
26 employees pursuant to a collective bargaining agreement or (b) to affect
27 existing law with respect to an application to the public and private
28 employment relations board seeking a designation by the board that
29 certain persons are managerial or confidential.
30 § 22. Subdivision 2 of section 2781 of the public authorities law, as
31 added by chapter 686 of the laws of 1993, is amended to read as follows:
32 2. A transferred employee shall remain in the same collective bargain-
33 ing unit as was the case prior to his or her transfer; successor employ-
34 ees to the positions held by such transferred employees shall, consist-
35 ent with the provisions of article fourteen of the civil service law, be
36 included in the same unit as their predecessors. Employees serving in
37 positions in newly created titles shall be assigned to the same collec-
38 tive bargaining unit as they would have been assigned to such unit were
39 such titles created prior to the establishment of the authority. Nothing
40 contained in this title shall be construed (a) to diminish the rights of
41 employees pursuant to a collective bargaining agreement or (b) to affect
42 existing law with respect to an application to the public and private
43 employment relations board seeking a designation by the board that
44 certain persons are managerial or confidential.
45 § 23. Subdivision 3 of section 3246 of the public authorities law, as
46 added by chapter 220 of the laws of 1990, is amended to read as follows:
47 3. A transferred employee shall remain in the same collective bargain-
48 ing unit as was the case prior to his or her transfer; successor employ-
49 ees to the positions held by such transferred employees shall, consist-
50 ent with the provisions of article fourteen of the civil service law, be
51 included in the same unit as their predecessors. Employees serving in
52 positions in newly created titles shall be assigned to such same collec-
53 tive bargaining unit if they would have been assigned to such unit were
54 such titles created prior to the establishment of the corporation. Noth-
55 ing contained in this title shall be construed to diminish (a) the
56 rights of employees pursuant to a collective bargaining agreement or (b)
S. 1406 91 A. 2106
1 to affect existing law with respect to an application to the public and
2 private employment relations board seeking a designation by the board
3 that certain persons are managerial or confidential.
4 § 24. Section 473 of the retirement and social security law, as added
5 by chapter 382 of the laws of 1973, is amended to read as follows:
6 § 473. Impasses in coalition negotiations. (a) In the event of an
7 impasse occurring during the course of coalition negotiations either the
8 employer coalition or the employee organization coalition may declare
9 impasse no earlier than September fifteenth or later than October first
10 in any year. Notice of impasse shall be filed with the public and
11 private employment relations board created pursuant to article fourteen
12 of the civil service law, as amended.
13 (b) Forthwith after receipt of the notice of impasse the public and
14 private employment relations board shall appoint a fact finding board of
15 not more than three members, each representative of the public, from a
16 list of qualified persons maintained by the board, which fact finding
17 board shall have, in addition to the powers delegated to it by the
18 public and private employment relations board, the power to make public
19 recommendations for the resolution of the dispute.
20 (c) If the dispute is not resolved by November fifteenth prior to the
21 legislative session at which implementation of any changes described by
22 the former section four hundred seventy-one of this article will be
23 sought, the fact finding board shall transmit its findings of fact and
24 recommendations to the coalition parties and to the public and private
25 employment relations board.
26 (d) In the event either of the coalition parties to the impasse does
27 not accept the recommendations of the fact finding board, such coalition
28 party may submit its position with respect to such recommendations of
29 the fact finding board to the public and private employment relations
30 board and to the other coalition party to the impasse.
31 (e) The public and private employment relations board shall cause such
32 recommendation of the fact finding board and the positions of the
33 parties to be made public prior to December first and shall hold public
34 hearings thereon. In addition to the powers vested in the public and
35 private employment relations board by law, it may require the assistance
36 of representatives of any public retirement system or any public employ-
37 er or employee organization as defined in article fourteen of the civil
38 service law and may request or permit, in its discretion, the testimony
39 of any person or organization whose testimony would assist in the resol-
40 ution of the dispute in the public interest.
41 (f) On or before January fifteenth following such notice of impasse or
42 thirty days following the close of such hearings whichever first occurs,
43 the public and private employment relations board shall present its
44 recommendations with respect to the impasse to the governor, the legis-
45 lature and the parties to the impasse.
46 (g) The legislature or a duly authorized committee thereof shall
47 forthwith conduct a public hearing at which the parties shall be
48 required to explain their positions with respect to the issues and the
49 recommendations of the fact finding board and the public and private
50 employment relations board; thereafter, the legislature shall take such
51 action as it deems to be in the public interest, including the interest
52 of the public employees involved.
53 § 25. Paragraph a of subdivision 1 of section 656 of the retirement
54 and social security law, as added by chapter 75 of the laws of 1989, is
55 amended to read as follows:
S. 1406 92 A. 2106
1 a. The term "managerial/confidential employee" as used in this section
2 shall mean a full time employee or officer in the executive branch of
3 the state whose position has been designated managerial or confidential
4 pursuant to article fourteen of the civil service law, an employee
5 covered by section nineteen of the correction law, an employee in the
6 professional service in the state university who is designated, stipu-
7 lated or excluded from negotiating units as managerial or confidential
8 as defined pursuant to article fourteen of the civil service law, an
9 employee covered by paragraph (a) of subdivision one of section two
10 hundred fifteen of the executive law or who has been excluded from
11 representation rights under such article pursuant to rules and regu-
12 lations of the public and private employment relations board, or who is
13 a civilian state employee of the division of military and naval affairs
14 in the executive department whose position is not in, or is excluded
15 from representation rights in, any recognized or certified bargaining
16 unit, and whose salary is paid directly by the state, judges and
17 justices of the unified court system and nonjudicial employees thereof
18 not in collective negotiating units. Managerial/confidential employees
19 may be considered state employees for the purposes of section six
20 hundred fifty-five of this article provided, however, an employee shall
21 be eligible for the greater of the benefits afforded by this section or
22 section six hundred fifty-five of this article and shall in no event
23 receive benefits pursuant to both such sections.
24 § 26. Section 6208 of the education law, as added by chapter 305 of
25 the laws of 1979, is amended to read as follows:
26 § 6208. Collective negotiation. For the purposes of article fourteen
27 of the civil service law, the city university of New York shall be
28 deemed to be the public employer and as such shall negotiate with and
29 enter into written agreements with employee organizations representing
30 the instructional staff and non-instructional staff of the senior
31 colleges and community colleges of such university that have been certi-
32 fied or recognized under such article. For purposes of such article,
33 the chancellor of the city university shall be deemed to be the chief
34 executive officer, the chief legal officer of the city university shall
35 be chief legal officer, and the legislature of the state of New York
36 shall be deemed to be the legislative body of the government. In carry-
37 ing on such negotiations, the city university of New York shall consult
38 with and seek assistance from the state office of employee relations and
39 the New York city office of municipal labor relations. The state public
40 and private employment relations board shall have exclusive jurisdiction
41 for the purpose of administering the provisions of such article and the
42 provisions of section two hundred twelve of such article shall not be
43 applicable to any such negotiations.
44 § 27. Subdivision 12 of section 6310 of the education law, as added by
45 chapter 552 of the laws of 1984, is amended to read as follows:
46 12. For the purposes of article fourteen of the civil service law, the
47 community college regional board of trustees shall be deemed to be the
48 public employer and as such shall negotiate with and enter into written
49 agreements with employee organizations representing the instructional
50 staff and non-instructional staff of the community colleges that have
51 been certified or recognized under such article. For purposes of such
52 article, the president of the community college shall be deemed to be
53 the chief executive officer, the chief legal officer of the community
54 college shall be chief legal officer, and the community college regional
55 board of trustees shall be deemed to be the legislative body of the
56 government. The state public and private employment relations board
S. 1406 93 A. 2106
1 shall have exclusive jurisdiction for the purpose of administering the
2 provisions of such article.
3 § 28. Subdivision 7 of section 39 of the judiciary law, as added by
4 chapter 966 of the laws of 1976 and such section as renumbered by chap-
5 ter 156 of the laws of 1978, is amended to read as follows:
6 7. Upon the termination of the period of unchallenged representation
7 of any employee organization certified or recognized to represent
8 employees of the courts or court related agencies of the unified court
9 system, petitions may be filed with the public and private employment
10 relations board to alter negotiating units in accordance with the stand-
11 ards set forth in section two hundred seven of the civil service law;
12 provided, however, that such board shall not alter any such negotiating
13 unit comprised exclusively of such employees or that part of any other
14 negotiating unit comprised of such employees. The provisions of this
15 subdivision shall be applicable in any case in which the negotiating
16 unit is so defined on the effective date of this subdivision in accord-
17 ance with the provisions of either section two hundred seven or section
18 two hundred twelve of the civil service law, as the case may be. Nothing
19 herein shall preclude the merger of negotiating units of such employees
20 with the consent of the administrative board of the judicial conference
21 and the recognized or certified representatives of the negotiating units
22 involved.
23 § 29. Subdivision (a) of section 12 of the executive law, as added by
24 section 2 of part B of chapter 383 of the laws of 2001, is amended to
25 read as follows:
26 (a) Notwithstanding any other law, the state, through the governor,
27 may execute a tribal-state compact with the Seneca Nation of Indians
28 pursuant to the Indian Gaming Regulatory Act of 1988 (P.L. 100-497; 25
29 U.S.C. §§§§ 2701-2721 and 18 U.S.C. §§§§ 1166-1168) consistent with a
30 memorandum of understanding between the governor and the president of
31 the Seneca Nation of Indians executed on June twentieth, two thousand
32 one and filed with the department of state on June twenty-first, two
33 thousand one. Such tribal-state compact shall be deemed ratified by the
34 legislature upon the governor's certification to the temporary president
35 of the senate, the speaker of the assembly, and the secretary of state,
36 that such compact, through its terms, by a memorandum of understanding
37 or other agreement between the state and Nation, by a Nation's ordinance
38 or resolution, by statute, by executive order, or by the terms of any
39 other agreement entered into by or on behalf of the Nation, provides:
40 (i) assurances that the Nation will provide (1) reasonable access to the
41 gaming and related facilities to labor union organizers for purposes of
42 a campaign to solicit employee support for labor union representation;
43 (2) permission for labor union organizers to distribute labor union
44 authorization cards on site for the purpose of soliciting employee
45 support for labor union representation; and (3) recognition of labor
46 unions as the exclusive collective bargaining representatives of employ-
47 ees in appropriate bargaining units based upon a demonstration of major-
48 ity employee support of such labor unions by union authorization card
49 check as verified, if necessary, by an independent arbitrator appointed
50 by the [State] Public and Private Employment Relations Board in consul-
51 tation with the Nation and the labor union; (ii) assurances that the
52 Nation has an adequate civil recovery system which guarantees fundamen-
53 tal due process to visitors and guests of the facility and related
54 facilities; and (iii) assurances that the Nation will maintain during
55 the term of the compact sufficient liability insurance to assure that
56 visitors and guests will be compensated for their injuries.
S. 1406 94 A. 2106
1 § 30. Paragraph (c) of subdivision 2 of section 3304 of the public
2 authorities law, as added by chapter 11 of the laws of 1997, is amended
3 to read as follows:
4 (c) existing law with respect to an application to the public and
5 private employment relations board seeking designation by the board that
6 certain persons are managerial or confidential. Nothing herein shall
7 preclude the merger of negotiating units of employees with the consent
8 of the recognized or certified representatives of such units.
9 § 31. Paragraph (b) of subdivision 6 of section 279-d of the county
10 law, as added by chapter 93 of the laws of 2001, is amended to read as
11 follows:
12 (b) Northern Westchester joint water works shall be subject to the
13 civil service law. Northern Westchester joint water works shall recog-
14 nize the existing certified or recognized employee organizations for
15 those persons who become employees of the Northern Westchester joint
16 water works pursuant to this section as the exclusive collective
17 bargaining representatives for such employees, who shall comprise corre-
18 spondingly new collective bargaining units. Northern Westchester joint
19 water works shall be bound by all existing collective bargaining agree-
20 ments with such employee organizations; all existing terms and condi-
21 tions of employment shall remain in effect until altered by the terms of
22 a successor contract; successor employees to the positions held by such
23 employees shall, consistent with the provisions of article fourteen of
24 the civil service law, be included in the same unit as their predeces-
25 sors. Employees serving in positions in newly created titles shall be
26 assigned to the appropriate bargaining unit. Nothing contained herein
27 shall be construed to affect the rights of employees pursuant to a
28 collective bargaining agreement, the representational relationships
29 among employee organizations or the bargaining relationships between the
30 county, state and an employee organization, or existing law with respect
31 to an application to the public and private employment relations board
32 seeking designation by the board that certain persons are managerial or
33 confidential. Nothing herein shall preclude the merger of negotiating
34 units of employees with the consent of the recognized or certified
35 representative of such units. The salary or compensation of any such
36 officer or employee after such transfer, shall be paid by Northern West-
37 chester joint water works. Northern Westchester joint water works shall,
38 upon transfer, acknowledge and give credit for all leave balances held
39 by such officers and employees on the date of transfer.
40 § 32. The opening paragraph of paragraph d of subdivision 1 of section
41 130 of the civil service law, as added by section 1 of part B of chapter
42 68 of the laws of 2000, is amended to read as follows:
43 Salary grades for positions in the competitive, non-competitive and
44 labor classes of the classified service of the state of New York desig-
45 nated managerial or confidential pursuant to article fourteen of this
46 chapter, civilian state employees of the division of military and naval
47 affairs of the executive department whose positions are not in, or are
48 excluded from representation rights in, any recognized or certified
49 negotiating unit, and those excluded from representation rights under
50 article fourteen of this chapter pursuant to rules or regulations of the
51 public and private employment relations board shall be as follows on the
52 effective dates indicated:
53 § 33. Subdivision 3 of section 212 of the civil service law, as added
54 by chapter 641 of the laws of 1998, is amended to read as follows:
55 3. Notwithstanding any other provision of law to the contrary, the
56 resolution of disputes in the course of collective negotiations as
S. 1406 95 A. 2106
1 provided by section two hundred nine of this article shall apply to any
2 organized fire department, police force, or police department of any
3 government subject to either subdivision one or two of this section.
4 Provided, however, that a recognized or certified employee organization
5 may elect to continue dispute resolution procedures which existed on the
6 day prior to the effective date of this subdivision by notifying the
7 appropriate public and private employment relations board in writing.
8 § 34. Subdivision 2 of section 905 of the public authorities law, as
9 added by chapter 605 of the laws of 1999, is amended to read as follows:
10 2. Nothing contained in this title shall be construed (a) to diminish
11 the rights of employees pursuant to a collective bargaining agreement or
12 (b) to affect existing law with respect to an application to the public
13 and private employment relations board seeking a designation by the
14 board that certain persons are managerial or confidential.
15 § 35. Subdivision 2 of section 1147-h of the public authorities law,
16 as added by chapter 691 of the laws of 1995, is amended to read as
17 follows:
18 2. A transferred employee shall remain in the same collective bargain-
19 ing unit as was the case prior to his or her transfer; successor employ-
20 ees to the positions held by such transferred employees shall, consist-
21 ent with the provisions of article fourteen of the civil service law, be
22 included in the same unit as their predecessors. Employees serving in
23 positions in newly created titles shall be assigned to the same collec-
24 tive bargaining unit as they would have been assigned to such unit were
25 such titles created prior to the establishment of the authority. Nothing
26 contained in this title shall be construed (a) to diminish the rights of
27 employees pursuant to a collective bargaining agreement or (b) to affect
28 existing law with respect to an application to the public and private
29 employment relations board seeking a designation by the board that
30 certain persons are managerial or confidential.
31 § 36. Subdivision 2 of section 1199-gggg of the public authorities
32 law, as added by chapter 195 of the laws of 1995, is amended to read as
33 follows:
34 2. A transferred employee shall remain in the same collective bargain-
35 ing unit as was the case prior to his or her transfer; successor employ-
36 ees to the positions held by such transferred employees shall, consist-
37 ent with the provisions of article fourteen of the civil service law, be
38 included in the same unit as their predecessors. Employees serving in
39 positions in newly created titles shall be assigned to the same collec-
40 tive bargaining unit as they would have been assigned to such unit were
41 such titles created prior to the establishment of the authority. Nothing
42 contained in this title shall be construed (a) to diminish the rights of
43 employees pursuant to a collective bargaining agreement or (b) to affect
44 existing law with respect to an application to the public and private
45 employment relations board seeking a designation by the board that
46 certain persons are managerial or confidential.
47 § 37. Subdivision 2 of section 1199-ffff of the public authorities
48 law, as added by chapter 411 of the laws of 1995, is amended to read as
49 follows:
50 2. A transferred employee shall remain in the same collective bargain-
51 ing unit as was the case prior to his or her transfer; successor employ-
52 ees to the positions held by such transferred employees shall, consist-
53 ent with the provisions of article fourteen of the civil service law, be
54 included in the same unit as their predecessors. Employees serving in
55 positions in newly created titles shall be assigned to the same collec-
56 tive bargaining unit as they would have been assigned to such unit were
S. 1406 96 A. 2106
1 such titles created prior to the establishment of the authority. Nothing
2 contained in this title shall be construed (a) to diminish the rights of
3 employees pursuant to a collective bargaining agreement or (b) to affect
4 existing law with respect to an application to the public and private
5 employment relations board seeking a designation by the board that
6 certain persons are managerial or confidential.
7 § 38. Subdivision 2 of section 1230-l of the public authorities law,
8 as added by chapter 275 of the laws of 2002, is amended to read as
9 follows:
10 2. A transferred employee shall remain in the same collective bargain-
11 ing unit as was the case prior to his or her transfer; successor employ-
12 ees to the positions held by such transferred employees shall, consist-
13 ent with the provisions of article fourteen of the civil service law, be
14 included in the same unit as their predecessors. Employees serving in
15 positions in newly created titles shall be assigned to the same collec-
16 tive bargaining unit as they would have been assigned to such unit were
17 such titles created prior to the establishment of the water board.
18 Nothing contained in this title shall be construed (a) to diminish the
19 rights of employees pursuant to a collective bargaining agreement or (b)
20 to affect existing law with respect to an application to the public and
21 private employment relations board seeking a designation by the board
22 that certain persons are managerial or confidential.
23 § 39. Subdivision 2 of section 1949-g of the public authorities law,
24 as added by chapter 130 of the laws of 1996, is amended to read as
25 follows:
26 2. A transferred employee shall remain in the same collective bargain-
27 ing unit as was the case prior to his or her transfer; successor employ-
28 ees to the positions held by such transferred employees shall, consist-
29 ent with the provisions of article fourteen of the civil service law, be
30 included in the same unit as their predecessors. Employees serving in
31 positions in newly created titles shall be assigned to the same collec-
32 tive bargaining unit as they would have been assigned to such unit were
33 such titles created prior to the establishment of the authority. Nothing
34 contained in this title shall be construed (a) to diminish the rights of
35 employees pursuant to a collective bargaining agreement or (b) to affect
36 existing law with respect to an application to the public and private
37 employment relations board seeking a designation by the board that
38 certain persons are managerial or confidential.
39 § 40. Subdivision 2 of section 2581 of the public authorities law, as
40 added by chapter 545 of the laws of 2000, is amended to read as follows:
41 2. A transferred employee shall remain in the same collective bargain-
42 ing unit as was the case prior to his or her transfer; successor employ-
43 ees to the positions held by such transferred employees shall, consist-
44 ent with the provisions of article fourteen of the civil service law, be
45 included in the same unit as their predecessors. Employees serving in
46 positions in newly created titles shall be assigned to such same collec-
47 tive bargaining unit if they would have been assigned to such unit were
48 such titles created prior to the establishment of the authority. Noth-
49 ing contained in this title shall be construed to diminish (a) the
50 rights of employees pursuant to a collective bargaining agreement or (b)
51 to affect existing law with respect to an application to the public and
52 private employment relations board seeking a designation by the board
53 that certain persons are managerial or confidential.
54 § 41. Subdivision 2 of section 2642-j of the public authorities law,
55 as added by chapter 75 of the laws of 2000, is amended to read as
56 follows:
S. 1406 97 A. 2106
1 2. Nothing contained in this title shall be construed (a) to diminish
2 the rights of employees pursuant to a collective bargaining agreement or
3 (b) to affect existing law with respect to an application to the public
4 and private employment relations board seeking a designation by the
5 board that certain persons are managerial or confidential.
6 § 42. Subdivision 3 of section 2657 of the public authorities law, as
7 added by chapter 124 of the laws of 1998, is amended to read as follows:
8 3. A transferred employee shall remain in the same collective bargain-
9 ing unit as was the case prior to his or her transfer. Successor employ-
10 ees to the positions held by such transferred employees shall, consist-
11 ent with the provisions of article fourteen of the civil service law, be
12 included in the same unit as their predecessors. Employees serving in
13 positions in newly created titles shall be assigned to the same collec-
14 tive bargaining unit as they would have been assigned to such unit were
15 such titles created prior to the establishment of the authority. Noth-
16 ing contained in this title shall be construed (a) to diminish the
17 rights of employees pursuant to a collective bargaining agreement or (b)
18 to affect existing law with respect to an application to the public and
19 private employment relations board seeking a designation by the board
20 that certain persons are managerial or confidential.
21 § 43. Subdivision 1 of section 3558 of the public authorities law, as
22 added by chapter 5 of the laws of 1997, is amended to read as follows:
23 1. The employees of the corporation shall, for all purposes of article
24 fourteen of the civil service law, be deemed to be employees of the
25 state of New York and shall be employed within the current state of New
26 York bargaining unit designations of either the professional, scientific
27 and technical unit, the administration services unit, operational
28 services unit, institutional services unit or security services unit.
29 The governor's office of employee relations shall, for all purposes of
30 article fourteen of the civil service law, act as agent for the corpo-
31 ration, and shall, with respect to the corporation, have all the powers
32 and duties provided under sections six hundred fifty through six hundred
33 fifty-four of the executive law. Those persons who become employees of
34 the corporation pursuant to this subdivision [one of this section] or
35 who enter into the service of the corporation following the effective
36 date of the transfer shall retain their current bargaining unit desig-
37 nations in either the professional, scientific and technical services
38 unit, the administrative services unit, the institutional services unit,
39 the operational services unit, the security services unit or the securi-
40 ty supervisors unit of state employees. The corporation and the state
41 shall recognize the existing certified or recognized employee organiza-
42 tions for state employees as the exclusive collective bargaining repre-
43 sentatives for such employees.
44 Titles within collective bargaining units in existence prior to the
45 transfer of operations to the corporation shall remain in those units
46 and will not be altered by the public and private employment relations
47 board without the consent of the corporation, the state and the recog-
48 nized or certified representatives of the negotiating units involved.
49 New titles created after the date of the transfer of operations to the
50 corporation will be placed in the appropriate unit of state employees
51 consistent with the provisions of article fourteen of the civil service
52 law.
53 § 44. Paragraph (d) of subdivision 1 of section 2855 of the education
54 law, as added by chapter 4 of the laws of 1998, is amended to read as
55 follows:
S. 1406 98 A. 2106
1 (d) When the public and private employment relations board makes a
2 determination that the charter school demonstrates a practice and
3 pattern of egregious and intentional violations of subdivision one of
4 section two hundred nine-a of the civil service law involving interfer-
5 ence with or discrimination against employee rights under article four-
6 teen of the civil service law.
7 § 45. All powers, duties and functions heretofore conferred upon the
8 public employment relations board and state employment relations board
9 and the respective chairpersons thereof pursuant to article 14 of the
10 civil service law and article 20 of the labor law, respectively, shall
11 be transferred to and assumed by the public and private employment
12 relations board and the chairperson thereof.
13 § 46. Transfer of employees. Upon the transfer of the functions,
14 powers and duties of the public employment relations board and state
15 employment relations board pursuant to this act, the transfer of
16 affected employees shall be in accordance with section 70 of the civil
17 service law.
18 § 47. Transfer of records. The public employment relations board and
19 the state employment relations board shall deliver to the public and
20 private employment relations board all books, papers, records, and prop-
21 erty of the respective boards pertaining to the functions herein trans-
22 ferred to the public and private employment relations board pursuant to
23 this act.
24 § 48. Continuity of authority. For the purpose of succession to all
25 functions, powers, duties and obligations transferred and assigned to,
26 devolved upon and assumed by it pursuant to this act, the public and
27 private employment relations board shall be deemed and held to consti-
28 tute the continuation of the public employment relations board and the
29 state employment relations board pertaining to the powers and functions
30 herein transferred.
31 § 49. Completion of unfinished business. Any business or other matter
32 undertaken or commenced by the public employment relations board or the
33 state employment relations board pertaining to or connected with the
34 functions, powers, obligations and duties hereby transferred and
35 assigned to the public and private employment relations board, and pend-
36 ing on the effective date of this act may be conducted and completed by
37 the public and private employment relations board in the same manner and
38 under the same terms and conditions and with the same effect as if
39 conducted and completed by the former public employment relations board
40 and state employment relations board.
41 § 50. Continuance of rules and regulations. All rules, regulations,
42 acts, orders, determinations and decisions of the public employment
43 relations board and the state employment relations board pertaining to
44 the functions and powers herein transferred and assigned to the public
45 and private employment relations board, in force at the time of such
46 transfer, assignment, assumption or devolution shall continue in force
47 and effect as rules, regulations, acts, orders, determinations and deci-
48 sions of the public and private employment relations board until duly
49 modified or abrogated by the board.
50 § 51. Terms occurring in laws, contracts and other documents. Whenever
51 the public employment relations board or the state employment relations
52 board is referred to or designated in any law, contract or documents
53 pertaining to the functions, powers, obligations and duties hereby
54 transferred and assigned to the public and private employment relations
55 board, such reference or designation shall be deemed to refer to the
56 public and private employment relations board as created by this act.
S. 1406 99 A. 2106
1 § 52. Existing rights and remedies preserved. No existing right or
2 remedy of any character shall be lost, impaired or affected by reason of
3 this act.
4 § 53. Pending actions and proceedings. No action or proceeding pending
5 at the time when this act shall take effect, brought by or against the
6 public employment relations board or the state employment relations
7 board relating to the function, power or duty transferred to or devolved
8 upon the public and private employment relations board shall be affected
9 by this act, but the same may be prosecuted or defended in the name of
10 the board, and upon application to the court, the board shall be substi-
11 tuted as a party.
12 § 54. Transfer of appropriations heretofore made to the public employ-
13 ment relations board and the state employment relations board. All
14 appropriations or reappropriations for the functions herein transferred
15 heretofore made to the public employment relations board or the depart-
16 ment of labor on behalf of the state employment relations board, or
17 segregated pursuant to law, to the extent of remaining unexpended or
18 unencumbered balances thereof, whether allocated or unallocated and
19 whether obligated or unobligated, are hereby transferred to the public
20 and private employment relations board to the extent necessary to carry
21 out the board's functions, powers and duties subject to the approval of
22 the director of the budget for the same purposes for which originally
23 appropriated or reappropriated and shall be payable on vouchers certi-
24 fied or approved by the chairperson of the public and private employment
25 relations board on audit and warrant of the comptroller.
26 § 55. Separability clause. If any clause, sentence, paragraph, section
27 or part of this act shall be adjudged by any court of competent juris-
28 diction to be invalid, such judgment shall not affect, impair or invali-
29 date the remainder thereof, but shall be confined in its operation to
30 the clause, sentence, paragraph, section or part thereof directly
31 involved in the controversy in which such judgment shall have been
32 rendered.
33 § 56. This act shall take effect on the ninetieth day after it shall
34 have become a law, except that effective immediately the commissioner of
35 the department of labor, the chair of the public employment relations
36 board and the chair of the state employment relations board are hereby
37 authorized to take such actions as are necessary and proper to prepare
38 for an orderly transition of the functions, powers and duties as herein
39 provided.
40 PART P
41 Section 1. Subdivision 15 of section 3 of the alcoholic beverage
42 control law is amended to read as follows:
43 15. ["Liquor] Notwithstanding any law to the contrary, "State liquor
44 authority", "liquor authority" and "authority" mean the [state liquor
45 authority] division of alcoholic beverage control in the executive
46 department provided for in this chapter.
47 § 2. Section 10 of the alcoholic beverage control law, as amended by
48 chapter 83 of the laws of 1995, is amended to read as follows:
49 § 10. [State liquor authority] Division of alcoholic beverage control.
50 There shall continue to be in the executive department [an] a division
51 of alcoholic beverage control [division], the head of which shall be the
52 [state liquor authority which shall consist of three members, who shall
53 be known as commissioners, all of whom shall be citizens and residents
54 of the state] director. The state alcoholic beverage control board
S. 1406 100 A. 2106
1 created and appointed pursuant to chapter one hundred eighty of the laws
2 of nineteen hundred thirty-three, as presently constituted, [shall
3 continue in existence and hereafter shall be] known and designated as
4 the state liquor authority is hereby abolished. The terms "state alco-
5 holic beverage control board", "state board", "liquor authority", "state
6 liquor authority", [or] "authority", or "division" wherever occurring in
7 any of the provisions of this chapter or of any other law, or in any
8 official books, records, instruments, rules or papers, shall hereafter
9 mean and refer to the [state liquor authority] division of alcoholic
10 beverage control provided for in this section.
11 § 3. Section 11 of the alcoholic beverage control law, as amended by
12 chapter 83 of the laws of 1995, is amended to read as follows:
13 § 11. Appointment of [authority] the director of the division of alco-
14 holic beverage control. The [members of the authority] director of the
15 division of alcoholic beverage control shall be appointed by the gover-
16 nor by and with the advice and consent of the senate[. Not more than two
17 members of the authority shall belong to the same political party. The]
18 except that the chairman of the state alcoholic beverage control board
19 heretofore appointed and designated by the governor [and the remaining
20 members of such board heretofore appointed by the governor] shall
21 continue to serve as [chairman and members of the authority until the
22 expiration of the respective terms for which they were appointed. Upon
23 the expiration of such respective terms the successors of such chairman
24 and members shall be appointed to serve for a term of three years each
25 and until their successors have been appointed and qualified] the direc-
26 tor of the division of alcoholic beverage control. Such director shall
27 serve at the pleasure of the governor.
28 § 4. Sections 12, 13 and 14 of the alcoholic beverage control law are
29 REPEALED.
30 § 5. Section 15 of the alcoholic beverage control law, as amended by
31 chapter 83 of the laws of 1995, the second undesignated paragraph as
32 amended by section 1 of part F of chapter 411 of the laws of 1999, is
33 amended to read as follows:
34 § 15. Officers; employees; offices. The [authority] director of the
35 division of alcoholic beverage control shall have power to appoint any
36 necessary deputies, counsels, assistants, investigators, and other
37 employees within the limits provided by appropriation. Investigators so
38 employed by the [Authority] division shall be deemed to be peace offi-
39 cers for the purpose of enforcing the provisions of [the alcoholic
40 beverage control law] this chapter or judgements or orders obtained for
41 violation thereof, with all the powers set forth in section 2.20 of the
42 criminal procedure law. The counsel, secretary, chief executive officer,
43 assistant chief executive officers, confidential secretaries to commis-
44 sioners and deputies shall be in the exempt class of the civil service.
45 The other assistants, investigators and employees of the [authority]
46 division shall all be in the [competitive] classified class of the civil
47 service. The [authority] division shall continue to have its principal
48 office in the city of Albany, and may maintain a branch office in the
49 cities of New York and Buffalo and such other places as it may deem
50 necessary.
51 The [authority] division shall establish appropriate procedures to
52 insure that hearing officers are shielded from ex parte communications
53 with alleged violators and their attorneys and from other employees of
54 the [authority] division and shall take such other steps as it shall
55 deem necessary and proper to shield its judicial processes from unwar-
56 ranted and inappropriate communications and attempts to influence.
S. 1406 101 A. 2106
1 § 6. Section 16 of the alcoholic beverage control law, as amended by
2 chapter 731 of the laws of 1971, is amended to read as follows:
3 § 16. Disqualification of [members and] employees of [authority] the
4 division. No [member of the authority or any] officer, deputy, assist-
5 ant, inspector or employee [thereof] of the division shall have any
6 interest, direct or indirect, either proprietary or by means of any
7 loan, mortgage or lien, or in any other manner, in or on any premises
8 where alcoholic beverages are manufactured or sold; nor shall he or she
9 have any interest, direct or indirect, in any business wholly or
10 partially devoted to the manufacture, sale, transportation or storage of
11 alcoholic beverages, or own any stock in any corporation which has any
12 interest, proprietary or otherwise, direct or indirect, in any premises
13 where alcoholic beverages are manufactured or sold, or in any business
14 wholly or partially devoted to the manufacture, sale, transportation or
15 storage of alcoholic beverages, or receive any commission or profit
16 whatsoever, direct or indirect, from any person applying for or receiv-
17 ing any license or permit provided for in this chapter, or hold any
18 other public office in the state or in any political subdivision except
19 upon the written permission of the [liquor authority] director of the
20 division of alcoholic beverage control, such [member of the authority
21 or] officer, deputy, assistant, inspector or employee thereof may hold
22 the public office of notary public or member of a community board of
23 education in the city school district of the city of New York. [Any one]
24 Anyone who violates any of the provisions of this section shall be
25 removed.
26 § 7. Section 17 of the alcoholic beverage control law, as amended by
27 chapter 83 of the laws of 1995, subdivision 3 as amended by chapter 114
28 of the laws of 2000, subdivision 8-a as added by chapter 383 of the laws
29 of 1998, subdivision 12 as amended by chapter 549 of the laws of 2001,
30 subdivision 13 as added by chapter 403 of the laws of 1999, paragraph
31 (f) of subdivision 13 as added and paragraph (g) of subdivision 13 as
32 relettered by section 2 of part F of chapter 411 of the laws of 1999, is
33 amended to read as follows:
34 § 17. Powers of the [authority] division. The [authority] division
35 shall have the following functions, powers and duties: 1. To issue or
36 refuse to issue any license or permit provided for in this chapter.
37 2. To limit in its discretion the number of licenses of each class to
38 be issued within the state or any political subdivision thereof, and in
39 connection therewith to prohibit the acceptance of applications for such
40 class or classes of licenses which have been so limited.
41 3. To revoke, cancel or suspend for cause any license or permit issued
42 under this chapter and/or to impose a civil penalty for cause against
43 any holder of a license or permit issued pursuant to this chapter. Any
44 civil penalty so imposed shall not exceed the sum of ten thousand
45 dollars as against the holder of any retail permit issued pursuant to
46 sections ninety-five, ninety-seven, ninety-eight, ninety-nine-d and
47 paragraph f of subdivision one of section ninety-nine-b of this chapter
48 and as against the holder of any retail license issued pursuant to
49 sections fifty-two, fifty-three-a, fifty-four, fifty-four-a, fifty-five,
50 fifty-five-a, sixty-three, sixty-four, sixty-four-a, sixty-four-b,
51 sixty-four-c, seventy-nine, eighty-one and eighty-one-a of this chapter,
52 and the sum of thirty thousand dollars as against the holder of a
53 license issued pursuant to sections fifty-three, seventy-six, seventy-
54 six-a and seventy-eight of this chapter, provided that the civil penalty
55 against the holder of a wholesale license issued pursuant to section
56 fifty-three of this chapter shall not exceed the sum of ten thousand
S. 1406 102 A. 2106
1 dollars where that licensee violates provisions of this chapter during
2 the course of the sale of beer at retail to a person for consumption at
3 home, and the sum of one hundred thousand dollars as against the holder
4 of any license issued pursuant to sections fifty-one, sixty-one and
5 sixty-two of this chapter. Any civil penalty so imposed shall be in
6 addition to and separate and apart from the terms and provisions of the
7 bond required pursuant to section one hundred twelve of this chapter.
8 In the event any civil penalty imposed by the division remains unpaid,
9 in whole or in part, more than forty-five days after written demand for
10 payment has been sent by first class mail to the address of the licensed
11 premises, a notice of impending default judgment shall be sent by first
12 class mail to the licensed premises and by first class mail to the last
13 known home address of the person who signed the most recent license
14 application. The notice of impending default judgment shall advise the
15 licensee: (a) that a civil penalty was imposed on the licensee; (b) the
16 date the penalty was imposed; (c) the amount of the civil penalty; (d)
17 the amount of the civil penalty that remains unpaid as of the date of
18 the notice; (e) the violations for which the civil penalty was imposed;
19 and (f) that a judgment by default will be entered in the supreme court
20 of the county in which the licensed premises are located, or other court
21 of civil jurisdiction or any other place provided for the entry of civil
22 judgments within the state of New York unless the division receives full
23 payment of all civil penalties due within twenty days of the date of the
24 notice of impending default judgment. If full payment shall not have
25 been received by the division within thirty days of mailing of the
26 notice of impending default judgment, the division shall proceed to have
27 a judgment entered. A judgment entered pursuant to this subdivision
28 shall remain in full force and effect for eight years notwithstanding
29 any other provision of law.
30 4. To remove any employee of the [authority] division for cause, after
31 giving such employee a copy of the charges against him or her in writ-
32 ing, and an opportunity to be heard thereon. Any action taken under this
33 subdivision shall be subject to and in accordance with the civil service
34 law.
35 5. To fix by rule the standards of manufacture and fermentation in
36 order to insure the use of proper ingredients and methods in the manu-
37 facture of alcoholic beverages to be sold or consumed in the state.
38 6. To hold hearings, subpoena witnesses, compel their attendance,
39 administer oaths, to examine any person under oath and in connection
40 therewith to require the production of any books or papers relative to
41 the inquiry. A subpoena issued under this section shall be regulated by
42 the civil practice law and rules.
43 7. To prohibit, at any time of public emergency, without previous
44 notice or advertisement, the sale of any or all alcoholic beverages for
45 and during the period of such emergency.
46 8. To make an annual report to the governor and the legislature of its
47 activities for the preceding year.
48 8-a. On and after January first, two thousand the report provided for
49 in subdivision eight of this section shall include an evaluation of the
50 effectiveness of the prohibition on the sale of alcohol to persons under
51 the age of twenty-one as provided in section sixty-five-b of this chap-
52 ter with particular emphasis on the provisions of subdivisions one, two,
53 three, four and five of section sixty-five-b, subdivision five of
54 section one hundred nineteen and subdivision six of section sixty-five
55 of this chapter, paragraph (b) of subdivision seven of section 170.55 of
S. 1406 103 A. 2106
1 the criminal procedure law and subdivision (f) of section 19.07 of the
2 mental hygiene law.
3 9. The powers provided in this section may be delegated by the
4 [authority to the chairman, or] director of the division of alcoholic
5 beverage control to such other officers or employees as may be desig-
6 nated by [the chairman] such director.
7 10. To appoint such advisory groups and committees as it deems neces-
8 sary to provide assistance to the [authority] division to carry out the
9 purposes and objectives of this chapter.
10 11. Upon receipt of a resolution adopted by a board of supervisors or
11 a county legislative body requesting further restriction of hours of
12 sale of alcoholic beverages within such county, and upon notice and
13 hearing within such county, to approve or disapprove such hours within
14 such county.
15 12. To develop and establish minimum criteria for alcohol training
16 awareness programs which may be given and administered by schools; other
17 entities including trade associations whose members are engaged in or
18 involved in the retail sale of alcoholic beverages; national and
19 regional franchisors who have granted at least five franchises in the
20 state which are licensed to sell beer at retail for off-premises
21 consumption; licensees authorized to sell alcoholic beverages at retail
22 for off-premises consumption operating five or more licensed premises;
23 and persons interested, whether as an individual proprietor or partner
24 or officer or member of a limited liability company, in five or more
25 licensees authorized to sell alcoholic beverages at retail for off-prem-
26 ises consumption. The [authority] division shall provide for the issu-
27 ance of certificates of approval to all certified alcohol training
28 awareness programs. Certificates of approval may be revoked by the
29 [authority] division for failure to adhere to the [authority's] divi-
30 sion's rules and regulations. Such rules and regulations shall afford
31 those who have been issued a certificate of approval an opportunity for
32 a hearing prior to any determination of whether such certificate should
33 be revoked.
34 No licensee shall be required to apply for any such certificate or
35 renewal certificate and the licensee may voluntarily surrender such a
36 certificate or renewal certificate at any time. A fee in the amount of
37 nine hundred dollars shall be paid to the [authority] division with each
38 application for a certificate of approval or renewal certificate. The
39 [authority] division shall promptly refund such fee to an applicant
40 whose application was denied. Each certificate of approval and renewal
41 thereof shall be issued for a period of three years. To effectuate the
42 provisions of this subdivision, the [authority] division is empowered to
43 require in connection with an application the submission of such infor-
44 mation as the [authority] division may direct; to prescribe forms of
45 applications and of all reports which it deems necessary to be made by
46 any applicant or certificate holder; to conduct investigations; to
47 require the maintenance of such books and records as the [authority]
48 division may direct; to revoke, cancel, or suspend for cause any certif-
49 icate provided for in this subdivision. Each entity authorized to give
50 and administer an alcohol training awareness program shall issue certif-
51 icates of completion to all licensees and employees who successfully
52 complete such an approved alcohol training awareness program. Such enti-
53 ty shall regularly transmit to the [authority] division the names,
54 addresses and dates of attendance of all the licensees and employees of
55 licensees who successfully complete an approved alcohol training aware-
56 ness program. Such transmittal shall be in a form and manner prescribed
S. 1406 104 A. 2106
1 by the [authority] division. The [authority] division shall adopt rules
2 and regulations to effectuate the provisions of this subdivision,
3 including the minimum requirements for the curriculum of each such
4 training program and the regular ongoing training of employees holding
5 certificates of completion or renewal certificates. Such rules and regu-
6 lations shall include the minimum requirements for a separate curriculum
7 for licensees and their employees authorized to sell alcoholic beverages
8 at retail for off-premises consumption, minimum requirements for a sepa-
9 rate curriculum for licensees and their employees authorized to sell
10 alcoholic beverages at retail for on-premises consumption, and the form
11 of a certificate of completion or renewal thereof to be issued in
12 respect to each such type of program. A certificate of completion or
13 renewal thereof issued by an entity authorized to give and administer an
14 alcohol training awareness program pursuant to this subdivision to
15 licensees and their employees authorized to sell alcoholic beverages at
16 retail for off-premises consumption shall not be invalidated by a change
17 of employment to another such licensee. A certificate of completion or
18 renewal thereof issued by an entity authorized to give and administer an
19 alcohol training awareness program pursuant to this subdivision to
20 licensees and their employees authorized to sell alcoholic beverages at
21 retail for on-premises consumption shall not be invalidated by a change
22 of employment to another such licensee.
23 13. To study and report to the governor and the legislature [bi-enni-
24 ally] biennially on or before February first of each year concerning:
25 (a) recommendations to reduce the number and type of licenses, and to
26 establish a uniform, statewide schedule of fees, such recommendations to
27 include the development of a master application form for all licenses,
28 with specific exhibits required for specific licenses, as appropriate,
29 as well as recommendations on a non-refundable application fee set at a
30 level which will cover the cost of the review and which would be applied
31 against the first year license fee if the application is granted;
32 (b) recommendations to simplify license renewal procedures;
33 (c) recommendations to streamline the processing of applications and
34 to eliminate duplication of reviews, such recommendations to include
35 uniform standards for application review and decision which shall seek
36 to assure that the review is as objective as possible and to narrow the
37 discretion of the [authority] division or of any reviewer employed by
38 the [authority] division;
39 (d) the extent to which quality of life issues, such as noise level,
40 vehicular traffic and parking are considered in licensing decisions,
41 particularly as such issues pertain to proceedings pursuant to subdivi-
42 sion seven of section sixty-four of this chapter;
43 (e) recommendations to improve enforcement methodologies in order to
44 protect the health and safety of residents of communities experiencing
45 persistent problems in the operation of retail establishments;
46 (f) recommendations concerning the addition of field enforcement
47 personnel and the ratios of such field enforcement personnel to the
48 total numbers of licensees that in the view of the [authority] division
49 would be appropriate to insure compliance with the law. Such study shall
50 provide a detailed analysis of the costs and projected revenues to be
51 obtained from the addition of such field enforcement personnel; and
52 (g) such other observations and recommendations concerning the activ-
53 ities of the [authority] division as will improve its effectiveness and
54 efficiency including the utilization of on-line services to provide
55 information on a fee-for-service basis.
S. 1406 105 A. 2106
1 14. To exercise the powers and perform the duties in relation to the
2 administration of the division as are not specifically vested by this
3 chapter in the division.
4 15. To keep records in such form as he or she may prescribe of all
5 licenses and permits issued and revoked within the state; such records
6 shall be so kept as to provide ready information as to the identity of
7 all licensees including the names of the officers and directors of
8 corporate licensees and the location of all licensed premises. The
9 director may, with the approval of the commissioner of taxation and
10 finance, contract to furnish copies of the records of licenses and
11 permits of each class and type issued within the state or any political
12 subdivision thereof, for any license or permit year or term of years not
13 exceeding five years.
14 16. To inspect or provide for the inspection of any premises where
15 alcoholic beverages are manufactured or sold.
16 17. To prescribe forms of applications for licenses and permits under
17 this chapter.
18 § 8. Sections 18 and 19 of the alcoholic beverage control law are
19 REPEALED.
20 § 9. Paragraph (c) of subdivision 1 of section 169 of the executive
21 law, as amended by chapter 634 of the laws of 1998, is amended to read
22 as follows:
23 (c) commissioner of agriculture and markets, commissioner of alcohol-
24 ism and substance abuse services, adjutant general, commissioner and
25 president of state civil service commission, commissioner of economic
26 development, chair of the energy research and development authority,
27 executive director of the board of real property services, president of
28 higher education services corporation, commissioner of motor vehicles,
29 member-chair of board of parole, director of probation and correctional
30 alternatives, chair of public employment relations board, secretary of
31 state, chair of the state racing and wagering board, [commissioner of
32 alcoholism and substance abuse services,] executive director of the
33 housing finance agency, commissioner of housing and community renewal,
34 executive director of state insurance fund, [commissioner-chair of state
35 liquor authority,] director of the division of alcoholic beverage
36 control, chair of the workers' compensation board;
37 § 10. Paragraph (f) of subdivision 1 of section 169 of the executive
38 law, as amended by chapter 83 of the laws of 1995, is amended to read as
39 follows:
40 (f) executive director of adirondack park agency, [commissioners of
41 the state liquor authority,] commissioners of the state civil service
42 commission, members of state commission of correction, members of the
43 employment relations board, members of crime victims board, members of
44 unemployment insurance appeal board, and members of the workers' compen-
45 sation board.
46 § 11. Section 270 of the executive law, as amended by chapter 83 of
47 the laws of 1995, is amended to read as follows:
48 § 270. Division of alcoholic beverage control[; state liquor authori-
49 ty]. The head of the division of alcoholic beverage control [division]
50 shall be the [state liquor authority which shall consist of three
51 members, who shall be known as commissioners, who shall be appointed by
52 the governor, by and with the advice and consent of the senate, and one
53 of whom shall be designated as chairman by the governor.
54 Not more than two members of the state liquor authority shall belong
55 to the same political party. All of said members shall be citizens and
56 residents of the state. Such members shall be appointed to serve for a
S. 1406 106 A. 2106
1 term of three years each and until their successors have been appointed
2 and qualified] director of the division of alcoholic beverage control.
3 § 12. Sections 271, 272, 273 and 274 of the executive law are
4 REPEALED.
5 § 13. Transfer of records. All books, papers and property of the
6 former state liquor authority with respect to the functions, powers and
7 duties transferred by sections one through twenty of this act are to be
8 delivered to the division of alcoholic beverage control, at such place
9 and time, in such manner as the director of the division of alcoholic
10 beverage control require.
11 § 14. Continuity of the former state liquor authority. For the purpose
12 of succession to all functions, powers, duties and obligations of the
13 former state liquor authority assumed by the division of alcoholic
14 beverage control which shall continue the operation of the various
15 programs transferred pursuant to sections one through twenty of this act
16 as if operated by the former state liquor authority.
17 § 15. Completion of unfinished business. Any business or other matter
18 undertaken or commenced by the former state liquor authority pertaining
19 to or connected with the functions, powers, duties and obligations here-
20 by transferred and assigned to the successor division of alcoholic
21 beverage control and pending on the effective date of this act, shall be
22 conducted and completed by the successor division of alcoholic beverage
23 control in the same manner and under the same terms and conditions and
24 with the same effect as if conducted and completed by the former state
25 liquor authority.
26 § 16. Continuation of rules and regulations. All rules, regulations,
27 acts, orders, determinations, and decisions of the former state liquor
28 authority in force at the time of such transfer and assumption, shall
29 continue in force and effect as rules, regulations, acts, orders, deter-
30 minations and decisions of the division of alcoholic beverage control
31 until duly modified or abrogated by the director of the division of
32 alcoholic beverage control.
33 § 17. Existing rights and remedies preserved. No existing right or
34 remedy of any character shall be lost, impaired or affected by reason of
35 sections one through twenty of this act.
36 § 18. Pending actions or proceedings. No action or proceeding pending
37 at the time when sections one through twenty of this act shall take
38 effect relating to the functions, powers and duties of the former state
39 liquor authority transferred pursuant to sections one through twenty of
40 this act, brought by or against the former state liquor authority or the
41 commissioners thereof shall be affected by any provision of sections one
42 through twenty of this act, but the same may be prosecuted or defended
43 in the name of the successor division of alcoholic beverage control. In
44 all such actions and proceedings, the successor, director of the divi-
45 sion of alcoholic beverage control, upon application to the court, shall
46 be substituted as a party.
47 § 19. Transfer of assets and liabilities. All assets and liabilities
48 of the former state liquor authority are hereby transferred to and
49 assumed by the division of alcoholic beverage control.
50 § 20. Notwithstanding any inconsistent provision of the state adminis-
51 trative procedure act, the division of alcoholic beverage control to
52 which the functions, powers and duties of the former state liquor
53 authority are transferred shall be authorized to promulgate regulations
54 on an emergency basis to ensure the implementation of this section and
55 sections one through nineteen of this act.
S. 1406 107 A. 2106
1 § 21. Severability clause. If any clause, sentence, paragraph, subdi-
2 vision, section or part of this act shall be adjudged by any court of
3 competent jurisdiction to be invalid, such judgment shall not affect,
4 impair, or invalidate the remainder thereof, but shall be confined in
5 its operation to the clause, sentence, paragraph, subdivision, section
6 or part thereof directly involved in the controversy in which such judg-
7 ment shall have been rendered. It is hereby declared to be the intent of
8 the legislature that this act would have been enacted even if such
9 invalid provisions had not been included herein.
10 § 22. This act shall take effect April 1, 2003.
REPEAL NOTE.--Sections 12, 13, 14, 18 and 19 of the alcoholic beverage
control law and sections 271, 272, 273 and 274 of the executive law,
proposed to be repealed by this act, relate to the duties and responsi-
bilities of the state liquor authority.
11 PART Q
12 Section 1. Subdivision 1 of section 60.35 of the penal law, as amended
13 by section 1 of part L of chapter 57 of the laws of 2000, is amended to
14 read as follows:
15 1. Except as provided in section eighteen hundred nine of the vehicle
16 and traffic law and section 27.12 of the parks, recreation and historic
17 preservation law, whenever proceedings in an administrative tribunal or
18 a court of this state result in a conviction for a felony, a misdemea-
19 nor, or a violation, as these terms are defined in section 10.00 of this
20 chapter, there shall be levied at sentencing a mandatory surcharge and a
21 crime victim assistance fee in addition to any sentence required or
22 permitted by law, in accordance with the following schedule:
23 (a) a person convicted of a felony shall pay a mandatory surcharge of
24 two hundred fifty dollars and a crime victim assistance fee of [ten]
25 twenty dollars;
26 (b) a person convicted of a misdemeanor shall pay a mandatory
27 surcharge of one hundred [ten] forty dollars and a crime victim assist-
28 ance fee of [ten] twenty dollars;
29 (c) a person convicted of a violation shall pay a mandatory surcharge
30 of [fifty] seventy-five dollars and a crime victim assistance fee of
31 [ten] twenty dollars.
32 § 2. Subdivision 1 of section 1809 of the vehicle and traffic law, as
33 amended by section 2 of part L of chapter 57 of the laws of 2000, is
34 amended to read as follows:
35 1. Whenever proceedings in an administrative tribunal or a court of
36 this state result in a conviction for an offense under this chapter or a
37 traffic infraction under this chapter, or a local law, ordinance, rule
38 or regulation adopted pursuant to this chapter, other than a traffic
39 infraction involving standing, stopping, or parking or violations by
40 pedestrians or bicyclists, or other than an adjudication of liability of
41 an owner for a violation of subdivision (d) of section eleven hundred
42 eleven of this chapter in accordance with section eleven hundred
43 eleven-a of this chapter, there shall be levied a crime victim assist-
44 ance fee and a mandatory surcharge, in addition to any sentence required
45 or permitted by law, in accordance with the following schedule:
46 (a) Whenever proceedings in an administrative tribunal or a court of
47 this state result in a conviction for a traffic infraction pursuant to
48 article nine of this chapter, there shall be levied a crime victim
49 assistance fee in the amount of five dollars and a mandatory surcharge,
S. 1406 108 A. 2106
1 in addition to any sentence required or permitted by law, in the amount
2 of [twenty] twenty-five dollars.
3 (b) Whenever proceedings in an administrative tribunal or a court of
4 this state result in a conviction for a misdemeanor or felony pursuant
5 to section eleven hundred ninety-two of this chapter, there shall be
6 levied, in addition to any sentence required or permitted by law, a
7 crime victim assistance fee in the amount of [ten] twenty dollars and a
8 mandatory surcharge in accordance with the following schedule:
9 (i) a person convicted of a felony shall pay a mandatory surcharge of
10 two hundred fifty dollars;
11 (ii) a person convicted of a misdemeanor shall pay a mandatory
12 surcharge of one hundred [ten] forty dollars.
13 (c) Whenever proceedings in an administrative tribunal or a court of
14 this state result in a conviction for an offense under this chapter
15 other than a crime pursuant to section eleven hundred ninety-two of this
16 chapter, or a traffic infraction under this chapter, or a local law,
17 ordinance, rule or regulation adopted pursuant to this chapter, other
18 than a traffic infraction involving standing, stopping, or parking or
19 violations by pedestrians or bicyclists, or other than an adjudication
20 of liability of an owner for a violation of subdivision (d) of section
21 eleven hundred eleven of this chapter in accordance with section eleven
22 hundred eleven-a of this chapter or other than an infraction pursuant to
23 article nine of this chapter or other than an adjudication of liability
24 of an owner for a violation of toll collection regulations pursuant to
25 section two thousand nine hundred eighty-five of the public authorities
26 law or sections sixteen-a, sixteen-b and sixteen-c of chapter seven
27 hundred seventy-four of the laws of nineteen hundred fifty, there shall
28 be levied a crime victim assistance fee in the amount of five dollars
29 and a mandatory surcharge, in addition to any sentence required or
30 permitted by law, in the amount of [thirty] forty-five dollars.
31 § 3. Subdivision 2 of section 1809 of the vehicle and traffic law, as
32 amended by chapter 55 of the laws of 1992, is amended to read as
33 follows:
34 2. Where a person is convicted of two or more such crimes or traffic
35 infractions committed through a single act or omission, or through an
36 act or omission which in itself constituted one of the crimes or traffic
37 infractions and also was a material element of the other, the court or
38 administrative tribunal shall impose a crime victim assistance fee and a
39 mandatory surcharge mandated by subdivision one of this section for each
40 such conviction; provided however, that in no event shall the total
41 amount of such crime victim assistance fees and mandatory surcharges
42 imposed pursuant to paragraph (a) or (c) of subdivision one of this
43 section exceed [fifty] one hundred dollars.
44 § 4. Subdivision (p) of section 406 of chapter 166 of the laws of
45 1991, amending the tax law and other laws relating to taxes, as amended
46 by chapter 95 of the laws of 2001, is amended to read as follows:
47 (p) The amendments to section 1809 of the vehicle and traffic law made
48 by sections three hundred thirty-seven and three hundred thirty-eight of
49 this act shall not apply to any offense committed prior to such effec-
50 tive date; provided, further, that section three hundred forty-one of
51 this act shall take effect immediately and shall expire November 1, 1993
52 at which time it shall be deemed repealed; sections three hundred
53 forty-five and three hundred forty-six of this act shall take effect
54 July 1, 1991; sections three hundred fifty-five, three hundred fifty-
55 six, three hundred fifty-seven and three hundred fifty-nine of this act
56 shall take effect immediately and shall expire June 30, 1995 and shall
S. 1406 109 A. 2106
1 revert to and be read as if this act had not been enacted; section three
2 hundred fifty-eight of this act shall take effect immediately and shall
3 expire June 30, 1998 and shall revert to and be read as if this act had
4 not been enacted; section three hundred sixty-four through three hundred
5 sixty-seven of this act shall apply to claims filed on or after such
6 effective date; sections three hundred sixty-nine, three hundred seven-
7 ty-two, three hundred seventy-three, three hundred seventy-four, three
8 hundred seventy-five and three hundred seventy-six of this act shall
9 remain in effect until November 1, 2003, at which time they shall be
10 deemed repealed; provided, however, that the mandatory surcharge
11 provided in section three hundred seventy-four of this act shall apply
12 to parking violations occurring on or after said effective date; and
13 provided further that the amendments made to section 235 of the vehicle
14 and traffic law by section three hundred seventy-two of this act, the
15 amendments made to section 1809 of the vehicle and traffic law by
16 sections three hundred thirty-seven and three hundred thirty-eight of
17 this act shall expire on November 1, 2005 and the amendments made to
18 section 215-a of the labor law by section three hundred seventy-five of
19 this act shall expire on November 1, 2003 and upon such date the
20 provisions of such subdivisions and sections shall revert to and be read
21 as if the provisions of this act had not been enacted; the amendments to
22 subdivisions 2 and 3 of section 400.05 of the penal law made by sections
23 three hundred seventy-seven and three hundred seventy-eight of this act
24 shall expire on July 1, 1992 and upon such date the provisions of such
25 subdivisions shall revert and shall be read as if the provisions of this
26 act had not been enacted; the state board of law examiners shall take
27 such action as is necessary to assure that all applicants for examina-
28 tion for admission to practice as an attorney and counsellor at law
29 shall pay the increased examination fee provided for by the amendment
30 made to section 465 of the judiciary law by section three hundred eighty
31 of this act for any examination given on or after the effective date of
32 this act notwithstanding that an applicant for such examination may have
33 prepaid a lesser fee for such examination as required by the provisions
34 of such section 465 as of the date prior to the effective date of this
35 act; the provisions of section 306-a of the civil practice law and rules
36 as added by section three hundred eighty-one of this act shall apply to
37 all actions pending on or commenced on or after September 1, 1991,
38 provided, however, that for the purposes of this section service of such
39 summons made prior to such date shall be deemed to have been completed
40 on September 1, 1991; the provisions of section three hundred eighty-
41 three of this act shall apply to all money deposited in connection with
42 a cash bail or a partially secured bail bond on or after such effective
43 date; and the provisions of sections three hundred eighty-four and three
44 hundred eighty-five of this act shall apply only to jury service
45 commenced during a judicial term beginning on or after the effective
46 date of this act; provided, however, that nothing contained herein shall
47 be deemed to affect the application, qualification, expiration or repeal
48 of any provision of law amended by any section of this act and such
49 provisions shall be applied or qualified or shall expire or be deemed
50 repealed in the same manner, to the same extent and on the same date as
51 the case may be as otherwise provided by law;
52 § 5. This act shall take effect on the one hundred eightieth day after
53 it shall have become a law; provided, however, that the amendments made
54 to subdivisions 1 and 2 of section 1809 of the vehicle and traffic law
55 by sections two and three of this act shall not affect the expiration
S. 1406 110 A. 2106
1 and reversion of such subdivisions and shall be deemed expired there-
2 with.
3 PART R
4 Section 1. Subdivision 2-a of section 190.30 of the criminal procedure
5 law, as amended by chapter 453 of the laws of 1999, is amended to read
6 as follows:
7 2-a. When the electronic transmission of a certified report, or certi-
8 fied copy thereof, of the kind described in subdivision two or three-a
9 of this section or a sworn statement or copy thereof, of the kind
10 described in subdivision three or four-a of this section results in a
11 written document, such written document may be received in such grand
12 jury proceeding provided that: (a) a transmittal memorandum completed by
13 the person sending the report contains a certification that the report
14 has not been altered and a description of the report specifying the
15 number of pages; and (b) the person who receives the electronically
16 transmitted document certifies that such document and transmittal memo-
17 randum were so received; and (c) a certified report or a certified copy
18 or sworn statement or sworn copy thereof is filed with the court within
19 twenty days following arraignment upon the indictment; and (d) where
20 such written document is a sworn statement or sworn copy thereof of the
21 kind described in subdivision three or four-a of this section, such
22 sworn statement or sworn copy thereof is also provided to the defendant
23 or his counsel within twenty days following arraignment upon the indict-
24 ment.
25 § 2. Section 190.30 of the criminal procedure law is amended by adding
26 a new subdivision 4-a to read as follows:
27 4-a. A written or oral statement, under oath, by a police officer, as
28 that term is defined in subdivision thirty-four of section 1.20 of this
29 chapter, relating facts concerning an offense, other than an offense
30 defined in article one hundred twenty-five of the penal law, may be
31 received in evidence in a grand jury proceeding as the testimony of such
32 officer, provided that the facts related therein must be stated to be
33 within the officer's personal knowledge or to have occurred within his
34 or her immediate presence and, provided further, that the statement may
35 not be admitted when an adversarial examination of such officer was
36 previously conducted with respect to such offense pursuant to section
37 180.60 of this chapter, unless a transcript of that examination is
38 admitted.
39 § 3. Subdivision 5 of section 190.30 of the criminal procedure law, as
40 amended by chapter 804 of the laws of 1984, is amended to read as
41 follows:
42 5. Nothing in subdivisions two, three [or], three-a, four or four-a of
43 this section shall be construed to limit the power of the grand jury to
44 cause any person to be called as a witness pursuant to subdivision three
45 of section 190.50.
46 § 4. This act shall take effect November 1, 2003.
47 PART S
48 Section 1. Section 259-j of the executive law, as amended by chapter 1
49 of the laws of 1998, is amended to read as follows:
50 § 259-j. [Discharge] Merit termination of sentence and discharge from
51 presumptive release, parole and conditional release. 1. The division of
52 parole may grant to any person a merit termination of sentence from
S. 1406 111 A. 2106
1 presumptive release, parole or from conditional release prior to the
2 expiration of the full term or maximum term, provided it is determined
3 by the division of parole that such merit termination is in the best
4 interests of society, such person is not required to register as a sex
5 offender pursuant to article six-c of the correction law, and such
6 person is not on presumptive release, parole or conditional release from
7 a term of imprisonment imposed for any of the following offenses, or for
8 an attempt to commit any of the following offenses:
9 (a) a violent felony offense as defined in section 70.02 of the penal
10 law;
11 (b) murder in the first degree or murder in the second degree;
12 (c) an offense defined in article one hundred thirty of the penal law;
13 (d) unlawful imprisonment in the first degree, kidnapping in the first
14 degree, or kidnapping in the second degree, in which the victim is less
15 than seventeen years old and the offender is not the parent of the
16 victim;
17 (e) an offense defined in article two hundred thirty of the penal law
18 involving the prostitution of a person less than nineteen years old;
19 (f) disseminating indecent material to minors in the first degree or
20 disseminating indecent material to minors in the second degree;
21 (g) incest;
22 (h) an offense defined in article two hundred sixty-three of the penal
23 law;
24 (i) a hate crime as defined in section 485.05 of the penal law; or
25 (j) an offense defined in article four hundred ninety of the penal
26 law.
27 2. A merit termination granted by the division of parole under this
28 section shall constitute a termination of the sentence with respect to
29 which it was granted. No such merit termination shall be granted unless
30 the division of parole is satisfied that termination of sentence from
31 presumptive release, parole or from conditional release is in the best
32 interest of society, and that the parolee or releasee, otherwise finan-
33 cially able to comply with an order of restitution and the payment of
34 any mandatory surcharge previously imposed by a court of competent
35 jurisdiction, has made a good faith effort to comply therewith.
36 3. A merit termination of sentence may be granted after two years of
37 presumptive release or parole to a person serving a sentence for a class
38 A felony offense as defined in article two hundred twenty of the penal
39 law. A merit termination of sentence may be granted to all other eligi-
40 ble persons after one year of presumptive release, parole or conditional
41 release.
42 4. Except where a determinate sentence or a sentence with a maximum
43 term of life imprisonment was imposed for a felony other than a felony
44 defined in article two hundred twenty of the penal law, if the board of
45 parole is satisfied that an absolute discharge from presumptive release,
46 parole or [from] conditional release is in the best interests of socie-
47 ty, the board may grant such a discharge prior to the expiration of the
48 full term or maximum term to any person who has been on unrevoked
49 presumptive release, parole or conditional release for at least three
50 consecutive years. A discharge granted under this section shall consti-
51 tute a termination of the sentence with respect to which it was granted.
52 No such discharge shall be granted unless the board of parole is satis-
53 fied that the parolee or releasee, otherwise financially able to comply
54 with an order of restitution and the payment of any mandatory surcharge
55 previously imposed by a court of competent jurisdiction, has made a good
56 faith effort to comply therewith.
S. 1406 112 A. 2106
1 5. The chairman of the board of parole shall promulgate rules and
2 regulations governing the issuance of merit terminations of sentence and
3 discharges from presumptive release, parole and conditional release to
4 assure that such terminations and discharges are consistent with public
5 safety.
6 § 2. This act shall take effect immediately and shall be deemed to
7 have been in full force and effect on and after April 1, 2003; provided,
8 however, that the amendments to section 259-j of the executive law made
9 by section one of this act shall not affect the expiration of certain
10 provisions of such section 259-j, as provided in subdivision d of
11 section 74 of chapter 3 of the laws of 1995.
12 PART T
13 Section 1. Paragraph (a) of subdivision 2 of section 151 of the work-
14 ers' compensation law, as amended by chapter 309 of the laws of 1996, is
15 amended to read as follows:
16 (a) The chair and department of audit and control annually as soon as
17 practicable after April first shall ascertain the total amount of
18 expenses, including in addition to the direct costs of personal service,
19 the cost of maintenance and operation, the cost of retirement contrib-
20 utions made and workers' compensation premiums paid by the state for or
21 on account of personnel, rentals for space occupied in state owned or
22 state leased buildings, such additional sum as may be certified to the
23 chair and the department of audit and control as a reasonable compen-
24 sation for services rendered by the department of law and expenses
25 incurred by such department, for transfer into the training and educa-
26 tion program on occupational safety and health fund created pursuant to
27 chapter eight hundred eighty-six of the laws of nineteen hundred eight-
28 y-five and section ninety-seven-c of the state finance law, for the New
29 York state occupational health clinics network, for the department of
30 labor occupational safety and health program and for transfer into the
31 uninsured employers' fund pursuant to subdivision two of section twen-
32 ty-six-a of this chapter, and all other direct or indirect costs,
33 incurred by the board during the preceding fiscal year in connection
34 with the administration of this chapter, except those expenses for which
35 an assessment is authorized pursuant to paragraphs f and g of subdivi-
36 sion five of section fifty and sections two hundred twenty-eight and
37 three hundred twenty-five of this chapter.
