senate Bill S4303C

Relates to the powers of chairman and members of the authority

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Bill Status


  • Introduced
  • In Committee
  • On Floor Calendar
    • Passed Senate
    • Passed Assembly
  • Delivered to Governor
  • Signed/Vetoed by Governor
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actions

  • 28 / Mar / 2011
    • REFERRED TO INVESTIGATIONS AND GOVERNMENT OPERATIONS
  • 11 / Apr / 2011
    • AMEND (T) AND RECOMMIT TO INVESTIGATIONS AND GOVERNMENT OPERATIONS
  • 11 / Apr / 2011
    • PRINT NUMBER 4303A
  • 10 / May / 2011
    • REPORTED AND COMMITTED TO FINANCE
  • 11 / May / 2011
    • AMEND AND RECOMMIT TO FINANCE
  • 11 / May / 2011
    • PRINT NUMBER 4303B
  • 24 / May / 2011
    • 1ST REPORT CAL.859
  • 25 / May / 2011
    • 2ND REPORT CAL.
  • 01 / Jun / 2011
    • ADVANCED TO THIRD READING
  • 24 / Jun / 2011
    • COMMITTED TO RULES
  • 04 / Jan / 2012
    • REFERRED TO INVESTIGATIONS AND GOVERNMENT OPERATIONS
  • 30 / Mar / 2012
    • AMEND (T) AND RECOMMIT TO INVESTIGATIONS AND GOVERNMENT OPERATIONS
  • 30 / Mar / 2012
    • PRINT NUMBER 4303C
  • 18 / Apr / 2012
    • REPORTED AND COMMITTED TO FINANCE
  • 22 / May / 2012
    • 1ST REPORT CAL.885
  • 23 / May / 2012
    • 2ND REPORT CAL.
  • 30 / May / 2012
    • ADVANCED TO THIRD READING
  • 12 / Jun / 2012
    • SUBSTITUTED BY A7016B

Summary

Relates to the powers of chairman and members of the state liquor authority.

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Bill Details

See Assembly Version of this Bill:
A7016B
Versions:
S4303
S4303A
S4303B
S4303C
Legislative Cycle:
2011-2012
Law Section:
Alcoholic Beverage Control Law
Laws Affected:
Amd §§15, 17 & 18, ABC L

Votes

7
0
7
Aye
0
Nay
1
aye with reservations
0
absent
0
excused
0
abstained
show Investigations and Government Operations committee vote details

Sponsor Memo

BILL NUMBER:S4303C

PURPOSE OF THE BILL:

This bill, which by its terms would sunset in three years, would
delegate to the Chairman of the State Liquor Authority exclusive
executive authority over the State Liquor Authority and the Alcoholic
Beverage Control Division. The Board of the State Liquor Authority,
consisting of the Chairman and two per diem commissioners, would
continue to have full regulatory authority.

SUMMARY OF PROVISIONS:

Section 1 of the bill would amend Alcoholic Beverage Control law § 15
to remove from the members of the State Liquor Authority ("Authority")
the power to hire employees, and transfer the power of designating
additional offices from the members of the Authority to the Chairman.

Section 2 of the bill would amend Alcoholic Beverage Control Law § 17
to clarify the Authority's power to direct forfeiture of bonds; and
to remove from the members of the Authority the power to remove
employees, make budget and fiscal decisions, make required annual
reports, and develop minimum criteria for the Alcohol Training
Awareness Program.

Section 3 of the bill would amend Alcoholic Beverage Control Law § 18
to confer upon the Chairman the power to hire and fire employees,
make budget and fiscal decisions, make required reports, and develop
minimum criteria for the alcohol Training Awareness Program (ATAP).

Section 4 of the bill would provide for an immediate effective date
and a three year sunset provision.

