[ ] is old law to be omitted.
LBD12673-04-0
A. 9709--B 2
control fund; to amend chapter 115 of the laws of 1894 relating to the
better protection of lost and strayed animals and for securing the
rights of owners thereof, in relation to licensing fees; and to repeal
certain provisions of the agriculture and markets law relating thereto
(Part T); Intentionally omitted (Part U); to authorize the department
of health to finance certain activities with revenues generated from
an assessment on cable television companies (Part V); Intentionally
omitted (Part W); to amend chapter 21 of the laws of 2003, 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 corporations and to permit additional levels of such expe-
dited service, in relation to extending such provisions (Part X); to
amend the executive law, in relation to the community services block
grant program and to amend chapter 728 of the laws of 1982 and chapter
710 of the laws of 1983 amending the executive law relating to the
community services block grant program, in relation to extending such
program for one year (Part Y); Intentionally omitted (Part Z); to
amend the public authorities law, in relation to including the New
York city housing development corporation under the state bond issu-
ance charge (Part AA); to authorize and direct the New York State
energy research and development authority to make a payment to the
general fund of up to $913,000 (Part BB); to authorize the New York
state energy research and development authority to finance a portion
of its research, development and demonstration and policy and planning
programs from assessments on gas and electric corporations (Part CC);
to amend the environmental conservation law and the state finance law,
in relation to waste tire management and recycling fees (Part DD);
Intentionally omitted (Part EE); to amend the tax law, in relation to
real estate transfer tax revenue deposits into the environmental
protection fund (Part FF); Intentionally omitted (Part GG); Inten-
tionally omitted (Part HH); Intentionally omitted (Part II); to amend
the public authorities law, in relation to the purposes and powers of
the Genesee Valley Regional Market Authority (Part JJ); Intentionally
omitted (Part KK); to amend the economic development law, the execu-
tive law and the state administrative procedure act, in relation to
the governor's influence on the regulatory process (Part LL); direct-
ing the director of the division of the lottery and the chairman of
the racing and wagering board to coordinate and centralize administra-
tive functions (Part MM); to amend the environmental conservation law,
in relation to the recycling, reuse and safe handling of electronic
equipment sold in the state of New York (Part NN); to amend the envi-
ronmental conservation law and the state finance law, in relation to
hazardous waste program surcharges (Part OO); to amend the public
authorities law, in relation to placing certain duties and responsi-
bilities of the New York environmental facilities corporation under
the guidance and support of the department of environmental conserva-
tion, and to amend the executive law, the public authorities law, the
state finance law, the environmental conservation law, the banking
law, the local finance law and the general municipal law, in relation
to the dissolution of the environmental facilities corporation and the
transfer of its functions and powers to the department of environ-
mental conservation (Part PP); to amend the banking law, the insurance
law and the executive law, in relation to the creation of a department
of financial services, and to the abolition of the banking department
and the department of insurance and the transfer of the functions,
powers and duties of such department to the department of financial
A. 9709--B 3
services (Part QQ); and creating a temporary task force for the
creation of an authority for energy and economic development and
providing for the repeal of such provisions upon expiration thereof
(Part RR)
THE PEOPLE OF THE STATE OF NEW YORK, REPRESENTED IN SENATE AND ASSEM-
BLY, DO ENACT AS FOLLOWS:
Section 1. This act enacts into law major components of legislation
which are necessary to implement the state fiscal plan for the 2010-2011
state fiscal year. Each component is wholly contained within a Part
identified as Parts A through RR. The effective date for each particular
provision contained within such Part is set forth in the last section of
such Part. Any provision in any section contained within a Part, includ-
ing the effective date of the Part, which makes a reference to a section
"of this act", when used in connection with that particular component,
shall be deemed to mean and refer to the corresponding section of the
Part in which it is found. Section three of this act sets forth the
general effective date of this act.
PART A
Section 1. The sum of four hundred two million seven hundred ninety-
seven thousand dollars ($402,797,000), or so much thereof as shall be
necessary, and in addition to amounts previously appropriated by law, is
hereby made available, in accordance with subdivision 1 of section 380
of the public authorities law as amended, according to the following
schedule. Payments pursuant to subdivision (a) of this section shall be
made available as moneys become available for such payments. Payments
pursuant to subdivisions (b) and (c) of this section shall be made
available on the fifteenth day of June, September, December and March or
as soon thereafter as moneys become available for such payments. No
moneys of the state in the state treasury or any of its funds shall be
available for payments pursuant to this section:
SCHEDULE
(a) Thirty-nine million seven hundred thousand dollars ($39,700,000)
to municipalities for repayment of eligible costs of federal aid munici-
pal street and highway projects pursuant to section 15 of chapter 329 of
the laws of 1991, as added by section 9 of chapter 330 of the laws of
1991, as amended. The department of transportation shall provide such
information to the municipalities as may be necessary to maintain the
federal tax exempt status of any bonds, notes, or other obligations
issued by such municipalities to provide for the non-federal share of
the cost of projects pursuant to chapter 330 of the laws of 1991 or
section 80-b of the highway law.
The program authorized pursuant to section 15 of chapter 329 of the
laws of 1991, as added by section 9 of chapter 330 of the laws of 1991,
as amended, shall additionally make payments for reimbursement according
to the following schedule:
State Fiscal Year Amount
2010-11 $39,700,000
(b) Three hundred four million three hundred thousand dollars
($304,300,000) to counties, cities, towns and villages for reimbursement
of eligible costs of local highway and bridge projects pursuant to
sections 16 and 16-a of chapter 329 of the laws of 1991, as added by
A. 9709--B 4
section 9 of chapter 330 of the laws of 1991, as amended. For the
purposes of computing allocations to municipalities, the amount distrib-
uted pursuant to section 16 of chapter 329 of the laws of 1991 shall be
deemed to be $121,520,000. The amount distributed pursuant to section
16-a of chapter 329 of the laws of 1991 shall be deemed to be
$182,780,000. Notwithstanding the provisions of any general or special
law, the amounts deemed distributed in accordance with section 16 of
chapter 329 of the laws of 1991 shall be adjusted so that such amounts
will not be less than 83.807 percent of the "funding level" as defined
in subdivision 5 of section 10-c of the highway law for each such muni-
cipality. In order to achieve the objectives of section 16 of chapter
329 of the laws of 1991, to the extent necessary, the amounts in excess
of 83.807 percent of the funding level to be deemed distributed to each
municipality under this subdivision shall be reduced in equal propor-
tion.
(c) Fifty-eight million seven hundred ninety-seven thousand dollars
($58,797,000) to municipalities for reimbursement of eligible costs of
local highway and bridge projects pursuant to sections 16 and 16-a of
chapter 329 of the laws of 1991, as added by section 9 of chapter 330 of
the laws of 1991, as amended. For the purposes of computing allocations
to municipalities, the amount distributed pursuant to section 16 of
chapter 329 of the laws of 1991 shall be deemed to be $23,480,000. The
amount distributed pursuant to section 16-a of chapter 329 of the laws
of 1991 shall be deemed to be $35,317,000. Notwithstanding the
provisions of any general or special law, the amounts deemed distributed
in accordance with section 16 of chapter 329 of the laws of 1991 shall
be adjusted so that such amounts will not be less than 16.193 percent of
the "funding level" as defined in subdivision 5 of section 10-c of the
highway law for each such municipality. In order to achieve the objec-
tives of section 16 of chapter 329 of the laws of 1991, to the extent
necessary, the amounts in excess of 16.193 percent of the funding level
to be deemed distributed to each municipality under this subdivision
shall be reduced in equal proportion. To the extent that the total of
remaining payment allocations calculated herein varies from $58,797,000,
the payment amounts to each locality shall be adjusted by a uniform
percentage so that the total payments equal $58,797,000.
The program authorized pursuant to sections 16 and 16-a of chapter 329
of the laws of 1991, as added by section 9 of chapter 330 of the laws of
1991, as amended, shall additionally make payments for reimbursement
according to the following schedule:
State Fiscal Year Amount
2010-11 $363,097,000
S 2. This act shall take effect immediately.
PART B
Intentionally omitted.
PART C
Section 1. Subdivisions 5, 6 and 7 of section 19-0323 of the environ-
mental conservation law are renumbered subdivisions 6, 7 and 8 and a new
subdivision 5 is added to read as follows:
5. THE DEPARTMENT MAY ISSUE A WAIVER FOR ANY DIESEL POWERED HEAVY DUTY
VEHICLE ENGINE THAT IS OWNED BY, OPERATED BY OR ON BEHALF OF OR LEASED
BY A STATE AGENCY, OR A STATE OR REGIONAL PUBLIC AUTHORITY, PROVIDED
A. 9709--B 5
THAT SUCH VEHICLE ENGINE WILL CEASE TO BE USED IN THE STATE ON OR BEFORE
DECEMBER THIRTY-FIRST, TWO THOUSAND THIRTEEN.
S 2. This act shall take effect immediately.
PART D
Intentionally omitted.
PART E
Section 1. Section 2 of chapter 279 of the laws of 1998, amending the
transportation law relating to enabling the commissioner of transporta-
tion to establish a single audit pilot program, as amended by section 1
of part A of chapter 59 of the laws of 2009, is amended to read as
follows:
S 2. This act shall take effect on December 31, 1998, except that the
commissioner of transportation is immediately authorized to promulgate
rules and regulations necessary for the implementation of this act and
shall expire December 31, [2010] 2011 when upon such date the provisions
of this act shall be deemed repealed.
S 2. This act shall take effect immediately.
PART F
Intentionally omitted.
PART G
Intentionally omitted.
PART H
Intentionally omitted.
PART I
Intentionally omitted.
PART J
Intentionally omitted.
PART K
Intentionally omitted.
PART L
Intentionally omitted.
PART M
Section 1. Paragraph (a) of subdivision 1 of section 1 of part U of
chapter 57 of the laws of 2005 amending the labor law and other laws
implementing the state fiscal plan for the 2005-2006 state fiscal year,
relating to the New York state higher education capital matching grant
A. 9709--B 6
program for independent colleges, as added by section 1 of part D of
chapter 63 of the laws of 2005, is amended to read as follows:
(a) The New York state higher education capital matching grant board
is hereby created to have and exercise the powers, duties and preroga-
tives provided by the provisions of this section and any other provision
of law. The board shall remain in existence during the period of the New
York state higher education capital matching grant program from the
effective date of this section through March 31, [2010] 2011, or the
date on which the last of the funds available for grants under this
section shall have been disbursed, whichever is earlier; provided,
however, that the termination of the existence of the board shall not
effect the power and authority of the dormitory authority to perform its
obligations with respect to any bonds, notes, or other indebtedness
issued or incurred pursuant to authority granted in this section.
S 2. Paragraph (h) of subdivision 4 of section 1 of part U of chapter
57 of the laws of 2005 amending the labor law and other laws implement-
ing the state fiscal plan for the 2005-2006 state fiscal year, relating
to New York state higher education matching grant program for independ-
ent colleges, as added by section 1 of part D of chapter 63 of the laws
of 2005, is amended to read as follows:
(h) If a college [does] DID not apply for a POTENTIAL grant by March
31, 2009, funds associated with such potential grant shall be awarded,
on a competitive basis, to other colleges, ACCORDING TO THE PRIORITIES
SET FORTH BELOW. Colleges shall be eligible to apply for unutilized
grants. IN SUCH CASES, THE FOLLOWING PRIORITIES SHALL APPLY: FIRST,
PRIORITY SHALL BE GIVEN TO OTHERWISE ELIGIBLE COLLEGES THAT EITHER WERE,
OR WOULD HAVE BEEN, DEEMED INELIGIBLE FOR THE PROGRAM PRIOR TO MARCH 31,
2009, DUE TO MISSED DEADLINES, INSUFFICIENT MATCHING FUNDS, LACK OF
ACCREDITATION OR OTHER DISQUALIFYING REASONS; AND SECOND, AFTER THE
BOARD HAS ACTED UPON ALL SUCH FIRST-PRIORITY APPLICATIONS FOR UNUSED
FUNDS, IF ANY SUCH FUNDS REMAIN, THOSE FUNDS SHALL BE AVAILABLE FOR
DISTRIBUTION TO ELIGIBLE COLLEGES THAT ARE LOCATED WITHIN THE SAME
REGENTS OF THE STATE OF NEW YORK REGION FOR WHICH SUCH FUNDS WERE
ORIGINALLY ALLOCATED. The dormitory authority shall develop a request
for proposals and application process, in consultation with the board,
for such grants and shall develop criteria, subject to review by the
board, for the awarding of such grants. Such criteria shall incorporate
the matching criteria contained in paragraph (c) of this subdivision,
and the application criteria set forth in paragraph (e) of this subdivi-
sion. The dormitory authority shall require all applications in response
to the request for proposals to be submitted by September 1, [2009]
2010, and the board shall act on each application for such matching
grants by November 1, [2009] 2010.
S 3. Subclause (A) of clause (ii) of paragraph (j) of subdivision 4 of
section 1 of part U of chapter 57 of the laws of 2005 amending the labor
law and other laws implementing the state fiscal plan for the 2005-2006
state fiscal year, relating to New York state higher education matching
grant program for independent colleges, as added by section 1 of part D
of chapter 63 of the laws of 2005, is amended to read as follows:
(A) Notwithstanding the provision of any general or special law to the
contrary, and subject to the provisions of chapter 59 of the laws of
2000 and to the making of annual appropriations therefor by the legisla-
ture, in order to assist the dormitory authority in providing such high-
er education capital matching grants, the director of the budget is
authorized in any state fiscal year commencing April 1, 2005 or any
state fiscal year thereafter for a period ending on March 31, [2010]
A. 9709--B 7
2011, to enter into one or more service contracts, none of which shall
exceed 30 years in duration, with the dormitory authority, upon such
terms as the director of the budget and the dormitory authority agree.
S 4. Paragraph (b) of subdivision 7 of section 1 of part U of chapter
57 of the laws of 2005 amending the labor law and other laws implement-
ing the state fiscal plan for the 2005-2006 state fiscal year, relating
to New York state higher education matching grant program for independ-
ent colleges, as added by section 1 of part D of chapter 63 of the laws
of 2005, is amended to read as follows:
(b) Any eligible institution receiving a grant pursuant to this arti-
cle shall report to the dormitory authority no later than June 1, [2008]
2011, on the use of funding received and its programmatic and economic
impact. The dormitory authority shall submit a report no later than
November 1, [2008] 2011 to the board, the governor, the director of the
budget, the temporary president of the senate, and the speaker of the
assembly on the aggregate impact of the higher education capital match-
ing grant program. Such report shall provide information on the progress
and economic impact of [each] SUCH project.
S 5. This act shall take effect immediately and shall be deemed to
have been in full force and effect on and after April 1, 2010.
PART N
Section 1. Section 1 of chapter 174 of the laws of 1968, constituting
the New York state urban development corporation act, is amended by
adding a new section 16-t to read as follows:
S 16-T. SMALL BUSINESS REVOLVING LOAN FUND. 1. THE SMALL BUSINESS
REVOLVING LOAN FUND PROGRAM IS HEREBY CREATED. THE CORPORATION IS
AUTHORIZED, WITHIN AVAILABLE APPROPRIATIONS, TO PROVIDE GRANTS TO LOCAL
COMMUNITY BASED LENDING ORGANIZATIONS, INCLUDING COMMUNITY DEVELOPMENT
FINANCIAL INSTITUTIONS (CDFIS), SMALL BUSINESS LENDING CONSORTIA, CERTI-
FIED DEVELOPMENT COMPANIES, PROVIDERS OF UNITED STATES DEPARTMENT OF
AGRICULTURE BUSINESS AND INDUSTRIAL GUARANTEED LOANS, UNITED STATES
SMALL BUSINESS ADMINISTRATION LOAN PROVIDERS, CREDIT UNIONS AND COMMUNI-
TY BANKS, IN ORDER TO PROVIDE FUNDING FOR THOSE LENDING ORGANIZATIONS'
LOANS TO SMALL BUSINESSES, LOCATED WITHIN NEW YORK STATE, THAT GENERATE
ECONOMIC GROWTH AND JOB CREATION WITHIN NEW YORK STATE BUT THAT ARE
UNABLE TO OBTAIN ADEQUATE CREDIT OR ADEQUATE TERMS FOR SUCH CREDIT. AS
USED IN THIS SECTION "SMALL BUSINESS" MEANS A BUSINESS THAT IS RESIDENT
IN NEW YORK STATE, INDEPENDENTLY OWNED AND OPERATED, NOT DOMINANT IN ITS
FIELD, AND EMPLOYS ONE HUNDRED OR FEWER PERSONS.
2. THE CORPORATION SHALL IDENTIFY ELIGIBLE LENDING ORGANIZATIONS
THROUGH ONE OR MORE COMPETITIVE STATEWIDE OR LOCAL SOLICITATIONS. UPON
THE AWARDING OF PROGRAM FUNDS THE CORPORATION SHALL CREATE ADMINISTRA-
TIVE TRUST FUND ACCOUNTS FOR EACH LENDING ORGANIZATION. IN ORDER FOR A
LENDING ORGANIZATION TO BE ELIGIBLE TO RECEIVE PROGRAM FUNDS, IT MUST
HAVE ESTABLISHED SUFFICIENT EXPERTISE TO ANALYZE SMALL BUSINESS APPLICA-
TIONS FOR PROGRAM LOANS, EVALUATE THE CREDITWORTHINESS OF SMALL BUSI-
NESSES, AND REGULARLY MONITOR PROGRAM LOANS. THE LENDING ORGANIZATION
SHALL REVIEW EVERY PROGRAM LOAN APPLICATION IN ORDER TO DETERMINE, AMONG
OTHER THINGS, THE FEASIBILITY OF THE PROPOSED USE OF THE REQUESTED
FINANCING BY THE SMALL BUSINESS APPLICANT, THE LIKELIHOOD OF REPAYMENT
AND THE POTENTIAL THAT THE LOAN WILL GENERATE ECONOMIC DEVELOPMENT AND
JOBS WITHIN NEW YORK STATE.
