S T A T E O F N E W Y O R K
________________________________________________________________________
3370
2011-2012 Regular Sessions
I N A S S E M B L Y
January 25, 2011
___________
Introduced by M. of A. SCHIMMINGER, GOTTFRIED, CAHILL, KAVANAGH, ZEBROW-
SKI -- Multi-Sponsored by -- M. of A. DESTITO, GABRYSZAK, PHEFFER --
read once and referred to the Committee on Economic Development
AN ACT to amend the alcoholic beverage control law, in relation to the
powers of the chairman and the members of the authority; and to repeal
certain provisions of such law relating thereto
THE PEOPLE OF THE STATE OF NEW YORK, REPRESENTED IN SENATE AND ASSEM-
BLY, DO ENACT AS FOLLOWS:
Section 1. Section 15 of the alcoholic beverage control law, as
amended by chapter 83 of the laws of 1995 and the second undesignated
paragraph as amended by section 1 of part F of chapter 411 of the laws
of 1999, is amended to read as follows:
S 15. Officers; employees; offices. [The authority shall have power to
appoint any necessary deputies, counsels, assistants, investigators, and
other employees within the limits provided by appropriation. Investi-
gators so employed by the Authority shall be deemed to be peace officers
for the purpose of enforcing the provisions of the alcoholic beverage
control law or judgements or orders obtained for violation thereof, with
all the powers set forth in section 2.20 of the criminal procedure law.]
The counsel, secretary, chief executive officer, assistant chief execu-
tive officers, confidential secretaries to commissioners and deputies
shall be in the exempt class of the civil service. The other assistants,
investigators and employees of the authority shall all be in the compet-
itive class of the civil service. INVESTIGATORS EMPLOYED BY THE AUTHOR-
ITY SHALL BE DEEMED TO BE PEACE OFFICERS FOR THE PURPOSE OF ENFORCING
THE PROVISIONS OF THE ALCOHOLIC BEVERAGE CONTROL LAW OR JUDGMENTS OR
ORDERS OBTAINED FOR VIOLATION THEREOF, WITH ALL THE POWERS SET FORTH IN
SECTION 2.20 OF THE CRIMINAL PROCEDURE LAW. The authority shall continue
to have its principal office in the city of Albany, and may maintain a
branch office in the cities of New York and Buffalo and such other plac-
es as [it] THE CHAIRMAN may deem necessary.
EXPLANATION--Matter in ITALICS (underscored) is new; matter in brackets
[ ] is old law to be omitted.
LBD06354-01-1
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[The authority shall establish appropriate procedures to insure that
hearing officers are shielded from ex parte communications with alleged
violators and their attorneys and from other employees of the authority
and shall take such other steps as it shall deem necessary and proper to
shield its judicial processes from unwarranted and inappropriate commu-
nications and attempts to influence.]
S 2. Subdivisions 4, 8, 8-a, 12, 13 and 14 of section 17 of the alco-
holic beverage control law are REPEALED, subdivisions 5, 6, 7, 9, 10 and
11 are renumbered subdivisions 4, 5, 6, 7, 8 and 9 and subdivision 7, as
amended by chapter 83 of the laws of 1995, is amended to read as
follows:
7. [The] TO DELEGATE THE powers provided in this section [may be
delegated by the authority] to the chairman, or to such other officers
or employees as may be designated by the chairman.
S 3. Section 18 of the alcoholic beverage control law, as added by
chapter 83 of the laws of 1995, is amended to read as follows:
S 18. Powers and duties of the chairman. The chairman shall have the
following functions, powers and duties:
1. To exercise the powers and perform the duties in relation to the
administration of the division of alcoholic beverage control as are not
specifically vested by this chapter in the state liquor authority,
INCLUDING BUT NOT LIMITED TO BUDGETARY AND FISCAL MATTERS.
2. To preside at all meetings of the authority and perform the admin-
istrative functions of the authority.