EXISTING LAW:

Under existing law, the powers which this bill would grant the
Chairman are vested in the Board of the Authority. Pursuant to the
budget bill passed by the Legislature for fiscal year 2011-12, unlike
the Chairman who remains salaried, the other two commissioners of the
Authority are now per diem members of the Board.

PRIOR LEGISLATIVE HISTORY:

This is the same bill that was introduced in the Senate and passed by
the Assembly in 2011 (S.4303B/A.7016A) except for the addition
of a three-year sunset provision to the enacting clause. A similar
bill, without the three year sunset provision, was passed by the
Senate in 2010 (S.7698/A.11010).

STATEMENT IN SUPPORT:

In response to the 2009 New York State Law Revision Commission Report
on the Alcoholic Beverage Control Law and its Administration ("LRC
Report"), this bill proposes amendments to implement a recommendation
of the Law Revision Commission.

With respect to the powers of the Chairman, the Law Revision
Commission recommended, in relevant part, as follows (LRC Report,
p.25):

The ABC Law should be amended to grant the Chairman of the Authority
exclusive executive authority over both the division of alcoholic
beverage control and the Authority, including the authority to hire,
assign, and fire deputies, counsels, assistants, investigators and
all other employees within the limits of the agency appropriation, in
consultation with the other members of the Authority, removing all
such responsibility from the Authority.

ABC Law §§ 15 and 17(4) currently delegate the power to hire and fire
to the three-member State Liquor Authority acting as a full board.
The Law Revision Commission noted that full board control over hiring
and firing may well prevent employment decisions from being made
where there is a vacancy on the Full Board and a disagreement between
the two serving board members (LRC Report, p. 122):

Although by statute, the Chairman has administrative control, he does
not have the power to hire and fire. The entire Board has to agree on
an employment decision. If there were not unanimous agreement between
the two current Commissioners, no employment decisions could be made.

Even where the Authority's board is fully staffed with its three
members, the Chairman's ability to lake administrative action may be
called into question by a challenge to the scope of his authority:

The multiple agency head exercising administrative authority could
result in the Chairman being undermined if the other members disagree
with him or her. For example, in 2008, two of the Commissioners
disagreed with certain actions of the Chairman so they voted to
rescind previous delegations of authority to the Chairman.

Sections 1 through 3 of the instant bill, in the first instance, seek
to implement the Law Revision Commission recommendation that the
Chairman be delegated exclusive administrative control over hiring
and firing. These sections also make clear the scope of the
Chairman's administrative authority over budget and fiscal matters,
the submission of required reports, and the development of minimum
criteria for ATAP.

Delegation of administrative functions to the exclusive control of the
Chairman does not diminish the regulatory powers exercised by the
three-member Authority. The three members of the Authority,
acting together as a full board, will continue to regulate alcoholic
beverage traffic within the State.

Briefly stated, Alcoholic Beverage Control Law § 17 will continue to
empower the three-member Authority:

1. To approve or disapprove license and permit applications;
2. To limit the number of licenses of each class to be issued within
the state or any political subdivision thereof;
3. To revoke, cancel or suspend for cause any license or permit issued
under this chapter and/or to impose a civil penalty for cause against
any holder of a license or permit issued pursuant to this chapter;
4. To fix by rule the standards in the manufacture of alcoholic
beverages to be sold or consumed in the state;
5. To hold bearings, subpoena and examine any person under oath, and
require the production of any books or papers relative to the inquiry;
6. To prohibit during a period of a public emergency the sale of any
or all alcoholic beverages;
7. To delegate the powers provided in this section to the Chairman, or
to such other officers or employees as may be designated by the
Chairman;
8. To appoint advisory groups; and
9. To approve or disapprove the
request of a county legislative body to restrict or modify the legal
hours of sale within such county.

Thus, while granting exclusive administrative authority to the
Chairman, this legislation would preserve for the full board those
functions best performed by a deliberative body, and those regulatory
determinations involving broad policy considerations that are best
left to a contemplative body.