3. PROGRAM LOANS TO SMALL BUSINESSES SHALL BE USED FOR THE CREATION
AND RETENTION OF JOBS, AS DEFINED BY THE CORPORATION, INCLUDING: (A)
A. 9709--B 8
WORKING CAPITAL; (B) THE ACQUISITION AND/OR IMPROVEMENT OF REAL PROPER-
TY; (C) THE ACQUISITION OF MACHINERY AND EQUIPMENT, PROPERTY OR IMPROVE-
MENT; OR (D) THE REFINANCING OF DEBT OBLIGATIONS. THIS LOAN SHALL HAVE
A PRINCIPAL AMOUNT THAT IS NO MORE THAN ONE HUNDRED TWENTY-FIVE THOUSAND
DOLLARS.
4. PROGRAM FUNDS SHALL NOT BE USED FOR: (A) PROJECTS OF NEWSPAPERS,
BROADCASTING OR OTHER NEWS MEDIA; MEDICAL FACILITIES, LIBRARIES, COMMU-
NITY OR CIVIC CENTERS; OR PUBLIC INFRASTRUCTURE IMPROVEMENTS; OR (B)
PROVIDING FUNDS, DIRECTLY OR INDIRECTLY, FOR PAYMENT, DISTRIBUTION, OR
AS A LOAN, TO OWNERS, MEMBERS, PARTNERS OR SHAREHOLDERS OF THE APPLICANT
BUSINESS, EXCEPT AS ORDINARY INCOME FOR SERVICES RENDERED.
5. WITH RESPECT TO THIS PROGRAM LOAN, THE LENDING ORGANIZATION MAY
CHARGE REASONABLE APPLICATION FEES.
6. PROGRAM FUNDS SHALL BE DISBURSED TO A LENDING ORGANIZATION BY THE
CORPORATION IN THE FORM OF GRANTS PURSUANT TO THE REQUESTS FOR
PROPOSALS. THE TERM OF THE LOAN SHALL COMMENCE UPON DISBURSEMENT OF THE
PROGRAM FUNDS BY THE CORPORATION TO THE LENDING ORGANIZATION.
7. NOTWITHSTANDING ANYTHING TO THE CONTRARY IN THIS SECTION, THE
CORPORATION SHALL PROVIDE AT LEAST ONE MILLION FIVE HUNDRED THOUSAND
DOLLARS IN GRANTS PURSUANT TO THIS SECTION TO LENDING ORGANIZATIONS FOR
THE PURPOSE OF MAKING LOANS TO SMALL BUSINESS LOCATED IN NIAGARA COUNTY.
8. NOTWITHSTANDING ANYTHING TO THE CONTRARY IN THIS SECTION, THE
CORPORATION SHALL PROVIDE AT LEAST ONE MILLION FIVE HUNDRED THOUSAND
DOLLARS IN GRANTS PURSUANT TO THIS SECTION TO LENDING ORGANIZATIONS FOR
THE PURPOSE OF MAKING LOANS TO SMALL BUSINESS LOCATED IN ST. LAWRENCE
COUNTY.
9. (A) (I) NOTWITHSTANDING ANY PROVISION OF LAW TO THE CONTRARY, THE
CORPORATION MAY ESTABLISH AN ADMINISTRATIVE EXPENSES TRUST FUND ACCOUNT
FOR THE BENEFIT OF EACH LENDING ORGANIZATION SELECTED TO ADMINISTER A
SMALL BUSINESS REVOLVING TRUST FUND ACCOUNT. THE INITIAL DEPOSIT OF
FUNDS TO AN ADMINISTRATIVE EXPENSES TRUST FUND ACCOUNT SHALL BE AN
AMOUNT DETERMINED BY THE CORPORATION BUT SHALL NOT EXCEED ONE HUNDRED
TWENTY-FIVE THOUSAND DOLLARS.
(II) A LENDING ORGANIZATION SELECTED TO ADMINISTER A SMALL BUSINESS
REVOLVING TRUST FUND ACCOUNT MAY USE THE FUNDS IN THE ADMINISTRATIVE
EXPENSES TRUST FUND ACCOUNT FOR COSTS INCURRED BY IT IN THE START UP AND
ADMINISTRATION OF THE FINANCIAL ASSISTANCE PROGRAM AUTHORIZED PURSUANT
TO THIS SUBDIVISION.
(III) THE CORPORATION SHALL DEPOSIT INTO EACH ADMINISTRATIVE EXPENSES
TRUST FUND ACCOUNT:
(A) ALL INCOME EARNED FROM THE MONEYS ON DEPOSIT IN THE CORRESPONDING
SMALL BUSINESS REVOLVING TRUST FUND ACCOUNT DURING THE FIRST YEAR OF THE
LENDING ORGANIZATION'S ADMINISTRATION OF SAID ACCOUNT; AND
(B) BEGINNING WITH ITS SECOND YEAR IN ADMINISTERING A SMALL BUSINESS
REVOLVING TRUST FUND ACCOUNT, SAID AMOUNTS MAY BE USED FOR COSTS
INCURRED BY THE LENDING ORGANIZATION IN ADMINISTERING THE SMALL BUSINESS
REVOLVING TRUST FUND ACCOUNT; AND
(C) REPAYMENTS OF INTEREST ON LOANS MADE FROM THE CORRESPONDING SMALL
BUSINESS REVOLVING TRUST FUND ACCOUNT.
(IV) FUNDS FROM THE ADMINISTRATIVE EXPENSES TRUST FUND ACCOUNT MAY BE
USED FOR COSTS INCURRED AT ANY TIME BY AN ADMINISTERING LENDING ORGAN-
IZATION IN ITS ADMINISTRATION OF A SMALL BUSINESS REVOLVING TRUST FUND
ACCOUNT PURSUANT TO THIS SECTION.
(V) FUNDS DEPOSITED IN AN ADMINISTRATIVE EXPENSES TRUST FUND ACCOUNT
SHALL BE DISBURSED BY THE CORPORATION TO THE LENDING ORGANIZATION THAT
ADMINISTERS THE CORRESPONDING SMALL BUSINESS REVOLVING TRUST FUND
A. 9709--B 9
ACCOUNT ON A PERIODIC BASIS AND SHALL BE EXPENDED BY THE LENDING ORGAN-
IZATION IN ACCORDANCE WITH AN ANNUAL BUDGET AND ANY UPDATES OF SAME,
APPROVED BY THE CORPORATION.
(B) ANY LENDING ORGANIZATION SELECTED TO ADMINISTER A SMALL BUSINESS
REVOLVING TRUST FUND ACCOUNT SHALL PAY TO THE CORPORATION FOR DEPOSIT
ANY REPAYMENTS RECEIVED IN CONNECTION WITH FINANCIAL ASSISTANCE PROVIDED
FROM ITS ACCOUNT. PAYMENTS CONSISTING OF THE REPAYMENT OF THE PRINCIPAL
AMOUNT OF A LOAN SHALL BE DEPOSITED BY THE CORPORATION INTO THE SMALL
BUSINESS REVOLVING TRUST FUND ACCOUNT FROM WHICH THE LOAN WAS MADE. THE
INTEREST EARNED BY THE CORPORATION FROM THE INVESTMENT OF MONEYS IN EACH
SMALL BUSINESS REVOLVING TRUST FUND ACCOUNT DURING AND AFTER THE SECOND
YEAR OF A SELECTED LENDING ORGANIZATION'S ADMINISTRATION OF SAID ACCOUNT
SHALL BE DEPOSITED BY THE CORPORATION INTO THE CORRESPONDING SMALL BUSI-
NESS REVOLVING TRUST FUND ACCOUNT AND USED TO PROVIDE THE FINANCIAL
ASSISTANCE TO SMALL BUSINESSES AS AUTHORIZED PURSUANT TO THIS SECTION.
10. WITH RESPECT TO A LENDING ORGANIZATION PROGRAM LOAN APPLICANTS, NO
PERSON WHO IS A MEMBER OF THE BOARD OR OTHER GOVERNING BODY, OFFICER,
EMPLOYEE, OR MEMBER OF A LOAN COMMITTEE, OR A FAMILY MEMBER OF ANY SUCH
LENDING ORGANIZATION SHALL PARTICIPATE IN ANY DECISION ON SUCH APPLICA-
TION IF SUCH PERSON IS A PARTY TO OR HAS A FINANCIAL OR PERSONAL INTER-
EST IN SUCH LOAN. ANY PERSON WHO CANNOT PARTICIPATE IN A LOAN APPLICA-
TION DECISION FOR SUCH REASONS SHALL NOT BE COUNTED AS A MEMBER OF THE
LOAN COMMITTEE, BOARD OR OTHER GOVERNING BODY FOR PURPOSES OF DETERMIN-
ING THE NUMBER OF MEMBERS REQUIRED FOR APPROVAL OF SUCH APPLICATION.
11. THE LENDING ORGANIZATION SHALL SUBMIT TO THE CORPORATION ANNUAL
REPORTS STATING: THE NUMBER OF PROGRAM LOANS MADE; THE AMOUNT OF PROGRAM
FUNDING USED FOR LOANS; THE USE OF LOAN PROCEEDS BY THE BORROWER; THE
NUMBER OF JOBS CREATED OR RETAINED; A DESCRIPTION OF THE ECONOMIC DEVEL-
OPMENT GENERATED; THE STATUS OF EACH OUTSTANDING PROGRAM LOAN; AND SUCH
OTHER INFORMATION AS THE CORPORATION MAY REQUIRE.
12. THE CORPORATION MAY CONDUCT AUDITS OF THE LENDING ORGANIZATION IN
ORDER TO ENSURE COMPLIANCE WITH THE PROVISIONS OF THIS SECTION, ANY
REGULATIONS PROMULGATED WITH RESPECT THERETO AND AGREEMENTS BETWEEN THE
LENDING ORGANIZATION AND THE CORPORATION OF ALL ASPECTS OF THE USE OF
PROGRAM FUNDS AND PROGRAM LOAN TRANSACTIONS. IN THE EVENT THAT THE
CORPORATION FINDS SUBSTANTIVE NONCOMPLIANCE, THE CORPORATION MAY TERMI-
NATE THE LENDING ORGANIZATION'S PARTICIPATION IN THE PROGRAM.
S 2. This act shall take effect immediately and shall be deemed to
have been in full force and effect on and after April 1, 2010.
PART O
Section 1. Section 1 of chapter 174 of the laws of 1968, constituting
the New York state urban development corporation act, is amended by
adding a new section 44 to read as follows:
S 44. THE NEW TECHNOLOGY SEED INVESTMENT FUND. 1. DEFINITIONS. FOR
THE PURPOSES OF THIS SECTION, THE FOLLOWING WORDS AND TERMS SHALL HAVE
THE FOLLOWING MEANINGS UNLESS THE CONTEXT SHALL INDICATE ANOTHER OR
DIFFERENT MEANING OR INTENT:
(A) "REGIONAL INVESTMENT FUND" SHALL MEAN A LIMITED PARTNERSHIP,
LIMITED LIABILITY PARTNERSHIP, A LIMITED LIABILITY COMPANY OR A
NOT-FOR-PROFIT FUND UNDER EXPERIENCED PROFESSIONAL MANAGEMENT THAT IS
FAMILIAR WITH SEED CAPITAL INVESTMENT, APPROPRIATE BUSINESS PRACTICES
AND TECHNOLOGY-ORIENTED PRODUCTS AND SERVICES, AND FORMED FOR THE
PURPOSE OF PROVIDING PRIVATE EQUITY TO TECHNOLOGY-BASED COMPANIES IN
A. 9709--B 10
THEIR FORMATIVE STAGES, ENCOMPASSES AT LEAST TWO COUNTIES, AND INVESTS
IN QUALIFIED ENTERPRISES LOCATED WITHIN NEW YORK STATE.
(B) "QUALIFIED ENTERPRISE" SHALL MEAN:
(I) A COMPANY OR A PROPOSED COMPANY THAT HAS OR WILL LOCATE ITS PRIN-
CIPAL PLACE OF BUSINESS IN NEW YORK STATE, THAT IS, OR PROPOSES TO BE,
ENGAGED IN THIS STATE IN RESEARCH AND DEVELOPMENT OR HIGH TECHNOLOGY
MANUFACTURING, AND THAT DEMONSTRATES THE POTENTIAL FOR SUBSTANTIAL
GROWTH AND JOB DEVELOPMENT IN AN EMERGING TECHNOLOGY FIELD AS DEFINED IN
SECTION 3102-E OF THE PUBLIC AUTHORITIES LAW OR AS ADOPTED BY THE BOARD;
AND
(II) IS FORMULATING, HAS FORMULATED, OR IS EXECUTING A DETAILED BUSI-
NESS PLAN FOR PROOF-OF-CONCEPT OR INITIAL PRODUCT COMMERCIALIZATION.
(C) "SEED CAPITAL" SHALL MEAN FINANCIAL ASSISTANCE TO A QUALIFIED
ENTERPRISE, IN RETURN FOR EQUITY OR DEBT SECURITIES OR ROYALTIES.
2. INVESTMENTS IN REGIONAL INVESTMENT FUNDS. (A) THE CORPORATION SHALL
MAKE INVESTMENTS TO ENCOURAGE AND FACILITATE THE CREATION OR EXPANSION
OF REGIONAL INVESTMENT FUNDS THAT SERVE THE PURPOSES OF THIS SECTION.
THE BOARD OF DIRECTORS SHALL ADOPT CRITERIA AND GUIDELINES GOVERNING
SUCH INVESTMENTS, WHICH SHALL REQUIRE THAT:
(I) THERE EXISTS A NEED FOR SEED CAPITAL IN THE REGION SERVED OR TO BE
SERVED BY A REGIONAL INVESTMENT FUND;
(II) SUPPORT FOR A REGIONAL INVESTMENT FUND EXISTS FROM LOCAL GOVERN-
MENTS, ECONOMIC DEVELOPMENT AGENCIES, AND BUSINESS COMMUNITIES WITHIN
THE REGION OR AREA TO BE SERVICED BY SUCH FUND;
(III) THE REGIONAL INVESTMENT FUND HAS THE CAPACITY TO PERFORM DUE
DILIGENCE IN MAKING INVESTMENT DECISIONS, AND TO PROVIDE MANAGEMENT
EXPERTISE AND OTHER VALUE-ADDED SERVICES TO ITS PORTFOLIO COMPANIES
WHICH SERVICES MAY INCLUDE ACCESS TO CAPITAL, BUSINESS EXPERTISE, TECH-
NOLOGY COMMERCIALIZATION SERVICES AND A NETWORK OF RESOURCES IN ORDER TO
ADVANCE THE DEVELOPMENT OF NEW TECHNOLOGIES;
(IV) THE REGIONAL INVESTMENT FUND ESTABLISHES CONFLICT-OF-INTEREST
PROVISIONS ACCEPTABLE TO THE CORPORATION;
(V) TO THE MAXIMUM EXTENT FEASIBLE, THE REGIONAL INVESTMENT FUND WILL
INVEST IN FIRMS WHICH HAVE THE GREATEST POTENTIAL FOR JOB CREATION;
(VI) INVESTMENTS MADE BY THE CORPORATION IN A REGIONAL INVESTMENT FUND
SHALL NOT EXCEED FIVE MILLION DOLLARS AND, SHALL BE MATCHED BY THE
REGIONAL FUND ON AT LEAST A ONE-TO-ONE BASIS WITH MONIES, OTHER THAN
STATE MONIES, UNLESS THE BOARD FINDS THAT A REDUCED MATCHING REQUIREMENT
WILL FURTHER THE PURPOSES OF THIS SECTION; AND
(VII) INVESTMENTS MADE BY A REGIONAL INVESTMENT FUND THAT INCLUDE
FUNDS RECEIVED FROM THE CORPORATION SHALL BE MADE ONLY FOR THE FINANCING
AUTHORIZED BY SUBDIVISION 3 OF THIS SECTION.
(B) (I) THE CORPORATION SHALL MAKE INVESTMENTS IN QUALIFIED REGIONAL
INVESTMENT FUNDS VIA THE ISSUANCE OF A REQUEST FOR PROPOSALS TO REGIONAL
AND LOCAL ECONOMIC DEVELOPMENT ORGANIZATIONS, TECHNOLOGY DEVELOPMENT
ORGANIZATIONS, RESEARCH UNIVERSITIES, AND INVESTMENT FUNDS THAT PROVIDE
SMALL-SCALE INVESTMENTS IN HIGH-TECHNOLOGY COMPANIES IN NEW YORK STATE.
(II) IN AWARDING FUNDS PURSUANT TO THIS SUBDIVISION, THE CORPORATION
SHALL ASSURE ADEQUATE GEOGRAPHIC DISTRIBUTION TO THE EXTENT FEASIBLE.