38 § 2. Paragraph f of subdivision 5 of section 50 of the workers'
39 compensation law, as amended by chapter 467 of the laws of 1988, is
40 amended to read as follows:
41 f. Whenever the chairman shall determine that the compensation and
42 benefits provided by this chapter may be unpaid by reason of the default
43 of an insolvent private self-insured employer, the chairman shall pay
44 such compensation and benefits [from administration expenses as provided
45 in section one hundred fifty-one of this chapter] upon audit [and
46 warrant] of the comptroller upon vouchers approved by the chairman.
47 [Such payments shall be considered expenses of administration.] The
48 chairman shall be reimbursed therefor from the surety bond, cash or
49 securities held or, if such surety bond, securities or cash is insuffi-
50 cient, by the employer, its receiver, liquidator, rehabilitator or trus-
51 tee in bankruptcy. All moneys reimbursed to the chairman or recovered by
52 the chairman in an action or proceeding to secure such reimbursement
53 shall forthwith be applied as a credit against the expenses on which the
54 assessment levied upon all private self-insured employers, in accordance
S. 1406 113 A. 2106
1 with paragraphs c and e of this subdivision, is calculated. The
2 expenses of compensation and benefit payment of insolvent self-insured
3 employers, as well as related third party administrator costs, shall not
4 be considered an agency or fund of the state for the purposes of section
5 four of the state finance law.
6 § 3. Paragraph f of subdivision 5 of section 50 of the workers'
7 compensation law, as amended by chapter 468 of the laws of 1988, is
8 amended to read as follows:
9 [f.] g. Whenever the chairman shall determine that the compensation
10 and benefits provided by this chapter may be unpaid by reason of the
11 default of an insolvent private self-insured employer and the penal sum
12 of the surety bond and or the securities or irrevocable letters of cred-
13 it or cash held on its behalf by the chairman are about to become
14 exhausted, the chairman shall levy an assessment against all private
15 self-insured employers in accordance with paragraphs c and e of this
16 subdivision to assure prompt payment of such compensation and benefits.
17 Whenever compensation and benefits are unpaid by reason of such default,
18 the chairman shall promptly pay such compensation and benefits [from
19 administration expenses as provided in section one hundred fifty-one of
20 this chapter] upon audit [and warrant] of the comptroller upon vouchers
21 approved by the chairman. The expense of compensation and benefit
22 payments of insolvent self-insured employers, as well as related third
23 party administrator costs shall not be considered an agency or fund of
24 the state for the purposes of section four of the state finance law.
25 § 4. Subdivision 8 of section 4 of the state finance law, as amended
26 by chapter 635 of the laws of 1996 and as renumbered by section 85-b of
27 chapter 1 of the laws of 1999, as added by chapter 13 of the laws of
28 2000, is amended to read as follows:
29 8. For the purposes of this section, agency shall mean any department,
30 agency, board, bureau, commission, division, council or office of the
31 state except as otherwise provided in [section] sections fifty and
32 eighty-eight of the workers' compensation law.
33 § 5. This act shall take effect immediately and shall be deemed to
34 have been in full force and effect on and after April 1, 2003.
35 PART U
36 Section 1. Subdivision 5 of section 359-e of the general business law,
37 as amended by chapter 61 of the laws of 1989, is amended to read as
38 follows:
39 5. The department of law shall collect the following fees: (a) [eight]
40 twelve hundred dollars for each broker-dealer's statement; (b) [eight]
41 twelve hundred dollars for each broker-dealer's statement filed by a
42 person, firm, association or corporation selling or offering for sale
43 from or to the public within or from this state securities issued by it
44 for any amount in excess of five hundred thousand dollars; (c) [two]
45 three hundred dollars for each broker-dealer's statement filed by a
46 person, firm, association or corporation selling or offering for sale
47 from or to the public within or from this state securities issued by it
48 for any amount of five hundred thousand dollars or less; (d) [two] three
49 hundred dollars for each broker-dealer's statement filed by a person,
50 firm, association or corporation solely for the purpose of selling or
51 offering for sale from or to the public within or from this state secu-
52 rities consisting of condominiums, shares of cooperative apartment
53 corporations or commercial cooperative corporations, interests in home-
54 owners associations or interests in timeshare projects, plus [ten]
S. 1406 114 A. 2106
1 fifteen dollars for each partner, officer, director or principal of any
2 such firm, association or corporation; (e) one hundred fifty dollars for
3 each salesman's statement; (f) [twenty] thirty dollars for each supple-
4 mental statement; (g) [two] three hundred dollars for each application
5 granted pursuant to subdivision two of section three hundred
6 fifty-nine-f of this article; and (h) [one] two hundred [fifty] twenty-
7 five dollars for the issuance of a "no filing required letter"; these
8 fees shall obtain for both original statements and their renewals. No
9 fee, however, shall be collected for filing a supplemental statement by
10 a salesman cancelling his prior registration as such salesman.
11 Any partner, officer, director or principal who is named as such in a
12 broker-dealer statement and who shall act as a salesman for such broker
13 or dealer, shall not be required to register as a salesman.
14 § 2. Paragraph (a) of subdivision 7 of section 352-e of the general
15 business law, as amended by chapter 61 of the laws of 1989, is amended
16 to read as follows:
17 (a) The department of law shall collect the following fees for the
18 filing of each offering statement or prospectus as described in subdivi-
19 sion one of this section: [five] seven hundred fifty dollars for every
20 offering not in excess of two hundred fifty thousand dollars; for every
21 offering in excess of two hundred fifty thousand dollars, [two-tenths]
22 four-tenths of one percent of the total amount of the offering but not
23 in excess of twenty thousand dollars of which one-half of said amount
24 shall be a nonrefundable deposit paid at the time of submitting the
25 offering statement to the department of law for review and the balance
26 payable upon the issuance of a letter of acceptance for filing said
27 offering statement. The department of law shall, in addition, collect a
28 fee of [one] two hundred [fifty] twenty-five dollars for each amendment
29 to an offering statement. For each application granted by the depart-
30 ment of law which permits the applicant to solicit public interest or
31 public funds preliminary to the filing of an offering statement or for
32 the issuance of a "no-filing required" letter, the department of law
33 shall collect a fee of [one] two hundred [fifty] twenty-five dollars. In
34 the event the sponsor thereafter files an offering statement, the fee
35 paid for the preliminary application shall be credited against the
36 balance of the fee due and payable on filing. For each application
37 granted pursuant to section three hundred fifty-two-g of this article,
38 the department of law shall collect a fee of two-tenths of one percent
39 of the amount of the offering of securities; however, the minimum fee
40 shall be [five] seven hundred fifty dollars and the maximum fee shall be
41 twenty thousand dollars.
42 § 3. This act shall take effect on the ninetieth day after it shall
43 have become a law.
44 PART V
45 Section 1. Subdivision 6 of section 301 of the abandoned property law
46 is REPEALED.
47 § 2. Subparagraph (iii) of paragraph (h) of subdivision 1 of section
48 300 of the abandoned property law, as added by chapter 166 of the laws
49 of 1991, is amended to read as follows:
50 (iii) The certified letters required to be mailed to apparent owners
51 of securities enrolled in a reinvestment plan pursuant to subdivision
52 two of section five hundred one of this chapter shall be mailed in the
53 same manner and at the same time as specified in [subdivision six of
54 section three hundred one of] this article, except that such certified
S. 1406 115 A. 2106
1 mail must be made to the apparent owners of such securities regardless
2 of the amount.
3 § 3. Section 1315 of the abandoned property law is amended by adding a
4 new subdivision 4 to read as follows:
5 4. Any amount representing an unpaid check or draft issued by the
6 state of New York which shall have remained unpaid after one year from
7 the date of issuance in accordance with section one hundred two of the
8 state finance law shall be deemed abandoned property and shall be paid
9 to the state comptroller.
10 § 4. Subdivision 7 of section 1317 of the abandoned property law is
11 REPEALED.
12 § 5. Subdivision 2 of section 1406 of the abandoned property law, as
13 amended by chapter 643 of the laws of 1989, is amended to read as
14 follows:
15 2. (a) Claim in the amount or value of [fifteen hundred] five thousand
16 dollars or more for any abandoned property heretofore paid to the state
17 pursuant to section forty-four of chapter fifty-eight of the laws of
18 nineteen hundred nine or as such section was amended by chapter two
19 hundred seventeen of the laws of nineteen hundred thirty-three and chap-
20 ter two hundred thirty-one of the laws of nineteen hundred thirty-eight,
21 or hereafter paid to the state comptroller pursuant to paragraph (a) of
22 subdivision one of section six hundred of this chapter, may be estab-
23 lished only on order of the court which had original jurisdiction of the
24 underlying matter, after service of notice upon the state comptroller
25 and upon due notice to all parties to the action or proceeding which
26 resulted in the monies being paid into court. Any other provision of law
27 to the contrary notwithstanding, if an order directing payment by the
28 state comptroller is made by the court, the claimant or the claimant's
29 attorney shall serve upon the state comptroller a copy thereof, duly
30 certified by the clerk of the court to be a true copy of the original of
31 such order on file in the clerk's office.
32 (b) Where the value or amount of the claim is less than [fifteen
33 hundred] five thousand dollars, payment may be made by the state comp-
34 troller on sworn application[, where the name and last known address of
35 the person or persons entitled to payment and any other identifying
36 information as appearing on the records of the court into which payment
37 was made is included in the report which accompanied the payment of
38 abandoned property pursuant to subdivision one of section six hundred
39 two of this chapter and] of the claimant when the identity of the claim-
40 ant as the person entitled to payment is established to the satisfaction
41 of the state comptroller. When, in the determination of the state comp-
42 troller, [the identifying information included in the report] there is
43 insufficient information to enable the state comptroller to make a
44 determination of entitlement, any claim, including a claim the amount of
45 which is less than [fifteen hundred] five thousand dollars, must be
46 established on order of the court as set forth in paragraph (a) of this
47 subdivision. The decision of the state comptroller that the information
48 is insufficient shall not be deemed a denial of the claim.
49 § 6. The abandoned property law is amended by adding a new section
50 1422 to read as follows:
51 § 1422. Mailing of notice to owners of record. 1. Any holder of
52 unclaimed funds which is not otherwise required to perform owner notifi-
53 cation mailings under the provisions of this chapter shall send, not
54 less than ninety days prior to the applicable reporting date for such
55 unclaimed property, a written notice by first-class mail to each person
56 appearing to be the owner of property listed in a report of abandoned
S. 1406 116 A. 2106
1 property required to be filed under the provisions of this chapter, at
2 the address of the owner as it appears on the books and records of the
3 holder; provided, however, that the foregoing requirements shall not
4 apply where (a) the holder does not have an address for the owner; or
5 (b) the holder can demonstrate that the only address that the holder has
6 pertaining to the owner is not the current address of the owner.
7 2. Where notice is required by subdivision one of this section, each
8 holder shall, with respect to property listed in such report whose value
9 is in excess of one thousand dollars, send a second written notice to
10 the owner by certified mail, return receipt requested not less than
11 sixty days prior to the applicable reporting date for such unclaimed
12 property, provided that no notice pursuant to this subdivision shall be
13 required where: (a) such holder has received a claim from the owner of
14 the property; or (b) the original mailing was returned as undeliverable.
15 3. The written notice required by this section shall advise the owner
16 that the property to which the owner appears to be entitled will be
17 reported as abandoned property and will be remitted to the state comp-
18 troller unless such property is claimed by an entitled party before the
19 required remittance date.
20 4. The failure of any holder of abandoned property to comply with the
21 requirements of this section shall not in any way affect the reporting
22 of abandoned property pursuant to the provisions of this chapter.
23 5. Costs paid to the postal authorities by holders of unclaimed prop-
24 erty to provide such written notice by certified mail, return receipt
25 requested, may be deducted from the property as a service charge.
26 § 7. Section 102 of the state finance law, as amended by chapter 618
27 of the laws of 1986, is amended to read as follows:
28 § 102. Amounts of unpaid checks to be paid into [general] abandoned
29 property fund. Upon audit and statement of the comptroller, the amounts
30 of all checks or drafts on bank accounts of any funds of the state which
31 checks or drafts have not been paid and which shall have been outstand-
32 ing for more than [three years] one year from the respective dates ther-
33 eof, shall be paid into the [treasury of the state by the proper
34 disbursing officers or agents of such funds, to the credit of the gener-
35 al fund] abandoned property fund pursuant to subdivision four of section
36 one thousand three hundred fifteen of the abandoned property law. [Upon
37 payment into the treasury such] The proper disbursing officers or agents
38 of such funds shall notify the bank or banks on which such checks or
39 drafts were drawn not to pay the same. The comptroller shall keep a
40 record of all such checks or drafts and upon presentation to him by the
41 lawful holder of any such check or draft at any time, the amount of
42 which shall thus have been paid into the state treasury to the credit of
43 the general fund, the comptroller, to the extent appropriations are
44 available, shall issue a new check or draft to the payee upon submission
45 of proof satisfactory to the comptroller as to the legitimacy of the
46 claim and, if insufficient appropriations are available, shall include
47 in his next request for appropriations by the legislature the amount or
48 amounts of any such checks or drafts so presented to him, for the
49 purpose of payment without interest to the lawful holder or holders
50 thereof.
51 § 8. This act shall take effect immediately; provided, however, that
52 sections three and seven of this act shall take effect April 1, 2003.
53 PART W
S. 1406 117 A. 2106
1 Section 1. Subdivision 6 of section 846-k of the executive law, as
2 added by section 2 of part T of chapter 57 of the laws of 2000, is
3 amended to read as follows:
4 6. "Motor vehicle" shall be defined as in section one hundred twenty-
5 five of the vehicle and traffic law, except that it shall also include
6 motorcycles as defined in section one hundred twenty-three of the vehi-
7 cle and traffic law, trailers, semi-trailers and tractors other than
8 tractors used exclusively for agricultural purposes, and shall exclude
9 fire and police vehicles, farm equipment, including self-propelled
10 machines used exclusively in growing, harvesting or handling farm
11 produce, tractors used exclusively for agricultural purposes, or for
12 snow plowing other than for hire, and self-propelled caterpillar or
13 crawler-type equipment while being operated on the contract site.
14 § 2. Subdivision 2 of section 846-l of the executive law, as amended
15 by section 3 of part T of chapter 57 of the laws of 2000, is amended to
16 read as follows:
17 2. The members of the board appointed on the recommendation of the
18 speaker of the assembly and the temporary president of the senate, and
19 the members of the board appointed by the governor pursuant to paragraph
20 (d) of subdivision one of this section, shall be representative of
21 consumers of motor vehicle insurance, motor vehicle insurance companies,
22 law enforcement agencies and the judicial system. The appointments shall
23 be made not later than one hundred eighty days after the date on which
24 this section shall have become law. Members of the board who are not
25 public officials shall serve for a term of four years. Members of the
26 board shall serve without compensation, except that members of the board
27 who are not public officials shall be entitled to receive reasonable
28 reimbursement for expenses incurred by them in performance of their
29 duties as members of the board. [A majority of the members of the board
30 shall constitute a quorum for the transaction of business at a meeting]
31 The board may establish its own requirements as to quorum and its own
32 procedures with respect to conduct of its meetings and other affairs.
33 Action may be taken by the board at a meeting upon a vote of the majori-
34 ty of its members present. Every member of the board shall be entitled
35 to designate a representative to attend, in his or her place, a meeting
36 of the board and to vote or otherwise act in his or her behalf,
37 provided, however, that a member may not designate such a representative
38 more than once each year. Written notice of such designation shall be
39 furnished to the board by the designating member prior to any meeting
40 attended by his or her representative. Any such representative shall
41 serve at the pleasure of the designating member. No such representative
42 shall be authorized to delegate any of his or her duties or functions to
43 any other person. The board shall meet at least four times each year,
44 and at other times at the call of the chairperson or upon the written
45 request of two-thirds of the members of the board.
46 § 3. Subsections (b), (d) and (e) of section 9110 of the insurance
47 law, subsections (b) and (d) as added by section 386 of chapter 55 of
48 the laws of 1992, subsection (e) as amended by chapter 170 of the laws
49 of 1994, are amended to read as follows:
50 (b) The annual fee is hereby imposed at the rate of [one dollar] five
51 dollars per insured motor vehicle registered pursuant to the provisions
52 of paragraph (b) of subdivision one of section four hundred one of the
53 vehicle and traffic law; provided, however, notwithstanding any other
54 provision of law to the contrary, any county or city with a population
55 of one million or more in this state, acting through its local legisla-
56 tive body, is hereby authorized and empowered to adopt, amend or repeal
S. 1406 118 A. 2106
1 local laws, ordinances or resolutions to impose a fee in an amount not
2 to exceed five dollars per insured motor vehicle, as that term is
3 defined in subdivision six of section eight hundred forty-six-k of the
4 executive law, when such motor vehicle is registered pursuant to the
5 provisions of paragraph (b) of subdivision one of section four hundred
6 one of the vehicle and traffic law to an individual who resides within
7 the county or city. Such fee will be paid monthly by insurance compa-
8 nies to the superintendent on or before the fifteenth of the month next
9 succeeding the month in which such collections are received; provided,
10 however, such fee imposed by local law will be paid monthly by insurance
11 companies to the chief fiscal officer of such county or city with a
12 population of one million or more, on or before the fifteenth of the
13 month next succeeding the month in which such collections are received.
14 (d) In case any such company shall neglect or refuse to make and file
15 such statement or pay over moneys collected from the fee imposed by this
16 section the provisions of section nine thousand one hundred nine of this
17 article shall apply. In case any such company shall neglect or refuse
18 to make and file such statement or pay over the moneys collected from
19 the local fee imposed in accordance with this section and such local
20 law, ordinance or resolution requiring such local fee, the provisions of
21 the local law, ordinance or resolution regarding collection of such
22 local fee or the filing of such statements shall apply.
23 (e) All moneys received by the superintendent which are collected from
24 policyholders of insurance on passenger motor vehicles subject to the
25 provisions of paragraph (a) of subdivision six of section four hundred
26 one of the vehicle and traffic law shall be paid to the state police
27 motor vehicle law enforcement account established pursuant to section
28 ninety-seven-mm of the state finance law by the tenth day of the month
29 following receipt of such collections. [By the end of each fiscal year,
30 any moneys paid to the state police motor vehicle law enforcement
31 account established pursuant to section ninety-seven-mm of the state
32 finance law which exceed nine million one hundred thousand dollars shall
33 be paid to the motor vehicle theft and insurance fraud prevention fund
34 established pursuant to section eighty-nine-d of the state finance law.]
35 § 4. Subdivision 2 of section 89-d of the state finance law, as
36 amended by chapter 170 of the laws of 1994, is amended to read as
37 follows:
38 2. Such fund shall consist of all moneys received by the state pursu-
39 ant to subsection (f) of section nine thousand one hundred ten of the
40 insurance law [including any moneys received by the state pursuant to
41 subsection (e) of section nine thousand one hundred ten of the insurance
42 law that are transfered to the fund] and all other grants, bequests or
43 other moneys appropriated, credited or transferred thereto from any
44 other fund or source pursuant to law up to four million seven hundred
45 thousand dollars annually. Any moneys paid to such fund which exceed
46 four million seven hundred thousand dollars annually shall be paid to
47 the state police motor vehicle law enforcement account established
48 pursuant to section ninety-seven-mm of the state finance law as
49 received.
50 § 5. Section 89-d of the state finance law is amended by adding a new
51 subdivision 5 to read as follows:
52 5. Up to seven percent of the moneys received by such fund which are
53 appropriated to fund provider agencies as defined in subdivision five of
54 section eight hundred forty-six-k of the executive law pursuant to
55 grants awarded by the motor vehicle theft and insurance fraud board and
56 available in any fiscal year may be spent on the administration of such
S. 1406 119 A. 2106
1 fund and the motor vehicle theft and insurance fraud board, including
2 but not limited to, personnel and related services, and necessary
3 nonpersonnel administrative costs of the division of criminal justice
4 services.
5 § 6. Subdivisions 2 and 3 of section 97-mm of the state finance law,
6 as added by section 387 of chapter 55 of the laws of 1992, are amended
7 to read as follows:
8 2. The state police motor vehicle law enforcement account shall
9 consist of all moneys received by the state pursuant to subsection (e)
10 of section nine thousand one hundred ten of the insurance law including
11 any moneys received by the state pursuant to subsection (f) of section
12 nine thousand one hundred ten of the insurance law that are transferred
13 to the account in accordance with subdivision two of section eighty-
14 nine-d of the state finance law and all other grants, bequests or other
15 moneys credited, appropriated, or transferred thereto from any other
16 fund or source.
17 3. [Moneys] Nine million one hundred thousand dollars annually of the
18 state police motor vehicle law enforcement account, following appropri-
19 ation by the legislature and allocation by the director of the budget,
20 shall be made available for the state operation expenses of the division
21 of state police including but not limited to the costs of activities
22 relating to the detection, prosecution or reduction of automobile theft
23 and related purposes. All other moneys of the state police motor vehi-
24 cle law enforcement account, following appropriation by the legislature
25 and allocation by the director of the budget, shall be made available
26 for the state operation expenses of the division of state police includ-
27 ing but not limited to the costs of activities relating to highway safe-
28 ty and public security.
29 § 7. Paragraphs (b) and (d) of subdivision 2 and subdivision 3 of
30 section 846-m of the executive law, as amended by section 6 of part T of
31 chapter 57 of the laws of 2000, is amended to read as follows:
32 (b) Activities eligible for funding include, but are not limited to,
33 the following: prosecution and adjudication services; law enforcement
34 services; neighborhood or community based programs designed to reduce
35 the incidence of motor vehicle theft and motor vehicle insurance fraud;
36 educational programs designed to inform owners of motor vehicles
37 concerning activities designed to prevent the incidence of theft of
38 motor vehicles and fraudulent claims practices; and programs designed to
39 examine, evaluate and make recommendations relating to the efficacy of
40 motor vehicle theft prevention devices or methods including, but not
41 limited to, passive tracking devices designed to identify the location
42 of a motor vehicle at any given point in time and window glass etching
43 with vehicle identification numbers or any other unique identifying
44 symbol including decal programs such as New York city's operation combat
45 auto theft (C.A.T.) funds provided under this program shall be used to
46 augment, and not to supplant, the provider agency's current funding, if
47 any, for motor vehicle theft and insurance fraud detection, prevention,
48 or reduction activities, and shall only be used to fund pilot programs
49 of a specified duration not to extend beyond July first, two thousand
50 [three] six.
51 (d) The state comptroller shall conduct an audit of all moneys
52 received and expended by the fund as well as all other funds expended
53 from any other source for the purposes of this program, and shall submit
54 a written report detailing such audit to the governor and legislature on
55 or before March first, two thousand [three] six.
56 3. This article shall expire on July first, two thousand [three] six.
S. 1406 120 A. 2106
1 § 8. Subdivision (bbb) of section 427 of chapter 55 of the laws of
2 1992, amending the tax law generally and enacting the omnibus revenue
3 act of 1992, as amended by section 7 of part T of chapter 57 of the laws
4 of 2000, is amended to read as follows:
5 (bbb) the provisions of subdivision (f) of section 9110 of the insur-
6 ance law as added by section three hundred eighty-six of this act and
7 section 89-d of the state finance law as added by section three hundred
8 eighty-eight of this act shall expire on July 1, [2003] 2006.
9 § 9. Section 9 of part T of chapter 57 of the laws of 2000 amending
10 the executive law relating to requiring the superintendent of state
11 police to report yearly to the governor and the legislature the auto
12 theft prevention activities of the state police for the previous year is
13 amended to read as follows:
14 § 9. This act shall take effect immediately provided, however, that
15 the amendments to sections 846-j, 846-k, 846-l and 846-m of the execu-
16 tive law made by this act shall not affect the expiration of such
17 sections and shall be deemed to expire therewith; provided, further,
18 however, that the provisions of subdivision 4 of section 97-mm of the
19 state finance law, as added by section eight of this act, shall expire
20 [and be deemed repealed] on July 1, [2003] 2006.
21 § 10. This act shall take effect on the sixtieth day after it shall
22 have become a law except that sections seven, eight and nine of this act
23 shall take effect April 1, 2003; provided, however, if this act shall
24 become law after such date such sections shall take effect immediately
25 and shall be deemed to have been in full force and effect on and after
26 April 1, 2003; and provided further that the amendments to section 89-d
27 of the state finance law made by sections four and five of this act
28 shall not affect the expiration of such section and shall expire and be
29 deemed repealed therewith.
30 PART X
31 Section 1. Section 2 of part A of chapter 411 of the laws of 1999
32 amending the executive law, relating to permitting the secretary of
33 state to provide special handling for all documents filed or issued by
34 the division of corporations and to permit additional levels of such
35 expedited service is amended to read as follows:
36 § 2. This act shall take effect immediately and shall be deemed to
37 have been in full force and effect on and after April 1, 1999 [and shall
38 expire and be deemed repealed on March 31, 2003].
39 § 2. This act shall take effect immediately.
40 PART Y
41 Section 1. Section 1-e of the legislative law, as added by chapter 2
42 of the laws of 1999, is amended to read as follows:
43 § 1-e. Statement of registration. (a) (1) Every lobbyist shall annual-
44 ly file with the commission, on forms provided by the commission, a
45 statement of registration for each calendar year; provided, however,
46 that the filing of such statement of registration shall not be required
47 of any lobbyist who (i) in any year does not expend, incur or receive an
48 amount in excess of two thousand dollars of reportable compensation and
49 expenses, as provided in paragraph five of subdivision (b) of section
50 one-h of this article, for the purposes of lobbying or (ii) is an offi-
51 cer, director, trustee or employee of any public corporation, when
52 acting in such official capacity; provided however, that nothing in this
S. 1406 121 A. 2106
1 section shall be construed to relieve any public corporation of the
2 obligation to file such statements and reports as required by this arti-
3 cle.
4 (2) [Such] (i) Through calendar year two thousand three, such filing
5 shall be completed on or before January first by those persons who have
6 been retained, employed or designated as lobbyist on or before December
7 fifteenth who reasonably anticipate that in the coming year they will
8 expend, incur or receive combined reportable compensation and expenses
9 in an amount in excess of two thousand dollars; for those lobbyists
10 retained, employed or designated after December fifteenth, and for those
11 lobbyists who subsequent to their retainer, employment or designation
12 reasonably anticipate combined reportable compensation and expenses in
13 excess of such amount, such filing must be completed within fifteen days
14 thereafter, but in no event later than ten days after the actual incur-
15 ring or receiving of such reportable compensation and expenses.
16 (ii) For calendar year two thousand four, such filings shall be
17 completed on or before January first by those persons who have been
18 retained, employed or designated as lobbyist on or before December
19 fifteenth, two thousand three who reasonably anticipate that in the
20 coming year they will expend, incur or receive combined reportable
21 compensation and expenses in an amount in excess of two thousand
22 dollars; for those lobbyists retained, employed or designated after
23 December fifteenth, two thousand three, and for those lobbyists who
24 subsequent to their retainer, employment or designation reasonably
25 anticipate combined reportable compensation and expenses in excess of
26 such amount, such filing must be completed within fifteen days thereaft-
27 er, but in no event later than ten days after the actual incurring or
28 receiving of such reportable compensation and expenses.
29 (3) Commencing calendar year two thousand five and thereafter every
30 lobbyist shall biennially file with the commission, on forms provided by
31 the commission, a statement of registration for each biennial period
32 beginning with the first year of the biennial cycle commencing calendar
33 year two thousand five and thereafter; provided, however, that the bien-
34 nial filing of such statement of registration shall not be required of
35 any lobbyist who (i) in any year does not expend, incur or receive an
36 amount in excess of two thousand dollars of reportable compensation and
37 expenses, as provided in paragraph five of subdivision (b) of section
38 one-h of this article, for the purposes of lobbying or (ii) is an offi-
39 cer, director, trustee or employee of any public corporation, when
40 acting in such official capacity; provided however, that nothing in this
41 section shall be construed to relieve any public corporation of the
42 obligation to file such statements and reports as required by this arti-
43 cle.
44 (4) Such biennial filings shall be completed on or before January
45 first of the first year of a biennial cycle commencing in calendar year
46 two thousand five and thereafter, by those persons who have been
47 retained, employed or designated as lobbyist on or before December
48 fifteenth of the previous calendar year and who reasonably anticipate
49 that in the coming year they will expend, incur or receive combined
50 reportable compensation and expenses in an amount in excess of two thou-
51 sand dollars; for those lobbyists retained, employed or designated after
52 the previous December fifteenth, and for those lobbyists who subsequent
53 to their retainer, employment or designation reasonably anticipate
54 combined reportable compensation and expenses in excess of such amount,
55 such filing must be completed within fifteen days thereafter, but in no
S. 1406 122 A. 2106
1 event later than ten days after the actual incurring or receiving of
2 such reportable compensation and expenses.
3 (b) (i) Such statements of registration shall be kept on file for a
4 period of three years for those filing periods where annual statements
5 are required, and shall be open to public inspection during such peri-
6 od[.]; (ii) Biennial statements of registration shall be kept on file
7 for a period of three biennial filing periods where biennial statements
8 are required, and shall be open to public inspection during such period.
9 (c) Such statement of registration shall contain:
10 (1) the name, address and telephone number of the lobbyist;
11 (2) the name, address and telephone number of the client by whom or on
12 whose behalf the lobbyist is retained, employed or designated;
13 (3) if such lobbyist is retained or employed pursuant to a written
14 agreement of retainer or employment, a copy of such shall also be
15 attached and if such retainer or employment is oral, a statement of the
16 substance thereof;
17 (4) a written authorization from the client by whom the lobbyist is
18 authorized to lobby, unless such lobbyist has filed a written agreement
19 of retainer or employment pursuant to paragraph three of this subdivi-
20 sion;
21 (5) a description of the general subject or subjects, the legislative
22 bill numbers of any bills and the rule, regulation, and ratemaking
23 numbers of any rules, regulations, or rates or proposed rules, regu-
24 lations, or rates on which the lobbyist is lobbying or expects to lobby;
25 (6) the name of the person, organization, or legislative body before
26 which the lobbyist is lobbying or expects to lobby;
27 (7) if the lobbyist is retained, employed or designated by more than
28 one client, a separate statement of registration shall be required for
29 each such client.
30 (d) Any amendment to the information filed by the lobbyist in the
31 original statement of registration shall be submitted to the commission
32 on forms supplied by the commission within ten days after such amend-
33 ment, however, this shall not require the lobbyist to amend the entire
34 registration form.
35 (e) (i) The first statement of registration filed annually by each
36 lobbyist for calendar years through two thousand three shall be accompa-
37 nied by a registration fee of fifty dollars except that no registration
38 fee shall be required of a public corporation. A fee of fifty dollars
39 shall be required for any subsequent statement of registration filed by
40 a lobbyist during the same calendar year; (ii) The first statement of
41 registration filed annually by each lobbyist for calendar year two thou-
42 sand four shall be accompanied by a registration fee of one hundred
43 dollars except that no registration fee shall be required from any
44 lobbyist who in any year does not expend, incur or receive an amount in
45 excess of five thousand dollars of reportable compensation and expenses,
46 as provided in paragraph five of subdivision (b) of section one-h of
47 this article, for the purposes of lobbying or of a public corporation. A
48 fee of one hundred dollars shall be required for any subsequent state-
49 ment of registration filed by a lobbyist during the same calendar year;
50 (iii) The first statement of registration filed biennially by each
51 lobbyist for the first biennial registration requirements for calendar
52 years two thousand five and two thousand six and thereafter, shall be
53 accompanied by a registration fee of two hundred dollars except that no
54 registration fee shall be required from any lobbyist who in any year
55 does not expend, incur or receive an amount in excess of five thousand
56 dollars of reportable compensation and expenses, as provided in para-
S. 1406 123 A. 2106
1 graph five of subdivision (b) of section one-h of this article, for the
2 purposes of lobbying or of a public corporation. A fee of two hundred
3 dollars shall be required for any subsequent statement of registration
4 filed by a lobbyist during the same biennial period; (iv) The statement
5 of registration filed after the due date of a biennial registration
6 shall be accompanied by a registration fee that is prorated to one
7 hundred dollars for any registration filed after January first of the
8 second calendar year covered by the biennial reporting requirement. In
9 addition to the fees authorized by this section, the commission may
10 impose a fee for late filing of a registration statement required by
11 this section not to exceed twenty-five dollars for each day that the
12 statement required to be filed is late, except that if the lobbyist
13 making a late filing has not previously been required by statute to file
14 such a statement, the fee for late filing shall not exceed ten dollars
15 for each day that the statement required to be filed is late.
16 § 2. This act shall take effect immediately and shall be deemed in
17 full force and effect on and after April 1, 2003, provided, however,
18 that the amendments made to section 1-e of the legislative law by
19 section one of this act shall not affect the expiration and repeal of
20 such section as provided by chapter 2 of the laws of 1999, as amended.
21 PART Z
22 Section 1. Subdivision 6 of section 259-i of the executive law, as
23 added by chapter 904 of the laws of 1977, is amended to read as follows:
24 6. Record of proceedings. The board shall provide for the making of a
25 verbatim record of each [interview,] parole release [hearing,] inter-
26 view, except where a decision is made to release the inmate to parole
27 supervision, and each preliminary [hearing,] and final revocation hear-
28 ing [and appeal], except when the decision of the presiding officer
29 after such hearings result in a dismissal of all charged violations of
30 parole, conditional release or post release supervision.
31 § 2. This act shall take effect immediately and shall be deemed to
32 have been in full force and effect on and after April 1, 2003.
33 PART AA
34 Section 1. Subdivision 1 of section 167 of the civil service law, as
35 amended by chapter 582 of the laws of 1988 and paragraph (b) as amended
36 by chapter 317 of the laws of 1995, is amended to read as follows:
37 1. (a) To the extent that an agreement between the state and an
38 employee organization entered into pursuant to article fourteen of this
39 chapter so provides or where and to the extent the employee health
40 insurance council so directs with respect to any other state employees
41 and for retired state employees, the contribution by the state for the
42 cost of premium or subscription charges for the coverage of such state
43 employees and retired state employees who are enrolled in the statewide
44 and supplementary health insurance plans shall be paid as set forth in
45 this subdivision. The full cost of premium or subscription charges for
46 the coverage of retired state employees who are enrolled in the state-
47 wide and the supplementary health insurance plans established pursuant
48 to this article and who retired prior to January first, nineteen hundred
49 eighty-three shall be paid by the state. [Nine-tenths] Eighty-five
50 percent of the cost of premium or subscription charges for the coverage
51 of state employees and retired state employees retiring [on or after]
52 between January first, nineteen hundred eighty-three and December thir-
S. 1406 124 A. 2106
1 ty-first, two thousand three who are enrolled in the statewide and
2 supplementary health insurance plans shall be paid by the state.
3 [Three-quarters] Seventy percent of the cost of premium or subscription
4 charges for the coverage of dependents of such state employees and
5 retired state employees retiring between January first, nineteen hundred
6 eighty-three and December thirty-first, two thousand three shall be paid
7 by the state. [Except as provided in paragraph (b) of this subdivision,
8 the state shall contribute toward the premium or subscription charges
9 for the coverage of each state employee or retired state employee who is
10 enrolled in an optional benefit plan and for the dependents of such
11 state employee or retired state employee the same dollar amount which
12 would be paid by the state for the premium or subscription charges for
13 the coverage of such state employee or retired state employee and his or
14 her dependents if he or she were enrolled in the statewide and the
15 supplementary health insurance plans, but not in excess of the premium
16 or subscription charges for the coverage of such state employee or
17 retired state employee and his or her dependents under such optional
18 benefit plan. For purposes of this subdivision, employees of the state
19 colleges of agriculture, home economics, industrial labor relations, and
20 veterinary medicine, the state agricultural experiment station at Gene-
21 va, and any other institution or agency under the management and control
22 of Cornell university as the representative of the board of trustees of
23 the state university of New York, and employees of the state college of
24 ceramics under the management and control of Alfred university as the
25 representative of the board of trustees of the state university of New
26 York, shall be deemed to be state employees whose salaries or compen-
27 sation are paid directly by the state.
28 (b) Effective January first, nineteen hundred eighty-nine, notwith-
29 standing] In the case of state employees retiring prior to January
30 first, nineteen hundred eighty-three, the state shall contribute three-
31 quarters of the cost of premium or subscription charges for the coverage
32 of dependents. Notwithstanding any other law, rule or regulation, and
33 where, and to the extent that, an agreement between the state and an
34 employee organization entered into pursuant to article fourteen of this
35 chapter so provides or where and to the extent the employee health
36 insurance council so directs with respect to any other state employees
37 and for retired state employees retiring [on or after] between January
38 first, nineteen hundred eighty-three and December thirty-first, two
39 thousand three, the state shall contribute [nine-tenths] eighty-five
40 percent of the cost of premiums or subscription charges for coverage of
41 each such state employee or retired state employee who is enrolled in an
42 optional benefit plan and [three-fourths] seventy percent of such premi-
43 um or subscription charges for dependents of such state employees or
44 retired state employees enrolled in such optional benefit plan;
45 provided, however, [effective January first, nineteen hundred ninety-
46 six,] the contribution rates for the hospitalization and medical compo-
47 nents of each optional benefit plan shall not exceed one hundred percent
48 of the dollar amount of the state's contribution toward the hospitaliza-
49 tion and medical components of individual and dependent coverage,
50 respectively, in the Empire Plan. In the case of state employees retir-
51 ing prior to January first, nineteen hundred eighty-three, the state
52 shall contribute one hundred percent of the individual premium and
53 three-fourths of such premium for dependents of such retired employees
54 enrolled in such optional benefit plan; however, these contribution
55 rates shall not exceed one hundred percent of the employer dollar amount
S. 1406 125 A. 2106
1 contribution for individual and dependent coverage respectively in the
2 Empire Plan.
3 (b) Notwithstanding any other provision of law, the state shall
4 contribute toward the premium or subscription charges for the coverage
5 of retired state employees retiring on or after January first, two thou-
6 sand four who have ten years of service and are enrolled in the state-
7 wide and supplementary health insurance plans as follows:
8 (i) The state shall pay fifty percent of the cost of premium or
9 subscription charges for the coverage of such retired state employees
10 who have ten years of service. Such contribution shall increase by one
11 and three-fourths percent of premium or subscription charges for each
12 year of service in excess of ten years up to a maximum contribution of
13 eighty-five percent of premium or subscription charges.
14 (ii) The state shall pay thirty-five percent of the cost of premium or
15 subscription charges for the coverage of dependents of such retired
16 state employees who have ten years of service. Such contribution shall
17 increase by one and three-fourths percent of premium or subscription
18 charges for each year of service in excess of ten years up to a maximum
19 contribution of seventy percent of premium or subscription charges.
20 (iii) The state shall contribute toward the premium or subscription
21 charges for coverage of such retired state employees and for the cover-
22 age of dependents of such retired state employees who are enrolled in an
23 optional benefit plan in accordance with subparagraphs (i) and (ii) of
24 this paragraph for retired state employees and dependents of such
25 retired state employees who are enrolled in the statewide and supplemen-
26 tary health insurance plans; provided, however, the contribution rates
27 for the hospitalization and medical components of each optional benefit
28 plan shall not exceed one hundred percent of the dollar amount of the
29 state's contribution toward the hospitalization and medical components
30 of individual and dependent coverage, respectively, in the Empire Plan.
31 (c) For purposes of this subdivision, employees of the state colleges
32 of agriculture, home economics, industrial and labor relations, and
33 veterinary medicine, the state agricultural experiment station at Gene-
34 va, and any other institution or agency under the management and control
35 of Cornell university as the representative of the board of trustees of
36 the state university of New York, and employees of the state college of
37 ceramics under the management and control of Alfred university as the
38 representative of the board of trustees of the state university of New
39 York, shall be deemed to be state employees whose salaries or compen-
40 sation are paid directly by the state.
41 § 2. This act shall take effect January 1, 2004.
42 PART BB
43 Section 1. Subdivision 3 of section 200 of the state finance law, as
44 added by chapter 302 of the laws of 1985, is amended to read as follows:
45 3. (a) In any case where a state employee has, as a result of an
46 administrative error by the state, received salary or other compensation
47 payments in excess of that to which he or she was entitled, the state
48 will not attempt to recover such overpayment, except in those cases
49 described in paragraph (b) of this subdivision. Notwithstanding the
50 foregoing, the state will, where such overpayment is still continuing,
51 immediately reduce such [empolyee's] employee's current salary so that
52 the salary paid to such employee prospectively is the salary which the
53 employee is entitled to receive.
S. 1406 126 A. 2106
1 (b) Nothing contained in paragraph (a) of this subdivision shall
2 prevent the state from recovering, by offset or otherwise, any overpay-
3 ment made (i) [for shift differential, geographic differential, incon-
4 venience pay, pre-shift briefing pay or location pay; (ii)] for a period
5 when the employee was neither performing services for the state nor on
6 approved leave or [(iii)] (ii) under circumstances where the comptroller
7 reasonably determines that the employee knew, or that a reasonable
8 employee should have known, that the salary paid to him or her was in
9 excess of that which he or she was entitled to receive.
10 § 2. This act shall take effect immediately.
11 PART CC
12 Section 1. The state comptroller is hereby authorized and directed to
13 loan money in accordance with the provisions set forth in subdivision 5
14 of section 4 of the state finance law to the following funds and/or
15 accounts:
16 1. Tuition reimbursement fund (050):
17 a. Proprietary vocational school supervision account (02).
18 2. Local government records management improvement fund (052):
19 a. Local gov't records management account (01).
20 3. Dedicated highway and bridge trust fund (072):
21 a. Highway and bridge capital account (01).
22 4. State parks infrastructure trust fund (076):
23 a. State parks infrastructure account (01).
24 5. Clean water/clean air implementation fund (079).
25 6. State lottery fund (160).
26 7. Medicaid management information system escrow fund (179).
27 8. Federal USDA-food and nutrition services fund (261):
28 a. 2003 child and adult food care grant account.
29 b. 2002 child and adult food care grant account.
30 c. 2003 federal food and nutrition services account.
31 d. 2002 federal food and nutrition services account.
32 9. Federal health and human services fund (265):
33 a. Miscellaneous agencies (80).
34 b. 2003 children's health insurance account.
35 c. 2002 children's health insurance account.
36 10. Federal block grant fund (269):
37 a. 2003 maternal and child health services block grant.
38 b. 2002 maternal and child health services block grant.
39 c. 2003 preventive health and human services block grant (N5).
40 d. 2002 preventive health and human services block grant.
41 e. 2003 abstinence education grant (N8).
42 f. 2002 abstinence education grant.
43 g. 2003 individuals with disabilities education act-part c (54).
44 h. 2002 individuals with disabilities education act-part c.
45 11. Federal operating grants fund (290):
46 a. National recreation trail act grants (07).
47 b. State side land and water conservation act (08).
48 c. Historic preservation grants (13).
49 d. Division of human rights federal housing assistance (19).
50 e. Division of military and naval affairs training sites (30).
51 f. FTA program management account (34).
52 g. Division of military and naval affairs army and national guard
53 contract (35).
S. 1406 127 A. 2106
1 h. Division of military and naval affairs air national guard contract
2 (36).
3 i. Division of military and naval affairs air national guard security
4 guards (38).
5 j. HUD section 8 administration fees (42).
6 k. Division of military and naval affairs emergency management account
7 l. Highway safety section 402 account (54).
8 m. HUD - emergency shelter grants (75).
9 n. Federal library services technology act account (90).
10 o. Federal energy management account - state heating oil program (AE).
11 p. HUD - HOPWA automated (AK).
12 q. Federal McKinney homeless grant program (AY).
13 r. National park rehab (A1).
14 s. Encon ISTEA (A9).
15 t. Division of veterans' affairs - veterans' education account (B5).
16 u. FTA program management account (FT).
17 v. Division of human rights federal equal opportunity (G1).
18 w. National community service fund (JA).
19 x. Rural and small urban transit aid account (L2).
20 y. Federal housing and urban development account-local planning (L3).
21 z. Urban mass transportation administration account-local planning
22 (L4).
23 aa. Federal fund for pipeline safety account - 1983 pipeline safety
24 grant (L8).
25 bb. Foster care and adoption (W6).
26 cc. Encon agriculture (Y1).
27 dd. Encon commerce (Y2).
28 ee. Wildlife restoration (Y3).
29 ff. Encon EPA (Y4).
30 gg. Interior non wildlife (Y7).
31 hh. Air pollution control (Y8).
32 ii. Hazardous waste (Y9).
33 jj. Army (YO).
34 kk. Protection and advocacy for beneficiaries of social security (2I).
35 ll. COPSMORE 98 grant (2P).
36 mm. 2003 Safe drinking water.
37 nn. 2002 Safe drinking water.
38 oo. 2003 State indoor radon.
39 pp. 2002 State indoor radon.
40 qq. 2003 Asbestos compliance monitoring.
41 rr. 2002 Asbestos compliance monitoring.
42 ss. 2003 pollution prevention for the health care industry.
43 tt. 2002 pollution prevention for the health care industry.
44 uu. 2003 hazardous air pollutants and acute asthma in urban areas.
45 vv. 2002 hazardous air pollutants and acute asthma in urban areas.
46 ww. 2003 summer food grant.
47 xx. 2002 summer food grant.
48 yy. OCA - federal grants for drug court accounts.
49 zz. Lead based paint program account (CH).
50 aaa. Manufacturing extension partnership account.
51 12. Federal capital projects fund (291).
52 13. Sewage treatment program management and administration fund (300).
53 14. Environmental conservation special revenue fund (301):
54 a. Hazardous bulk storage account (F7).
55 b. Utility environmental regulation account (H4).
56 c. Low level radioactive waste siting account (K5).
S. 1406 128 A. 2106
1 d. Recreation account (K6).
2 e. Conservationist magazine account (S4).
3 f. Environmental regulatory account (S5).
4 g. Mined land reclamation program account (XB).
5 15. Environmental protection and oil spill compensation fund (303).
6 16. Hazardous waste remedial fund (312):
7 a. Site investigation and construction account (01).
8 b. Hazardous waste clean up account.
9 17. Mass transportation operating assistance fund (313):
10 a. Public transportation systems account (01).
11 b. Metropolitan mass transportation (02).
12 18. Clean air fund (314):
13 a. Operating permit program account (01).
14 b. Mobile source account (02).
15 19. Centralized services account (323).
16 20. Agency enterprise fund (331):
17 a. OGS convention center account (55).
18 21. Agencies internal service fund (334):
19 a. Transportation print shop account (01).
20 b. Archives records management account (02).
21 c. Civil recoveries account (03).
22 d. Quick copy center account (07).
23 e. Civil service law: sec 11 admin account (09).
24 f. Civil service EHS DOCS evening shift service (10).
25 g. Banking services account (12).
26 h. Cultural resources survey account (14).
27 i. Neighborhood work project (17).
28 j. Automation & printing chargeback account (18).
29 k. OFT NYT account (20).
30 l. Entrepreneur technology (21).
31 m. Data center account (23).
32 n. Human service telecom account (24).
33 o. NEXTSTEP account (25).
34 p. OMRDD copy center account (26).
35 22. Miscellaneous special revenue fund (339):
36 a. Adoption information registry account (01).
37 b. Statewide planning and research cooperative system account (03).
38 c. New York state thruway authority account (08).
39 d. Financial control board account (15).
40 e. New York metropolitan transportation council account (17).
41 f. Quality of care account (20).
42 g. Certificate of need account (26).
43 h. Education museum account (31).
44 i. Hospital and nursing home management account (44).
45 j. State university dormitory income reimbursable account (47).
46 k. Energy research account (60).
47 l. Criminal justice improvement account (62).
48 m. Environmental laboratory reference fee account (81).
49 n. Clinical laboratory reference fee account (90).
50 o. Public employment relations board account (93).
51 p. Radiological health protection account (95).
52 q. Education library account (A3).
53 r. Banking department account (A5).
54 s. Cable television account (A6).
55 t. Hospital based grants program account (AF).
56 u. Indirect cost recovery account (AH).
S. 1406 129 A. 2106
1 v. High school equivalency program account (AI).
2 w. DOH administration account (AP).
3 x. Rail safety inspection account (AQ).
4 y. Administrative reimbursement account (AR).
5 z. Child support incentive revenue account (AX).
6 aa. Multi-agency training account (AY).
7 bb. Insurance department account (B6).
8 cc. Industry and utility service account (BK).
9 dd. Real property disposition account (BP).
10 ee. Parking account (BQ).
11 ff. Asbestos safety training program account (BW).
12 gg. Improvement of real property tax administration account (BZ).
13 hh. Public service account (C3).
14 ii. Plant industry account (CZ).
15 jj. Batavia school for the blind account (D9).
16 kk. Financial oversight account (DI).
17 ll. Regulation of indian gaming account (DT).
18 mm. Special conservation activities account (DU).
19 nn. Office of the professions account (E3).
20 oo. Rome school for the deaf account (E6).
21 pp. Seized assets account (E8).
22 qq. Administrative adjudication account (E9).
23 rr. Federal salary sharing account (EC).
24 ss. Examination and miscellaneous revenue account (ER).
25 tt. Transportation regulation account (F1).
26 uu. Consumer protection account (F2).
27 vv. State student financial aid audit account (FA).
28 ww. Education archives account (G1).
29 xx. Local services account (G3).
30 yy. Division of housing and community renewal housing information
31 systems special revenue account (H1).
32 zz. Housing special revenue account (H2).
33 aaa. Department of motor vehicles compulsory insurance account (H7).
34 bbb. Housing credit agency application fee account (J5).
35 ccc. EPIC premium account (J6).
36 ddd. Adult cystic fibrosis program account (L5).
37 eee. Federal gasoline and diesel fuel excise tax account (L6).
38 fff. Administrative reimbursement account (L7).
39 ggg. Maternal and child HIV services account (LC).
40 hhh. Low income housing credit monitoring fee account (NG).
41 iii. Procurement opportunities newsletter account (P4).
42 jjj. Corporation administration account (P6).
43 kkk. Montrose veteran's home account (Q6).
44 lll. Excelsior capital corporation reimbursement account (R1).
45 mmm. Motor fuel quality account (R4).
46 nnn. Weights and measures account (R5).
47 ooo. Deferred compensation administration account (R7).
48 ppp. Rent revenue other account (RR).
49 qqq. Batavia medicaid income account (S1).
50 rrr. Rent revenue account (S8).
51 sss. Solid waste management account (W3).
52 ttt. Occupational health clinics account (W4).
53 uuu. Cultural education account.
54 vvv. Forge-proof prescriptions account (RX).
55 www. Vital records management account.
56 xxx. OMRDD provider of service account.
S. 1406 130 A. 2106
1 yyy. Regulation of racing account.
2 zzz. Statewide gaming account.
3 23. State university income fund (345):
4 a. State university general income offset account (11).
5 24. State police and motor vehicle law enforcement fund (354):
6 a. State police motor vehicle law enforcement account (02).
7 25. Youth facilities improvement fund (357):
8 a. Youth facilities improvement account (01).
9 26. Highway safety program fund (362):
10 a. Highway safety program account (01).
11 27. Drinking water program management and
12 administration fund (366):
13 a. EFC drinking water program account (01).
14 b. DOH drinking water program account (02).
15 28. New York city county clerks offset fund (368):
16 a. NYCCC operating offset account (01).
17 29. Housing assistance fund (374).
18 30. Housing program fund (376).
19 31. Department of transportation - engineering services fund (380):
20 a. Highway facility purpose account (01).
21 32. Miscellaneous capital projects fund (387):
22 a. Clean air capital account (08).
23 33. Mental hygiene facilities capital improvement fund (389).
24 34. Joint/labor management administration fund (394):
25 a. Joint labor/management administration fund (01).
26 35. Audit and control revolving fund (395):
27 a. Executive direction internal audit account (04).
28 36. Health insurance internal service fund (396):
29 a. Health insurance internal service account (00).
30 b. Civil service employee benefits div admin (01).
31 37. Correctional industries revolving fund (397).
32 38. Correctional facilities capital improvement fund (399).
33 39. Federal unemployment insurance administration fund (480):
34 a. UI administration (01).
35 40. Federal unemployment insurance occupational training fund (484):
36 a. Disaster relief grants (01).
37 b. OTA-WTC fund (WT).
38 41. Federal DOL grants (JTPA) (486):
39 a. DOL welfare to work (06).
40 b. SUNY SBDC (07).
41 c. DOL workforce investment act (09).
42 d. 5H90B - world trade (WT).
43 § 2. Section 97-rrr of the state finance law, as added by section 7-a
44 of part A of chapter 56 of the laws of 1998, is amended by adding a new
45 subdivision 5 to read as follows:
46 5. Notwithstanding the provisions of section one hundred
47 seventy-one-a, as separately amended by chapters four hundred eighty-one
48 and four hundred eighty-four of the laws of nineteen hundred eighty-one,
49 of the tax law or any other provisions of law to the contrary, during
50 each fiscal year, the state comptroller is hereby authorized and
51 directed to deposit into the school tax relief fund created pursuant to
52 this section, from amounts collected pursuant to article twenty-two of
53 the tax law, the amounts necessary to meet the purposes of such fund for
54 each fiscal year pursuant to a schedule submitted by the director of the
55 budget.
S. 1406 131 A. 2106
1 § 3. The comptroller is authorized and directed to deposit to the
2 general fund - state purposes account reimbursements from moneys appro-
3 priated or reappropriated to the correctional facilities capital
4 improvement fund (399) by a chapter of the laws of 2003. Reimbursements
5 shall be available for spending from appropriations made to the depart-
6 ment of correctional services in the general fund - state purposes
7 account by a chapter of the laws of 2003 for costs associated with the
8 administration and security of capital projects and for other costs
9 which are attributable, according to a plan, to such capital projects.
10 § 4. Notwithstanding any law to the contrary, and in accordance with
11 section 4 of the state finance law, the comptroller, after consultation
12 with the state university chancellor or his or her designee, is hereby
13 authorized and directed to transfer moneys, in the first instance, from
14 the state university collection fund (344), Stony Brook hospital
15 collection account (07), Brooklyn hospital collection account (08), and
16 Syracuse hospital collection account (09) to the state university income
17 fund (345), state university hospitals income reimbursable account (22)
18 in the event insufficient funds are available in the state university
19 income fund (345), state university hospitals income reimbursable
20 account (22) to transfer moneys, in amounts sufficient to permit the
21 full transfer of moneys authorized for transfer, to the general debt
22 service fund (311) for payment of debt service related to the SUNY
23 hospitals. Notwithstanding any law to the contrary, the comptroller is
24 also hereby authorized and directed, after consultation with the state
25 university chancellor or his or her designee, to transfer moneys from
26 the state university income fund (345) to the state university income
27 fund (345), state university hospitals income reimbursable account (22)
28 in the event insufficient funds are available in the state university
29 income fund (345), state university hospitals income reimbursable
30 account (22) to pay hospital operating costs or to transfer moneys, in
31 amounts sufficient to permit the full transfer of moneys authorized for
32 transfer, to the general debt service fund (311) for payment of debt
33 service related to the SUNY hospitals.
34 § 5. Section 57 of part K of chapter 81 of the laws of 2002 relating
35 to providing for the administration of certain funds and accounts
36 related to the 2002-2003 budget is amended to read as follows:
37 § 57. This act shall take effect immediately and shall be deemed to
38 have been in full force and effect on and after April 1, 2002; provided,
39 however, that sections one [through], three through seven, eight-a,
40 nine, twelve, thirteen, and fourteen through twenty-three of this act
41 shall expire March 31, 2003, when upon such date the provisions of such
42 sections shall be deemed repealed.
43 § 6. Subdivision 5 of section 4 of the state finance law, as amended
44 by chapter 260 of the laws of 1993, is amended to read as follows:
45 5. No money or other financial resources shall be transferred or
46 temporarily loaned from one fund to another without specific statutory
47 authorization for such transfer or temporary loan, except that [the]
48 money or other financial resources of a fund may be temporarily loaned
49 to another fund only if such loan shall be repaid in full prior to the
50 end of each month during which such loan is outstanding, so that an
51 accurate accounting and reporting of the balance of financial resources
52 in each fund at the end of each month may be made. The comptroller is
53 hereby authorized to temporarily loan money from the general fund or any
54 other fund to the fund/accounts that are authorized to receive a loan.
55 Such loans shall be limited to the amounts immediately required to meet
56 disbursements, made in pursuance of an appropriation by law and author-
S. 1406 132 A. 2106
1 ized by a certificate of approval issued by the director of the budget,
2 with copies thereof filed with the comptroller and the chair of the
3 senate finance committee and the chair of the assembly ways and means
4 committee. The director of the budget shall not issue such a certificate
5 unless he or she shall have determined that the amounts to be so loaned
6 are receivable on account. When making loans, the comptroller shall
7 establish appropriate accounts and, if the loan is not repaid by the end
8 of the month, provide on or before the fifteenth day of the following
9 month to the director of the budget, the chair of the senate finance
10 committee, and the chair of the assembly ways and means committee, an
11 accurate accounting and report of the financial resources of each such
12 fund at the end of such month. Within ten days of the receipt of such
13 accounting and reporting, the director of the budget shall provide the
14 chair of the senate finance committee and the chair of the assembly ways
15 and means committee with an expected schedule of repayment by fund and
16 by source for each outstanding loan. Repayment shall be made by the
17 comptroller from the first cash receipt of this fund.
18 § 7. Section 97-rrr of the state finance law, as amended by section 45
19 of part H of chapter 56 of the laws of 2000, is amended to read as
20 follows:
21 § 97-rrr. Debt reduction reserve fund. 1. There is hereby established
22 in the joint custody of the comptroller and the commissioner of taxation
23 and finance a fund to be known as the debt reduction reserve fund. Such
24 fund shall be established as a [capital projects] debt service fund.
25 Notwithstanding the provisions of subdivision four of section seventy-
26 two of this article, any balance of moneys in the debt reduction reserve
27 fund shall remain in such fund to be available for the purposes enumer-
28 ated in this section.
29 2. Such fund shall consist of all monies credited or transferred ther-
30 eto from the general fund or from any other fund or sources pursuant to
31 law.
32 3. The monies in such fund, following appropriation by the legislature
33 and allocation by the director of the budget, shall be available for the
34 following purposes:
35 (a) for the payment of principal, interest, and related expenses on
36 general obligation bonds, lease purchase payments, or special contractu-
37 al obligation payments, or for the purposes of retiring or defeasing
38 bonds previously issued, including any accrued interest thereon, for any
39 state-supported bonding program or programs, and;
40 (b) for the funding of capital projects, equipment acquisitions, or
41 similar expenses which have been authorized by law to be financed
42 through the issuance of bonds, notes, or other obligations.
43 § 8. (1) Pursuant to various chapters of the laws of 2003 making
44 appropriations for capital projects, such appropriations shall be deemed
45 to provide all costs necessary and pertinent to accomplish the intent of
46 the appropriation, including apportionments to departments, agencies, or
47 corporations for the purposes of the specific appropriation or for
48 payment to the construction management account of the centralized
49 services fund of the New York state office of general services for the
50 preparation and review of plans, specifications, estimates, services,
51 construction management and supervision, inspection, studies,
52 appraisals, surveys, testing, and environmental statements relating to
53 existing or proposed facilities.
54 Appropriations from the capital projects fund, the city university of
55 New York capital projects fund, the mental hygiene capital improvement
56 fund, the department of health facilities capital improvement fund, the
S. 1406 133 A. 2106
1 correctional facilities capital improvement fund, the youth facilities
2 improvement fund, the housing assistance fund, the housing program fund,
3 the engineering services fund, the dedicated highway and bridge trust
4 fund, the suburban transportation fund, the state park infrastructure
5 fund, the passenger facility charge fund, the state university residence
6 hall rehabilitation fund, the state university capital projects fund,
7 the New York state canal system development fund, the financial security
8 fund, the natural resources damages fund, the federal capital projects
9 fund, and the regional aviation fund are appropriated in accordance with
10 the provisions of section 93 of the state finance law. Moneys appropri-
11 ated from each such fund type for CCP's, for agency purposes within
12 CCP's, and for projects sharing the same agency purpose within a CCP may
13 be transferred among projects within a CCP in accordance with paragraphs
14 (a) through (g) of subdivision 4 of section 93 of the state finance law
15 and may be transferred among purposes within a CCP subject to the limi-
16 tations of paragraph (e) of subdivision 4 of section 93 of the state
17 finance law.
18 Notwithstanding the provisions of any general or special law, the
19 provisions of paragraphs (a) through (g) of subdivision 4 of section 93
20 of the state finance law which relate to the transfer of a portion of a
21 capital appropriation to another capital appropriation shall be applica-
22 ble to appropriations from each fund.
23 (2) The following funds are eligible to be reimbursed from miscella-
24 neous receipts or the proceeds of notes or bonds sold by public authori-
25 ties, as specified in this subdivision:
26 (a) the health facilities capital improvement fund, from the proceeds
27 of the sale of notes or bonds issued by the New York state dormitory
28 authority;
29 (b) the dedicated highway and bridge trust fund, from miscellaneous
30 receipts or the proceeds of the sale of notes or bonds issued by the New
31 York state thruway authority;
32 (c) the youth facilities improvement fund and the correctional facili-
33 ties capital improvement fund, from the proceeds of the sale of notes or
34 bonds issued by the New York state urban development corporation or any
35 other public authority;
36 (d) the housing assistance fund and the housing program fund, from the
37 proceeds of the sale of notes or bonds issued by the housing finance
38 agency or any other public authority;
39 (e) the mental hygiene capital facilities improvement fund, from
40 miscellaneous receipts or the proceeds of the sale of notes or bonds
41 issued by the New York state dormitory authority as successor to the
42 medical care facilities financing agency pursuant to chapter 83 of the
43 laws of 1995;
44 (f) the environmental protection fund, from miscellaneous receipts or
45 the proceeds of the sale of notes or bonds issued by the New York state
46 environmental facilities corporation or any other public authority. The
47 comptroller shall receive such reimbursements for deposit in the funds
48 so specified; and
49 (g) the hazardous waste remedial fund, from miscellaneous receipts or
50 the proceeds of the sale of notes or bonds issued by the New York state
51 environmental facilities corporation or any other public authority.
52 (3) The comptroller is hereby authorized and directed to deposit
53 moneys received, as specified below:
54 (a) the engineering services fund shall receive reimbursements from
55 various capital appropriations;
S. 1406 134 A. 2106
1 (b) the financial security fund shall receive moneys recovered in
2 accordance with various required financial security arrangements for
3 environmental projects;
4 (c) the natural resources damages fund shall receive moneys recovered
5 from successful natural resource damage claims and related settlements;
6 and
7 (d) the regional aviation fund shall receive moneys from the lease of
8 Stewart Airport, including any payments due to the state from related
9 settlements or agreements.
10 (4) The comptroller shall certify monthly, to the director of the
11 budget and the chairs of the senate finance and assembly ways and means
12 committees, the total disbursements from the correctional facilities
13 capital improvement fund (399), the department of health facilities
14 capital improvement fund (071), the housing assistance fund (374), the
15 youth facilities improvement fund (357), the housing program fund (376),
16 and the mental hygiene capital improvement fund (389), the total
17 reimbursements to such funds from bond proceeds, and the amount of
18 disbursements from such funds remaining to be financed with bond
19 proceeds. Once a year, as soon as practicable after March 31, the comp-
20 troller shall certify, to the director of the budget and the chairs of
21 the senate finance and assembly ways and means committees, for the
22 fiscal year just ended, total disbursements from the correctional facil-
23 ities capital improvement fund, the department of health facilities
24 capital improvement fund, the youth facilities improvement fund, the
25 housing assistance fund, the housing program fund, and the mental
26 hygiene capital improvement fund any amounts transferred from the capi-
27 tal projects fund to such funds for nonbondable disbursements, the total
28 reimbursements to such funds from bond proceeds, and the amount of
29 disbursements from such funds remaining to be financed with bond
30 proceeds.
31 (5) The dormitory authority of the state of New York and the depart-
32 ment of health shall report quarterly to the director of the budget the
33 amounts expended from appropriations in the capital projects fund which
34 are eligible for reimbursement from the proceeds of the bonds. The hous-
35 ing finance agency, in conjunction with the affordable housing corpo-
36 ration, the homeless housing assistance corporation and the commissioner
37 of the office of temporary and disability assistance, and the housing
38 trust fund corporation shall report quarterly to the director of the
39 budget on the amounts disbursed from appropriations in the housing
40 program fund and the housing assistance fund which are eligible for
41 repayment from the proceeds of the bonds. The dormitory authority of the
42 state of New York, as successor to the facilities development corpo-
43 ration pursuant to chapter 83 of the laws of 1995, and the office of
44 mental health, the office of mental retardation and developmental disa-
45 bilities, and the office of alcoholism and substance abuse services
46 shall report quarterly to the director of the budget on the amounts
47 disbursed from appropriations in the mental hygiene capital improvement
48 fund which are eligible for reimbursement from the proceeds of the
49 bonds. Such reports shall be submitted to the director of the budget no
50 later than July 30, October 31, January 30, and April 30 of each state
51 fiscal year. The director of the budget shall review these reports and
52 then certify to the comptroller amounts expended from these appropri-
53 ations which are reimbursable from bond proceeds. Until such time as the
54 director of the budget determines that the amounts disbursed from such
55 funds are not reimbursable from bond proceeds, all such disbursements
56 shall be considered to be reimbursable from bond proceeds. Upon such
S. 1406 135 A. 2106
1 certifications for the housing assistance fund, the housing program
2 fund, and the mental hygiene capital improvement fund, the comptroller
3 is hereby authorized to transfer from the capital projects fund, pursu-
4 ant to an appropriation, an amount equal to the amount of disbursements
5 from these appropriations which have not been certified as repayable
6 from bond proceeds.
7 § 9. Notwithstanding any other law, rule, or regulation to the
8 contrary, the comptroller is hereby authorized and directed to deposit,
9 to the credit of the capital projects fund, reimbursement from the
10 proceeds of notes and bonds issued by the environmental facilities
11 corporation or any other public authority for a capital appropriation
12 for $20,241,000 authorized by chapter 55 of the laws of 1998 to the
13 department of environmental conservation for a payment of a portion of
14 the state's match for federal capitalization grants for the water
15 pollution control revolving loan fund.