BUDGET IMPLICATIONS:

This bill would have no cost to the State. If enacted, this bill would
help effectuate the savings anticipated by the implementation of the
reforms of the Authority sought in the Executive budget for State
Fiscal Year 2011-12.

LOCAL IMPACT:

None.

EFFECTIVE DATE:

This act shall take effect immediately and shall expire and be deemed
repealed three years after such effective date.

view bill text
                    S T A T E   O F   N E W   Y O R K
________________________________________________________________________

                                 4303--C

                       2011-2012 Regular Sessions

                            I N  S E N A T E

                             March 28, 2011
                               ___________

Introduced by Sens. MARCELLINO, GRIFFO, JOHNSON, PERKINS, RANZENHOFER --
  (at  request  of the State Liquor Authority) -- read twice and ordered
  printed, and when printed to be committed to the Committee on Investi-
  gations  and  Government  Operations  --  committee  discharged,  bill
  amended,  ordered reprinted as amended and recommitted to said commit-
  tee -- reported favorably from said committee  and  committed  to  the
  Committee  on  Finance  -- committee discharged, bill amended, ordered
  reprinted as amended and recommitted to said committee --  recommitted
  to  the  Committee  on  Investigations  and  Government  Operations in
  accordance with Senate Rule 6, sec. 8 --  committee  discharged,  bill
  amended,  ordered reprinted as amended and recommitted to said commit-
  tee

AN ACT to amend the alcoholic beverage control law, in relation  to  the
  powers of the chairman and members of the authority; and providing for
  the repeal of such provisions upon expiration thereof

  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, the second undesignated para-
graph  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] AUTHORITY shall be deemed to be
peace officers for the purpose of enforcing the provisions of [the alco-
holic beverage  control  law]  THIS  CHAPTER  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 execu-
tive  officer,  assistant  chief executive officers, confidential secre-
taries to commissioners and deputies shall be in the exempt class of the

 EXPLANATION--Matter in ITALICS (underscored) is new; matter in brackets
                      [ ] is old law to be omitted.
                                                           LBD09735-08-2

S. 4303--C                          2

civil service. The other assistants, investigators and employees of  the
authority  shall  all  be in the competitive class of the civil service.
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 places as [it] THE CHAIRMAN may deem necessary.
  [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. Section 17 of the alcoholic beverage control law, as  amended  by
chapter  83  of the laws of 1995, subdivision 3 as separately amended by
section 1 of part L of chapter 62 and chapter 522 of the laws  of  2003,
subdivision 8-a as added by chapter 383 of the laws of 1998, subdivision
8-b  as  added  by  chapter  396  of the laws of 2010, subdivision 12 as
amended by chapter 549 of the laws of 2001,  the  closing  paragraph  of
subdivision  12  as amended by chapter 435 of the laws of 2010, subdivi-
sion 13 as added by chapter 403 of the laws of 1999, paragraphs (f)  and
(g)  as  amended and paragraph (h) of subdivision 13 as added by chapter
210 of the laws of 2005, and subdivision 14 as added  by  section  1  of
part  WW  of  chapter  56  of  the  laws  of 2009, is amended to read as
follows:
  S 17. Powers of the authority. The authority shall have the  following
functions, powers and duties: 1. To issue or refuse to issue any license
or permit provided for in this chapter.
  2.  To limit in its discretion the number of licenses of each class to
be issued within the state or any political subdivision thereof, and  in
connection therewith to prohibit the acceptance of applications for such
class or classes of licenses which have been so limited.
  3. To revoke, cancel or suspend for cause any license or permit issued
under  this  chapter  and/or to impose a civil penalty for cause against
any holder of a license or permit issued pursuant to this  chapter.  Any
civil  penalty  so  imposed  shall  not  exceed  the sum of ten thousand
dollars as against the holder of any retail permit  issued  pursuant  to
sections  ninety-five,  ninety-seven,  ninety-eight,  ninety-nine-d  and
paragraph f of subdivision one of section ninety-nine-b of this  chapter
and  as  against  the  holder  of  any retail license issued pursuant to
sections fifty-two, fifty-three-a, fifty-four, fifty-four-a, fifty-five,
fifty-five-a,  sixty-three,  sixty-four,   sixty-four-a,   sixty-four-b,
sixty-four-c, seventy-nine, eighty-one and eighty-one-a of this chapter,
and  the  sum  of  thirty  thousand  dollars  as against the holder of a
license issued pursuant to sections fifty-three,  seventy-six,  seventy-
six-a, [seventy-six-f,] and seventy-eight of this chapter, provided that
the  civil  penalty  against  the  holder  of a wholesale license issued
pursuant to section fifty-three of this chapter shall not exceed the sum
of ten thousand dollars where that licensee violates provisions of  this
chapter  during the course of the sale of beer at retail to a person for
consumption at home, and the sum of  one  hundred  thousand  dollars  as
against the holder of any license issued pursuant to sections fifty-one,
sixty-one  and  sixty-two  of this chapter. Any civil penalty so imposed
shall be in addition to and  separate  and  apart  from  the  terms  and
provisions  of  the bond required pursuant to section one hundred twelve
of this chapter. Provided that no appeal is pending on the imposition of
such civil penalty, in the event such civil penalty imposed by the divi-
sion remains unpaid, in whole or in  part,  more  than  forty-five  days