3. REGIONAL INVESTMENT FUNDS. (A) REGIONAL INVESTMENT FUNDS RECEIVING
INVESTMENTS FROM THE CORPORATION UNDER THIS ACT SHALL USE SUCH FUNDS AND
THE REQUIRED MATCHING FUNDS TO PROVIDE SEED CAPITAL AND FOLLOW-ON
FINANCING TO QUALIFIED ENTERPRISES, PROVIDED THAT THE REGIONAL INVEST-
MENT FUND SHALL NOT:
A. 9709--B 11
(I) INVEST AN AMOUNT IN ANY SINGLE QUALIFIED ENTERPRISE THAT EXCEEDS
FIFTY PERCENT OF THE TOTAL INVESTMENT FROM ALL OTHER SOURCES IN ANY SUCH
ENTERPRISE; OR
(II) INVEST OVER FIVE HUNDRED THOUSAND DOLLARS IN ANY ONE COMPANY, OR
SEVEN HUNDRED FIFTY THOUSAND DOLLARS IN THE CASE OF A BIOTECHNOLOGY
COMPANY, AT ANY ONE TIME.
(B) A REGIONAL INVESTMENT FUND, BEFORE APPROVING ANY APPLICATION FOR
FINANCIAL ASSISTANCE UNDER THIS SECTION, SHALL FIND THAT:
(I) THE QUALIFIED ENTERPRISE AND ITS PRODUCT OR PROCESS HAVE A REASON-
ABLE CHANCE OF BEING COMMERCIALLY SUCCESSFUL;
(II) THE EMPLOYMENT CREATED OR MAINTAINED AS A RESULT OF THE FUND'S
INVESTMENT WILL BE IN NEW YORK STATE; AND
(III) PROVISIONS ARE IN PLACE FOR THE REPAYMENT OF THE FUNDS IF THE
COMPANY RECEIVING ASSISTANCE LEAVES THE STATE.
4. REGIONAL INVESTMENT FUND REPORTING. THE CORPORATION SHALL REQUIRE
ANY REGIONAL INVESTMENT FUND RECEIVING INVESTMENTS UNDER THIS SECTION TO
FILE A REPORT WITH THE CORPORATION BY DECEMBER 1, 2011 AND ANNUALLY
THEREAFTER. SUCH REPORT SHALL INCLUDE:
(A) THE TOTAL AMOUNT OF FUNDS COMMITTED TO THE REGIONAL INVESTMENT
FUND AND THE AMOUNT THAT HAS BEEN INVESTED;
(B) THE NET ASSET VALUE OF THE FUND;
(C) THE AMOUNT INVESTED IN EACH PORTFOLIO COMPANY FROM THE FUND AND
FROM OTHER SOURCES;
(D) THE TYPE OF PRODUCT OR TECHNOLOGY BEING DEVELOPED BY EACH PORTFO-
LIO COMPANY;
(E) THE LOCATION OF EACH PORTFOLIO COMPANY;
(F) THE NUMBER OF JOBS PROJECTED TO BE CREATED AND RETAINED; AND
(G) SUCH OTHER INFORMATION AS THE CORPORATION DEEMS NECESSARY.
5. REPORT OF THE CORPORATION. THE CORPORATION SHALL SUBMIT TO THE
GOVERNOR AND THE LEGISLATURE A SUMMARY AND EVALUATION OF THE REPORTS
SUBMITTED TO THE CORPORATION PURSUANT TO SUBDIVISION 4 OF THIS SECTION
AND AN EVALUATION OF THE PERFORMANCE OF THE REGIONAL INVESTMENT FUNDS ON
OR BEFORE FEBRUARY 1, 2012 AND ANNUALLY THEREAFTER.
S 2. This act shall take effect immediately.
PART P
Section 1. Section 2 of chapter 393 of the laws of 1994, amending the
New York state urban development corporation act relating to the powers
of the New York state urban development corporation to make loans, as
amended by section 1 of part X of chapter 59 of the laws of 2009, is
amended to read as follows:
S 2. This act shall take effect immediately provided, however, that
section one of this act shall expire on July 1, [2010] 2011, at which
time the provisions of subdivision 26 of section 5 of the New York state
urban development corporation act shall be deemed repealed; provided,
however, that neither the expiration nor the repeal of such subdivision
as provided for herein shall be deemed to affect or impair in any manner
any loan made pursuant to the authority of such subdivision prior to
such expiration and repeal.
S 2. This act shall take effect immediately and shall be deemed to
have been in full force and effect on and after April 1, 2010.
PART Q
Intentionally omitted.
A. 9709--B 12
PART R
Intentionally omitted.
PART S
Section 1. Subdivision 3 of section 99-h of the state finance law, as
amended by section 1 of part QQ of chapter 59 of the laws of 2009, is
amended to read as follows:
3. Moneys of the account, following appropriation by the legislature,
shall be available for purposes including but not limited to: (a)
reimbursements or payments to municipal governments that host tribal
casinos pursuant to a tribal-state compact for costs incurred in
connection with services provided to such casinos or arising as a result
thereof, for economic development opportunities and job expansion
programs authorized by the executive law; provided, however, that for
any gaming facility located in the city of Buffalo, the city of Buffalo
shall receive a minimum of twenty-five percent of the negotiated
percentage of the net drop from electronic gaming devices the state
receives pursuant to the compact, and provided further that for any
gaming facility located in the city of Niagara Falls, county of Niagara
a minimum of twenty-five percent of the negotiated percentage of the net
drop from electronic gaming devices the state receives pursuant to the
compact shall be distributed in accordance with subdivision four of this
section, and provided further that for any gaming facility located in
the county or counties of Cattaraugus, Chautauqua or Allegany, the
municipal governments of the state hosting the facility shall collec-
tively receive a minimum of twenty-five percent of the negotiated
percentage of the net drop from electronic gaming devices the state
receives pursuant to the compact; and provided further that pursuant to
chapter five hundred ninety of the laws of two thousand four, a minimum
of twenty-five percent of the revenues received by the state pursuant to
the state's compact with the St. Regis Mohawk tribe shall be made avail-
able to the counties of Franklin and St. Lawrence, and affected towns in
such counties. Each such county and its affected towns shall receive
fifty percent of the moneys made available by the state; and (b) support
and services of treatment programs for persons suffering from gambling
addictions. Moneys not appropriated for such purposes shall be trans-
ferred to the general fund for the support of government [during the
fiscal year in which they are received]. EACH PAYMENT TO THE ACCOUNT
AND ANY INTEREST ACCRUED SHALL BE DISTRIBUTED WITHIN THIRTY-FIVE DAYS
UPON RECEIPT TO SUCH MUNICIPALITIES AND THE GENERAL FUND.
S 2. Subdivision 3 of section 99-h of the state finance law, as
amended by section 1 of part V of chapter 59 of the laws of 2006, is
amended to read as follows:
3. Moneys of the account, following appropriation by the legislature,
shall be available for purposes including but not limited to: (a)
reimbursements or payments to municipal governments that host tribal
casinos pursuant to a tribal-state compact for costs incurred in
connection with services provided to such casinos or arising as a result
thereof, for economic development opportunities and job expansion
programs authorized by the executive law; provided, however, that for
any gaming facility located in the county of Erie or Niagara, the munic-
ipal governments hosting the facility shall collectively receive a mini-
mum of twenty-five percent of the negotiated percentage of the net drop
from electronic gaming devices the state receives pursuant to the
A. 9709--B 13
compact and provided further that for any gaming facility located in the
county or counties of Cattaraugus, Chautauqua or Allegany, the municipal
governments of the state hosting the facility shall collectively receive
a minimum of twenty-five percent of the negotiated percentage of the net
drop from electronic gaming devices the state receives pursuant to the
compact; and provided further that pursuant to chapter five hundred
ninety of the laws of two thousand four, a minimum of twenty-five
percent of the revenues received by the state pursuant to the state's
compact with the St. Regis Mohawk tribe shall be made available to the
counties of Franklin and St. Lawrence, and affected towns in such coun-
ties. Each such county and its affected towns shall receive fifty
percent of the moneys made available by the state; and (b) support and
services of treatment programs for persons suffering from gambling
addictions. Moneys not appropriated for such purposes shall be trans-
ferred to the general fund for the support of government [during the
fiscal year in which they are received]. EACH PAYMENT TO THE ACCOUNT
AND ANY INTEREST ACCRUED SHALL BE DISTRIBUTED WITHIN THIRTY-FIVE DAYS
UPON RECEIPT TO SUCH MUNICIPALITIES AND THE GENERAL FUND.
S 3. This act shall take effect immediately; provided that the amend-
ments to subdivision 3 of section 99-h of the state finance law made by
section one of this act shall be subject to the expiration and reversion
of such section pursuant to section 2 of chapter 747 of the laws of
2006, as amended, when upon such date the provisions of section two of
this act shall take effect.
PART T
Section 1. Section 107 of the agriculture and markets law, as added by
chapter 220 of the laws of 1978, subdivision 1 as amended by chapter 473
of the laws of 1995, subdivision 3 as amended by chapter 619 of the laws
of 1987 and subdivision 5 as added by chapter 530 of the laws of 1997,
is amended to read as follows:
S 107. Application. 1. This article shall apply to all areas of the
state except any city having a population of over two million [except
that the provisions in this article relating to the animal population
control program shall be applicable to the entire state].
2. In the event that any dog owned by a resident of any city having a
population of over two million or by a non-resident of this state is
harbored within this state outside of any such city, THE LICENSING MUNI-
CIPALITY IN WHICH SUCH ANIMAL IS HARBORED MAY EXEMPT such dog [shall be
exempt] from the identification and licensing provisions of this article
for a period of thirty days provided such dog is licensed pursuant to
the provisions of law of the area of residence.
3. This article shall not apply to any dog confined to the premises of
any public or private hospital devoted solely to the treatment of sick
animals, or confined for the purposes of research to the premises of any
college or other educational or research institution.
4. This article shall not apply to any dog confined to the premises of
any person, firm or corporation engaged in the business of breeding or
raising dogs for profit and licensed as a class A dealer under the
Federal Laboratory Animal Welfare Act[, provided that such person, firm
or corporation has obtained a certificate of exemption. Application for
such certificate shall be made annually to the commissioner and shall be
accompanied by a fee of one hundred dollars].
5. Nothing contained in this article shall prevent a municipality from
adopting its own program for the control of dangerous dogs; provided,
A. 9709--B 14
however, that no such program shall be less stringent than this article,
and no such program shall regulate such dogs in a manner that is specif-
ic as to breed. Notwithstanding the provisions of subdivision one of
this section, this subdivision and [section one hundred twenty-one]
SECTIONS ONE HUNDRED TWENTY-THREE, ONE HUNDRED TWENTY-THREE-A AND ONE
HUNDRED TWENTY-THREE-B of this article shall apply to all municipalities
including cities of two million or more.
S 2. Subdivision 14 of section 108 of the agriculture and markets law
is REPEALED.
S 3. Subdivisions 11, 12 and 16 of section 108 of the agriculture and
markets law, as added by chapter 220 of the laws of 1978, are amended to
read as follows:
11. "Identification tag" means a tag ISSUED BY THE LICENSING MUNICI-
PALITY which sets forth an [official] identification number [as required
by the provisions], TOGETHER WITH THE NAME of [this article] THE MUNICI-
PALITY, THE STATE OF NEW YORK AND CONTACT INFORMATION FOR THE MUNICI-
PALITY.
12. "Identified dog" means any dog carrying an identification tag as
provided in section one hundred [twelve] ELEVEN of this article.
16. "Owner of record" means the person in whose name any dog was last
licensed pursuant to [either subdivision one or subdivision two of
section one hundred nine of] this article, except that if any license is
issued on application of a person under eighteen years of age, the owner
of record shall be deemed to be the parent or guardian of such person.
If it cannot be determined in whose name any dog was last licensed or if
the owner of record has filed a statement pursuant to the provisions of
section [one hundred thirteen] ONE HUNDRED TWELVE of this article, the
owner shall be deemed to be the owner of record of such dog, except that
if the owner is under eighteen years of age, the owner of record shall
be deemed to be the parent or guardian of such person.
S 4. Section 109 of the agriculture and markets law, as added by chap-
ter 220 of the laws of 1978, subdivision 1 as amended by chapter 645 of
the laws of 1988, paragraph (a) of subdivision 1 as amended by chapter
86 of the laws of 2006, paragraph (b) as amended by chapter 562 of the
laws of 1995, paragraphs (f) and (h) of subdivision 1 and paragraphs (f)
and (h) of subdivision 2 as amended by chapter 39 of the laws of 2002,
paragraph (c) of subdivision 2 as amended by chapter 180 of the laws of
2002, and subdivision 3 as amended by chapter 269 of the laws of 2005,
is amended to read as follows:
S 109. Licensing of dogs REQUIRED; rabies vaccination [requirement]
REQUIRED. 1. [Licensing of dogs.] (a) The owner of any dog reaching the
age of four months shall immediately make application for a dog license.
No license shall be required for any dog which is under the age of four
months and which is not at large. Except as otherwise provided in this
subdivision, a license shall be issued or renewed for a period of AT
LEAST one year, provided[, that at the option of the governing board of
the municipality, a license may be issued or renewed for a period of
one, two or three years, and provided further], that no license shall be
issued for a period expiring after the last day of the eleventh month
following the expiration date of the current rabies certificate for the
dog being licensed. All licenses shall expire on the last day of the
last month of the period for which they are issued. In the event an
applicant for a license presents, in lieu of a rabies certificate, a
statement certified by a licensed veterinarian, as provided in subdivi-
sion [three] TWO of this section, a license shall be issued or renewed
for a period of one year from the date of said statement. Any munici-
A. 9709--B 15
pality[, authorized to issue licenses pursuant to this article, which
has a population not exceeding two thousand five hundred] may[, upon the
approval of and pursuant to rules and regulations promulgated by the
commissioner,] establish a common renewal date for all such licenses. A
license issued by a municipality that has established a common renewal
date shall expire no later than the common renewal date prior to the
expiration date of the rabies certificate for the dog being licensed.
(b) Application for a dog license shall be made to the clerk of the
town or city or, in the counties of Nassau and Westchester, incorporated
village in which the dog is harbored or to the village clerk of those
villages in the county of Rockland with a population of fifteen thousand
or more which have elected to accept applications pursuant to the
provisions of this paragraph or to the village clerk of the village of
Newark in the county of Wayne upon the election of the village of Newark
pursuant to the provisions of this paragraph. Provided, however, that in
the counties of Nassau and Westchester, the board of trustees of any
incorporated village may by resolution provide that applications for
licenses shall no longer be made to the village clerk, but to the clerk
of the town in which the village is situated. [If such resolution is
approved by the town board of the town in which the village is situated,
such resolution shall become effective not less than six months after a
certified copy of such resolution of the village board and of the resol-
ution of approval of the town board shall have been filed with the
commissioner.] Provided further, however, that in the county of Rock-
land, the board of trustees of any incorporated village with a popu-
lation of fifteen thousand or more may by resolution provide that appli-
cation for licenses shall be made to the village clerk. Provided
further, however, that in the county of Wayne, the board of trustees of
the village of Newark may by resolution provide that application for
licenses shall be made to the village clerk. [If such resolution is
approved by the town or towns in which the village is located, it shall
become effective not less than six months after a certified copy of such
approved resolution shall have been filed with the commissioner.] The
governing body of any town or city or, in the counties of Nassau and
Westchester, incorporated village or in the county of Rockland, those
villages with a population of fifteen thousand or more which have so
elected to accept applications or in the county of Wayne, the village of
Newark if such village has so elected to accept applications may, on
resolution of such body, authorize that such application be made to one
or more named dog control officers of any such town, city or village.
The issuance of any license by any such officer shall be under the
control and supervision of the clerk. In the case of a seized dog being
redeemed or a dog being otherwise obtained from a county animal shelter
or pound, such application may be made to the county dog control officer
in charge of such facility [provided such officer has been authorized by
the commissioner to accept such applications]. In the case of a dog
being redeemed or a dog being adopted from a shelter or pound estab-
lished, maintained or contracted for, pursuant to section one hundred
[fifteen] FOURTEEN of this article, such application may be made to the
manager of such facility, provided such manager has been authorized by
the [commissioner] MUNICIPALITY IN WHICH THE PROSPECTIVE OWNER RESIDES
to accept such application. Such authorization shall be requested by the
governing body of the pound or shelter and the granting or denial of
such authorization shall be in the discretion of the [commissioner]
MUNICIPALITY IN WHICH THE PROSPECTIVE OWNER RESIDES.
A. 9709--B 16
(c) The application shall state the sex, actual or approximate age,
breed, color, and [official] MUNICIPAL identification number of the dog,
and other identification marks, if any, and the name, address, telephone
number, county and town, city or village of residence of the owner.
MUNICIPALITIES MAY ALSO REQUIRE ADDITIONAL INFORMATION ON SUCH APPLICA-
TION AS DEEMED APPROPRIATE.
(d) The application shall be accompanied by the license fee prescribed
by section one hundred ten of this article and a certificate of rabies
vaccination or statement in lieu thereof, as required by subdivision
[three] TWO of this section. In the case of a spayed or neutered dog,
every application shall also be accompanied by a certificate signed by a
licensed veterinarian or an affidavit signed by the owner, showing that
the dog has been spayed or neutered, provided such certificate or affi-
davit shall not be required if the same is already on file with the
clerk or authorized dog control officer. In lieu of the spay or neuter
certificate an owner may present a statement certified by a licensed
veterinarian stating that he has examined the dog and found that because
of old age or other reason, the life of the dog would be endangered by
spaying or neutering. In such case, the license fee for the dog shall be
the same as for a spayed or neutered dog as set forth in [paragraph (a)
of] subdivision one of section one hundred ten of this article.
(e) Upon validation by the clerk, authorized dog control officer or
authorized pound or shelter manager, the application shall become a
license for the dog described therein. [Once an application has been
validated, no refund therefor shall be made.]