16 § 10. Notwithstanding any other law, rule, or regulation to the
17 contrary, the comptroller is hereby authorized and directed to deposit,
18 to the credit of the capital projects fund, reimbursement from the
19 proceeds of notes and bonds issued by the environmental facilities
20 corporation or any other public authority for a capital appropriation
21 for $22,404,000 authorized by chapter 55 of the laws of 1999 to the
22 department of environmental conservation for payment of a portion of the
23 state's match for federal capitalization grants for the water pollution
24 control revolving loan fund, reimbursements for spending from various
25 appropriations for projects related to the New York City Watershed,
26 reimbursement from the proceeds of notes and bonds issued by the envi-
27 ronmental facilities corporation or any other public authority for a
28 capital appropriation for $22,500,000 authorized by chapter 55 of the
29 laws of 1999 to the environmental facilities corporation for payment for
30 the jobs two thousand pipeline for jobs program, reimbursement from the
31 proceeds of notes and bonds issued by the dormitory authority or any
32 other public authority of the state of New York for a capital appropri-
33 ation for $47,500,000 authorized by chapter 55 of the laws of 1999 to
34 the office of science, technology and academic research for payment for
35 the jobs two thousand capital facilities program, reimbursement from the
36 proceeds of notes and bonds issued by the dormitory authority or any
37 other public authority of the state of New York for a capital appropri-
38 ation for $145,000,000 authorized by chapter 53 of the laws of 1999 to
39 the state education department for payment of capital construction
40 grants to school districts pursuant to the rebuilding schools to uphold
41 education program, and reimbursement from the proceeds of notes and
42 bonds issued by the urban development corporation or any other public
43 authority for a capital appropriation for $25,000,000 authorized by
44 chapter 55 of the laws of 1999 to all state agencies for payment of
45 costs related to economic development, land acquisition, and heritage
46 trail projects.
47 § 11. Notwithstanding any other law, rule, or regulation to the
48 contrary, the comptroller is hereby authorized and directed to deposit,
49 to the credit of the capital projects fund, reimbursement from the
50 proceeds of notes or bonds issued by the environmental facilities corpo-
51 ration or any other public authority for a capital appropriation for
52 $43,383,000 authorized by chapter 55 of the laws of 2000 to the depart-
53 ment of environmental conservation for payment of a portion of the
54 state's match for federal capitalization grants for the water pollution
55 control revolving loan fund, to reimburse spending from various appro-
56 priations for certain projects related to the New York City Watershed,
S. 1406 136 A. 2106
1 reimbursement from the proceeds of notes and bonds issued by the urban
2 development corporation or any other public authority for a capital
3 appropriation for $15,000,000 authorized by chapter 55 of the laws of
4 2000 to the urban development corporation for payment of costs related
5 to a sports facility in the city of Rochester, reimbursement from the
6 proceeds of notes and bonds issued by the urban development corporation
7 of the state of New York for a capital appropriation for $50,000,000
8 authorized by chapter 55 of the laws of 2000 to the urban development
9 corporation for payment of costs related to economic development
10 projects in the downtown Buffalo, the Buffalo inner harbor area, or
11 surrounding environs, reimbursement from proceeds of notes and bonds
12 issued by the urban development corporation, the environmental facili-
13 ties corporation, the dormitory authority, or any other public authority
14 of the state of New York for a capital appropriation for $225,000,000
15 authorized by chapter 55 of the laws of 2000 to all state agencies for
16 payment of costs related to the strategic investment program, reimburse-
17 ment from the proceeds of notes and bonds issued by the dormitory
18 authority or any other public authority of the state of New York for a
19 capital appropriation for $50,000,000 authorized by chapter 53 of the
20 laws of 2000 to the state education department for payment of capital
21 construction grants to school districts pursuant to the rebuilding
22 schools to uphold education program, for reimbursement from the proceeds
23 of notes and bonds issued by the dormitory authority or any other public
24 authority of the state of New York for a capital appropriation for
25 $15,000,000 authorized by chapter 53 of the laws of 2000 to the office
26 of children and family services for payment of costs related to the
27 child care facilities development program, and for reimbursement from
28 the proceeds of notes and bonds issued by the dormitory authority or any
29 other public authority of the state of New York for a capital appropri-
30 ation for $10,000,000 authorized by chapter 55 of the laws of 2000 to
31 the office of science, technology and academic research for payment of
32 costs related to biomedical research and/or manufacturing facilities.
33 § 12. Notwithstanding any other law, rule, or regulation to the
34 contrary, the comptroller is hereby authorized and directed to deposit
35 to the credit of the capital projects fund, reimbursement from the
36 proceeds of notes or bonds issued by the environmental facilities corpo-
37 ration or any other public authority for a capital appropriation for
38 $29,772,000 authorized by chapter 54 of the laws of 2001 to the depart-
39 ment of environmental conservation for payment of a portion of the
40 state's match for federal capitalization grants for the water pollution
41 control revolving loan fund.
42 § 13. Notwithstanding any other law, rule, or regulation to the
43 contrary, the comptroller is hereby authorized and directed to deposit,
44 to the credit of the capital projects fund, reimbursement from the
45 proceeds of notes or bonds issued by the environmental facilities corpo-
46 ration or any other public authority for a capital appropriation for
47 $29,365,000 authorized by chapter 54 of the laws of 2002 to the depart-
48 ment of environmental conservation for payment of a portion of the
49 state's match for federal capitalization grants for the water pollution
50 control revolving loan fund, reimbursement from the proceeds of notes
51 and bonds issued by the urban development corporation or any other
52 public authority or other financing source for a capital appropriation
53 for $89,000,000 authorized by chapter 50 of the laws of 2002 to the
54 office of general services for payment of capital construction costs for
55 the Alfred E. Smith office building located in the city of Albany,
56 reimbursement from the proceeds of notes and bonds issued by the urban
S. 1406 137 A. 2106
1 development corporation or any other public authority or other financing
2 source for capital appropriations for $1,500,000 authorized by chapter
3 50 of the laws of 2002 to the office of general services for payment of
4 capital construction costs for the Elk street parking garage building
5 located in the city of Albany, reimbursement from the proceeds of notes
6 or bonds issued by the urban development corporation or any other public
7 authority for disbursements of up to $12,000,000 from any capital appro-
8 priation or reappropriation authorized by chapter 50 of the laws of 2002
9 to the office of general services for various purposes, reimbursement
10 from the proceeds of notes or bonds issued by the environmental facili-
11 ties corporation or any other public authority for a capital appropri-
12 ation of $13,250,000 authorized by chapter 55 of the laws of 2002 to the
13 energy research and development authority for the Western New York
14 Nuclear Service Center at West Valley, reimbursement from the proceeds
15 of notes or bonds issued by the urban development corporation or any
16 other public authority for a capital appropriation of $14,300,000
17 authorized by chapter 55 of the laws of 2002 to the urban development
18 corporation to finance a portion of the jobs now program, reimbursement
19 from the proceeds of notes or bonds issued by the dormitory authority or
20 any other public authority for disbursements of up to $20,800,000 from
21 any capital appropriation or reappropriation authorized by chapter 51 of
22 the laws of 2002 to the judiciary for courthouse improvements,
23 reimbursement from the proceeds of notes or bonds issued by the urban
24 development corporation or any other public authority for disbursements
25 of up to $15,000,000 from appropriations or reappropriations authorized
26 by chapter 50 of the laws of 2002 to any agency for costs related to
27 homeland security, and reimbursement from the proceeds of notes or bonds
28 issued by the environmental facilities corporation or any other public
29 authority for a capital appropriation of $10,000,000 authorized by chap-
30 ter 54 of the laws of 2002 to the department of environmental conserva-
31 tion for Onondaga Lake.
32 § 14. Notwithstanding any other law, rule, or regulation to the
33 contrary, the comptroller is hereby authorized and directed to deposit
34 to the credit of the capital projects fund, reimbursement from the
35 proceeds of notes or bonds issued by the environmental facilities corpo-
36 ration or any other public authority for a capital appropriation for
37 $30,174,000 authorized by a chapter of the laws of 2003 to the depart-
38 ment of environmental conservation for payment of a portion of the
39 state's match for federal capitalization grants for the water pollution
40 control revolving loan fund, reimbursement from the proceeds of notes or
41 bonds issued by the urban development corporation or any other public
42 authority or other financing source for a capital appropriation of
43 $19,500,000 authorized by a chapter of the laws of 2003 to the office of
44 general services for payment of capital construction costs for the Elk
45 street parking garage building located in the city of Albany, reimburse-
46 ment from the proceeds of notes or bonds issued by the urban development
47 corporation or any other public authority for disbursements of up to
48 $10,000,000 from any capital appropriation or reappropriation authorized
49 by a chapter of the laws of 2003 to the office of general services for
50 various purposes, reimbursement from the proceeds of notes or bonds
51 issued by the environmental facilities corporation or any other public
52 authority for a capital appropriation of $13,250,000 authorized by a
53 chapter of the laws of 2003 to the energy research and development
54 authority for the Western New York Nuclear Service Center at West
55 Valley, reimbursement from the proceeds of notes or bonds issued by the
56 dormitory authority or any other public authority for disbursements of
S. 1406 138 A. 2106
1 up to $16,400,000 from any capital appropriation or reappropriation
2 authorized by a chapter of the laws of 2003 to the judiciary for court-
3 house improvements, reimbursement from the proceeds of notes or bonds
4 issued by the urban development corporation or any other public authori-
5 ty for disbursements of up to $8,000,000 from appropriations or reappro-
6 priations authorized by a chapter of the laws of 2003 to any agency for
7 costs related to homeland security, reimbursement from the proceeds of
8 notes or bonds issued by the environmental facilities corporation or any
9 other public authority for a capital appropriation of $10,000,000
10 authorized by a chapter of the laws of 2003 to the department of envi-
11 ronmental conservation for Onondaga Lake, and reimbursement from the
12 proceeds of notes or bonds issued by the environmental facilities corpo-
13 ration or any other public authority for disbursements of up to
14 $11,000,000 from any capital appropriation or reappropriation authorized
15 by a chapter of the laws of 2003 to the department of environmental
16 conservation for environmental purposes.
17 § 15. Notwithstanding any other law, rule, or regulation to the
18 contrary, the state comptroller is hereby authorized and directed to use
19 any balance remaining in the mental health services fund debt service
20 appropriation, after payment by the state comptroller of all obligations
21 of the facilities development corporation or any successor agency there-
22 of, required pursuant to any lease, sublease, or other financing
23 arrangement between the facilities development corporation, the dormito-
24 ry authority of the state of New York as successor to the New York state
25 medical care facilities financing agency, and the facilities development
26 corporation pursuant to chapter 83 of the laws of 1995 and the depart-
27 ment of mental hygiene for the purpose of making payments to such agency
28 for the amount of the earnings for the investment of monies deposited in
29 the mental health services fund that such agency determines will or may
30 have to be rebated to the federal government pursuant to the provisions
31 of the internal revenue code of 1986, as amended, in order to enable
32 such agency to maintain the exemption from federal income taxation on
33 the interest paid to the holders of such agency's mental services facil-
34 ities improvement revenue bonds. On or before June 30, 2004, such agency
35 shall certify to the state comptroller its determination of the amounts
36 received in the mental health services fund as a result of the invest-
37 ment of monies deposited therein that will or may have to be rebated to
38 the federal government pursuant to the provisions of the internal reven-
39 ue code of 1986, as amended.
40 § 16. (1) Notwithstanding any other law, rule, or regulation to the
41 contrary, the state comptroller shall at the commencement of each month
42 certify to the director of the budget, the commissioner of environmental
43 conservation, the chair of the senate finance committee, and the chair
44 of the assembly ways and means committee the amounts disbursed from all
45 appropriations for hazardous waste site remediation disbursements for
46 the month preceding such certification.
47 (2) Notwithstanding any law to the contrary, prior to the issuance by
48 the comptroller of bonds authorized pursuant to subdivision a of section
49 4 of the environmental quality bond act of nineteen hundred eighty-six,
50 as enacted by chapter 511 of the laws of 1986, disbursements from all
51 appropriations for that purpose shall first be reimbursed from moneys
52 credited to the hazardous waste remedial fund, site investigation and
53 construction account, to the extent moneys are available in such
54 account. For purposes of determining moneys available in such account,
55 the commissioner of environmental conservation shall certify to the
S. 1406 139 A. 2106
1 comptroller the amounts required for administration of the hazardous
2 waste remedial program.
3 (3) The comptroller is hereby authorized and directed to transfer any
4 balance above the amounts certified by the commissioner of environmental
5 conservation to reimburse disbursements pursuant to all appropriations
6 from such site investigation and construction account; provided, howev-
7 er, that if such transfers are determined by the comptroller to be
8 insufficient to assure that interest paid to holders of state obli-
9 gations issued for hazardous waste purposes pursuant to the environ-
10 mental quality bond act of nineteen hundred eighty-six, as enacted by
11 chapter 511 of the laws of 1986, is exempt from federal income taxation,
12 the comptroller is hereby authorized and directed to transfer, from such
13 site investigation and construction account to the general fund, the
14 amount necessary to redeem bonds in an amount necessary to assure the
15 continuation of such tax exempt status. Prior to the making of any such
16 transfers, the comptroller shall notify the director of the budget of
17 the amount of such transfers.
18 § 17. Subdivision 4 of section 66-b of the state finance law is
19 REPEALED and a new subdivision 4 is added to read as follows:
20 4. The maximum amount of certificates of participation or similar
21 instruments representing periodic payments due from the state of New
22 York, issued on behalf of state departments and agencies, the city
23 university of New York and any other state entity otherwise specified
24 after March thirty-first, two thousand three shall be seventy million
25 dollars. Such amount shall be exclusive of certificates of participation
26 or similar instruments issued to fund a reserve fund or funds, costs of
27 issuance and to refund outstanding certificates of participation.
28 § 18. Subject to the provisions of chapter 59 of the laws of 2000 and
29 pursuant to article 5-A of the state finance law, the total amount of
30 certificates of participation to be issued in the state fiscal year
31 beginning April 1, 2003, to finance and, where appropriate to refinance,
32 personal property purposes excluding the cost of issuance and related
33 costs, shall not exceed $70,000,000 for installment purchases and/or
34 lease purchases of all state departments and agencies, units of the
35 state university of New York and city university of New York, and the
36 unified court system.
37 § 19. Subdivision 1 of section 16 of part D of chapter 389 of the laws
38 of 1997, relating to the financing of the correctional facilities
39 improvement fund, as amended by section 30 of part H of chapter 56 of
40 the laws of 2000, is amended to read as follows:
41 1. [Notwithstanding] Subject to the provisions of chapter 59 of the
42 laws of 2000, but notwithstanding the provisions of section 18 of chap-
43 ter 174 of the laws of 1968, the New York state urban development corpo-
44 ration is hereby authorized to issue bonds, notes, and other obligations
45 in an aggregate principal amount not to exceed [four] five billion
46 [five] one hundred [fifty] sixty-seven million [six] seven hundred nine-
47 ty-three thousand dollars [($4,550,693,000)] ($5,167,793,000), and shall
48 include all bonds, notes, and other obligations issued pursuant to chap-
49 ter 56 of the laws of 1983, as amended or supplemented. The proceeds of
50 such bonds, notes, or other obligations shall be paid to the state, for
51 deposit in the correctional facilities capital improvement fund, to pay
52 for all or any portion of the amount or amounts paid by the state from
53 appropriations or reappropriations made to the department of correction-
54 al services from the correctional facilities capital improvement fund
55 for capital projects. The aggregate amount of bonds, notes, or other
56 obligations authorized to be issued pursuant to this section shall
S. 1406 140 A. 2106
1 exclude bonds, notes, or other obligations issued to refund or otherwise
2 repay bonds, notes, or other obligations theretofore issued, the
3 proceeds of which were paid to the state for all or a portion of the
4 amounts expended by the state from appropriations or reappropriations
5 made to the department of correctional services; provided, however, that
6 upon any such refunding or repayment the total aggregate principal
7 amount of outstanding bonds, notes, or other obligations may be greater
8 than [four] five billion [five] one hundred [fifty] sixty-seven million
9 [six] seven hundred ninety-three thousand dollars [($4,550,693,000)]
10 ($5,167,793,000), only if the present value of the aggregate debt
11 service of the refunding or repayment bonds, notes, or other obligations
12 to be issued shall not exceed the present value of the aggregate debt
13 service of the bonds, notes, or other obligations so to be refunded or
14 repaid. For the purposes hereof, the present value of the aggregate debt
15 service of the refunding or repayment bonds, notes, or other obligations
16 and of the aggregate debt service of the bonds, notes, or other obli-
17 gations so refunded or repaid, shall be calculated by utilizing the
18 effective interest rate of the refunding or repayment bonds, notes, or
19 other obligations, which shall be that rate arrived at by doubling the
20 semi-annual interest rate (compounded semi-annually) necessary to
21 discount the debt service payments on the refunding or repayment bonds,
22 notes, or other obligations from the payment dates thereof to the date
23 of issue of the refunding or repayment bonds, notes, or other obli-
24 gations and to the price bid, including estimated accrued interest or
25 proceeds received by the corporation, including estimated accrued inter-
26 est from the sale thereof.
27 § 20. Paragraph (a) of subdivision 2 of section 47-e of the private
28 housing finance law, as amended by section 25 of part K of chapter 81 of
29 the laws of 2002, is amended to read as follows:
30 (a) [In] Subject to the provisions of chapter fifty-nine of the laws
31 of two thousand, in order to enhance and encourage the promotion of
32 housing programs and thereby achieve the stated purposes and objectives
33 of such housing programs, the agency shall have the power and is hereby
34 authorized from time to time to issue negotiable housing program bonds
35 and notes in such principal amount as shall be necessary to provide
36 sufficient funds for the repayment of amounts disbursed (and not previ-
37 ously reimbursed) pursuant to a chapter of the laws of two thousand
38 [two] three or any prior year making capital appropriations or reappro-
39 priations for the purposes of the housing program[,]; provided, however,
40 that the agency may issue such bonds and notes in an aggregate principal
41 amount not exceeding one billion [four] five hundred [ten] twenty-six
42 million dollars, plus a principal amount of bonds issued to fund the
43 debt service reserve fund in accordance with the debt service reserve
44 fund requirement established by the agency and to fund any other
45 reserves that the agency reasonably deems necessary for the security or
46 marketability of such bonds and to provide for the payment of fees and
47 other charges and expenses, including underwriters' discount, trustee
48 and rating agency fees, bond insurance, credit enhancement and liquidity
49 enhancement related to the issuance of such bonds and notes. No reserve
50 fund securing the housing program bonds shall be entitled or eligible to
51 receive state funds apportioned or appropriated to maintain or restore
52 such reserve fund at or to a particular level, except to the extent of
53 any deficiency resulting directly or indirectly from a failure of the
54 state to appropriate or pay the agreed amount under any of the contracts
55 provided for in subdivision four of this section.
S. 1406 141 A. 2106
1 § 21. Paragraph (a) of subdivision 5 of section 47-e of the private
2 housing finance law, as amended by section 26 of part K of chapter 81 of
3 the laws of 2002, is amended to read as follows:
4 (a) [Upon] Subject to the provisions of chapter fifty-nine of the laws
5 of two thousand, upon the issuance of housing program bonds or notes,
6 the agency shall apply such amount of the proceeds thereof as shall be
7 designated and specified in the bond or note resolution or resolutions
8 authorizing the issuance of such bonds or notes to the specific funds
9 and/or accounts of one or more housing programs. The bond resolution or
10 resolutions authorizing the issuance of such bonds or notes shall only
11 allocate net proceeds of bonds or notes to a particular fund or account
12 of a housing program if the legislature has authorized in a chapter of
13 the laws of two thousand [two] three or any prior year an advance to
14 such fund or account, and the amount of such bond or note proceeds so
15 allocated to such fund or account shall not exceed the total amount so
16 authorized to be advanced. Such proceeds shall be disbursed to such a
17 fund or account in accordance with such allocation only for application
18 to the repayment of advances previously or thereupon made and not previ-
19 ously repaid. Such proceeds may not be transferred from an entity
20 authorized to administer a housing program to the state or a fund of the
21 state, except in repayment of such advances. Except in the case of
22 refunding bonds or notes authorized hereunder, any net proceeds not so
23 allocated or disbursed shall be utilized first to pay debt service on
24 the applicable bonds or notes in the current or the succeeding fiscal
25 year and second to the redemption of such bonds[,]; provided that such
26 application may be adjusted to comply with applicable federal law as to
27 federal tax exemption. For purposes of this paragraph, earnings from the
28 investment of net proceeds shall be treated as net proceeds.
29 § 22. Section 17 of part D of chapter 389 of the laws of 1997, relat-
30 ing to the financing of the youth facility improvement fund, as amended
31 by section 41 of part H of chapter 56 of the laws of 2000, is amended to
32 read as follows:
33 § 17. Youth facilities bond program. 1. [Notwithstanding] Subject to
34 the provisions of chapter 59 of the laws of 2000, but notwithstanding
35 the provisions of section 18 of section 1 of chapter 174 of the laws of
36 1968, the New York state urban development corporation is hereby author-
37 ized to issue bonds, notes and other obligations in an aggregate princi-
38 pal amount not to exceed three hundred twenty-eight million five hundred
39 fifteen thousand dollars ($328,515,000), which authorization increases
40 the aggregate principal amount of bonds, notes and other obligations
41 authorized by section 40 of chapter 309 of the laws of 1996, and shall
42 include all bonds, notes and other obligations issued pursuant to chap-
43 ter 211 of the laws of 1990, as amended or supplemented. The proceeds of
44 such bonds, notes or other obligations shall be paid to the state, for
45 deposit in the youth facilities improvement fund, to pay for all or any
46 portion of the amount or amounts paid by the state from appropriations
47 or reappropriations made to the office of children and family services
48 from the youth facilities improvement fund for capital projects. The
49 aggregate amount of bonds, notes and other obligations authorized to be
50 issued pursuant to this section shall exclude bonds, notes or other
51 obligations issued to refund or otherwise repay bonds, notes or other
52 obligations theretofore issued, the proceeds of which were paid to the
53 state for all or a portion of the amounts expended by the state from
54 appropriations or reappropriations made to the office of children and
55 family services; provided, however, that upon any such refunding or
56 repayment the total aggregate principal amount of outstanding bonds,
S. 1406 142 A. 2106
1 notes or other obligations may be greater than three hundred twenty-
2 eight million five hundred fifteen thousand dollars ($328,515,000), only
3 if the present value of the aggregate debt service of the refunding or
4 repayment bonds, notes or other obligations to be issued shall not
5 exceed the present value of the aggregate debt service of the bonds,
6 notes or other obligations so to be refunded or repaid. For the purposes
7 hereof, the present value of the aggregate debt service of the refunding
8 or repayment bonds, notes or other obligations and of the aggregate debt
9 service of the bonds, notes or other obligations so refunded or repaid,
10 shall be calculated by utilizing the effective interest rate of the
11 refunding or repayment bonds, notes or other obligations, which shall be
12 that rate arrived at by doubling the semi-annual interest rate
13 (compounded semi-annually) necessary to discount the debt service
14 payments on the refunding or repayment bonds, notes or other obligations
15 from the payment dates thereof to the date of issue of the refunding or
16 repayment bonds, notes or other obligations and to the price bid includ-
17 ing estimated accrued interest or proceeds received by the corporation
18 including estimated accrued interest from the sale thereof.
19 2. For purposes of this section, the following provisions shall apply
20 to powers in connection with financing and refinancing of the design,
21 acquisition, construction, reconstruction, rehabilitation and improve-
22 ment of facilities for the office of children and family services by the
23 New York state urban development corporation.
24 (a) The New York state office of general services shall be responsible
25 for the undertaking of studies, planning, site acquisition, design,
26 construction, reconstruction, renovation and development of youth facil-
27 ities, including the making of any purchases therefor, on behalf of the
28 New York state office of children and family services.
29 (b) Notwithstanding the provisions of any general or special law to
30 the contrary, and subject to the making of annual appropriations there-
31 for by the legislature, in order to assist the New York state urban
32 development corporation in the financing and refinancing of the design,
33 acquisition, construction, reconstruction, rehabilitation and improve-
34 ment of facilities for the office of children and family services, the
35 director of the budget is authorized in any state fiscal year to enter
36 into one or more service contracts, none of which shall exceed thirty
37 years in duration, with the New York state urban development corpo-
38 ration, upon such terms as the director of the budget and the New York
39 state urban development corporation agree;
40 (c) Any service contract entered into pursuant to paragraph (a) of
41 this subdivision or any payments made or to be made thereunder may be
42 assigned and pledged by the New York state urban development corporation
43 as security for its bonds and notes;
44 (d) Any such service contract shall provide that the obligation of the
45 director of the budget or of the state to fund or to pay the amounts
46 therein provided for shall not constitute a debt of the state within the
47 meaning of any constitutional or statutory provision in the event the
48 New York state urban development corporation assigns or pledges service
49 contract payments as security for its bonds or notes and shall be deemed
50 executory only to the extent moneys are available and that no liability
51 shall be incurred by the state beyond the moneys available for the
52 purpose, and that such obligation is subject to annual appropriation by
53 the legislature;
54 (e) Any service contract or contracts for projects entered into pursu-
55 ant to this subdivision shall provide for state commitments to provide
56 annually to the New York state urban development corporation a sum or
S. 1406 143 A. 2106
1 sums, upon such terms and conditions as shall be deemed appropriate by
2 the director of the budget, to fund, or to fund the debt service
3 requirements of, any bonds or notes, including bonds issued to fund any
4 required debt service reserve requirement for bonds, of the New York
5 state urban development corporation issued to pay to the state all or a
6 portion of the amounts expended by the state from appropriations or
7 reappropriations made to the office of children and family services for
8 capital projects.
9 3. (a) The provisions of section 17 of the public officers law shall
10 apply to directors, officers, employees and agents of the New York state
11 urban development corporation in connection with any and all claims,
12 demands, suits, actions or proceedings which may be made or brought
13 against any of them arising out of any determinations made or actions
14 taken or omitted to be taken in compliance with any obligations under or
15 pursuant to the terms of this section. The provisions of this subdivi-
16 sion shall be in addition to and shall not supplant any indemnification
17 or other benefits heretofore or hereafter conferred upon directors,
18 officers and employees of the corporation by subdivision 3-a of section
19 4 of section 1 of chapter 174 of the laws of 1968, as amended by action
20 of such corporation, or otherwise.
21 (b) The state shall and hereby agrees to and does indemnify and save
22 harmless the New York state urban development corporation from and
23 against any and all liability, loss, damage, interest, judgments and
24 liens, and any and all costs and expenses (including, but not limited
25 to, counsel fees and disbursements) arising out of or incurred in
26 connection with any and all claims, demands, suits, actions or
27 proceedings which may be made or brought against such corporation (1)
28 arising out of any determinations made or actions taken or omitted to be
29 taken or compliance with any obligations under or pursuant to the terms
30 of this act, or (2) for or in relation to any injuries, including death
31 at any time resulting therefrom, sustained by a person or persons, or on
32 account of damage to or loss of property, through theft or otherwise, to
33 the extent the same arises out of or in consequence of the design,
34 acquisition, construction, reconstruction, rehabilitation and improve-
35 ment of facilities for the office of children and family services,
36 including the furnishing and equipping thereof, but in each such case
37 only to the extent that such corporation is not otherwise compensated
38 therefor by insurance.
39 § 23. Section 34 of part K of chapter 81 of the laws of 2002, relating
40 to the financing of the Alfred E. Smith office building located in the
41 city of Albany, is amended to read as follows:
42 § 34. (a) [Notwithstanding] Subject to the provisions of chapter 59 of
43 the laws of 2000, but notwithstanding the provisions of section 18 of
44 the New York state urban development corporation act, the urban develop-
45 ment corporation is hereby authorized to issue bonds or notes in one or
46 more series in an aggregate principal amount not to exceed $89,000,000,
47 excluding bonds issued to fund one or more debt service reserve funds,
48 to pay costs of issuance of such bonds, and bonds or notes issued to
49 refund or otherwise repay such bonds or notes previously issued, for the
50 purpose of financing the Alfred E. Smith office building located in the
51 city of Albany, including the reimbursement of any disbursements made
52 from the state capital projects fund. Such bonds and notes of the corpo-
53 ration shall not be a debt of the state, and the state shall not be
54 liable thereon, nor shall they be payable out of any funds other than
55 those appropriated by the state to the corporation for debt service and
56 related expenses pursuant to any service contracts executed pursuant to
S. 1406 144 A. 2106
1 subdivision (b) of this section and such bonds and notes shall contain
2 on the face of thereof a statement to such effect. Except for purposes
3 of complying with the internal revenue code, any interest income earned
4 on bond proceeds shall only be used to pay debt service on such bonds.
5 (b) Notwithstanding any provisions of law to the contrary, in order to
6 assist the corporation in undertaking the administration and financing
7 of the project authorized pursuant to subdivision (a) of this section,
8 the director of the budget is hereby authorized to enter into one or
9 more service contracts with the corporation, none of which shall exceed
10 more than twenty years in duration, upon such terms and conditions as
11 the director of the budget and the corporation agree, so as to annually
12 provide to the corporation in the aggregate, a sum not to exceed the
13 annual debt service payments and related expenses required for the bonds
14 and notes issued pursuant to this section. Any service contract entered
15 into pursuant to this subdivision shall provide that the obligation of
16 the state to pay the amount therein provided shall not constitute a debt
17 of the state within the meaning of any constitutional or statutory
18 provision and shall be deemed executory only to the extent of monies
19 available and that no liability shall be incurred by the state beyond
20 the monies available for such purposes, subject to annual appropriation
21 by the legislature. Any such contract or any payments made or to be made
22 thereunder may be assigned and pledged by the corporation as security
23 for its bonds and notes, as authorized by this section.
24 § 24. Section 35 of part K of chapter 81 of the laws of 2002, relating
25 to the financing of the Elk street parking garage building located in
26 the city of Albany, is amended to read as follows:
27 § 35. (a) [Notwithstanding] Subject to the provisions of chapter 59 of
28 the laws of 2000, but notwithstanding the provisions of section 18 of
29 the New York state urban development corporation act, the urban develop-
30 ment corporation is hereby authorized to issue bonds or notes in one or
31 more series in an aggregate principal amount not to exceed $21,000,000,
32 excluding bonds issued to fund one or more debt service reserve funds,
33 to pay costs of issuance of such bonds, and bonds or notes issued to
34 refund or otherwise repay such bonds or notes previously issued, for the
35 purpose of financing the Elk street parking garage building located in
36 the city of Albany, including the reimbursement of any disbursements
37 made from the state capital projects fund. Such bonds and notes of the
38 corporation shall not be a debt of the state, and the state shall not be
39 liable thereon, nor shall they be payable out of any funds other than
40 those appropriated by the state to the corporation for debt service and
41 related expenses pursuant to any service contracts executed pursuant to
42 subdivision (b) of this section and such bonds and notes shall contain
43 on the face thereof a statement to such effect. Except for purposes of
44 complying with the internal revenue code, any interest income earned on
45 bond proceeds shall only be used to pay debt service on such bonds.
46 (b) Notwithstanding any provisions of law to the contrary, in order to
47 assist the corporation in undertaking the administration and financing
48 of the project authorized pursuant to subdivision (a) of this section,
49 the director of the budget is hereby authorized to enter into one or
50 more service contracts with the corporation, none of which shall exceed
51 more than twenty years in duration, upon such terms and conditions as
52 the director of the budget and the corporation agree, so as to annually
53 provide to the corporation in the aggregate, a sum not to exceed the
54 annual debt service payments and related expenses required for the bonds
55 and notes issued pursuant to this section. Any service contract entered
56 into pursuant to this subdivision shall provide that the obligation of
S. 1406 145 A. 2106
1 the state to pay the amount therein provided shall not constitute a debt
2 of the state within the meaning of any constitutional or statutory
3 provision and shall be deemed executory only to the extent of monies
4 available and that no liability shall be incurred by the state beyond
5 the monies available for such purposes, subject to annual appropriation
6 by the legislature. Any such contract or any payments made or to be made
7 thereunder may be assigned and pledged by the corporation as security
8 for its bonds and notes, as authorized by this section.
9 § 25. Section 1285-p of the public authorities law, as added by
10 section 47 of part K of chapter 81 of the laws of 2002, is amended to
11 read as follows:
12 § 1285-p. State environmental infrastructure projects. In order to
13 effectuate the purposes of this title, the corporation shall have the
14 following additional special powers:
15 1. Subject to chapter fifty-nine of the laws of two thousand, but
16 notwithstanding any other provisions of law to the contrary, in order to
17 assist the corporation in undertaking the administration and the financ-
18 ing of the design, acquisition, construction, improvement, installation,
19 and related work for all or any portion of any of the following environ-
20 mental infrastructure projects and for the provision of funds to the
21 state for any amounts disbursed therefor: (a) projects authorized under
22 the environmental protection fund, or for which appropriations are made
23 to the environmental protection fund including, but not limited to
24 municipal parks and historic preservation, state parks infrastructure,
25 stewardship, farmland protection, non-point source, pollution control,
26 Hudson River Park, land acquisition, and waterfront revitalization; (b)
27 department of environmental conservation capital appropriations for
28 Onondaga Lake for certain water quality improvement projects in the same
29 manner as set forth in paragraph d of subdivision one of section 56-0303
30 of the environmental conservation law; [and] (c) for the purpose of the
31 administration, management, maintenance, and use of the real property at
32 the western New York nuclear service center; (d) department of environ-
33 mental conservation capital appropriations for the administration,
34 design, acquisition, construction, improvement, installation, and
35 related work on department of environmental conservation environmental
36 infrastructure projects; and (e) identification, classification, inves-
37 tigation and remediation of inactive hazardous waste disposal sites, and
38 financing the non-federal share of the cost of clean up, and site reme-
39 diation activities pursuant to the federal Comprehensive Environmental
40 Response, Compensation and Liability Act of 1980, the director of the
41 division of budget and the corporation are each authorized to enter into
42 one or more service contracts, none of which shall exceed twenty years
43 in duration, upon such terms and conditions as the director and the
44 corporation may agree, so as to annually provide to the corporation in
45 the aggregate, a sum not to exceed the annual debt service payments and
46 related expenses required for any bonds and notes authorized pursuant to
47 section twelve hundred ninety of this title. Any service contract
48 entered into pursuant to this section shall provide that the obligation
49 of the state to fund or to pay the amounts therein provided for shall
50 not constitute a debt of the state within the meaning of any constitu-
51 tional or statutory provision and shall be deemed executory only to the
52 extent of moneys available for such purposes, subject to annual appro-
53 priation by the legislature. Any such service contract or any payments
54 made or to be made thereunder may be assigned and pledged by the corpo-
55 ration as security for its bonds and notes, as authorized pursuant to
56 section twelve hundred ninety of this title.
S. 1406 146 A. 2106
1 2. The comptroller is hereby authorized to receive from the corpo-
2 ration any portion of bond proceeds paid to provide funds for or reim-
3 burse the state for its costs associated with any state environmental
4 infrastructure projects and to credit such amounts to the capital
5 projects fund or any other appropriate fund.
6 3. The maximum amount of bonds that may be issued for the purpose of
7 financing environmental infrastructure projects authorized by this
8 section shall be [one] two hundred [thirty-five] seventy-seven million
9 dollars, exclusive of bonds issued to fund any debt service reserve
10 funds, pay costs of issuance of such bonds, and bonds or notes issued to
11 refund or otherwise repay bonds or notes previously issued. Such bonds
12 and notes of the corporation shall not be a debt of the state, and the
13 state shall not be liable thereon, nor shall they be payable out of any
14 funds other than those appropriated by the state to the corporation for
15 debt service and related expenses pursuant to any service contracts
16 executed pursuant to subdivision one of this section, and such bonds and
17 notes shall contain on the face thereof a statement to such effect.
18 § 26. Section 48 of part K of chapter 81 of the laws of 2002, relating
19 to providing for the administration of certain funds and accounts
20 related to the 2002-2003 budget, is amended to read as follows:
21 § 48. (a) [Notwithstanding] Subject to the provisions of chapter 59 of
22 the laws of 2000, but notwithstanding the provisions of section 18 of
23 the urban development corporation act, the corporation is hereby author-
24 ized to issue bonds or notes in one or more series in an aggregate prin-
25 cipal amount not to exceed [$15,000,000] $25,000,000 excluding bonds
26 issued to fund one or more debt service reserve funds, to pay costs of
27 issuance of such bonds, and bonds or notes issued to refund or otherwise
28 repay such bonds or notes previously issued, for the purpose of financ-
29 ing capital costs related to homeland security for the division of state
30 police, the division of military and naval affairs, and any other state
31 agency, including the reimbursement of any disbursements made from the
32 state capital projects fund, and is hereby authorized to issue bonds or
33 notes in one or more series in an aggregate principal amount not to
34 exceed [$12,000,000] $22,000,000, excluding bonds issued to fund one or
35 more debt service reserve funds, to pay costs of issuance of such bonds,
36 and bonds or notes issued to refund or otherwise repay such bonds or
37 notes previously issued, for the purpose of financing improvements to
38 State office buildings and other facilities located statewide, including
39 the reimbursement of any disbursements made from the state capital
40 projects fund. Such bonds and notes of the corporation shall not be a
41 debt of the state, and the state shall not be liable thereon, nor shall
42 they be payable out of any funds other than those appropriated by the
43 state to the corporation for debt service and related expenses pursuant
44 to any service contracts executed pursuant to subdivision (b) of this
45 section, and such bonds and notes shall contain on the face thereof a
46 statement to such effect.
47 Except for purposes of complying with the internal revenue code, any
48 interest income earned on bond proceeds shall only be used to pay debt
49 service on such bonds.
50 (b) Notwithstanding any provisions of law to the contrary, in order to
51 assist the corporation in undertaking the administration and financing
52 of the project authorized pursuant to subdivision (a) of this section,
53 the director of the budget is hereby authorized to enter into one or
54 more service contracts with the corporation, none of which shall exceed
55 twenty years in duration, upon such terms and conditions as the director
56 of the budget and the corporation agree, so as to annually provide to
S. 1406 147 A. 2106
1 the corporation, in the aggregate, a sum not to exceed the annual debt
2 service payments and related expenses required for the bonds and notes
3 issued pursuant to this section. Any service contract entered into
4 pursuant to this subdivision shall provide that the obligation of the
5 state to pay the amounts therein provided for shall not constitute a
6 debt of the state within the meaning of any constitutional or statutory
7 provision and shall be deemed executory only to the extent of monies
8 available and that no liability shall be incurred by the state beyond
9 the monies available for such purposes, subject to annual appropriation
10 by the legislature. Any such service contract or any payments made or to
11 be made thereunder may be assigned and pledged by the corporation as
12 security for its bonds and notes, as authorized by this section.
13 § 27. Section 1680-i of the public authorities law, as added by
14 section 49 of part K of chapter 81 of the laws of 2002, is amended to
15 read as follows:
16 § 1680-i. Judiciary; authority financing of courthouse improvements.
17 1. The dormitory authority is hereby authorized to finance eligible
18 courthouse improvements.
19 2. (a) Subject to the provisions of chapter fifty-nine of the laws of
20 two thousand and to the making of annual appropriations therefor by the
21 legislature, in order to assist the dormitory authority in providing for
22 the financing of courthouse improvements, the director of the budget is
23 authorized in any state fiscal year commencing April first, two thousand
24 two or any state fiscal year thereafter to enter into one or more
25 service contracts, none of which shall exceed thirty years in duration,
26 with the dormitory authority, upon such terms as the director of the
27 budget and the dormitory authority agree.
28 (b) Any service contract entered into pursuant to paragraph (a) of
29 this subdivision or any payments made or to be made thereunder may be
30 assigned and pledged by the dormitory authority as security for its
31 bonds, notes, or other obligations.
32 (c) Any such service contracts shall provide that the obligation of
33 the director of the budget or of the state to fund or to pay the amounts
34 therein provided for shall not constitute a debt of the state within the
35 meaning of any constitutional or statutory provision in the event the
36 dormitory authority assigns or pledges the service contract payments as
37 security for its bonds, notes, or other obligations and shall be deemed
38 executory only to the extent monies are available and that no liability
39 shall be incurred by the state beyond the monies available for the
40 purpose, and that such obligation is subject to annual appropriations by
41 the legislature.
42 (d) Any service contract or contracts entered into pursuant to this
43 subdivision shall provide for state commitments to provide annually to
44 the dormitory authority a sum or sums, upon such terms and conditions as
45 shall be deemed appropriate by the director of the budget, to fund the
46 principal, interest, or other related payments required for any bonds,
47 notes, or other obligations of the dormitory authority issued pursuant
48 to this section.
49 3. (a) To obtain funds for the purposes of this section, the authority
50 shall have power from time to time to issue negotiable bonds or notes.
51 Unless the context shall clearly indicate otherwise, whenever the words
52 "bond" or "bonds" are used in this section, such words shall include a
53 note or notes of the authority.
54 (b) The dormitory authority shall not issue any bonds or notes in an
55 amount in excess of [twenty] thirty-seven million [eight] six hundred
56 thousand dollars for the purposes of this section; excluding bonds or
S. 1406 148 A. 2106
1 notes issued to fund one or more debt service reserve funds, to pay
2 costs of issuance of such bonds, and bonds or notes issued to refund or
3 otherwise repay such bonds or notes previously issued. Except for
4 purposes of complying with the internal revenue code, any interest on
5 bond proceeds shall only be used to pay debt service on such bonds.
6 (c) In computing for the purposes of paragraph (b) of this subdivi-
7 sion, the aggregate amount of indebtedness evidenced by bonds and notes
8 of the dormitory authority issued pursuant to this title, there shall be
9 excluded the amount of such indebtedness represented by such bonds or
10 notes issued to refund or otherwise repay bonds or notes[,]; provided
11 that the amount so excluded under this paragraph may exceed the princi-
12 pal amount of such bonds or notes that were issued to refund or other-
13 wise repay only if the present value of the aggregate debt service on
14 the refunding or repayment bonds or notes shall not have at the time of
15 their issuance exceeded the present value of the aggregate debt service
16 of the bonds or notes they were issued to refund or repay, such present
17 value in each case being calculated by using the effective interest rate
18 of the refunding or repayment bonds or notes, which shall be that rate
19 arrived at by doubling the semi-annual interest rate (compounded semi-
20 annually) necessary to discount the debt service payments on the refund-
21 ing or repayment bonds or notes from the payment date thereof to the
22 date of issue of the refunding or repayment bonds or notes and to the
23 price bid therefor, or to the proceeds received by the dormitory author-
24 ity from the sale thereof, in each case including estimated accrued
25 interest.
26 (d) The state of New York hereby covenants with the purchasers, hold-
27 ers, and owners from time to time of the bonds of the authority issued
28 pursuant to this section that it will not, subject to the provisions of
29 paragraph (c) of subdivision two of this section, repeal, revoke,
30 rescind, modify, or amend the provisions of this section which relate to
31 the making of annual service contract payments to the authority with
32 respect to such bonds as to limit, impair, or impede the rights and
33 remedies granted to bondholders under this title or otherwise diminish
34 the security pledged to such purchasers, holders, and owners or signif-
35 icantly impair the prospect of payment of any such bond.
36 § 28. Paragraph j of subdivision 2 of section 1680 of the public
37 authorities law, as added by section 30 of part K of chapter 81 of the
38 laws of 2002, is amended to read as follows:
39 j. [The] Subject to the provisions of chapter fifty-nine of the laws
40 of two thousand, the maximum amount of bonds and notes to be issued
41 after March thirty-first, two thousand two for a housing unit for the
42 use of students at a state-operated institution or statutory or contract
43 college under the jurisdiction of the state university of New York shall
44 be four hundred [five] twenty million dollars. Such amount shall be
45 exclusive of bonds and notes issued to fund any reserve fund or funds,
46 costs of issuance, and to refund any outstanding bonds and notes relat-
47 ing to a housing unit under the jurisdiction of the state university of
48 New York.
49 § 29. Subdivision 10-a of section 1680 of the public authorities law,
50 as added by section 31 of part K of chapter 81 of the laws of 2002, is
51 amended to read as follows:
52 10-a. [Notwithstanding] Subject to the provisions of chapter fifty-
53 nine of the laws of two thousand, but notwithstanding any other
54 provision of the law to the contrary, the maximum amount of bonds and
55 notes to be issued after March thirty-first, two thousand two, on behalf
56 of the state, in relation to any locally sponsored community college,
S. 1406 149 A. 2106
1 shall be [one] two hundred [seventy-five] ten million dollars. Such
2 amount shall be exclusive of bonds and notes issued to fund any reserve
3 fund or funds, costs of issuance and to refund any outstanding bonds and
4 notes, issued on behalf of the state, relating to a locally sponsored
5 community college.
6 § 30. Paragraph (c) of subdivision 14 of section 1680 of the public
7 authorities law, as amended by section 33 of part B of chapter 57 of the
8 laws of 1998, is amended to read as follows:
9 (c) (i) [The] Subject to the provisions of chapter fifty-nine of the
10 laws of two thousand, the dormitory authority shall not deliver a series
11 of bonds for city university community college facilities, except to
12 refund or to be substituted for or in lieu of other bonds in relation to
13 city university community college facilities pursuant to a resolution of
14 the dormitory authority adopted before July first, nineteen hundred
15 eighty-five or any resolution supplemental thereto, if the principal
16 amount of bonds so to be issued when added to all principal amounts of
17 bonds previously issued by the dormitory authority for city university
18 community college facilities, except to refund or to be substituted in
19 lieu of other bonds in relation to city university community college
20 facilities will exceed the sum of four hundred twenty-five million
21 dollars and (ii) the dormitory authority shall not deliver a series of
22 bonds issued for city university facilities, including community college
23 facilities, pursuant to a resolution of the dormitory authority adopted
24 on or after July first, nineteen hundred eighty-five, except to refund
25 or to be substituted for or in lieu of other bonds in relation to city
26 university facilities and except for bonds issued pursuant to a resol-
27 ution supplemental to a resolution of the dormitory authority adopted
28 prior to July first, nineteen hundred eighty-five, if the principal
29 amount of bonds so to be issued when added to the principal amount of
30 bonds previously issued pursuant to any such resolution, except bonds
31 issued to refund or to be substituted for or in lieu of other bonds in
32 relation to city university facilities, will exceed [three] four billion
33 [four] two hundred [fifteen] million dollars. The legislature reserves
34 the right to amend or repeal such limit, and the state of New York, the
35 dormitory authority, the city university, and the fund are prohibited
36 from covenanting or making any other agreements with or for the benefit
37 of bondholders which might in any way affect such right.
38 § 31. Paragraph (c) of subdivision 19 of section 1680 of the public
39 authorities law, as amended by section 34 of part B of chapter 57 of the
40 laws of 1998, is amended to read as follows:
41 (c) [The] Subject to the provisions of chapter fifty-nine of the laws
42 of two thousand, the dormitory authority shall not issue any bonds for
43 state university educational facilities purposes if the principal amount
44 of bonds to be issued when added to the aggregate principal amount of
45 bonds issued by the dormitory authority on and after July first, nine-
46 teen hundred eighty-eight for state university educational facilities
47 will exceed [three] four billion [two] seven hundred million dollars;
48 provided, however, that bonds issued or to be issued shall be excluded
49 from such limitation if: (1) such bonds are issued to refund state
50 university construction bonds and state university construction notes
51 previously issued by the housing finance agency; or (2) such bonds are
52 issued to refund bonds of the authority or other obligations issued for
53 state university educational facilities purposes and the present value
54 of the aggregate debt service on the refunding bonds does not exceed the
55 present value of the aggregate debt service on the bonds refunded there-
56 by; provided, further that upon certification by the director of the
S. 1406 150 A. 2106
1 budget that the issuance of refunding bonds or other obligations issued
2 between April first, nineteen hundred ninety-two and March thirty-first,
3 nineteen hundred ninety-three will generate long term economic benefits
4 to the state, as assessed on a present value basis, such issuance will
5 be deemed to have met the present value test noted above. For purposes
6 of this subdivision, the present value of the aggregate debt service of
7 the refunding bonds and the aggregate debt service of the bonds
8 refunded, shall be calculated by utilizing the true interest cost of the
9 refunding bonds, which shall be that rate arrived at by doubling the
10 semi-annual interest rate (compounded semi-annually) necessary to
11 discount the debt service payments on the refunding bonds from the
12 payment dates thereof to the date of issue of the refunding bonds to the
13 purchase price of the refunding bonds, including interest accrued there-
14 on prior to the issuance thereof. The maturity of such bonds, other than
15 bonds issued to refund outstanding bonds, shall not exceed the weighted
16 average economic life, as certified by the state university construction
17 fund, of the facilities in connection with which the bonds are issued,
18 and in any case not later than the earlier of thirty years or the expi-
19 ration of the term of any lease, sublease or other agreement relating
20 thereto; provided that no note, including renewals thereof, shall mature
21 later than five years after the date of issuance of such note. The
22 legislature reserves the right to amend or repeal such limit, and the
23 state of New York, the dormitory authority, the state university of New
24 York, and the state university construction fund are prohibited from
25 covenanting or making any other agreements with or for the benefit of
26 bondholders which might in any way affect such right.
27 § 32. The state finance law is amended by adding a new section 97-cccc
28 to read as follows:
29 § 97-cccc. Interest assessment surcharge fund. 1. There is hereby
30 established in the joint custody of the commissioner of taxation and
31 finance and the state comptroller a fund to be known as the "interest
32 assessment surcharge fund".
33 2. The interest assessment surcharge fund shall consist of all moneys
34 collected and received by the commissioner from employers pursuant to
35 section five hundred eighty-one-d of the labor law and of interest
36 earned upon moneys belonging to such fund and deposited or invested. All
37 moneys so collected shall be deposited in a bank, trust company or
38 industrial bank designated by the state comptroller. Moneys so deposited
39 shall be credited immediately to the account of the interest assessment
40 surcharge fund and shall be used for the purposes set forth in this
41 section. Moneys in such fund may be invested by the state comptroller in
42 accordance with the provisions of section ninety-eight of this article,
43 and shall be used for the purposes specified in this section. Any
44 balance in such fund shall not lapse but shall remain continuously
45 available for such purposes until full interest payments are paid to the
46 federal government in accordance with the provisions of this section.
47 3. Moneys in the interest assessment surcharge fund shall be kept
48 separate from and shall not be commingled with any other moneys in the
49 custody of the commissioner of taxation and finance and the state comp-
50 troller. All deposits of such moneys shall, if required by the state
51 comptroller, be secured by obligations of the United States or of this
52 state of market value equal at all times to the amount of the deposit
53 and all banks and trust companies are authorized to give such securities
54 for such deposits.
55 4. Moneys of the fund shall be used exclusively for the purpose of
56 paying interest due on advances from the federal unemployment account
S. 1406 151 A. 2106
1 under Title XII of the Social Security Act (42 U.S. Code Sections 1321
2 to 1324) and thereafter crediting employer accounts as provided in
3 section five hundred eighty-one-d of the labor law. The moneys shall be
4 paid out of the fund on the audit and warrant of the state comptroller.
5 5. The interest assessment surcharge fund shall not be used in whole
6 or in part for any purpose or in any manner which (a) would permit its
7 substitution for, or a corresponding reduction in, federal funds that
8 would be available in its absence to finance expenditures for the admin-
9 istration of this article; or (b) would cause the appropriate agency of
10 the United States government to withhold any part of an administrative
11 grant which would otherwise be made.
12 § 33. The labor law is amended by adding a new section 581-d to read
13 as follows:
14 § 581-d. Contributions to the interest assessment surcharge fund. 1.
15 Each employer that is liable for contributions under this article shall
16 pay an assessment to the commissioner at a rate established annually by
17 the commissioner sufficient to pay interest due on advances from the
18 federal unemployment account under Title XII of the Social Security Act
19 (42 U.S. Code Sections 1321 to 1324) during any period that such inter-
20 est will accrue. The rate shall be applied to wages as defined in
21 section five hundred eighteen of this article effective as of the begin-
22 ning of the first calendar quarter of the year such interest becomes
23 due. The commissioner shall establish the necessary procedures for
24 payment of such assessments. The amounts received by the commissioner
25 based on such assessments shall be paid over and credited to the inter-
26 est assessment surcharge fund. At such time that the commissioner deter-
27 mines that this assessment is no longer necessary, any amount remaining
28 from such assessments, after all such federal interest charges have been
29 paid, shall be deposited into the unemployment insurance trust fund and
30 credited to employer accounts. Such credits shall be determined based on
31 the percentage of each employer's wages to the total statewide wages of
32 the payroll year and credited to each employer's account as of the
33 computation date of the year prior to which such assessment shall no
34 longer be levied. The provisions of law applicable to the collection of
35 contributions shall apply to the collection of such assessments.
36 § 34. Section 69-c of the state finance law, as amended by a chapter
37 of the laws of 2003 amending the state finance law relating to variable
38 rate debt instruments, as proposed in legislative bills numbers S.528
39 and A.1218, is amended to read as follows:
40 § 69-c. Variable rate bonds. Notwithstanding any other provision of
41 law to the contrary, any State-supported debt may be issued as variable
42 rate bonds. Notwithstanding any other provision of law to the contrary,
43 for purposes of calculating the present value of debt service and calcu-
44 lating savings in connection with the issuance of refunding indebt-
45 edness, (i) the effective interest rate and debt service payable on
46 variable rate bonds in connection with which, and to the extent that, an
47 authorized issuer has entered into an interest rate exchange or similar
48 agreement pursuant to which the authorized issuer makes payments based
49 on a fixed rate and receives payments based on a variable rate that is
50 reasonably expected by such authorized issuer to be equivalent over time
51 to the variable rate paid on the related variable rate bonds, shall be
52 calculated assuming that the rate of interest on such variable rate
53 bonds is the fixed rate payable by the authorized issuer on such inter-
54 est rate exchange or similar agreement for the scheduled term of such
55 agreement; (ii) the effective interest rate and debt service on variable
56 rate bonds in connection with which, and to the extent that, an author-
S. 1406 152 A. 2106
1 ized issuer has not entered into such an interest rate exchange or simi-
2 lar agreement shall be calculated assuming that interest on such vari-
3 able interest rate bonds is payable at a rate or rates reasonably
4 assumed by the authorized issuer; [and] (iii) the effective interest
5 rate and debt service on any bonds subject to optional or mandatory
6 tender shall be calculated assuming that such bonds are remarketed
7 following any such tender at a rate or rates reasonably assumed by the
8 authorized issuer; and (iv) otherwise, the effective interest rate and
9 debt service on any bonds shall be calculated at a rate or rates reason-
10 ably assumed by the authorized issuer. Notwithstanding any other
11 provision of law to the contrary, for calculating the present value of
12 debt service and calculating savings in connection within the issuance
13 of refunding indebtedness, the refunding of variable rate debt instru-
14 ments with new variable rate debt instruments shall be excluded from any
15 such requirements, if effectuated for sound business purposes.
16 § 35. Subdivision 1 of section 69-d of the state finance law, as added
17 by section 38 of part K of chapter 81 of the laws of 2002, is amended to
18 read as follows:
19 1. Authorized issuer; powers. In connection with the issuance of
20 State-supported debt, or in connection with such State-supported debt
21 already outstanding, an authorized issuer shall have the power to:
22 (a) enter into interest rate exchange or similar agreements with any
23 person under such terms and conditions as the authorized issuer may
24 determine, including provisions as to default or early termination and
25 indemnification by the authorized issuer or any other party thereto for
26 loss of benefits as a result thereof;
27 (b) procure insurance, letters of credit or other credit enhancement
28 with respect to agreements described in paragraph (a) of this subdivi-
29 sion;
30 (c) provide security for the payment or performance of its obligations
31 with respect to agreements described in paragraph (a) of this subdivi-
32 sion from such sources and with the same effect as is authorized by
33 applicable law with respect to security for its bonds, notes or other
34 obligations, provided, however, that any payment or performance of obli-
35 gations with respect to agreements described in paragraph (a) of this
36 subdivision in connection with debt obligations which carry the full
37 faith and credit of the state shall be subject to appropriation;
38 (d) the state, acting through the director of the budget or other
39 state officials who are so authorized by applicable law with respect to
40 such bonds, notes or other obligations, shall also be authorized to
41 enter into or amend agreements related to such State-supported debt to
42 provide for payment, subject to appropriation, to such authorized issuer
43 of any amounts required to be paid by such authorized issuer under any
44 such interest rate exchange or similar agreement; [and]
45 (e) if such funds are available, provide collateral for its own obli-
46 gations under any such interest rate exchange or similar agreement; and
47 (f) modify, amend, or replace, such agreements.
48 § 36. Paragraph (f) of subdivision 2 of section 69-d of the state
49 finance law, as added by section 38 of part K of chapter 81 of the laws
50 of 2002, is amended to read as follows:
51 (f) each interest rate exchange or similar agreement, including the
52 modification or termination thereof, shall be subject to the approval of
53 the director of the budget[,] and the governing board of such authorized
54 issuer, and shall not be considered a project for the purposes of arti-
55 cle one-A of the public authorities law. In addition, the governing
S. 1406 153 A. 2106
1 board of an authorized issuer may delegate such matters necessary or
2 advisable for the negotiation and execution of such agreements.
3 § 37. Section 67-b of the state finance law is amended by adding a new
4 subdivision 5 to read as follows:
5 5. The provisions of this section shall not apply to debt issued
6 pursuant to section nine of article seven of the state constitution.
7 § 38. Subdivisions 1 and 2 of section 67-b of the state finance law,
8 as added by chapter 59 of the laws of 2000, are amended to read as
9 follows:
10 1. (a) State-supported debt may not be contracted for unless, as of
11 October thirty-first, two thousand one and as of each October thirty-
12 first thereafter, the total outstanding principal amount of such debt,
13 as of the last day of the immediately preceding fiscal year, is less
14 than the designated percentage of the total personal income of the
15 state. Nothing shall preclude the contracting of state-supported debt
16 prior to October thirty-first of each year if, as of the last day of the
17 immediately preceding fiscal year, the total outstanding principal
18 amount of such debt was less than the designated percentage of the total
19 personal income of the state. The total outstanding principal amount of
20 debt shall include all state-supported debt issued on and after April
21 first, two thousand. Such designated percentage shall be seven and one-
22 half-tenths of one percent for fiscal year two thousand--two thousand
23 one, and shall increase by five-tenths of one percent in fiscal year two
24 thousand one--two thousand two, by an additional four-tenths of one
25 percent in fiscal year two thousand two--two thousand three, and by an
26 additional one-third of one percent in each of the seven subsequent
27 fiscal years. The designated percentage for fiscal year two thousand
28 ten--two thousand eleven and for each fiscal year thereafter shall be
29 four percent.
30 (b) If state-supported debt is issued to refund or otherwise affect
31 the refunding, retirement or defeasance of [previously-issued] state-
32 supported debt originally issued on and after April first, two thousand,
33 provided such refundings are conducted in accordance with section thir-
34 teen of article VII of the state constitution, [the amount of refunding
35 debt in excess of the amount of debt to be so refunded shall be excluded
36 from] the calculation of the total outstanding principal amount of debt
37 shall exclude such refunding debt, and shall only include the amount of
38 prior refunded debt, as if it were still outstanding, in each year until
39 such refunding debt is finally retired. [In addition, if] Notwithstand-
40 ing the foregoing, the provisions of such section thirteen of article
41 VII of the state constitution relating to the maintenance or management
42 of escrow funds and sinking funds shall only be applicable to state-sup-
43 ported debt issued by the state comptroller. If state-supported debt is
44 issued to refund or otherwise affect the refunding, retirement or defea-
45 sance of state-supported debt issued prior to April first, two thousand,
46 then the amount of such refunding debt shall be excluded from the calcu-
47 lation of the total outstanding principal amount of debt in each year
48 until such refunding debt is finally retired. In addition, if state-
49 supported debt is retired or defeased with payments in any fiscal year
50 made by the state that are not required by mandatory payments, such debt
51 shall be excluded from the calculation of the total outstanding princi-
52 pal amount of debt, including retirements or defeasances accomplished on
53 an economic basis.
54 2. State-supported debt may not be contracted for unless, as of Octo-
55 ber thirty-first, two thousand one and as of each October thirty-first
56 thereafter, the total amount of interest, installments of principal,
S. 1406 154 A. 2106
1 contributions to sinking funds, and related payments on a cash basis of
2 accounting for state-supported debt in the immediately preceding fiscal
3 year is less than the designated percentage of total governmental funds
4 receipts for such fiscal year. Nothing shall preclude the contracting of
5 state-supported debt prior to October thirty-first of each year if, in
6 the immediately preceding fiscal year, the total amount of interest,
7 installments of principal, contributions to sinking funds, and related
8 payments was less than the designated percentage of total governmental
9 funds receipts. This shall include the total amount of payments on such
10 debt issued on and after April first, two thousand, but shall not
11 include payments in any fiscal year made by the state to defease or
12 retire debt not required by mandatory payments nor payments made by the
13 state for debt issued to refund debt that was issued prior to April
14 first, two thousand. In addition, if state-supported debt is issued to
15 refund or otherwise affect the refunding, retirement or defeasance of
16 state-supported debt originally issued on and after April first, two
17 thousand, provided such refundings are conducted in accordance with
18 section thirteen of article VII of the state constitution, the calcu-
19 lation of the total amount of interest, installments of principal,
20 contributions to sinking funds, and related payments shall exclude
21 payments made on such refunding debt, and shall only include the
22 payments on the prior refunded debt, as if it were still outstanding, in
23 each year until such refunding debt is finally retired. Such designated
24 percentage shall be seven and one-half-tenths of one percent for fiscal
25 year two thousand--two thousand one, and shall increase by five-tenths
26 of one percent in fiscal year two thousand one--two thousand two, by an
27 additional four-tenths of one percent in fiscal year two thousand two--
28 two thousand three, and by an additional one-third of one percent in
29 each of the ten subsequent fiscal years. The designated percentage for
30 fiscal year two thousand thirteen--two thousand fourteen and for each
31 fiscal year thereafter shall be five percent.
32 § 39. Paragraph (b) of subdivision 1 of section 1290 of the public
33 authorities law, as amended by chapter 55 of the laws of 1992, is
34 amended to read as follows:
35 (b) The corporation shall have power, from time to time, to issue
36 renewal notes, to issue bonds to pay notes and whenever it deems refund-
37 ing expedient, to refund any bonds by the issuance of new bonds, whether
38 the bonds to be refunded have or have not matured, and to issue bonds
39 partly to refund bonds then outstanding, and partly for any other
40 purpose. The refunding bonds shall be sold and the proceeds applied to
41 the purchase, redemption or payment of the bonds to be refunded[;].
42 Notwithstanding any statutory ceiling on outstanding bonds, any refund-
43 ing bonds shall be sold in the amount required to pay or redeem
44 outstanding bonds, to fund any reserve, escrow or payment fund, and to
45 provide for the payment of all fees and other charges and expenses,
46 including costs of issuance, incurred in connection with the issuance of
47 such refunding bonds, provided that the present value of the aggregate
48 debt service on the refunding bonds does not exceed the present value of
49 the aggregate debt service on the bonds refunded thereby.
50 § 40. Subparagraph 3 of paragraph (e) of subdivision 19 of section
51 1680 of the public authorities law, as added by section 15 of part D of
52 chapter 389 of the laws of 1997, is amended to read as follows:
53 (3) on such day or days as shall be prescribed under any such lease,
54 sublease, or other agreement, the amount required to be paid by the
55 state university construction fund for the purpose of making payments
56 under any interest rate exchange or similar agreements entered into
S. 1406 155 A. 2106
1 pursuant to [section twenty-nine hundred twenty-six of this chapter]
2 article five-D of the state finance law for state university educational
3 facilities.
4 § 41. Notwithstanding any law to the contrary, and in accordance with
5 section 4 of the state finance law, the comptroller is hereby authorized
6 and directed, upon request of the director of the budget, to transfer up
7 to $330,000,000 from the federal operating grants fund - 290 to the
8 Tobacco Control and Insurance Initiatives Pool, on or after April 1,
9 2004.
10 § 42. The second undesignated paragraph of subdivision 1 of section
11 98-a of the state finance law, as separately amended by chapter 705 of
12 the laws of 1993 and chapter 83 of the laws of 1995, is amended to read
13 as follows:
14 Notwithstanding the provisions of paragraph (b) of this subdivision,
15 the comptroller in consultation with the director of the budget shall
16 credit or charge interest to fund/accounts which are authorized to
17 receive temporary loans if so requested by the state department or divi-
18 sion responsible for such fund/account within thirty days of the begin-
19 ning of each fiscal year or thirty days following the final approval of
20 any bill containing language authorizing such temporary loans, whichever
21 is later, and interest must be credited or charged from the first day of
22 such fiscal year. Within ten days of the beginning of each month, the
23 comptroller shall credit or charge interest to such funds/accounts based
24 upon the average daily balance of the preceding month of such
25 funds/accounts and shall provide notification to the director of the
26 budget and the chairs of the senate finance and assembly ways and means
27 committees of such funds/accounts to be credited or charged interest.
28 § 43. There is hereby established in the custody of the state comp-
29 troller a special fund, to be known as the "Harriman state office campus
30 development account". Such fund shall consist of all revenues and
31 proceeds paid to or collected by the state from the transfer, disposi-
32 tion, rental, lease or sale of state lands including lesser interests in
33 such lands at the W. Averell Harriman State Office Building Campus in
34 Albany. Any income earned on monies within the fund shall be added to
35 and made available for the purposes of such fund. Monies of the fund
36 shall be available to the commissioner of general services for payments,
37 fees and other costs associated with the redevelopment of the W. Averell
38 Harriman State Office Building Campus, and in consultation with the
39 director of the budget, the commissioner may expend monies of the fund
40 to facilitate the redevelopment activities of a public authority or
41 public benefit corporation charged with oversight and management of the
42 redevelopment of the W. Averell Harriman State Office Campus. Payments
43 from such fund shall be made upon audit and warrant of the state comp-
44 troller upon vouchers certified or approved by the commissioner of
45 general services in the manner provided by law.
46 § 44. Section 51 of the public authorities law is amended by adding a
47 new subdivision 1-a to read as follows:
48 1-a. Board approval shall not be required for indebtedness incurred by
49 a public benefit corporation subject to the provisions of this section
50 for the purpose of refunding state supported debt, as defined by section
51 sixty-seven-a of the state finance law.
52 § 45. Severability. If any clause, sentence, paragraph, subdivision,
53 section, or part of this act shall be adjudged by any court of competent
54 jurisdiction to be invalid, such judgment shall not affect, impair, or
55 invalidate the remainder thereof, but shall be confined in its operation
56 to the clause, sentence, paragraph, subdivision, section, or part there-
S. 1406 156 A. 2106
1 of directly involved in the controversy in which such judgment shall
2 have been rendered. It is hereby declared to be the intent of the legis-
3 lature that this act would have been enacted even if such invalid
4 provisions had not been included herein.
5 § 46. This act shall take effect immediately and shall be deemed to
6 have been in full force and effect on and after April 1, 2003; provided,
7 however, that sections one, three, four, eight through sixteen, and
8 eighteen of this act shall expire March 31, 2004, when upon such date
9 the provisions of such sections shall be deemed repealed; and provided
10 further that section thirty-four of this act shall take effect on the
11 effective date of this act or on the same date as a chapter of the laws
12 of 2003 amending the state finance law relating to variable rate debt
13 instruments, as proposed in legislative bills numbers S. 528 and A.