3. TO APPOINT ANY NECESSARY DEPUTIES, COUNSELS, ASSISTANTS, INVESTI-
GATORS, AND OTHER EMPLOYEES WITHIN THE LIMITS PROVIDED BY APPROPRIATION.
4. TO REMOVE ANY EMPLOYEE OF THE AUTHORITY FOR CAUSE, AFTER GIVING
SUCH EMPLOYEE A COPY OF THE CHARGES AGAINST HIM OR HER IN WRITING, AND
AN OPPORTUNITY TO BE HEARD THEREON. ANY ACTION TAKEN UNDER THIS SUBDIVI-
SION SHALL BE SUBJECT TO AND IN ACCORDANCE WITH THE CIVIL SERVICE LAW.
5. To keep records in such form as he OR SHE may prescribe of all
licenses and permits issued and revoked within the state; such records
shall be so kept as to provide ready information as to the identity of
all licensees including the names of the officers and directors of
corporate licensees and the location of all licensed premises. The
chairman may, with the approval of the commissioner of taxation and
finance, contract to furnish copies of the records of licenses and
permits of each class and type issued within the state or any political
subdivision thereof, for any license or permit year or term of years not
exceeding five years.
[4.] 6. To inspect or provide for the inspection of any premises where
alcoholic beverages are manufactured or sold.
[5.] 7. To prescribe forms of applications for licenses and permits
under this chapter and of all reports deemed necessary by the authority.
[6.] 8. To delegate to the officers and employees of the [division]
AUTHORITY such of his OR HER powers and duties as he OR SHE may deter-
mine.
9. TO ESTABLISH APPROPRIATE PROCEDURES TO ENSURE THAT HEARING OFFICERS
ARE SHIELDED FROM EX PARTE COMMUNICATIONS WITH ALLEGED VIOLATORS AND
THEIR ATTORNEYS AND FROM OTHER EMPLOYEES OF THE AUTHORITY AND SHALL TAKE
SUCH OTHER STEPS AS IT SHALL DEEM NECESSARY AND PROPER TO SHIELD ITS
JUDICIAL PROCESSES FROM UNWARRANTED AND INAPPROPRIATE COMMUNICATIONS AND
ATTEMPTS TO INFLUENCE.
10. TO DEVELOP AND ESTABLISH MINIMUM CRITERIA FOR ALCOHOL TRAINING
AWARENESS PROGRAMS WHICH MAY BE GIVEN AND ADMINISTERED BY SCHOOLS; OTHER
ENTITIES INCLUDING TRADE ASSOCIATIONS WHOSE MEMBERS ARE ENGAGED IN OR
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INVOLVED IN THE RETAIL SALE OF ALCOHOLIC BEVERAGES; NATIONAL AND
REGIONAL FRANCHISORS WHO HAVE GRANTED AT LEAST FIVE FRANCHISES IN THE
STATE WHICH ARE LICENSED TO SELL BEER AT RETAIL FOR OFF-PREMISES
CONSUMPTION; LICENSEES AUTHORIZED TO SELL ALCOHOLIC BEVERAGES AT RETAIL
FOR OFF-PREMISES CONSUMPTION OPERATING FIVE OR MORE LICENSED PREMISES;
AND PERSONS INTERESTED, WHETHER AS AN INDIVIDUAL PROPRIETOR OR PARTNER
OR OFFICER OR MEMBER OF A LIMITED LIABILITY COMPANY, IN FIVE OR MORE
LICENSEES AUTHORIZED TO SELL ALCOHOLIC BEVERAGES AT RETAIL FOR OFF-PREM-
ISES CONSUMPTION. THE AUTHORITY SHALL PROVIDE FOR THE ISSUANCE OF
CERTIFICATES OF APPROVAL TO ALL CERTIFIED ALCOHOL TRAINING AWARENESS
PROGRAMS. CERTIFICATES OF APPROVAL MAY BE REVOKED BY THE AUTHORITY FOR
FAILURE TO ADHERE TO THE AUTHORITY'S RULES AND REGULATIONS. SUCH RULES
AND REGULATIONS SHALL AFFORD THOSE WHO HAVE BEEN ISSUED A CERTIFICATE OF
APPROVAL AN OPPORTUNITY FOR A HEARING PRIOR TO ANY DETERMINATION OF
WHETHER SUCH CERTIFICATE SHOULD BE REVOKED.