(f) The clerk, authorized dog control officer or authorized pound or
shelter manager shall: (i) provide a copy of the license to the owner;
(ii) [send, by the fifth day of the month following the month of license
issuance, a copy] RETAIN A RECORD OF THE LICENSE THAT SHALL BE MADE
AVAILABLE UPON REQUEST TO THE COMMISSIONER FOR PURPOSES of [the license,
or a report of the information contained therein, to the commissioner;
and (iii) retain a record of the license in the manner prescribed by the
commissioner] RABIES AND OTHER ANIMAL DISEASE CONTROL. In addition, the
authorized pound or shelter manager shall send, within forty-eight hours
of validation, a copy of the license to the licensing municipality with-
in which the dog is to be harbored.
(g) No license shall be transferable. Upon the transfer of ownership
of any dog, the new owner shall immediately make application for a
license for such dog.
(h) Notwithstanding the provisions of any general, special or local
law, or any rule or regulation to the contrary, the clerk, authorized
dog control officer or authorized pound or shelter manager in munici-
palities having a population of less than one hundred thousand shall
[send to the commissioner a copy of the validated license, or a report
of the information therein, by the fifth day of the month following the
month of license issuance. In addition, the authorized dog control offi-
cer or authorized pound or shelter manager in such municipalities
shall,] within five business days after the license has been validated,
send a copy of the validated license to the licensing municipality in
which the dog is to be harbored.
2. [Purebred license. (a) The owner of one or more purebred dogs
registered by a recognized registry association may annually make an
application for a purebred license, in lieu of or in addition to the
individual licenses required by subdivision one of this section. A pure-
bred license shall be valid for a period of one year beginning with the
A. 9709--B 17
first day of the month following the date of issuance and shall be
renewable annually thereafter prior to the expiration date.
(b) Such application shall be made to the person specified in para-
graph (b) of subdivision one of this section.
(c) The application shall state the name, address and telephone number
of the owner; the county and city, town or village where such dogs are
harbored; the sex, breed, registry name and number of each purebred
registered dog over the age of four months which is harbored on the
premises; and the sex and breed of each purebred dog over the age of
four months which is harbored on the premises and which is eligible for
registration. The application shall also include a statement by the
owner that all purebred dogs over the age of four months which are
harbored on the premises have been listed.
(d) The application shall be accompanied by the license fee prescribed
by section one hundred ten of this article and a certificate of rabies
vaccination or statement in lieu thereof, as required by subdivision
three of this section.
(e) Upon receipt of the foregoing items, the clerk or authorized dog
control officer shall assign a license number, which shall be reserved
for the sole use of the named owner, and shall issue a purebred license.
Once a purebred license has been issued, no refund therefor shall be
made.
(f) The clerk, authorized dog control officer or authorized pound or
shelter manager shall: (i) provide a copy of the purebred license to the
owner; (ii) send, by the fifth day of the month following the month of
license issuance, a copy of the purebred license, or a report of the
information contained therein, to the commissioner; and (iii) retain a
record of the purebred license in the manner prescribed by the commis-
sioner. In addition, the authorized dog control officer or authorized
pound or shelter manager shall send, within forty-eight hours of vali-
dation, a copy of the license to the licensing municipality within which
the dog is to be harbored.
(g) No purebred license shall be transferable. Upon change of owner-
ship of any dog licensed under a purebred license, such dog shall become
subject to the licensing provisions of subdivision one of this section,
except when the new owner holds a valid purebred license.
(h) Notwithstanding the provisions of any general, special or local
law, or any rule or regulation to the contrary, the clerk, authorized
dog control officer or authorized pound or shelter manager in munici-
palities having a population of less than one hundred thousand shall
send to the commissioner a copy of the validated license, or a report of
the information contained therein, by the fifth day of the month follow-
ing the month of license issuance. In addition, the authorized dog
control officer or authorized pound or shelter manager in such munici-
palities shall, within five business days after the license has been
validated, send a copy of the validated license to the licensing munici-
pality within which the dog is to be harbored.
3. The clerk, authorized dog control officer or authorized pound or
shelter manager, at the time of issuing any license pursuant to this
article, shall require the applicant to present a statement certified by
a licensed veterinarian showing that the dog or dogs have been vaccinat-
ed to prevent rabies or, in lieu thereof, a statement certified by a
licensed veterinarian stating that because of old age or other reason,
the life of the dog or dogs would be endangered by the administration of
vaccine. The clerk, authorized dog control officer or authorized pound
or shelter manager shall make or cause to be made from such statement a
A. 9709--B 18
record of such information as may be required by the commissioner and
shall file such record with a copy of the license.]
THE CLERK, AUTHORIZED DOG CONTROL OFFICER OR AUTHORIZED POUND OR SHEL-
TER MANAGER, AT THE TIME OF ISSUING ANY LICENSE PURSUANT TO THIS ARTI-
CLE, SHALL REQUIRE THE APPLICANT TO PRESENT A STATEMENT CERTIFIED BY A
LICENSED VETERINARIAN SHOWING THAT THE DOG OR DOGS HAVE BEEN VACCINATED
TO PREVENT RABIES OR, IN LIEU THEREOF, A STATEMENT CERTIFIED BY A
LICENSED VETERINARIAN STATING THAT BECAUSE OF OLD AGE OR ANOTHER REASON,
THE LIFE OF THE DOG OR DOGS WOULD BE ENDANGERED BY THE ADMINISTRATION OF
VACCINE. THE CLERK, AUTHORIZED DOG CONTROL OFFICER OR AUTHORIZED POUND
OR SHELTER MANAGER SHALL MAKE OR CAUSE TO BE MADE FROM SUCH STATEMENT A
RECORD OF SUCH INFORMATION AND SHALL FILE SUCH RECORD WITH A COPY OF THE
LICENSE. SUCH RECORDS SHALL BE MADE AVAILABLE TO THE COMMISSIONER UPON
REQUEST FOR RABIES AND OTHER ANIMAL DISEASE CONTROL EFFORTS.
3. MUNICIPALITIES MAY PROVIDE FOR THE ESTABLISHMENT AND ISSUANCE OF
PUREBRED LICENSES.
S 5. Section 110 of the agriculture and markets law is REPEALED and a
new section 110 is added to read as follows:
S 110. LICENSE FEES. 1. THE LICENSE FEE FOR DOG LICENSES ISSUED
PURSUANT TO SUBDIVISION ONE OF SECTION ONE HUNDRED NINE OF THIS ARTICLE
SHALL BE DETERMINED BY THE MUNICIPALITY ISSUING THE LICENSE, PROVIDED
THAT THE TOTAL FEE FOR AN UNSPAYED OR UNNEUTERED DOG SHALL BE AT LEAST
FIVE DOLLARS MORE THAN THE TOTAL FEE FOR A SPAYED OR NEUTERED DOG. ALL
REVENUE DERIVED FROM SUCH FEES SHALL BE THE SOLE PROPERTY OF THE MUNICI-
PALITY SETTING THE SAME AND SHALL BE USED ONLY FOR CONTROLLING DOGS AND
ENFORCING THIS ARTICLE AND ANY RULE, REGULATION, OR LOCAL LAW OR ORDI-
NANCE ADOPTED PURSUANT THERETO, INCLUDING SUBSIDIZING THE SPAYING OR
NEUTERING OF DOGS AND ANY FACILITY AS AUTHORIZED UNDER SECTION ONE
HUNDRED SIXTEEN OF THIS ARTICLE USED THEREFOR, AND SUBSIDIZING PUBLIC
HUMANE EDUCATION PROGRAMS IN RESPONSIBLE DOG OWNERSHIP.
2. MUNICIPALITIES MAY EXEMPT FROM THEIR LICENSING FEES ANY GUIDE DOG,
HEARING DOG, SERVICE DOG, WAR DOG, WORKING SEARCH DOG, DETECTION DOG,
POLICE WORK DOG OR THERAPY DOG. EACH COPY OF ANY LICENSE FOR SUCH DOGS
SHALL BE CONSPICUOUSLY MARKED "GUIDE DOG", "HEARING DOG", "SERVICE DOG",
"WORKING SEARCH DOG", "WAR DOG", "DETECTION DOG", "POLICE WORK DOG", OR
"THERAPY DOG", AS MAY BE APPROPRIATE, BY THE CLERK OR AUTHORIZED DOG
CONTROL OFFICER.
3. IN ADDITION TO THE FEE CHARGED PURSUANT TO SUBDIVISIONS ONE AND TWO
OF THIS SECTION, ALL MUNICIPALITIES ISSUING DOG LICENSES PURSUANT TO
THIS ARTICLE ARE REQUIRED TO PROVIDE FOR THE ASSESSMENT OF ADDITIONAL
SURCHARGES FOR THE PURPOSES OF CARRYING OUT ANIMAL POPULATION CONTROL
EFFORTS AS PROVIDED IN SECTION ONE HUNDRED SEVENTEEN-A OF THIS ARTICLE.
4. IN ADDITION TO THE FEE CHARGED PURSUANT TO SUBDIVISIONS ONE AND TWO
OF THIS SECTION, ANY MUNICIPALITY ISSUING DOG LICENSES PURSUANT TO THIS
ARTICLE IS HEREBY AUTHORIZED TO PROVIDE FOR THE REASSESSMENT OF ADDI-
TIONAL SURCHARGES FOR THE PURPOSE OF:
(A) RECOVERING COSTS ASSOCIATED WITH ENUMERATION CONDUCTED PURSUANT TO
SUBDIVISION SIX OF SECTION ONE HUNDRED THIRTEEN OF THIS ARTICLE SHOULD A
DOG BE IDENTIFIED AS UNLICENSED DURING SUCH ENUMERATION. SUCH ADDITIONAL
FEE SHALL BE THE PROPERTY OF THE LICENSING MUNICIPALITY AND SHALL BE
USED TO PAY THE EXPENSES INCURRED BY THE MUNICIPALITY IN CONDUCTING THE
ENUMERATION. IN THE EVENT THE ADDITIONAL FEES COLLECTED EXCEED THE
EXPENSES INCURRED BY THE MUNICIPALITY IN CONDUCTING AN ENUMERATION IN
ANY YEAR, SUCH EXCESS FEES MAY BE USED BY THE MUNICIPALITY FOR ANY OTHER
LAWFUL PURPOSE; AND
A. 9709--B 19
(B) OFFSETTING COSTS ASSOCIATED WITH THE PROVISION AND REPLACEMENT OF
IDENTIFICATION TAGS PURSUANT TO SECTION ONE HUNDRED ELEVEN OF THIS ARTI-
CLE.
5. EACH COPY OF ANY LICENSE FOR ANY GUIDE DOG, HEARING DOG, SERVICE
DOG, WAR DOG, WORKING SEARCH DOG, DETECTION DOG, POLICE WORK DOG OR
THERAPY DOG SHALL BE CONSPICUOUSLY MARKED "GUIDE DOG", "HEARING DOG",
"SERVICE DOG", "WORKING SEARCH DOG", OR "THERAPY DOG".
6. ANY TOWN, CITY OR VILLAGE ASSESSING SURCHARGES PURSUANT TO SUBDIVI-
SION THREE OF THIS SECTION MAY ADOPT A RESOLUTION EXEMPTING FROM THE
PAYMENT OF SUCH SURCHARGES, DOGS OWNED BY ONE OR MORE PERSONS EACH OF
WHOM IS SIXTY-FIVE YEARS OF AGE OR OVER.
S 6. Section 111 of the agriculture and markets law is REPEALED and
section 112 of such law, as added by chapter 220 of the laws of 1978,
subdivisions 1 and 5 as amended by chapter 645 of the laws of 1988,
subdivision 7 as amended by chapter 494 of the laws of 2002 and subdivi-
sion 8 as added by chapter 169 of the laws of 1994, is renumbered
section 111 and amended to read as follows:
S 111. Identification of dogs. 1. Each dog licensed pursuant to subdi-
vision one of section one hundred nine of this article shall be
assigned, at the time the dog is first licensed, a [permanent official]
MUNICIPAL identification number. Such identification number shall be
carried by the dog on an identification tag which shall be affixed to a
collar on the dog at all times, provided that a [dog] MUNICIPALITY MAY
EXEMPT DOGS participating in a dog show [shall be exempt from this
requirement] during such participation.
2. [The official identification number shall constitute the official
identification of the dog to which it is assigned, regardless of changes
of ownership, and the number shall not be reassigned to any other dog
during the lifetime of the dog to which it is assigned.
3. At the time a dog is first licensed, one identification tag shall
be furnished to the owner at no charge. Any replacement tag shall be
obtained by the owner at his expense at a fee and in a manner prescribed
by the commissioner.
4.] No tag carrying an [official] identification number shall be
affixed to the collar of any dog other than the one to which that number
has been assigned.
[5. The holder of] 3. A MUNICIPALITY OFFERING a purebred license may
[procure] PROVIDE A LICENSEE, at his OR HER expense, any number of tags
imprinted with the same number as the purebred license. One such tag
shall be affixed to the collar of each dog harbored pursuant to the
purebred license at all times, provided that a dog participating in a
dog show shall be exempt from this requirement during such partic-
ipation. Such a tag shall be affixed only to the collar of a dog owned
by the holder of the purebred license and harbored on his premises.
[6. The shape, size and form of imprints on identification tags and
purebred license tags shall be prescribed by the commissioner, and any
tag bearing an imprint other than that prescribed shall not constitute
valid identification for the purposes of this article.
7. The applicant for] 4. A MUNICIPALITY OFFERING a license for any
guide dog, service dog, hearing dog or detection dog may [procure] ISSUE
a special tag for identifying such dog[. This special], PROVIDED THAT
SUCH tag shall be in addition to the identification tag required by
subdivision one of this section. [The commissioner shall prescribe the
shape, size, color, and form of imprint of the tag which shall be a
different color and shape than the official identification tag. Upon
A. 9709--B 20
application, the commissioner shall furnish such tags without payment of
a fee.
8. Fees received by the department pursuant to this section shall be
deposited in an account within the miscellaneous special revenue fund.]
S 7. Section 113 of the agriculture and markets law, as amended by
chapter 57 of the laws of 1981, is renumbered section 112 and amended to
read as follows:
S 112. Change of ownership; lost or stolen dog. 1. In the event of a
change in the ownership of any dog which has been [assigned an official
identification number] LICENSED PURSUANT TO THIS ARTICLE or in the
address of the owner of record of any such dog, the owner of record
shall, within ten days of such change, file with the [commissioner]
MUNICIPALITY IN WHICH THE DOG IS LICENSED a written report of such
change. Such owner of record shall be liable for any violation of this
article until such filing is made or until the dog is licensed in the
name of the new owner.
2. If any dog which has been [assigned an official identification
number] LICENSED PURSUANT TO THIS ARTICLE is lost or stolen, the owner
of record shall, within ten days of the discovery of such loss or theft
file with the [commissioner] MUNICIPALITY IN WHICH THE DOG IS LICENSED a
written report of such loss or theft. In the case of a loss or theft,
the owner of record of any such dog shall not be liable for any
violation of this article committed after such report is filed.
3. In the case of a dog's death, the owner of record shall so notify
the [commissioner] MUNICIPALITY IN WHICH THE DOG IS LICENSED either
prior to renewal of licensure or upon the time of such renewal as set
forth [in subdivision one of section one hundred nine of this chapter.
Until such time that the commissioner files such information with] BY
the [central registry of official identification numbers, said number
shall not be reassigned. Failure to notify] MUNICIPALITY IN WHICH THE
the [commissioner of the death of a dog as so required herein shall
constitute a violation and the owner of record shall be held liable] DOG
IS LICENSED.
S 8. Section 114 of the agriculture and markets law, as added by chap-
ter 220 of the laws of 1978, subdivisions 2 and 4 as amended by chapter
714 of the laws of 1980, subdivision 4 as separately amended and subdi-
vision 5 as amended by chapter 843 of the laws of 1980 and subdivision 7
as amended by chapter 180 of the laws of 2002, is renumbered section 113
and amended to read as follows:
S 113. Dog control officers. 1. Each town and city, and each village
in which licenses are issued, shall appoint, and any other village and
any county may appoint, one or more dog control officers for the purpose
of assisting, within the appointing municipality, with the control of
dogs and the enforcement of this article [and rules and regulations
promulgated pursuant thereto].
2. In lieu of or in addition to the appointment of a dog control offi-
cer or officers, any town or city, or any village in which licenses are
issued shall, and any other village and any county may, contract for dog
control officer services with any other municipality or with any incor-
porated humane society or similar incorporated dog protective associ-
ation, or shall appoint, jointly with one or more other municipalities,
one or more dog control officers having jurisdiction in each of the
cooperating municipalities.
3. [The commissioner may appoint as many state dog control officers as
he deems necessary to supervise the provisions of this article and any
rules and regulations adopted pursuant thereto.
A. 9709--B 21
4.] Every dog control officer shall have the power to issue an appear-
ance ticket pursuant to section 150.20 of the criminal procedure law, to
serve a summons and to serve and execute any other order or process in
the execution of the provisions of this article. In addition, any dog
control officer or any peace officer, when acting pursuant to his
special duties, or police officer, who is authorized by a municipality
to assist in the enforcement of this article may serve any process,
including an appearance ticket, a uniform appearance ticket and a
uniform appearance ticket and simplified information, related to any
proceeding, whether criminal or civil in nature undertaken in accord
with the provisions of this article or any local law or ordinance
promulgated pursuant thereto.
[5] 4. Every dog control officer, peace officer, when acting pursuant
to his special duties or police officer shall promptly make and maintain
a complete record of any seizure and subsequent disposition of any dog.
Such record shall include, but not be limited to, a description of the
dog, the date and hour of seizure, the official identification number of
such dog, if any, the location where seized, the reason for seizure, and
the owner's name and address, if known.