14 1218, takes effect, whichever shall occur later, and the amendments made
15 to section 69-c of the state finance law by section thirty-four of this
16 act shall not affect the expiration and repeal of such section and shall
17 be deemed to be expired therewith.
18 PART DD
19 Section 1. The tobacco settlement financing corporation act is enacted
20 to read as follows:
21 Tobacco Settlement Financing Corporation Act
22 Section 1. Short title.
23 2. The tobacco settlement financing corporation.
24 3. Definitions.
25 4. The sale agreement.
26 5. Powers of the corporation.
27 6. Bonds of the corporation.
28 7. State not liable on bonds or any ancillary bond facility.
29 8. Remedies of bondholders.
30 9. Exemption from taxation.
31 10. Agreement with state.
32 11. Bonds as legal investments.
33 12. Actions against the corporation.
34 13. Assistance to the corporation.
35 14. Preference for actions or proceedings against the corpo-
36 ration.
37 15. Construction.
38 16. Severability clause.
39 Section 1. Short title. This act shall be known and may be cited as
40 the "tobacco settlement financing corporation act".
41 § 2. The tobacco settlement financing corporation. There is hereby
42 created and established a subsidiary of the authority to be known as the
43 "tobacco settlement financing corporation" as a public benefit corpo-
44 ration, separate and apart from the state. The directors of the author-
45 ity shall serve as the members of the corporation and shall receive no
46 additional salary or other compensation, either direct or indirect, for
47 serving as members of the corporation, other than reimbursement for
48 actual and necessary expenses incurred in the performance of such
49 person's duties. Any one or more members of the board may participate
50 in a meeting of such board by means of a conference telephone or similar
51 communications equipment allowing all persons participating in the meet-
52 ing to hear each other at the same time. Participation by such means
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1 shall constitute presence in person at a meeting. The corporation may
2 delegate to one or more of its members, or officers, agents and employ-
3 ees, such powers and duties as the members may deem proper. Except as
4 otherwise expressly provided by this act, actions by the corporation and
5 the members of its board, and exercise of the corporation's powers,
6 shall be taken in the same manner and subject to the same requirements,
7 as are set forth or imposed under chapter 902 of the laws of 1972, as
8 amended, for such actions and performance by the authority and its
9 directors. Notwithstanding the existence of common management, the
10 corporation shall be treated as a separate legal entity with its sepa-
11 rate corporate purpose as set forth in section six of this act; and,
12 accordingly, the assets, liabilities and funds of the corporation shall
13 be neither consolidated nor commingled with those of the authority. The
14 corporation and its corporate existence shall continue until six months
15 after all its liabilities have been met or otherwise discharged. Upon
16 the termination of the existence of the corporation, all of its rights
17 and property shall pass to and be vested in the state.
18 § 3. Definitions. 1. "Ancillary bond facility" means any interest
19 rate exchange or similar agreement or any bond insurance policy, letter
20 of credit or other credit enhancement facility, liquidity facility,
21 guaranteed investment or reinvestment agreement, or other similar agree-
22 ment, arrangement or contract.
23 2. "Authority" means the state of New York municipal bond bank agency
24 established in section 2433 of the public authorities law.
25 3. "Benefited party" means any person, firm or corporation that enters
26 into an ancillary bond facility with the corporation according to the
27 provisions of this act.
28 4. "Board" means the members of the corporation.
29 5. "Bonds" means any bonds, notes, certificates of participation and
30 other evidence of indebtedness issued by the corporation pursuant to
31 section six of this act.
32 6. "Code" means the United States Internal Revenue Code of 1986, as
33 amended.
34 7. "Complementary legislation" means any legislation passed by the
35 state complementary to the qualifying statute, including but not limited
36 to: (1) section 480-b of the tax law, which: (a) requires that every
37 tobacco product manufacturer as defined by the qualifying statute whose
38 cigarettes are sold for consumption in this state shall annually certify
39 that such tobacco product manufacturer is (i) a participating manufac-
40 turer, and/or (ii) in compliance with the qualifying statute; and (b)
41 prohibits any agent who affixes state cigarette tax stamps to cigarettes
42 to affix such stamps if either (i) the tobacco product manufacturer has
43 not provided such agent with the required certification above, or (ii)
44 the commissioner of taxation and finance has notified such agent that
45 such tobacco product manufacturer is in violation of the qualifying
46 statute, (2) section 481 of the tax law, providing for penalties for
47 possessing unstamped or unlawfully stamped cigarettes, and (3) section
48 1846 of the tax law, providing for seizure of unstamped or unlawfully
49 stamped cigarettes.
50 8. "Consent decree" means the consent decree and final judgment of the
51 supreme court of the state of New York, county of New York, dated Decem-
52 ber 23, 1998, as the same has been and may be corrected, amended or
53 modified, in the class action entitled State of New York, et al. v.
54 Philip Morris Incorporated, et al. (Index No. 400361/97).
55 9. "Costs of issuance" means any item of expense directly or indirect-
56 ly payable or reimbursable by the corporation and related to the author-
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1 ization, sale, or issuance of bonds, including, but not limited to,
2 underwriting fees and fees and expenses of professional consultants and
3 fiduciaries.
4 10. "Director of the budget" means the director of the budget of the
5 state of New York.
6 11. "Financing costs" means all costs of issuance, capitalized inter-
7 est, capitalized operating expenses and debt service reserves, fees,
8 cost of any ancillary bond facility, and any other fees, expenses and
9 costs related to issuing, securing and marketing the bonds.
10 12. "Investment securities" means, subject to the provisions of any
11 contract with bondholders of the corporation, (i) general obligations
12 of, or obligations guaranteed by, any state of the United States of
13 America or political subdivision thereof, or the District of Columbia or
14 any agency or instrumentality of any of them, receiving one of the three
15 highest long-term unsecured debt rating categories available for such
16 securities of at least one independent rating agency, or (ii) certif-
17 icates of deposit, savings accounts, time deposits or other obligations
18 or accounts of banks or trust companies in the state, secured, if the
19 corporation shall so require, in such manner as the corporation may so
20 determine, or (iii) otherwise, in the discretion of the corporation,
21 obligations in which the comptroller is authorized to invest, pursuant
22 to either section 98 or 98-a of the state finance law.
23 13. "Interest rate exchange or similar agreement" means a written
24 contract entered into in connection with the issuance of bonds or with
25 such bonds outstanding with a counterparty to provide for an exchange or
26 swap of payments based upon fixed and/or variable interest rates, and
27 shall be for exchanges in currency of the United States of America only.
28 14. "Master settlement agreement" means the master settlement agree-
29 ment, dated November 23, 1998, among the attorneys general of 46 states,
30 including the state, the District of Columbia, the Commonwealth of Puer-
31 to Rico, Guam, the United States Virgin Islands, American Samoa and the
32 Territory of the Northern Mariana Islands, on the one hand, and certain
33 tobacco manufacturers, on the other hand, and the subject of the consent
34 decree.
35 15. "Member" means any director of the authority including each person
36 that has been duly appointed to represent such director at meetings of
37 the authority from which such director may be absent.
38 16. "Net proceeds" means the amount of proceeds remaining following
39 each sale of bonds which are not required by the corporation to pay or
40 provide for the financing costs.
41 17. "Operating expenses" means the reasonable or necessary operating
42 expenses of the corporation, including, without limitation, administra-
43 tive expenses of the corporation or authority, the cost of preparation
44 of accounting and other reports, costs of maintenance of the ratings on
45 the bonds, funding of any operating expense reserve fund, if any, insur-
46 ance premiums, costs of any ancillary bond facilities, and costs of
47 annual meetings or other required activities of the corporation, and
48 fees and expenses incurred for professional consultants and fiduciaries.
49 18. "Other assets" means assets and/or revenues, constituting a
50 portion of the state's share, other than the pledged tobacco revenues,
51 that are purchased pursuant to the sale agreement and pledged by the
52 corporation for the payment of bonds or an ancillary bond facility.
53 19. "Other participating jurisdictions" means the fifty-seven (57)
54 counties of the state and the city of New York, which together with the
55 state, are subject to the consent decree.
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1 20. "Outstanding", when used with respect to bonds, shall exclude
2 bonds that shall have been paid in full at maturity, or shall have
3 otherwise been refunded, redeemed, defeased or discharged, or that may
4 be deemed not outstanding pursuant to agreements with the holders there-
5 of.
6 21. "Participating manufacturer" means a tobacco product manufacturer
7 that is or becomes a signatory to the master settlement agreement.
8 22. "Pledged tobacco revenues" means each such portion of the state's
9 share constituting tobacco settlement payments sold to the corporation
10 pursuant to section four of this act and pledged by the corporation for
11 the payment of bonds or an ancillary bond facility.
12 23. "Qualifying statute" has the meaning given that term in the master
13 settlement agreement, constituting article 13-G of the public health law
14 of the state, effective November 27, 1999.
15 24. "Residual interests" means the income of the corporation, and bond
16 proceeds, if any, or reserves not previously paid to the state, that are
17 in excess of the corporation's requirements to pay its operating
18 expenses, debt service, sinking fund or other redemption requirements,
19 reserve fund, and any other contractual obligations under any resolution
20 or any ancillary bond facility or that may be incurred in connection
21 with the issuance of the bonds.
22 25. "Sale agreement" means any agreement authorized pursuant to this
23 section in which the state provides for the sale of all or a portion of
24 the state's share to the corporation.
25 26. "State" means the state of New York.
26 27. "State representative" means the governor of the state acting
27 through the director of the budget.
28 28. "State's share" means all tobacco settlement payments received by
29 the state on and after April 1, 2003 and required to be made, pursuant
30 to the terms of the master settlement agreement, by participating
31 manufacturers to the state which have not otherwise been allocated to
32 any other participating jurisdictions pursuant to the terms of the
33 consent decree, and the state's rights to receive such tobacco settle-
34 ment payments and other assets of the state and other payments received
35 by the state on and after April 1, 2003 and the state's right to receive
36 such payments, under any other agreement, contract, statute or other
37 provision available for sale or authorized to be sold, and determined by
38 the state representative to be included in the sale agreement.
39 29. "Tobacco settlement financing corporation" or "the corporation"
40 means the tobacco settlement financing corporation created by section
41 two of this act.
42 § 4. The sale agreement. 1. The state representative, upon the
43 execution of a sale agreement on behalf of the state may sell to the
44 corporation, and the corporation may purchase, for cash or other consid-
45 eration and in one or more installments, all or a portion of the state's
46 share. Any such agreement shall provide, among other matters, that the
47 purchase price payable by the corporation to the state for such state's
48 share or portion thereof shall consist of the net proceeds of the bonds
49 issued to finance such purchase price and the residual interests, if
50 any. The residual interests shall be deposited into the tobacco settle-
51 ment fund pursuant to section 92-x of the state finance law, unless
52 otherwise directed by statute; provided, however that any residual
53 interest derived from other assets shall be applied as directed by stat-
54 ute or the sale agreement and if not so directed, as directed by the
55 state representative. Any such sale shall be pursuant to one or more
56 sale agreements which may contain such terms and conditions deemed
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1 necessary by the state representative to carry out and effectuate the
2 purposes of this section, including covenants binding the state in favor
3 of the corporation and its assignees, including the owners of its bonds
4 such as covenants with respect to the diligent enforcement at the
5 expense of the state of the master settlement agreement, the qualifying
6 statute and the consent decree, the application and use of the proceeds
7 of the sale of the state's share to preserve the tax-exemption on the
8 bonds, the interest on which is intended to be exempt from federal
9 income tax, issued to finance the purchase thereof and otherwise as
10 provided in this act. Notwithstanding the foregoing, neither the state
11 representative nor the corporation shall be authorized to make any
12 covenant, pledge, promise or agreement purporting to bind the state with
13 respect to pledged tobacco revenues, except as otherwise specifically
14 authorized by this act.
15 2. Any sale of all or part of the state's share to the corporation
16 shall be treated as a true sale and absolute transfer of the property so
17 transferred and not as a pledge or other security interest for any
18 borrowing. The characterization of such a sale as an absolute transfer
19 by the participants shall not be negated or adversely affected by the
20 fact that only a portion of the state's share is transferred, nor by the
21 acquisition or retention by the state of a residual interest, nor by any
22 characterization of the corporation or its obligations for purposes of
23 accounting, taxation or securities regulation, nor by any other factor
24 whatsoever.
25 3. On and after the effective date of each sale of any portion
26 (including all) of the state's share, the state shall have no right,
27 title or interest in or to the portion of the state's share sold, and
28 the portion of the state's share so sold shall be the property of the
29 corporation and not of the state, and shall be owned, received, held and
30 disbursed by the corporation and not the state treasury. Notwithstanding
31 section 92-x of the state finance law, on or before the effective date
32 of any such sale with respect to tobacco settlement payments, the state
33 through the attorney general shall notify the independent auditor and
34 the escrow agent under the master settlement agreement that such portion
35 of the state's share has been sold to the corporation and irrevocably
36 instruct such independent auditor and escrow agent that, subsequent to
37 such date, such portion of the state's share is to be paid directly to
38 the indenture trustee for the benefit of the owners of the bonds of the
39 corporation which are secured by a pledge of such amounts, until such
40 bonds are no longer outstanding pursuant to the resolution or related
41 indenture under which such bonds are issued.
42 4. The net proceeds of the bonds and any earnings thereon shall never
43 be pledged to, nor made available for, payment of the bonds or any
44 interest or redemption price thereon or any other debt or obligation of
45 the corporation. The net proceeds of the bonds shall be paid as directed
46 by the state representative as specified in, or otherwise provided for
47 by, the sale agreement, and shall be used by the state (either directly
48 or by reimbursement of the general fund) for any of the following
49 purposes: (i) for any of its capital purposes or for any of its capital
50 programs, (ii) for payment of debt service on any of its outstanding
51 bonds or on any state supported bonds, notes or other obligations or in
52 respect of debt service on any outstanding bonds, notes or other obli-
53 gations of local governments, school districts or public benefit corpo-
54 rations for which state aid is applicable or required to be paid or for
55 which there is a contract subject to state appropriation provided that
56 such bonds, notes or other obligations funded capital projects or
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1 programs, (iii) for other grants to local governments, school districts
2 or public benefit corporations, or (iv) to provide a revenue resource
3 for other state expenditures. With respect to any bonds of the corpo-
4 ration, the interest on which is intended to be exempt from federal
5 income tax, the corporation and the state representative may provide
6 restrictions on the use of net proceeds of the bonds and other amounts
7 in the sale agreement or otherwise in a tax regulatory agreement.
8 5. The director of the budget shall notify in writing the chairs of
9 the senate finance committee and the assembly ways and means committee
10 of any plans to sell all or a portion of the state's share of tobacco
11 settlement payments prior to entering any sale agreement with the corpo-
12 ration. In addition to notifying the chairs of these committees of a
13 plan to sell all or part of the state's share, such director shall also
14 describe how the planned sale, combined with recurring budget reductions
15 and other on-going or anticipated actions, supports a multi-year plan to
16 achieve budget balance. Either at the time this notification is given,
17 or as soon as possible thereafter, such director shall report on the
18 amount of any bonds expected to be sold by the corporation pursuant to a
19 sale agreement and on the net proceeds that will be paid to the state.
20 § 5. Powers of the corporation. The corporation also shall have the
21 power to:
22 1. sue and be sued;
23 2. have a seal and alter the same at pleasure;
24 3. make and alter by-laws for its organization and internal management
25 and make rules and regulations governing the use of its property and
26 facilities;
27 4. make and execute contracts and all other instruments necessary or
28 convenient for the exercise of its powers and functions under this
29 section and to commence any action to protect or enforce any right
30 conferred upon it by any law, contract or other agreement;
31 5. appoint officers, agents and employees, prescribe their duties and
32 qualifications, fix their compensation and engage the services of
33 private consultants and counsel on a contract basis for rendering
34 professional and technical assistance and advice provided that the chief
35 executive officer of the corporation shall be the chief executive offi-
36 cer of the authority and any other officers or employees, if appointed,
37 shall be those having similar positions with the authority;
38 6. pay its operating expenses and its financing costs;
39 7. borrow money in its name and issue negotiable bonds and provide for
40 the rights of the holders thereof;
41 8. procure insurance against any loss in connection with its activ-
42 ities, properties and assets in such amount and from such insurers as it
43 deems desirable;
44 9. invest any funds or other moneys under its custody and control in
45 investment securities or under any ancillary bond facility;
46 10. as security for the payment of the principal of and interest on
47 any bonds issued by it pursuant to this act and any agreement made in
48 connection therewith and for its obligations under any ancillary bond
49 facility, pledge all or any part of its revenues or assets;
50 11. with the approval of the state representative, enter into, modify,
51 amend, replace or renew any ancillary bond facility with any person
52 under such terms and conditions as the corporation may determine includ-
53 ing, without limitation, provisions as to default or early termination
54 and indemnification by the corporation or any other party thereto for
55 loss of benefits as a result thereof and with respect to execution of
56 any interest rate exchange or similar agreement and prior thereto, adopt
S. 1406 162 A. 2106
1 guidelines and make the determinations set forth in subdivision seven or
2 eight of section six of this act; and
3 12. do any and all things necessary or convenient to carry out its
4 purposes and exercise the powers expressly given and granted in this
5 section.
6 § 6. Bonds of the corporation. 1. (i) The corporation shall have
7 power and is hereby authorized from time to time to issue its bonds in
8 such principal amount or amounts as the corporation shall determine to
9 be necessary, to provide sufficient funds for achieving its corporate
10 purpose, consisting of the purchase of all or a portion of the state's
11 share pursuant to section four of this act and the payment or provision
12 for financing costs.
13 (ii) Each issuance of bonds shall be authorized by a resolution of the
14 corporation, adopted by a majority of the members of the board then in
15 office without further authorization or approval, provided, however,
16 that any such resolution authorizing the issuance of bonds or notes may
17 delegate to an officer of the corporation the power to issue such bonds
18 from time to time and to fix the details of any such issues of bonds by
19 an appropriate certificate of such authorized officer. Every issue of
20 the bonds of the corporation shall be special revenue obligations paya-
21 ble from and secured by a pledge of pledged tobacco revenues and other
22 assets, including those proceeds of such bonds deposited in a reserve
23 fund for the benefit of bondholders, earnings on funds of the corpo-
24 ration and such other funds as may become available, upon such terms and
25 conditions as approved by the state representative and as specified by
26 the corporation in the resolution under which the bonds are issued or in
27 a related trust indenture.
28 (iii) The corporation shall have the power and is hereby authorized
29 from time to time to issue bonds, whenever it deems refunding expedient,
30 to refund any bonds by the issuance of new bonds, whether the bonds to
31 be refunded have or have not matured, and to issue bonds partly to
32 refund bonds then outstanding and partly for any of its other corporate
33 purposes. The refunding bonds may be exchanged for the bonds to be
34 refunded or sold and the proceeds applied to the purchase, redemption or
35 payment of such bonds.
36 2. The bonds of the corporation of each issue shall be dated, shall
37 bear interest (which, under the code, in the opinion of transaction
38 counsel to the corporation, may be includable in or excludable from the
39 gross income of the owners for federal income tax purposes) at such
40 fixed or variable rates, payable at or prior to maturity, and shall
41 mature at such time or times, as may be determined by the corporation
42 and may be made redeemable before maturity, at the option of the corpo-
43 ration, at such price or prices and under such terms and conditions as
44 may be fixed by the corporation. The principal and interest of such
45 bonds may be made payable in any lawful medium. The resolution or the
46 certificate of the authorized officer shall determine the form of the
47 bonds, either registered or book-entry form, and the manner of execution
48 of the bonds and shall fix the denomination or denominations of the
49 bonds and the place or places of payment of principal and interest ther-
50 eof, which may be at any bank or trust company within or outside the
51 state. If any officer whose signature or a facsimile thereof appears on
52 any bonds shall cease to be such officer before the delivery of such
53 bonds, such signature or facsimile shall nevertheless be valid and
54 sufficient for all purposes the same as if he had remained in office
55 until such delivery. The corporation may also provide for temporary
S. 1406 163 A. 2106
1 bonds and for the replacement of any bond that shall become mutilated or
2 shall be destroyed or lost.
3 3. The corporation with the approval of the state representative may
4 sell such bonds in such manner, either at a public or private sale and
5 either on a competitive or negotiated basis. The proceeds of such bonds
6 shall be disbursed for the purposes for which such bonds were issued
7 under such restrictions, if any, as the laws of the state, the sale
8 agreement and the resolution authorizing the issuance of such bonds or
9 the related trust indenture may provide. Such bonds shall be issued
10 upon approval of both the state representative and the corporation and
11 without any other approvals, filings, proceedings or the happening of
12 any other conditions or things other than the approvals, findings,
13 proceedings, conditions, and things that are specified and required by
14 this act.
15 4. Any pledge made by the corporation shall be valid and binding at
16 the time the pledge is made. The assets, property, revenues, reserves or
17 earnings so pledged shall immediately be subject to the lien of such
18 pledge without any physical delivery thereof or further act and the lien
19 of any such pledge shall be valid and binding as against all parties
20 having claims of any kind in tort, contract or otherwise against the
21 corporation, irrespective of whether such parties have notice thereof.
22 Notwithstanding any other provision of law to the contrary, neither the
23 bond resolution nor any indenture or other instrument by which a pledge
24 is created or by which the corporation's interest in pledged assets,
25 property, revenues, reserves or earnings thereon is assigned need be
26 filed, perfected or recorded in any public records in order to protect
27 the pledge thereof or perfect the lien thereof as against third parties,
28 except that a copy thereof shall be filed in the records of the corpo-
29 ration.
30 5. Whether or not the bonds of the corporation are of such form and
31 character as to be negotiable instruments under the terms of the uniform
32 commercial code, the bonds are hereby made negotiable instruments for
33 all purposes, subject only to the provisions of the bonds for registra-
34 tion.
35 6. At the sole discretion of the corporation, any bonds issued by the
36 corporation and any ancillary bond facility made under the provisions of
37 this act may be secured by a resolution or trust indenture by and
38 between the corporation and the trust indenture trustee, which may be
39 any trust company or bank having the powers of a trust company, whether
40 located within or outside the state. Such trust indenture or resolution
41 providing for the issuance of such bonds may provide for the creation
42 and maintenance of such reserves as the board shall determine to be
43 proper and may include covenants setting forth the duties of the corpo-
44 ration in relation to the bonds, the income of the corporation, the
45 related sale agreement with respect to the sale of the state's share and
46 the pledged tobacco revenues and other assets. Such trust indenture or
47 resolution may contain provisions respecting the custody, safeguarding
48 and application of all moneys and securities, may contain such
49 provisions for protecting and enforcing the rights and remedies (pursu-
50 ant thereto and to the sale agreement) of the owners of the bonds and
51 any other benefitted party as may be reasonable and proper and not in
52 violation of law and may include any or all of the rights, powers and
53 duties of the trustee appointed by bondholders pursuant to section eight
54 of this act and limiting or abrogating the right of the bondholders to
55 appoint a trustee under such section. It shall be lawful for any bank
56 or trust company incorporated under the laws of the state which may act
S. 1406 164 A. 2106
1 as depository of the proceeds of bonds or of any other funds or obli-
2 gations received on behalf of the corporation to furnish such indemnify-
3 ing bonds or to pledge such securities as may be required by the corpo-
4 ration. Any such trust indenture or resolution may contain such other
5 provisions as the corporation may deem reasonable and proper for priori-
6 ties and subordination among the owners of the bonds and other benefici-
7 aries. Any reference in this act to a resolution of the board shall
8 include any trust indenture authorized thereby.
9 7. The corporation may enter into, amend or terminate, as it deter-
10 mines to be necessary or appropriate, any ancillary bond facility (i) to
11 facilitate the issuance, sale, resale, purchase, repurchase or payment
12 of bonds, interest rate savings or market diversification or the making
13 or performance of swap contracts, including without limitation bond
14 insurance, letters of credit and liquidity facilities, or (ii) to
15 attempt to manage or hedge risk or achieve a desirable effective inter-
16 est rate or cash flow. Such facility shall be made upon the terms and
17 conditions established by the board, including without limitation
18 provisions as to security, default, termination, payment, remedy and
19 consent to service of process.
20 8. The corporation may enter into, amend or terminate, any ancillary
21 bond facility that it determines to be necessary or appropriate to place
22 the obligations or investments of the corporation, as represented by the
23 bonds or the investment of reserved bond proceeds or other pledged
24 tobacco revenues or other assets, in whole or in part, on the interest
25 rate, cash flow or other basis approved by the corporation, which facil-
26 ity may include without limitation contracts commonly known as interest
27 rate swap agreements, forward purchase contracts or guaranteed invest-
28 ment contracts and futures or contracts providing for payments based on
29 levels of, or changes in, interest rates. These contracts or arrange-
30 ments may be entered into by the corporation in connection with, or
31 incidental to, entering into, or maintaining any (i) agreement which
32 secures bonds of the corporation or (ii) investment, or contract provid-
33 ing for investment of reserves or similar facility guaranteeing an
34 investment rate for a period of years not to exceed the underlying term
35 of the bonds. The determination by the corporation that an ancillary
36 bond facility or the amendment or termination thereof is necessary or
37 appropriate as aforesaid shall be conclusive. Any ancillary bond facili-
38 ty may contain such payment, security, default, remedy, termination
39 provisions and payments and other terms and conditions as determined by
40 the corporation, after giving due consideration to the creditworthiness
41 of the counterparty or other obligated party, including any rating by
42 any nationally recognized rating agency, and any other criteria as may
43 be appropriate.
44 9. Bonds or any ancillary bond facility may contain a recital that
45 they are issued or executed, respectively, pursuant to this act, which
46 recital shall be conclusive evidence of their validity, respectively,
47 and the regularity of the proceedings relating thereto.
48 10. The corporation, subject to such agreements with bondholders as
49 may then exist (including provisions which restrict the power of the
50 corporation to purchase bonds), or with the providers of any applicable
51 ancillary bond facility, shall have the power out of any funds available
52 therefor to purchase bonds of the corporation, which may or may not
53 thereupon be cancelled, at a price not substantially exceeding:
54 (i) if the bonds are then redeemable, the redemption price then appli-
55 cable, including any accrued interest; and
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1 (ii) if the bonds are not then redeemable, the redemption price and
2 accrued interest applicable on the first date after such purchase upon
3 which the bonds become subject to redemption.
4 11. Neither the members of the corporation nor any other person
5 executing the bonds or an ancillary bond facility of the corporation
6 shall be subject to any personal liability or accountability by reason
7 of the issuance or execution and delivery thereof.
8 § 7. State not liable on bonds or any ancillary bond facility.
9 Neither any bond nor any ancillary bond facility of the corporation
10 shall constitute a debt or moral obligation of the state or a state
11 supported obligation within the meaning of any constitutional or statu-
12 tory provision or a pledge of the faith and credit of the state or of
13 the taxing power of the state, and the state shall not be liable to make
14 any payments thereon nor shall any bond or any ancillary bond facility
15 be payable out of any funds or assets other than pledged tobacco reven-
16 ues and other assets, if any, sold to the corporation and other funds
17 and assets of or available to the corporation pledged therefor, and the
18 bonds and any ancillary bond facility of the corporation shall contain
19 on the face thereof or other prominent place thereon a statement to the
20 foregoing effect and that the state has no obligation or intention to
21 appropriate for, or otherwise satisfy, any deficiency or default of any
22 payment on the bonds or any ancillary bond facility.
23 § 8. Remedies of bondholders. 1. Subject to the provisions of section
24 six of this act, in the event that the corporation shall default in the
25 payment of principal of, or interest on, or sinking fund payment on, any
26 issue of bonds after the same shall become due, whether at maturity or
27 upon call for redemption, or in the event that the corporation or the
28 state shall default in any agreement made with the holders of any issue
29 of bonds, the holders of twenty-five per centum in aggregate principal
30 amount of the bonds of such issue then outstanding, by instrument or
31 instruments filed in the office of the clerk of the county of Albany and
32 proved or acknowledged in the same manner as a deed to be recorded, may
33 appoint a trustee to represent the holders of such bonds for the
34 purposes herein provided.
35 2. Such trustee, or any trustee appointed under this act, may, and
36 upon written request of the holders of twenty-five per centum in princi-
37 pal amount of such bonds then outstanding shall, in his or its own name:
38 (i) by suit, action or proceeding in accordance with the civil prac-
39 tice law and rules, enforce all rights of the bondholders, including the
40 right to require the corporation to carry out any agreement with such
41 holders and to perform its duties under this act;
42 (ii) bring suit upon such bonds;
43 (iii) by action or suit, require the corporation to account as if it
44 were the trustee of an express trust for the holders of such bonds;
45 (iv) by action or suit, enjoin any acts or things which may be unlaw-
46 ful or in violation of the rights of the holders of such bonds; and
47 (v) declare all such bonds due and payable, and if all defaults shall
48 be made good, then, with the consent of the holders of twenty-five per
49 centum of the principal amount of such bonds then outstanding, annul
50 such declaration and its consequences, provided, however, that nothing
51 herein shall preclude the corporation from agreeing that consent of the
52 provider of an ancillary bond facility is required for an acceleration
53 of related bonds in the event of a default other than a failure to pay
54 principal of or interest on the bonds when due.
55 3. The supreme court shall have jurisdiction of any suit, action or
56 proceeding by the trustee on behalf of such bondholders. The venue of
S. 1406 166 A. 2106
1 any such suit, action or proceeding shall be laid in the county of Alba-
2 ny.
3 4. Before declaring the principal of bonds due and payable, the trus-
4 tee shall first give thirty days notice in writing to the corporation.
5 § 9. Exemption from taxation. 1. It is hereby determined that the
6 creation of the corporation and the carrying out of its corporate
7 purpose is in all respects a public and governmental purpose for the
8 benefit of the people of the state and for the improvement of their
9 health, safety, welfare, comfort and security, and that said purposes
10 are public purposes and that the corporation will be performing an
11 essential governmental function in the exercise of the powers conferred
12 upon it by this act.
13 2. The property of the corporation and its income and operations shall
14 be exempt from taxation.
15 3. The bonds of the corporation issued pursuant to this act and the
16 income therefrom and all its fees, charges, gifts, grants, revenues,
17 receipts, and other monies received or to be received, pledged to pay or
18 secure the payment of such bonds shall at all times be free from taxa-
19 tion, except for estate and gift taxes on transfers.
20 4. In the case of any bonds of the corporation, interest on which is
21 intended to be exempt from federal income tax, the corporation shall
22 prescribe restrictions on the use of the proceeds thereof and related
23 matters as are necessary to assure such exemption, and the recipients of
24 such proceeds shall be bound thereby to the extent such restrictions
25 shall be made applicable to them. Any such recipient, including, but not
26 limited to, the state, a public benefit corporation, a school district
27 or municipality is authorized to execute a tax regulatory agreement with
28 the corporation or the state, as the case may be, and the execution of
29 such an agreement may be treated by the corporation or the state as a
30 condition to receiving any such proceeds.
31 § 10. Agreement with state. 1. The state pledges and agrees with the
32 corporation, and the owners of the bonds of the corporation in which the
33 corporation has included such pledge and agreement, that the state shall
34 (i) irrevocably direct, through the attorney general, the independent
35 auditor and the escrow agent under the master settlement agreement to
36 transfer all pledged tobacco revenues directly to the corporation or its
37 assignee, (ii) diligently enforce the corporation's right to receive the
38 pledged tobacco revenues to the full extent permitted by the terms of
39 the master settlement agreement and, in addition, shall diligently
40 enforce the qualifying statute as contemplated in the master settlement
41 agreement against all tobacco product manufacturers selling tobacco
42 products in the state and that are not signatories to the master settle-
43 ment agreement, in each case in the manner and to the extent necessary
44 in the judgment of the attorney general to collect all moneys to which
45 the state is entitled under the master settlement agreement, (iii)
46 neither amend the master settlement agreement nor the consent decree or
47 take any other action in any way that would alter, limit or impair the
48 corporation's right to receive pledged tobacco revenues, or limit or
49 alter the rights hereby vested in the corporation to fulfill the terms
50 of its agreements with such bondowners, or in any way impair the rights
51 and remedies of such bondowners or the security for such bonds until
52 such bonds, together with the interest thereon and all costs and
53 expenses in connection with any action or proceedings by or on behalf of
54 such bondowners, are fully paid and discharged (provided, that nothing
55 herein shall be construed to preclude the state's regulation of smoking
56 and taxation and regulation of the sale of cigarettes or the like), and
S. 1406 167 A. 2106
1 (iv) not amend, supersede or repeal the qualifying statute and any
2 complementary legislation, in any way that would materially adversely
3 affect the amount of any payment to, or materially impair the rights of,
4 the corporation or such bondholders. The state representative is
5 authorized and directed to include this pledge and agreement in the sale
6 agreement and authorizes and directs the corporation, as agent of the
7 state to include this pledge and agreement in any contract with the
8 bondholders of the corporation.
9 2. Prior to the date which is one year and one day after the corpo-
10 ration no longer has any bonds outstanding, the corporation shall have
11 no authority to file a voluntary petition under chapter 9 of the federal
12 bankruptcy code or such corresponding chapter or sections as may, from
13 time to time, be in effect, and neither any public officer nor any
14 organization, entity or other person shall authorize the corporation to
15 be or become a debtor under chapter 9 or any successor or corresponding
16 chapter or sections during such period. The state hereby covenants with
17 the owners of the bonds of the corporation that the state will not limit
18 or alter the denial of authority under this subdivision during the peri-
19 od referred to in the preceding sentence. The corporation is authorized
20 and directed as agent of the state to include this covenant as an agree-
21 ment of the state in any contract with the bondholders of the corpo-
22 ration.
23 3. To the extent deemed appropriate by the corporation and with the
24 approval of the state representative, any pledge and agreement of the
25 state with respect to the bonds as provided in this section may be
26 extended to, and included in, any ancillary bond facility as a pledge
27 and agreement of the state with the corporation and the benefited party.
28 4. The state acknowledges and agrees that the other participating
29 jurisdictions have rights and interests in the consent decree. In recog-
30 nition of the rights of the other participating jurisdictions contained
31 in the consent decree, the state pledges that the sale of the state's
32 share authorized by this act shall in no way include or be deemed to
33 include, and the state shall not otherwise alter, limit, or impair, the
34 rights of the other participating jurisdictions including, but not
35 limited to, rights to receive payments, set forth in the consent decree.
36 Nothing in this act shall be construed to alter the right of each of the
37 other participating jurisdictions under the consent decree to receive
38 payments or to sell or assign some or all of its interest in the manner
39 deemed appropriate pursuant to law by its governing body.
40 § 11. Bonds as legal investments. The bonds of the corporation are
41 hereby made securities in which all public officers and bodies of this
42 state and all municipalities and political subdivisions, all insurance
43 companies and associations and other persons carrying on an insurance
44 business, all banks, bankers, trust companies, savings banks and savings
45 associations, including savings and loan associations, building and loan
46 associations, investment companies and other persons carrying on a bank-
47 ing business, all administrators, guardians, executors, trustees and
48 other fiduciaries, and all other persons whatsoever who are now or may
49 hereafter be authorized to invest in bonds or in other obligations of
50 the state, may properly and legally invest funds, including capital, in
51 their control or belonging to them. The bonds are also hereby made
52 securities which may be deposited with and may be received by all public
53 officers and bodies of the state and all municipalities, political
54 subdivisions and public corporations for any purpose for which the
55 deposit of bonds or other obligations of the state is now or may here-
56 after be authorized.
S. 1406 168 A. 2106
1 § 12. Actions against the corporation. 1. An action against the
2 corporation for death, personal injury or property damage or founded on
3 tort shall not be commenced more than one year and ninety days after the
4 cause of action thereof shall have accrued nor unless a notice of claim
5 shall have been served on a member of the corporation or officer or
6 employee thereof designated by the corporation for such purpose, within
7 the time limited by, and in compliance with the requirements of section
8 50-e of the general municipal law.
9 2. The venue of every action, suit or special proceeding brought
10 against the corporation shall be laid in the county of Albany.
11 3. (a) Neither any member of the corporation nor any officer, employ-
12 ee, or agent of the corporation, while acting within the scope of their
13 authority, shall be subject to any personal liability resulting from
14 exercising or carrying out of any of the corporation's purposes or
15 powers.
16 (b) The provisions of section 17 of the public officers law shall
17 apply to members of the board, officers, employees and agents of the
18 corporation in connection with any and all claims, demands, suits,
19 actions or proceedings which may be made or brought against any of them
20 arising out of any determinations made or actions taken or omitted to be
21 taken in compliance with any undertakings under or pursuant to the terms
22 of this act. The provisions of this paragraph shall be in addition to
23 and shall not supplant any indemnification or other benefits heretofore
24 or hereafter conferred upon members of the board, officers, employees
25 and agents of the corporation, by action of such or otherwise.
26 § 13. Assistance to the corporation. With the consent of the governor,
27 comptroller or attorney general as the case may be, the corporation may
28 use agents, employees and facilities of the state or authority paying to
29 the affected agency, office or department its agreed proportion of the
30 compensation or costs.
31 § 14. Preference for actions or proceedings against the corporation.
32 Any action or proceeding to which the corporation or the people of the
33 state may be parties, in which any question arises as to the validity of
34 this act, shall be preferred over all other civil causes of action or
35 cases, except election causes of action or cases, in all courts of the
36 state and shall be heard and determined in preference to all other civil
37 business pending therein, except election causes, irrespective of posi-
38 tion on the calendar. The same preference shall be granted upon applica-
39 tion of the corporation or its counsel in any action or proceeding ques-
40 tioning the validity of this act in which the corporation may be allowed
41 to intervene. The venue of any such action or proceeding shall be laid
42 in the supreme court of the county of Albany.
43 § 15. Construction. This act and all powers granted hereby shall be
44 liberally construed to effectuate its intent and their purposes, without
45 implied limitations thereon. This act shall constitute full and complete
46 authority for all things herein contemplated to be done. All rights and
47 powers herein granted shall be cumulative with those derived from other
48 sources and shall not, except as expressly stated herein, be construed
49 in limitation thereof. Insofar as the provisions of this act are incon-
50 sistent with the provisions of any other act, general or special, the
51 provisions of this act shall be controlling.
52 § 16. Severability clause. If any clause, sentence, paragraph, section
53 or part of this act be adjudged by any court of competent jurisdiction
54 to be invalid, such judgment shall not affect, impair or invalidate the
55 remainder hereof but shall be applied in its operation to the clause,
S. 1406 169 A. 2106
1 sentence, paragraph, section or part hereof directly involved in the
2 controversy in which such judgment shall have been rendered.
3 § 2. Section 2425 of the public authorities law is amended by adding a
4 new tenth undesignated paragraph to read as follows:
5 Also, it is hereby found and declared that it is in the public inter-
6 est to facilitate the financial activities of the tobacco settlement
7 financing corporation by providing a source or potential source of
8 payment into funds established by such corporation for the payment of
9 financial obligations or financial rights of such corporation under
10 bonds or ancillary bond facilities.
11 § 3. Subdivision 5 of section 2426 of the public authorities law, as
12 amended by chapter 112 of the laws of 2000, is amended and six new
13 subdivisions 17, 18, 19, 20, 21 and 22 are added to read as follows:
14 5. "Mortgage insurance fund requirement". For any category of loans or
15 corporation credit support as of any particular date of computation, an
16 amount of money or cash equivalents equal to (i) the aggregate of (a)
17 such insured amounts of each category of loans or corporation credit
18 support as the agency has determined to be due and payable as of such
19 date pursuant to its contracts to insure mortgages or provide corpo-
20 ration credit support plus (b) an amount equal to twenty per centum of
21 the amounts of each category of loans insured under the agency's insur-
22 ance contracts plus twenty per centum of the amounts to be insured under
23 the agency's commitments to insure less the amounts payable in each
24 category of loans pursuant to [paragraph] subparagraph (a) of this
25 [subdivision] paragraph, provided, however, that if the board of direc-
26 tors of the agency shall have established a per centum for a category of
27 loans, or for one or more loans within such categories, pursuant to
28 subdivision seven of section twenty-four hundred twenty-eight of this
29 [title] part, such per centum shall be substituted for twenty per centum
30 in this paragraph for such category or loan, and provided further, that
31 no such new per centum shall be lower than twenty per centum plus (c) an
32 amount equal to the respective amounts established by contract with
33 respect to each reserve and financial support fund (which may be deter-
34 mined by reference to percentages of amounts required or permitted to be
35 on deposit in said funds and may be different for each such fund) for
36 which the agency has determined that the corporation credit support
37 account established under section twenty-four hundred twenty-nine-b of
38 this part is or will be a source or potential source of corporation
39 credit support, less the amounts payable with respect to corporation
40 credit support pursuant to subparagraph (a) of this paragraph, less (ii)
41 the aggregate of the amount of each reinsurance contract procured in
42 connection with agency obligations determined by the board of directors
43 of the agency to be a reduction pursuant to this paragraph in calculat-
44 ing the mortgage insurance fund requirement. For purposes of pool
45 insurance, in no event shall the reserve requirement be less than twenty
46 percent of the amounts insured under the agency's insurance contracts.
47 17. "Ancillary bond facility". That portion of an ancillary bond
48 facility, as defined in the tobacco settlement financing corporation
49 act, with respect to which the corporation has an actual or potential
50 financial obligation or financial right.
51 18. "Bonds". Bonds as defined in the tobacco settlement financing
52 corporation act.
53 19. "Corporation". The tobacco settlement financing corporation,
54 created by the tobacco settlement financing corporation act.
55 20. "Reserve and financial support fund". Each fund (including, but
56 not limited to, any fund or account in the nature of a reserve fund, a
S. 1406 170 A. 2106
1 debt service fund, a revenue fund, a redemption fund or a reimbursement
2 fund) established by the corporation in connection with its bonds or
3 ancillary bond facilities from which amounts are required to be, or
4 available to be, applied in satisfaction of financial obligations or
5 financial rights of the corporation under such bonds or ancillary bond
6 facilities.
7 21. "Corporation credit support". The sum of the respective amounts
8 (or percentages) of required or permissive funding by the corporation of
9 each reserve and financial support fund established by the corporation
10 for its bonds and, to the extent not otherwise provided in respect of
11 the support of bonds, for its ancillary bond facilities for which the
12 agency has determined that the corporation credit support account estab-
13 lished under section twenty-four hundred twenty-nine-b of this part is
14 or will be a source or potential source of funding.
15 22. "Tobacco settlement financing corporation act". The tobacco
16 settlement financing corporation act as set forth in section one of the
17 chapter of the laws of two thousand three which added this subdivision.
18 § 4. The opening paragraph of section 2427 of the public authorities
19 law, as added by chapter 788 of the laws of 1978, is amended and a new
20 subdivision 10 is added to read as follows:
21 The agency shall have the following additional powers only with
22 respect to insuring mortgage loans and providing corporation credit
23 support:
24 10. To provide corporation credit support.
25 § 5. The public authorities law is amended by adding a new section
26 2428-a to read as follows:
27 § 2428-a. Corporation credit support account as source of corporation
28 credit support. (a) The agency is authorized, subject to the provisions
29 of this article, to provide the corporation credit support account as a
30 source or potential source of payment of corporation credit support.
31 The agency may provide the corporation credit support account as a
32 source or potential source of payment of all or any corporation credit
33 support upon the terms and under the conditions it shall set forth in
34 the applicable contracts between the agency and such other parties
35 (including the corporation) as the agency shall deem appropriate with
36 respect to the applicable reserve and financial support funds which are
37 to receive the benefit of such corporation credit support.
38 (b) For purposes of determining the mortgage insurance fund require-
39 ment with respect to the corporation credit support account, the board
40 of directors of the agency, by a vote of a majority of all of its
41 members, shall approve or authorize the applicable contracts which shall
42 establish the amount of the required or permitted deposit in each
43 reserve and financial support fund (which may be determined by reference
44 to percentages of such required or permitted amounts) for which the
45 corporation credit support account is or will be a source or potential
46 source of corporation credit support. Such amounts (or percentages) may
47 be different for each reserve and financial support fund.
48 § 6. Section 2429-a of the public authorities law, as amended by chap-
49 ter 782 of the laws of 1992, is amended to read as follows:
50 § 2429-a. Payment of insurance and corporation credit support. (a)
51 The agency shall establish procedures to be followed by a mortgagee in
52 the event of a default under the terms of any mortgage insured by the
53 agency. The agency may require that prior to submitting a claim to the
54 agency for payment of insurance the mortgagee shall take such actions
55 with respect to the property securing the defaulted mortgage as may be
56 specified by the agency to be satisfactory evidence of a continuing
S. 1406 171 A. 2106
1 default, including but not limited to the following: (i) becoming
2 lawfully the mortgagee in possession thereof; (ii) causing a receiver to
3 be appointed of such property; (iii) obtaining voluntary conveyance of
4 the mortgagor's right and title to such property; or (iv) obtaining by
5 foreclosure clear and unencumbered title to such property, all in such
6 manner as the agency may require. Following submission of a valid claim
7 the agency shall pay an amount which shall not exceed the lesser of (1)
8 the then outstanding insured principal amount of the mortgage multiplied
9 by the per centum of such outstanding amount insured by the agency and a
10 per centum of the mortgagee's cost arising from the default, inclusive
11 of public liens and delinquent and unpaid interest, all as the agency
12 may from time to time allow, which per centum shall not exceed the per
13 centum of the outstanding principal indebtedness insured by the agency
14 or (2) the insured amount of the mortgage at the date of execution of
15 the insurance contract or its latest amendment, if any, except that the
16 agency shall pay the greater of the two amounts on claims by a public
17 employee pension fund, or by a public benefit corporation derived from
18 the sale of notes or bonds issued by said corporation, provided that no
19 more than the actual loss suffered by such public employee pension fund
20 or public benefit corporation shall be paid. Such payment may be made by
21 the agency in a lump sum, or in partial payments made within such period
22 of time as may be agreed to between the agency and the mortgagee, all in
23 accordance with procedures to be established by the agency.
24 (b) The agency shall establish, by contract or otherwise, procedures
25 to be followed with respect to corporation credit support for which the
26 corporation credit support account has been determined by the agency to
27 be a source or potential source of payment.
28 § 7. Section 2429-b of the public authorities law, as added by chapter
29 788 of the laws of 1978, subdivisions 1 and 1-a as amended by chapter
30 291 of the laws of 1994, subdivision 2 as amended by chapter 112 of the
31 laws of 2000 and subdivision 4 as amended by chapter 414 of the laws of
32 1988, is amended to read as follows:
33 § 2429-b. Mortgage insurance fund. 1. (a) The agency shall create and
34 establish a mortgage insurance fund. Within such fund, the agency shall
35 establish: (i) a special account, which shall be divided into sub-ac-
36 counts for each region as defined in subdivision nine of section twen-
37 ty-four hundred twenty-six of this title; (ii) a single family pool
38 insurance account; [and] (iii) a project pool insurance account; and
39 (iv) a corporation credit support account. The single family pool insur-
40 ance account shall be used for all business relating to the insurance of
41 mortgages on properties with one to four dwelling units [and], the
42 project pool insurance account shall be used for all business relating
43 to the insurance of mortgages on properties other than those with one to
44 four dwelling units, and the corporation credit support account shall be
45 used for all business relating to corporation credit support. Separate
46 sub-accounts may be established within the special account [and], the
47 pool insurance accounts, and the corporation credit support account as
48 deemed appropriate by the agency.
49 (b) (i) The mortgage insurance fund shall be used as a revolving fund
50 for carrying out the provisions of this title with respect to mortgages
51 insured and corporation credit support, provided thereunder. (ii) The
52 agency shall pay into such fund all moneys which may be made available
53 to the agency for the purposes of such fund from any source, including
54 but not limited to the moneys received from recording officers pursuant
55 to the provisions of subdivision two of section two hundred sixty-one of
56 the tax law. The agency shall credit the amount of moneys received from
S. 1406 172 A. 2106
1 the recording officer of each county, pursuant to subdivision two of
2 section two hundred sixty-one of the tax law, to the special account. In
3 any fiscal year, no more than fifty per centum of the amount received
4 from the recording officers during the consecutive twelve month period
5 ending on the preceding March thirty-first may be used by the agency for
6 the purpose of insuring mortgages on property located in any one region
7 pursuant to section two thousand four hundred twenty-eight of this
8 [chapter] part, provided, however, that this provision shall not include
9 or be applied to pool insurance of mortgage loans purchased by the agen-
10 cy. The agency shall credit any other moneys which may be made available
11 to the agency for the purposes of such fund from any other source to the
12 special account, the single family pool insurance account [or], the
13 project pool insurance account, or the corporation credit support
14 account, as appropriate. Any income or interest earned by, or increment
15 to, the mortgage insurance fund due to the investment thereof shall be
16 credited to the special account [or], the applicable pool insurance
17 account, or the corporation credit support account, as appropriate.
18 (c) The agency may credit from the special account to the single fami-
19 ly pool insurance account [and], to the project pool insurance account,
20 and to the corporation credit support account such moneys as are
21 required to satisfy the mortgage insurance [reserve] fund requirement of
22 such accounts.
23 (d) Moneys, investments and cash equivalents of the special account,
24 the single family pool insurance account [and], the project pool insur-
25 ance account, and the corporation credit support account shall be kept
26 separate and shall not be commingled with each other or with any other
27 accounts which may be established from time to time, except as otherwise
28 authorized by this section.
29 (e) Moneys, investments and cash equivalents of the pool insurance
30 accounts and the corporation credit support account shall be excluded
31 from the excess balance calculation set forth in subdivision two of this
32 section. However, if at any time the moneys, investments and cash equiv-
33 alents (valued as determined by the agency) of either pool insurance
34 account or the corporation credit support account exceed the amount
35 necessary to attain and maintain the credit rating or, with respect to
36 corporation credit support, credit worthiness (as determined by the
37 agency) required to accomplish the purposes of such account the agency
38 shall transfer such excess to the special account and such excess shall
39 be included in the excess balance calculation.
40 1-a. All moneys held in the mortgage insurance fund, except as herein-
41 after provided, shall be used, as required, solely for the payment of
42 the agency's liabilities arising from mortgages insured as provided in
43 section twenty-four hundred twenty-nine-a of this [chapter] part and
44 from the provision of corporation credit support as provided in section
45 twenty-four hundred twenty-eight-a of this part; provided, however, that
46 no moneys shall be withdrawn from such fund at any time in such amount
47 as would reduce the amount of the special account [or], either pool
48 insurance account or the corporation credit support account to less than
49 the mortgage insurance fund requirement, except for the purpose of
50 paying such liabilities as the same become due and for the payment of
51 which other moneys of the agency are not available. All payments [of
52 insurance] pursuant to section twenty-four hundred twenty-nine-a of this
53 [chapter] part, and expenses attributable thereto shall be debited to
54 the special account or the single family pool insurance account or the
55 project pool insurance account or the corporation credit support
56 account, as appropriate, within the mortgage insurance fund. All other
S. 1406 173 A. 2106
1 operating expenses of the agency with respect to insurance of mortgages
2 and providing corporation credit support shall be debited to the special
3 account, the single family pool insurance account [or], the project pool
4 insurance account or the corporation credit support account within the
5 mortgage insurance fund, as appropriate.
6 2. On or before March twentieth in each year, the board of directors
7 of the agency shall determine the amount estimated to be received by the
8 agency from the additional tax imposed pursuant to subdivision one-a of
9 section two hundred fifty-three of the tax law and deposited in the
10 mortgage insurance fund and credited to the special account plus any
11 other monies deposited in such account plus the amount of reserves
12 available in such special account with respect to mortgage loans that
13 were previously insured in accordance with section twenty-four hundred
14 twenty-eight or corporation credit support previously provided pursuant
15 to section twenty-four hundred twenty-eight-a of this [title] part under
16 contracts or commitments that have been satisfied or cancelled, pursuant
17 to subdivision one of this section, except charges and fees levied by
18 the agency [in connection with applications for mortgage insurance]
19 pursuant to subdivision two of section twenty-four hundred twenty-nine-c
20 of this [title] part, which shall be added in the computation only when
21 such a commitment [to insure] is cancelled or expires or when the insur-
22 ance or contractual arrangement to provide corporation credit support
23 applied for is declared effective. Such determination made on or before
24 March twentieth in each year shall be made for the consecutive twelve-
25 month period ending on the subsequent March thirty-first. The board
26 shall then determine the estimated excess balance, if any, in such
27 special account by determining the amount by which such credits exceed
28 twenty per centum, or such other per [centum] centums or amounts as may
29 have been established by the board of directors of the agency pursuant
30 to subdivision seven of section twenty-four hundred twenty-eight or
31 section twenty-four hundred twenty-eight-a of this [title] part, of the
32 amounts insured or corporation credit support provided or committed to
33 be insured or provided during such twelve-month period plus any payments
34 by the agency during such twelve-month period on account of a mortgage
35 or corporation credit support contract entered into during such twelve-
36 month period ending on such March thirty-first, plus the operating
37 expenses of the agency during such twelve-month period with respect to
38 insurance of mortgages or provision of corporation credit support, which
39 amount may not exceed an amount determined and certified by the director
40 of the budget, with notification to the chairman of the senate finance
41 committee and chairman of the assembly ways and means committee. On or
42 before May fifteenth, the board shall determine any adjustment to the
43 estimated excess balance necessary to reflect the variance, if any,
44 between such estimated excess balance and the actual excess balance
45 computed as of March thirty-first, and shall certify such adjustment to
46 the director of the budget. The agency shall include such adjustment in
47 the estimated excess balance determination for the following fiscal
48 year, unless otherwise instructed by the director of the budget. The
49 agency shall submit to the director of the budget an estimate of such
50 operating expenses on or before the tenth business day in March of each
51 year and the director of the budget shall make such certification before
52 March twentieth of each year.
53 Upon making the determination of the estimated excess balance, the
54 agency shall certify such determination to the director of the budget,
55 the chairmen of the senate finance committee and the assembly ways and
56 means committee, and the comptroller. Payment of such actual or esti-
S. 1406 174 A. 2106
1 mated excess balance shall be made within ninety days after March twen-
2 tieth. The agency shall, at the direction of the director of the budget,
3 pay such estimated or actual excess balance, if any, from the special
4 account to the comptroller for deposit to the state general fund;
5 provided, however, that if the aggregate amount in the special account
6 as of such date is less than the mortgage insurance fund requirement,
7 the agency shall retain all or that portion of any such estimated or
8 actual excess balance in such special account necessary to increase the
9 aggregate amount in such special account to the mortgage insurance fund
10 requirement. The director of the budget shall notify the chairmen of the
11 senate finance committee and the assembly ways and means committee ten
12 days prior to the issuance of the directive in respect to the payment of
13 the estimated or actual excess balance to the general fund.
14 Further provided, however, that the budget to be submitted to the
15 legislature by the governor pursuant to article seven of the constitu-
16 tion shall separately state the amount of such estimated or actual
17 excess balance determined as hereinabove prescribed, if any, which shall
18 be included in the monies and revenues estimated to be available during
19 the current and ensuing fiscal years, respectively.
20 3. The moneys in such fund shall be deposited in one or more banks or
21 trust companies designated in the manner provided by law, as deposito-
22 ries of the funds of the state. The agency may invest the moneys in such
23 fund in obligations specified in subdivision four of this section. Any
24 interest earned or capital gain realized on the money so deposited or
25 invested shall accrue to and become part of such fund. The separate
26 identity of such fund shall be maintained whether its assets consist of
27 cash or investments or both.
28 4. Moneys in such fund may be invested (a) in special time deposit
29 accounts in, or certificates of deposit issued by, a bank, trust compa-
30 ny, savings bank or savings and loan association located and authorized
31 to do business in this state, provided, however, that such time deposit
32 account or certificate of deposit shall be payable within such time as
33 the proceeds may be needed to meet expenditures estimated to be incurred
34 by the agency and provided further that such time deposit account or
35 certificate of deposit be secured by a pledge of obligations of the
36 United States of America or obligations of the state, any city of the
37 state, or other municipal corporation, school district or district
38 corporation of the state or obligations of agencies of the federal
39 government; or (b) in obligations of the United States of America or the
40 state which may from time to time be legally purchased by savings banks
41 within the state as an investment of funds belonging to them or in their
42 control, or in obligations of the Federal National Mortgage Association
43 provided such obligations shall be payable or redeemable at the option
44 of the owner within such times as the proceeds may be needed to meet
45 expenditures estimated to be incurred by the agency.
46 5. In computing the amount of the mortgage insurance fund for the
47 purposes of this section, securities in which all or a portion of such
48 fund shall be invested shall be valued at par if purchased at par, or if
49 purchased at other than par, at amortized value. Amortized value, when
50 used with respect to securities purchased at a premium above or a
51 discount below par, shall mean the value as of any given date obtained
52 by dividing the total premiums or discount at which such securities were
53 purchased by the number of interest payments remaining to maturity on
54 such securities after such purchase and by multiplying the amount so
55 calculated by the number of interest payment dates having passed since
56 the date of such purchase; and
S. 1406 175 A. 2106
1 (i) in the case of securities purchased at a premium by deducting the
2 product thus obtained from the purchase price, and
3 (ii) in the case of securities purchased at a discount by adding the
4 product thus obtained to the purchase price.
5 6. The agency may create and establish such other fund or funds as may
6 be necessary or desirable for the carrying out of its corporate
7 purposes.
8 § 8. Section 2429-c of the public authorities law is amended by adding
9 a new subdivision 5 to read as follows:
10 5. The agency may, in its discretion, fix a premium charge for its
11 provision of corporation credit support pursuant to this article.
12 § 9. Section 19 of chapter 555 of the laws of 1989 amending the public
13 authorities law and other laws relating to establishing a new New York
14 state infrastructure trust fund, as amended by chapter 110 of the laws
15 of 2001, is amended to read as follows:
16 § 19. This act shall take effect immediately and shall be deemed to
17 have been in full force and effect on and after June 15, 1989 provided
18 that the amendments to law effected by sections six and nine through
19 seventeen of this act, as amended, shall cease to be of force and effect
20 on and after July 16, 2003, on which date the provisions of the public
21 authorities law amended by such sections shall be as they were in force
22 and effect immediately prior to this act taking effect, and provided
23 however that the amendments to law effected by sections six and nine
24 through seventeen of this act, as amended, shall continue to apply to
25 all commitments issued or policies or corporation credit support in
26 force on or before July 16, 2003, and provided further that the amend-
27 ments to the law effected by section sixteen of this act shall not cease
28 to be of force and effect prior to the time that full payment of all
29 corporation credit support obligations has been made or provided for.
30 § 10. Section 2410 of the public authorities law, as amended by chap-
31 ter 788 of the laws of 1978, is amended to read as follows:
32 § 2410. State and municipalities not liable on bonds, notes or insur-
33 ance commitments or contracts or corporation credit support. The bonds,
34 notes, insurance commitments or contracts or corporation credit support
35 and other obligations of the agency shall not be a debt of the state of
36 New York or of any municipality, and neither the state nor any munici-
37 pality shall be liable thereon, nor shall they be payable out of any
38 funds other than those of the agency.
39 § 11. Section 2411 of the public authorities law, as amended by chap-
40 ter 788 of the laws of 1978, is amended to read as follows:
41 § 2411. Agreement of the state. The state of New York does hereby
42 pledge to and agree with the holders of any bonds or notes or any mort-
43 gage insurance contract and any parties to contracts regarding corpo-
44 ration credit support issued under this title that the state will not
45 limit or alter the rights hereby vested in the agency to fulfill the
46 terms of any agreements made with, respectively, the holders or the
47 parties thereof, or in any way impair the rights and remedies of such
48 holders and such parties until such bonds or notes together with the
49 interest thereon, with interest on any unpaid installments of interest,
50 [or] insurance contracts or corporation credit support and all costs and
51 expenses in connection with any action or proceedings by or on behalf of
52 such holders or such parties, are fully met and discharged. The agency
53 is authorized to include this pledge and agreement of the state in any
54 agreement with the holders of such bonds or notes or insurance contracts
55 or parties to contracts regarding corporation credit support.
S. 1406 176 A. 2106
1 § 12. Severability clause. If any clause, sentence, paragraph, section
2 or part of this act be adjudged by any court of competent jurisdiction
3 to be invalid, such judgment shall not affect, impair or invalidate the
4 remainder hereof but shall be applied in its operation to the clause,
5 sentence, paragraph, section or part hereof directly involved in the
6 controversy in which such judgment shall have been rendered.
7 § 13. This act shall take effect immediately, provided, however, that:
8 a. The comptroller of the state of New York shall notify the legisla-
9 tive bill drafting commission when full payment of all corporation cred-
10 it support obligations has been made or provided for, as enacted by
11 section 19 of chapter 555 of the laws of 1989, as amended by section
12 nine of this act, in order that the commission may maintain an accurate
13 and timely effective data base of the official text of the laws of the
14 state of New York in furtherance of effecting the provisions of section
15 44 of the legislative law and section 70-b of the public officers law.
16 b. The amendments to subdivisions 1 and 1-a of section 2429-b of the
17 public authorities law, made by section seven of this act, shall not
18 affect the expiration and reversion of such subdivisions, as provided
19 for by section 19 of chapter 555 of the laws of 1989, as amended;
20 provided, however, that in the event such subdivisions 1 and 1-a expire
21 and are repealed pursuant to chapter 555 of the laws of 1989, as
22 amended, the amendments made to such subdivisions by section seven of
23 this act shall be deemed to have survived such expiration and repeal.
24 PART EE
25 Section 1. The opening paragraph and clause b of subparagraph (v) and
26 subparagraph (vi) of paragraph (c) of subdivision 4 of section 209 of
27 the civil service law, the opening paragraph and clause b of subpara-
28 graph (v) as amended by chapter 216 of the laws of 1977 and subparagraph
29 (vi) as amended by chapter 205 of the laws of 1997, are amended to read
30 as follows:
31 the public arbitration panel shall make a just and reasonable determi-
32 nation of the matters in dispute. In arriving at such determination, the
33 panel shall consider, above all other factors, the financial ability of
34 the public employer to pay. The public employer's ability to pay shall
35 be defined as existing fiscal capacity without resort to either new or
36 increased taxation including, but not limited to, the level of taxation
37 in the political subdivision compared to similar political subdivisions
38 in other areas of the state, the tax base, any evidence of economic
39 decline and any other applicable measures of fiscal distress, or
40 extraordinary reductions in other governmental expenditures. The arbi-
41 tration panel shall also consider the competing financial obligations of
42 the public employer which may be affected by such determination and
43 specifically the impact of any such determination on ongoing negoti-
44 ations or successor negotiations with employee organizations represent-
45 ing other employees of the public employer. In the case of members of
46 any organized unit of troopers, commissioned or non-commissioned offi-
47 cers of the division of state police, or in regard to investigators,
48 senior investigators and investigator specialists of the division of
49 state police, the arbitration panel shall, in addition to the above,
50 consider above all other factors, the overall fiscal environment of the
51 state and shall give substantial consideration to the state's ability to
52 pay without contributing to a budget deficit in current or future fiscal
53 years. The arbitration panel shall specify its rationale in the determi-
54 nation, including the consideration of such ability of the public
S. 1406 177 A. 2106
1 employer to pay without resort to new or increased taxation. The panel
2 shall specify the basis for its findings, taking into secondary consid-
3 eration, in addition to any other relevant factors, the following:
4 b. the interests and welfare of the public [and the financial ability
5 of the public employer to pay];
6 (vi) the determination of the public arbitration panel shall be final
7 and binding upon the parties for the period prescribed by the panel, but
8 in no event shall such period exceed two years from the termination date
9 of any previous collective bargaining agreement or if there is no previ-
10 ous collective bargaining agreement then for a period not to exceed two
11 years from the date of determination by the panel. Such determination
12 shall not be subject to the approval of any local legislative body or
13 other municipal authority. Notwithstanding [the provisions of this
14 subparagraph to the contrary, where the parties to a public arbitration
15 are those anticipated by the provisions of paragraph (e) of this subdi-
16 vision as established by chapter four hundred thirty-two of the laws of
17 nineteen hundred ninety-five, such parties may agree to confer authority
18 to the public arbitration panel to issue a final and binding determi-
19 nation for a period up to and including four years] the provisions of
20 this subparagraph to the contrary, where the parties to the public arbi-
21 tration are those parties who became subject to this subdivision by
22 virtue of chapter six hundred forty-one of the laws of nineteen hundred
23 ninety-eight, the public arbitration panel shall have the authority to
24 issue a final and binding determination for a period up to and including
25 four years.
26 § 2. Paragraph a of subdivision 5 of section 220 of the labor law, as
27 amended by chapter 447 of the laws of 1983, is amended to read as
28 follows:
29 a. The "prevailing rate of wage," for the intents and purposes of this
30 article, shall be the rate of wage paid in the locality, as hereinafter
31 defined, by [virtue of collective bargaining agreements between bona
32 fide labor organizations and] employers of the private sector, perform-
33 ing public or private work provided that said employers employ at least
34 [thirty] seventy-five per centum of workers, laborers or mechanics in
35 the same trade or occupation in the locality where the work is being
36 performed. The prevailing rate of wage shall be annually determined in
37 accordance herewith by the fiscal officer no later than thirty days
38 prior to July first of each year, and the prevailing rate of wage for
39 the period commencing July first of such year through June thirtieth,
40 inclusive, of the following year shall be the rate of wage set forth [in
41 such collective bargaining agreements] for the period commencing July
42 first through June thirtieth, including those increases for such period
43 which are directly ascertainable [from such collective bargaining agree-
44 ments] by the fiscal officer in his or her annual determination. [In
45 the event that it is determined after a contest, as provided in subdivi-
46 sion six of this section, that less than thirty percent of the workers,
47 laborers or mechanics in a particular trade or occupation in the locali-
48 ty where the work is being performed receive a collectively bargained
49 rate of wage, then the average wage paid to such workers, laborers or
50 mechanics in the same trade or occupation in the locality for the
51 twelve-month period preceding the fiscal officer's annual determination
52 shall be the prevailing rate of wage. Laborers, workers or mechanics for
53 whom a prevailing rate of wage is to be determined shall not be consid-
54 ered in determining such prevailing wage.]
S. 1406 178 A. 2106
1 § 3. Paragraphs c and d of subdivision 5 of section 220 of the labor
2 law, paragraph c as amended and paragraph d as added by chapter 447 of
3 the laws of 1983, are amended to read as follows:
4 c. "Prevailing practices in the locality," for the intents and
5 purposes of this article, shall be the practice of providing supple-
6 ments, as hereinbefore defined, as provided by [virtue of collective
7 bargaining agreements between bona fide labor organizations and] employ-
8 ers of the private sector, performing public or private work provided
9 that said employers employ at least [thirty] seventy-five per centum of
10 workers, laborers or mechanics in the same trade or occupation in the
11 locality, as determined by the fiscal officer in accordance with the
12 provisions herein.