S. 4303--C                          3

after  written  demand  for payment has been sent by first class mail to
the address of the licensed premises,  a  notice  of  impending  default
judgment  shall be sent by first class mail to the licensed premises and
by  first  class  mail  to the last known home address of the person who
signed the most recent license  application.  The  notice  of  impending
default judgment shall advise the licensee: (a) that a civil penalty was
imposed  on  the licensee; (b) the date the penalty was imposed; (c) the
amount of the civil penalty; (d) the amount of the  civil  penalty  that
remains  unpaid  as  of  the  date of the notice; (e) the violations for
which the civil penalty was imposed; and (f) that a judgment by  default
will be entered in the supreme court of the county in which the licensed
premises  are located, or other court of civil jurisdiction or any other
place provided for the entry of civil judgments within the state of  New
York  unless  the  division receives full payment of all civil penalties
due within twenty days of the date of the notice  of  impending  default
judgment.  If  full payment shall not have been received by the division
within thirty days of mailing of the notice of impending  default  judg-
ment, the division shall proceed to enter with such court a statement of
the  default  judgment containing the amount of the penalty or penalties
remaining due and unpaid, along with proof of mailing of the  notice  of
impending  default  judgment. The filing of such judgment shall have the
full force and effect of a default  judgment  duly  docketed  with  such
court  pursuant  to  the  civil  practice law and rules and shall in all
respects be governed by that chapter and may be  enforced  in  the  same
manner  and  with  the same effect as that provided by law in respect to
execution issued against property upon judgments of a court of record. A
judgment entered pursuant to this subdivision shall remain in full force
and effect for eight years notwithstanding any other provision of law.
  4. [To remove any employee of the authority for  cause,  after  giving
such  employee  a  copy  of  the  charges against him in writing, and an
opportunity to be heard thereon. Any action taken under this subdivision
shall be subject to and in accordance with the civil service law.
  5.] To fix by rule the standards of manufacture  and  fermentation  in
order  to  insure the use of proper ingredients and methods in the manu-
facture of alcoholic beverages to be sold or consumed in the state.
  [6.] 5. To hold hearings, subpoena witnesses, compel their attendance,
administer oaths, to examine any person under  oath  and  in  connection
therewith  to  require the production of any books or papers relative to
the inquiry. A subpoena issued under this section shall be regulated  by
the civil practice law and rules.
  [7.] 6. To prohibit, at any time of public emergency, without previous
notice  or advertisement, the sale of any or all alcoholic beverages for
and during the period of such emergency.
  [8. To make an annual report to the governor and  the  legislature  of
its activities for the preceding year.
  8-a.  On and after January first, two thousand the report provided for
in subdivision eight of this section shall include an evaluation of  the
effectiveness of the prohibition on the sale of alcohol to persons under
the  age of twenty-one as provided in section sixty-five-b of this chap-
ter 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.