[6] 5. Every dog control officer shall file and maintain[, in the
manner prescribed by the commissioner,] such records [as may be required
by this article or rules and regulations promulgated pursuant thereto]
FOR NOT LESS THAN THREE YEARS FOLLOWING THE CREATION OF SUCH RECORD, and
shall make such reports AVAILABLE to the commissioner [as may be
required thereby] UPON REQUEST.
[7] 6. The governing body of any municipality in which licenses are
issued, may, either individually or in cooperation with other municipal
entities, require its dog control officer or animal control officer or
any other authorized agent to ascertain and list the names of all
persons in the municipality owning or harboring dogs, or in lieu there-
of, such municipality may contract to have the same done.
S 9. Sections 115 and 116 of the agriculture and markets law are
renumbered sections 114 and 115.
S 10. Section 117 of the agriculture and markets law is renumbered
section 116.
S 11. Section 117-a of the agriculture and markets law, as added by
chapter 473 of the laws of 1995, subdivisions 1, 2-a, 4 and 7 as amended
by chapter 205 of the laws of 2000, subdivision 2, the opening paragraph
of subdivision 2-a and paragraph (c) of subdivision 3 as amended by
chapter 534 of the laws of 2005, is amended to read as follows:
S 117-a. Animal population control program. 1. [The department shall]
ANY MUNICIPALITY MAY establish and implement an animal population
control program. The purpose of this program shall be to reduce the
population of unwanted and stray dogs and cats thereby reducing poten-
tial threats to public health and safety posed by the large population
of these animals. This program shall seek to accomplish its purpose by
encouraging residents of New York state who are the owners of dogs and
cats to have them spayed or neutered by providing low-cost spaying and
neutering services to such owners meeting the criteria enumerated in
subdivision two of this section. [The department shall use its best
efforts to encourage every adoption facility that qualifies for partic-
ipation in the low-cost spay-neuter program to do so to the maximum
possible extent.] ADDITIONALLY, SUCH LICENSED VETERINARIAN SHALL CERTIFY
THAT THE FEES CHARGED FOR LOW COST SPAY-NEUTER PROCEDURES ARE LESS THAN
THE LOWEST FEES CHARGED TO A PRIVATE CLIENT FOR SUCH PROCEDURES DURING
THE PREVIOUS YEAR.
A. 9709--B 22
2. In order to be eligible to participate in the animal population
control program, and therefore, be entitled to the low-cost spay/neuter
services provided for herein, an owner of a dog or cat shall be a resi-
dent of New York state and shall submit proof to [a veterinarian partic-
ipating in the program] THE ENTITY PROVIDING SUCH SERVICES as follows:
(a) in the form of an adoption agreement that their dog or cat was
adopted from a pound, shelter, duly incorporated society for the
prevention of cruelty to animals, humane society or dog or cat protec-
tive association; or
(b) proof of participation in at least one of the following:
(i) the food stamp program authorized pursuant to 7 U.S.C. 2011, et
seq.;
(ii) the supplemental security income for the aged, blind and disabled
program authorized pursuant to 42 U.S.C. 1381 et seq.;
(iii) the low income housing assistance program authorized pursuant to
42 U.S.C. 1437(f);
(iv) the Family Assistance program authorized pursuant to title ten of
article five of the social services law;
(v) the Safety Net Assistance program authorized pursuant to title
three of article five of the social services law;
(vi) the program of Medical Assistance authorized pursuant to title
eleven of article five of the social services law; [or
(vii) the food assistance program authorized pursuant to subdivision
ten of section ninety-five of the social services law;] and
(c) in any city, town, village, or county which has enacted a local
law or ordinance requiring spay/neuter of all dogs and cats prior to
adoption from shelters, pounds, duly incorporated societies for the
prevention of cruelty to animals, humane societies and duly incorporated
dog or cat protective associations within such city, town, village or
county, eligibility for participation in the animal population control
program shall be determined based solely on the provisions of paragraph
(b) of this subdivision.
2-a. Notwithstanding the provisions of paragraph (a) of subdivision
two of this section, no resident, otherwise qualified pursuant to such
paragraph, shall be entitled to participate in the low cost spay/neuter
program implemented by this section if the animal to be spayed or
neutered:
(a) was imported or caused to be imported from outside the state;
(b) was adopted from an otherwise qualifying pound, shelter, duly
incorporated society for the prevention of cruelty to animals, humane
society or dog or cat protective association which included the cost of
a spaying or neutering procedure in the cost of the adoption[;
(c) was spayed or neutered by an otherwise eligible veterinarian who
is employed by otherwise qualifying pounds, shelters, duly incorporated
societies for the prevention of cruelty to animals, humane societies or
dog or cat protective associations except to the extent that they shall
have performed spay/neuter procedures in excess of the number of such
procedures done upon animals adopted from such facility during nineteen
hundred ninety-four; or
(d) was adopted from any facility that as a condition of adoption,
required or encouraged the utilization of a specific veterinarian or
veterinary facility to perform such spay or neuter procedure. The estab-
lishment of such conditions by a facility shall constitute grounds for
the disqualification of such facility to participate in the program.
Nothing contained in this section shall be construed as precluding a
facility from informing a person adopting an animal of the identity of
A. 9709--B 23
those participating veterinarians in the vicinity of such facility in
addition to providing them with the voucher provided under this section
and any accompanying materials.
3. Any person submitting a dog or cat for spaying or neutering pursu-
ant to the provisions of this section shall:
(a) Furnish any licensed veterinarian of this state participating in
the program with proof that the owner meets the eligibility criteria
pursuant to the provisions of subdivisions two and two-a of this
section;
(b) Sign a consent form certifying that the person is the owner of the
dog or cat or is authorized by the owner to present the dog or cat for
the procedure;
(c) Pay a fee of thirty dollars to the veterinarian participating in
the program if such dog or cat was adopted from a duly incorporated
pound, shelter, duly incorporated society for the prevention of cruelty
to animals, humane society or duly incorporated dog or cat protective
association, or pay a fee of twenty dollars to the veterinarian partic-
ipating in the program if such person participates in any of the
programs enumerated in paragraph (b) of subdivision two of this section.
When eligibility to participate in the animal population control program
is based upon participation in a program enumerated in paragraph (b) of
subdivision two of this section, the department shall issue vouchers to
dog and cat owners upon provision of requisite proof required under
paragraph (b) of subdivision two of this section and in accordance with
any rules and regulations promulgated by the commissioner.
4. (a) Any licensed veterinarian of this state including, but not
limited to, licensed veterinarians working at municipal facilities which
provide dog and cat spaying and neutering services, other than with
respect to animals who would not be eligible pursuant to subdivision
two-a of this section may participate in the program upon filing with
the commissioner an application therefor, on forms prescribed by the
commissioner, which application shall certify, in addition to any other
information requested by the commissioner, an animal sterilization fee
schedule listing the fees charged for spaying and neutering in the
normal course of business and for the presurgical immunization of dogs
against distemper, hepatitis, leptospirosis, parvovirus and rabies, or
if deemed necessary for the presurgical immunization of cats against
feline panleukopenia, calici, pneumonitis, rhinotracheitis and rabies,
as the case may be on the first day of January two thousand one and the
first day of January each third year thereafter and the number of
spay/neuter procedures done by such facility during such period. Addi-
tionally, such licensed veterinarian shall certify that the fees charged
for procedures and vaccinations for which reimbursement is sought are
equal to or less than the lowest fees charged to a private client for
such procedures during the previous year. The veterinarian shall also
provide the name of the veterinarian, animal hospital, veterinary clinic
or other entity to which such reimbursement is to be made. These fees
may vary with the animal's weight, sex and species. The commissioner
may, however, disqualify from participation in the program any veterina-
rian whose fees are deemed unreasonable. Nothing contained in this
subdivision shall limit the right of the state education department to
undertake such actions as it may deem necessary to enforce the
provisions of article one hundred thirty-five of the education law.
(b) Licensed veterinarians of this state participating in the program
shall provide, if deemed necessary, for the presurgical immunization of
dogs against distemper, hepatitis, leptospirosis, parvovirus and rabies,
A. 9709--B 24
or if deemed necessary, for the presurgical immunization of cats against
feline panleukopenia, calici, pneumonitis, rhinotracheitis and rabies,
as the case may be. Charges for such services to the owner or person
submitting the dog or cat for spaying or neutering shall be no more than
fifty percent of the amount certified pursuant to paragraph (a) of this
subdivision. In addition to other reimbursement to which a licensed
veterinarian may be entitled under this section, a veterinarian may seek
reimbursement for expenses incurred as a direct result of extraordinary
circumstances which occurred during the course of a spay/neuter proce-
dure up to an amount approved by the department which shall not exceed
twenty percent of such veterinarian's fee for performing such procedure.
(c) The state comptroller upon the submission of vouchers by the
commissioner shall, to the extent that monies are available from the
animal population control fund, reimburse participating veterinarians
for eighty percent of the balance of the fee charged pursuant to para-
graph (a) of this subdivision, and after deducting that portion of the
fee already paid to the veterinarian by those persons participating in
the program pursuant to paragraph (c) of subdivision three of this
section, for each animal spaying and neutering procedure administered
after the submission to the commissioner of an animal sterilization
certificate, prescribed by the commissioner, signed by the veterinarian
and the owner of the animal or person authorized by the owner, for each
spaying and neutering procedure performed in conjunction with the animal
population control program. Notwithstanding the foregoing provisions,
the state comptroller shall not reimburse veterinarians for any voucher
which shall have been issued by the commissioner more than one year
prior to the date upon which it is submitted to the commissioner unless
the commissioner shall indicate good cause for the payment of such
voucher. If the moneys are not immediately available from such fund, the
commissioner shall give priority to approving reimbursement to partic-
ipating veterinarians from counties from which the amount of fees depos-
ited in such fund, after taking into consideration the administrative
expenses to which the department is entitled, exceeds the money paid out
to participating veterinarians in such counties. The participating
veterinarian shall submit to the commissioner within sixty days of each
animal spaying and neutering procedure an animal sterilization certif-
icate for the purposes of reimbursement. Notwithstanding the provisions
of this paragraph, the commissioner shall not approve reimbursement to
municipal facilities, not-for-profit organizations, pounds, shelters,
duly incorporated societies for the prevention of cruelty to animals,
humane societies or dog or cat protective associations except to the
extent that they shall have performed spay/neuter procedures in excess
of the number of such procedures done by it during nineteen hundred
ninety-four.
5. The commissioner may solicit and accept funds from any public or
private source to help carry out the provisions of this section.
6. All fees collected pursuant to this section and paragraph c of
subdivision four of section one hundred ten of this article shall be
deposited in a miscellaneous special revenue fund known as the animal
population control fund. An amount not to exceed fifteen percent of the
balance of the fund at the beginning of each fiscal year, following
appropriation by the legislature and allocation by the director of the
budget, shall be available for the purposes of implementation and
promotion of the program. Such promotion shall include educating the
public about the benefits associated with spaying and neutering. The
remaining monies shall be used exclusively for the reimbursement to
A. 9709--B 25
participating veterinarians pursuant to paragraph (b) of subdivision
four of this section.
7. The commissioner shall, in consultation with such professional
organizations as the commissioner deems appropriate, develop a list of
veterinarians approved by the commissioner to participate in the low-
cost spay/neuter program who provide care, including, but not limited
to, spay/neuter procedures, to dogs and cats. Any otherwise qualifying
pound, shelter, duly incorporated society for the prevention of cruelty
to animals, humane society, or dog or cat protective association shall
distribute such list of approved veterinarians to persons adopting a dog
or a cat as a precondition to reimbursement under the low-cost
spay/neuter program established in this section. In addition to such
distribution, such pound, shelter, duly incorporated society for the
prevention of cruelty to animals, humane society or dog or cat protec-
tive association shall not discriminate against any veterinarian on such
list or directly or indirectly require, direct or recommend the utiliza-
tion or non-utilization of any such veterinarian for any procedure for
which reimbursement is to be sought under this program. Such discrimi-
nation may, in the discretion of the commissioner, constitute grounds
for the revocation of the right of such facility to participate in the
program].
3. ANY MUNICIPALITY CREATING ITS OWN PROGRAM MAY SUBMIT A PLAN FOR
SUCH PROGRAM FOR APPROVAL AND TO RECEIVE FUNDING FROM THE ANIMAL POPU-
LATION CONTROL FUND PURSUANT TO SECTION NINETY-SEVEN-XX OF THE STATE
FINANCE LAW. SUCH PLAN SHALL INCLUDE BUT NOT BE LIMITED TO THE CRITERIA
DESCRIBED THEREIN.
4. ANY MUNICIPALITY CREATING ITS OWN PROGRAM MAY RETAIN THE FUNDS
COLLECTED PURSUANT TO SUBDIVISION THREE OF SECTION ONE HUNDRED TEN OF
THIS ARTICLE FOR THE SOLE PURPOSE OF ADMINISTERING SUCH PROGRAM.
5. ANY MUNICIPALITY THAT DOES NOT CREATE ITS OWN PROGRAM MUST SUBMIT
THE FUNDS COLLECTED PURSUANT TO SUBDIVISION THREE OF SECTION ONE HUNDRED
TEN OF THIS ARTICLE TO THE ANIMAL POPULATION CONTROL FUND PURSUANT TO
SECTION NINETY-SEVEN-XX OF THE STATE FINANCE LAW.
6. IF A MUNICIPALITY DOES NOT CREATE ITS OWN ANIMAL POPULATION CONTROL
PROGRAM, ENTITIES DESCRIBED HEREIN WITHIN SUCH MUNICIPALITY MAY APPLY
FOR FUNDS FROM THE ANIMAL POPULATION CONTROL FUND PURSUANT TO SECTION
NINETY-SEVEN-XX OF THE STATE FINANCE LAW FOR THE SOLE PURPOSE OF PROVID-
ING LOW COST SPAY AND NEUTER SERVICES IN SUCH MUNICIPALITY. SUCH ENTI-
TIES SHALL INCLUDE POUNDS, DULY INCORPORATED SOCIETIES FOR THE
PREVENTION OF CRUELTY TO ANIMALS, DULY INCORPORATED HUMANE SOCIETIES,
AND DULY INCORPORATED ANIMAL PROTECTIVE ASSOCIATIONS.
7. ANY ENTITY WHICH HAS RECEIVED FUNDS FROM THE ANIMAL POPULATION
CONTROL FUND MUST SUBMIT A REPORT WITHIN ONE YEAR OF RECEIVING FUNDS
PURSUANT TO SUBDIVISION THREE OR FOUR OF THIS SECTION TO THE ADMINISTRA-
TIVE ENTITY DESCRIBED IN SECTION NINETY-SEVEN-XX OF THE STATE FINANCE
LAW. SUCH REPORT SHALL INCLUDE THE INFORMATION DESCRIBED IN SUBDIVISION
FOUR OF SECTION NINETY-SEVEN-XX OF THE STATE FINANCE LAW.
S 12. Section 118 of the agriculture and markets law is renumbered
section 117 and subdivisions 1, 4, 5 and 7, subdivision 1 as amended by
chapter 843 of the laws of 1980, paragraphs (c) and (d) of subdivision 1
as added by chapter 530 of the laws of 1997 and the closing paragraph of
subdivision 1 as amended by chapter 392 of the laws of 2004, subdivi-
sions 4 and 5 as added by chapter 220 of the laws of 1978, and subdivi-
sion 7 as amended by chapter 645 of the laws of 1988, are amended to
read as follows:
A. 9709--B 26
1. Any dog control officer or peace officer, acting pursuant to his
special duties, or police officer in the employ of or under contract to
a municipality shall seize:
(a) any dog which is not identified and which is not on the owner's
premises; [and]
(b) any dog which is not licensed, whether on or off the owner's prem-
ises[.];
(c) any licensed dog which is not in the control of its owner or
custodian or not on the premises of the dog's owner or custodian, if
there is probable cause to believe the dog is [a] dangerous [dog.]; AND
(d) any dog which poses an immediate threat to the public safety.
Promptly upon seizure the dog control officer shall commence a
proceeding as provided for in subdivision two of section [one hundred
twenty-one] ONE HUNDRED TWENTY-THREE of this article.
4. Each dog which is not identified, whether or not licensed, shall be
held for a period of five days from the day seized during which period
the dog may be redeemed by its owner, provided that such owner produces
proof that the dog has been licensed and has been identified pursuant to
the provisions of this article and further provided that the owner pays
the following impoundment fees:
(a) NOT LESS THAN ten dollars for the first impoundment of any dog
owned by that person;
(b) NOT LESS THAN twenty dollars for the first twenty-four hours or
part thereof and three dollars for each additional twenty-four hours or
part thereof for the second impoundment, within one year of the first
impoundment, of any dog owned by that person; or
(c) NOT LESS THAN thirty dollars for the first twenty-four hours or
part thereof and three dollars for each additional twenty-four hours or
part thereof for the third and subsequent impoundments, within one year
of the first impoundment, of any dog owned by that person.
The impoundment fees set forth in paragraphs (a), (b) and (c) of this
subdivision notwithstanding, any municipality may set by local law or
ordinance such fees in any amount.
5. All impoundment fees shall be the property of the municipality to
which they are paid and shall be used only for controlling dogs and
enforcing this article and any rule, regulation, or local law or ordi-
nance adopted pursuant thereto, including subsidizing the spaying or
neutering of dogs and any facility as authorized under section [one
hundred seventeen] ONE HUNDRED SIXTEEN of this article used therefor,
and subsidizing public humane education programs in responsible dog
ownership.