13 With respect to each supplement determined to be one of the prevailing
14 practices in the locality, the amount of such supplement shall be deter-
15 mined in the same manner and at the same times as the prevailing rate of
16 wage is determined pursuant to this section.
17 d. "Locality" means [such areas of the state described and defined for
18 a trade or occupation in the current collective bargaining agreements
19 between bona fide labor organizations and employers of the private
20 sector, performing public and private work] the geographic limit of the
21 public entity in which the public work is to be performed by a private
22 sector employer performing public and private work. In the event there
23 is a single employer of such workers, laborers or mechanics or no such
24 workers, laborers, or mechanics in the same trade or occupation in the
25 locality where the public work is to be performed, the locality shall be
26 the nearest civil division that has more than one such employer.
27 § 4. Subdivision 6 of section 220 of the labor law, as amended by
28 chapter 230 of the laws of 1984, is amended to read as follows:
29 6. The fiscal officer, may, and on the written request of any inter-
30 ested person shall, require any person or corporation performing such
31 public work to file with such fiscal officer schedules of the supple-
32 ments to be provided and wages to be paid to such laborers, [workmen]
33 workers or mechanics. Any such person or corporation shall, within ten
34 days after the receipt of written notice of such requirement, file with
35 the fiscal officer such schedules of wages and supplements. An employer
36 may contest a determination by the fiscal officer under paragraphs a and
37 c of subdivision five of this section. The employer must allege and
38 prove by competent evidence, that the actual percentage of workers,
39 laborers or mechanics is below the required [thirty] seventy-five per
40 centum and during the pendency of any such contest and until final
41 determination thereof, the work in question shall proceed under the rate
42 established by the fiscal officer.
43 § 5. Subdivision c of section 119-n of the general municipal law, as
44 amended by chapter 331 of the laws of 1970, is amended to read as
45 follows:
46 c. The term "joint service" means joint provision of any municipal
47 facility, service, activity, project or undertaking or the joint
48 performance or exercise of any function or power which each of the
49 municipal corporations or districts has the power by any other general
50 or special law to provide, perform or exercise, separately and, to
51 effectuate the purposes of this article, shall include extension of
52 appropriate territorial jurisdiction necessary therefor. For purposes
53 of this article, each municipal corporation shall be deemed to have the
54 power to provide, perform or exercise a joint service which is the
55 subject of an agreement entered into pursuant to section one hundred
56 nineteen-o of this article, upon entering such agreement and for the
S. 1406 179 A. 2106
1 term of such agreement, where one or more municipal corporations which
2 are parties to the agreement have such power by any other general or
3 special law.
4 § 6. Subdivision 1 of section 119-o of the general municipal law, as
5 amended by chapter 623 of the laws of 1998, is amended to read as
6 follows:
7 1. In addition to any other general or special powers vested in munic-
8 ipal corporations and districts for the performance of their respective
9 functions, powers or duties on an individual, cooperative, joint or
10 contract basis, municipal corporations and districts shall have power to
11 enter into, amend, cancel and terminate agreements for the performance
12 among themselves or one for the other of their respective functions,
13 powers and duties on a cooperative or contract basis or for the
14 provision of a joint service or a joint water, sewage or drainage
15 project. Notwithstanding the foregoing grant of authority, the tempo-
16 rary investment of moneys by more than one municipal corporation or
17 district pursuant to a municipal cooperation agreement which meets the
18 definition of "cooperative investment agreement" as set forth in article
19 three-A of this chapter shall be in compliance with all of the require-
20 ments of that article. Any agreement entered into hereunder shall be
21 approved by each participating municipal corporation or district by a
22 majority vote of the voting strength of its governing body. Where
23 the authority of any municipal corporation or district to perform by
24 itself any function, power and duty or to provide by itself any facili-
25 ty, service, activity, project or undertaking or the financing thereof
26 is, by any other general or special law, subject to a public hearing,
27 a mandatory or permissive referendum, consents of governmental agen-
28 cies, or other requirements applicable to the making of contracts,
29 or where its authority to undertake such joint service or function is
30 accorded upon entering the agreement and at least one other party to
31 such agreement is subject to one or more such requirements, then its
32 right to participate in an agreement hereunder shall be similarly
33 conditioned.
34 § 7. Section 3 of the public officers law is amended by adding a new
35 subdivision 2-d to read as follows:
36 2-d. Neither the provisions of this section, nor of any general,
37 special or local law, charter, code, ordinance, resolution, rule or
38 regulation, requiring a person to be a resident of the political subdi-
39 vision or municipal corporation of the state for which he or she shall
40 be chosen or within which his or her official functions are required to
41 be exercised, shall apply to the appointment or assignment of any offi-
42 cer to carry out any lawful function or duty related to the carrying out
43 of an inter-municipal agreement adopted pursuant to article five-G of
44 the general municipal law. Nothing in this subdivision shall invalidate
45 any prior inter-municipal agreement pursuant to article five-G of the
46 general municipal law or any official acts conducted pursuant thereto.
47 § 8. The general municipal law is amended by adding a new article 12-I
48 to read as follows:
49 ARTICLE 12-I
50 INTERMUNICIPAL AGREEMENTS TO SHARE REAL PROPERTY TAX REVENUES
51 Section 239-bb. Intermunicipal agreements to share real property tax
52 revenues.
53 § 239-bb. Intermunicipal agreements to share real property tax reven-
54 ues. 1. Legislative findings and intent. The legislature finds that
55 local governments in New York are increasingly looking for new ways to
S. 1406 180 A. 2106
1 provide necessary services and foster prosperity within their communi-
2 ties. To this end, they have long been provided under law with broad
3 authority to act together for their mutual benefit by forming intermu-
4 nicipal agreements. Such agreements have provided the means for many
5 local governments to provide cost effective services across a broader
6 service area. Additionally, intermunicipal agreements have provided
7 many local governments with the mechanism to formulate local and
8 regional goals for the provision of services and advancing economic
9 development. The legislature recognizes that intermunicipal agreements
10 can be an equally effective tool for achieving such goals by establish-
11 ing a method for distributing real property tax increments which have
12 been determined to mutually benefit agreement participants. It is there-
13 fore within the public interest to authorize local governments to enter
14 into intermunicipal agreements for the purpose of sharing real property
15 tax revenues which derive from projects, services or development deemed
16 by such participating local governments to be mutually beneficial.
17 2. Intermunicipal agreements. Cities, towns and villages are hereby
18 authorized to enter into agreements with each other to delineate and
19 establish geographic areas, which may include all or a portion of each
20 municipality, within which any subsequent tax increment may be appor-
21 tioned among the municipalities in such manner as such intermunicipal
22 agreement shall provide.
23 3. Intermunicipal agreements content. Such intermunicipal agreements
24 shall (a) make a finding that the agreement will provide a public bene-
25 fit to each participant by advancing mutual or regional goals; (b)
26 establish a process for identifying and determining the affected proper-
27 ties or boundaries of the tax increment area; (c) identify the types of
28 taxes to be shared; (d) specify the percentage of tax revenues that each
29 municipality shall receive or otherwise establish a formula or other
30 means for determining such amount; (e) specify the duration or expira-
31 tion of the agreement; and (f) include any other matter necessary or
32 desirable to carry out the agreement.
33 4. The tax increment shall be determined for this purpose as follows:
34 (a) For each parcel within the delineated area, the assessor shall
35 separately state on the assessment roll, in a manner prescribed by the
36 state board of real property services, any increase in taxable assessed
37 value of that parcel which is attributable to the construction, alter-
38 ation, installation or improvement of real property occurring since the
39 effective date of the intermunicipal agreement.
40 (b) Each participating municipality which contains some or all of the
41 parcels in the delineated area shall determine its tax rates without
42 regard to any of the increases in taxable assessed value identified
43 pursuant to paragraph (a) of this subdivision.
44 (c) The tax rates so determined shall be applied to the entire taxable
45 assessed value of each parcel within the delineated area, including any
46 increase in taxable assessed value identified pursuant to subdivision
47 (a) of this subdivision, and the taxes so imposed shall be collected and
48 enforced in the usual manner, except that the taxes resulting from the
49 application of such tax rates to any such increases in taxable assessed
50 value shall be segregated upon collection and distributed as provided in
51 the intermunicipal agreement.
52 5. In all respects not inconsistent herewith, the provisions of arti-
53 cle five-G of the general municipal law shall apply to such intermunici-
54 pal agreements.
55 § 9. The general municipal law is amended by adding a new article 17-A
56 to read as follows:
S. 1406 181 A. 2106
1 ARTICLE 17-A
2 LOCAL GOVERNMENT MERGERS LAW
3 Section 750. Short title.
4 751. Legislative intent.
5 752. Definitions.
6 753. Plan of merger.
7 754. Ancillary agreements.
8 755. Study committee.
9 756. Public hearing.
10 757. Adoption of plan of merger; election.
11 758. Effect of merger; effective date.
12 759. Elections for officers of the surviving local government.
13 760. Effect on county boundaries; city charters.
14 761. Services continued.
15 762. Effect of merger on certain districts.
16 763. Certain districts partially within a surviving local
17 government.
18 764. Sales and compensating use tax transitional provisions.
19 765. Notification and submission of the plan of merger; agency
20 assistance.
21 § 750. Short title. This article shall be known and may be cited as
22 the "local government mergers law".
23 § 751. Legislative intent. It is the intention of the legislature by
24 the enactment of this article to provide a local government mergers law,
25 pursuant to which adjoining local governments may merge their corporate
26 structures through local initiative. The creation and evolution of local
27 governments in this state has constituted a vital part of the state's
28 political and social historical development. Local governments have
29 provided a strong basis for local pride and identification, yet fiscal
30 and other needs may call for merger of the corporate structures. Proce-
31 dures for merger should allow local initiative and implementation of the
32 merger and should recognize and provide a mechanism for continuing local
33 identification with governmental antecedents. Hamlets, which delineate
34 geographic areas within the new government structure but without sepa-
35 rate governmental powers, will provide this mechanism for retention of
36 local identification with traditional governmental entities. The powers
37 accorded by this article shall be in addition to, and shall not serve to
38 limit, any other powers now or hereafter conferred on local governments.
39 § 752. Definitions. As used in this article, unless otherwise express-
40 ly stated or unless the context otherwise requires, the following terms
41 shall mean:
42 1. "Local government". A town, village, city or county, except a city
43 with a population over one million.
44 2. "Merger". The procedure pursuant to this article through which two
45 or more local governments merge into a single local government which
46 shall be one of the constituent local governments.
47 3. "Constituent local government". A local government that is partic-
48 ipating in the merger with one or more other local governments.
49 4. "Surviving local government". The constituent local government into
50 which one or more other constituent local governments are merged. Where
51 one or more constituent local governments is a county, the survivor
52 shall be a county.
53 5. "Governing board". The legislative body of a constituent local
54 government.
55 6. "Adjoining". Two local governments having a common boundary line,
56 however small, shall be deemed to adjoin. More than two local govern-
S. 1406 182 A. 2106
1 ments shall be deemed to adjoin if each of them has a common boundary
2 line with any of the others. Local governments shall be deemed to adjoin
3 where a common boundary line lies along or within a public highway or a
4 body of water. Where a local government is wholly included within the
5 boundaries of another local government, such governments shall be deemed
6 to adjoin.
7 7. "Hamlet". A geographic designation within the surviving local
8 government which may identify a constituent local government's former
9 boundaries for purposes of local place name identification.
10 8. "Board of supervisors". A county board of supervisors as provided
11 in section one hundred fifty of the county law.
12 § 753. Plan of merger. The governing body of each local government
13 proposing to participate in a merger pursuant to this article shall
14 adopt a plan of merger, setting forth:
15 1. The name of each constituent local government, the name of the
16 surviving local government and, where the name of the surviving local
17 government is to be changed, the new name of the surviving local govern-
18 ment.
19 2. The class of government of the surviving local government, and
20 details of the governmental structure to be implemented for the surviv-
21 ing local government.
22 3. A plan for the disposition of property of the constituent local
23 governments.
24 4. A plan for the payment of outstanding obligations and the levy and
25 collection of the necessary taxes and assessments therefor.
26 5. A plan for the apportionment of responsibility and allocation of
27 costs in the event of unanticipated liability incurred prior to the
28 merger.
29 6. The effective date of the merger, including a description of
30 circumstances pursuant to which merger will not take place.
31 7. Where the surviving local government will be a city which is situ-
32 ated in a county governed by a board of supervisors, the method of
33 initial election of supervisors upon approval of the proposition of
34 merger. The number of supervisors to be so elected shall equal the total
35 number of supervisors for the constituent local governments prior to
36 merger.
37 8. The names and geographic areas designated as hamlets of the surviv-
38 ing local government, if any.
39 9. A summary of any ancillary agreements entered into by the constitu-
40 ent local governments prior to or which will be entered into upon
41 adoption of the proposed plan of merger.
42 10. Any other matter necessary or desirable to carry out the proposed
43 merger.
44 § 754. Ancillary agreements. The governing bodies of the constituent
45 local governments may adopt such ancillary agreements necessary or
46 desirable to effect the merger pursuant to the proposed plan of merger.
47 Ancillary agreements may address any matter relating to the merger
48 including but not limited to the continuance of government, interim
49 officers, continuance of services upon merger of the constituent local
50 governments, a description of circumstances upon which merger shall not
51 take place, and any matter relating to transition of government prior to
52 or upon the effective date of merger. The governing bodies of constitu-
53 ent local governments proposing to enter into such agreements shall hold
54 a joint public hearing thereon prior to adoption in the manner provided
55 by section seven hundred fifty-six of this article and may be held in
56 conjunction with a public hearing on a plan of merger.
S. 1406 183 A. 2106
1 § 755. Study committee. The governing boards of adjoining local
2 governments may appoint a joint study committee on merger. The committee
3 shall be composed of at least one appointee from each adjoining local
4 government. Such committee shall organize and form such subcommittees as
5 it deems necessary or desirable. It shall make a report or reports to
6 the governing boards which created it. The report or reports shall
7 consider and make recommendations, where desirable, regarding any
8 subject addressed in a plan of merger, ancillary agreements, and any
9 other related matter it deems necessary or desirable to address.
10 § 756. Public hearing. Prior to adoption of the plan of merger the
11 governing boards of the constituent local governments shall conduct a
12 joint public hearing on the proposed plan of merger upon at least ten
13 and not more than twenty days notice. Such governing board shall cause
14 notice of such public hearing to be published once in their official
15 newspapers, or, if there is no official newspaper, in a newspaper having
16 general circulation in the area of such local governments. The proposed
17 plan of merger and any ancillary agreements shall be available for
18 public inspection at each constituent local government offices and
19 copies thereof may be made available without charge or at a charge
20 consistent with section eighty-seven of the public officers law.
21 § 757. Adoption of plan of merger; election. 1. Upon adoption of the
22 plan of merger by each governing board of the constituent local govern-
23 ments, a proposition for merger containing such plan shall be submitted
24 to the qualified electors of each constituent local government, at the
25 next succeeding general election held after the last date of adoption of
26 the plan of merger by a constituent local government.
27 2. The adopted plan of merger, or an abstract thereof, shall be
28 published in the same manner as notice of the public hearing required by
29 this article within twenty days of adoption by the constituent local
30 governments.
31 3. The proposition to be voted upon shall state: "Shall the
32 _______________________ (names of constituent local governments) be
33 merged to become the _______________________ (name of surviving local
34 government) pursuant to the adopted plan of merger?" The proposition
35 shall also contain an abstract of such plan concisely stating the
36 purpose and effect thereof. Such proposition shall be submitted to and
37 approved by the local governing body of each constituent local govern-
38 ment prior to its submission to the qualified electors pursuant to this
39 article.
40 4. If such proposition is approved by a majority of the qualified
41 electors of each constituent local government voting thereon, a certif-
42 icate of such election shall be filed with the secretary of state, with
43 the clerks of each constituent local government and with the clerks of
44 each county in which any part of the constituent local governments is
45 situated.
46 § 758. Effect of merger; effective date. 1. Upon the effective date,
47 the constituent local government shall merge into the surviving local
48 government. Such survivor shall possess all powers accorded by law as to
49 the areas of constituent local governments.
50 2. Unless the plan or ancillary agreements shall provide otherwise,
51 the outstanding debts and obligations of the constituent local govern-
52 ments shall be assumed by the surviving local government and be a charge
53 upon the taxable property within the limits of the surviving local
54 government and collected in the same manner as surviving local govern-
55 ment taxes. The surviving local government shall be responsible for
56 satisfaction of any outstanding obligations between any constituent
S. 1406 184 A. 2106
1 local government and the state of New York. The governing board of the
2 surviving local government merged shall have all powers with respect to
3 such debts and obligations as the governing boards of the constituent
4 local governments. All indebtedness incurred on behalf of special or
5 improvement districts shall remain as if such local governments had not
6 merged, including the power to issue bonds to redeem bond anticipation
7 notes issued by the constituent local governments.
8 3. Unless the plan shall provide otherwise, all local laws, ordi-
9 nances, rules or regulations of the constituent local governments in
10 effect on the date of the merger, including but not limited to zoning
11 ordinances or local laws, shall remain in effect for a period of two
12 years following merger as if they had been duly adopted by the surviving
13 local government and shall be enforced by the surviving local government
14 within the limits of the surviving local government except that the
15 surviving local government shall have the power at any time to amend or
16 repeal such local laws, ordinances, rules or regulations in the manner
17 as other local laws, ordinances, rules or regulations of the surviving
18 local government.
19 4. Upon merger, all records, books and papers of the constituent local
20 governments shall be deposited with the clerk of the surviving local
21 government and they shall thereupon become records of the surviving
22 local government.
23 5. No action or claim for or against any constituent local government
24 shall be affected by reason of its merger into another local government.
25 6. At least sixty days prior to the effective date of merger, the
26 governing boards of the constituent local governments, with the excep-
27 tion of the surviving local government, shall present the assessment
28 rolls of their respective governments to the legislative body of the
29 county. Such legislative body shall cause each of the assessments ther-
30 eon to be transferred and added to the assessment roll of the surviving
31 local government and all of the assessments so transferred shall upon
32 the effective date of merger, for tax purposes, be part of the taxable
33 property and assessments of the surviving local government.
34 7. Unless the plan of merger provides otherwise, merger shall take
35 effect at the expiration of the thirty-first day of December in the odd
36 numbered year following the year in which such ratification occurred.
37 § 759. Elections for officers of the surviving local government. Where
38 a proposition for merger is approved by the electors pursuant to this
39 article, unless the plan of merger provides otherwise, elections for
40 officers of the surviving local government shall be held on the Tuesday
41 succeeding the first Monday in November in the odd numbered year follow-
42 ing the year in which such approval occurred. In the event such surviv-
43 ing local government is a city situated in whole or in part within a
44 county governed by a board of supervisors, such officers shall include
45 supervisors as provided for in the plan of merger approved by the elec-
46 tors. Such officers shall take office upon the effective date of the
47 merger.
48 § 760. Effect on county boundaries; city charters. 1. Except where two
49 or more constituent local governments are counties, merger of local
50 governments pursuant to this article shall not affect any existing coun-
51 ty boundaries.
52 2. In the event the surviving local government is a city or a charter
53 county, such charter shall be amended as necessary or desirable to
54 reflect the merger. In any event, upon the effective date of such merg-
55 er, the city or county shall possess all powers accorded by such charter
S. 1406 185 A. 2106
1 as to the areas of the constituent local governments, pending charter
2 amendment.
3 § 761. Services continued. 1. Unless the plan provides otherwise or
4 unless limited by operation of law, such surviving local government
5 shall continue to perform and to render to and in each constituent local
6 government area all those functions and services performed and rendered
7 by such constituent local government therein and therefor on the date of
8 adoption of the plan of merger.
9 2. Unless the plan of merger provides otherwise, any town improvement
10 district and any fire district, fire protection district or fire alarm
11 district partially located in a constituent local government which upon
12 the merger would by operation of law or could pursuant to law, cease to
13 exist in such surviving local government shall, from the date of such
14 merger until the first day of June following the first day of January
15 next succeeding such date of merger, continue to perform and to render
16 to and in such constituent local government area all those functions and
17 services rendered by it therein and therefor on the date of the adoption
18 of the plan of merger.
19 3. The cost and expense of so performing and so rendering functions
20 and services continued pursuant to this section shall be budgeted,
21 levied upon, assessed against and collected from the area served as if
22 no merger had taken place.
23 § 762. Effect of merger on certain districts. 1. If on the date of
24 merger the surviving local government wholly includes the territory of a
25 fire district, fire protection district, fire alarm district, or a town
26 special improvement district, and the surviving local government is a
27 village or city, such district shall cease to exist at the end of the
28 fiscal year of such district next following the first day of June
29 following the first day of January next succeeding the date of merger.
30 Except as otherwise provided in this section, the powers and duties of
31 the governing body of the district and of all the officers of the
32 district in connection therewith shall then cease, and any board of
33 commissioners, any office of commissioner and any other office of any
34 such district shall also cease to exist at such time.
35 2. a. The obligations and the contracts of a district which shall so
36 cease to exist and the obligations and contracts of a town for the bene-
37 fit of or chargeable to such a district shall not be impaired by this
38 section.
39 b. Notwithstanding the dissolution of a district pursuant to this
40 section:
41 (i) an amount shall be levied by the surviving local government and
42 collected annually from the district sufficient to pay in regular course
43 the principal of and interest on all bonds or obligations issued pursu-
44 ant to the local finance law, section one hundred nine-b of this chapter
45 or otherwise by or on behalf of such district which are outstanding and
46 unpaid as of the date of the dissolution of the district. Such annual
47 levy and collection shall continue until all such outstanding bonds and
48 obligations are paid in full;
49 (ii) all levies, assessments, fees, rates or other charges of the
50 district unpaid as of the date of dissolution and all penalties and
51 interest thereon shall be collected;
52 (iii) all moneys collected under subparagraph (ii) of this paragraph
53 which would be available for district purposes if the district were not
54 dissolved shall be applied to the payment of all obligations of the
55 district, other than those described in subparagraph (i) of this para-
56 graph, which are due and payable at the time of the dissolution of the
S. 1406 186 A. 2106
1 district. All such moneys so collected and not required for such purpose
2 shall be paid over to the fiscal officer of the surviving local govern-
3 ment;
4 (iv) the levies, collections and payments described in subparagraphs
5 (i), (ii) and (iii) of this paragraph shall be made in the same manner
6 as if the district had not been dissolved, except that for the purposes
7 of this paragraph:
8 (A) if a fire district is dissolved, the legislative board of the
9 surviving local government shall constitute the board of fire commis-
10 sioners of the former fire district; and
11 (B) if a district other than a fire district is dissolved, the powers
12 of the governing body of the district shall be exercised and performed
13 by the legislative body of the surviving local government; and
14 (v) in lieu of the requirements set forth in subparagraph (i) of this
15 paragraph, the legislative body of the surviving local government by
16 resolution subject to permissive referendum, may provide that the
17 surviving local government shall assume responsibility for the levy and
18 collection, as a general charge, of all amounts required to pay the
19 bonds or obligations therein described. In such event the surviving
20 local government shall annually pay an amount sufficient to pay the
21 principal and interest on such bonds or obligations as same become due
22 and payable in regular course. Payment shall be made directly to the
23 holder of such bonds or obligations. Nothing contained in this section
24 shall prevent the surviving local government from prepaying or redeeming
25 such bonds or obligations in whole or in part provided the bonds or
26 obligations permit such part payment or redemption.
27 c. All contracts of or on behalf of and chargeable to a district which
28 ceases to exist pursuant to this article, including all amounts unpaid
29 under such contracts but excluding all amounts unpaid thereunder which
30 were due and payable at the time of dissolution of such district, other
31 than obligations incurred pursuant to the local finance law and, or,
32 section one hundred nine-b of this chapter shall, to the extent they are
33 the responsibility of or beneficial to such a district, be assumed by
34 the surviving local government and all expenditures under such contracts
35 shall be charged as provided in this subdivision. The terms and condi-
36 tions and all rights of or on behalf of the district, including any
37 right of amendment or rescission of such contract, shall inure to the
38 benefit of the surviving local government.
39 3. Upon a district ceasing to exist hereunder, all property of the
40 district shall automatically become the property of the surviving local
41 government and, in connection therewith, the governing body and any
42 other officer or person empowered to transfer title to or having the
43 custody or control of any moneys of such district, any moneys in a
44 reserve fund, any real or personal property of such district or used or
45 applied for the purposes of such district, any policies of insurance for
46 the benefit of such district, any documents, instruments and other muni-
47 ment of title to district property and of any official books, records
48 and other data relating to the operation and management of such district
49 shall prepare or cause to be prepared an inventory of all such property,
50 shall certify same, shall deliver same to the clerk of the surviving
51 local government and shall:
52 a. pay over to the fiscal officer of the surviving local government
53 all such moneys except so much thereof as was collected for the purpose
54 of paying principal of and interest on bonds or other obligations issued
55 pursuant to the local finance law, section one hundred nine-b of this
56 chapter or otherwise by or on behalf of the district and further except
S. 1406 187 A. 2106
1 so much of the balance of such moneys as may be required to pay those
2 obligations of the district. The fiscal officer of the surviving local
3 government on receipt of such moneys, shall set same aside and apply
4 them pursuant to law to the purposes of the district which ceases to
5 exist hereunder so long as the surviving local government continues to
6 provide the service or function thereof and thereafter to be applied in
7 reduction of taxes levied against the area of such former district;
8 provided, however, that so long as the surviving local government
9 provides the service or function of the former district any moneys held
10 by or on behalf of a district in a reserve fund subject to the
11 provisions of article two of this chapter or section fifty-five-a of the
12 town law shall be held and administered by the surviving local govern-
13 ment as a reserve fund subject to those provisions of article two of
14 this chapter for the same or similar purpose for which any such fund was
15 established;
16 b. transfer, assign and convey to the surviving local government the
17 title to all such real or personal property;
18 c. assign such policies of insurance and its interest thereunder to
19 the extent permitted therein to the surviving local government;
20 d. surrender and deliver all such insurance policies, books, records
21 and other data to the clerk of the surviving local government. Copies of
22 official books, records and other data relating to the operation and
23 management of such district and certified by the officer responsible for
24 same shall be sufficient to satisfy the requirements of this paragraph.
25 No fees or expenses shall be charged for the making of such copies and
26 same shall be entitled to the same admissibility in evidence in a court
27 proceeding as the originals thereof; and
28 e. surrender and deliver all other such personal property to such
29 officer, employee, board or commission as the legislative board of the
30 surviving local government shall designate. The failure of the governing
31 body or any other officer or person to comply with the requirements of
32 this subdivision shall in no way impair the automatic transfer to the
33 surviving local government of the right, title or interest of the
34 district of, in or to such property.
35 4. Upon a district ceasing to exist pursuant to this article and until
36 such time as the surviving local government may discontinue the service
37 or function of such former district, such service or function shall
38 become a service or function of the surviving local government and shall
39 be continued as, in the discretion of the surviving local government,
40 may be needed in all territory which previously received same and the
41 legislative board shall have all the powers and duties granted by law in
42 connection with such service or function and such additional powers
43 formerly held by the governing body or any officer of the district which
44 may be necessary to continue the service or function of the district,
45 provided, however:
46 a. if the limits of a district which ceases to exist pursuant to this
47 article are wholly within but are not coterminous with those of the
48 surviving local government and the service or function formerly provided
49 by such district is not extended outside the limits of the former
50 district, all the costs and expenses of such service or function may be
51 chargeable only to the territory of such former district;
52 b. if the limits of a district which ceases to exist pursuant to this
53 article are wholly within but are not coterminous with those of the
54 surviving local government and the service or function formerly provided
55 by such district is extended outside the limits of such former district,
56 so much of all costs and expenses of such extension of service or func-
S. 1406 188 A. 2106
1 tion to such outside territory as is represented by the payment of the
2 principal and interest on obligations incurred therefor by the surviving
3 local government pursuant to the local finance law or section one
4 hundred nine-b of this chapter may be chargeable to and collected from
5 such outside territory; and all other costs and expenses of such service
6 or function may be chargeable only to that part of the entire territory
7 of the surviving local government in which such service or function is
8 provided. In any event and regardless of the territory to which such
9 other costs and expenses may be made chargeable, same shall be appor-
10 tioned and collected uniformly and without discrimination within such
11 territory;
12 c. upon any fire district ceasing to exist pursuant to this article,
13 all fire, hose, protection or hook and ladder companies and all author-
14 ized squads or other units of such district, including the memberships
15 thereof, shall continue to exist and may merge or consolidate with any
16 existing company as provided by law. All such companies, squads or units
17 shall thereafter be subject to and governed by all the provisions of law
18 regulating and pertaining to any such company, squad or unit or fire
19 department of a village or city as the case may be; and
20 d. all officers and employees of any district which ceases to exist
21 pursuant to this article shall to the greatest extent practicable in the
22 discretion of the legislative body of the surviving local government be
23 continued in the same or similar positions as employees of the surviving
24 local government and in connection therewith, shall have all the rights
25 provided by the civil service law as if their former positions with the
26 district had originally been established by the surviving local govern-
27 ment.
28 5. The legislative board of the surviving local government at any time
29 by local law may discontinue the service or function of the former
30 district in all or any part of the surviving local government; provided,
31 however, that any such local law shall be subject to a permissive refer-
32 endum of the qualified voters in the territory receiving the service or
33 function at the time of the adoption of such local law and in which the
34 service or function is proposed to be discontinued. For the purpose of
35 such referendum such territory shall be considered as if it comprised
36 the entire territory of the surviving local government.
37 6. This section shall not apply to any special assessment area or any
38 area of assessment for benefit the boundaries of which are coterminous
39 with or wholly included within the limits of the surviving local govern-
40 ment which was established only to pay the original cost of any special
41 improvement or facility or any addition thereto, benefitting such area.
42 As to any such area the assessments therein established shall continue
43 to be levied and collected as if the merger had not taken place. Howev-
44 er, any such publicly owned improvement or facility shall become the
45 property of the surviving local government in the same manner as
46 provided in subdivision three of this section for property of a
47 district.
48 7. Any other special assessment area or any other area of assessment
49 for benefit the boundaries of which are coterminous with or wholly
50 included within the limits of a surviving local government shall be
51 considered as a district subject to the provisions of this section and
52 chapter if same was established not only to pay the original cost of any
53 special improvement or facility, or any additional cost thereto, bene-
54 fitting such area but also to pay the cost of the operation, mainte-
55 nance, repair or replacement thereof.
S. 1406 189 A. 2106
1 § 763. Certain districts partially within a surviving local govern-
2 ment. 1. If the surviving local government includes within its bounda-
3 ries part of a fire district, fire protection district, fire alarm
4 district or a town special improvement district, the territory so
5 included within the boundaries of the surviving local government shall
6 not be relieved from bearing its proportionate share of any liability or
7 indebtedness incurred for such district purposes while such territory
8 was a part of such district and until such liability is discharged, or
9 such indebtedness paid the proportionate share to which such territory
10 would be liable if it had not been included in the boundaries of the
11 surviving local government shall be levied upon, assessed and collected
12 from such territory by the proper officers of such surviving local
13 government in the same manner as if such territory had not been included
14 within the boundaries of the surviving local government. All moneys so
15 collected shall be paid over from time to time by the fiscal officer of
16 the surviving local government to the supervisor of the town in which
17 the remainder of such district is located to discharge such liability.
18 The collector or receiver of taxes of such town and the treasurer of a
19 county shall continue in the execution of their duties in respect to the
20 property included in the boundaries of a surviving local government
21 until they shall have collected the taxes authorized or assessed for the
22 year of such merger or which have been extended on the town assessment
23 roll and become a lien after such merger and pay to the fiscal officer
24 of the surviving local government when collected the taxes extended on
25 the assessment roll against property within the surviving local govern-
26 ment for district purposes.
27 2. If the territory of the surviving local government includes within
28 its boundaries part of such a town district, the proportion of the bond-
29 ed debt incurred or obligations incurred pursuant to section one hundred
30 nine-b of this chapter by the town and payable by a tax against the
31 property within any such district for whose benefit the bonds or obli-
32 gations were issued which shall be assumed by the surviving local
33 government and the apportionment of personal and real property belonging
34 to the special district shall be determined according to the relative
35 assessed valuation of the personal and real property in that portion of
36 the special district without the surviving local government and that
37 portion within the surviving local government in the following manner:
38 the town board of the town when acting as a board for a district or the
39 commissioner or commissioners of a district where the special district
40 is managed by a commissioner or commissioners and the governing board of
41 the surviving local government being unable to agree within six months
42 after the merger upon the proportion of the debt and the apportionment
43 of the personal and real property, then the supreme court shall have
44 power to determine such division and to enforce such award, division and
45 determination as shall be made in the premises in a suit in equity to be
46 brought in the name of either of the said parties.
47 § 764. Sales and compensating use tax transitional provisions. 1.
48 Where the surviving local government in a merger occurring pursuant to
49 this article is a county or a city which is imposing a tax, which is in
50 effect on the effective date of the merger, pursuant to the authority of
51 subpart B of part I of article twenty-nine of the tax law, such tax
52 shall continue in full force and effect and shall apply within the
53 entire area of such surviving local government as the territorial limits
54 of such area are constituted on the effective date of such merger. Any
55 such imposition shall be subject to the provisions of such article twen-
S. 1406 190 A. 2106
1 ty-nine including provisions relating to the imposition, repeal or
2 suspension of the tax by local law, ordinance or resolution.
3 2. Notwithstanding subdivision three of section seven hundred fifty-
4 eight of this article, any such tax imposed by a constituent local
5 government which is not the surviving local government shall cease to be
6 in effect as of the effective date of such merger.
7 § 765. Notification and submission of the plan of merger; agency
8 assistance. At least one hundred twenty days prior to the effective date
9 of a merger, the constituent local governments shall notify the state
10 division of the budget, the office of the state comptroller, the office
11 of real property services and the commissioner of taxation and finance
12 of the scheduled merger, and shall submit to such agencies the plan of
13 merger and any ancillary agreements, contracts or other legally binding
14 agreements. Upon related request, the above named agencies shall provide
15 any information or technical support to the constituent local govern-
16 ments, to the extent available within the agency and not prohibited by
17 any provision of law providing for the confidentiality of such informa-
18 tion, to help effectuate the merger of such local governments.
19 § 10. Subdivision 1 of section 19-1900 of the village law, as amended
20 by chapter 101 of the laws of 1997, is amended to read as follows:
21 1. The board of trustees of any village may, and upon a petition of
22 the electors of the village shall, adopt a plan for dissolution and a
23 resolution submitting a proposition for the dissolution of the village
24 in accordance with the permissive referendum article, except that in
25 determining the date for submission of the proposition pursuant to
26 section 9-912 of this chapter, the date of the public hearing under this
27 article shall be used and not the date that the question is presented. A
28 petition to dissolve a village shall be sufficient if signed and
29 acknowledged or proved by qualified electors of such village, in number
30 equal to at least one-third of the total number of resident electors
31 residing in the village, qualified to vote at the last general village
32 or special village election immediately preceding the submission of the
33 proposition in question, and who signed the petition not earlier than
34 one hundred twenty days prior to filing thereof.
35 § 11. The village law is amended by adding a new section 19-1901 to
36 read as follows:
37 § 19-1901 Study committee and dissolution report. Prior to the
38 approval of a proposition for dissolution, the village board of trustees
39 shall appoint a study committee on the dissolution of the village. The
40 study committee shall include at least two representatives of each town
41 or towns in which the village is situated and such representatives shall
42 reside in the portion of such town or towns outside such village. Such
43 committee shall organize and form such subcommittees as it deems neces-
44 sary or desirable to undertake its report. It shall make a report to the
45 village board of trustees within the time period set by such board. A
46 copy of such report shall also be sent to the supervisor of the town or
47 towns in which the village is situated. The report shall address all
48 topics included in a plan for dissolution, alternatives to dissolution
49 and may propose a plan for dissolution for consideration by the village
50 board of trustees. Prior to submission of the report to the village
51 board of trustees, the study committee shall hold at least one public
52 hearing upon at least twenty days' notice to be published in official
53 newspapers of the village and town or towns.
54 § 12. Section 19-1902 of the village law is amended to read as
55 follows:
S. 1406 191 A. 2106
1 § 19-1902 Public hearing. Prior to the submission of the proposition
2 pursuant to subdivision one of section 19-1900, the board of trustees
3 shall conduct a public hearing on the proposed dissolution of the
4 village [on notice]. Notice of the public hearing shall be mailed by
5 certified or registered mail to the supervisor of the town or towns in
6 which the village is situated and notice shall be published at least ten
7 but not more than twenty days before such hearing in the official [news-
8 paper] newspapers of the village and the town or towns.
9 § 13. The village law is amended by adding a new section 19-1903 to
10 read as follows:
11 § 19-1903 Plan for dissolution. The plan for dissolution shall address
12 the following:
13 1. The disposition of property of the village.
14 2. The payment of outstanding obligations and the levy and collection
15 of the necessary taxes and assessments therefor.
16 3. The transfer or elimination of public employees.
17 4. Any agreements entered into with the town or towns in which the
18 village is situated in order to carry out the plan for dissolution.
19 5. Whether any local laws, ordinances, rules or regulations of the
20 village in effect on the date of the dissolution of the village shall
21 remain in effect for a period of time other than as provided by section
22 19-1910 of this article.
23 6. The continuation of village functions or services by the town.
24 7. A fiscal analysis of the effect of dissolution on the village and
25 the area of the town or towns outside of the village.
26 8. Any other matters desirable or necessary to carry out the dissol-
27 ution.
28 § 14. Subdivision 2 of section 19-1904 of the village law is amended
29 to read as follows:
30 2. Upon adoption by the board of trustees of such resolution, the
31 proposition and plan shall be mailed by certified or registered mail to
32 the supervisor of the town or towns in which the village is situated and
33 published in full in the official newspaper of the village.
34 § 15. Subdivision 9 of section 54 of the state finance law, as added
35 by chapter 68 of the laws of 2002, is amended to read as follows:
36 [9. a. Notwithstanding any inconsistent provision of this section or
37 of any other provision of law to the contrary, the payment of general
38 purpose local government aid for the support of local government for the
39 state fiscal year commencing April first, two thousand two shall be paid
40 from an appropriation made for such purposes pursuant to the general
41 government budget in a manner consistent with this subdivision. Subdi-
42 visions one through eight of this section shall not be applicable to the
43 payment of per capita state aid for the support of local government.
44 b. Notwithstanding any inconsistent provision of article five of the
45 general construction law, in the fiscal year of the state commencing
46 April first, two thousand two any city having a population of one
47 million or more shall be entitled to receive the same amount of general
48 purpose local government aid that it received for such purpose pursuant
49 to chapter fifty of the laws of two thousand one, constituting the
50 general government budget, and section fifty-four of the state finance
51 law, as added by section twelve of chapter four hundred thirty of the
52 laws of nineteen hundred ninety-seven, as if the provisions of such
53 section fifty-four were in full force and effect for the entire state
54 fiscal year commencing April first, two thousand two. Except as provided
55 in paragraph c of this subdivision, each city, other than any city
56 having a population of one million or more, town and village that was
S. 1406 192 A. 2106
1 appropriated general purpose local government aid pursuant to chapter
2 fifty of the laws of two thousand one shall be entitled to receive a
3 total of one hundred five percent of the amount of aid that it would be
4 entitled to receive under section fifty-four of the state finance law,
5 as added by section twelve of chapter four hundred thirty of the laws of
6 nineteen hundred ninety-seven, as if the provisions of such section
7 fifty-four were in full force and effect for the entire state fiscal
8 year commencing April first, two thousand two. Notwithstanding the
9 provisions of this subdivision in the state fiscal year commencing April
10 first, two thousand two, the village of East Nassau, Rensselaer county,
11 newly incorporated on January fourteenth, nineteen hundred ninety-eight,
12 shall be entitled to receive the same amount of general purpose local
13 government aid that it received for such purpose pursuant to chapter
14 fifty of the laws of two thousand one. All aid pursuant to this section
15 shall be paid in the same "on or before month and day" manner as speci-
16 fied in chapter fifty of the laws of nineteen hundred ninety-six,
17 constituting the general government budget.
18 c. Consolidations, mergers, or dissolutions - entitlement to general
19 purpose local government aid. In the case where any city, town, or
20 village consolidates, merges or dissolves, and the resulting successor
21 government has filed with the office of the state comptroller a certif-
22 icate of any such consolidation, merger, or dissolution, such successor
23 government shall be entitled to receive any payments of general purpose
24 local government aid which, pursuant to paragraph b of this subdivision,
25 would have been otherwise payable to the individual cities, towns, or
26 villages who were party to such consolidation, merger, or dissolution in
27 addition to the general purpose local government aid such successor
28 government is entitled to receive had no such consolidation, merger, or
29 dissolution occurred. The annual amount of general purpose local govern-
30 ment aid any city, town, or village in which a municipality has consol-
31 idated, merged, or dissolved shall be eligible to receive on the date
32 such city, town, or village is consolidated, merged, or dissolved shall
33 continue to be paid for the first state fiscal year following the date
34 of such consolidation, merger, or dissolution and payments shall there-
35 after continue to be paid for an additional four state fiscal years in
36 reduced amounts as follows: in the second year following consolidation,
37 merger, or dissolution, eighty percent of such annual amount; in the
38 third year, sixty percent; in the fourth year, forty percent; in the
39 fifth year, twenty percent; and thereafter such payments shall cease to
40 be paid. In instances where only a portion of a city, town, or village
41 is party to a consolidation, merger, or dissolution, general purpose
42 local government aid payable to the resulting successor government shall
43 include only a pro rata share of the aid otherwise due and payable to
44 such city, town, or village. Such pro rata share shall be based on a
45 ratio of the two thousand federal decennial census population of the
46 portion consolidated, merged, or dissolved as compared to the total two
47 thousand federal decennial census population of the city, town, or
48 village party to such consolidation, merger, or dissolution.]
49 9. a. Notwithstanding any inconsistent provision of this section or of
50 any other provision of law to the contrary, the payment of general
51 purpose local government aid for the support of local government for the
52 state fiscal year commencing April first, two thousand three shall be
53 paid from an appropriation made for such purposes pursuant to the gener-
54 al government budget in a manner consistent with this subdivision.
55 Subdivisions one through eight of this section shall not be applicable
S. 1406 193 A. 2106
1 to the payment of per capita state aid for the support of local govern-
2 ment.
3 b. Notwithstanding any inconsistent provision of article five of the
4 general construction law, in the fiscal year of the state commencing
5 April first, two thousand three any city having a population of one
6 million or more shall be entitled to receive the same amount of general
7 purpose, local government aid that it received for such purpose pursuant
8 to chapter fifty of the laws of two thousand two, constituting the
9 public protection and general government budget, and section fifty-four
10 of the state finance law, as added by section twelve of chapter four
11 hundred thirty of the laws of nineteen hundred ninety-seven, as if the
12 provisions of such section fifty-four were in full force and effect for
13 the entire state fiscal year commencing April first, two thousand three.
14 Except as provided in paragraph c of this subdivision, each city, other
15 than any city having a population of one million or more, town and
16 village that was appropriated general purpose local government aid
17 pursuant to chapter fifty of the laws of two thousand two shall be enti-
18 tled to receive a total of one hundred five percent of the amount of aid
19 that it would be entitled to receive under section fifty-four of the
20 state finance law, as added by section twelve of chapter four hundred
21 thirty of the laws of nineteen hundred ninety-seven, as if the
22 provisions of such section fifty-four were in full force and effect for
23 the entire state fiscal year commencing April first, two thousand three.
24 Notwithstanding the provisions of this subdivision in the state fiscal
25 year commencing April first, two thousand three, the village of East
26 Nassau, Rensselaer county, newly incorporated on January fourteenth,
27 nineteen hundred ninety-eight, shall be entitled to receive the same
28 amount of general purpose local government aid that it received for such
29 purpose pursuant to chapter fifty of the laws of two thousand two. All
30 aid pursuant to this section shall be paid in the same "on or before
31 month and day" manner as specified in chapter fifty of the laws of nine-
32 teen hundred ninety-six, constituting the general government budget.
33 c. Consolidations, mergers, or dissolutions-entitlement to general
34 purpose local government aid. In the case where any city, town, or
35 village consolidates, merges or dissolves, and the resulting successor
36 government has filed with the office of the state comptroller a certif-
37 icate of any such consolidation, merger, or dissolution, such successor
38 government shall be entitled to receive any payments of general purpose
39 local government aid which, pursuant to paragraph b of this subdivision,
40 would have been otherwise payable to the individual cities, towns, or
41 villages who were party to such consolidation, merger, or dissolution in
42 addition to the general purpose local government aid such successor
43 government is entitled to receive had no such consolidation, merger, or
44 dissolution occurred. The annual amount of general purpose local govern-
45 ment aid that any city, town, or village in which a municipality has
46 consolidated, merged, or dissolved shall be eligible to receive on the
47 date such city, town, or village is consolidated, merged, or dissolved
48 shall continue to be paid pursuant to paragraph b of this subdivision
49 for every state fiscal year following the date of such consolidation,
50 merger, or dissolution. In instances where only a portion of a city,
51 town, or village is party to a consolidation, merger, or dissolution,
52 general purpose local government aid payable to the resulting successor
53 government shall include only a pro rata share of the aid otherwise due
54 and payable to such city, town, or village. Such pro rata share shall be
55 based on a ratio of the two thousand federal decennial census population
56 of the portion consolidated, merged, or dissolved as compared to the
S. 1406 194 A. 2106
1 total two thousand federal decennial census population of the city,
2 town, or village party to such consolidation, merger, or dissolution.
3 § 16. Section 101 of the general municipal law is REPEALED.
4 § 17. The opening paragraph of paragraph (e) of subdivision 4 of
5 section 120-w of the general municipal law, as amended by chapter 552 of
6 the laws of 1980, is amended to read as follows:
7 It is the intent of the legislature that overall cost should in all
8 cases be a major criterion in the selection of contractors for award of
9 contracts pursuant to this section and that, wherever practical, such
10 contracts which include construction work should be procured through
11 competitive bidding procedures as prescribed by [sections one hundred
12 one and] section one hundred three of this chapter. It is further the
13 intent of the legislature to acknowledge the highly complex and innova-
14 tive nature of resource recovery technology for processing mixed solid
15 waste, the relative newness of the variety of resource recovery systems
16 now available, the desirability of a single point of responsibility for
17 the development of facilities and the economic and technical utility of
18 contracts for resource recovery projects which include in their scope
19 various combinations of design, construction, operation, management
20 and/or maintenance responsibilities over prolonged periods of time and
21 that in some instances it may be beneficial to the municipality to award
22 a contract on the basis of factors other than cost alone, including but
23 not limited to facility design, system reliability, energy efficiency,
24 compatibility with source separation and other recycling systems and
25 environmental protection. Accordingly, and notwithstanding the
26 provisions of any general, special or local law or charter, a contract
27 entered into between a municipality and any person pursuant to this
28 section may be awarded pursuant to public bidding in compliance with
29 [sections one hundred one and] section one hundred three of this chapter
30 or pursuant to the following provisions for the award of a contract
31 based on evaluation of proposals submitted in response to a request for
32 proposals prepared by or for the municipality:
33 § 18. Subdivision 7 of section 120-w of the general municipal law, as
34 added by chapter 552 of the laws of 1980, is amended to read as follows:
35 7. Every contract entered into between a municipality and a project
36 developer pursuant to the provisions of subparagraph four of paragraph
37 (e) of subdivision four of this section, for construction of a solid
38 waste management-resource recovery building by the project developer,
39 shall contain provisions that such building shall be constructed through
40 construction contracts awarded through public competitive bidding in
41 accordance with paragraphs (a) through [(g)] (f) of this subdivision;
42 that the project developer shall furnish a bond guaranteeing prompt
43 payment of moneys that are due to all persons furnishing labor and mate-
44 rials pursuant to the requirements of such construction contracts, and
45 that a copy of such payment bond shall be kept by the municipality and
46 shall be open to public inspection; provided, however, that the require-
47 ments of this subdivision shall not apply when the cost of such
48 construction is less than five thousand dollars.
49 (a) The project developer shall advertise for bids for such
50 construction contracts in a daily newspaper having general circulation
51 in the county in which such public solid waste management-resource
52 recovery building is to be located. Such advertisement shall contain a
53 statement of the time when and place where all bids received pursuant to
54 such notice will be publicly opened and read. An employee of the munici-
55 pality shall be designated to open the bids at the time and place speci-
56 fied in the notice. All bids received shall be publicly opened and read
S. 1406 195 A. 2106
1 at the time and place so specified. At least five days shall elapse
2 between the publication of such advertisement and date on which the bids
3 are opened.
4 (b) [When the entire cost of constructing such building shall exceed
5 fifty thousand dollars, the project developer shall prepare separate
6 specifications for the following subdivisions of such work, so as to
7 permit separate and independent bidding upon each subdivision:
8 (i) plumbing and gas fittings;
9 (ii) steam heating, hot water heating, ventilating and air condition-
10 ing apparatus; and
11 (iii) electric wiring and standard illuminating fixtures.
12 (c) After public competitive bidding the project developer shall award
13 one or more separate contracts for each of the above subdivisions of
14 such work, whenever separate specifications are required pursuant to
15 paragraph (b) of this subdivision, and one or more contracts for the
16 remainder of such work. The project developer may award such contracts
17 at different times.] Contracts awarded pursuant to this paragraph shall
18 be awarded by the project developer to the lowest responsible and
19 responsive bidder and shall be contracts of the project developer and
20 not of the municipality which shall have no obligation or liabilities,
21 whatsoever, thereunder. The project developer shall have the responsi-
22 bility for the supervision, coordination, and termination of such
23 contracts, unless otherwise specified in contractual terms between the
24 project developer and the municipality.
25 [(d)] (c) In determining whether a prospective contractor is responsi-
26 ble and responsive, the project developer may require that prospective
27 contractors:
28 (i) have adequate financial resources or the ability to obtain such
29 resources;
30 (ii) be able to comply with the required or proposed delivery or
31 performance schedule;
32 (iii) have a satisfactory record of performance;
33 (iv) have the necessary organization, experience, operational
34 controls, and technical skills, or the ability to obtain them;
35 (v) have the necessary production, construction and technical equip-
36 ment and facilities, or the ability to obtain them;
37 (vi) be eligible to receive an award under applicable laws and regu-
38 lations and be otherwise qualified.
39 [(e)] (d) The project developer may reject any bid of a bidder which
40 the project developer determines to be nonresponsible or nonresponsive
41 to the advertisement for bids.
42 [(f)] (e) The project developer may, in its discretion, reject all
43 bids, and may revise bid specifications and may readvertise for bids as
44 provided herein.
45 [(g)] (f) Only as used in this subdivision:
46 (i) "project developer" means any private corporation, partnership, or
47 individual or combination thereof which has submitted a proposal in
48 response to a request for proposals issued pursuant to subparagraph two
49 of paragraph (e) of subdivision four of this section;
50 (ii) "construction" shall include reconstruction, rehabilitation or
51 improvement;
52 (iii) "solid waste management-resource recovery building" means a
53 building of a solid waste management-resource recovery facility. Such
54 building shall not include the system to be used for the purposes of
55 receiving, processing, handling or storing solid waste, the products and
56 by-products derived therefrom, or materials used in such processing or
S. 1406 196 A. 2106
1 handling and any equipment or property involving proprietary or trade
2 secrets.
3 § 19. Section 99-q of the general municipal law, as added by chapter
4 825 of the laws of 1987, is amended to read as follows:
5 § 99-q. Facilities for the unified court system. Notwithstanding the
6 provisions of any general, special or local law, charter or ordinance to
7 the contrary, a municipality which is a political subdivision specified
8 in paragraph (a) of subdivision two of section thirty-nine of the judi-
9 ciary law may upon the approval of its governing board:
10 1. Sell, convey, lease, exchange or otherwise make available to any
11 person, firm, association, corporation or agency, including a public
12 body, the title to or an interest in real property, and enter into
13 contracts therefor, for the design, construction, reconstruction, reha-
14 bilitation or improvement of facilities provided or to be provided for
15 the purposes of the unified court system of the state; and
16 2. Acquire by purchase, lease, sublease or other agreement the facili-
17 ties provided or to be provided for the purposes of the unified court
18 system of the state.
19 All contracts entered into pursuant to the provisions of this section
20 shall be subject to the provisions of [sections one hundred one and]
21 section one hundred three of this chapter.
22 § 20. Section 135 of the state finance law is REPEALED.
23 § 21. Subdivision 1 of section 137 of the state finance law, as
24 amended by chapter 83 of the laws of 1995, is amended to read as
25 follows:
26 1. In addition to other bond or bonds, if any, required by law for the
27 completion of a work specified in a contract for the prosecution of a
28 public improvement for the state of New York a municipal corporation, a
29 public benefit corporation or a commission appointed pursuant to law, or
30 in the absence of any such requirement, the comptroller may or the other
31 appropriate official, respectively, shall nevertheless require prior to
32 the approval of any such contract a bond guaranteeing prompt payment of
33 moneys due to all persons furnishing labor or materials to the contrac-
34 tor or his subcontractors in the prosecution of the work provided for in
35 such contract. Provided, however, that all performance bonds and payment
36 bonds may, at the discretion of the head of the state agency, public
37 benefit corporation or commission, or his or her designee, be dispensed
38 with for the completion of a work specified in a contract for the prose-
39 cution of a public improvement for the state of New York for which bids
40 are solicited where the aggregate amount of the contract is under fifty
41 thousand dollars [and provided further, that in a case where the
42 contract is not subject to the multiple contract award requirements of
43 section one hundred thirty-five of this article, such requirements may
44 be dispensed with where the head of the state agency, public benefit
45 corporation or commission finds it to be in the public interest and
46 where the aggregate amount of the contract awarded or to be awarded is
47 less than two hundred thousand dollars]. Provided further, that in a
48 case where a performance or payment bond is dispensed with, twenty per
49 centum may be retained from each progress payment or estimate until the
50 entire contract work has been completed and accepted, at which time the
51 head of the state agency, public benefit corporation or commission
52 shall, pending the payment of the final estimate, pay not to exceed
53 seventy-five per centum of the amount of the retained percentage.
54 § 22. Subdivision 4 of section 139-f of the state finance law, as
55 amended by chapter 83 of the laws of 1995, is amended to read as
56 follows:
S. 1406 197 A. 2106
1 4. Notwithstanding any other provision of this section or other law,
2 requirements for the furnishing of a performance bond or a payment bond
3 may be dispensed with at the discretion of the head of the state agency
4 or corporation, or his or her designee, where the public owner is a
5 state agency or corporation described in subdivision one-a of this
6 section and the aggregate amount of the contract awarded or to be
7 awarded is under fifty thousand dollars [and, in a case where the
8 contract is not subject to the multiple contract award requirements of
9 section one hundred thirty-five of this article, such requirements may
10 be dispensed with where the head of the state agency or corporation
11 finds it to be in the public interest and where the aggregate amount of
12 the contract awarded or to be awarded is under two hundred thousand
13 dollars]. Provided further, that in a case where a performance or
14 payment bond is dispensed with, twenty per centum may be retained from
15 each progress payment or estimate until the entire contract work has
16 been completed and accepted, at which time the head of the state agency
17 or corporation shall, pending the payment of the final estimate, pay not
18 to exceed seventy-five per centum of the amount of the retained percent-
19 age.
20 § 23. Section 151-a of the public housing law is REPEALED.
21 § 24. Paragraph d of subdivision 1 of section 372-a of the education
22 law, as added by chapter 624 of the laws of 1999, is amended to read as
23 follows:
24 d. Any contracts or leases entered into by the trustees of the state
25 university of New York pursuant to this section shall require the lessee
26 or contracting not-for-profit corporation to comply with the require-
27 ments of article fifteen-A of the executive law. Any contract or lease
28 for construction, rehabilitation, or other improvement authorized by
29 this section entered into by the trustees shall require the lessee or
30 contractor and/or subcontractor to comply with the requirements of
31 section two hundred twenty, two hundred thirty, two hundred thirty-one,
32 two hundred forty and two hundred forty-one of the labor law, where
33 applicable, as well as [sections one hundred one and] section one
34 hundred three of the general municipal law, where applicable;
35 § 25. The opening paragraph of subdivision 8 of section 376 of the
36 education law, as amended by chapter 877 of the laws of 1990, is amended
37 to read as follows:
38 All contracts which are to be awarded pursuant to this subdivision
39 shall be awarded by public letting in accordance with the following
40 provisions, notwithstanding any contrary provision of section [one
41 hundred thirty-five,] one hundred thirty-six, one hundred thirty-nine or
42 one hundred forty of the state finance law, provided, however, that
43 where the estimated expense of any contract which may be awarded pursu-
44 ant to this subdivision is less than fifty thousand dollars, a perform-
45 ance bond and a bond for the payment of labor and material may, in the
46 discretion of the fund, not be required, and except that in the
47 discretion of the fund, a contract may be entered into for such purposes
48 without public letting where the estimated expense thereof is less than
49 twenty thousand dollars, or where in the judgment of the fund an emer-
50 gency condition exists as a result of damage to an existing academic
51 building, dormitory or other facility which has been caused by an act of
52 God, fire or other casualty, or any other unanticipated, sudden and
53 unexpected occurrence, that has resulted in damage to or a malfunction
54 in an existing academic building, dormitory or other facility and
55 involves a pressing necessity for immediate repair, reconstruction or
56 maintenance in order to permit the safe continuation of the use or func-
S. 1406 198 A. 2106
1 tion of such facility, or to protect the facility or the life, health or
2 safety of any person, and the nature of the work is such that in the
3 judgment of the fund it would be impractical and against the public
4 interest to have public letting; provided, however, that the fund, prior
5 to awarding a contract hereunder because of an emergency condition noti-
6 fy the comptroller of its intent to award such a contract:
7 § 26. Subdivision 11 of section 407-a of the education law, as added
8 by chapter 737 of the laws of 1988, is amended to read as follows:
9 11. Any contract undertaken or financed by the dormitory authority for
10 any construction, reconstruction, rehabilitation or improvement for any
11 special act school district shall comply with the provisions of
12 [sections one hundred one and] section one hundred three of the general
13 municipal law.
14 § 27. Subdivisions 1 and 2 of section 458 of the education law are
15 REPEALED.
16 § 28. Subdivisions 1 and 2 of section 482 of the education law are
17 REPEALED.
18 § 29. Subdivision 3 of section 1726 of the education law, as added by
19 chapter 198 of the laws of 1973, is amended to read as follows:
20 3. Such agreements shall be subject to the bidding requirements of the
21 general municipal law[, except that the provisions of section one
22 hundred one of the general municipal law shall not apply to lease or
23 lease-purchase of pre-manufactured items delivered to the site, but
24 shall apply to installation and other work to be performed on the site].
25 § 30. Subdivision (b) of section 6281 of the education law is
26 REPEALED.
27 § 31. Subparagraph 4 of paragraph c of subdivision 2 of section
28 27-0707 of the environmental conservation law, as amended by chapter 70
29 of the laws of 1988, is amended to read as follows:
30 (4) the applicant has received or will receive the written opinion of
31 counsel to each [muncipality] municipality or public authority which has
32 entered into a contract, lease or rental agreement with the proposed
33 facility that such contract, lease or rental agreement is in compliance
34 with the applicable requirements of sections [one hundred one,] one
35 hundred three and one hundred twenty-w of the general municipal law.
36 § 32. Subdivision 2 of section 38 of the highway law, as amended by
37 chapter 83 of the laws of 1995, is amended to read as follows:
38 2. Proposals. Each proposal shall specify the correct gross sum for
39 which the work will be performed and shall also include the amount to be
40 charged for each item specified on the proposal estimate sheet. The
41 commissioner of transportation may prescribe and furnish forms for the
42 submission of such proposals and may prescribe the manner of submitting
43 the same which shall not be inconsistent herewith. Accompanying each
44 proposal there shall be either a certified check or bank cashier's check
45 for the amount of the bid deposit, to be fixed by the commissioner of
46 transportation and specified in the advertisement for proposals or such
47 other security from the bidder as may be acceptable to the commissioner
48 of transportation. The checks of the two low bidders shall be deposited
49 by the commissioner of transportation in a special account. Provided,
50 however, that if prior to or upon receipt of said checks by the commis-
51 sioner of transportation a bidder who is one of the two low bidders
52 shall have duly filed a bond as hereinafter provided the commissioner of
53 transportation shall forthwith return to said bidder his aforesaid check
54 without depositing the same. If alternate proposals are taken, the
55 checks of the two low bidders of all alternate proposals shall be depos-
56 ited. All checks other than those of the two low bidders shall be
S. 1406 199 A. 2106
1 returned promptly by the commissioner of transportation. Notwithstanding
2 the provisions of any general or special law, the money represented by
3 the checks of the two low bidders shall be paid from the special account
4 when the contractor has duly executed and delivered to the commissioner
5 of transportation the contract and the bond or bonds, if any, required
6 by law for the performance of the work of a public improvement for the
7 state of New York, or upon the rejection of all bids. The low bidder, in
8 the discretion of the commissioner of transportation, and the second low
9 bidder, as a matter of right, may at any time after the opening of the
10 respective proposals, file with the commissioner of transportation a
11 bond, the principal amount of which shall at least equal the amount of
12 the respective bidder's check, theretofore deposited with his proposal,
13 in the form prescribed by the commissioner of transportation, with
14 sufficient sureties, to be approved by the commissioner of transporta-
15 tion, conditioned that the said bidder will execute a contract and
16 furnish such performance or other bonds as may be required by law in
17 accordance with the terms of the bidder's said proposal. If a bidder
18 complies with the aforesaid provision, the commissioner of transporta-
19 tion shall forthwith return the money represented by the check of such
20 bidder. In case the bidder to whom the contract shall be awarded shall
21 fail to execute such contract and bond if required, the moneys repres-
22 ented by such check shall be regarded as liquidated damages and shall be
23 forfeited to the state and shall be deposited by the commissioner of
24 transportation with the commissioner of taxation and finance to the
25 credit of the general fund. Provided, however, that although a perform-
26 ance bond or a payment bond or both may be accepted from a bidder by the
27 commissioner of transportation, a requirement to furnish such bond or
28 bonds may be dispensed with where the aggregate gross sums of the
29 contracts to be awarded for the project is under fifty thousand dollars
30 and provided further, [that in a case where a single contract is issued
31 for a project which is not subject to the multiple contract award
32 requirements of section one hundred thirty-five of the state finance
33 law,] such requirements may be dispensed with where the commissioner
34 finds it to be in the public interest and where the aggregate amount of
35 the contract awarded or to be awarded is less than two hundred fifty
36 thousand dollars. The gross sums indicated on the proposals when opened
37 shall be publicly read. The commissioner shall keep the bids for the
38 several items of the proposals confidential until an award of the
39 contract is made, after which the proposals shall be subject at all
40 reasonable times to public inspection.
41 § 33. Subdivision 2 of section 816-b of the labor law, as added by
42 chapter 571 of the laws of 2001, is amended to read as follows:
43 2. Notwithstanding any other provision of this article, of section one
44 hundred three of the general municipal law, [of section one hundred
45 thirty-five of the state finance law,] of section one hundred fifty-one
46 of the public housing law, or of any other general, special or local law
47 or administrative code, in entering into any construction contract, a
48 governmental entity which is to be a direct or indirect party to such
49 contract may require that any contractors and subcontractors have, prior
50 to entering into such contract, apprenticeship agreements appropriate
51 for the type and scope of work to be performed, that have been regis-
52 tered with, and approved by, the commissioner pursuant to the require-
53 ments found in this article. Whenever utilizing this requirement, the
54 governmental entity may, in addition to whatever considerations are
55 required by law, consider the degree to which career opportunities in
S. 1406 200 A. 2106
1 apprenticeship training programs approved by the commissioner may be
2 provided.
3 § 34. Subdivision 2 of section 1045-i of the public authorities law,
4 as added by chapter 513 of the laws of 1984, is amended to read as
5 follows:
6 2. Any such agreements (i) shall describe in sufficient detail for
7 reasonable identification the particular water project to be financed in
8 whole or in part by the authority, (ii) shall describe the plan for the
9 financing of the cost of the construction of such water project, includ-
10 ing the amount, if any, to be provided by the water board and the source
11 or sources thereof, (iii) shall set forth the method by which and by
12 whom and the terms and conditions upon which moneys provided by the
13 authority shall be disbursed, (iv) may require, in the discretion of the
14 authority, the payment to the authority of the proceeds of any state and
15 federal grants available to the water board, (v) shall provide for the
16 establishment of user fees, rates, rents and other charges and the
17 charging and collection thereof by the water board for the use of, or
18 services furnished, rendered or made available by such system such as to
19 provide that such board receive revenues at least sufficient, together
20 with other revenues of the board, if any, to meet the requirements of
21 subdivision one of section one thousand forty-five-j of this title,
22 provided that revenues received by such board shall be deposited in a
23 special fund established pursuant to this title and disbursed to, and
24 upon certification of, the authority, (vi) may provide for the transfer
25 by the city to the water board pursuant to section one thousand forty-
26 five-h of this title of ownership of the sewerage system or water
27 system, or both, as the case may be, of which such project will form a
28 part by the city, (vii) shall provide for the construction and
29 completion of such water project by the city and for the operation,
30 maintenance and repair thereof as an integrated part of the system of
31 which such water project forms a part, subject to such terms and condi-
32 tions, not inconsistent with this title, which may be in the public
33 interest and necessary or desirable properly and adequately to secure
34 the holders of bonds of the authority, provided, however, all contracts
35 for public work and all purchase contracts shall be awarded by the city
36 as provided by law for the award of such contracts by the city and that
37 all contracts for construction shall be let in accordance with the
38 provisions of state law pertaining to prevailing wages, labor standards
39 and working hours[. When the entire cost of constructing a building as
40 part of any water project shall exceed fifty thousand dollars, the city
41 shall prepare separate specifications for the following three subdivi-
42 sions of the work to be performed: (a) plumbing and gas fitting; (b)
43 steam heating, hot water heating, ventilating and air conditioning appa-
44 ratus; and (c) electric wiring and standard illuminating fixtures],
45 (viii) shall provide for the discontinuance or disconnection of the
46 supply of water or the provision of sewerage service, or both, as the
47 case may be, for non-payment of fees, rates, rents or other charges
48 therefor imposed by the water board, provided such discontinuance or
49 disconnection of any supply of water or the provision of sewerage
50 service, or both, as the case may be, shall not be carried out except in
51 the manner and upon the notice as is required of a waterworks corpo-
52 ration pursuant to subdivisions three-a, three-b and three-c of section
53 eighty-nine-b and section one hundred sixteen of the public service law,
54 and (ix) in the discretion of the authority, require reports concerning
55 the project from the water board to the authority and the city.