S. 4303--C                          4

  8-b.  On  and  after  January  first,  two thousand eleven, the report
provided for in subdivision eight of this section shall include informa-
tion related to the number of licenses applied for  and  the  length  of
time  required for the approval or denial of such retail license applied
for  pursuant  to subdivision two-c of section sixty-one, section sixty-
four, section seventy-six, section seventy-six-a, section seventy-six-c,
section seventy-six-d, and section seventy-six-f of this chapter.
  9. The] 7. 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.
  [10.] 8. To appoint such advisory groups and committees  as  it  deems
necessary  to  provide  assistance  to  the  authority  to carry out the
purposes and objectives of this chapter.
  [11.] 9. Upon receipt of a resolution adopted by a board  of  supervi-
sors  or  a  county  legislative  body requesting further restriction of
hours of sale of alcoholic beverages within such county, and upon notice
and hearing within such county, to  approve  or  disapprove  such  hours
within such county.
  [12.  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
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

S. 4303--C                          5

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
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.  Attendance at any course established
pursuant to this section shall be in person, through  distance  learning
methods, or through an internet based online program.
  13. To study and report to the governor and the legislature bi-ennial-
ly 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 insure 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;

S. 4303--C                          6

  (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  nine--two  thousand  ten,  the
authority  shall,  within  amounts  appropriated  therefore, improve and
update their information technology in order to  meet  federal  security
requirements  and  to  assist in the processing of license and/or permit
applications and renewals.]
  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 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 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
INVOLVED IN  THE  RETAIL  SALE  OF  ALCOHOLIC  BEVERAGES;  NATIONAL  AND

S. 4303--C                          7

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
THEIR  EMPLOYEES  AUTHORIZED  TO  SELL ALCOHOLIC BEVERAGES AT RETAIL FOR

S. 4303--C                          8

ON-PREMISES CONSUMPTION SHALL NOT BE INVALIDATED BY A CHANGE OF  EMPLOY-
MENT  TO  ANOTHER  SUCH LICENSEE.   ATTENDANCE AT ANY COURSE ESTABLISHED
PURSUANT TO THIS SECTION SHALL BE IN PERSON, THROUGH  DISTANCE  LEARNING
METHODS, OR THROUGH AN INTERNET BASED ONLINE PROGRAM.
  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.    ON  AND  AFTER  JANUARY  FIRST, TWO THOUSAND TWELVE, THE REPORT
PROVIDED FOR IN SUBDIVISION ELEVEN OF THIS SECTION SHALL INCLUDE  INFOR-
MATION  RELATED  TO THE NUMBER OF LICENSES APPLIED FOR AND THE LENGTH OF
TIME REQUIRED FOR THE APPROVAL OR DENIAL OF SUCH RETAIL LICENSE  APPLIED
FOR   PURSUANT  TO  SUBDIVISION  TWO-C  OF  SECTION  SIXTY-ONE,  SECTION
SIXTY-FOUR, SECTION SEVENTY-SIX, SECTION SEVENTY-SIX-A,  SECTION  SEVEN-
TY-SIX-C, AND SECTION SEVENTY-SIX-D OF THIS CHAPTER.
  14. 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 INSURE 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

S. 4303--C                          9

  (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.
  15.  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
REQUIREMENTS AND TO ASSIST IN THE PROCESSING OF  LICENSE  AND/OR  PERMIT
APPLICATIONS AND RENEWALS.
  S  4.  This  act shall take effect immediately and shall expire and be
deemed repealed three years after such date.

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