7. An owner shall forfeit title to any dog unredeemed at the expira-
tion of the appropriate redemption period, and the dog shall then be
made available for adoption or euthanized subject to the provisions of
subdivisions two-a, two-b, two-c, two-d, and two-e of section three
hundred seventy-four of this chapter. [Provided that no dog in the
custody of a pound or shelter shall be delivered for adoption unless it
has been licensed pursuant to the provisions of this article prior to
its release from the custody of a pound or shelter.] Any municipality
may by local law or ordinance establish additional conditions for
adoption including the requirement that adopted dogs shall be spayed or
neutered before or after release from custody upon such terms and condi-
tions as the municipality may establish.
S 13. Subdivision 7 of section 117 of the agriculture and markets law,
as amended by chapter 479 of the laws of 2009, such section as renum-
bered by section twelve of this act, is amended to read as follows:
A. 9709--B 27
7. An owner shall forfeit title to any dog unredeemed at the expira-
tion of the appropriate redemption period, and the dog shall then be
made available for adoption or euthanized subject to subdivisions six,
eight and nine of this section and subject to the provisions of section
three hundred seventy-four of this chapter. [Provided that no dog in the
custody of a pound or shelter shall be delivered for adoption unless it
has been licensed pursuant to the provisions of this article prior to
its release from the custody of a pound or shelter.] Any municipality
may by local law or ordinance establish additional conditions for
adoption including the requirement that adopted dogs shall be spayed or
neutered before or after release from custody upon such terms and condi-
tions as the municipality may establish.
S 14. Section 119 of the agriculture and markets law, as added by
chapter 220 of the laws of 1978, paragraph (c) of subdivision 1 as added
by chapter 404 of the laws of 1986, paragraph (g) of subdivision 1 as
amended and paragraph (h) of subdivision 1 as added by chapter 263 of
the laws of 2000, subdivision 2 as amended by chapter 221 of the laws of
1978, subdivision 3 as added and subdivision 4 as renumbered by chapter
714 of the laws of 1980, subdivisions 5 and 6 as added by chapter 473 of
the laws of 1995, paragraphs (a) and (b) of subdivision 5 as amended by
chapter 534 of the laws of 2005 and subdivision 7 as added by chapter
494 of the laws of 2002, is renumbered section 118 and amended to read
as follows:
S 118. Violations. 1. It shall be a violation, punishable as provided
in subdivision two of this section, for:
(a) any owner to fail to license any dog;
(b) any owner to fail to have any dog identified as required by this
article;
(c) any person to knowingly affix to any dog any false or improper
identification tag, special identification tag for identifying guide,
service or hearing dogs or purebred license tag;
[(f)] (D) any owner or custodian of any dog to fail to confine,
restrain or present such dog for any lawful purpose pursuant to this
article;
[(g)] (E) any person to furnish any false or misleading information on
any form required to be filed with any municipality [or the commission-
er] pursuant to the provisions of this article or rules and regulations
promulgated pursuant thereto;
[(h)] (F) the owner or custodian of any dog to fail to exercise due
diligence in handling his or her dog if the handling results in harm to
another dog that is a guide, hearing or service dog.
2. It shall be the duty of the dog control officer of any municipality
to bring an action against any person who has committed within such
municipality any violation set forth in subdivision one of this section.
Any municipality may elect either to prosecute such action as a
violation under the penal law or to commence an action to recover a
civil penalty.
A violation of this section shall be punishable, subject to such an
election, either:
(a) where prosecuted pursuant to the penal law, by a fine of not
[more] LESS than twenty-five dollars, except that (i) where the person
was found to have violated this section or former article seven of this
chapter within the preceding five years, the fine may be not [more] LESS
than fifty dollars, and (ii) where the person was found to have commit-
ted two or more such violations within the preceding five years, it
A. 9709--B 28
shall be punishable by a fine of not [more] LESS than one hundred
dollars or imprisonment for not more than fifteen days, or both; or
(b) where prosecuted as an action to recover a civil penalty, by a
civil penalty of not [more] LESS than twenty-five dollars, except that
(i) when the person was found to have violated this section or [former]
THIS article [seven of this chapter] within the preceding five years,
the civil penalty may be not [more] LESS than fifty dollars, and (ii)
where the person was found to have committed two or more such violations
within the preceding five years, the civil penalty may be not [more]
LESS than one hundred dollars.
3. A defendant charged with a violation of any provision of this arti-
cle or any local law or ordinance promulgated pursuant thereto may
[himself] plead guilty to the charge in open court. He OR SHE may also
submit to the magistrate having jurisdiction, in person, by duly author-
ized agent, or by registered mail, a statement (a) that he OR SHE waives
arraignment in open court and the aid of counsel, (b) that he OR SHE
pleads guilty to the offense charged, (c) that he OR SHE elects and
requests that the charge be disposed of and the fine or penalty fixed by
the court, (d) of any explanation that he OR SHE desires to make
concerning the offense charged, and (e) that he OR SHE makes all state-
ments under penalty of perjury. Thereupon the magistrate may proceed as
though the defendant had been convicted upon a plea of guilty in open
court, provided however, that any imposition of fine or penalty here-
under shall be deemed tentative until such fine or penalty shall have
been paid and discharged in full. If upon receipt of the aforesaid
statement the magistrate shall deny the same, he OR SHE shall thereupon
notify the defendant of this fact, and that he OR SHE is required to
appear before the said magistrate at a stated time and place to answer
the charge which shall thereafter be disposed of pursuant to the appli-
cable provisions of law.
4. [Any person who shall violate any other provision of this article
or rules and regulations promulgated pursuant thereto shall be subject
to the penalty provisions of sections thirty-nine and forty of this
chapter, but not section forty-one of this chapter. Such violations
shall include, but not be limited to, the following:
(a) failure of any owner of record to notify the commissioner of any
change of ownership or address as required by section one hundred thir-
teen of this article;
(b) failure of any person to perform any other duty or carry out any
other requirement imposed pursuant to the provisions of this article or
the rules and regulations promulgated pursuant thereto. Each day that
failure continues shall constitute a separate violation.
5. For the purpose of participating in the "animal population control
program" established under section one hundred seventeen-a of this arti-
cle, it shall be a violation punishable as provided in subdivision six
of this section, for:
(a) any person to falsify proof of adoption from a pound, shelter,
duly incorporated society for the prevention of cruelty to animals,
humane society or dog or cat protective association or to falsify proof
of participation in any of the programs enumerated in paragraph (b) of
subdivision two of section one hundred seventeen-a of this article;
(b) any person to furnish any licensed veterinarian of this state with
inaccurate information concerning his or her residency or the ownership
of an animal or such person's authority to submit an animal for a spay-
ing or neutering procedure pursuant to section one hundred seventeen-a
of this article or to knowingly furnish the department or any licensed
A. 9709--B 29
veterinarian of this state with inaccurate information concerning his or
her participation in any of the programs enumerated in paragraph (b) of
subdivision two of section one hundred seventeen-a of this article;
(c) any licensed veterinarian to furnish the commissioner with false
information concerning an animal sterilization fee schedule or an animal
sterilization certificate submitted pursuant to subdivision four of
section one hundred seventeen-a of this article.
6. Any person or veterinarian who violates the provisions of subdivi-
sion five of this section or any rule or regulation promulgated by the
commissioner to carry out the provisions of section one hundred seven-
teen-a of this article shall be subject to a fine of not more than two
hundred fifty dollars where prosecuted pursuant to the penal law, or
where prosecuted as an action to recover a civil penalty of not more
than two hundred fifty dollars.
7.] Any person who intentionally refuses, withholds, or denies a
person, because [they are] HE OR SHE IS accompanied by an on-duty police
work dog, working search, war, or detection dog as defined in section
one hundred eight of this article, any accommodations, facilities, or
privileges thereof shall be subject to a civil penalty of up to two
hundred dollars for the first violation and up to four hundred dollars
for each subsequent violation.
S 15. Section 120 of the agriculture and markets law, as added by
chapter 220 of the laws of 1978, is renumbered section 119 and amended
to read as follows:
S 119. Disposition of fines. Notwithstanding any other provision of
law, all moneys collected as fines or penalties by any municipality as a
result of any prosecution for violations of the provisions of this arti-
cle or any local law or ordinance and all bail forfeitures by persons
charged with such violations shall be the property of the municipality
and shall be paid to the financial officer of such municipality. Such
moneys shall be used only for controlling dogs and enforcing this arti-
cle and any rule, regulation, or local law or ordinance adopted pursuant
thereto, including subsidizing the spaying or neutering of dogs and any
facility as authorized under section [one hundred seventeen] ONE HUNDRED
SIXTEEN of this article used therefor, and subsidizing public humane
education programs in responsible dog ownership.
S 16. Section 122 of the agriculture and markets law is renumbered
section 120.
S 17. Section 123 of the agriculture and markets law is renumbered
section 121.
S 18. Section 121 of the agriculture and markets law is renumbered
section 123, and subdivisions 1 and 2 as amended by chapter 392 of the
laws of 2004, are amended to read as follows:
1. Any person who witnesses an attack or threatened attack, or in the
case of a minor, an adult acting on behalf of such minor, may make a
complaint of an attack or threatened attack upon a person, companion
animal AS DEFINED IN SECTION THREE HUNDRED FIFTY OF THIS CHAPTER, farm
animal as defined in [subdivision twenty-four of] SUCH section [one
hundred eight of this article] THREE HUNDRED FIFTY, or a domestic animal
as defined in subdivision seven of section one hundred eight of this
article to a dog control officer or police officer of the appropriate
municipality. Such officer shall immediately inform the complainant of
his OR HER right to commence a proceeding as provided in subdivision two
of this section and, if there is reason to believe the dog is a danger-
ous dog, the officer shall forthwith commence such proceeding himself OR
HERSELF.
A. 9709--B 30
2. Any person who witnesses an attack or threatened attack, or in the
case of a minor, an adult acting on behalf of such minor, may, and any
dog control officer or police officer as provided in subdivision one of
this section shall, make a complaint under oath or affirmation to any
municipal judge or justice of such attack or threatened attack. There-
upon, the judge or justice shall immediately determine if there is prob-
able cause to believe the dog is a dangerous dog and, if so, shall issue
an order to any dog control officer, peace officer, acting pursuant to
his OR HER special duties, or police officer directing such officer to
immediately seize such dog and hold the same pending judicial determi-
nation as provided in this section. Whether or not the judge or justice
finds there is probable cause for such seizure, he OR SHE shall, within
five days and upon written notice of not less than two days to the owner
of the dog, hold a hearing on the complaint. The petitioner shall have
the burden at such hearing to prove the dog is a "dangerous dog" by
clear and convincing evidence. If satisfied that the dog is a dangerous
dog, the judge or justice shall then order neutering or spaying of the
dog, microchipping of the dog and one or more of the following as deemed
appropriate under the circumstances and as deemed necessary for the
protection of the public:
(a) evaluation of the dog by a certified applied behaviorist, a board
certified veterinary behaviorist, or another recognized expert in the
field and completion of training or other treatment as deemed appropri-
ate by such expert. The owner of the dog shall be responsible for all
costs associated with evaluations and training ordered under this
section;
(b) secure, humane confinement of the dog for a period of time and in
a manner deemed appropriate by the court but in all instances in a
manner designed to: (1) prevent escape of the dog, (2) protect the
public from unauthorized contact with the dog, and (3) to protect the
dog from the elements pursuant to section three hundred fifty-three-b of
this chapter. Such confinement shall not include lengthy periods of
tying or chaining;
(c) restraint of the dog on a leash by an adult of at least twenty-one
years of age whenever the dog is on public premises;
(d) muzzling the dog whenever it is on public premises in a manner
that will prevent it from biting any person or animal, but that shall
not injure the dog or interfere with its vision or respiration; or
(e) maintenance of a liability insurance policy in an amount deter-
mined by the court, but in no event in excess of one hundred thousand
dollars for personal injury or death resulting from an attack by such
dangerous dog.
S 19. Section 121-a of the agriculture and markets law is renumbered
section 123-a.
S 20. Section 121-b of the agriculture and markets law is renumbered
section 123-b.
S 21. Section 124 of the agriculture and markets law is renumbered
section 122 and subdivision 1 of such section, as amended by chapter 714
of the laws of 1980, is amended to read as follows:
1. Any municipality may enact a local law or ordinance upon the keep-
ing or running at large of dogs and the seizure thereof, provided no
municipality shall vary, modify, enlarge or restrict the provisions of
this article relating to [identification, licensing,] rabies vaccination
and euthanization.
A. 9709--B 31
S 22. Section 126 of the agriculture and markets law, as added by
chapter 220 of the laws of 1978, is renumbered section 124 and amended
to read as follows:
S 124. [Duties and powers] POWERS of commissioner. [1. The commission-
er shall:
(a) supervise the enforcement of this article;
(b) maintain a central registry of official identification numbers;
(c) prescribe the form of all notices, reports and other papers and
documents required by this article and the rules and regulations promul-
gated pursuant thereto; and
(d) prescribe the manner in which all reports required by this article
and the rules or regulations promulgated thereto are to be filed and
maintained, and all licenses issued or validated; and
(e) furnish all forms and other supplies, including identification
tags and preprinted license applications, necessary for the implementa-
tion and enforcement of this article and the rules and regulations
promulgated pursuant thereto; and
(f) supply, for identification purposes, names and addresses of owners
of record of identified dogs immediately upon request; and
(g) furnish such information and assistance to dog control officers as
he deems necessary for enforcement purposes.
2.] The commissioner is hereby authorized to:
(a) promulgate, after public hearing, such rules and regulations as
are necessary to supplement and give full effect to the provisions of
SECTIONS ONE HUNDRED THIRTEEN, ONE HUNDRED FOURTEEN AND ONE HUNDRED
SEVENTEEN OF this article; and
(b) exercise all other powers and functions as are necessary to carry
out the duties and purposes set forth in SECTIONS ONE HUNDRED THIRTEEN,
ONE HUNDRED FOURTEEN AND ONE HUNDRED SEVENTEEN OF this article.
S 23. Subdivision 5 of section 373 of the agriculture and markets law,
as amended by chapter 674 of the laws of 1980, is amended to read as
follows:
5. Nothing herein contained shall restrict the rights and powers
derived from section one hundred [eighteen] SEVENTEEN of this chapter
relating to seizure of unlicensed dogs and the disposition to be made of
animals so seized or taken, nor those derived from any other general or
special law relating to the seizure or other taking of dogs and other
animals by a society for the prevention of cruelty to animals.
S 24. Subparagraph 2 of paragraph b of subdivision 6 of section 373 of
the agriculture and markets law, as amended by chapter 256 of the laws
of 1997, is amended to read as follows:
(2) If the court orders the posting of a security, the security shall
be posted with the clerk of the court within five business days of the
hearing provided for in subparagraph one of this paragraph. The court
may order the immediate forfeiture of the seized animal to the impound-
ing organization if the person ordered to post the security fails to do
so. Any animal forfeited shall be made available for adoption or euthan-
ized subject to subdivision seven-a of section [one hundred eighteen]
ONE HUNDRED SEVENTEEN of this chapter or section three hundred seventy-
four of this article.
S 25. Paragraph (d) of subdivision 2 of section 209-cc of the general
municipal law, as amended by chapter 392 of the laws of 2004, is amended
to read as follows:
(d) the term "dangerous dog" means a dog found dangerous pursuant to
the provisions of section [one hundred twenty-one] ONE HUNDRED
TWENTY-THREE of the agriculture and markets law.
A. 9709--B 32
S 26. Section 97-xx of the state finance law, as added by chapter 473
of the laws of 1995, is amended to read as follows:
S 97-xx. Animal population control fund. 1. There is hereby estab-
lished in the joint custody of the state comptroller and the commission-
er of taxation and finance a fund to be known as the "animal population
control fund".
2. Such fund shall consist of all moneys collected pursuant to [para-
graph c of] subdivision [four] THREE of section one hundred ten of the
agriculture and markets law, [subdivision five of] section one hundred
seventeen-a of the agriculture and markets law, and section three-a of
chapter one hundred fifteen of the laws of eighteen hundred ninety-four,
and all other moneys credited or transferred thereto from any other fund
or source pursuant to law.
3. Moneys of the fund shall be expended for the purposes of carrying
out the provisions of section one hundred seventeen-a of the agriculture
and markets law. Moneys shall be paid out of the fund on the audit and
warrant of the state comptroller [on vouchers approved by the commis-
sioner of agriculture and markets] PURSUANT TO SUBDIVISION FOUR OF THIS
SECTION. Any interest received by the comptroller on moneys on deposit
in the animal population control fund shall be retained in and become
part of such fund.
4. THE COMMISSIONER OF AGRICULTURE AND MARKETS SHALL SUBMIT A REQUEST
FOR PROPOSALS FROM NOT-FOR-PROFIT ENTITIES AS DESCRIBED HEREIN FOR THE
PURPOSE OF ADMINISTERING THE STATE ANIMAL POPULATION CONTROL FUND. SUCH
ENTITIES SHALL CONSIST OF POUNDS, DULY INCORPORATED SOCIETIES FOR THE
PREVENTION OF CRUELTY TO ANIMALS, DULY INCORPORATED HUMANE SOCIETIES,
AND DULY INCORPORATED ANIMAL PROTECTIVE ASSOCIATIONS. IN AWARDING THE
CONTRACT, THE COMMISSIONER OF AGRICULTURE AND MARKETS MUST CONSIDER THE
FOLLOWING CRITERIA WITH RESPECT TO EACH APPLICANT: ITS EXPERIENCE IN
PROVIDING LOW COST SPAY-NEUTER SERVICES, THE SCOPE AND DURATION OF
SERVICES IT PROVIDES, ITS FINANCIAL HISTORY, AND ITS DEMONSTRATED ABILI-
TY TO WORK WITH OUTSIDE ORGANIZATIONS AND COMMUNITY GROUPS. THE COMMIS-
SIONER OF AGRICULTURE AND MARKETS MAY ESTABLISH SUCH OTHER CRITERIA AS
SUCH COMMISSIONER MAY DETERMINE IN CONSULTATION WITH VETERINARIANS,
REPRESENTATIVES FROM ANIMAL ADVOCACY AND WELFARE ORGANIZATIONS, AND
MUNICIPALITIES. THE SELECTION OF THE ADMINISTRATIVE ENTITY OVERSEEING
THE STATE ANIMAL POPULATION CONTROL FUND MUST BE COMPLETED NO LATER THAN
DECEMBER THIRTY-FIRST, TWO THOUSAND TEN.