S. 1406 201 A. 2106
1 § 35. Subdivision 2 of section 1048-i of the public authorities law,
2 as added by chapter 796 of the laws of 1985, is amended to read as
3 follows:
4 2. Any such agreements (i) shall describe in sufficient detail for
5 reasonable identification the particular water project to be financed in
6 whole or in part by the authority, (ii) shall describe the plan for the
7 financing of the cost of the construction of such water project, includ-
8 ing the amount, if any, to be provided by the water board and the source
9 or sources thereof, (iii) shall set forth the method by which and by
10 whom and the terms and conditions upon which moneys provided by the
11 authority shall be disbursed, (iv) may require, in the discretion of the
12 authority, the payment to the authority of the proceeds of any state and
13 federal grants available to the water board, (v) shall provide for the
14 establishment of user fees, rates, rents and other charges and the
15 charging and collection thereof by the water board for the use of, or
16 services furnished, rendered or made available by such system such as to
17 provide that such board receive revenues at least sufficient, together
18 with other revenues of the board, if any, to meet the requirements of
19 subdivision one of section one thousand forty-eight-j of this title,
20 provided that revenues received by such board shall be deposited in a
21 special fund established pursuant to this title and disbursed to, and
22 upon certification of, the authority, (vi) may provide for the transfer
23 by the city to the water board pursuant to section one thousand forty-
24 eight-h of this title of ownership of the water system of which such
25 project will form a part, (vii) shall provide for the construction and
26 completion of such water project by the city and for the operation,
27 maintenance and repair thereof as an integrated part of the system of
28 which such water project forms a part, subject to such terms and condi-
29 tions, not inconsistent with this title, which may be in the public
30 interest and necessary or desirable properly and adequately to secure
31 the holders of bonds of the authority, provided, however, all contracts
32 for public work and all purchase contracts shall be awarded by the city
33 as provided by law for the award of such contracts by the city and that
34 all contracts for construction shall be let in accordance with the
35 provisions of state law pertaining to prevailing wages, labor standards
36 and working hours[. When the entire cost of constructing a building as
37 part of any water project shall exceed fifty thousand dollars, the city
38 shall prepare separate specifications for the following three subdivi-
39 sions of the work to be performed: (a) plumbing and gas fitting; (b)
40 steam heating, hot water heating, ventilating and air conditioning appa-
41 ratus; and (c) electric wiring and standard illuminating fixtures],
42 (viii) shall provide for the discontinuance or disconnection of the
43 supply of water for non-payment of fees, rates, rents or other charges
44 therefor imposed by the water board, provided such discontinuance or
45 disconnection of any supply of water shall not be carried out except in
46 the manner and upon the notice as is required of a waterworks corpo-
47 ration pursuant to subdivisions three-a, three-b and three-c of section
48 eighty-nine-b and section one hundred sixteen of the public service law,
49 and (ix) in the discretion of the authority, require reports concerning
50 the project from the water board to the authority and the city.
51 § 36. Section 1137 of the public authorities law, as added by chapter
52 595 of the laws of 1991, is amended to read as follows:
53 § 1137. Construction and purchase contracts. The authority shall let
54 contracts for construction or purchase of supplies, materials, or equip-
55 ment pursuant to [sections one hundred one and] section one hundred
56 three of the general municipal law. Nothing in this section shall be
S. 1406 202 A. 2106
1 construed to limit the power of the authority to do any construction
2 directly by the officers, agents and employees of the authority.
3 § 37. Section 1147-u of the public authorities law, as added by chap-
4 ter 691 of the laws of 1995, is amended to read as follows:
5 § 1147-u. Construction and purchase contracts. The authority shall let
6 contracts for construction or purchase of supplies, materials, or equip-
7 ment pursuant to [sections one hundred one and] section one hundred
8 three of the general municipal law and shall be let in accordance with
9 the provisions of state law pertaining to prevailing wages, labor stand-
10 ards, and working hours. Nothing in this section shall be construed to
11 limit the power of the authority to do any construction directly by the
12 officers, agents and employees of the authority.
13 § 38. Section 1174-q of the public authorities law, as added by chap-
14 ter 491 of the laws of 1991, is amended to read as follows:
15 § 1174-q. Construction and purchase contracts. The authority shall let
16 contracts for construction or purchase of supplies, materials, or equip-
17 ment pursuant to [sections one hundred one and] section one hundred
18 three of the general municipal law. Nothing in this section shall be
19 construed to limit the power of the authority to do any construction
20 directly by the officers, agents and employees of the authority or to
21 contract with a public utility, for a term not to exceed five years, for
22 the operation and maintenance of a water supply system acquired from
23 said public utility.
24 § 39. Section 1198-q of the public authorities law, as added by chap-
25 ter 868 of the laws of 1990, is amended to read as follows:
26 § 1198-q. Construction and purchase contracts. The authority shall let
27 contracts for construction or purchase of supplies, materials, or equip-
28 ment pursuant to [sections one hundred one and] section one hundred
29 three of the general municipal law. Nothing in this section shall be
30 construed to limit the power of the authority to do any construction
31 directly by the officers, agents and employees of the authority or to
32 contract with a public utility, for a term not to exceed five years, for
33 the operation and maintenance of a water supply system acquired from
34 said public utility.
35 § 40. Section 1199-qqq of the public authorities law, as added by
36 chapter 678 of the laws of 1990, is amended to read as follows:
37 § 1199-qqq. Construction and purchase contracts. The authority shall
38 let contracts for construction or purchase of supplies, materials, or
39 equipment pursuant to [sections one hundred one and] section one hundred
40 three of the general municipal law. Nothing in this section shall be
41 construed to limit the power of the authority to do any construction
42 directly by the officers, agents and employees of the authority.
43 § 41. Section 1199-qqqq of the public authorities law, as added by
44 chapter 195 of the laws of 1995, is amended to read as follows:
45 § 1199-qqqq. Construction and purchase contracts. The authority shall
46 let contracts for construction or purchase of supplies, materials, or
47 equipment pursuant to [sections one hundred one and] section one hundred
48 three of the general municipal law and shall be let in accordance with
49 the provisions of state law pertaining to prevailing wages, labor stand-
50 ards, and working hours. Nothing in this section shall be construed to
51 limit the power of the authority to do any construction directly by the
52 officers, agents and employees of the authority.
53 § 42. Section 1226-t of the public authorities law, as added by chap-
54 ter 647 of the laws of 1994, is amended to read as follows:
55 § 1226-t. Contracts. All contracts for construction shall be let by
56 the authority in [conformity with the applicable provisions of section
S. 1406 203 A. 2106
1 one hundred thirty-five of the state finance law and shall be let in]
2 accordance with the provisions of state law pertaining to prevailing
3 wages, labor standards and working hours.
4 The authority may, in its discretion, assign contracts for supervision
5 and coordination to the successful bidder for any subdivision of work
6 for which the authority receives bids. The authority shall not award any
7 construction contract except to the lowest bidder who, in its opinion,
8 is qualified to perform the work required and who is responsible and
9 reliable. The authority may, however, reject any or all bids or waive
10 any informality in a bid if it believes that the public interest will be
11 promoted thereby. The authority may reject any bid if, in its judgment,
12 the business and technical organization, plant, resources, financial
13 standing, or experience of the bidder justifies such rejection in view
14 of the work to be performed.
15 § 43. Section 1230-u of the public authorities law, as added by chap-
16 ter 275 of the laws of 2002, is amended to read as follows:
17 § 1230-u. Contracts. All contracts for construction or purchase of
18 supplies, materials or equipment shall be let by the water board, shall
19 be made in conformity with the applicable provisions of section one
20 hundred three of the general municipal law [and section one hundred
21 thirty-five of the state finance law]. For the purposes of article
22 fifteen-A of the executive law only, the authority and the water board
23 shall each be deemed a state agency as that term is used in such arti-
24 cle, and its contracts for procurement, design, construction, services
25 and materials shall be deemed state contracts within the meaning of that
26 term as set forth in such article. All construction contracts shall be
27 let in accordance with the provisions of state law pertaining to
28 prevailing wages, labor standards and working hours. The water board
29 may, in its discretion, assign contracts for supervision and coordi-
30 nation to the successful bidder for any subdivision of work for which
31 the water board receives bids. The water board shall not award any
32 construction contract except to the lowest bidder who, in its opinion,
33 is qualified to perform the work required and who is responsible and
34 reliable. The water board may, however, reject any or all bids or waive
35 any informality in a bid if it believes that the public interest will be
36 promoted thereby. The water board may reject any bid if, in its judg-
37 ment, the business and technical organization, plant, resources, finan-
38 cial standing, or experience of the bidder justifies such rejection in
39 view of the work to be performed. Nothing in this title shall be
40 construed to limit or diminish the power of the water board to do any
41 construction directly by the officers, employees or agents of the water
42 board.
43 § 44. Subdivision 1 of section 1287 of the public authorities law, as
44 amended by chapter 552 of the laws of 1980, is amended to read as
45 follows:
46 1. [Construction contracts other than for resource recovery facilities
47 let by the corporation shall be in conformity with the applicable
48 provisions of section one hundred thirty-five of the state finance law,
49 but the corporation in its discretion may assign such contracts for
50 supervision and coordination to the successful bidder for any subdivi-
51 sion of work for which the corporation receives bids.] Contracts for
52 resource recovery facilities may be awarded by the corporation in the
53 same manner as by a municipality pursuant to section one hundred twen-
54 ty-w of the general municipal law.
S. 1406 204 A. 2106
1 § 45. Paragraph (f) of subdivision 13 of section 1678 of the public
2 authorities law, as added by chapter 825 of the laws of 1987, is amended
3 to read as follows:
4 (f) To sell, convey, lease, sublease or otherwise transfer any real
5 property or interest therein held by the authority to any person, firm,
6 association, corporation or agency, including a public body, for the
7 purpose of constructing or otherwise providing thereon a combined occu-
8 pancy structure, provided that, simultaneously therewith, the authority
9 enters into an agreement for the reconveyance, purchase, lease, sublease
10 or other acquisition of the court facilities to be contained in such
11 combined occupancy structures.
12 Any contract undertaken or financed by the dormitory authority for any
13 construction, reconstruction, rehabilitation or improvement of any court
14 facilities or combined occupancy structures shall comply with the
15 provisions of [sections one hundred one and] section one hundred three
16 of the general municipal law.
17 § 46. Paragraph a of subdivision 2 of section 1680 of the public
18 authorities law, as amended by chapter 563 of the laws of 1990, the
19 second undesignated paragraph as amended by chapter 264 of the laws of
20 1995, is amended to read as follows:
21 a. [The dormitory authority is hereby authorized and empowered upon
22 application of the educational institution concerned to acquire, design,
23 construct, reconstruct, rehabilitate and improve, or otherwise provide
24 and furnish and equip dormitories and attendant facilities for any
25 educational institution, provided that any contract undertaken or
26 financed by the dormitory authority for any construction, recon-
27 struction, rehabilitation or improvement of any building or structure
28 commenced after September first, nineteen hundred seventy-four for the
29 Gananda school district or the Gananda educational facilities corpo-
30 ration, or any agency, board or commission therein, or any official
31 thereof, shall comply with the provisions of section one hundred one of
32 the general municipal law and the specifications for such contract may
33 provide for assignment of responsibility for coordination of any of the
34 contracts for such work to a single responsible and qualified person,
35 firm or corporation; provided, however, that all contracts for
36 construction of buildings on behalf of Queens Hospital Center shall be
37 in conformity with the provisions of section one hundred one of the
38 general municipal law; provided that any contracts for the construction,
39 reconstruction, rehabilitation or improvement of any public work project
40 undertaken by the dormitory authority of any facility for the aged for
41 any political subdivision of the state or any district therein or agen-
42 cy, department, board or commission thereof, or any official thereof,
43 shall comply with the provisions of section one hundred thirty-five of
44 the state finance law; and provided further that any contract undertaken
45 or financed by the dormitory authority for any construction, recon-
46 struction, rehabilitation or improvement of any building commenced after
47 January first, nineteen hundred eighty-nine for the department of health
48 shall comply with the provisions of section one hundred thirty-five of
49 the state finance law.]
50 Each educational institution defined in subdivision one of this
51 section, except the department of health of the state of New York,
52 shall, when authorized by an appropriate resolution adopted by its
53 governing board or, when permitted, adopted by an appropriate committee
54 of such governing board, have power: (i) to convey or cause to be
55 conveyed to the authority real property or rights in real property
56 required in connection with the construction and financing of a dormito-
S. 1406 205 A. 2106
1 ry by the authority for such educational institution; or (ii) to enter
2 into agreements or leases or both with the dormitory authority pursuant
3 to subdivision sixteen of section sixteen hundred seventy-eight of this
4 chapter and to paragraph e of this subdivision, or both, or, in the case
5 of the department of health of the state of New York, providing that
6 legislation or appropriations which specifies the facilities to be
7 acquired, constructed, reconstructed, rehabilitated or improved for the
8 department of health of the state of New York and the total estimated
9 costs for each such facility, not to exceed four hundred [seventy three]
10 seventy-three million five hundred thousand dollars in the aggregate,
11 shall have been approved by the legislature, the commissioner of health
12 shall have power: (i) to convey or cause to be conveyed to the authority
13 real property or rights in real property required in connection with the
14 construction and financing of a dormitory by the authority for such
15 educational institution; or (ii) to enter into agreements or leases or
16 both with the dormitory authority pursuant to subdivision sixteen of
17 section sixteen hundred seventy-eight of this chapter and to paragraph e
18 of this subdivision or both. The educational institution for which such
19 dormitory and attendant facility is intended to be provided shall
20 approve the plans and specifications and location of such dormitory and
21 attendant facility. The dormitory authority shall have the same power
22 and authority in respect to such dormitories and attendant facilities
23 provided pursuant to this subdivision that it has relative to other
24 dormitories.
25 § 47. Paragraph f of subdivision 27 of section 1680 of the public
26 authorities law, as added by chapter 202 of the laws of 1990, is
27 REPEALED.
28 § 48. Paragraph a of subdivision 1 of section 1734 of the public
29 authorities law, as added by chapter 738 of the laws of 1988, is amended
30 to read as follows:
31 a. All contracts for the construction, reconstruction, improvement,
32 rehabilitation, maintenance, repair, furnishing, equipping of or other-
33 wise providing for educational facilities for the city board may be
34 awarded in accordance with the provisions of this section, notwithstand-
35 ing the provisions of section eight of the public buildings law, section
36 one hundred three of the general municipal law, [section one hundred
37 thirty-five of the state finance law,] section seven of the New York
38 state financial emergency act for the city of New York or of any other
39 provision of general, special or local law, charter or administrative
40 code.
41 § 49. Paragraph b of subdivision 1 of section 1734 of the public
42 authorities law is REPEALED.
43 § 50. Section 1735 of the public authorities law, as added by chapter
44 738 of the laws of 1998, subdivision 1 as amended by chapter 410 of the
45 laws of 1999 and subdivision 4 as amended by chapter 491 of the laws of
46 2000, is amended to read as follows:
47 § 1735. Certain contracts of the authority. 1. [Notwithstanding the
48 provisions of paragraph b of subdivision one of section seventeen
49 hundred thirty-four of this title, the award of construction contracts
50 by the authority between July first, nineteen hundred eighty-nine and
51 June thirtieth, two thousand two, shall not be subject to the provisions
52 of section one hundred one of the general municipal law.
53 2.] Notice of the invitation for bids for contracts to be awarded
54 pursuant to this section shall state the time and place of the receipt
55 and opening of bids.
S. 1406 206 A. 2106
1 [3. All bidders shall submit to the authority, prior to the opening of
2 a bid for the award of a contract under this section, a sealed list
3 identifying the names of each subcontractor each contractor proposes to
4 utilize under the contract for the performance of the following subdivi-
5 sions of work:
6 a. Plumbing and gas fitting;
7 b. Steam heating, hot water heating, ventilating and air conditioning
8 apparatus; and
9 c. Electric wiring and standard illuminating fixtures.
10 The low bidder shall specify in such list the estimated value to be
11 paid each such subcontractor for the work to be performed by such
12 subcontractor. After the authority has announced the low bidder at the
13 bid opening, the authority shall open only such low bidder's separate
14 sealed list and shall read aloud such subcontractors listed therein. All
15 such sealed lists except those of the low bidder shall be returned
16 unopened to their respective contractors following the awarding of a
17 contract.
18 4.] 2. The authority shall establish a committee to review and report
19 on contracts issued pursuant to this section and on the procedures and
20 methodology of the authority in awarding such contracts. The review
21 shall include, but not be limited to, the degree to which contractors
22 awarded contracts pursuant to such paragraph, and the subcontractors
23 utilized by them, utilize employees who are represented by labor organ-
24 izations, comply with existing labor standards, maintain harmonious
25 labor relations and recognize state approved apprentice programs. The
26 committee shall, from time to time, issue economic and statistical
27 reports dealing with the costs of construction under this article. Such
28 reports shall deal with the costs of labor, material, equipment and
29 profit. The committee shall have no authority to approve or disapprove
30 contracts. The committee shall be composed of two representatives from
31 the authority, one representative from the board, two representatives
32 from construction-related labor organizations and two representatives
33 from the construction industry[, at least one of whom shall be involved
34 in the subdivisions of work described in subdivision three of this
35 section]. The president of the authority shall designate the members of
36 the committee, provided, however, that the president shall designate the
37 representatives of labor organizations from a list of names submitted by
38 the New York state AFL-CIO.
39 [5.] 3. In awarding contracts pursuant to this section the authority
40 shall, in addition to the factors set forth in subdivision three of
41 section seventeen hundred thirty-four of this title, consider the
42 following factors when establishing a list of pre-qualified bidders for
43 construction work: (a) the degree to which a contractor or subcontractor
44 utilizes employees who are represented by a labor organization; (b) the
45 absence of any intentional misrepresentation with regard to lists of
46 subcontractors previously submitted pursuant to the provisions of subdi-
47 vision two of this section; and (c) the record of the bidder in comply-
48 ing with existing labor standards, maintaining harmonious labor
49 relations and recognizing state approved apprentice programs.
50 [6.] 4. The authority shall provide in its construction, erection or
51 alteration contracts which implement a five year educational facilities
52 capital plan a provision that shall require each contractor to make
53 prompt payment to its subcontractors [performing each subdivision of
54 work listed in subdivision three of this section]. Within seven calendar
55 days of the receipt of any payment from the authority, the contractor
56 shall pay to each such subcontractor that portion of the proceeds of
S. 1406 207 A. 2106
1 such payment representing the value of the work performed by such
2 subcontractor, based upon the actual value of the subcontract, which has
3 been approved and paid for by the authority, less an amount necessary to
4 satisfy any claims, liens or judgments against the subcontractor which
5 have not been suitably discharged and less any amount retained by the
6 contractor as provided herein. For such purpose, the subcontract may
7 provide that the contractor may retain not more than five per centum of
8 each payment to the subcontractor or not more than ten per centum of
9 each such payment if prior to entering into the subcontract the subcon-
10 tractor is unable or unwilling to provide, at the request of the
11 contractor, a performance bond and a labor and material bond both in the
12 amount of the subcontract.
13 At the time of making a payment to the contractor for work performed
14 by the subcontractors [set forth in subdivision three of this section],
15 the authority shall file in its office for review a record of such
16 payment. If any such subcontractor shall notify the authority and the
17 contractor in writing that the contractor has failed to make a payment
18 to it as provided herein and the contractor shall fail, within five
19 calendar days after receipt of such notice, to furnish either proof of
20 such payment or notice that the amount claimed by the subcontractor is
21 in dispute, the authority shall withhold from amounts then or thereafter
22 becoming due and payable to the contractor, other than from amounts
23 becoming due and payable to the contractor representing the value of
24 work approved by the authority and performed by other subcontractors and
25 which the contractor is required to pay to such subcontractors within
26 seven calendar days as herein provided, an amount equal to that portion
27 of the authority's prior payment to the contractor which the subcontrac-
28 tor claims to be due it, shall remit the amount when and so withheld to
29 the subcontractor and deduct such payment from the amounts then other-
30 wise due and payable to the contractor, which payment shall, as between
31 the contractor and the authority, be deemed a payment by the authority
32 to the contractor. In the event the contractor shall notify the authori-
33 ty as above provided that the claim of the subcontractor is in dispute,
34 the authority shall withhold from amounts then or thereafter becoming
35 due and payable to the contractor, other than from amounts becoming due
36 and payable to the contractor representing the value of work approved by
37 the authority and performed by other subcontractors and which the
38 contractor is required to pay to such subcontractors within seven calen-
39 dar days as herein provided, an amount equal to that portion of the
40 authority's prior payment to the contractor which the subcontractor
41 claims to be due it and deposit such amount when and so withheld in a
42 separate interest-bearing account pending resolution of the dispute, and
43 the amount so deposited together with the interest thereon shall be paid
44 to the party or parties ultimately determined to be entitled thereto, or
45 until the contractor and subcontractor shall otherwise agree as to the
46 disposition thereof. In the event the authority shall be required to
47 withhold amounts from a contractor for the benefit of more than one
48 subcontractor, the amounts so withheld shall be applied to or for such
49 subcontractors in the order in which the written notices of nonpayment
50 have been received by the authority, and if more than one such notice
51 was received on the same day, proportionately based upon the amount of
52 the subcontractor claims received on such day. Nothing herein contained
53 shall prevent the authority from commencing an interpleader action to
54 determine entitlement to a disputed payment in accordance with section
55 one thousand six of the civil practice law and rules, or any successor
56 provision thereto.
S. 1406 208 A. 2106
1 Payment to a subcontractor shall not relieve the contractor from
2 responsibility for the work covered by the payment. Except as otherwise
3 provided, nothing contained herein shall create any obligation on the
4 part of the authority to pay any subcontractor, nor shall anything
5 provided herein serve to create any relationship in contract or other-
6 wise, implied or expressed, between the subcontractor and the authority.
7 [The provisions of this subdivision shall not be applicable to the
8 subcontractors of a contractor whose contract is limited to the perform-
9 ance of a single subdivision of work listed in subdivision three of this
10 section.
11 7.] 5. The provisions of this section shall cease to be in effect in
12 the event any of the provisions of this section shall be adjudged to be
13 invalid by the final judgment of a court of competent jurisdiction from
14 which judgment all appeals or applications for relief have been
15 exhausted or the time therefor has expired, provided, however, that such
16 appeals or applications are pursued promptly.
17 § 51. Subdivision 1 of section 1840-n of the public authorities law,
18 as added by chapter 273 of the laws of 1979, is amended to read as
19 follows:
20 1. Construction contracts let by the authority or a local development
21 corporation shall be in conformity with the applicable provisions of
22 [sections one hundred thirty-five and] section one hundred forty-four of
23 the state finance law.
24 § 52. Section 1949-d of the public authorities law, as added by chap-
25 ter 130 of the laws of 1996, is amended to read as follows:
26 § 1949-d. Contracts. All contracts for construction shall be let [by
27 the authority in conformity with the applicable provisions of section
28 one hundred thirty-five of the state finance law and shall be let] in
29 accordance with the provisions of state law pertaining to prevailing
30 wages, labor standards and working hours.
31 The authority may, in its discretion, assign contracts for supervision
32 and coordination to the successful bidder for any subdivision of work
33 for which the authority receives bids. The authority shall not award any
34 construction contract except to the lowest bidder who, in its opinion,
35 is qualified to perform the work required and who is responsible and
36 reliable. The authority may, however, reject any or all bids or waive
37 any informality in a bid if it believes that the public interest will be
38 promoted thereby. The authority may reject any bid if, in its judgment,
39 the business and technical organization, plant, resources, financial
40 standing, or experience of the bidder justifies such rejection in view
41 of the work to be performed.
42 § 53. Subdivision 4 of section 1974 of the public authorities law, as
43 amended by chapter 596 of the laws of 1973, is amended to read as
44 follows:
45 4. To acquire, construct, improve, enlarge, operate and maintain a
46 project within the project area as defined herein and all other struc-
47 tures, appurtenances and facilities necessary or convenient in
48 connection therewith, [provided, however, that all contracts for
49 construction let by the authority shall be let in conformity with the
50 provisions of section one hundred thirty-five of the state finance law,]
51 except that contracts for construction let by subsidiaries of the
52 authority shall be governed [instead] by the applicable provisions of
53 the private housing finance law;
54 § 54. Subdivision 1 of section 2051-p of the public authorities law,
55 as added by chapter 667 of the laws of 1988, is amended to read as
56 follows:
S. 1406 209 A. 2106
1 1. All contracts or orders, for work, material or supplies performed
2 or furnished in connection with construction, shall be awarded by the
3 agency pursuant to resolution of the governing body except as hereinaft-
4 er provided. Such awards, when applicable, shall be made in compliance
5 with paragraph (e) of subdivision four and subdivision seven[, except
6 paragraph (b),] of section one hundred twenty-w of the general municipal
7 law. In any construction contract, the agency may provide a program for
8 the payment of damages for delays and incentive awards in order to
9 encourage timely project completion. An action, suit or proceeding
10 contesting the validity of a contract awarded pursuant to this section,
11 or the validity of the procedures relating to such award, shall be
12 governed by the provisions of subdivision six of section one hundred
13 twenty-w of the general municipal law and the term "municipality" as
14 used in such subdivision six shall mean the agency.
15 § 55. Subdivision 2 of section 2350-o of the public authorities law is
16 REPEALED and subdivision 3 is renumbered subdivision 2.
17 § 56. Paragraph (a) of subdivision 6 of section 2466 of the public
18 authorities law is REPEALED and paragraphs (b) and (c) are relettered
19 paragraphs (a) and (b).
20 § 57. Subdivision 1 of section 2508 of the public authorities law, as
21 added by chapter 816 of the laws of 1973, is amended to read as follows:
22 1. All contracts for the construction, reconstruction, rehabilitation
23 or improvement of buildings or structures shall be let in the manner
24 provided by law for contracts of the city. The authority [in] if prepar-
25 ing separate specifications may provide for assignment of responsibility
26 for coordination of any of the contracts for such work to a responsible
27 person, firm or corporation.
28 § 58. Section 2591 of the public authorities law, as added by chapter
29 545 of the laws of 2000, is amended to read as follows:
30 § 2591. Contracts. 1. [Construction contracts let by the authority
31 shall be in conformity with the applicable provisions of section one
32 hundred thirty-five of the state finance law.
33 2.] The authority may, in its discretion, assign contracts for super-
34 vision and coordination to the successful bidder for any subdivision of
35 work for which the authority receives bids. Any construction contract
36 awarded by the authority shall contain such other terms and conditions
37 as the authority may deem desirable. The authority shall not award any
38 construction contract except to the lowest bidder who, in its opinion,
39 is qualified to perform the work required and who is responsible and
40 reliable. The authority may, however, reject any or all bids or waive
41 any informality in a bid if it believes that the public interest will be
42 promoted thereby. The authority may reject any bid, if, in its judgment,
43 the business and technical organization, plant, resources, financial
44 standing, or experience of the bidder justifies such rejection in view
45 of the work to be performed.
46 [3.] 2. All contracts or leases for the construction, reconstruction,
47 rehabilitation or improvement of buildings let by the authority shall
48 comply with the provisions of section two hundred twenty of the labor
49 law.
50 [4.] 3. For the purposes of article fifteen-A of the executive law
51 only, the authority shall be deemed a state agency as that term is used
52 in such article, and all contracts for procurement, design,
53 construction, services and materials shall be deemed state contracts
54 within the meaning of that term as set forth in such article.
55 [5.] 4. If after consideration, the authority determines acting within
56 its discretion and proprietary capacity that given the purpose of any
S. 1406 210 A. 2106
1 project and the impact of delay, the possibility of cost savings advan-
2 tages, and the local history of labor unrest, if any, its interest in
3 obtaining the best work at the lowest possible price and preventing
4 favoritism, fraud and corruption are best met by requiring a project
5 labor agreement as an incident of any contract let by the authority
6 regarding any project, it may require such a project labor agreement.
7 § 59. Subdivision 1 of section 2620 of the public authorities law, as
8 added by chapter 404 of the laws of 1981, is amended to read as follows:
9 1. Construction contracts let by the authority shall be in conformity
10 with the applicable provisions of [sections one hundred thirty-five and]
11 section one hundred forty-four of the state finance law.
12 § 60. Section 2642-m of the public authorities law, as added by chap-
13 ter 75 of the laws of 2000, is amended to read as follows:
14 § 2642-m. Contracts. 1. All contracts for the construction, recon-
15 struction, rehabilitation or improvement of buildings let by the author-
16 ity shall comply with the provisions of section two hundred twenty of
17 the labor law and shall also be subject to the provisions of law appli-
18 cable to contracts let by a municipal corporation, except as otherwise
19 provided herein.
20 2. [All contracts for the construction, reconstruction, rehabilitation
21 or improvement of buildings let by the authority shall be in conformity
22 with the applicable provisions of section one hundred thirty-five of the
23 state finance law.
24 3.] The authority may, in its discretion, assign contracts for super-
25 vision and coordination to the successful bidder for any subdivision of
26 work for which the authority receives bids. Any construction contract
27 awarded by the authority shall contain such other terms and conditions
28 as the authority may deem desirable. The authority shall award any
29 construction contract involving an expenditure of more than five thou-
30 sand dollars to the lowest bidder who, in its opinion, is qualified to
31 perform the work required and who is responsible and reliable. The
32 authority may, however, reject any or all bids or waive any informality
33 in a bid if it believes that the public interest will be promoted there-
34 by. The authority may reject any bid, if, in its judgment, the business
35 and technical organization, plant, resources, financial standing, or
36 experience of the bidder justifies such rejection in view of the work to
37 be performed.
38 [4.] 3. For the purposes of article fifteen-A of the executive law
39 only, the authority shall be deemed a state agency as that term is used
40 in such article, and all contracts for procurement, design,
41 construction, services and materials shall be deemed state contracts
42 within the meaning of that term as set forth in such article.
43 § 61. Section 2656 of the public authorities law, as added by chapter
44 124 of the laws of 1998, subdivision 3 as amended by chapter 631 of the
45 laws of 2002, is amended to read as follows:
46 § 2656. Contracts. 1. [Construction contracts let by the authority
47 shall be in conformity with the applicable provisions of section one
48 hundred thirty-five of the state finance law.
49 2.] The authority may, in its discretion, assign contracts for super-
50 vision and coordination to the successful bidder for any subdivision of
51 work for which the authority receives bids. Any construction contract
52 awarded by the authority shall contain such other terms and conditions
53 as the authority may deem desirable. The authority shall not award any
54 construction contract except to the lowest bidder who, in its opinion,
55 is qualified to perform the work required and who is responsible and
56 reliable. The authority may, however, reject any or all bids or waive
S. 1406 211 A. 2106
1 any informality in a bid if it believes that the public interest will be
2 promoted thereby. The authority may reject any bid, if, in its judgment,
3 the business and technical organization, plant, resources, financial
4 standing, or experience of the bidder justifies such rejection in view
5 of the work to be performed.
6 [3.] 2. Each contract to which the authority is a party including, but
7 not limited to, any contract, lease, grant, bond, covenant, or other
8 debt agreement entered into directly or indirectly by the authority
9 financing in whole or in part, the construction, demolition, recon-
10 struction, excavation, rehabilitation, repair, renovation or alteration
11 of a building or an improvement to property shall require that employ-
12 ers, contractors and sub-contractors shall comply with the provisions of
13 section two hundred twenty of the labor law.
14 [4.] 3. For the purposes of article fifteen-A of the executive law
15 only, the authority shall be deemed a state agency as that term is used
16 in such article, and all contracts for procurement, design,
17 construction, services and materials shall be deemed state contracts
18 within the meaning of that term as set forth in such article[;].
19 § 62. Subdivision 1 of section 2680-q of the public authorities law,
20 as added by chapter 632 of the laws of 1999, is amended to read as
21 follows:
22 1. The authority shall let contracts for construction or purchase of
23 supplies, materials, or equipment pursuant to [sections one hundred one
24 and] section one hundred three of the general municipal law. Nothing in
25 this section shall be construed to limit the powers of the authority to
26 do any construction directly by the officers, agents and employees of
27 the authority.
28 § 63. Subdivision 1 of section 2722 of the public authorities law is
29 REPEALED and subdivisions 2 and 3 are renumbered subdivisions 1 and 2.
30 § 64. Section 2768 of the public authorities law, as added by chapter
31 663 of the laws of 1989, is amended to read as follows:
32 § 2768. Contracts. All contracts for construction shall be let by the
33 authority in conformity with the applicable provisions of [section one
34 hundred thirty-five of the state finance law and shall be let in accord-
35 ance with the provisions of] state law pertaining to prevailing wages,
36 labor standards and working hours. [In the case of industrial projects,
37 whenever the authority determines that trade secrets or other confiden-
38 tial information about the prospective project occupant's business oper-
39 ations, products, processes or designs would be revealed by public
40 bidding, the requirements of section one hundred thirty-five of the
41 state finance law with respect to public bidding may be waived. In such
42 event, separate specifications shall be prepared for, and separate and
43 independent contracts shall be entered into, for the following three
44 subdivisions of work to be performed: (a) plumbing and gas fitting; (b)
45 steam heating, hot water heating, ventilating and air conditioning appa-
46 ratus; and (c) electric wiring and standard illuminating fixtures.] The
47 authority may, in its discretion, assign contracts for supervision and
48 coordination to the successful bidder for any subdivision of work for
49 which the authority receives bids. The authority shall not award any
50 construction contract except to the lowest bidder who, in its opinion,
51 is qualified to perform the work required and who is responsible and
52 reliable. The authority may, however, reject any or all bids or waive
53 any informality in a bid if it believes that the public interest will be
54 promoted thereby. The authority may reject any bid if, in its judgment,
55 the business and technical organization, plant, resources, financial
S. 1406 212 A. 2106
1 standing, or experience of the bidder justifies such rejection in view
2 of the work to be performed.
3 § 65. Section 2794 of the public authorities law, as added by chapter
4 686 of the laws of 1993, is amended to read as follows:
5 § 2794. Contracts. All contracts for construction shall be let by the
6 authority in conformity with the applicable provisions of [section one
7 hundred thirty-five of the state finance law and shall be let in accord-
8 ance with the provisions of] state law pertaining to prevailing wages,
9 labor standards and working hours.
10 The authority may, in its discretion, assign contracts for supervision
11 and coordination to the successful bidder for any subdivision of work
12 for which the authority receives bids. The authority shall not award any
13 construction contract except to the lowest bidder who, in its opinion,
14 is qualified to perform the work required and who is responsible and
15 reliable. The authority may, however, reject any or all bids or waive
16 any informality in a bid if it believes that the public interest will be
17 promoted thereby. The authority may reject any bid if, in its judgment,
18 the business and technical organization, plant, resources, financial
19 standing, or experience of the bidder justifies such rejection in view
20 of the work to be performed.
21 § 66. The opening paragraph of subdivision 9 of section 3303 of the
22 public authorities law, as added by chapter 11 of the laws of 1997, is
23 amended to read as follows:
24 It is the intent of the legislature that overall cost should in all
25 cases be a major criterion in the selection of project developers for
26 award of contracts pursuant to this section and that, wherever practi-
27 cal, such contracts should be entered into through competitive bidding
28 procedures as prescribed by [sections one hundred one and] section one
29 hundred three of the general municipal law. It is further the intent of
30 the legislature to acknowledge the highly complex and innovative nature
31 of medical technology, diagnostic and treatment devices, the relative
32 newness of a variety of devices, processes and procedures now available,
33 the desirability of a single point of responsibility for the development
34 of medical treatment and diagnostic facilities and the economic and
35 technical utility of contracts for medical projects which include in
36 their scope various combinations of design, construction, operation,
37 management and/or maintenance responsibility over prolonged periods of
38 time and that in some instances it may be beneficial to the corporation
39 to award a contract for a medical project on the basis of factors other
40 than cost alone, including but not limited to facility design, system
41 reliability, efficiency, safety, and compatibility with other elements
42 of patient care. Accordingly, and notwithstanding the provisions of any
43 general, special or local law or chapter, a contract for a medical
44 project entered into between the corporation and any project developer
45 pursuant to this section may be awarded pursuant to public bidding in
46 compliance with sections one hundred one and one hundred three of the
47 general municipal law or pursuant to the following provisions for the
48 award of a contract based on evaluation of proposals submitted in
49 response to a request for proposals prepared by or for the corporation:
50 § 67. Subdivision 10 of section 3303 of the public authorities law, as
51 added by chapter 11 of the laws of 1997, is amended to read as follows:
52 10. Every contract entered into between the corporation and a project
53 developer, pursuant to the provisions of paragraph (d) of subdivision
54 nine of this section, for a medical project involving construction of a
55 medical building by the project developer, shall contain provisions that
56 such building shall be constructed through construction contracts
S. 1406 213 A. 2106
1 awarded through competitive bidding in accordance with paragraphs (a)
2 through [(g)] (f) of this subdivision; that the project developer or the
3 project developer's construction subcontractor shall furnish a bond
4 guaranteeing prompt payment of moneys that are due to all persons
5 furnishing labor and materials pursuant to the requirements of such
6 construction contracts, and that a copy of such payment bond shall be
7 kept by the corporation and shall be open to public inspection;
8 provided, however, that the requirements of this subdivision shall not
9 apply when the cost of such construction, exclusive of the cost of
10 medical equipment and devices, is less than seventy-five thousand
11 dollars.
12 (a) The project developer shall advertise for bids for such
13 construction contracts in a daily newspaper having general circulation
14 in the county. Such advertisement shall contain a statement of the time
15 and place where all bids received pursuant to such notice will be
16 publicly opened and read. An employee of the corporation shall be
17 designated to open the bids at the time and place specified in the
18 notice. All bids received shall be publicly opened and read at the time
19 and place so specified. At least five days shall elapse between the
20 publication of such advertisement and date on which the bids are opened.
21 (b) [When the entire cost of constructing such building, exclusive of
22 any medical equipment, apparatus or devices, shall exceed seventy-five
23 thousand dollars, the project developer shall prepare separate specifi-
24 cations for the following subdivisions of such work, so as to permit
25 separate and independent bidding upon each subdivision:
26 (i) plumbing and gas fittings;
27 (ii) steam heating, hot water heating, ventilating and air condition-
28 ing apparatus; and
29 (iii) electric wiring and standard illuminating fixtures.
30 (c) After public competitive bidding, the project developer shall
31 award one or more separate contracts for each of the above subdivisions
32 of such work, whenever separate specifications are required pursuant to
33 paragraph (b) of this subdivision, and one or more contracts for the
34 remainder of such work. The project developer may award such contracts
35 at different times.] Contracts awarded pursuant to this paragraph shall
36 be awarded by the project developer to the lowest responsible and
37 responsive bidder and shall be contracts of the project developer and
38 not of the corporation which shall have no obligation or liabilities,
39 whatsoever, thereunder. The project developer shall have the responsi-
40 bility for the supervision, coordination, and termination of such
41 contracts, unless otherwise specified in contractual terms between the
42 project developer and the corporation.
43 [(d)] (c) In determining whether a prospective contractor is responsi-
44 ble and responsive, the project developer may require that prospective
45 contractors:
46 (i) have adequate financial resources or the ability to obtain such
47 resources;
48 (ii) be able to comply with the required or proposed delivery or
49 performance schedule;
50 (iii) have a satisfactory record of performance;
51 (iv) have the necessary organization, experience, operational
52 controls, and technical skills, or the ability to obtain them;
53 (v) have the necessary production, construction and technical equip-
54 ment and facilities, or the ability to obtain them; and
55 (vi) be eligible to receive an award under applicable laws and regu-
56 lations and be otherwise qualified.
S. 1406 214 A. 2106
1 [(e)] (d) The project developer may reject any bid of a bidder which
2 the project developer determines to be nonresponsible or nonresponsive
3 to the advertisement for bids.
4 [(f)] (e) The project developer may, in its discretion, reject all
5 bids, and may revise bid specifications and may readvertise for bids as
6 provided herein.
7 [(g)] (f) Only as used in this section:
8 (i) "project developer" means any private corporation, partnership,
9 limited liability company, or individual, or combination thereof which
10 has submitted a proposal in response to a request for proposals;
11 (ii) "construction" shall include reconstruction, rehabilitation or
12 improvement exclusive of the installation and assembly of any medical
13 equipment, apparatus or device;
14 (iii) "medical building" means that component of a medical project
15 constituting appurtenant structures or facilities necessary to house or
16 render the remaining components of the medical project operational.
17 Medical building shall not include apparatus, equipment, devices,
18 systems, supplies or any combination thereof;
19 (iv) "medical project" means any substantial durable apparatus, equip-
20 ment, device or system, or any combination of the foregoing, including
21 services necessary to install, erect, or assemble the foregoing and any
22 appurtenant structures or facilities necessary to house or render the
23 foregoing operational, to be used for the purpose of care, treatment or
24 diagnosis of disease or injury or the relief of pain and suffering of
25 sick or injured persons. Medical projects shall not include ordinary
26 supplies and equipment expended or utilized in the customary care and
27 treatment of patients.
28 § 68. The opening paragraph of subdivision 8 of section 3402 of the
29 public authorities law, as added by chapter 9 of the laws of 1997, is
30 amended to read as follows:
31 It is the intent of the legislature that overall cost should in all
32 cases be a major criterion in the selection of project developers for
33 award of contracts pursuant to this section and that, wherever practi-
34 cal, such contracts should be entered into pursuant to the provisions of
35 [sections one hundred one and] section one hundred three of the general
36 municipal law. It is further the intent of the legislature to acknowl-
37 edge the highly complex and innovative nature of medical technology,
38 diagnostic and treatment devices, the relative newness of a variety of
39 devices, processes and procedures now available, the desirability of a
40 single point of responsibility for the development of medical treatment
41 and diagnostic facilities and the economic and technical utility of
42 contracts for medical projects which include in their scope various
43 combinations of design, construction, operation, management and/or main-
44 tenance responsibility over prolonged periods of time and that in some
45 instances it may be beneficial to the corporation to award a contract
46 for a medical project on the basis of factors other than capital cost
47 alone, including but not limited to facility design, system reliability,
48 efficiency, safety, long-term operating costs and compatibility with
49 other elements of patient care. Accordingly, and notwithstanding the
50 provisions of any general, special or local law or chapter, a contract
51 for a medical project entered into between the corporation and any
52 project developer pursuant to this section may be awarded pursuant to
53 public bidding in compliance with [sections one hundred one and] section
54 one hundred three of the general municipal law or pursuant to the
55 following provisions for the award of a contract based on evaluation of
S. 1406 215 A. 2106
1 proposals submitted in response to a request for proposals prepared by
2 or for the corporation:
3 § 69. Subdivision 9 of section 3402 of the public authorities law, as
4 added by chapter 9 of the laws of 1997, is amended to read as follows:
5 9. Every contract entered into between the corporation and a project
6 developer, pursuant to the provisions of paragraph (d) of subdivision
7 eight of this section, for a medical project involving construction of a
8 medical building by the project developer, shall contain provisions that
9 such building shall be constructed through construction contracts
10 awarded through competitive bidding in accordance with paragraphs (a)
11 through [(g)] (f) of this subdivision; that the project developer or the
12 project developer's construction subcontractor shall furnish a bond
13 guaranteeing prompt payment of moneys that are due to all persons
14 furnishing labor and materials pursuant to the requirements of such
15 construction contracts, and that a copy of such payment bond shall be
16 kept by the corporation and shall be open to public inspection;
17 provided, however, that the requirements of this subdivision shall not
18 apply when the cost of such construction, exclusive of the cost of
19 medical equipment and devices, is less than seventy-five thousand
20 dollars.
21 (a) The project developer shall advertise for bids for such
22 construction contracts in a daily newspaper having general circulation
23 in the county. Such advertisement shall contain a statement of the time
24 and place where all bids received pursuant to such notice will be
25 publicly opened and read. An employee of the corporation shall be
26 designated to open the bids at the time and place specified in the
27 notice. All bids received shall be publicly opened and read at the time
28 and place so specified. At least five days shall elapse between the
29 publication of such advertisement and date on which the bids are opened.
30 (b) [When the entire cost of constructing such building, exclusive of
31 any medical equipment, apparatus or devices, shall exceed seventy-five
32 thousand dollars, the project developer shall prepare separate specifi-
33 cations for the following subdivisions of such work, so as to permit
34 separate and independent bidding upon each subdivision:
35 (i) plumbing and gas fittings;
36 (ii) steam heating, hot water heating, ventilating and air condition-
37 ing apparatus; and
38 (iii) electric wiring and standard illuminating fixtures.
39 (c) After public competitive bidding, the project developer shall
40 award one or more separate contracts for each of the above subdivisions
41 of such work, whenever separate specifications are required pursuant to
42 paragraph (b) of this subdivision, and one or more contracts for the
43 remainder of such work. The project developer may award such contracts
44 at different times.] Contracts awarded pursuant to this paragraph shall
45 be awarded by the project developer to the lowest responsible and
46 responsive bidder and shall be contracts of the project developer and
47 not of the corporation which shall have no obligation or liabilities,
48 whatsoever, thereunder. The project developer shall have the responsi-
49 bility for the supervision, coordination, and termination of such
50 contracts, unless otherwise specified in contractual terms between the
51 project developer and the corporation.
52 [(d)] (c) In determining whether a prospective contractor is responsi-
53 ble and responsive, the project developer may require that prospective
54 contractors:
55 (i) have adequate financial resources or the ability to obtain such
56 resources;
S. 1406 216 A. 2106
1 (ii) be able to comply with the required or proposed delivery or
2 performance schedule;
3 (iii) have a satisfactory record of performance;
4 (iv) have the necessary organization, experience, operational
5 controls, and technical skills, or the ability to obtain them;
6 (v) have the necessary production, construction and technical equip-
7 ment and facilities, or the ability to obtain them; and
8 (vi) be eligible to receive an award under applicable laws and regu-
9 lations and be otherwise qualified.
10 [(e)] (d) The project developer may reject any bid of a bidder which
11 the project developer determines to be nonresponsible or nonresponsive
12 to the advertisement for bids.
13 [(f)] (e) The project developer may, in its discretion, reject all
14 bids, and may revise bid specifications and may readvertise for bids as
15 provided herein.
16 [(g)] (f) Only as used in this section:
17 (i) "project developer" means any private corporation, partnership,
18 limited liability company, or individual, or combination thereof which
19 has submitted a proposal in response to a request for proposals;
20 (ii) "construction" shall include reconstruction, rehabilitation or
21 improvement exclusive of the installation and assembly of any medical
22 equipment, apparatus or device;
23 (iii) "medical building" means that component of a medical project
24 constituting appurtenant structures or facilities necessary to house or
25 render the remaining components of the medical project operational.
26 Medical building shall not include apparatus, equipment, devices,
27 systems, supplies or any combination thereof;
28 (iv) "medical project" means any substantial durable apparatus, equip-
29 ment, device or system, or any combination of the foregoing, including
30 services necessary to install, erect, or assemble the foregoing and any
31 appurtenant structures or facilities necessary to house or render the
32 foregoing operational, to be used for the purpose of care, treatment or
33 diagnosis of disease or injury or the relief of pain and suffering of
34 sick or injured persons. Medical projects shall not include ordinary
35 supplies and equipment expended or utilized in the customary care and
36 treatment of patients.
37 § 70. The opening paragraph of subdivision 8 of section 3603 of the
38 public authorities law, as added by chapter 507 of the laws of 1999, is
39 amended to read as follows:
40 It is the intent of the legislature that overall costs should in all
41 cases [by] be a major criterion in the selection of project developers
42 for the award of contracts pursuant to this section and that, wherever
43 practical, such contracts should be entered into through competitive
44 bidding procedures as prescribed by [sections one hundred one and]
45 section one hundred three of the general municipal law. It is further
46 the intent of the legislature to acknowledge the highly complex and
47 innovative nature of medical technology, diagnostic and treatment
48 devices, the relative newness of a variety of devices, processes and
49 procedures now available, the desirability of a single point of respon-
50 sibility for the development of medical treatment and diagnostic facili-
51 ties and the economic and technical utility of contracts for medical
52 projects which include in their scope various combinations of design,
53 construction, operation, management and/or maintenance responsibility
54 over prolonged periods of time. In some instances it may be beneficial
55 to the corporation to award a contract for a medical project on the
56 basis of factors other than cost alone, including but not limited to
S. 1406 217 A. 2106
1 facility design, system reliability, efficiency, safety, and compatibil-
2 ity with other elements of patient care. Accordingly, and notwithstand-
3 ing the provisions of any general, special or local law, a contract for
4 a medical project entered into between the corporation and any project
5 developer pursuant to this article may be awarded pursuant to public
6 bidding in compliance with [sections one hundred one and] section one
7 hundred three of the general municipal law or pursuant to the following
8 provisions for the award of a contract based on evaluation of proposals
9 submitted in response to a request for proposals prepared by or for the
10 corporation:
11 § 71. Subdivision 9 of section 3603 of the public authorities law, as
12 added by chapter 507 of the laws of 1999, is amended to read as follows:
13 9. Every contract entered into between the corporation and a project
14 developer, pursuant to the provisions of paragraph (c) of subdivision
15 eight of this section, for a medical project involving construction of a
16 medical building by the project developer, shall contain provisions that
17 such building shall be constructed through construction contracts
18 awarded through bidding in accordance with paragraphs (a) through [(g)]
19 (f) of this subdivision; that the project developer or the project
20 developer's construction subcontractor shall furnish a bond guaranteeing
21 prompt payment of moneys that are due to all persons furnishing labor
22 and materials pursuant to the requirements of such construction
23 contracts, and that a copy of such payment bond shall be kept by the
24 corporation and shall be open to public inspection; provided, however,
25 that the requirements of this subdivision shall not apply when the cost
26 of such construction, exclusive of the cost of medical equipment and
27 devices, is less than seventy-five thousand dollars.
28 (a) The project developer shall advertise for bids for such
29 construction contracts in the official newspaper or newspapers, if any,
30 or otherwise in a newspaper or newspapers designated for such purpose.
31 Such advertisements shall contain a statement of the time and place
32 where all bids received pursuant to such notice will be publicly opened
33 and read. An employee of the corporation shall be designated to open
34 the bids at the time and place specified in the notice. All bids
35 received shall be publicly opened and read at the time and place so
36 specified. At least five days shall elapse between the publication of
37 such advertisement and date on which the bids are opened.
38 (b) [When the entire cost of constructing such building, exclusive of
39 any medical equipment, apparatus or devices, shall exceed seventy-five
40 thousand dollars, the project developer shall prepare separate specifi-
41 cations for the following subdivisions of such work, so as to permit
42 separate and independent bidding upon each subdivision:
43 (i) plumbing and gas fittings;
44 (ii) steam heating, hot water heating, ventilating and air condition-
45 ing apparatus; and
46 (iii) electric wiring and standard illuminating fixtures.
47 (c) After public competitive bidding, the project developer shall
48 award one or more separate contracts for each of the subdivisions of
49 such work set forth in subparagraphs (i), (ii) and (iii) of paragraph
50 (b) of this subdivision, whenever separate specifications are required
51 pursuant to paragraph (b) of this subdivision, and one or more contracts
52 for the remainder of such work. The project developer may award such
53 contract at different times.] Contracts awarded pursuant to this para-
54 graph shall be awarded by the project developer to the lowest responsi-
55 ble and responsive bidder and shall be contracts of the project develop-
56 er and not of the corporation which shall have no obligation or
S. 1406 218 A. 2106
1 liabilities, whatsoever, thereunder. The project developer shall have
2 the responsibility for the supervision, coordination, and termination of
3 such contracts, unless otherwise specified in contractual terms between
4 the project developer and the corporation.
5 [(d)] (c) In determining whether a prospective contractor is responsi-
6 ble and responsive, the project developer may require that prospective
7 contractors:
8 (i) have adequate financial resources or the ability to obtain such
9 resources;
10 (ii) be able to comply with the required or proposed delivery or
11 performance schedule;
12 (iii) have a satisfactory record of performance;
13 (iv) have the necessary organization, experience, operational
14 controls, and technical skills, or the ability to obtain them;
15 (v) have the necessary production, construction and technical equip-
16 ment and facilities, or the ability to obtain them; and
17 (vi) be eligible to receive an award under applicable laws and regu-
18 lations and be otherwise qualified.
19 [(e)] (d) The project developer may reject any bid of a bidder which
20 the project developer determines to be nonresponsible or nonresponsive
21 to the advertisement for bids.
22 [(f)] (e) The project developer may, in its discretion, reject all
23 bids, and may revise bid specifications and may readvertise for bids as
24 provided herein.
25 [(g)] (f) As used in this section:
26 (i) "project developer" means any private corporation, partnership,
27 limited liability company, or individual, or combination thereof which
28 has submitted a proposal in response to a request for proposals;
29 (ii) "construction" shall include reconstruction, rehabilitation or
30 improvement exclusive of the installation and assembly of any medical
31 equipment, apparatus or device;
32 (iii) "medical building" means that component of a medical project
33 constituting appurtenant structures or facilities necessary to house or
34 render the remaining components of the medical project operational.
35 Medical building shall not include apparatus, equipment, devices,
36 systems, supplies or any combination thereof;
37 (iv) "medical project" means any substantial durable apparatus, equip-
38 ment, device or system, or any combination of the foregoing, including
39 services necessary to install, erect, or assemble the foregoing and any
40 appurtenant structures or facilities necessary to house or render the
41 foregoing operational, to be used for the purpose of care, treatment or
42 diagnosis of disease or injury or the relief of pain and suffering of
43 sick or injured persons. Medical projects shall not include ordinary
44 supplies and equipment expended or utilized in the customary care and
45 treatment of patients.
46 § 72. Subdivision 4 of section 279-c of the county law, as added by
47 chapter 504 of the laws of 1997, is amended to read as follows:
48 4. Every agreement entered into between the district and a private
49 entity, pursuant to subdivision one of this section, for the
50 construction of a wastewater treatment facility, shall require the
51 payment of all applicable prevailing wages pursuant to section two
52 hundred twenty of the labor law, shall require the furnishing to the
53 district of a performance bond in the full amount of the cost of such
54 construction, shall require that each contractor and subcontractor
55 performing work on such construction furnish a payment bond in the full
56 amount of its contract guaranteeing prompt payment of monies that are
S. 1406 219 A. 2106
1 due to all persons furnishing labor and materials to such contractor or
2 subcontractor[, and shall contain provisions that such construction, if
3 in excess of twenty thousand dollars, shall be conducted pursuant to
4 section one hundred one of the general municipal law]. A copy of the
5 above mentioned payment and performance bonds shall be kept by the
6 district and shall be open to public inspection.
7 § 73. Paragraph c of subdivision 2 of section 8 of section 1 of chap-
8 ter 359 of the laws of 1968, constituting the facilities development
9 corporation act, is amended to read as follows:
10 c. [The corporation shall prepare separate specifications for and
11 solicit separate and independent bids on and award separate contracts on
12 the subdivisions of work to be performed specified in section one
13 hundred thirty-five of the state finance law, but the corporation in its
14 discretion may assign such contracts for supervision to the successful
15 bidder for the remaining work to be performed at the time the contracts
16 for the particular health facility are awarded.] Each contract for the
17 construction of a health facility may include a provision that the
18 architect who designed the facility, or an architect or engineer
19 retained or employed specifically for the purpose of supervision, shall
20 supervise the work to be performed through to completion and shall see
21 to it that the materials furnished and the work performed are in accord-
22 ance with the drawings, plans, specifications and contracts therefor.
23 § 74. Subdivision 2 of section 9 of section 1 of chapter 359 of the
24 laws of 1968, constituting the facilities development corporation act,
25 paragraph a, the opening paragraph of subparagraph (i) of paragraph b
26 and paragraph d as amended by chapter 166 of the laws of 1991, para-
27 graphs b and f as amended by chapter 658 of the laws of 1973, paragraph
28 g as amended by chapter 127 of the laws of 2000 and paragraph h as
29 amended by chapter 351 of the laws of 1989, is amended to read as
30 follows:
31 2. Letting of construction contracts. a. The corporation shall design,
32 construct, acquire, reconstruct, rehabilitate and improve all mental
33 hygiene facilities, or cause the same to be designed, constructed,
34 acquired, reconstructed, rehabilitated and improved either on its own
35 behalf or as agent for the state housing finance agency or the medical
36 care facilities finance agency, except that in the case of all mental
37 hygiene facilities owned or leased by one or more voluntary agencies
38 that are to be designed, constructed, reconstructed, rehabilitated and
39 improved under any lease, sublease, loan or other financing agreement
40 entered into with such voluntary agency, the same may be designed,
41 constructed, acquired, reconstructed, rehabilitated and improved by such
42 voluntary agencies, provided that legislation or appropriations author-
43 izing the same (i) have been requested by the appropriate commissioner
44 or director of the department, (ii) have been recommended by the gover-
45 nor in a budget bill, which is approved by the legislature for the
46 fiscal year for which the recommendation was made which specifies the
47 mental hygiene facilities to be designed, constructed, acquired, recon-
48 structed, rehabilitated or improved, the total estimated cost for each
49 such facility, and the date when it is desired that the design,
50 construction, acquisition, reconstruction, rehabilitation or improvement
51 of each mental hygiene facility referred to therein be completed. All
52 such work shall be performed in such manner as to assure completion, so
53 far as practicable, by the dates specified.
54 b. (i) The corporation may design, construct, reconstruct, rehabili-
55 tate and improve a mental hygiene facility, other than a community
56 mental health and retardation facility, whether as principal or as agent
S. 1406 220 A. 2106
1 for the state housing finance agency or the medical care facilities
2 finance agency, only by agreement with the commissioner of general
3 services, except that in the case a mental hygiene facility owned or
4 leased by a voluntary agency that is to be designed, constructed, recon-
5 structed, rehabilitated and improved under any lease, sublease, loan or
6 other financing agreement entered into with such voluntary agency, or
7 jointly with such voluntary agency and one or more voluntary agencies
8 that operate such facility the same may be designed, constructed, recon-
9 structed, rehabilitated and improved by such voluntary agencies, and
10 except that:
11 (a) if the commissioner of general services for any reason declines to
12 enter into an agreement with the corporation for such purpose; or
13 (b) if the commissioner of general services fails to enter into an
14 agreement with the corporation for such purpose within forty-five days
15 after receiving notification from the directors of the corporation of
16 the work to be performed; or
17 (c) if the commissioner of general services fails to advertise such
18 work for bids within one year after entering into an agreement with the
19 corporation for the performance of such work; or
20 (d) if the estimated expense of any such work is less than ten thou-
21 sand dollars, the corporation may construct, reconstruct, rehabilitate
22 and improve a mental hygiene facility by its own employees or by
23 contract awarded pursuant to paragraph [g] f of this subdivision.
24 (ii) The corporation, with the approval of the director of the budget,
25 may construct, reconstruct, rehabilitate and improve a community mental
26 health and retardation facility by its own employees, by agreement with
27 a city or county or with any state department or agency authorized to
28 perform such work, or by contract awarded pursuant to paragraph [g] f of
29 this subdivision. All contracts awarded by a city or county on behalf of
30 the corporation shall be awarded pursuant to paragraph g of this subdi-
31 vision, notwithstanding any provision of any general, special or local
32 law or any charter.
33 c. In the event that the commissioner of general services enters into
34 an agreement with the corporation for the construction, reconstruction,
35 rehabilitation or improvement of a mental hygiene facility, the work
36 required shall be performed in accordance with the terms of such agree-
37 ment and in accordance with the provisions of paragraphs d and e of this
38 subdivision, either by employees of the office of general services or by
39 contract or contracts awarded pursuant to the public buildings law, the
40 public works law and the state finance law.
41 d. No contract for the construction, reconstruction, rehabilitation or
42 improvement of a mental hygiene facility shall be awarded by any letting
43 agency unless (i) the appropriate commissioner or director of the
44 department shall have separately approved the architectural concept and
45 the detailed plans and specifications for the facility to be
46 constructed, reconstructed, rehabilitated or improved and (ii) the
47 directors of the corporation, whether as principals or as agents for the
48 state housing finance agency or the medical care facilities finance
49 agency, shall have approved the proposed terms of such contract, includ-
50 ing the detailed plans and specifications for the facility. Provided,
51 however, the corporation shall only enter into any lease, sublease, loan
52 or other financing agreement with a voluntary agency under which a
53 mental hygiene facility owned or leased by such a voluntary agency is to
54 be designed, acquired, constructed, reconstructed, rehabilitated or
55 improved when the appropriate commissioner or director shall have
56 approved the plans for such a facility. The form and content of such
S. 1406 221 A. 2106
1 approval shall be approved by the division of budget however such agency
2 approval shall allow maximum access to financing for design, acquisi-
3 tion, construction, reconstruction, rehabilitation and improvement, and
4 shall be timely to reduce the need for utilization of short term commer-
5 cial loans by voluntary agencies for services eligible for financing
6 under this program. The medical care facilities financing agency shall
7 advise the director of the budget on the form of such approval.
8 e. Each contract for the construction, reconstruction, rehabilitation
9 or improvement of a mental hygiene facility shall include a provision
10 that the architect who designed the facility, or an architect or engi-
11 neer retained or employed specifically for the purpose of supervision,
12 shall supervise the work to be performed through to completion and shall
13 see to it that the materials furnished and the work performed are in
14 accordance with the drawings, plans, specifications and contract there-
15 for.
16 [f. If the corporation is the letting agency, whether as principal or
17 as agent for the state housing finance agency, the directors of the
18 corporation shall prepare separate specifications for, and solicit sepa-
19 rate and independent bids on, and award, separate contracts on the
20 subdivisions of work to be performed specified in section one hundred
21 thirty-five of the state finance law, but the directors of the corpo-
22 ration may in their discretion assign such contracts for supervision to
23 the successful bidder for the remaining work to be performed at the time
24 the contracts for the particular mental hygiene facility are awarded.
25 g.] f. All contracts which are to be awarded pursuant to this para-
26 graph shall be awarded by public letting in accordance with the follow-
27 ing provisions, notwithstanding any contrary provision of section one
28 hundred thirty-six, one hundred thirty-nine or one hundred forty of the
29 state finance law, except that in the discretion of the directors of the
30 corporation, a contract may be entered into for such purposes without
31 public letting where the estimated expense thereof is no more than forty
32 thousand dollars:
33 (i) If contracts are to be publicly let, the directors of the corpo-
34 ration shall advertise the invitation to bid in a newspaper published in
35 the county of Albany and in such other newspapers as will be most likely
36 in their opinion to give adequate notice to contractors of the work
37 required and of the invitation to bid. The invitation to bid shall
38 contain such information as the directors of the corporation shall deem
39 appropriate and a statement of the time and place where all bids
40 received pursuant to such notice will be publicly opened and read.
41 (ii) The directors of the corporation shall not award any contract
42 after public bidding except to the lowest bidder who in their opinion is
43 qualified to perform the work required and is responsible and reliable.
44 The directors of the corporation may, however, reject any or all bids,
45 again advertise for bids, or waive any informality in a bid if they
46 believe that the public interest will be promoted thereby. The directors
47 of the corporation may reject any bid if in their judgment the business
48 and technical organization, plant, resources, financial standing or
49 business experience of the bidder, compared with the work to be
50 performed, justify such rejection.
51 (iii) The invitation to bid and the contract awarded shall contain
52 such other terms and conditions, and such provisions for penalties, as
53 the directors of the corporation may deem desirable.
54 (iv) The directors of the corporation shall require such deposits,
55 bonds and security in connection with the submission of bids, the award
56 of contracts and the performance of work as they shall determine to be
S. 1406 222 A. 2106
1 in the public interest and for the protection of the state and affected
2 state agencies, including the corporation.
3 [h.] g. The directors of the corporation shall determine when minor
4 work of construction, reconstruction, alteration or repair of any mental
5 hygiene facility may be done by special order. Special orders for such
6 work shall be short-form contracts approved by the attorney general and
7 by the comptroller. No work shall be done by special order in an amount
8 in excess of twenty thousand dollars and a bond shall not be required
9 for special orders. No work shall be done by special order unless the
10 directors have presented to the comptroller evidence that they have made
11 a diligent effort to obtain competition sufficient to protect the inter-
12 ests of the state prior to selecting the contractor to perform the work.
13 Notwithstanding the provisions of paragraph [g] f of this subdivision,
14 work done by special order under this paragraph may be advertised
15 through the regular public notification service of the office of general
16 services or the state register. At least five days shall elapse between
17 the first publication of such public notice and the date so specified
18 for the public opening of bids. The directors may also authorize the
19 corporation to enter into special order contracts using bids advertised
20 for, received and opened by any office of the department, in compliance
21 with this act and all other applicable laws, and transmitted to the
22 corporation. All payments on special orders shall be made on the certif-
23 icate of the directors of the corporation and audited and approved by
24 the state comptroller. All special orders shall contain a clause that
25 the special order shall only be deemed executory to the extent of the
26 moneys available and no liability shall be incurred by the state beyond
27 the moneys available for the purpose.
28 § 75. Paragraph (c) of section 4 of chapter 560 of the laws of 1980
29 relating to authorizing the city of New York to adopt a waste management
30 law is amended to read as follows:
31 (c) [Every contract, lease or other agreement entered into, pursuant
32 to this section, by the city of New York for construction, recon-
33 struction, rehabilitation or improvement of buildings for a solid waste
34 recovery and management facility shall contain a provision that, when
35 the entire cost of such work shall exceed fifty thousand dollars, sepa-
36 rate specifications shall be prepared for the following three subdivi-
37 sions of work:
38 (1) Plumbing and gas fitting;
39 (2) Steam heating, hot water heating, ventilating and air conditioning
40 apparatus; and
41 (3) Electric wiring and standard illuminating fixtures.
42 Such specifications shall be drawn to permit the letting of separate
43 and independent contracts by the developer for each of these three
44 subdivisions of work. The city of New York may, at its discretion,
45 direct that such specifications include minimum qualifications for
46 bidders with regard to licensing, bonding capacity, minority partic-
47 ipation, and past performance on prior contracts. Every developer under-
48 taking the construction, reconstruction, rehabilitation, or improvement
49 of the buildings of a solid waste recovery and management facility
50 pursuant to the provisions of its contract with the city of New York
51 shall let separate contracts to the lowest responsible bidder for the
52 three subdivisions of the above specified work, to any persons who are
53 responsible and reliable bidders engaged in these classes of work. Any
54 such contracts shall be contracts of the developer and not of the city
55 of New York. The city of New York shall have no obligations or liabil-
56 ities, whatsoever, thereunder. The developer shall have the responsibil-
S. 1406 223 A. 2106
1 ity for supervision and coordination of work under such separate
2 contracts.]
3 The city of New York shall [also] have the right to reject any bidder
4 not meeting the reasonable and justifiable qualifications that it has
5 established for bidders. All qualified bidders engaged in the above
6 specified work shall be entitled to bid and to receive, upon request, a
7 copy of the plans and specifications. All such bids shall be delivered
8 to such city and be opened publicly at a stated time and place, by a
9 designated municipal employee.
10 Notwithstanding any law or agreement that requires a bond or bonds,
11 the city of New York shall in addition require, prior to the approval of
12 any contract, lease, or agreement providing for the construction, recon-
13 struction, rehabilitation, or improvement of any building for a solid
14 waste recovery and management facility, that the developer, if other
15 than the city of New York, furnish a bond guaranteeing prompt payment of
16 moneys that are due to all persons furnishing labor or materials in the
17 conduct of work provided for in such contract, lease, or other agree-
18 ment. A copy of such payment bond shall be kept by the city and shall be
19 open to public inspection.