NO LICENSEE SHALL BE REQUIRED TO APPLY FOR ANY SUCH CERTIFICATE OR
RENEWAL CERTIFICATE AND THE LICENSEE MAY VOLUNTARILY SURRENDER SUCH A
CERTIFICATE OR RENEWAL CERTIFICATE AT ANY TIME. A FEE IN THE AMOUNT OF
NINE HUNDRED DOLLARS SHALL BE PAID TO THE AUTHORITY WITH EACH APPLICA-
TION FOR A CERTIFICATE OF APPROVAL OR RENEWAL CERTIFICATE. THE AUTHORITY
SHALL PROMPTLY REFUND SUCH FEE TO AN APPLICANT WHOSE APPLICATION WAS
DENIED. EACH CERTIFICATE OF APPROVAL AND RENEWAL THEREOF SHALL BE ISSUED
FOR A PERIOD OF THREE YEARS. TO EFFECTUATE THE PROVISIONS OF THIS SUBDI-
VISION, THE AUTHORITY IS EMPOWERED TO REQUIRE IN CONNECTION WITH AN
APPLICATION THE SUBMISSION OF SUCH INFORMATION AS THE AUTHORITY MAY
DIRECT; TO PRESCRIBE FORMS OF APPLICATIONS AND OF ALL REPORTS WHICH IT
DEEMS NECESSARY TO BE MADE BY ANY APPLICANT OR CERTIFICATE HOLDER; TO
CONDUCT INVESTIGATIONS; TO REQUIRE THE MAINTENANCE OF SUCH BOOKS AND
RECORDS AS THE AUTHORITY MAY DIRECT; TO REVOKE, CANCEL, OR SUSPEND FOR
CAUSE ANY CERTIFICATE PROVIDED FOR IN THIS SUBDIVISION. EACH ENTITY
AUTHORIZED TO GIVE AND ADMINISTER AN ALCOHOL TRAINING AWARENESS PROGRAM
SHALL ISSUE CERTIFICATES OF COMPLETION TO ALL LICENSEES AND EMPLOYEES
WHO SUCCESSFULLY COMPLETE SUCH AN APPROVED ALCOHOL TRAINING AWARENESS
PROGRAM. SUCH ENTITY SHALL REGULARLY TRANSMIT TO THE AUTHORITY THE
NAMES, ADDRESSES AND DATES OF ATTENDANCE OF ALL THE LICENSEES AND
EMPLOYEES OF LICENSEES WHO SUCCESSFULLY COMPLETE AN APPROVED ALCOHOL
TRAINING AWARENESS PROGRAM. SUCH TRANSMITTAL SHALL BE IN A FORM AND
MANNER PRESCRIBED BY THE AUTHORITY. THE AUTHORITY SHALL ADOPT RULES AND
REGULATIONS TO EFFECTUATE THE PROVISIONS OF THIS SUBDIVISION, INCLUDING
THE MINIMUM REQUIREMENTS FOR THE CURRICULUM OF EACH SUCH TRAINING
PROGRAM AND THE REGULAR ONGOING TRAINING OF EMPLOYEES HOLDING CERTIF-
ICATES OF COMPLETION OR RENEWAL CERTIFICATES. SUCH RULES AND REGULATIONS
SHALL INCLUDE THE MINIMUM REQUIREMENTS FOR A SEPARATE CURRICULUM FOR