(A) SUCH ADMINISTRATIVE ENTITY SHALL REVIEW PLANS SUBMITTED FOR
APPROVAL AND FUNDING AS DESCRIBED IN SECTION ONE HUNDRED SEVENTEEN-A OF
THE AGRICULTURE AND MARKETS LAW. IN REVIEWING THE PLANS, THE ENTITY MUST
CONSIDER THE FOLLOWING CRITERIA: THE METHOD OF PROVIDING LOW COST SPAY-
NEUTER SERVICES, THE SIZE OF THE POPULATION SERVED, THE PLAN FOR
OUTREACH AND PROMOTION OF SUCH SERVICES, AND EXPERIENCE IN PROVIDING LOW
COST SPAY-NEUTER SERVICES.
(B) UPON APPROVING A PLAN SUBMITTED PURSUANT TO SECTION ONE HUNDRED
SEVENTEEN-A OF THE AGRICULTURE AND MARKETS LAW, THE ADMINISTRATIVE ENTI-
TY SHALL AWARD A ONE-TIME GRANT FOR THE IMPLEMENTATION OF SUCH PLAN.
(C) SUCH ADMINISTRATIVE ENTITY SHALL REVIEW PLANS SUBMITTED FOR
APPROVAL AND FUNDING AS DESCRIBED IN SECTION ONE HUNDRED SEVENTEEN-A OF
THE AGRICULTURE AND MARKETS LAW. IN REVIEWING THE PLANS, THE ENTITY MUST
CONSIDER THE FOLLOWING CRITERIA: THE METHOD OF PROVIDING LOW COST SPAY-
NEUTER SERVICES, THE SIZE OF THE POPULATION SERVED, THE PLAN FOR
OUTREACH AND PROMOTION OF SUCH SERVICES, AND EXPERIENCE IN PROVIDING LOW
COST SPAY-NEUTER SERVICES.
A. 9709--B 33
(D) UPON APPROVING A PLAN SUBMITTED PURSUANT TO SECTION ONE HUNDRED
SEVENTEEN-A OF THE AGRICULTURE AND MARKETS LAW, THE ADMINISTRATIVE ENTI-
TY SHALL DISBURSE FUNDS ON A QUARTERLY BASIS FOR THE IMPLEMENTATION OF
SUCH PLAN.
(E) SUCH ENTITY SHALL SUBMIT AN ANNUAL REPORT TO THE GOVERNOR, THE
TEMPORARY PRESIDENT OF THE SENATE, THE SPEAKER OF THE ASSEMBLY, THE
MINORITY LEADER OF THE SENATE, THE MINORITY LEADER OF THE ASSEMBLY, AND
THE COMMISSIONER OF AGRICULTURE AND MARKETS. SUCH REPORT SHALL INCLUDE
BUT NOT BE LIMITED TO THE BALANCE OF THE FUND, ANNUAL EXPENDITURE, ANNU-
AL INCOME, THE NUMBER OF ENTITIES RECEIVING FUNDING AND THE AMOUNT
RECEIVED BY EACH ENTITY, THE TOTAL NUMBER OF SPAY-NEUTER SERVICES
PROVIDED BY EACH ENTITY, THE METHOD OF PROVIDING SUCH SERVICES BY EACH
ENTITY, AND RECOMMENDATIONS REGARDING THE IMPLEMENTATION AND FINANCIAL
VIABILITY OF THE FUND.
(F) THE ADMINISTRATIVE ENTITY SHALL ALSO BE REQUIRED TO PERFORM SUCH
OTHER TASKS AS MAY BE REASONABLE AND NECESSARY FOR THE ADMINISTRATION OF
SUCH FUND.
S 27. Subdivision 1 of section 107 of the agriculture and markets law,
as amended by chapter 473 of the laws of 1995, is amended to read as
follows:
1. This article shall apply to all areas of the state except any city
having a population of over two million [except that the provisions in
this article relating to the animal population control program shall be
applicable to the entire state].
S 28. The administrative code of the city of New York is amended by
adding a new section 17-811 to read as follows:
S 17-811 ANIMAL POPULATION CONTROL PROGRAM. THE DEPARTMENT OF HEALTH
AND MENTAL HYGIENE SHALL PROMULGATE RULES AND REGULATIONS TO ESTABLISH
AND IMPLEMENT AN ANIMAL POPULATION CONTROL PROGRAM WITHIN ONE HUNDRED
TWENTY DAYS FROM THE EFFECTIVE DATE OF THIS SECTION. THE PURPOSE OF THIS
PROGRAM SHALL BE TO REDUCE THE POPULATION OF UNWANTED STRAY DOGS AND
CATS THEREBY REDUCING POTENTIAL THREATS TO PUBLIC HEALTH AND SAFETY AND
REDUCING THE COSTS OF CARING FOR THESE ANIMALS. THIS PROGRAM SHALL SEEK
TO ACCOMPLISH ITS PURPOSE BY ENCOURAGING RESIDENTS OF THE CITY OF NEW
YORK WHO ARE THE OWNERS OF DOGS AND CATS TO HAVE THEM SPAYED OR NEUTERED
BY PROVIDING NO OR LOW-COST SPAYING AND NEUTERING SERVICES TO SUCH
OWNERS. THE DEPARTMENT SHALL PROMULGATE RULES AND REGULATIONS NECESSARY
TO ESTABLISH AN ANIMAL POPULATION CONTROL PROGRAM INCLUDING, BUT NOT
LIMITED, TO CREATING CLINICS OR MOBILE UNITS WHERE SUCH SERVICES SHALL
BE PERFORMED AND ESTABLISHING CRITERIA FOR PET OWNER ELIGIBILITY TO USE
SUCH SERVICES. INDICIA OF ELIGIBILITY FOR PET OWNERS SEEKING NO OR
LOW-COST SPAY AND NEUTER SERVICES SHALL INCLUDE BUT NOT BE LIMITED TO
ANY CRITERIA DEEMED ACCEPTABLE BY THE AGENCIES PERFORMING THE SERVICES.
THE COMMISSIONER OF THE DEPARTMENT OF HEALTH AND MENTAL HYGIENE MAY
SOLICIT AND ACCEPT FUNDS FROM THE ANIMAL POPULATION CONTROL FUND ESTAB-
LISHED PURSUANT TO SECTION 17-812 OF THIS CHAPTER AND ANY OTHER PUBLIC
OR PRIVATE SOURCE TO HELP CARRY OUT THE PROVISIONS OF THIS SECTION.
S 29. The administrative code of the city of New York is amended by
adding a new section 17-812 to read as follows:
S 17-812 ANIMAL POPULATION CONTROL FUND. 1. THERE IS HEREBY ESTAB-
LISHED IN THE JOINT CUSTODY OF THE CITY COMPTROLLER AND COMMISSIONER OF
FINANCE A FUND TO BE KNOWN AS THE "ANIMAL POPULATION CONTROL FUND" WHICH
SHALL BE USED BY THE DEPARTMENT TO SUBSIDIZE THE CITY'S ANIMAL POPU-
LATION CONTROL PROGRAM AS ESTABLISHED BY SECTION 17-811 OF THIS CHAPTER.
2. SUCH FUND SHALL CONSIST OF ALL MONEYS COLLECTED FROM THE ANIMAL
POPULATION CONTROL PROGRAM ESTABLISHED PURSUANT TO SECTION 17-811 OF
A. 9709--B 34
THIS CHAPTER AND SECTION THREE-A OF CHAPTER ONE HUNDRED FIFTEEN OF THE
LAWS OF EIGHTEEN HUNDRED NINETY-FOUR, AND ALL OTHER MONEYS CREDITED OR
TRANSFERRED THERETO FROM ANY OTHER FUND OR SOURCE PURSUANT TO LAW.
3. MONEYS OF THE FUND SHALL BE MADE AVAILABLE TO THE DEPARTMENT AND
SHALL BE EXPENDED FOR THE PURPOSES OF CARRYING OUT ANIMAL POPULATION
CONTROL PROGRAMS PURSUANT TO THE PROVISIONS OF SECTION 17-811 OF THIS
CHAPTER. MONEYS SHALL BE PAID OUT OF THE FUND ON THE AUDIT AND WARRANT
OF THE CITY COMPTROLLER AND APPROVED BY THE COMMISSIONER OF THE DEPART-
MENT OF HEALTH AND MENTAL HYGIENE. ANY INTEREST RECEIVED BY THE CITY
COMPTROLLER ON MONEYS ON DEPOSIT IN THE ANIMAL POPULATION CONTROL FUND
SHALL BE RETAINED IN AND BECOME PART OF SUCH FUND.
S 30. Section 3-a of chapter 115 of the laws of 1894 relating to the
better protection of lost and strayed animals and for securing the
rights of owners thereof, as amended by chapter 180 of the laws of 2002,
is amended to read as follows:
S 3-a. In addition to the fee charged pursuant to sections one and two
of this chapter, any person applying for a dog license shall pay a fee
of three dollars, OR SUCH GREATER AMOUNT AS DETERMINED BY THE CITY COUN-
CIL OR THE BOARD OF HEALTH IN THE CODE OF SUCH CITY, for any dog four
months of age or older which has not been spayed or neutered unless an
owner presents with the license application a statement certified by a
licensed veterinarian stating that he or she has examined the dog and
found that because of old age or other reasons, the life of the dog
would be endangered by spaying or neutering. All fees collected pursuant
to the provisions of this section shall be forwarded to the [state] CITY
comptroller for deposit in the animal population control fund created
pursuant to section [97-xx of the state finance law and section 117-a of
the agriculture and markets law] 17-812 OF THE ADMINISTRATIVE CODE OF
THE CITY OF NEW YORK.
S 31. Any unspent moneys collected in prior fiscal years attributable
to dog licensing fees in cities having a population of two million or
more and collected and deposited in the New York state animal population
control fund pursuant to section 97-xx of the state finance law shall be
transferred to and retained in the animal population control fund
created pursuant to section 17-812 of the administrative code of the
city of New York as added by section twenty-nine of this act.
S 32. Any funds in the state animal population control fund described
in section 97-xx of the state finance law as of the effective date of
this act that were derived from cities having a population of two
million or more shall be transferred to the animal population control
fund as described in section 17-812 of the administrative code of the
city of New York as added by section twenty-nine of this act, to the
extent practicable.
S 33. Section 9 of chapter 115 of the laws of 1894 relating to the
better protection of lost and strayed animals, and for securing the
rights of owners thereof, as amended by chapter 473 of the laws of 1995,
is amended to read as follows:
S 9. Any person or persons, who shall hinder or molest or interfere
with any officer or agent of said society in the performance of any duty
enjoined by this act, or who shall use a license tag on a dog for which
it was not issued, shall be deemed guilty of a misdemeanor. Any person
who owns or harbors a dog without complying with the provisions of this
act shall be deemed guilty of disorderly conduct, and upon conviction
thereof before any magistrate shall be fined for such offense any sum
not exceeding ten dollars, and in default of payment of such fine may be
committed to prison by such magistrate until the same be paid, but such
A. 9709--B 35
imprisonment shall not exceed ten days. Any person who for the purpose
of participating in the "animal population control program" shall falsi-
fy proof of adoption from a pound, shelter, duly incorporated society
for the prevention of cruelty to animals, humane society or dog or cat
protective association or who shall furnish any licensed veterinarian of
this state with inaccurate information concerning his or her residency
or the ownership of an animal or such person's authority to submit an
animal for a spaying or neutering procedure pursuant to section 117-a of
the agriculture and markets law and any veterinarian who shall furnish
[the commissioner with] false information concerning an animal sterili-
zation fee schedule or an animal sterilization certificate submitted
pursuant to [subdivision 4 of] section 117-a of the agriculture and
markets law shall be guilty of a violation punishable by a fine of not
more than two hundred fifty dollars where prosecuted pursuant to the
penal law, or where prosecuted as an action to recover a civil penalty
of not more than two hundred fifty dollars.
S 34. This act shall take effect January 1, 2011; provided, however
that if chapter 479 of the laws of 2009 is not in effect on such date
then section thirteen of this act shall take effect on the same date and
in the same manner as such chapter takes effect.
PART U
Intentionally omitted.
PART V
Section 1. Notwithstanding any other law, rule or regulation to the
contrary, expenses of the department of health public service education
program incurred pursuant to appropriations from the cable television
account of the state miscellaneous special revenue funds shall be deemed
expenses of the department of public service.
S 2. This act shall take effect immediately and shall be deemed to
have been in full force and effect on and after April 1, 2010.
PART W
Intentionally omitted.
PART X
Section 1. Section 2 of chapter 21 of the laws of 2003, 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
corporations and to permit additional levels of such expedited service,
as amended by section 1 of part RR of chapter 59 of the laws of 2009, is
amended to read as follows:
S 2. This act shall take effect immediately, provided however, that
section one of this act shall be deemed to have been in full force and
effect on and after April 1, 2003 and shall expire March 31, [2010]
2011.
S 2. This act shall take effect immediately and shall be deemed to
have been in full force and effect on and after March 31, 2010.
PART Y
A. 9709--B 36
Section 1. Section 159-i of the executive law, as amended by section 4
of part R of chapter 59 of the laws of 2009, is amended to read as
follows:
S 159-i. Distribution of funds. For federal fiscal year two thousand
[ten] ELEVEN at least ninety percent of the community services block
grant funds received by the state shall be distributed pursuant to a
contract by the secretary to eligible entities as defined in subdivision
one of section one hundred fifty-nine-e of this article. Each such
eligible entity shall receive the same proportion of community services
block grant funds as was the proportion of funds received in the imme-
diately preceding federal fiscal year under the federal community
services block grant program as compared to the total amount received by
all eligible entities in the state, under the federal community services
block grant program.
For federal fiscal year two thousand [ten] ELEVEN the secretary shall,
pursuant to section one hundred fifty-nine-h of this article, retain not
more than five percent of the community services block grant funds for
administration at the state level.
For federal fiscal year two thousand [ten] ELEVEN the remainder of the
community services block grant funds received by the state shall be
distributed pursuant to a contract by the secretary in the following
order of preference: a sum of up to one-half of one percent of the
community services block grant funds received by the state to Indian
tribes and tribal organizations as defined in this article, on the basis
of need; and to community based organizations. Such remainder funds
received by eligible entities will not be included in determining the
proportion of funds received by any such entity in the immediately
preceding federal fiscal year under the federal community services block
grant program.
S 2. Section 5 of chapter 728 of the laws of 1982, amending the execu-
tive law relating to community services block grant programs, as amended
by section 6 of part R of chapter 59 of the laws of 2009, is amended to
read as follows:
S 5. This act shall take effect immediately provided, however, that
section four hereof shall take effect October 1, 1982 and provided
further, however, that the provisions of sections two, three and four of
this act shall be in full force and effect only until September 30, 1983
and section one of this act shall be in full force and effect until
September 30, [2010] 2011, provided, however, that the distribution of
funds pursuant to section 159-i of the executive law shall be limited to
the federal fiscal year expressly set forth in such section.
S 3. Section 7 of chapter 710 of the laws of 1983, amending the execu-
tive law relating to community services block grant programs, as amended
by section 7 of part R of chapter 59 of the laws of 2009, is amended to
read as follows:
S 7. This act shall take effect September 30, 1983 and shall be in
full force and effect only until September 30, [2010] 2011 at which time
the amendments and additions made pursuant to the provisions of this act
shall be deemed to be repealed, provided, however, that the distribution
of funds pursuant to section 159-i of the executive law shall be limited
to the federal fiscal year expressly set forth in such section.
S 4. This act shall take effect immediately; provided, however, that
the amendments to section 159-i of the executive law made by section one
of this act shall not affect the expiration of such section as provided
in section 5 of chapter 728 of the laws of 1982, as amended, and section
A. 9709--B 37
7 of chapter 710 of the laws of 1983, as amended, and shall be deemed to
expire therewith.
PART Z
Intentionally omitted.
PART AA
Section 1. Subdivision 1 of section 2976 of the public authorities
law, as amended by section 1 of part X of chapter 85 of the laws of
2002, is amended to read as follows:
1. Notwithstanding any other law to the contrary, public benefit
corporations (which for purposes of this section shall include indus-
trial development agencies created pursuant to title one of article
eighteen-A of the general municipal law or any other provision of law
AND THE NEW YORK CITY HOUSING DEVELOPMENT CORPORATION CREATED PURSUANT
TO ARTICLE TWELVE OF THE PRIVATE HOUSING FINANCE LAW) which issue bonds,
notes or other obligations shall pay to the state a bond issuance charge
upon the issuance of such bonds in an amount determined pursuant to
subdivision two of this section. Such charge shall be paid to the state
department of taxation and finance, upon forms prescribed therefor, no
later than fifteen days from the end of the month within which such
bonds are issued.