20 [The requirements to subcontract, contained herein, shall not apply to
21 the system to be used for receiving, processing, handling or storing
22 waste, or the products and by-products derived therefrom, or materials
23 used in such processing or handling of the system and any equipment or
24 property involving proprietary or trade secrets.]
25 § 76. Section 11 of chapter 795 of the laws of 1967, relating to the
26 construction of boards of cooperative educational services buildings, is
27 REPEALED.
28 § 77. Subdivision 1 of section 11 of section 1 of chapter 174 of the
29 laws of 1968, constituting the New York state urban development corpo-
30 ration act, is amended to read as follows:
31 (1) Construction contracts let by [the corporation shall be in
32 conformity with the applicable provisions of section one hundred thir-
33 ty-five of the state finance law, provided, however, that construction
34 contracts let by] subsidiaries of the corporation which are housing
35 companies shall be governed by the applicable provisions of the private
36 housing finance law[; provided further, however, that in the case of
37 industrial projects, whenever the corporation determines that trade
38 secrets or other confidential information about the prospective project
39 occupant's business operations, products, processes or designs would be
40 revealed by public bidding, the requirements of section one hundred
41 thirty-five of the state finance law with respect to public bidding may
42 be waived. In such event, separate specifications shall be prepared for,
43 and separate and independent contracts shall be entered into, for the
44 following three subdivisions of work to be performed: (a) plumbing and
45 gas fitting; (b) steam heating, hot water heating, ventilating and air
46 conditioning apparatus; and (c) electric wiring and standard illuminat-
47 ing fixtures].
48 § 78. Section 9 of chapter 892 of the laws of 1971 amending the public
49 authorities law relating to construction by the dormitory authority is
50 REPEALED.
51 § 79. Section 21 of chapter 464 of the laws of 1972, amending the
52 public authorities law and other laws relating to providing facilities
53 for community colleges and the powers of the state university trustees,
54 is REPEALED.
S. 1406 224 A. 2106
1 § 80. Section 29 of chapter 337 of the laws of 1972, amending the
2 correction law and other laws relating to facilities for the department
3 of correctional services, is REPEALED.
4 § 81. Subdivision 3 of section 6 of chapter 345 of the laws of 1968,
5 relating to establishing a United Nations development district and
6 formulating and administering plans for the development of such
7 district, as amended by chapter 623 of the laws of 1971, is amended to
8 read as follows:
9 (3) to undertake or cause its subsidiary corporation or corporations
10 to undertake, or otherwise to have undertaken on behalf of the corpo-
11 ration the execution of a development plan or of a portion thereof, and
12 the financing, acquisition, construction, rehabilitation, improvement,
13 operation and management of any project or portion thereof, including
14 attendant relocation facilities, [provided however, that all contracts
15 let by the corporation or by a subsidiary (rather than a sponsor or a
16 person, firm or corporation acting as sponsor in lieu of the corporation
17 or its subsidiaries) for the erection, construction, or alteration of
18 buildings shall be let in conformity with the provisions of section one
19 hundred thirty-five of the state finance law,]
20 § 82. Subdivision 5 of section 5 of chapter 35 of the laws of 1979
21 relating to appropriating funds to the New York state urban development
22 corporation is amended to read as follows:
23 (5) Any contract for construction with respect to the convention
24 center shall be awarded in conformity with the provisions of section
25 eleven of the New York state urban development corporation act, [and
26 section one hundred thirty-five of the state finance law as referred to
27 therein,] provided that the determination by the development corporation
28 of whether a bidder is "responsible" shall include (but need not be
29 limited to) consideration, as set forth in the bidding documents, of the
30 financial and organizational capacity of the bidder in relation to the
31 magnitude of the contract, the record of performance of the bidder on
32 previous work, the record of the bidder in complying with existing labor
33 standards, maintaining harmonious labor relations and recognizing state
34 and federally approved apprentice training programs, and the ability and
35 willingness of the bidder to provide, and to commit to provide, for
36 meaningful participation of minority group persons and business enter-
37 prise in the conduct of the work.
38 § 83. Subdivision 5 of section 4 of chapter 735 of the laws of 1979
39 relating to providing for construction of an American stock
40 exchange/office facility in New York county is amended to read as
41 follows:
42 (5) Any contract for construction with respect to the exchange facili-
43 ty shall be awarded in conformity with the provisions of section eleven
44 of the UDC act, [and section one hundred thirty-five of the state
45 finance law as referred to therein,] provided that the determination by
46 the development corporation of whether a bidder is "responsible" shall
47 include (but need not be limited to) consideration, as set forth in the
48 bidding documents, of the financial and organizational capacity of the
49 bidder in relation to the magnitude of the contract, the record of
50 performance of the bidder on previous work, the record of the bidder in
51 complying with existing labor standards, maintaining harmonious labor
52 relations and recognizing state and federally approved apprentice train-
53 ing programs, and the ability and willingness of the bidder to provide,
54 and to commit to provide, for meaningful participation of minority group
55 persons and business enterprise in the conduct of the work.
S. 1406 225 A. 2106
1 § 84. Section 23 of chapter 825 of the laws of 1987 amending the
2 public authorities law and other laws relating to construction and
3 improvement of court facilities is amended to read as follows:
4 § 23. Notwithstanding the provisions of any other general, special or
5 local law, charter or ordinance or any provision herein to the contrary,
6 all contracts for construction, reconstruction, rehabilitation or
7 improvements undertaken pursuant to the provisions of this act shall be
8 subject to the provisions of [sections one hundred one and] section one
9 hundred three of the general municipal law.
10 § 85. The provisions of sections sixteen through eighty-four of this
11 act shall control all contracts advertised or solicited for bid on or
12 after the effective date of this act under the provisions of any law
13 requiring contracts to be let pursuant to provisions of law amended by
14 this act.
15 § 86. Subdivisions (a) and (b) of section 4545 of the civil practice
16 law and rules are REPEALED and subdivisions (c) and (d) are relettered
17 subdivisions (a) and (b).
18 § 87. Subdivision (a) of section 4545 of the civil practice law and
19 rules, as added by chapter 220 of the laws of 1986 and as relettered by
20 section eighty-six of this act, is amended to read as follows:
21 (a) Actions for personal injury, injury to property or wrongful death.
22 In any action brought to recover damages for personal injury, injury to
23 property or wrongful death, where the plaintiff seeks to recover for the
24 cost of medical care, dental care, podiatric care, custodial care or
25 rehabilitation services, loss of earnings or other economic loss,
26 evidence shall be admissible for consideration by the court to establish
27 that any such past or future cost or expense was or will, with reason-
28 able certainty, be replaced or indemnified, in whole or in part, from
29 any collateral source such as insurance (except for life insurance),
30 social security (except those benefits provided under title XVIII of the
31 social security act), workers' compensation or employee benefit programs
32 (except such collateral sources entitled by law to liens against any
33 recovery of the plaintiff). If the court finds that any such cost or
34 expense was or will, with reasonable certainty, be replaced or indem-
35 nified from any collateral source, it shall reduce the amount of the
36 award by such finding, minus an amount equal to the premiums paid by the
37 plaintiff for such benefits for the two-year period immediately preced-
38 ing the accrual of such action and minus an amount equal to the project-
39 ed future cost to the plaintiff of maintaining such benefits. In order
40 to find that any future cost or expense will, with reasonable certainty,
41 be replaced or indemnified by the collateral source, the court must find
42 that the plaintiff is legally entitled to the continued receipt of such
43 collateral source, pursuant to a contract or otherwise enforceable
44 agreement, subject only to the continued payment of a premium and such
45 other financial obligations as may be required by such agreement.
46 § 88. Subdivisions (d) and (e) of rule 4111 of the civil practice law
47 and rules are REPEALED.
48 § 89. Subdivision (f) of rule 4111 of the civil practice law and
49 rules, as amended by chapter 100 of the laws of 1994, is amended to read
50 as follows:
51 [(f)] (d) Itemized verdict in certain actions. In an action brought to
52 recover damages for personal injury, injury to property or wrongful
53 death, [which is not subject to subdivisions (d) and (e) of this rule,]
54 the court shall instruct the jury that if the jury finds a verdict
55 awarding damages, it shall in its verdict specify the applicable
56 elements of special and general damages upon which the award is based
S. 1406 226 A. 2106
1 and the amount assigned to each element including, but not limited to,
2 medical expenses, dental expenses, podiatric expenses, loss of earnings,
3 impairment of earning ability, and pain and suffering. Each element
4 shall be further itemized into amounts intended to compensate for
5 damages that have been incurred prior to the verdict and amounts
6 intended to compensate for damages to be incurred in the future. In
7 itemizing amounts intended to compensate for future damages, the jury
8 shall set forth the period of years over which such amounts are intended
9 to provide compensation. In actions in which article fifty-A or fifty-B
10 of this chapter applies, in computing said damages, the jury shall be
11 instructed to award the full amount of future damages, as calculated,
12 without reduction to present value.
13 § 90. Intentionally omitted.
14 § 91. Subdivision (b) of section 4213 of the civil practice law and
15 rules, as separately amended by chapters 485 and 682 of the laws of
16 1986, is amended to read as follows:
17 (b) Form of decision. The decision of the court may be oral or in
18 writing and shall state the facts it deems essential. In [a medical,
19 dental or podiatric malpractice action or in an action against a public
20 employer or a public employee who is subject to indemnification by a
21 public employer with respect to such action or both, as such terms are
22 defined in subdivision (b) of section forty-five hundred forty-five, for
23 personal injury or wrongful death arising out of an injury sustained by
24 a public employee while acting within the scope of his public employment
25 or duties, and in] any [other] action brought to recover damages for
26 personal injury, injury to property, or wrongful death, a decision
27 awarding damages shall specify the applicable elements of special and
28 general damages upon which the award is based and the amount assigned to
29 each element, including but not limited to medical expenses, dental
30 expenses, podiatric expenses, loss of earnings, impairment of earning
31 ability, and pain and suffering. In [a medical, dental or podiatric
32 malpractice action, and in] any [other] such action [brought to recover
33 damages for personal injury, injury to property, or wrongful death],
34 each element shall be further itemized into amounts intended to compen-
35 sate for damages which have been incurred prior to the decision and
36 amounts intended to compensate for damages to be incurred in the future.
37 In itemizing amounts intended to compensate for future damages, the
38 court shall set forth the period of years over which such amounts are
39 intended to provide compensation. In computing said damages, the court
40 shall award the full amount of future damages, as calculated, without
41 reduction to present value.
42 § 92. Subdivision 1 of section 3-a of the general municipal law, as
43 amended by chapter 4 of the laws of 1991, is amended to read as follows:
44 1. Except as provided in subdivisions two, four and five of this
45 section, the rate of interest to be paid by a municipal corporation upon
46 any judgment or accrued claim against the municipal corporation shall
47 [not exceed nine per centum per annum] be calculated at a rate equal to
48 the weekly average one year constant maturity Treasury yield, as
49 published by the Board of Governors of the Federal Reserve System, for
50 the calendar week preceding the date of the entry of the judgment award-
51 ing damages. In no event, however, shall a municipal corporation pay a
52 rate of interest on any judgment or accrued claim more than nine per
53 centum per annum.
54 § 93. Subdivision 5 of section 157 of the public housing law, as
55 amended by chapter 681 of the laws of 1982, is amended to read as
56 follows:
S. 1406 227 A. 2106
1 5. The rate of interest to be paid by an authority upon any judgment
2 or accrued claim against the authority shall [not exceed nine per centum
3 per annum] be calculated at a rate equal to the weekly average one year
4 constant maturity Treasury yield, as published by the Board of Governors
5 of the Federal Reserve System, for the calendar week preceding the date
6 of the entry of the judgment awarding damages. In no event, however,
7 shall an authority pay a rate of interest on any judgment or accrued
8 claim more than nine per centum per annum.
9 § 94. Section 16 of the state finance law, as amended by chapter 681
10 of the laws of 1982, is amended to read as follows:
11 § 16. Rate of interest on judgments and accrued claims against the
12 state. The rate of interest to be paid by the state upon any judgment
13 or accrued claim against the state shall [not exceed nine per centum per
14 annum] be calculated at a rate equal to the weekly average one year
15 constant maturity Treasury yield, as published by the Board of Governors
16 of the Federal Reserve System, for the calendar week preceding the date
17 of the entry of the judgment awarding damages. In no event, however,
18 shall the state pay a rate of interest on any judgment or accrued claim
19 more than nine per centum per annum.
20 § 95. Section 1 of chapter 585 of the laws of 1939, relating to the
21 rate of interest to be paid by certain public corporations upon judg-
22 ments and accrued claims, as amended by chapter 681 of the laws of 1982,
23 is amended to read as follows:
24 Section 1. The rate of interest to be paid by a public corporation
25 upon any judgment or accrued claim against the public corporation shall
26 [not exceed nine per centum per annum] be calculated at a rate equal to
27 the weekly average one year constant maturity Treasury yield, as
28 published by the Board of Governors of the Federal Reserve System, for
29 the calendar week preceding the date of the entry of the judgment award-
30 ing damages. In no event, however, shall a public corporation pay a rate
31 of interest on any judgment or accrued claim more than nine per centum
32 per annum.
33 The term "public corporation" as used in this act shall mean and
34 include every corporation created for the construction of public
35 improvements, other than a county, city, town, village, school district
36 or fire district or an improvement district established in a town or
37 towns, and possessing both the power to contract indebtedness and the
38 power to collect rentals, charges, rates or fees for services or facili-
39 ties furnished or supplied.
40 § 96. Section 3813 of the education law is amended by adding a new
41 subdivision 5 to read as follows:
42 5. Exclusive jurisdiction is hereby conferred upon the court of claims
43 to hear and determine the claims of any person against any of the
44 parties named in this section or the claims of any person against any
45 teacher or member of the supervisory or administrative staff or other
46 officers and employees of such parties that arise out of their employ-
47 ment, for damages for personal injury, injury to property of wrongful
48 death, and to make awards and render judgments therefor. Such claims
49 shall be subject to the court of claims act and shall be heard and
50 determined in the manner provided in such act for the determination of
51 claims against the state; provided, however, that (i) the provisions of
52 section twenty-a of the court of claims act shall not apply to such
53 claims, (ii) notwithstanding any inconsistent provisions of the court of
54 claims act, the provisions of sections fifty-e, fifty-h and fifty-i of
55 the general municipal law shall apply to such claims, and (iii) all
56 references in the court of claims act to the attorney general shall be
S. 1406 228 A. 2106
1 deemed to refer to the chief legal officer of the governing body of the
2 district or school with respect to which the claim is made and all
3 references in such act to the comptroller shall be deemed to refer to
4 the officer or body having power to adjust and pay claims against such
5 district or school.
6 § 97. Subdivision 1 of section 6224 of the education law, as amended
7 by chapter 711 of the laws of 1982, is amended to read as follows:
8 1. (a) The provisions of sections fifty-e, fifty-h and fifty-i of the
9 general municipal law shall, notwithstanding any inconsistent provision
10 of law, continue to apply to actions and proceedings based on a cause of
11 action involving a community college of the city university of New York
12 or an officer, agent, servant or employee of such community college
13 acting in the course of his or her employment. [The] Except as otherwise
14 provided in paragraph (b) of this subdivision, the provisions of subdi-
15 visions four, five and six of this section shall not apply to such
16 actions and proceedings.
17 (b) Exclusive jurisdiction is hereby conferred upon the court of
18 claims to hear and determine the claims of any person against a communi-
19 ty college of the city university of New York or any officer, agent,
20 servant or employee of a community college of the city university of New
21 York that arise out of their employment for damages for personal injury,
22 injury to property or wrongful death and to make awards and render judg-
23 ments therefor. Such claims shall be subject to the court of claims act
24 and shall be heard and determined in the manner provided in such act for
25 the determination of claims against the state; provided, however, that
26 (i) the provisions of section twenty-a of the court of claims act shall
27 not apply to such claims, (ii) notwithstanding any inconsistent
28 provisions of the court of claims act, the provisions of sections
29 fifty-e, fifty-h and fifty-i of the general municipal law shall apply to
30 such claims, and (iii) all references in the court of claims act to the
31 attorney general and the comptroller shall be deemed to refer to the
32 corporation counsel of the city of New York and the comptroller of the
33 city of New York, respectively. All awards and judgments against such
34 college arising out of such claims shall be paid in the manner provided
35 by law for the payment of awards and judgments against the city of New
36 York.
37 § 98. Section 569-a of the public authorities law is amended by adding
38 a new subdivision 3 to read as follows:
39 3. Exclusive jurisdiction is hereby conferred upon the court of claims
40 to hear and determine the claims of any person against the authority or
41 the claims of any person against the officers and employees thereof that
42 arise out of their employment, for damages for personal injury, injury
43 to property or wrongful death and to make awards and render judgments
44 therefor. Such claims shall be subject to the court of claims act and
45 shall be heard and determined in the manner provided in such act for the
46 determination of claims against the state; provided, however, that (i)
47 the provisions of section twenty-a of the court of claims act shall not
48 apply to such claims, (ii) notwithstanding any inconsistent provisions
49 of the court of claims act, the provisions of this section shall apply
50 to such claims, and (iii) all references in the court of claims act to
51 the attorney general and the comptroller shall be deemed to refer to the
52 general counsel of the authority and the authority, respectively. All
53 awards and judgments against the authority arising out of such claims
54 shall be paid in the manner provided by law out of the monies of the
55 authority.
S. 1406 229 A. 2106
1 § 99. Section 1212 of the public authorities law is amended by adding
2 a new subdivision 7 to read as follows:
3 7. Exclusive jurisdiction is hereby conferred upon the court of claims
4 to hear and determine the claims of any person against the authority or
5 the claims of any person against the officers and employees thereof that
6 arise out of their employment, for damages for personal injury, injury
7 to property or wrongful death and to make awards and render judgments
8 therefor. Such claims shall be subject to the court of claims act and
9 shall be heard and determined in the manner provided in such act for the
10 determination of claims against the state; provided, however, that (i)
11 the provisions of section twenty-a of the court of claims act shall not
12 apply to such claims, (ii) notwithstanding any inconsistent provisions
13 of the court of claims act, the provisions of this section shall apply
14 to such claims, and (iii) all references in the court of claims act to
15 the attorney general and the comptroller shall be deemed to refer to the
16 general counsel of the authority and the authority, respectively. All
17 awards and judgments against the authority arising out of such claims
18 shall be paid in the manner provided by law out of the monies of the
19 authority.
20 § 100. Section 1276 of the public authorities law is amended by adding
21 a new subdivision 7 to read as follows:
22 7. Exclusive jurisdiction is hereby conferred upon the court of claims
23 to hear and determine the claims of any person against the authority or
24 the claims of any person against the officers and employees thereof that
25 arise out of their employment, for damages for personal injury, injury
26 to property or wrongful death and to make awards and render judgments
27 therefor. Such claims shall be subject to the court of claims act and
28 shall be heard and determined in the manner provided in such act for the
29 determination of claims against the state; provided, however, that (i)
30 the provisions of section twenty-a of the court of claims act shall not
31 apply to such claims, (ii) notwithstanding any inconsistent provisions
32 of the court of claims act, the provisions of this section shall apply
33 to such claims, and (iii) all references in the court of claims act to
34 the attorney general and the comptroller shall be deemed to refer to the
35 general counsel of the authority and the authority, respectively. All
36 awards and judgments against the authority arising out of such claims
37 shall be paid in the manner provided by law out of the monies of the
38 authority.
39 § 101. Section 402-a of the public housing law is amended by adding a
40 new subdivision 16 to read as follows:
41 16. Exclusive jurisdiction is hereby conferred upon the court of
42 claims to hear and determine the claims of any person against the New
43 York city housing authority or the claims of any person against the
44 employees thereof that arise out of their employment, for damages for
45 personal injury, injury to property or wrongful death and to make awards
46 and render judgments therefor. Such claims shall be subject to the court
47 of claims act and shall be heard and determined in the manner provided
48 in such act for the determination of claims against the state; provided,
49 however, that (i) the provisions of section twenty-a of the court of
50 claims act shall not apply to such claims, (ii) notwithstanding any
51 inconsistent provisions of the court of claims act, the provisions of
52 this section shall apply to such claims, and (iii) all references in the
53 court of claims act to the attorney general and the comptroller shall be
54 deemed to refer to the general counsel of the New York city housing
55 authority and the New York city housing authority, respectively. All
56 awards and judgments against the New York city housing authority arising
S. 1406 230 A. 2106
1 out of such claims shall be paid in the manner provided by law out of
2 the monies of the authority.
3 § 102. Section 618 of the racing, pari-mutuel wagering and breeding
4 law is amended by adding a new subdivision 7 to read as follows:
5 7. Exclusive jurisdiction is hereby conferred upon the court of claims
6 to hear and determine the claims of any person against the corporation
7 or the claims of any person against the employees thereof that arise out
8 of their employment, for damages for personal injury, injury to property
9 or wrongful death and to make awards and render judgments therefor. Such
10 claims shall be subject to the court of claims act and shall be heard
11 and determined in the manner provided in such act for the determination
12 of claims against the state; provided, however, that (i) the provisions
13 of section twenty-a of the court of claims act shall not apply to such
14 claims, (ii) notwithstanding any inconsistent provisions of the court of
15 claims act, the provisions of this section shall apply to such claims,
16 and (iii) all references in the court of claims act to the attorney
17 general and the comptroller shall be deemed to refer to the corporation
18 counsel of the city of New York and the corporation, respectively. All
19 awards and judgments against the corporation arising out of such claims
20 shall be paid in the manner provided by law out of the monies of the
21 corporation.
22 § 103. Section 20 of section 1 of chapter 1016 of the laws of 1969,
23 constituting the New York city health and hospitals corporation act, is
24 amended by adding a new subdivision 2-a to read as follows:
25 2-a. Exclusive jurisdiction is hereby conferred upon the court of
26 claims to hear and determine the claims of any person against the corpo-
27 ration or the claims of any person against the officers and employees
28 thereof that arise out of their employment, for damages for personal
29 injury, injury to property or wrongful death and to make awards and
30 render judgements therefor. Such claims shall be subject to the court of
31 claims act shall be heard and determined in the manner provided in such
32 act for the determination of claims against the state; provided, howev-
33 er, that (i) the provisions of section 20-a of the court of claims act
34 shall not apply to such claims, (ii) notwithstanding any inconsistent
35 provisions of the court of claims act, the provisions of this section
36 shall apply to such claims, and (iii) all references in the court of
37 claims act to the attorney general and the comptroller shall be deemed
38 to refer to the corporation counsel of the city of New York and the
39 comptroller of the city of New York, respectively. All awards and judge-
40 ments against the corporation arising out of such claims shall be paid
41 in the manner provided by law for the payment of awards and judgements
42 against the city of New York.
43 § 104. The state finance law is amended by adding a new section 98-b
44 to read as follows:
45 § 98-b. State and local government short-term investment pool. 1.
46 Definitions. As used in this section, the following terms shall have the
47 following meanings:
48 (a) "Comptroller" means the comptroller of the state of New York.
49 (b) "Local government" means any municipal corporation, school
50 district, board of cooperative educational services, district corpo-
51 ration, special improvement district governed by a separate board of
52 commissioners, industrial development agency or authority, a public
53 library, or a public benefit corporation constituted entirely of members
54 appointed by local officials.
55 (c) "Local government moneys" means moneys of any local government in
56 the custody of the chief fiscal officer or other officer having custody
S. 1406 231 A. 2106
1 of moneys of the local government not required for immediate expendi-
2 ture; provided that the investment of such moneys is not restricted by
3 contract or by statute in a manner that is inconsistent with this
4 section.
5 2. There is hereby established in the custody of the comptroller "the
6 state and local government short-term investment pool", which shall
7 consist of moneys invested by local governments in accordance with the
8 provisions of this section and of state moneys invested by the comp-
9 troller in accordance with section ninety-eight-a of this article.
10 Moneys held and invested in the state and local government short-term
11 investment pool shall be invested and made available to the state and
12 local governments, respectively, in accordance with this section and
13 regulations promulgated by the comptroller.
14 3. Any local government may invest in the state and local government
15 short-term investment pool, pursuant to a local law, ordinance, or
16 resolution which shall authorize the chief fiscal officer or other offi-
17 cer having custody of the local government moneys, but not more than one
18 such officer, to invest such moneys in the state and local government
19 short-term investment pool. The local law, ordinance, or resolution
20 shall be filed with the division of investments and cash management of
21 the office of the comptroller, in accordance with this section and regu-
22 lations promulgated by the comptroller. The authorization for a local
23 government to invest in the state and local government short-term
24 investment pool shall continue in force from the date of such filing
25 until the comptroller shall receive written notification of the termi-
26 nation of authorization, in the same form as the authorization. The
27 comptroller may refuse to accept investments into the fund if, in the
28 judgment of the comptroller, such investments would adversely affect the
29 portfolio of the state and local government short-term investment pool.
30 4. The comptroller shall adopt such regulations as the comptroller
31 deems appropriate to implement the provisions of this section. The comp-
32 troller shall, by regulation, prescribe the mechanisms and procedures
33 for deposits and withdrawals, including the number of business days'
34 notice, not to exceed five, that is necessary prior to withdrawal. The
35 comptroller may, by resolution, limit the aggregate dollar amount
36 invested by each local government.
37 5. The comptroller shall invest any and all moneys in the state and
38 local government short-term investment pool, including local govern-
39 ments' moneys, in investments permitted for the investment of state
40 funds pursuant to section ninety-eight-a of this article and in accord-
41 ance with this section and regulations promulgated by the comptroller.
42 6. At least monthly, the comptroller shall credit the interest earned
43 from investments to the account of the state and each local government
44 unit. The comptroller may deduct from the total earnings derived from
45 investments an amount equal to the administrative costs incurred in
46 carrying out the provisions of this section, not to exceed ten one-hun-
47 dredths of one percent per annum of the average daily investment
48 balance.
49 7. Within ninety days after the end of each state fiscal year, the
50 comptroller shall report to the governor, to the legislature, and to all
51 participating local governments the results of management of the state
52 and local government short-term investment pool. In addition, the comp-
53 troller shall issue periodic reports, at least on a quarterly basis,
54 providing information as to the investments and results of the state and
55 local short-term investment pool.
S. 1406 232 A. 2106
1 § 105. Section 11 of the general municipal law is amended by adding a
2 new subdivision 8 to read as follows:
3 8. Notwithstanding the provisions of any general, special, or local
4 law to the contrary, in addition to any investments otherwise authorized
5 by law, the governing board of any local government may authorize the
6 chief fiscal officer or other officer having custody of moneys of such
7 local government to deposit and invest local government moneys not
8 required for immediate expenditure in the state and local government
9 short-term investment pool, in accordance with provisions of section
10 ninety-eight-b of the state finance law. The aggregate amount of invest-
11 ments made pursuant to this subdivision shall not exceed twenty-five
12 percent of the investments made pursuant to this section.
13 § 106. The public authorities law is amended by adding a new section
14 2927 to read as follows:
15 § 2927. Funds to certain public authorities and public benefit corpo-
16 rations; deposit and investment in state and local government short-term
17 investment pool. In addition to any investments otherwise authorized by
18 law, the governing board of any public benefit corporation constituted
19 entirely of members appointed by local officials may authorize the chief
20 fiscal officer or other officer having custody of moneys of such corpo-
21 ration, but not more than one such officer, to deposit and invest moneys
22 of the corporation not required for immediate expenditure in the state
23 and local government short-term investment pool, in accordance with the
24 provisions of section ninety-eight-b of the state finance law; provided
25 that the investment of such moneys is not restricted by contract or
26 statute in a manner that is inconsistent with such section. The aggre-
27 gate amount of investments made pursuant to this section shall not
28 exceed twenty-five percent of the investments made by the corporation.
29 § 107. The opening paragraph and subparagraph 1 of paragraph a of
30 subdivision 3 of section 11 of the general municipal law, as amended by
31 chapter 130 of the laws of 1998, are amended to read as follows:
32 Investments pursuant to this section may also be made in any of the
33 following:
34 (1) (i) obligations of the United States of America or in obligations
35 guaranteed by agencies of the United States of America where the payment
36 of principal and interest are guaranteed by the United States of America
37 [or in];
38 (ii) obligations of the state of New York[, or];
39 (iii) with the approval of the state comptroller in obligations issued
40 pursuant to section 24.00 or 25.00 of the local finance law by any muni-
41 cipality, school district or district corporation other than the munici-
42 pality, school district or district corporation investing such moneys
43 pursuant to this paragraph[.];
44 (iv) obligations of any corporation organized under the laws of any
45 state in the United States maturing within sixty days; provided that
46 such obligations receive the highest rating of two independent rating
47 services designated by the state comptroller and that the issuer of such
48 obligations has maintained such ratings on similar obligations during
49 the preceding year; provided, however, that no more than one hundred
50 million dollars or ten percent of investments pursuant to this section,
51 whichever is less, may be invested in such obligations of any one corpo-
52 ration; and
53 (v) bankers' acceptances maturing within sixty days which are eligible
54 for purchase in the open market by federal reserve banks and which have
55 been accepted by a bank or trust company, which is organized under the
56 laws of the United States or of any state thereof and which is a member
S. 1406 233 A. 2106
1 of the federal reserve system and whose short-term obligations meet the
2 criteria outlined in clause (iv) of this subparagraph; provided, howev-
3 er, that no more than one hundred million dollars or ten percent of
4 investments pursuant to this section, whichever is less, may be invested
5 in such bankers' acceptances of any one bank or trust company. The
6 aggregate amount of investments made pursuant to this clause and clause
7 (iv) of this subparagraph may not exceed ten percent of the investments
8 made pursuant to this section.
9 In addition, moneys in any reserve fund established pursuant to
10 section six-c, six-d, six-e, six-f, six-g, six-h, six-j, six-k, six-l,
11 six-m, or six-n of this article may be invested in obligations of the
12 municipality, school district, fire district, or district corporation
13 which has established the reserve fund, or, in the case of a capital
14 reserve fund established for a town or county improvement district,
15 obligations of the town or county issued for the purposes of such
16 district.
17 § 108. Section 2 of chapter 130 of the laws of 1998 amending the
18 general municipal law relating to temporary investments by local govern-
19 ments, as amended by chapter 124 of the laws of 2002, is amended to read
20 as follows:
21 § 2. This act shall take effect June 30, 1998 [and shall expire and be
22 deemed repealed on July 1, 2005, provided, however, that investments
23 purchased prior to the expiration of this act pursuant to the provisions
24 of paragraph a of subdivision 3 of section 11 of the general municipal
25 law, as designated and amended by section one of this act, shall contin-
26 ue to be subject to the conditions contained in such subdivision to the
27 same extent as they had been subject thereto prior to such expiration
28 and repeal].
29 § 109. The general municipal law is amended by adding a new section
30 207-r to read as follows:
31 § 207-r. Police protection at special events. A municipality may adopt
32 a local law to provide that the person or persons responsible for either
33 operating, conducting, promoting, or sponsoring any event, exhibition,
34 or contest to be held in the municipality at which a price for admission
35 or attendance is to be charged may be billed for the costs incurred by
36 the municipality as a result of: (1) its scheduling of additional
37 police personnel, if any, beyond the normal schedule of uniformed offi-
38 cers who would have otherwise been on duty had the need for additional
39 personnel not arisen; and (2) its need for any rental of equipment
40 related to the event, exhibition, or contest. The local law shall iden-
41 tify the type or types of events, exhibitions, or contests for which the
42 operator, conductor, promoter, or sponsor of the event, exhibition, or
43 contest may be charged for additional police personnel and equipment
44 rental that is either requested by the operator, conductor, promoter, or
45 sponsor or determined to be necessary by the head of the police depart-
46 ment or a designee. The local law may also provide that the operator,
47 conductor, promoter, or sponsor of the event, exhibition, or contest for
48 which protection is either requested or required shall complete such
49 forms or applications, available from the office of the municipal clerk
50 or from the police department, as far in advance of the event as is
51 practicable so as to provide the information deemed necessary by the
52 head of the police department to permit a determination as to whether or
53 not any additional police personnel shall be scheduled for work and
54 whether or not any rental of equipment related to the event, exhibition,
55 or contest is necessary. Within fifteen days of the filing of the form,
56 the head of the police department shall provide the operator, conductor,
S. 1406 234 A. 2106
1 promoter, or sponsor of the event, exhibition, or contest for which
2 protection is either requested or required with an estimate of the
3 anticipated cost of scheduling additional police personnel, if any, and
4 of the anticipated cost of equipment rental, if any. The operator,
5 conductor, promoter, or sponsor of the event, exhibition, or contest
6 shall have the right to obtain from the police department any record or
7 document that relates to the usual scheduling of uniformed officers on
8 the day or days of the week that the activity is proposed to be held.
9 The local law shall not apply to any corporation formed under the not-
10 for-profit corporation law; provided, however, that such a corporation
11 is hereby authorized to agree to make a payment to a municipality in
12 recognition of any police services provided. The operator, conductor,
13 promoter, or sponsor of the event, exhibition, or contest shall pay all
14 or a portion of the estimated cost of additional police protection and
15 equipment rental prior to the commencement of the event.
16 § 110. Subdivision 4 of section 209-b of the general municipal law,
17 as amended by chapter 718 of the laws of 1958, is amended to read as
18 follows:
19 4. Fees and charges [prohibited] authorized. Emergency and general
20 ambulance service authorized pursuant to this section [shall] may be
21 furnished without cost to the person served; provided, however, that the
22 authorities having control of a fire department or fire company, except
23 in cities of one million or more, who have authorized such fire depart-
24 ment or fire company to provide such service or services may establish
25 fees and charges for services rendered. Should the governing board of a
26 municipality elect to establish a schedule of fees and charges for
27 services rendered, an annual report summarizing billings made and reven-
28 ues received shall be made to the state comptroller in accordance with
29 the provisions of section thirty of this chapter. The state comptroller
30 shall compile the information received. For any such municipality,
31 records shall be maintained of: (a) the schedule of fees and charges
32 adopted; (b) the number of calls which caused a bill to be generated;
33 (c) the amount charged for such calls; and (d) the amount of revenues
34 received. The state comptroller must compile and maintain, on an annual
35 basis, a list of the information received and make such list publicly
36 available. Such authorities may formulate rules and regulations for the
37 collection thereof. The acceptance by any [fireman] firefighter of any
38 personal remuneration or gratuity, directly or indirectly, from a person
39 served shall be a ground for [his] expulsion or suspension as a member
40 of the fire department or fire company.
41 § 111. Paragraph a of section 11.00 of the local finance law is
42 amended by adding a new subdivision 96-a to read as follows:
43 96-a. Payment of contributions to the New York state and local police
44 and fire retirement system to provide additional pension benefits,
45 pursuant to section three hundred eighty-four-e of the retirement and
46 social security law, the lesser of ten years or the time remaining as
47 the payment period under such statute.
48 § 112. Paragraph a of section 11.00 of the local finance law is
49 amended by adding a new subdivision 96-b to read as follows:
50 96-b. Payment for a retirement incentive program adopted in accordance
51 with the provisions of part A of chapter sixty-nine of the laws of two
52 thousand two, five years.
53 § 113. Subdivision d of section 17 of the retirement and social secu-
54 rity law, as amended by chapter 33 of the laws of 1986, is amended to
55 read as follows:
S. 1406 235 A. 2106
1 d. If payment of the full amount of such obligations is not made by
2 the date required by subdivision c of this section, interest at a rate
3 determined in accordance with the provisions of section sixteen of this
4 article shall commence to run against the unpaid balance thereof on the
5 first day after the date required by said subdivision c. Such outstand-
6 ing obligations shall be paid, with the required interest, within the
7 participating employer's next two fiscal years.
8 § 114. Subdivision d of section 317 of the retirement and social secu-
9 rity law, as amended by chapter 33 of the laws of 1986, is amended to
10 read as follows:
11 d. If payment of the full amount of such obligations is not made by
12 the date required by subdivision c of this section, interest at a rate
13 determined in accordance with the provisions of section three hundred
14 sixteen of this article shall commence to run against the unpaid balance
15 thereof on the first day after the date required by said subdivision c.
16 Such outstanding obligations shall be paid, with the required interest,
17 within the participating employer's next two fiscal years.
18 § 115. Subdivisions 10 and 10-a of section 2556 of the education law,
19 subdivision 10 as added by chapter 861 of the laws of 1953 and subdivi-
20 sion 10-a as amended by chapter 613 of the laws of 1985, are amended to
21 read as follows:
22 10. [The] Except in a city having a population of one million or more,
23 which shall be governed by section twenty-five hundred ninety-h of this
24 title, all other provisions of state and local law to the contrary
25 notwithstanding, the board of education shall let all contracts for
26 public work and all purchase contracts to the lowest responsible bidder
27 after advertisement for bids where so required by section one hundred
28 three of the general municipal law.
29 10-a. In a city having a population of one million or more, if the
30 several parts of the work or labor to be done and/or the supplies, mate-
31 rials and equipment to be furnished shall together involve an expendi-
32 ture of not more than [fifteen] twenty-five thousand dollars, the same
33 may be procured on order awarded [to the lowest responsible bidder]
34 pursuant to section twenty-five hundred ninety-h of this title upon bids
35 submitted without public advertisement under such regulations as shall
36 be made by the [board of education] chancellor. Purchases of two thou-
37 sand five hundred [fifty] dollars or less may be made without competi-
38 tion. Anything in subdivision ten of this section or any other
39 provision of state or local law to the contrary notwithstanding, the
40 board of education may make awards of contract or public work and
41 purchase contracts to the lowest responsible bidder utilizing a reverse
42 auction procedure. The term "reverse auction procedure" is defined as a
43 purchasing process conducted by the board of education, a third party
44 under contract with the board of education, or through the state elec-
45 tronic procurement system, in which bidders compete by submitting
46 unsealed electronic bids to provide goods and services at the lowest
47 price in an open and fully interactive environment via the internet.
48 § 116. Paragraph (f) of subdivision 1 of section 109-b of the general
49 municipal law, as amended by chapter 258 of the laws of 1994, is amended
50 to read as follows:
51 (f) Functions performed by a governing board under this section shall,
52 in the city of New York, be performed by the mayor and comptroller, and
53 the approvals of the mayor and the comptroller of any agreement,
54 contract, instrument, arrangement, or transaction contemplated by this
55 section shall be the only approvals required therefor, subject to the
56 provisions of the New York state financial emergency act for the city of
S. 1406 236 A. 2106
1 New York, except for installment purchase contracts by the city school
2 district of the city of New York to acquire computers and peripheral
3 equipment and supplies, including, but not limited to printers, for
4 which functions performed by a governing board under this section shall
5 be performed by the chancellor of the said city school district, and the
6 approvals of the said chancellor of any agreement, contract, instrument,
7 arrangement, or transaction contemplated by this section shall be the
8 only approvals required therefor, subject to the provisions of the New
9 York state financial emergency act for the city of New York.
10 § 117. Subdivisions (a) and (e) of section 81 of chapter 413 of the
11 laws of 1991 amending the local finance law and other laws relating to
12 providing relief to local governments for certain mandated programs and
13 services are REPEALED.
14 § 118. Section 103 of the general municipal law is amended by adding a
15 new subdivision 1-b to read as follows:
16 1-b. (a) Political subdivisions or districts may, by resolution,
17 authorize the receipt of bids in an electronic format in addition to
18 other authorized bid formats; provided, however, that under no circum-
19 stances may bidding be limited to an electronic format.
20 (b) Bids submitted in an electronic format shall be transmitted by any
21 bidding entity to the receiving device designated by the political
22 subdivision or district pursuant to the provisions of article one of the
23 state technology law and such rules, regulations, and guidelines promul-
24 gated and developed by the office for technology pursuant to section one
25 hundred three of the state technology law.
26 (c) The timely submission of an electronic bid shall be in compliance
27 with instructions provided in the advertisement for bids or the specifi-
28 cations and shall be the responsibility of any bidder choosing to submit
29 a bid in electronic format. No political subdivision or district shall
30 incur any liability from delays or interruptions in the receiving device
31 designated for the submission and receipt of electronic bids.
32 § 119. Subdivision 2 of section 103 of the general municipal law, as
33 amended by chapter 296 of the laws of 1958, is amended to read as
34 follows:
35 2. Advertisement for bids shall be published in the official newspa-
36 per or newspapers, if any, or otherwise in a newspaper or newspapers
37 designated for such purpose. Such advertisement shall contain a state-
38 ment of the time when and place where all bids received pursuant to such
39 notice will be publicly opened and read, and the designation of the
40 receiving device if the political subdivision or district has authorized
41 the receipt of bids in an electronic format. Such board or agency may by
42 resolution designate any officer or employee to open the bids at the
43 time and place specified in the notice. Such designee shall make a
44 record of such bids in such form and detail as the board or agency shall
45 prescribe and present the same at the next regular or special meeting of
46 such board or agency. All bids received shall be publicly opened and
47 read at the time and place so specified. At least five days shall elapse
48 between the first publication of such advertisement and the date so
49 specified for the opening and reading of bids.
50 § 120. Paragraph a of section 58.00 of the local finance law, as
51 amended by chapter 346 of the laws of 1996, is amended to read as
52 follows:
53 a. There shall be published, at least once, not less than five nor
54 more than thirty days before the date fixed for the public sale of
55 bonds, a notice of such public sale or a summary thereof in accordance
56 with one of the following methods: (1) the notice of sale shall be
S. 1406 237 A. 2106
1 published in any financial newspaper published and circulated in the
2 city of New York which the state comptroller, in the rule or order
3 referred to in paragraph d of section 57.00 of this chapter, shall
4 designate for such publication; (2) the notice of sale shall be circu-
5 larized in such manner as the state comptroller shall prescribe in such
6 rule or order and shall be published in any newspaper or newspapers
7 which the finance board of the municipality, school district, or
8 district corporation may designate for such purpose; or (3) (i) a summa-
9 ry of the notice of sale shall be published in both the financial news-
10 paper published and circulated in the city of New York which the state
11 comptroller has designated in the rule or order referred to in paragraph
12 d of section 57.00 of this chapter, and (ii) any newspaper or newspapers
13 which the finance board of the municipality, school district, or
14 district [or district] corporation may designate for such purpose. A
15 summary of the notice of sale shall at a minimum contain the name of the
16 issuer, the amount, date, and maturities of the bonds, the frequency of
17 interest payments, the place where bids will be received, the desig-
18 nation of the receiving device if the finance board of the issuing muni-
19 cipality, school district, or district corporation has authorized the
20 receipt of bids in an electronic format, the time and date for the open-
21 ing of the bids, including circumstances under which such time and date
22 may be changed in accordance with law, the method of award [and], a
23 procedure for promptly obtaining the complete notice of sale and any
24 preliminary official statement prepared in connection with the sale, and
25 such other information as the state comptroller may prescribe by rule or
26 order.
27 § 121. Subdivision 1 of paragraph b of section 58.00 of the local
28 finance law, as amended by chapter 239 of the laws of 1971, is amended
29 to read as follows:
30 1. The place where bids will be received and considered, and the
31 designation of the receiving device if the finance board of the issuing
32 municipality, school district, or district corporation has authorized
33 the receipt of bids in an electronic format.
34 § 122. Section 58.00 of the local finance law is amended by adding a
35 new paragraph f to read as follows:
36 f. For purposes of this section and section 59.00 of this title:
37 1. Political subdivisions or districts may, by resolution, authorize
38 the receipt of bids in an electronic format in addition to other author-
39 ized bid formats; provided, however, that under no circumstances may
40 bidding be limited to an electronic format.
41 2. Bids submitted in an electronic format shall be transmitted by any
42 bidding entity to the receiving device designated by the political
43 subdivision or district pursuant to the provisions of article one of the
44 state technology law and such rules, regulations, and guidelines promul-
45 gated and developed by the office for technology pursuant to section one
46 hundred three of the state technology law.
47 3. The timely submission of an electronic bid shall be in compliance
48 with instructions provided in the advertisement for bids or the specifi-
49 cations and shall be the responsibility of any bidder choosing to submit
50 a bid in electronic format. No political subdivision or district shall
51 incur any liability from delays or interruptions in the receiving device
52 designated for the submission and receipt of electronic bids.
53 § 123. Paragraph a of section 59.00 of the local finance law, as
54 amended by chapter 179 of the laws of 1996, is amended to read as
55 follows:
S. 1406 238 A. 2106
1 a. All bids shall be opened publicly at the time and place stated in
2 the notice of sale, and not before, and shall be publicly announced.
3 Prior to the time fixed for such public opening of bids, a sealed bid
4 may be amended by a bidder by delivery to the official to whom the
5 sealed bid was delivered of a sealed amendment to such bid. No bid shall
6 be amended by a telegraphic or telephonic communication, except that an
7 electronic bid may be amended in the same manner in which it was
8 originally submitted. The bonds shall be awarded to the bidder offering
9 the lowest interest cost to the municipality, school district, or
10 district corporation, without taking into consideration any adjustment
11 to be made in accordance with subdivision two of paragraph c of section
12 58.00 of this article, as computed in accordance with the net interest
13 cost method or the actuarial or true interest cost method.
14 § 124. The general municipal law is amended by adding a new article
15 4-A to read as follows:
16 ARTICLE 4-A
17 MUNICIPAL FISCAL STABILITY
18 Section 60. Definitions.
19 61. Review of financial information; request for response.
20 62. Level one; early warning notification.
21 63. Indicators of fiscal stress; level two; municipalities
22 experiencing fiscal stress.
23 64. Indicators of fiscal stress; level three; municipalities
24 experiencing continued fiscal stress.
25 65. Indicators of fiscal stress; level four; municipalities
26 experiencing advanced fiscal stress.
27 66. New York state board of local government deficit financing
28 authorization.
29 67. Fiscal recovery financing.
30 68. Inconsistency with other laws.
31 69. Notice of benchmarks and additional criteria.
32 69-a. Reports.
33 69-b. No duplication.
34 § 60. Definitions. As used in this article:
35 1. "Municipality" shall mean any county, town, village, school
36 district, or city other than: (a) a city having a population of one
37 million or more;
38 (b) the city of Troy, so long as an emergency period, as defined in
39 chapter seven hundred twenty-one of the laws of nineteen hundred nine-
40 ty-four, as amended, is in effect; and
41 (c) the county of Nassau, so long as an interim finance period or
42 control period, as defined in chapter eighty-four of the laws of two
43 thousand, is in effect.
44 2. "Comptroller" shall mean the New York state comptroller.
45 3. "Annual financial report" shall mean the report of a municipality's
46 financial condition required to be made annually to the comptroller
47 pursuant to section thirty of this chapter.
48 4. "Agency" shall mean the state of New York municipal bond bank
49 agency, the corporate governmental agency created by section twenty-four
50 hundred thirty-three of the public authorities law.
51 5. "Tentative budget" shall mean the tentative budget prepared pursu-
52 ant to section three hundred fifty-four of the county law, section one
53 hundred six of the town law, or section 5-504 of the village law, the
54 annual estimate proposed pursuant to section seventy-five of the second
55 class cities law, or similar document prepared pursuant to general,
56 special, or local law.
S. 1406 239 A. 2106
1 6. "Benchmark" shall mean a standard or reference point based on an
2 analysis of other municipalities of similar size and character, state-
3 wide or national or similar commonly accepted factors in municipal
4 finance.
5 § 61. Review of financial information; request for response. In
6 furtherance of the purposes of this article, the comptroller shall
7 establish a program for the review of annual financial report data of
8 municipalities, and such other related data and information as may be
9 deemed relevant. The comptroller may request the submission by any
10 municipality of additional information or data for this purpose. The
11 comptroller shall consult with municipal officials, as appropriate,
12 during the review process. Based upon the comptroller's review, the
13 comptroller, in such manner as he or she deems appropriate, may make
14 recommendations to the chief executive officer and chief fiscal officer
15 of the municipality as to actions which may be taken by the municipality
16 in connection with the fiscal affairs of the municipality, including but
17 not limited to recommendations that any municipal officer or employee of
18 the municipality, or his or her designee, attend a relevant municipal
19 training course conducted or approved by the comptroller. The comp-
20 troller may request that the chief executive officer or chief fiscal
21 officer respond to the comptroller's recommendations, in such manner as
22 the comptroller deems appropriate, by indicating actions taken or
23 proposed to be taken or, if the chief executive officer or the chief
24 fiscal officer indicates that no action is warranted or is to be taken
25 or proposed, by providing an explanation of the reasons therefor.
26 § 62. Level one; early warning notification. 1. Based upon the comp-
27 troller's review of annual financial report data, and other appropriate
28 data and information pursuant to section sixty-one of this article, the
29 comptroller may identify those municipalities that both (a) have failed
30 to timely provide additional information or data requested by the comp-
31 troller or have failed to sufficiently respond to any recommendations
32 made by the comptroller pursuant to section sixty-one of this article
33 and (b) the comptroller believes fit within any of the following crite-
34 ria:
35 (i) The municipality, in the last completed fiscal year, had an
36 unplanned operating deficit in a major operating fund in excess of a
37 benchmark as may be specified for purposes of this section, and for
38 which notice pursuant to section sixty-nine of this article has been
39 provided, by the comptroller, and an unappropriated fund deficit in a
40 major operating fund in excess of a benchmark as may be specified for
41 purposes of this section, and for which notice pursuant to section
42 sixty-nine of this article has been provided, by the comptroller.
43 (ii) The municipality, in its last completed fiscal year, had an unap-
44 propriated fund deficit in a major operating fund in excess of a bench-
45 mark as may be specified for purposes of this section, and for which
46 notice pursuant to section sixty-nine of this article has been provided,
47 by the comptroller, and had a ratio of aggregated cash and investments
48 to average monthly expenditures below a benchmark as may be specified
49 for purposes of this section, and for which notice pursuant to section
50 sixty-nine of this article has been provided, by the comptroller.
51 (iii) The municipality, in its last completed fiscal year, had a ratio
52 of non-recurring revenues (as may be defined for this purpose, and for
53 which notice pursuant to section sixty-nine of this article has been
54 provided, by the comptroller) used to fund recurring expenditures to
55 total expenditures in excess of a benchmark as may be specified for
S. 1406 240 A. 2106
1 purposes of this section, and for which notice pursuant to section
2 sixty-nine of this article has been provided, by the comptroller.
3 (iv) The municipality meets such other commonly accepted criteria of
4 susceptibility to fiscal stress as may be specified for purposes of this
5 section, and for which notice pursuant to section sixty-nine of this
6 article has been provided, by the comptroller.
7 2. For each municipality identified pursuant to subdivision one of
8 this section, the comptroller shall notify the chief executive officer
9 and chief fiscal officer of the affected municipality that the munici-
10 pality has fallen within the criteria set forth in subdivision one of
11 this section and the basis for such determination. Such notification
12 shall be made in such manner as the comptroller deems appropriate. With-
13 in fourteen days after receipt of such notification, the chief executive
14 officer of the municipality shall respond to the comptroller's notifica-
15 tion in such form as required by the comptroller, with a self-evaluation
16 of the fiscal affairs of the municipality, addressing the matters raised
17 in the notification. Such response shall include a statement of action
18 taken or proposed to be taken, or if no action is warranted or is to be
19 taken or proposed, an explanation of the reasons therefor with copies of
20 the self-evaluation response also sent to the director of the budget and
21 secretary of state. After receipt and review of the response, the comp-
22 troller may require any local official or employee of the municipality,
23 or his or her designee, to attend a relevant municipal training course
24 conducted or approved by the comptroller. The chief executive officer or
25 chief fiscal officer of the municipality may request assistance from the
26 comptroller in reviewing the matters raised in the comptroller's notifi-
27 cation and shall receive such assistance as may be reasonably necessary
28 from any officer or employee of the state.
29 § 63. Indicators of fiscal stress; level two; municipalities experi-
30 encing fiscal stress. 1. Based upon the comptroller's review of annual
31 financial report data and other appropriate data and information pursu-
32 ant to section sixty-one of this article, the comptroller may identify
33 those municipalities that both (a) have failed to timely provide addi-
34 tional information or data requested by the comptroller or have failed
35 to sufficiently respond to any recommendations made by the comptroller
36 pursuant to section sixty-one of this article and (b) the comptroller
37 believes fit within any of the following criteria:
38 (i) The municipality, in each of its last two completed fiscal years,
39 met any of the criteria set forth in section sixty-two of this article.
40 (ii) The municipality, in its last completed fiscal year, met any of
41 the criteria set forth under paragraph (a) of subdivision one of section
42 sixty-four of this article.
43 (iii) The municipality meets such other commonly accepted criteria of
44 stress as may be specified for purposes of this section, and for which
45 notice pursuant to section sixty-nine of this article has been provided,
46 by the comptroller.
47 2. For each municipality identified pursuant to subdivision one of
48 this section, the comptroller may determine that, in addition to being
49 subject to such requirements of subdivision two of section sixty-two of
50 this article as appropriate, the governing board of the municipality,
51 until otherwise notified by the comptroller, shall, commencing with the
52 next succeeding fiscal year:
53 (a) Adopt a four-year financial plan in such form as may be prescribed
54 by the comptroller; and
S. 1406 241 A. 2106
1 (b) Adopt a capital program as described in section ninety-nine-g of
2 this chapter, or in such other form as may be approved by the comp-
3 troller.
4 3. The financial and capital program shall be adopted no later than
5 the last date on which the municipality's budget is required to be
6 adopted, and may be modified from time to time. The financial plan shall
7 provide that the operating and capital funds of the municipality will be
8 in balance.
9 4. The chief fiscal officer of the municipality shall, until otherwise
10 notified by the comptroller, prepare and submit to the governing board
11 of the municipality monthly financial reports, within fifteen days from
12 the end of each month, and prepare and submit to the comptroller, direc-
13 tor of the budget, and secretary of state quarterly financial reports,
14 within fifteen days from the end of each quarter, both in such form as
15 may be prescribed by the comptroller. In the event that the comptroller
16 provides any recommendations regarding any reports required by this
17 subdivision, the chief fiscal officer shall prepare a response to the
18 recommendations of the comptroller in such form as requested by the
19 comptroller with copies provided to the director of the budget and the
20 secretary of state.
21 § 64. Indicators of fiscal stress; level three; municipalities experi-
22 encing continued fiscal stress. 1. Based upon the comptroller's review
23 of annual financial report data and other appropriate data and informa-
24 tion pursuant to section sixty-one of this article, the comptroller may
25 identify those municipalities that the comptroller believes fit within
26 any of the following criteria:
27 (a) The municipality, in each of its last two completed fiscal years,
28 had at least one of the following:
29 (i) An unplanned operating deficit in a major operating fund in excess
30 of a benchmark as may be specified for purposes of this section, and for
31 which notice pursuant to section sixty-nine of this article has been
32 provided, by the comptroller, and unappropriated fund deficit in a major
33 operating fund in excess of a benchmark as may be specified for purposes
34 of this section, and for which notice pursuant to section sixty-nine of
35 this article has been provided, by the comptroller;
36 (ii) An unappropriated fund deficit in a major operating fund in
37 excess of a benchmark as may be specified for purposes of this section,
38 and for which notice pursuant to section sixty-nine of this article has
39 been provided, by the comptroller, and a ratio of aggregated cash and
40 investments to average monthly expenditures less than a benchmark as may
41 be specified for purposes of this section, and for which notice pursuant
42 to section sixty-nine of this article has been provided, by the comp-
43 troller;
44 (iii) A ratio of non-recurring revenues (as may be defined for this
45 purpose, and for which notice pursuant to section sixty-nine of this
46 article has been provided, by the comptroller) used to fund recurring
47 expenditures to total expenditures in excess of a benchmark as may be
48 specified for purposes of this section, and for which notice pursuant to
49 section sixty-nine of this article has been provided, by the comp-
50 troller.
51 (b) The municipality meets such additional commonly accepted criteria
52 of fiscal stress as may be specified for purposes of this section, and
53 for which notice pursuant to section sixty-nine of this article has been
54 provided, by the comptroller;
S. 1406 242 A. 2106
1 (c) The benchmarks specified for this section shall be indicative of a
2 greater degree of stress than those specified for section sixty-two of
3 this article.
4 2. For each municipality identified pursuant to subdivision one of
5 this section, in addition to being subject to the requirements of subdi-
6 vision two of section sixty-two and subdivisions two, three, and four of
7 section sixty-three of this article, shall meet the requirements set
8 forth in paragraph (a) of this subdivision.
9 (a) The chief executive officer or individual or board responsible for
10 the preparation of the tentative budget, until otherwise notified by the
11 comptroller, shall annually submit the tentative budget for the next
12 succeeding fiscal year, the proposed four-year financial plan and the
13 proposed capital program for review by the comptroller. Copies of these
14 materials shall be simultaneously provided to the director of the budget
15 and the secretary of state. Such tentative budget shall be submitted to
16 the comptroller within five days after its preparation, but in no event
17 later than thirty days prior to the commencement of the next succeeding
18 fiscal year. The proposed four-year financial plan and proposed capital
19 program shall be submitted at the same time as the tentative budget.
20 (b) The comptroller shall in each such year examine such tentative
21 budget, financial plan, and capital program and make recommendations
22 thereon to the municipality, within fifteen days of receipt thereof,
23 with copies to the director of the budget and the secretary of state.
24 Such recommendations shall be made after review of the estimates of
25 revenues and expenditures of such municipality and such other informa-
26 tion as the comptroller deems appropriate, and shall be made prior to
27 the adoption of the final budget. At least forty-eight hours prior to
28 the adoption of the final budget, the chief executive officer or indi-
29 vidual or board responsible for the preparation of the tentative budget
30 of the municipality shall prepare a written response to the comp-
31 troller's recommendations. Such response shall include, with respect to
32 each recommendation, a statement of action taken or proposed to be
33 taken, or if no action is warranted or is to be taken or proposed, an
34 explanation of the reasons therefor. The comptroller's recommendations
35 and the response thereto shall be distributed to each member of the
36 governing board, filed with the clerk of the municipality and made a
37 part of the budget document. When so filed, such response shall be a
38 public record open to inspection by any interested person. The response
39 shall also be delivered to the director of the budget, the secretary of
40 state, the office of the state comptroller, the chairperson of the
41 senate finance committee, and the chairperson of the assembly ways and
42 means committee. In addition, notwithstanding the provisions of section
43 thirty of this chapter, the chief fiscal officer of the municipality,
44 until otherwise notified by the comptroller, shall submit the annual
45 financial report no later than thirty days from the close of the fiscal
46 year for which the report is prepared; provided however, that such
47 report shall be prepared in accordance with generally accepted account-
48 ing principles, and shall be audited by an independent entity no later
49 than ninety days from the close of the fiscal year for which the report
50 is prepared.
51 § 65. Indicators of fiscal stress; level four; municipalities experi-
52 encing advanced fiscal stress. 1. Based upon the comptroller's review
53 of annual financial report data and other appropriate data and informa-
54 tion pursuant to section sixty-one of this article, the comptroller
55 shall identify those municipalities that fit within any of the following
56 criteria:
S. 1406 243 A. 2106
1 (a) the municipality had unplanned general fund operating deficits
2 greater than twenty percent of general fund expenditures as of the close
3 of each of its last two preceding fiscal years and had a deficit fund
4 balance greater than twenty-five percent of the expenditures in the
5 general fund as of the close of its last preceding fiscal year;
6 (b) twice, within a five-year period, the municipality either has been
7 authorized pursuant to law to issue, and has adopted resolutions author-
8 izing the issuance of, bonds to finance a deficit, or directly or indi-
9 rectly utilized the proceeds of debt issued by any public benefit corpo-
10 ration or not-for-profit corporation to fund a deficit of the
11 municipality, or both;
12 (c) the municipality, due to conditions of fiscal stress, has
13 defaulted in the payment of principal or interest on its bonds or notes,
14 or such default is imminent;
15 (d) the municipality, due to conditions of fiscal stress or negative
16 credit factors, is unable to sell its obligations in the general public
17 market.
18 2. For each municipality identified pursuant to subdivision one of
19 this section, the comptroller shall notify the chief executive officer
20 and the chief fiscal officer of the municipality that conditions of
21 advanced fiscal stress have been identified and the basis of such iden-
22 tification. Each municipality so identified, in addition to being
23 subject to the requirements of subdivision two of section sixty-two,
24 subdivisions two, three, and four of section sixty-three, subdivision
25 two of section sixty-four, and subdivision eight of section sixty-six of
26 this article, even if no bonds or notes have been issued, shall also
27 meet the requirements set forth in subdivision three of this section.
28 3. (a) Each year the municipality shall develop, and may from time to
29 time modify, with the approval of the comptroller, a four-year financial
30 plan covering the municipality. Each such financial plan and financial
31 plan modification shall conform to the requirements of this section and
32 shall provide that the operating and capital funds of the municipality
33 will be in balance.
34 (b) The financial plan shall be developed and approved, and may from
35 time to time be modified, with the approval of the comptroller, in
36 accordance with the following procedures:
37 (i) Commencing with the municipality's fiscal year next beginning
38 after the comptroller shall have identified the municipality pursuant to
39 subdivision one of this section, and not later than fifty days prior to
40 the beginning of such fiscal year and each fiscal year thereafter, the
41 municipality shall prepare and submit a financial plan to the comp-
42 troller covering the four-year period beginning with such year. On such
43 dates, the chief executive officer shall also submit to the comptroller
44 the municipality's tentative budget for the ensuing fiscal year and a
45 certificate of the chief executive officer stating that such budget is
46 consistent with the financial plan submitted therewith, that the budget
47 conforms in all respects to the requirements of this section, and that
48 operation within the budget is feasible. Copies of these materials shall
49 be simultaneously provided to the director of the budget and the secre-
50 tary of state.
51 (ii) Not more than thirty days after submission of a financial plan or
52 financial plan modification, the comptroller shall determine whether or
53 not the financial plan or financial plan modification is complete and
54 complies with the provisions of subdivision one of this section and
55 shall approve or disapprove the financial plan or financial plan modifi-
56 cation in accordance with the provisions of this section.
S. 1406 244 A. 2106
1 (iii) If the comptroller determines that the financial plan or finan-
2 cial plan modification is complete and complies with the standards set
3 forth in this section, the comptroller shall approve the financial plan
4 or financial plan modification. Upon making such determination, the
5 comptroller shall make a certification to the municipality setting forth
6 revenue estimates approved by the comptroller in accordance with such
7 determination.
8 (iv) The comptroller shall disapprove the financial plan proposed by
9 the municipality if, in the judgment of the comptroller, such plan:
10 (A) is incomplete;
11 (B) fails to contain projections of revenues and expenditures that are
12 based on reasonable and appropriate assumptions and methods of esti-
13 mation;
14 (C) fails to provide that operations of the municipality will be
15 conducted within the cash resources available according to the comp-
16 troller's revenue estimates; or
17 (D) fails to comply with the provisions of this section.
18 (v) In disapproving a financial plan or financial plan modification
19 proposed by the municipality, the comptroller may direct that the aggre-
20 gate expenditures in any period be reduced to conform to the revenue
21 estimates certified by the comptroller.
22 (vi) In the event that the municipality shall, for any reason, fail to
23 submit a financial plan, as required pursuant to this paragraph, or to
24 adopt a financial plan approved by the comptroller, or in the event that
25 the comptroller has not, for any reason permitted under this section,
26 approved a financial plan submitted by the municipality, the comptroller
27 so finding, shall formulate and adopt a financial plan to be effective
28 until the comptroller approves a financial plan submitted by the munici-
29 pality.
30 (vii) After the initial adoption of the financial plan, the revenue
31 estimates certified by the comptroller and the financial plan shall be
32 regularly reexamined by the comptroller in consultation with the munici-
33 pality and the municipality shall submit a financial plan modification
34 in such detail and within such time period as the comptroller may
35 require. In the event of reductions in such revenue estimates, or in the
36 event the municipality shall expend funds at a rate that would exceed
37 the aggregate expenditure limitation for the municipality prior to the
38 expiration of the fiscal year, the municipality shall submit a financial
39 plan modification to effect such adjustments in revenue estimates or
40 reductions in total expenditures, or both, as may be necessary to
41 conform to such revised revenue estimates or aggregate expenditure limi-
42 tations. If, within a time period specified by the comptroller, the
43 municipality fails to make such modifications after reductions in reven-
44 ue estimates, or to provide a modified plan in detail and within such
45 time period required by the comptroller, the comptroller, after so find-
46 ing, shall formulate and prescribe modifications to the financial plan.
47 (viii) The municipality may, from time to time, submit financial plan
48 modifications for review by the comptroller. The comptroller shall
49 approve such modifications unless, in the judgment of the comptroller,
50 such modifications would constitute grounds for disapproval of a finan-
51 cial plan pursuant to subparagraph (iv) of this paragraph.
52 (c) The financial plan shall be in such form and shall contain such
53 information for each year during which the financial plan is in effect
54 as the comptroller may specify, and shall, in such detail as the comp-
55 troller may from time to time prescribe, include statements of all esti-
S. 1406 245 A. 2106
1 mated revenues and of all expenditures and cash flow projections of the
2 municipality.
3 (d) To the extent required by the comptroller, each financial plan and
4 financial plan modification shall contain such information with respect
5 to the projected expenditures, revenues, and cash flows of one or more
6 covered organizations. Notwithstanding any other provision of law limit-
7 ing the authority of the municipality with respect to any covered organ-
8 ization, the municipality, in the preparation and submission of the
9 financial plan and modifications thereof, shall (except for debt service
10 or for other expenditures to the extent that such expenditures are
11 required by law) have the power to determine the aggregate expenditures
12 to be allocated to any covered organization in the financial plan and
13 any modification thereto. For this purpose, the term "covered organiza-
14 tion" shall mean any governmental agency, public authority, or public
15 benefit corporation which receives or may receive moneys directly, indi-
16 rectly or contingently (other than moneys received for the sale of goods
17 or the rendering of services or the loan of moneys to the municipality),
18 from the municipality.
19 (e) All budgets and operations of the municipality shall be in
20 conformance and compliance with the financial plan then in effect.
21 4. Nothing contained in this section shall:
22 (a) limit the right of the municipality to comply with the provisions
23 of any existing contract with or for the benefit of the holders of any
24 bonds or notes of the municipality.
25 (b) be construed to impair the right of employees to organize or to
26 bargain collectively.
27 (c) be construed to limit the power of the municipality to determine,
28 from time to time, within available funds for the municipality, the
29 purposes for which expenditures are to be made by the municipality and
30 the amounts of such expenditures, consistent with the aggregate expendi-
31 tures then permitted under the financial plan for the municipality.
32 5. The municipality shall not issue any further bonds or bond antic-
33 ipation notes unless and until the affordability of such additional debt
34 to the tax base supporting the indebtedness has been reviewed by the
35 comptroller and the terms of the debt is approved by the comptroller.