LICENSEES AND THEIR EMPLOYEES AUTHORIZED TO SELL ALCOHOLIC BEVERAGES AT
RETAIL FOR OFF-PREMISES CONSUMPTION, MINIMUM REQUIREMENTS FOR A SEPARATE
CURRICULUM FOR LICENSEES AND THEIR EMPLOYEES AUTHORIZED TO SELL ALCOHOL-
IC BEVERAGES AT RETAIL FOR ON-PREMISES CONSUMPTION, AND THE FORM OF A
CERTIFICATE OF COMPLETION OR RENEWAL THEREOF TO BE ISSUED IN RESPECT TO
EACH SUCH TYPE OF PROGRAM. A CERTIFICATE OF COMPLETION OR RENEWAL THERE-
OF ISSUED BY AN ENTITY AUTHORIZED TO GIVE AND ADMINISTER AN ALCOHOL
TRAINING AWARENESS PROGRAM PURSUANT TO THIS SUBDIVISION TO LICENSEES AND
THEIR EMPLOYEES AUTHORIZED TO SELL ALCOHOLIC BEVERAGES AT RETAIL FOR
OFF-PREMISES CONSUMPTION SHALL NOT BE INVALIDATED BY A CHANGE OF EMPLOY-
MENT TO ANOTHER SUCH LICENSEE. A CERTIFICATE OF COMPLETION OR RENEWAL
THEREOF ISSUED BY AN ENTITY AUTHORIZED TO GIVE AND ADMINISTER AN ALCOHOL
TRAINING AWARENESS PROGRAM PURSUANT TO THIS SUBDIVISION TO LICENSEES AND
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THEIR EMPLOYEES AUTHORIZED TO SELL ALCOHOLIC BEVERAGES AT RETAIL FOR
ON-PREMISES CONSUMPTION SHALL NOT BE INVALIDATED BY A CHANGE OF EMPLOY-
MENT TO ANOTHER SUCH LICENSEE. THE FEE CHARGED TO ANY PARTICIPANT FOR
ANY SUCH PROGRAM SHALL NOT EXCEED ONE HUNDRED DOLLARS.
11. TO MAKE AN ANNUAL REPORT TO THE GOVERNOR AND THE LEGISLATURE OF
ITS ACTIVITIES FOR THE PRECEDING YEAR.
12. ON AND AFTER JANUARY FIRST, TWO THOUSAND TWELVE THE REPORT
PROVIDED FOR IN SUBDIVISION ELEVEN OF THIS SECTION SHALL INCLUDE AN
EVALUATION OF THE EFFECTIVENESS OF THE PROHIBITION ON THE SALE OF ALCO-
HOL TO PERSONS UNDER THE AGE OF TWENTY-ONE AS PROVIDED IN SECTION
SIXTY-FIVE-B OF THIS CHAPTER WITH PARTICULAR EMPHASIS ON THE PROVISIONS
OF SUBDIVISIONS ONE, TWO, THREE, FOUR AND FIVE OF SECTION SIXTY-FIVE-B,
SUBDIVISION FIVE OF SECTION ONE HUNDRED NINETEEN AND SUBDIVISION SIX OF
SECTION SIXTY-FIVE OF THIS CHAPTER, PARAGRAPH (B) OF SUBDIVISION SEVEN
OF SECTION 170.55 OF THE CRIMINAL PROCEDURE LAW AND SUBDIVISION (F) OF
SECTION 19.07 OF THE MENTAL HYGIENE LAW.