36 The municipality shall respond in writing to recommendations, if any,
37 which the comptroller may make thereon. The comptroller may require the
38 chief fiscal officer of the municipality to prepare and submit (a) a
39 plan which details the projected fiscal impact of the proposed issuance
40 of bonds or bond anticipation notes including financing costs, future
41 direct and indirect operating costs of, and any resulting revenues from,
42 the object or purpose to be financed; and (b) an analysis of the afford-
43 ability to the tax base supporting the debt service or the bonds or
44 notes. The comptroller may require such other information as the comp-
45 troller deems necessary to complete the review of affordability. The
46 comptroller shall make any recommendations and approve or disapprove
47 within thirty days of receipt of all information necessary to complete
48 the review of affordability.
49 6. The municipality shall be subject to the provisions of this section
50 until the date when (a) the comptroller shall determine, based on annual
51 audited financial statements of the municipality that, for each of the
52 three immediately preceding fiscal years, that the municipality has
53 adopted and adhered to budgets covering all expenditures, the results of
54 which did not show a deficit when reported in accordance with generally
55 accepted accounting principles and (b) the comptroller and the chief
56 fiscal officer of the municipality jointly shall certify that securities
S. 1406 246 A. 2106
1 sold, if any, by or for the benefit of the municipality during the
2 fiscal year immediately preceding such date and the then current fiscal
3 year in the general public market satisfied the financing requirements
4 of the municipality during such period and that there is a substantial
5 likelihood that such securities can be sold in the general public market
6 from such date through the end of the next succeeding fiscal year in
7 amounts which will satisfy substantially all of the capital and cash
8 flow financial requirements of the municipality during such period in
9 accordance with the financial plan then in effect.
10 7. Copies of all tentative and adopted budgets and financial plans,
11 financial plan modifications, capital plans, and debt affordability
12 documents provided by the municipality and all recommendations, determi-
13 nations, approvals, disapprovals, and any other written materials
14 provided by the comptroller pursuant to this section shall simultaneous-
15 ly be provided to the director of the budget and the secretary of state.
16 8. Notwithstanding any other provision of law, no municipality which
17 is subject to this section shall file any petition authorized by title
18 six-A of article two of the local finance law.
19 § 66. New York state board of local government deficit financing
20 authorization. 1. (a) There is hereby created the New York state board
21 of local government deficit financing authorization, which shall have
22 and exercise the powers and duties set forth in subdivision two of this
23 section.
24 (b) Such board shall consist of five members as follows: one of the
25 members shall be appointed by the governor, who shall be the chair-
26 person, one of the members shall be appointed by the temporary president
27 of the senate, one of the members shall be appointed by the speaker of
28 the assembly, one of the members shall be appointed by the minority
29 leader of the senate, and one of the members shall be appointed by the
30 minority leader of the assembly. Each member of the board shall be
31 entitled to designate a representative to attend meetings of the board
32 in his or her place, and to vote or otherwise act on his or her behalf
33 in his or her absence. Notice of such designation shall be furnished in
34 writing to the board by the designating member. A representative shall
35 serve at the pleasure of the designating member during the member's term
36 of office. A representative shall not be authorized to delegate any of
37 his or her duties or functions to any other person.
38 (c) The members of the board shall serve for a term of one year.
39 (d) Three members of the board shall constitute a quorum, and the
40 board shall have the power to act by a majority vote of the total number
41 of members of the board without a vacancy.
42 (e) The members of the board shall not receive compensation but shall
43 be reimbursed for actual and necessary expenses incurred in the perform-
44 ance of their official duties.
45 2. (a) The board shall have the power to authorize the issuance of
46 bonds by a municipality to fund a deficit existing as of the close of
47 the last preceding fiscal year of the municipality or projected to exist
48 as of the close of the current fiscal year of the municipality.
49 (b) The board may authorize the issuance of bonds by a municipality to
50 fund such a deficit only upon the request of the chief executive officer
51 of a municipality concurred in by a majority of the total membership of
52 the legislative body for such municipality.
53 (c) Prior to the board's authorizing the issuance of bonds to fund
54 such a deficit pursuant to this subdivision, the comptroller shall first
55 review and confirm the existence of the deficit, as well as certify the
56 amount of the deficit. As soon as practicable after the request to the
S. 1406 247 A. 2106
1 board is made, but in no event prior to the close of the current fiscal
2 year of the municipality in the case of a projected deficit, the munici-
3 pality shall prepare a report detailing the amount and cause of the
4 deficit and submit to the comptroller such report, together with the
5 municipality's independent audit report for its last completed fiscal
6 year, if any such audit report has been or is to be prepared, and such
7 other information as the comptroller may deem necessary. Within thirty
8 days after receiving all necessary reports and information, the comp-
9 troller shall: (i) perform such reviews as may be necessary; (ii)
10 confirm the existence and certify the amount of the deficit; and (iii)
11 so notify the board.
12 After the comptroller notifies the board of the existence of the defi-
13 cit and the amount of the deficit as certified by the comptroller, the
14 board shall then make a determination whether or not to authorize the
15 issuance of bonds by the municipality to fund the deficit. In making
16 such a determination, the board may consider several factors, including,
17 but not limited to:
18 (i) the size of the deficit as a percentage of the municipality's
19 overall budget;
20 (ii) the ability of the municipality to liquidate the deficit by means
21 other than through the issuance of bonds;
22 (iii) the existence of deficits in the past five years and the actions
23 taken by the municipality to liquidate the deficit;
24 (iv) other factors as deemed relevant by the board.
25 (d) Once the board has determined that a municipality shall have
26 authorization for the issuance of bonds pursuant to this section, the
27 board shall issue a written instrument authorizing the municipality to
28 issue bonds in the amount of the deficit, as certified by the comp-
29 troller pursuant to paragraph (c) of this subdivision. In anticipation
30 of the issuance of such bonds, bond anticipation notes may be issued by
31 the municipality.
32 (e) It is hereby determined that the financing of deficits as
33 hereinbefore described is an object or purpose of the municipality for
34 which indebtedness may be incurred, the period of probable usefulness of
35 which is determined to be ten years, computed from the date of such
36 bonds or the date of the first bond anticipation note issued in antic-
37 ipation of the sale of such bonds, whichever is earlier. The board, in
38 authorizing the issuance of bonds, may prescribe a maximum maturity of
39 the bonds, not to exceed ten years, computed from the date of such bonds
40 or the date of the first bond anticipation note issued in anticipation
41 of such bonds, whichever is earlier.
42 (f) The board shall make a determination whether or not to authorize
43 the issuance of bonds to finance a deficit pursuant to this subdivision
44 within thirty days of receiving the report from the comptroller pursuant
45 to paragraph (c) of this subdivision.
46 3. A municipality that has requested authorization to issue bonds to
47 fund a deficit pursuant to this section may issue bond anticipation
48 notes for a term not to exceed one year for the purpose of liquidating
49 such deficit prior to a determination by the board to authorize the
50 issuance of bonds by the municipality to fund the deficit pursuant to
51 this section. In the event that bond anticipation notes are issued in an
52 amount in excess of the amount of such deficit as certified by the comp-
53 troller, such municipality shall, from funds other than proceeds of
54 bonds or bond anticipation notes, either redeem such bond anticipation
55 notes in the amount by which the amount of such bond anticipation notes
56 exceeds the amount of such deficit as certified by the comptroller or
S. 1406 248 A. 2106
1 deposit a sum equal to the amount by which such bond anticipation notes
2 exceed the amount of such deficit as certified by the comptroller into a
3 reserve fund for the payment of bonded indebtedness established pursuant
4 to section six-h of this chapter. In the event that bond anticipation
5 notes are issued and the board does not authorize the issuance of bonds
6 to finance such deficit, such municipality shall, from funds other than
7 the proceeds of bonds or bond anticipation notes, redeem the full amount
8 of such bond anticipation notes.
9 4. The determination of the board whether or not to authorize the
10 issuance of bonds pursuant to this section shall be deemed final and may
11 only be subject to review by a proceeding commenced under article seven-
12 ty-eight of the civil practice law and rules; provided that such
13 proceeding is commenced within thirty days of the notice of the determi-
14 nation given by certified mail return receipt requested rendering such
15 final determination.
16 5. (a) The state shall save harmless and indemnify members of the
17 board and its representatives, all of whom shall be deemed officers and
18 employees of the state for purposes of section seventeen of the public
19 officers law, against any claim, demand, suit, or judgment arising by
20 reason of any act or omission to act by such member of the board or
21 representative occurring in the discharge of his or her duties and with-
22 in the scope of his or her service on behalf of the board, including any
23 claim, demand, suit, or judgment. In the event of any such claim,
24 demand, suit, or judgment, a member of the board or representative shall
25 be saved harmless and indemnified, notwithstanding the limitations of
26 subdivision one of section seventeen of the public officers law, unless
27 such individual is found by a final judicial determination not to have
28 acted, in good faith, for a purpose which he or she reasonably believed
29 to be in the best interest of the board or not to have had reasonable
30 cause to believe that his or her conduct was lawful.
31 (b) In connection with any such claim, demand, suit, or judgment, any
32 member of the board or representative shall be entitled to represen-
33 tation by private counsel of his or her choice in any civil judicial
34 proceeding whenever the attorney general determines, based upon his or
35 her investigation and review of the facts and circumstances of the case,
36 that representation by the attorney general would be inappropriate. The
37 attorney general shall notify the individual in writing of such determi-
38 nation that the individual is entitled to be represented by private
39 counsel. The attorney general may require, as a condition to payment of
40 the fees and expenses of such representative, that appropriate groups of
41 such individuals be represented by the same counsel. If the individual
42 or groups of individuals is entitled to representation by private coun-
43 sel under the provisions of this section, the attorney general shall so
44 certify to the state comptroller. Reasonable attorneys' fees and liti-
45 gation expenses shall be paid by the state to such private counsel from
46 time to time during the pendency of the civil action or proceeding,
47 subject to certification that the individual is entitled to represen-
48 tation under the terms and conditions of this section by the board, upon
49 the audit and warrant of the state comptroller. The provisions of this
50 subdivision shall be in addition to and shall not supplant any indemni-
51 fication or other benefits heretofore or hereafter conferred upon
52 members of the board and representatives to the board by section seven-
53 teen of the public officers law, by action of the board, or otherwise.
54 The provisions of this subdivision shall inure only to members of the
55 board and representatives to the board, shall not enlarge or diminish
S. 1406 249 A. 2106
1 the rights of any other party, and shall not impair, limit, or modify
2 the rights and obligations of any insurer under any policy of insurance.
3 6. The comptroller shall provide all necessary assistance to the board
4 including, but not limited to, staffing and support, so that the board
5 may carry out its powers and duties pursuant to this section.
6 7. To facilitate the marketing of bonds authorized pursuant to law to
7 be issued to fund a deficit, the municipality may, notwithstanding any
8 limitation on the private sales of bonds provided by law and subject to
9 the approval of the comptroller of the terms and conditions of such
10 sales: (a) arrange for the underwriting of such bonds at private sale
11 through negotiated fees or by sale of such bonds to an underwriter at a
12 price less than the sum of par value of, and the accrued interest on,
13 such obligations; or (b) arrange for the private sale of such bonds
14 through negotiated agreement, with compensation for such sales to be
15 provided by negotiated agreement or negotiated fee, or both, if
16 required. The cost of such underwriting or private placement shall be
17 deemed a preliminary cost for purposes of section 11.00 of the local
18 finance law.
19 8. Except as provided in this article, all proceedings in connection
20 with the issuance of bonds or bond anticipation notes authorized to be
21 issued pursuant to this section shall be had and taken in accordance
22 with the provisions of the local finance law; provided, however, that
23 any resolution or resolutions authorizing the issuance of such bonds
24 shall not be subject to either a mandatory or permissive referendum.
25 9. In any fiscal year beginning with the fiscal year in which the
26 municipality issues debt under this section to fund a deficit, to and
27 including the last fiscal year during which such debt or any debt
28 incurred to refund such debt is outstanding:
29 (a) The municipality shall be subject to such requirements of subdivi-
30 sion two of section sixty-two, subdivisions two, three, and four of
31 section sixty-three, and subdivision two of section sixty-four of this
32 article.
33 (b) The municipality shall not issue any further bonds or bond antic-
34 ipation notes unless and until the affordability of such additional debt
35 to the tax base supporting the indebtedness has been reviewed by the
36 comptroller and the municipality has responded in writing to recommenda-
37 tions, if any, which the comptroller may, in his or her discretion, make
38 thereon. The comptroller may require the chief fiscal officer of the
39 municipality to prepare and submit: (i) a plan which details the
40 projected fiscal impact of the proposed issuance of bonds or bond antic-
41 ipation notes including financing costs, and future direct and indirect
42 operating costs of, and any resulting revenues from, the object or
43 purpose to be financed; and (ii) an analysis of the affordability to the
44 tax base supporting the debt service on the bonds or notes. The comp-
45 troller may require such other information as the comptroller deems
46 necessary to complete the review of affordability. The comptroller shall
47 make any recommendations within thirty days of receipt of all informa-
48 tion necessary to complete the review of affordability. Copies of the
49 plan, analysis, and other information prepared by the chief fiscal offi-
50 cer and the recommendations of the comptroller shall be provided to the
51 director of the budget and secretary of state.
52 (c) The chief fiscal officer of the municipality on whose behalf such
53 deficit bonds or notes have been issued shall monitor its budgets and
54 for each budget, prepare a quarterly report of summarized budget data
55 depicting overall trends of actual revenues and budget expenditures for
56 the entire budget rather than individual line items. Such reports shall
S. 1406 250 A. 2106
1 compare revenue estimates and appropriations as set forth in such budget
2 with the actual revenues and expenditures made to date. All quarterly
3 reports shall be accompanied by a recommendation by the chief executive
4 officer setting forth any remedial action necessary to resolve any unfa-
5 vorable budget variance including the overestimation of revenues and the
6 underestimation of appropriations, and shall be completed within thirty
7 days of the end of each quarter. These reports shall be submitted to the
8 local governing board and chief executive officer of such municipality,
9 the director of the budget, the secretary of state, the state comp-
10 troller, the chairperson of the senate finance committee, and the chair-
11 person of the assembly ways and means committee.
12 (d) Paragraphs (a), (b), and (c) of this subdivision shall also apply
13 to any municipality that directly or indirectly utilizes the proceeds of
14 debt issued by any public benefit corporation or not-for-profit corpo-
15 ration to fund a deficit of the municipality. Any such municipality
16 shall comply with such paragraphs beginning with its fiscal year in
17 which such debt has been issued, to and including the last fiscal year
18 during which such debt or any debt to refund such debt is outstanding.
19 § 67. Fiscal recovery financing. If, upon application by a munici-
20 pality, made pursuant to a request of the chief executive officer of the
21 municipality concurred in by a majority of the total membership of the
22 legislative body for such municipality, the director of the budget shall
23 determine that, due to conditions of fiscal stress or negative credit
24 factors, there is a substantial likelihood that the municipality will be
25 unable to sell its obligations in the general public market, the munici-
26 pality may request that the agency issue fiscal recovery bonds or notes
27 pursuant to section twenty-four hundred thirty-five-g of the public
28 authorities law to (i) refund or restructure through refunding or
29 renewal the outstanding debt obligations of the municipality; (ii) pay
30 related costs of issuance; and (iii) provide for any debt service
31 reserve fund. When such determination is made by the director of the
32 division of the budget, the municipality shall be subject to the
33 provisions of section sixty-four of this article. In addition, subse-
34 quent to the issuance of such fiscal recovery notes or bonds, and for
35 each fiscal year in which such notes or bonds issued pursuant to this
36 article are outstanding, no additional municipality borrowing shall be
37 made until the comptroller shall have filed a certificate with the chief
38 financial officer of the municipality providing in effect a favorable
39 comment on the affordability of such additional borrowing. Notwithstand-
40 ing this limitation, if the comptroller fails to comment within twenty
41 days of a municipal request, the proposed borrowing shall be deemed
42 affordable. No such certification shall be required for a municipality
43 to issue bonds or notes to pay outstanding bonds or notes.
44 § 68. Inconsistency with other laws. To the extent this article is
45 inconsistent with any general, special, or local law concerning budget
46 procedures, this article shall apply.
47 § 69. Notice of benchmarks and additional criteria. The comptroller,
48 at least biennially, shall develop, and after approval of the director
49 of the budget and the secretary of state, shall provide to munici-
50 palities notice, in such manner as the comptroller deems appropriate, of
51 all benchmarks, all commonly accepted criteria for fiscal stress or
52 susceptibility to fiscal stress, and any definition of non-recurring
53 revenues as may be specified by the comptroller for purposes of this
54 article.
55 § 69-a. Reports. Not later than November fifteenth of each year, the
56 comptroller shall file an annual report with the governor, the chair-
S. 1406 251 A. 2106
1 person of the senate finance committee, the chairperson of the assembly
2 ways and means committee, the director of the budget, and the secretary
3 of state on the financial condition, during their last completed fiscal
4 years, of the municipalities which are subject to the provisions of
5 section sixty-three, sixty-four, sixty-five, or sixty-six of this arti-
6 cle. The report shall be in sufficient form and detail to permit an
7 accurate depiction of the financial condition of each such municipality.
8 The comptroller shall also notify the governor, the chairperson of the
9 senate finance committee, the chairperson of the assembly ways and means
10 committee, the director of the budget, and the secretary of state, as
11 soon as practicable, in any case where the comptroller has identified a
12 municipality pursuant to section sixty-three, sixty-four, or sixty-five
13 of this article. Notwithstanding any inconsistent provision of law, and
14 in addition to any other requirements in this article, copies of all
15 municipal self-evaluations, reports, financial plans and modifications
16 thereof, debt affordability analysis, comptroller's recommendations,
17 determinations, approvals, and disapprovals, and all other documents
18 developed according to the provisions of this article shall be provided
19 to the director of the budget and the secretary of state upon request.
20 § 69-b. No duplication. Nothing in this article shall be interpreted
21 to require either the comptroller or a municipality to duplicate an
22 oversight or reporting function due to the application of more than one
23 provision of this article or any other related provision of law to such
24 function.
25 § 125. Section 2431 of the public authorities law, as amended by chap-
26 ter 203 of the laws of 2000, the third undesignated paragraph as added
27 by section 6 of part B of chapter 88 of the laws of 2000, the fifth
28 undesignated paragraph as added by section 65 and the closing paragraph
29 as added by section 66 of part H of chapter 83 of the laws of 2002, is
30 amended to read as follows:
31 § 2431. Legislative findings. It is hereby declared to be in the
32 public interest and to be the policy of the state to foster and promote
33 by all reasonable means the provision of adequate capital markets and
34 facilities for borrowing money by its several municipalities for the
35 financing of their public improvements or purposes from proceeds of
36 bonds or notes issued by those municipalities, and to assist those muni-
37 cipalities in fulfilling their needs for improvements by use of creation
38 of indebtedness and to the extent possible to reduce costs of indebt-
39 edness to taxpayers and residents of the state and to encourage contin-
40 ued investor interest in the purchase of bonds or notes of munici-
41 palities as sound and preferred securities for investment. It is in the
42 public interest and is the policy of the state to encourage its munici-
43 palities to continue their independent undertakings of public improve-
44 ments and purposes and the financing thereof and to assist them therein
45 by making funds available at reduced interest costs for orderly financ-
46 ing of public improvements and purposes, particularly for those munici-
47 palities not otherwise able to borrow for those purposes. It is further
48 declared the state should exercise its power in the interest of its
49 municipalities to further and implement those policies by authorizing a
50 state instrumentality to be created as a body corporate and politic to
51 have full powers to borrow money and to issue its bonds and notes to
52 make funds available through the facilities of that instrumentality at
53 reduced rates and on more favorable terms for borrowing by munici-
54 palities through the purchase by that instrumentality of the bonds or
55 notes of municipalities and by granting broad powers to the instrumen-
56 tality to accomplish and to carry out the aforesaid policies of the
S. 1406 252 A. 2106
1 state which are in the public interest of the state and of its taxpayers
2 and residents. It is further declared to be in the public interest and
3 is the policy of the state that such instrumentality should so conduct
4 its operations, including the full utilization of existing public corpo-
5 rations, as to provide the lowest rates in terms of borrowing to munici-
6 palities as is consistent with a self-supporting operation with no
7 expectation of subsidization with state funds.
8 It is further declared to be in the public interest and it is the
9 policy of the state to provide a means by which certain cities may
10 receive moneys to refund certain property taxes determined to be in
11 excess of state constitutional tax limits or to reimburse such cities
12 for the prior refunding of such taxes.
13 It is further declared to be in the public interest and it is the
14 policy of the state to provide a means by which certain special program
15 municipalities may receive moneys for the purpose of paying the cost of
16 settling litigation involving the city school districts of such special
17 program municipalities and the teachers' unions thereof.
18 It is hereby further declared that many municipalities are owed
19 millions of dollars annually in unpaid property taxes. Such uncollected
20 taxes adversely impact the municipalities ability to timely collect the
21 moneys necessary to meet their operating expenditures and provide for
22 the delivery of necessary local government services, amplifying the risk
23 of future real property tax increases and negatively impacting those
24 taxpayers who timely remit payment. It is hereby further declared that
25 limited means exist for municipalities to expedite the collection of
26 such delinquent taxes and that as a result such delinquencies often
27 remain unpaid thereby creating a lien against the affected real property
28 and that the sale of such tax liens will enable municipalities to expe-
29 dite the receipt of anticipated revenues and provide a funding source
30 which will enable municipalities to more effectively carry out their
31 public purposes. It is further declared that the state should exercise
32 its power in the interest of its municipalities to facilitate the sale
33 and purchase of tax liens by authorizing such instrumentality, a trust
34 or other single purpose entity or entities created by such instrumental-
35 ity, to have full powers to borrow money and to issue its bonds, notes,
36 certificates of participation or other obligations to make funds avail-
37 able to municipalities through the facilities of said instrumentality by
38 the purchase through that instrumentality of the delinquent tax liens
39 created and held by municipalities and by granting broad powers to such
40 instrumentality to accomplish and to carry out the aforesaid policies of
41 the state which are in the public interest of the state and of its
42 taxpayers and residents.
43 It is hereby further found and declared that, on September eleventh,
44 two thousand one, events occurred that resulted in dramatic and unfore-
45 seen negative fiscal changes which affected the state and certain muni-
46 cipalities thereof. The impact of these events, if left unremediated, is
47 contrary to the public interest of the state and such municipalities and
48 threatens a decline in the general prosperity and economic welfare of
49 the inhabitants of such municipalities and the people of the state.
50 Accordingly, it is a matter of substantial and imperative state concern
51 that such municipalities not fail to address local needs and thereby
52 suffer adverse consequences. It is further declared to be in the public
53 interest and it is the policy of the state to provide a means for such
54 municipalities to receive assistance to meet their obligations and
55 thereby be assisted in relieving the effects of the negative fiscal
56 changes caused by the September eleventh, two thousand one events.
S. 1406 253 A. 2106
1 It is further declared to be in the public interest and it is the
2 policy of the state to provide a means by which the enlarged city school
3 district of the city of Troy may receive moneys for the specific object
4 and purpose of liquidating the projected accumulated deficit in its
5 general fund at the close of its fiscal year ending June thirtieth, two
6 thousand two, including any budget notes and revenue anticipation notes
7 which may be a part of the deficit.
8 It is hereby further found and declared that conditions of fiscal
9 stress are contrary to the public interest of the state and its munici-
10 palities and threaten a decline in the general prosperity and economic
11 welfare of the inhabitants of the state and its municipalities. Accord-
12 ingly, it is a matter of substantial and imperative state concern that a
13 municipality not fail to meet its obligations and thereby suffer adverse
14 consequences.
15 It is further declared to be in the public interest and it is the
16 policy of the state to provide a means for municipalities to receive
17 assistance to meet their obligations and thereby be assisted in reliev-
18 ing or avoiding conditions of fiscal stress.
19 § 126. Subdivisions 2, 3, 4, 5, and 10 of section 2432 of the public
20 authorities law, subdivisions 2, 3, and 10 as amended by section 67 of
21 part H of chapter 83 of the laws of 2002, subdivision 4 as amended by
22 chapter 903 of the laws of 1972, and subdivision 5 as amended by section
23 117 of part B of chapter 436 of the laws of 1997, are amended and nine
24 new subdivisions 5-d, 5-e, 5-f, 25, 26, 27, 28, 29, and 30 are added to
25 read as follows:
26 (2) "Bonds" and "Notes". The bonds and notes, including any special
27 program bonds [and], special school purpose bonds, special purpose
28 bonds, and fiscal recovery bonds and notes, respectively issued by the
29 agency pursuant to this title. Bonds and notes shall not include any tax
30 lien collateralized securities issued pursuant to this title.
31 (3) "Municipal Bond". A bond or note or evidence of debt payable from
32 any local revenues, including taxes, assessments and rents, which a
33 municipality may lawfully issue to finance local improvements and public
34 purposes or as a refunding or renewal of such bond, note, or evidence of
35 debt but does not include (a) any bond or note or evidence of debt
36 issued by any other state or any public body or municipal corporation
37 thereof, (b) any special program agreement, [or] (c) any special school
38 purpose agreement or any special school deficit program agreement, (d)
39 any special purpose agreement, or (e) any fiscal recovery agreement.
40 [4.] (4) "Municipality[.]". Any public corporation enumerated in
41 [subdivisions] paragraphs one, two, two-a, two-b, and three of section
42 2.00 of the local finance law, except that for purposes of section two
43 thousand four hundred thirty-five-g of this title, municipality shall
44 mean a county, town, village, or city, other than a city having a popu-
45 lation of one million or more, the city of Troy so long as an emergency
46 as defined in chapter seven hundred twenty-one of the laws of nineteen
47 hundred ninety-four, as amended, is in effect, and the county of Nassau
48 so long as an interim finance period or control period, as defined in
49 chapter eighty-four of the laws of two thousand, is in effect.
50 (5) "State Aid". All payments and contributions made by the state to
51 and in aid of a municipality as may be provided by law, other than
52 payments of state contributions for old age assistance, family assist-
53 ance, aid to the blind, aid to the disabled, safety net assistance and
54 local social services administration costs; provided that, with respect
55 to any provisions of this title relating to special purpose bonds and
56 special purpose agreements or fiscal recovery bonds and fiscal recovery
S. 1406 254 A. 2106
1 agreements, the term state aid shall have the meaning set forth in
2 section ninety-two-bb of the state finance law.
3 (5-d) "State Aid Revenues". State aid paid or payable by the comp-
4 troller to the agency pursuant to section ninety-two-bb of the state
5 finance law.
6 (5-e) "Special Purpose State Aid Revenues". The balance of state aid
7 that does not constitute state aid revenues and that is to be trans-
8 ferred by the comptroller to a special purpose municipality pursuant to
9 section ninety-two-bb of the state finance law.
10 (5-f) "Fiscal Recovery State Aid Revenues". The balance of state aid
11 that does not constitute state aid revenues and that is to be trans-
12 ferred by the comptroller to a fiscal recovery municipality pursuant to
13 section ninety-two-bb of the state finance law.
14 (10) "Debt Service Reserve Fund Requirement". With respect to any debt
15 service reserve fund created by section two thousand four hundred thir-
16 ty-nine of this title relating to bonds other than special program bonds
17 [or], special school purpose bonds or special school deficit program
18 bonds, special purpose bonds, or fiscal recovery bonds, as of any
19 particular date of computation, an amount of money equal to the greatest
20 of the respective amounts, for the then current or any succeeding calen-
21 dar year, of annual debt service payments required to be made to the
22 agency on all municipal bonds purchased with the proceeds of bonds which
23 bonds are secured by such debt service reserve fund, such annual debt
24 service payments for any calendar year being an amount of money equal to
25 the aggregate of (a) all interest payable during such calendar year on
26 all municipal bonds purchased by the agency and then outstanding on said
27 date of computation which are secured by such debt service reserve fund,
28 plus (b) the principal amount of all municipal bonds purchased by the
29 agency and then outstanding on said date of computation which mature
30 during such calendar year and are secured by such debt service reserve
31 fund; and with respect to any debt service reserve fund created by
32 section two thousand four hundred thirty-nine of this title relating to
33 an issue or issues of special program bonds [or], special school purpose
34 bonds or special school deficit program bonds, special purpose bonds, or
35 fiscal recovery bonds, such amount as shall be determined by the agency.
36 (25) "Special Purpose Municipality". Each of the cities of Buffalo,
37 Yonkers, Rochester, and Syracuse in the state of New York is a special
38 purpose municipality for the purposes of this chapter.
39 (26) "Special Purpose Bonds". An issue of bonds of the agency, all or
40 a portion of the proceeds of which are made available to a special
41 purpose municipality in connection with the execution by the agency and
42 such special purpose municipality of a special purpose agreement.
43 (27) "Special Purpose Agreement". An agreement between the agency and
44 a special purpose municipality entered into pursuant to section two
45 thousand four hundred thirty-five-f of this title.
46 (28) "Fiscal Recovery Municipality". Any municipality for which the
47 director of the state division of the budget has made a determination
48 pursuant to section sixty-seven of the general municipal law.
49 (29) "Fiscal Recovery Bonds or Notes". An issue of bonds or notes of
50 the agency, all or a portion of the proceeds of which are made available
51 to a fiscal recovery municipality in connection with the execution by
52 the agency and such fiscal recovery municipality of a fiscal recovery
53 agreement pursuant to section two thousand four hundred thirty-five-g of
54 this title.
S. 1406 255 A. 2106
1 (30) "Fiscal Recovery Agreement". An agreement between the agency and
2 a fiscal recovery municipality entered into pursuant to section two
3 thousand four hundred thirty-five-g of this title.
4 § 127. Subdivisions 3, 11, 18, and 21 of section 2434 of the public
5 authorities law, as amended by section 68 of part H of chapter 83 of the
6 laws of 2002, are amended and a new subdivision 21-d is added to read as
7 follows:
8 (3) To make and execute contracts and all other instruments necessary
9 or convenient for the exercise of its powers and functions under this
10 title, including, without limitation, any special program agreement
11 entered into pursuant to the provisions of section twenty-four hundred
12 thirty-five-a of this title, any purchase and sale agreement entered
13 into pursuant to the provisions of section twenty-four hundred thirty-
14 five-b of this title [and], any special school deficit program agreement
15 entered into pursuant to section twenty-four hundred thirty-five-e of
16 this title, any special purpose agreement entered into pursuant to the
17 provisions of section twenty-four hundred thirty-five-f of this title,
18 and any fiscal recovery agreement entered into pursuant to the
19 provisions of section twenty-four hundred thirty-five-g of this title;
20 (11) To make and execute contracts for the servicing of municipal
21 bonds acquired by the agency pursuant to this title, and for the servic-
22 ing of special program agreements, special school purpose agreements
23 [and], special school deficit program agreements, special purpose agree-
24 ments, and fiscal recovery agreements and to pay the reasonable value of
25 services rendered to the agency pursuant to those contracts;
26 (18) To establish any terms and provisions with respect to any special
27 program agreement, special school purpose agreement or special school
28 deficit program agreement, special purpose agreement, or fiscal recovery
29 agreement, including any terms for payment, and any other matters which
30 are necessary, desirable or advisable in the judgment of the agency;
31 (21) To pledge or assign, as security for any of its bonds or notes,
32 any moneys, funds, municipal bonds, special program agreements, special
33 school purpose agreements, [or] special school deficit program agree-
34 ments, special purpose agreements, fiscal recovery agreements, assets or
35 revenues of the agency, including, without limitation, any state aid or
36 school aid received or receivable pursuant to section twenty-four
37 hundred thirty-six of this title;
38 (21-d) To certify to the comptroller the amounts required with respect
39 to special purpose bonds or fiscal recovery bonds and notes as described
40 in section twenty-four hundred thirty-five-f or twenty-four hundred
41 thirty-five-g of this title as applicable;
42 § 128. Subdivision 1 of section 2435 of the public authorities law, as
43 amended by chapter 346 of the laws of 1974, is amended to read as
44 follows:
45 1. The agency may purchase, and contract to purchase, municipal bonds
46 from municipalities at such price or prices, upon such terms and condi-
47 tions and in such manner, not inconsistent with the provisions of the
48 local finance law, as the agency shall deem advisable; provided, howev-
49 er, that the average interest rate payable on all municipal bonds (taken
50 as a group) purchased with the proceeds of an issue of bonds shall equal
51 or exceed the interest rate on such issue of bonds; and provided
52 further, however, that the agency shall not purchase the municipal bonds
53 of any municipality if the aggregate principal amount thereof, together
54 with the aggregate principal balances of the municipal bonds of such
55 municipality then outstanding and held by the agency, exceed an amount
56 equal to ten percent of the aggregate principal amount of the statutory
S. 1406 256 A. 2106
1 authorization at the time for the issuance of bonds and notes, as
2 provided in section twenty-four hundred thirty-eight of this title, and
3 the agency shall not purchase the municipal bonds of any municipality if
4 the aggregate principal amount thereof exceeds an amount equal to fifty
5 percent of the aggregate principal amount of all municipal bonds
6 proposed to be so purchased at the time. The provisions of this subdi-
7 vision shall not apply to municipal bonds purchased with the proceeds of
8 fiscal recovery bonds.
9 § 129. The public authorities law is amended by adding two new
10 sections 2435-f and 2435-g to read as follows:
11 § 2435-f. Special purpose agreements. (1) In order to fulfill the
12 purposes of this title and to provide a means by which the special
13 purpose municipalities may receive assistance to meet their obligations
14 and, notwithstanding any general or special law to the contrary, the
15 agency and each special purpose municipality are, subject to the
16 provisions of subdivision two of this section, hereby authorized to
17 enter into one or more special purpose agreements in accordance with the
18 provisions of this title as to financing of costs by the agency, the
19 application of state aid revenues to the agency to secure its bonds and
20 further assurances in respect of the agency's receipt of such revenues.
21 Any such special purpose agreements shall not constitute indebtedness of
22 the special purpose municipality for purposes of section 20.00 of the
23 local finance law or any constitutional or statutory limitation. In
24 addition, any special purpose bonds issued in connection with such
25 special purpose agreement shall not constitute a debt of the state or of
26 the applicable special purpose municipality under any constitutional or
27 statutory provision including article VIII of the state constitution and
28 section 104.00 of the local finance law. State aid revenues shall belong
29 to the agency, shall not be, or be treated as, revenues of the special
30 purpose municipality for appropriation, accounting, or any other
31 purpose, and shall not be consolidated, commingled, or otherwise
32 combined with any other moneys of the agency, and such special purpose
33 agreement shall include a statement to such effect. Any such state aid
34 revenues and any such special purpose agreements may be pledged by the
35 agency in accordance with and with the effect of subdivision ten of
36 section twenty-four hundred thirty-seven of this title to secure its
37 bonds and may not be modified thereafter except as provided by the terms
38 of the pledge. Each special purpose agreement shall specify the amount
39 to be made available to the respective special purpose municipality
40 through the proceeds of an issue of special purpose bonds and such other
41 matters as the agency shall determine necessary or desirable as to the
42 application of bond proceeds or the security of the bonds. Such special
43 purpose agreement shall also provide that the agency shall not be enti-
44 tled to receive any special purpose state aid revenues.
45 (2) Upon entering into a special purpose agreement, each special
46 purpose municipality shall once, for paragraph (a) of this subdivision,
47 and annually thereafter, for paragraphs (b) and (c) of this subdivision,
48 commit to the following provisions:
49 (a) The chief executive officer of a special purpose municipality and
50 the chief executive officer of the respective school district shall, at
51 the time the special purpose agreement is entered into, submit a self-e-
52 valuation of the current fiscal affairs of the special purpose munici-
53 pality and of the school district, accompanied by the plan for the use
54 of bond proceeds pursuant to section twenty-four hundred thirty-eight of
55 this title, to the comptroller, the director of the budget, and the
56 secretary of state, in such form approved by the comptroller. Such eval-
S. 1406 257 A. 2106
1 uation shall reflect the current fiscal year status including the appli-
2 cation of the special purpose bond proceeds authorized in this title and
3 the special purpose municipality's, and its school district's, plans for
4 budgetary and management restructuring to bring about fiscal integrity
5 and structural budgetary balance by the special purpose municipality's
6 fiscal year ending June thirtieth, two thousand six;
7 (b) The chief fiscal officers of the special purpose municipality and
8 its school district shall each prepare and submit to the governing board
9 of the special purpose municipality and for the school district, the
10 special purpose municipality's chief executive officer, and the special
11 purpose municipality's governing board, monthly financial reports, with-
12 in fifteen days from the end of each month, and prepare and submit to
13 the comptroller, the director of the budget, and the secretary of state
14 quarterly financial reports, within fifteen days from the end of each
15 quarter, both in such form as may be prescribed by the comptroller. In
16 the event that the comptroller provides any recommendations regarding
17 any reports required by this subdivision, the chief fiscal officers
18 shall prepare a response to the recommendations of the comptroller in
19 such form as requested by the comptroller. Copies of such recommenda-
20 tions and the responses thereto shall also be submitted to the director
21 of the state budget and the secretary of state;
22 (c) Subsequent to having entered into a special purpose agreement, the
23 chief executive officer of the special purpose municipality and the
24 chief executive officer of the school district shall annually submit
25 their tentative budgets, proposed four-year financial plans, and
26 proposed capital programs for the next succeeding fiscal year for review
27 by the comptroller. Copies of these materials shall be simultaneously
28 provided to the director of the budget and the secretary of state. Such
29 tentative budgets shall be submitted to the comptroller no later than
30 the last date on which the special purpose municipality's tentative
31 budget must be prepared, but in no event later than thirty days prior to
32 the commencement of the next succeeding fiscal year. The proposed four-
33 year financial plans and proposed capital programs shall be submitted at
34 the same time as the tentative budgets;
35 (d) The comptroller shall in each such year examine such tentative
36 budgets, financial plans, and capital programs and make recommendations
37 thereon to the special purpose municipality and the school district,
38 within fifteen days of receipt thereof with copies to the director of
39 the budget and the secretary of state. Such recommendations shall be
40 made after review of the estimates of revenues and expenditures of such
41 special purpose municipality and school district and such other informa-
42 tion as the comptroller deems appropriate, and shall be made prior to
43 the adoption of the final budget. At least forty-eight hours prior to
44 the adoption of the final budget, the chief executive officer of the
45 special purpose municipality and its respective school district shall
46 each prepare a written response to the comptroller's recommendations.
47 Such responses shall include, with respect to each recommendation, a
48 statement of action taken or proposed to be taken, or if no action is
49 warranted or is to be taken or proposed, an explanation of the reasons
50 therefor. The comptroller's recommendations and the response thereto
51 shall be distributed to each member of the special purpose munici-
52 pality's municipal governing board and the governing board of the school
53 district of such special purpose municipality, filed with the clerk of
54 the special purpose municipality and made a part of the budget docu-
55 ments. When so filed, such response shall be a public record open to
56 inspection by any interested person. The response shall also be deliv-
S. 1406 258 A. 2106
1 ered to the director of the budget, the secretary of state, the office
2 of the state comptroller, the chairperson of the senate finance commit-
3 tee, and the chairperson of the assembly ways and means committee. In
4 addition, the chief fiscal officers of the special purpose municipality
5 and of the school district shall submit the annual financial reports no
6 later than thirty days from the close of the fiscal year for which the
7 report is prepared; provided, however, that such report shall be
8 prepared in accordance with generally accepted accounting principles,
9 and shall be audited by an independent entity not later than ninety days
10 from the close of the fiscal year for which such report is prepared. The
11 requirements of this section shall remain in effect for each special
12 purpose municipality and school district until such time that each
13 special purpose municipality and school district have achieved three
14 consecutive structurally balanced budgets without the use of special
15 purpose bonds, or any other bonds or notes pursuant to this chapter, as
16 certified by the comptroller to the special purpose municipality and
17 school district upon the close of each fiscal year or until such are no
18 longer outstanding, whichever is earlier. The comptroller shall also
19 notify the special purpose municipality and school district when three
20 such consecutively balanced budgets have been achieved and that no such
21 further reporting is required. Such certification and such notification
22 shall be submitted in writing to the special purpose municipality and
23 school district, the director of the budget, the secretary of state, the
24 chairperson of the senate finance committee, the chairperson of the
25 assembly ways and means committee, and the chairperson of the agency.
26 § 2435-g. Fiscal recovery agreements. (1) Upon meeting the conditions
27 set forth in section sixty-seven of the general municipal law and to
28 provide a means by which any fiscal recovery municipality may receive
29 assistance to refund or renew any outstanding debt obligations by such
30 municipality and, notwithstanding any general or special law to the
31 contrary, the agency and each fiscal recovery municipality are, subject
32 to the provisions of subdivision two of this section, hereby authorized
33 to enter into one or more fiscal recovery agreements in accordance with
34 the provisions of this title as to financing of costs by the agency, the
35 application of state aid revenues to the agency to secure its bonds or
36 notes, and further assurances in respect of the agency's receipt of such
37 revenues. Any such fiscal recovery agreements shall not constitute
38 indebtedness of the fiscal recovery municipality for purposes of section
39 20.00 of the local finance law or any constitutional or statutory limi-
40 tation including article VIII of the state constitution and section
41 104.00 of the local finance law. In addition, any fiscal recovery bonds
42 or notes issued in connection with such fiscal recovery agreement shall
43 not constitute a debt of the state or of the applicable fiscal recovery
44 municipality under any constitutional or statutory provision. State aid
45 revenues shall belong to the agency, shall not be, or be treated as,
46 revenues of the fiscal recovery municipality for appropriation, account-
47 ing, or any other purpose, and shall not be consolidated, commingled, or
48 otherwise combined with any other moneys of the agency, and such fiscal
49 recovery agreement shall include a statement to such effect. Any such
50 state aid revenues and any such fiscal recovery agreements may be
51 pledged by the agency in accordance with and with the effect of subdivi-
52 sion ten of section twenty-four hundred thirty-seven of this title to
53 secure its bonds or notes and may not be modified thereafter except as
54 provided by the terms of the pledge. Each fiscal recovery agreement
55 shall specify the amount to be made available to the respective fiscal
56 recovery municipality through the proceeds of an issue of fiscal recov-
S. 1406 259 A. 2106
1 ery bonds or notes as necessary to refund or renew the outstanding debt
2 obligations of such municipality and such other matters as the agency
3 shall determine necessary or desirable as to the application of bond
4 proceeds or the security of the bonds. Such fiscal recovery agreement
5 shall also provide that the agency shall not be entitled to receive any
6 fiscal recovery state aid revenues.
7 (2) (a) With respect to each fiscal recovery municipality, for each
8 fiscal year occurring during the time fiscal recovery bonds or notes
9 issued pursuant to any fiscal recovery agreement are outstanding, such
10 fiscal recovery municipality shall comply with the provisions of subdi-
11 vision two of section sixty-two, subdivisions two, three, and four of
12 section sixty-three, and subdivision two of section sixty-four of the
13 general municipal law. Execution of a fiscal recovery agreement by a
14 municipality shall be deemed acceptance by, and the agreement of, such
15 municipality to so comply with these provisions of the general municipal
16 law.
17 (b) Any fiscal recovery agreement entered into pursuant to subdivision
18 one of this section shall be authorized by the fiscal recovery munici-
19 pality in the same manner as an authorization for the issuance of debt
20 obligations to refund or renew the debt obligations being refunded or
21 renewed by the fiscal recovery bonds or notes.
22 (c) As a condition precedent to the authorization of a fiscal recovery
23 agreement pursuant to subdivision one of this section, a fiscal recovery
24 municipality shall authorize pursuant to the local finance law or other
25 applicable law the issuance of its debt obligations for the purpose of
26 refunding or renewing its debt obligations and for which assistance
27 therefor is expected to be received from the proceeds of fiscal recovery
28 bonds or notes of the agency and, notwithstanding any general or special
29 law to the contrary, including section 57.00 the local finance law
30 respecting sale of bonds and section 62.10 of the local finance law
31 respecting limitation on amount, shall authorize the delivery of such
32 debt obligations in the form of a statutory installment bond or note
33 pursuant to section 62.10 of the local finance law to the agency upon
34 receipt of the proceeds of the fiscal recovery bonds or notes of the
35 agency in the amount specified in the fiscal recovery agreement; such
36 debt obligations so delivered to the agency shall be deemed outstanding
37 in the amount of the aggregate of unpaid installments for purposes of
38 the local finance law and the state constitution.
39 (d) The agency is authorized to accept receipt of the debt obligations
40 of a fiscal recovery municipality delivered in accordance with paragraph
41 (c) of this subdivision and shall hold such obligations in trust and, in
42 its discretion, may pledge such obligations as additional security for
43 its fiscal recovery bonds or notes issued to assist such municipality.
44 (e) Nothing contained in this title shall be deemed to create an
45 object or purpose, to establish or extend a period for which a municipal
46 bond or note as a debt obligation may be issued pursuant to the local
47 finance law, or to create new authority for the fiscal recovery munici-
48 pality to issue a bond or note payable from a tax on real estate levied
49 outside the limit imposed by the state constitution on the amount to be
50 raised by tax on real estate for local purposes other than debt service,
51 or to modify, amend, repeal, or rescind any other provision of the local
52 finance law governing the issuance by the fiscal recovery municipality
53 of its bonds or the payment of principal and interest thereon.
54 (f) At all times after receipt of the debt obligations of the fiscal
55 recovery municipality acquired pursuant to this subdivision, the agency
56 shall have the same rights and powers with respect to such obligations
S. 1406 260 A. 2106
1 as the agency shall have with respect to any other municipal bond which
2 it holds under this title; provided that the agency may not sell or
3 transfer to any person other than the fiscal recovery municipality any
4 debt obligation thereof received pursuant to this subdivision unless the
5 chief executive officer has requested in writing that the agency sell or
6 transfer such obligation and, unless the terms of such sale or transfer
7 have been approved by the comptroller.
8 § 130. The public authorities law is amended by adding a new section
9 2436-b to read as follows:
10 § 2436-b. State aid revenues. (1) With respect to each issue of
11 outstanding special purpose bonds or fiscal recovery bonds or notes, not
12 later than October first in each year, or, in the case of the first such
13 certificate, not later than thirty days after the sale of an issue of
14 special purpose bonds or fiscal recovery bonds or notes, the chairperson
15 of the agency shall certify to the comptroller and the director of the
16 budget a schedule setting forth the amount of state aid revenue neces-
17 sary for payment of the following obligations:
18 (a) all interest and all payments of principal and redemption premium,
19 if any, on such special purpose bonds and such fiscal recovery bonds and
20 notes maturing or otherwise coming due during the subsequent state
21 fiscal year;
22 (b) the amounts required to be deposited in any debt service reserve
23 fund with respect to such special purpose bonds and such fiscal recovery
24 bonds and notes;
25 (c) the amount, if any, due to any provider of any bond credit or
26 liquidity facility, representing payments made by it as provided in the
27 applicable resolution or trust indenture, including any related reason-
28 able interest, fees, or charges so provided;
29 (d) the amount, if any, required to be rebated to the United States to
30 provide for continued federal tax exemption of such special purpose
31 bonds and such fiscal recovery bonds and notes; and
32 (e) any administrative or other fees, costs, or charges due to the
33 agency or any other party in connection with such special purpose bonds
34 and such fiscal recovery bonds and notes.
35 The certification may be amended, and in the event of a bond or note
36 sale shall be amended, no later than thirty days after such sale. The
37 schedule accompanying such certification shall provide for such payment
38 dates as the agency deems appropriate to ensure that sufficient funds
39 will be available to meet its obligations relating to such special
40 purpose bonds and such fiscal recovery bonds and notes as they come due.
41 (2) All of the provisions of this title relating to bonds and notes
42 which are not inconsistent with the provisions of this section shall
43 apply to obligations authorized by this section, including but not
44 limited to the power to establish adequate reserves therefor and to
45 issue renewal notes or refunding bonds thereof.
46 § 131. Subdivisions 1, 4, and 5 of section 2437 of the public authori-
47 ties law, as amended by section 73 of part H of chapter 83 of the laws
48 of 2002, are amended to read as follows:
49 (1) Subject to the provisions of section two thousand four hundred
50 thirty-eight of this title, the agency shall have the power and is here-
51 by authorized from time to time to issue its negotiable bonds and notes
52 in conformity with applicable provisions of the uniform commercial code
53 in such principal amounts as, in the opinion of the agency, shall be
54 necessary to provide sufficient funds for achieving the corporate
55 purposes thereof, including the purchase of municipal bonds, the provid-
56 ing of certain amounts to special program municipalities from the
S. 1406 261 A. 2106
1 proceeds of special program bonds, the providing of certain amounts to
2 special school purpose municipalities from the proceeds of special
3 school purpose bonds, the providing of certain amounts to a special
4 school deficit program district from the proceeds of special school
5 deficit program bonds, the providing of certain amounts to special
6 purpose municipalities from the proceeds of special purpose bonds, the
7 providing of certain amounts to fiscal recovery municipalities from the
8 proceeds of fiscal recovery bonds and notes, the payment of interest on
9 bonds and notes of the agency, establishment of reserves to secure such
10 bonds and notes, payment of letter of credit, bond insurance and other
11 credit and liquidity support facility fees, premiums, reimbursements and
12 expenses, fees and expenses of trustees and paying agents and other
13 financing costs including any accrued costs payable to the New York
14 state housing finance agency pursuant to any contract entered into under
15 subdivision twelve of section two thousand four hundred thirty-four of
16 this title and all other expenditures of the agency incident to and
17 necessary or convenient to carry out its corporate purposes and powers,
18 except the operating expenses of the agency.
19 (4) Such bonds or notes shall bear such date or dates, shall mature at
20 such time or times, shall bear interest at such rate or rates, shall be
21 of such denominations, shall be in such form, carry such registration
22 privileges, be executed in such manner, be payable in lawful money of
23 the United States of America at such place or places within or without
24 the state, be subject to such terms of redemption prior to maturity and
25 have such other terms as may be provided by such resolution or resol-
26 utions or such certificate with respect to such bonds or notes, as the
27 case may be; provided, however, that the maximum maturity of bonds other
28 than special program bonds, special school purpose bonds [or], special
29 school deficit program bonds, or special purpose bonds shall not exceed
30 forty years from the date thereof, the maximum maturity of special
31 program bonds shall not exceed thirty years, the maximum maturity of
32 special school purpose bonds shall not exceed ten years, the maximum
33 maturity of special school deficit program bonds shall not exceed ten
34 years, the maximum maturity of special purpose bonds shall not exceed
35 ten years, and the maximum maturity of notes or any renewals thereof
36 shall not exceed five years from the date of the original issue of such
37 notes.
38 (5) Any bonds or notes of the agency other than special program bonds,
39 special school purpose bonds [or], special school deficit program bonds,
40 special purpose bonds, or fiscal recovery bonds and notes shall be sold
41 at public sale and from time to time upon such terms and at such prices
42 as may be determined by the agency, and the agency may pay all expenses,
43 premiums and commissions which it may deem necessary or advantageous in
44 connection with the issuance and sale thereof. Any special program
45 bonds, special school purpose bonds or special school deficit program
46 bonds shall be sold at public or private sale and from time to time upon
47 such terms and at such prices as may be determined by the agency, and
48 the agency may pay all expenses, premiums and commissions which it may
49 deem necessary or advantageous in connection with the issuance and sale
50 thereof provided, however, that special program bonds relating to a
51 special program agreement entered for the purpose described in paragraph
52 (b) of subdivision one of section twenty-four hundred thirty-five-a of
53 this title shall be sold on or before June thirtieth, two thousand one.
54 No special program bonds, special school purpose bonds [or], special
55 school deficit program bonds, special purpose bonds, or fiscal recovery
56 bonds and notes of the agency may be sold by the agency at private sale,
S. 1406 262 A. 2106
1 however, unless such sale and the terms thereof have been approved in
2 writing by (a) the comptroller, where such sale is not to the comp-
3 troller, or (b) the director of the budget, where such sale is to the
4 comptroller.
5 § 132. Section 2438 of the public authorities law, as amended by
6 section 74 of part H of chapter 83 of the laws of 2002, is amended to
7 read as follows:
8 § 2438. Bond authorization. (1) The agency shall not issue bonds and
9 notes in an aggregate principal amount at any one time outstanding
10 exceeding one billion dollars, excluding tax lien collateralized securi-
11 ties, special school purpose bonds, special school deficit program
12 bonds, special purpose bonds, fiscal recovery bonds and notes and bonds
13 and notes issued to refund outstanding bonds and notes.
14 (2) The agency shall not issue special school purpose bonds in an
15 aggregate principal amount in excess of: for the city of New York, four
16 hundred thirty-five million dollars; for the city of Buffalo, four
17 million seven hundred thousand dollars; for the city of Rochester, five
18 million one hundred thousand dollars; for the city of Syracuse, eight
19 hundred thousand dollars; and for the city of Yonkers, three hundred
20 thousand dollars; or the amount of prior year claims that are due and
21 payable to each such school district of each such special school purpose
22 municipality pursuant to section thirty-six hundred four of the educa-
23 tion law. Such amount shall exclude bonds issued to fund any debt
24 service reserve fund, bonds issued to refund such special school purpose
25 bonds, bonds issued to pay the costs of issuance of such special school
26 purpose bonds and the amount of bonds that would constitute interest
27 under the Internal Revenue Code of 1986, as amended.
28 (3) The agency shall not issue special school deficit program bonds
29 (a) prior to the time the state comptroller determines the amount of the
30 accumulated projected deficit of a special school deficit program
31 district in its general fund at the close of its current fiscal year
32 ending June thirtieth, two thousand two, including any budget notes and
33 revenue anticipation notes which may be part of such deficit, as
34 provided in a chapter of the laws of two thousand two, and (b) in aggre-
35 gate principal amount in excess of the lesser of (i) the amount of such
36 deficit as determined by the state comptroller or (ii) sixteen million
37 five hundred thousand dollars, excluding bonds to fund any debt service
38 reserve fund, bonds issued to refund special school deficit program
39 bonds, bonds issued to pay the costs of issuance of such special school
40 deficit program bonds and the amount of bonds that would constitute
41 interest under the Internal Revenue Code of 1986, as amended.
42 (4) The agency shall issue special purpose bonds only for a special
43 purpose municipality as defined in subdivision twenty-five of section
44 twenty-four hundred thirty-two of this title. For the special purpose
45 municipality's fiscal year ending June thirtieth, two thousand four,
46 such special purpose bonds may be issued in an aggregate principal
47 amount not to exceed ten percent of the special purpose municipality's
48 adopted general operating fund or funds for that year. For the special
49 purpose municipality's fiscal year ending June thirtieth, two thousand
50 five, such special purpose bonds may be issued in an aggregate principal
51 amount not to exceed five percent of the special purpose municipality's
52 adopted general operating fund or funds for that year. For the special
53 purpose municipality's fiscal year ending June thirtieth, two thousand
54 six, such special purpose bonds may be issued in an aggregate principal
55 amount not to exceed two and one-half percent of the special purpose
56 municipality's adopted general operating fund or funds for that year.
S. 1406 263 A. 2106
1 Each amount issued shall be used for the special purpose municipality
2 and its school district purposes pursuant to a plan for the use of the
3 proceeds approved by the mayor and board of education of each such
4 special purpose municipality and consistent with the plans for budgetary
5 and management restructuring submitted pursuant to section twenty-four
6 hundred thirty-five-f of this title. Such plan shall be submitted to the
7 state comptroller, the director of the budget, and the secretary of
8 state with the self-evaluation required pursuant to section twenty-four
9 hundred thirty-five-f of this title. Such amounts shall exclude bonds
10 issued to fund any debt service reserve fund, bonds issued to refund
11 special purpose bonds, bonds issued to pay the costs of issuance of such
12 special purpose bonds, and the amount of bonds that would constitute
13 interest under the Internal Revenue Code of 1986, as amended.
14 (5) The fixing of the statutory maximum in this section shall not be
15 construed as constituting a contract between the agency and the holders
16 of its bonds or notes that additional bonds and notes may not be issued
17 subsequently by the agency in the event that such statutory maximum
18 shall subsequently be increased by law.
19 § 133. The state finance law is amended by adding a new section 92-bb
20 to read as follows:
21 § 92-bb. Special purpose state aid. 1. State aid shall consist of
22 all:
23 (a) general purpose local government aid;
24 (b) emergency financial aid to certain cities;
25 (c) emergency financial assistance to eligible municipalities; and
26 (d) supplemental municipal aid apportioned to such special purpose
27 municipality.
28 2. For purposes of this section, the terms state aid revenues, special
29 purpose municipality, special purpose bonds, special purpose state aid
30 revenue, fiscal recovery municipality, fiscal recovery bonds or notes,
31 and fiscal recovery state aid revenues shall have the meanings set forth
32 in section twenty-four hundred thirty-two of the public authorities law.
33 3. Upon receipt by the comptroller of a certificate or certificates
34 from the chairperson of the state of New York municipal bond bank agency
35 pursuant to section twenty-four hundred thirty-six-b of the public
36 authorities law, the comptroller shall pay the state aid revenues to
37 said agency, in accordance with such certification and subject to agree-
38 ments with holders of outstanding special purpose bonds or outstanding
39 fiscal recovery bonds or notes of said agency. Any such payment shall be
40 made within thirty days of receipt of the certification or at the time
41 specified in the certification, whichever is later; provided that any
42 such state aid revenues shall have been first appropriated by the state
43 as state aid or shall have been otherwise made available. Any such
44 payment of state aid revenues to the agency shall not obligate the state
45 to make, nor entitle such special purpose municipality or fiscal recov-
46 ery municipality to receive, any additional state aid.
47 4. Nothing contained in this section shall be construed to create a
48 debt of the state within the meaning of any constitutional or statutory
49 provisions. Any provision with respect to state aid or state aid reven-
50 ues shall be deemed executory only to the extent of moneys available,
51 and no liability shall be incurred by the state beyond the moneys avail-
52 able for that purpose, and any such payment by the comptroller of state
53 aid revenues is subject to annual appropriation of state aid by the
54 state legislature.
55 5. Nothing contained in this section shall be deemed to restrict the
56 right of the state to amend, repeal, modify, or otherwise alter section
S. 1406 264 A. 2106
1 fifty-four of this chapter or any other provision relating to state aid
2 to municipalities. The state of New York municipal bond bank agency
3 shall not include within any resolution, contract, or agreement with
4 holders of its bonds or notes any provision which provides that a
5 default occurs as a result of the state's exercising its right to amend,
6 repeal, modify, or otherwise alter section fifty-four of this chapter or
7 any other provision relating to state aid to municipalities.
8 6. During the period that the comptroller is required to make payments
9 to the state of New York municipal bond bank agency as provided in this
10 section, each special purpose municipality that has entered into a
11 special purpose agreement and each fiscal recovery municipality that has
12 entered into a fiscal recovery agreement shall have no right, title, or
13 interest in or to state aid revenues.
14 7. Any state aid not required to be transferred by the comptroller to
15 the state of New York municipal bond bank agency as state aid revenues
16 pursuant to subdivision three of this section shall be transferred by
17 the comptroller (a) as special purpose state aid revenue to the special
18 purpose municipality; or (b) as fiscal recovery state aid revenue to the
19 fiscal recovery municipality.
20 § 134. Subdivision 40 of paragraph a of section 11.00 of the local
21 finance law, as amended by chapter 837 of the laws of 1945, is amended
22 to read as follows:
23 40. Miscellaneous expenditures. Any object or purpose set forth in
24 section 29.00 or section 29.11 of this chapter, if such object or
25 purpose is to be financed by the issuance of budget notes or budget
26 deficiency notes, three years.
27 § 135. Paragraph a of section 20.00 of the local finance law is
28 amended by adding a new subdivision 12 to read as follows:
29 12. Budget deficiency notes.
30 § 136. The local finance law is amended by adding a new section 29.11
31 to read as follows:
32 § 29.11 Budget deficiency notes. a. Any municipality, school district,
33 or district corporation may issue budget deficiency notes during any
34 fiscal year to finance a deficiency in any fund or funds arising from
35 revenues being less than the amount estimated in the budget for the
36 current fiscal year. Such notes may be issued in such amount as the
37 finance board shall determine to be necessary, but not to exceed five
38 per centum of the amount of the annual budget of such municipality,
39 school district, or district corporation. Notwithstanding the
40 provisions of this section, section 29.00 of this title, or any other
41 inconsistent provision of law, the aggregate amount of notes issued
42 pursuant to this section and section 29.00 of this title shall not
43 exceed five per centum of the amount of the annual budget of such muni-
44 cipality, school district, or district corporation in any fiscal year.
45 b. Budget deficiency notes may be renewed from time to time, but such
46 notes, including the renewals thereof, shall mature not later than the
47 close of the fiscal year succeeding the fiscal year in which such notes
48 are issued. However, such notes, including the renewals thereof, may
49 mature not later than the close of the second fiscal year succeeding the
50 fiscal year in which such notes are issued, when authorized and issued
51 during a fiscal year at a time subsequent to the date of the adoption of
52 the annual budget for the next succeeding fiscal year, by a munici-
53 pality, school district, or district corporation in which the total
54 amount of taxes or assessments levied for a fiscal year is determined
55 pursuant to an annual budget adopted during the fiscal year preceding
56 such fiscal year.
S. 1406 265 A. 2106
1 c. Budget deficiency notes shall be redeemed out of the taxes or
2 assessments levied or to be levied for the fiscal year in which they
3 mature or out of other revenues of that fiscal year legally available
4 for that purpose.
5 d. Notwithstanding the provisions of any general, special, or local
6 law, any municipality, school district, or district corporation, which
7 has the power to issue budget deficiency notes under this section, shall
8 to the same extent have the power to appropriate and expend money
9 received from the proceeds of the sale of budget deficiency notes for
10 the purposes for which such notes are issued.
11 e. The proceeds of such notes shall be used only to cover a deficien-
12 cy in any fund or funds arising from revenues being less than the amount
13 estimated in the budget for the current fiscal year or, in the event all
14 or a portion of the proceeds are not expended for that purpose, the
15 amount not so expended shall be used only for the payment of principal
16 of and interest on such notes.
17 § 137. Paragraph d of section 25.00 of the local finance law is
18 amended by adding a new subdivision 5 to read as follows:
19 5. In determining the total amount of revenue anticipation notes which
20 a municipality may issue, the municipality shall take into account and
21 deduct from the revenue which would otherwise be deemed available pursu-
22 ant to this subdivision the amount of any revenue which is otherwise
23 pledged or subject to intercept in accordance with the provisions of
24 article four-A of the general municipal law and any fiscal recovery
25 agreement entered into pursuant to section twenty-four hundred thirty-
26 five-g of the public authorities law.
27 § 138. The local finance law is amended by adding a new section 40.10
28 to read as follows:
29 § 40.10 Budget deficiency note resolution; form and contents; authori-
30 zation thereof. a. The issuance of budget deficiency notes or renewals
31 thereof shall be authorized by a "budget deficiency note resolution".
32 Each such resolution shall be properly dated and shall bear a title
33 which will indicate that it relates to a budget deficiency note.
34 b. Any municipality, school district, or district corporation may
35 adopt one or more budget deficiency note resolutions authorizing the
36 issuance of budget deficiency notes for the specific object or purpose
37 of covering a deficiency in any fund or funds arising from revenues
38 being less than the amount estimated in the budget for the current
39 fiscal year of the municipality, school district, or district corpo-
40 ration.
41 c. A budget deficiency note resolution shall contain, in substance, at
42 least the following provisions:
43 1. A statement of the specific object or purpose for which the budget
44 deficiency notes to be authorized by such resolution are to be issued.
45 2. A statement of the amount of budget deficiency notes to be issued,
46 the amount and the cause of the budget deficiency in revenues, and that
47 no other source of financing is available.
48 3. A statement of the period of maturity of such notes.
49 4. If such notes are to be issued in renewal of other notes, a state-
50 ment that the date of maturity of such notes shall not extend beyond the
51 applicable period provided in section 29.11 of this chapter for the
52 maturity of such notes.
53 § 139. If any section, part or provision of this act shall be declared
54 unconstitutional or invalid or ineffective by any court of competent
55 jurisdiction, such declaration shall be limited to the section, part or
56 provision directly involved in the controversy in which such declaration
S. 1406 266 A. 2106
1 was made and shall not affect any other section, provision or part ther-
2 eof.
3 § 140. Subdivision 7 of section 2046-c of the public authorities law,
4 as added by chapter 632 of the laws of 1982, is amended to read as
5 follows:
6 7. There shall be an annual independent audit of the accounts and
7 business practices of the agency performed by independent outside audi-
8 tors [nominated by the director of the division of the budget]. Any such
9 auditor shall serve no more than three consecutive years.
10 § 141. This act shall take effect immediately, except that:
11 1. Section one of this act shall not apply to any public arbitration
12 panel appointed prior to the effective date of such section;
13 2. Sections ninety-two through ninety-five of this act shall apply to
14 all judgments entered and all accrued claims paid on or after such date;
15 3. Sections ninety-six through one hundred three of this act shall
16 take effect on the one hundred eightieth day after it shall have become
17 a law;
18 4. Sections one hundred four, one hundred five and one hundred six of
19 this act shall take effect on the one hundred twentieth day after it
20 shall have become law; and
21 5. The amendments made to section 1735 of the public authorities law
22 by section fifty of this act shall not affect the expiration and repeal
23 of such section and shall be deemed repealed therewith.
FISCAL NOTE.-- Sections one hundred eleven through one hundred four-
teen of this act offer local governments additional options in funding
pension costs.
Sections one hundred eleven and one hundred twelve of this act amend
the Local Finance Law to authorize bonding of pension costs from the
2002 retirement incentive program and outstanding payments related to
certain optional benefits for members of the New York State and Local
Police and Fire Retirement System. The annual pension costs of employers
who choose these options will be reduced to the extent they can borrow
at a lower interest rate than the rate charged by the retirement
systems.
Sections one hundred thirteen and one hundred fourteen of this act
amend the Retirement and Social Security Law to allow participating
employers in the New York State and Local Employees' Retirement System
and the New York State and Local Police and Fire Retirement System to
pay any outstanding balance of employer pension contributions with
interest within the participating employer's next two fiscal years.
Participating employer interest costs will vary depending on the amount
and timing of outstanding balance payments.
The source of this fiscal note is the New York State Division of the
Budget.
24 § 2. Severability clause. If any clause, sentence, paragraph, subdivi-
25 sion, section or part of this act shall be adjudged by any court of
26 competent jurisdiction to be invalid, such judgment shall not affect,
27 impair, or invalidate the remainder thereof, but shall be confined in
28 its operation to the clause, sentence, paragraph, subdivision, section
29 or part thereof directly involved in the controversy in which such judg-
30 ment shall have been rendered. It is hereby declared to be the intent of
31 the legislature that this act would have been enacted even if such
32 invalid provisions had not been included herein.
33 § 3. This act shall take effect immediately provided, however, that
34 the applicable effective date of Parts A through EE of this act shall be
S. 1406 267 A. 2106
1 as specifically set forth in the last section of such Parts.
2