13. TO STUDY AND REPORT TO THE GOVERNOR AND THE LEGISLATURE BIENNIALLY
ON OR BEFORE FEBRUARY FIRST OF EACH YEAR CONCERNING:
(A) RECOMMENDATIONS TO REDUCE THE NUMBER AND TYPE OF LICENSES, AND TO
ESTABLISH A UNIFORM, STATEWIDE SCHEDULE OF FEES, SUCH RECOMMENDATIONS TO
INCLUDE THE DEVELOPMENT OF A MASTER APPLICATION FORM FOR ALL LICENSES,
WITH SPECIFIC EXHIBITS REQUIRED FOR SPECIFIC LICENSES, AS APPROPRIATE,
AS WELL AS RECOMMENDATIONS ON A NON-REFUNDABLE APPLICATION FEE SET AT A
LEVEL WHICH WILL COVER THE COST OF THE REVIEW AND WHICH WOULD BE APPLIED
AGAINST THE FIRST YEAR LICENSE FEE IF THE APPLICATION IS GRANTED;
(B) RECOMMENDATIONS TO SIMPLIFY LICENSE RENEWAL PROCEDURES;
(C) RECOMMENDATIONS TO STREAMLINE THE PROCESSING OF APPLICATIONS AND
TO ELIMINATE DUPLICATION OF REVIEWS, SUCH RECOMMENDATIONS TO INCLUDE
UNIFORM STANDARDS FOR APPLICATION REVIEW AND DECISION WHICH SHALL SEEK
TO ASSURE THAT THE REVIEW IS AS OBJECTIVE AS POSSIBLE AND TO NARROW THE
DISCRETION OF THE AUTHORITY OR OF ANY REVIEWER EMPLOYED BY THE AUTHORI-
TY;
(D) THE EXTENT TO WHICH QUALITY OF LIFE ISSUES, SUCH AS NOISE LEVEL,
VEHICULAR TRAFFIC AND PARKING ARE CONSIDERED IN LICENSING DECISIONS,
PARTICULARLY AS SUCH ISSUES PERTAIN TO PROCEEDINGS PURSUANT TO SUBDIVI-
SION SEVEN OF SECTION SIXTY-FOUR OF THIS CHAPTER;
(E) RECOMMENDATIONS TO IMPROVE ENFORCEMENT METHODOLOGIES IN ORDER TO
PROTECT THE HEALTH AND SAFETY OF RESIDENTS OF COMMUNITIES EXPERIENCING
PERSISTENT PROBLEMS IN THE OPERATION OF RETAIL ESTABLISHMENTS;
(F) RECOMMENDATIONS CONCERNING THE ADDITION OF FIELD ENFORCEMENT
PERSONNEL AND THE RATIOS OF SUCH FIELD ENFORCEMENT PERSONNEL TO THE
TOTAL NUMBERS OF LICENSEES THAT IN THE VIEW OF THE AUTHORITY WOULD BE
APPROPRIATE TO ENSURE COMPLIANCE WITH THE LAW. SUCH STUDY SHALL PROVIDE
A DETAILED ANALYSIS OF THE COSTS AND PROJECTED REVENUES TO BE OBTAINED
FROM THE ADDITION OF SUCH FIELD ENFORCEMENT PERSONNEL;
(G) SUCH OTHER OBSERVATIONS AND RECOMMENDATIONS CONCERNING THE ACTIV-
ITIES OF THE AUTHORITY AS WILL IMPROVE ITS EFFECTIVENESS AND EFFICIENCY
INCLUDING THE UTILIZATION OF ON-LINE SERVICES TO PROVIDE INFORMATION ON
A FEE-FOR-SERVICE BASIS; AND
(H) PROVIDE INFORMATION CONCERNING THE NAME, TOTAL QUANTITY AND TOTAL
PRICE OF WINE PURCHASED FROM NEW YORK STATE AND OUT-OF-STATE WINERIES
AND FARM WINERIES, AND SUCH OTHER INFORMATION ON AND RECOMMENDATIONS
CONCERNING INTERSTATE WINE SHIPMENT.
14. FOR STATE FISCAL YEAR TWO THOUSAND TWELVE--TWO THOUSAND THIRTEEN,
THE AUTHORITY SHALL, WITHIN AMOUNTS APPROPRIATED THEREFOR, IMPROVE AND
UPDATE THEIR INFORMATION TECHNOLOGY IN ORDER TO MEET FEDERAL SECURITY
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REQUIREMENTS AND TO ASSIST IN THE PROCESSING OF LICENSE AND/OR PERMIT
APPLICATIONS AND RENEWALS.
S 4. This act shall take effect September 15, 2011.