S 2. This act shall take effect immediately.
PART BB
Section 1. Notwithstanding any law to the contrary, the comptroller is
hereby authorized and directed to receive for deposit to the credit of
the general fund the amount of up to $913,000 from the New York state
energy research and development authority.
S 2. This act shall take effect immediately and shall be deemed to
have been in full force and effect on and after April 1, 2010.
PART CC
Section 1. Expenditures of moneys appropriated in a chapter of the
laws of 2010 to the energy research and development authority, under the
research, development and demonstration program, from the special reven-
ue funds - other/state operations, miscellaneous special revenue
fund-339, energy research and planning account, and special revenue
funds - other/aid to localities, miscellaneous special revenue fund -
339, energy research and planning account shall be subject to the
provisions of this section. Notwithstanding the provisions of subdivi-
sion 4-a of section 18-a of the public service law, all moneys committed
or expended shall be reimbursed by assessment against gas corporations
and electric corporations as defined in section 2 of the public service
law, and the total amount which may be charged to any gas corporation
and any electric corporation shall not exceed one cent per one thousand
cubic feet of gas sold and .010 cent per kilowatt-hour of electricity
sold by such corporations in their intrastate utility operations in
calendar year 2008. Such amounts shall be excluded from the general
assessment provisions of subdivision 2 of section 18-a of the public
service law, but shall be billed and paid in the manner set forth in
such subdivision and upon receipt shall be paid to the state comptroller
A. 9709--B 38
for deposit in the state treasury for credit to the miscellaneous
special revenue fund. The director of the budget shall not issue a
certificate of approval with respect to the commitment and expenditure
of moneys hereby appropriated until the chair of such authority shall
have submitted, and the director of the budget shall have approved, a
comprehensive financial plan encompassing all moneys available to and
all anticipated commitments and expenditures by such authority from any
source for the operations of such authority. Copies of the approved
comprehensive financial plan shall be immediately submitted by the
director of the budget to the chairs and secretaries of the legislative
fiscal committees.
S 2. This act shall take effect immediately and shall be deemed to
have been in full force and effect on and after April 1, 2010.
PART DD
Section 1. Subdivisions 1 and 2 of section 27-1905 of the environ-
mental conservation law, subdivision 1 as amended by section 1 of part
E1 of chapter 63 of the laws of 2003 and subdivision 2 as amended by
chapter 200 of the laws of 2008, are amended to read as follows:
1. Until December thirty-first, two thousand [ten] TWELVE, accept from
a customer, waste tires of approximately the same size and in a quantity
equal to the number of new tires purchased or installed by the customer;
and
2. Until December thirty-first, two thousand [ten] TWELVE, post writ-
ten notice in a prominent location, which must be at least eight and
one-half inches by fourteen inches in size and contain the following
language:
"New York State law requires us to accept and manage waste tires from
vehicles in exchange for an equal number of new tires that we sell or
install. Tire retailers are required to charge a separate and distinct
waste tire management and recycling fee of $2.50 for each new tire sold.
The retailers in addition are authorized, at their sole discretion, to
pass on waste tire management and recycling costs to tire purchasers.
Such costs may be included as part of the advertised price of the new
tire, or charged as a separate per-tire charge in an amount not to
exceed $2.50 on each new tire sold."
The written notice shall also contain one of the following statements
at the end of the aforementioned language and as part of the notice,
which shall accurately indicate the manner in which the tire service
charges for waste tire management and recycling costs, and the amount of
any charges that are separately invoiced for such costs:
"Our waste tire management and recycling costs are included in the
advertised price of each new tire.", or
"We charge a separate per-tire charge of $____ on each new tire sold
that will be listed on your invoice to cover our waste tire management
and recycling costs."
S 2. Subdivisions 2, 3 and 5 of section 27-1907 of the environmental
conservation law, as added by section 3 of part V1 of chapter 62 of the
laws of 2003, are amended to read as follows:
2. The owner or operator of a noncompliant waste tire stockpile shall,
at the department's request, submit to and/or cooperate with any and all
remedial measures necessary for the abatement of noncompliant waste tire
stockpiles with funds from the waste [tire] management and [recycling]
CLEANUP fund pursuant to section ninety-two-bb of the state finance law.
A. 9709--B 39
3. No later than two years from the effective date of this title, the
department shall publish requests for proposals to seek contractors to
prepare whole and mechanically processed waste tires situated at noncom-
pliant waste tire stockpiles for arrangement in accordance with fire
safety requirements and for removal for appropriate processing, recycl-
ing or beneficial use. Disposal will be considered only as a last
option. The expenses of remedial and fire safety activities at a noncom-
pliant waste tire stockpile shall be paid by the person or persons who
owned, operated or maintained the noncompliant waste tire stockpile, or
from the waste [tire] management and [recycling] CLEANUP fund and shall
be a debt recoverable by the state from all persons who owned, operated
or maintained the noncompliant waste tire stockpile, and a lien and
charge may be placed on the premises upon which the noncompliant waste
tire stockpile is maintained and upon any real or personal property,
equipment, vehicles, and inventory controlled by such person or persons.
Moneys recovered shall be paid to the waste [tire] management and [recy-
cling] CLEANUP fund established pursuant to section ninety-two-bb of the
state finance law.
5. The department shall make all reasonable efforts to recover the
full amount of any funds expended from the waste [tire] management and
[recycling] CLEANUP fund for abatement or remediation through litigation
or cooperative agreements. Any and all moneys recovered, repaid or reim-
bursed pursuant to this section shall be deposited with the comptroller
and credited to such fund.
S 3. Subdivision 2 of section 27-1911 of the environmental conserva-
tion law, as added by section 3 of part V1 of chapter 62 of the laws of
2003, is amended to read as follows:
2. No moneys from the waste [tire] management and [recycling] CLEANUP
fund shall be used to dispose of waste tires in a landfill unless the
department has determined that it is not feasible to convert the waste
tires to a beneficial use. Department-approved beneficial uses of scrap-
tire-derived material for leachate collection systems, or gas collection
systems in the construction or operation of a landfill are not consid-
ered disposal.
S 4. Subdivisions 1, 2 and 4, the opening paragraph of subdivision 3
and paragraph (a) of subdivision 6 of section 27-1913 of the environ-
mental conservation law, subdivisions 1, 2 and 4 as amended by section 2
of part E1 of chapter 63 of the laws of 2003, the opening paragraph of
subdivision 3 as amended by section 1 of part E of chapter 686 of the
laws of 2003 and paragraph (a) of subdivision 6 as added by chapter 200
of the laws of 2008, are amended to read as follows:
1. Until December thirty-first, two thousand [ten] TWELVE, a waste
tire management and recycling fee of two dollars and fifty cents shall
be charged on each new tire sold. The fee shall be paid by the purchaser
to the tire service at the time the new tire or new motor vehicle is
purchased.
The waste tire management and recycling fee does not apply to:
(a) recapped or resold tires;
(b) mail-order sales; or
(c) the sale of new motor vehicle tires to a person solely for the
purpose of resale provided the subsequent retail sale in this state is
subject to such fee.
2. Until December thirty-first, two thousand [ten] TWELVE, the tire
service shall collect the waste tire management and recycling fee from
the purchaser at the time of the sale and shall remit such fee to the
A. 9709--B 40
department of taxation and finance with the quarterly report filed
pursuant to subdivision three of this section.
(a) The fee imposed shall be stated as an invoice item separate and
distinct from the selling price of the tire.
(b) The tire service shall be entitled to retain an allowance of twen-
ty-five cents per tire from fees collected.
Until March thirty-first, two thousand [eleven] THIRTEEN, each tire
service maintaining a place of business in this state shall make a
return to the department of taxation and finance on a quarterly basis,
with the return for December, January, and February being due on or
before the immediately following March thirty-first; the return for
March, April, and May being due on or before the immediately following
June thirtieth; the return for June, July, and August being due on or
before the immediately following September thirtieth; and the return for
September, October, and November being due on or before the immediately
following December thirty-first.
4. [All] EIGHTY PERCENT OF THE waste tire management and recycling
fees collected by the department of taxation and finance shall be trans-
ferred to the waste [tire] management and [recycling] CLEANUP fund
pursuant to section ninety-two-bb of the state finance law PROVIDED
FURTHER THAT TWENTY PERCENT OF SUCH FEES COLLECTED SHALL BE DEPOSITED TO
THE CREDIT OF THE ENVIRONMENTAL PROTECTION FUND ESTABLISHED IN SECTION
NINETY-TWO-S OF THE STATE FINANCE LAW.
(a) Until December thirty-first, two thousand [ten] TWELVE, any addi-
tional waste tire management and recycling costs of the tire service in
excess of the amount authorized to be retained pursuant to paragraph (b)
of subdivision two of this section may be included in the published
selling price of the new tire, or charged as a separate per-tire charge
on each new tire sold. When such costs are charged as a separate per-
tire charge: (i) such charge shall be stated as an invoice item separate
and distinct from the selling price of the tire; (ii) the invoice shall
state that the charge is imposed at the sole discretion of the tire
service; and (iii) the amount of such charge shall reflect the actual
cost to the tire service for the management and recycling of waste tires
accepted by the tire service pursuant to section 27-1905 of this title,
provided however, that in no event shall such charge exceed two dollars
and fifty cents on each new tire sold.
S 5. The opening paragraph and subdivision 1 of section 27-1915 of the
environmental conservation law, as added by section 3 of part V1 of
chapter 62 of the laws of 2003, are amended to read as follows:
[Funds from the waste] WASTE tire management and recycling FEES SHALL
BE DEPOSITED IN THE WASTE MANAGEMENT AND CLEANUP fund established in
section ninety-two-bb of the state finance law, AND shall be made AVAIL-
ABLE for the following purposes:
1. costs of the department for the following:
(a) first-year costs:
(i) enumeration and assessment of noncompliant waste tire stockpiles;
and
(ii) aerial reconnaissance to locate, survey and characterize sites
environmentally, for remote sensing, special analysis and scanning;
(b) abatement of noncompliant waste tire stockpiles; and
(c) administration AND ENFORCEMENT of THE requirements of this
[section] ARTICLE, EXCLUSIVE OF TITLES THIRTEEN AND FOURTEEN.
S 6. Section 92-bb of the state finance law, as added by section 4 of
part V1 of chapter 62 of the laws of 2003, is amended to read as
follows:
A. 9709--B 41
S 92-bb. Waste [tire] management and [recycling] CLEANUP fund. 1.
There is hereby established in the joint custody of the state comp-
troller and the commissioner of the department of taxation and finance a
special fund to be known as the "waste [tire] management and [recycling]
CLEANUP fund".
2. The waste [tire] management and [recycling] CLEANUP fund shall
consist of [all] revenue collected from waste tire management and recy-
cling fees pursuant to SUBDIVISION FOUR OF section 27-1913 of the envi-
ronmental conservation law and any cost recoveries or other revenues
collected pursuant to title nineteen of article twenty-seven of the
environmental conservation law, AND ANY OTHER MONIES DEPOSITED INTO THE
FUND PURSUANT TO LAW.
3. Moneys of the fund, following appropriation by the legislature,
shall be used for execution of waste tire management and recycling
pursuant to title nineteen of article twenty-seven of the environmental
conservation law, and expended for the purposes as set forth in section
27-1915 of the environmental conservation law.
S 7. This act shall take effect immediately and shall be deemed to
have been in full force and effect on and after April 1, 2010.
PART EE
Intentionally omitted.
PART FF
Section 1. Section 1421 of the tax law, as amended by section 1 of
part T of chapter 59 of the laws of 2009, is amended to read as follows:
S 1421. Deposit and dispositions of revenues. From the taxes, interest
and penalties attributable to the tax imposed pursuant to section four-
teen hundred two of this article, the amount of [thirty-three and one-
half million] ONE HUNDRED NINETY-NINE MILLION THREE HUNDRED THOUSAND
dollars shall be deposited by the comptroller in the environmental
protection fund established pursuant to section ninety-two-s of the
state finance law for the fiscal year beginning April first, [nineteen
hundred ninety-five] TWO THOUSAND NINE; the amount of [eighty-seven
million dollars shall be deposited in such fund for the fiscal years
beginning April first, nineteen hundred ninety-six and nineteen hundred
ninety-seven; the amount of one hundred twelve million dollars shall be
deposited in such fund for the fiscal years beginning April first, nine-
teen hundred ninety-eight, nineteen hundred ninety-nine, two thousand,
two thousand one, two thousand two, two thousand three, two thousand
four and two thousand five; the amount of one hundred thirty-seven
million dollars shall be deposited in such fund for the fiscal year
beginning April first, two thousand six; the amount of two hundred
twelve million dollars shall be deposited in such fund for the fiscal
year beginning April first, two thousand seven; the amount of two
hundred thirty-seven million dollars shall be deposited in such fund for
the fiscal year beginning April first, two thousand eight; the amount of
one hundred ninety-nine million three hundred thousand dollars shall be
deposited in such fund for four fiscal years beginning April first, two
thousand nine;] ONE HUNDRED THIRTY-TWO MILLION THREE HUNDRED THOUSAND
DOLLARS SHALL BE DEPOSITED IN SUCH FUND FOR THE FISCAL YEAR BEGINNING
APRIL FIRST, TWO THOUSAND TEN; and for each fiscal year thereafter[;
provided however that at the direction of the director of the budget, an
additional amount of up to twenty-five million dollars may be deposited
A. 9709--B 42
in such fund for the fiscal year beginning April first, two thousand
seven and ending March thirty-first, two thousand eight, for disposition
as provided under such section]. On or before June twelfth, nineteen
hundred ninety-five and on or before the twelfth day of each month ther-
eafter (excepting the first and second months of each fiscal year), the
comptroller shall deposit into such fund from the taxes, interest and
penalties collected pursuant to such section fourteen hundred two of
this article which have been deposited and remain to the comptroller's
credit in the banks, banking houses or trust companies referred to in
section one hundred seventy-one-a of this chapter at the close of busi-
ness on the last day of the preceding month, an amount equal to one-
tenth of the annual amount required to be deposited in such fund pursu-
ant to this section for the fiscal year in which such deposit is
required to be made. In the event such amount of taxes, interest and
penalties so remaining to the comptroller's credit is less than the
amount required to be deposited in such fund by the comptroller, an
amount equal to the shortfall shall be deposited in such fund by the
comptroller with subsequent deposits, as soon as the revenue is avail-
able. Beginning April first, nineteen hundred ninety-seven, the comp-
troller shall transfer monthly to the clean water/clean air fund estab-
lished pursuant to section ninety-seven-bbb of the state finance law,
all moneys remaining from such taxes, interest and penalties collected
that are not required for deposit in the environmental protection fund.
S 2. This act shall take effect immediately and shall be deemed to
have been in full force and effect on and after April 1, 2010.
PART GG
Intentionally omitted.
PART HH
Intentionally omitted.
PART II
Intentionally omitted.
PART JJ
Section 1. Section 878 of the public authorities law is amended by
adding a new subdivision 6 to read as follows:
6. IN FULFILLING THE AUTHORITY'S MISSION, THE BOARD SHALL WORK COOPER-
ATIVELY AND IN CONSULTATION WITH THE COMMISSIONER OF AGRICULTURE AND
MARKETS TO ASSURE THE PROPER DEVELOPMENT OF REGIONAL MARKET FACILITIES
IN THE GENESEE VALLEY REGIONAL MARKET DISTRICT. THE BOARD AND THE
COMMISSIONER OF AGRICULTURE AND MARKETS SHALL JOINTLY DEVELOP A PLAN FOR
THE FUTURE DEVELOPMENT AND VIABILITY OF REGIONAL MARKET FACILITIES IN
THE DISTRICT. SUCH PLAN SHALL INCLUDE BOTH SHORT TERM AND LONG TERM
GOALS AND OBJECTIVES AS WELL AS ACTUAL AND PROJECTED REVENUES AND
EXPENDITURES. SUCH PLAN SHALL ANNUALLY ALLOCATE NO LESS THAN
SEVENTY-FIVE PERCENT OF THE AUTHORITY'S AVAILABLE FUNDS FOR THE
CREATION, DEVELOPMENT, AND ENHANCEMENT OF REGIONAL MARKET FACILITIES IN
THE DISTRICT. FOR PURPOSES OF THIS SUBDIVISION, AVAILABLE FUNDS SHALL
MEAN THE NET AMOUNT AVAILABLE AFTER CONTRACTUALLY OBLIGATED EXPENDITURES
ARE SUBTRACTED FROM, BUT NOT BE LIMITED TO, CASH, CASH EQUIVALENTS,
A. 9709--B 43
CERTIFICATES OF DEPOSIT, AND OTHER RECEIVABLES AVAILABLE. THE BOARD AND
COMMISSIONER SHALL MEET ANNUALLY PRIOR TO THE CLOSE OF THE AUTHORITY'S
FISCAL YEAR TO EVALUATE THE EFFECTIVENESS OF THE USE OF FUNDS FOR THAT
FISCAL YEAR, REVIEW THE GOALS AND OBJECTIVES OF THE PLAN, AND PROPERLY
PREPARE FOR THE ALLOCATION AND USE OF SUCH FUNDS FOR THE NEXT FISCAL
YEAR. THE PLAN SHALL BE UPDATED ANNUALLY TO MAKE APPROPRIATE MODIFICA-
TIONS TO SUCH PLAN FOR THE NEXT FISCAL YEAR. PRIOR TO ANY SUCH FUNDS
BEING EXPENDED, BOTH THE BOARD AND THE COMMISSIONER MUST APPROVE SUCH
PLAN, ITS GOALS AND OBJECTIVES AS WELL AS THE PROJECTED REVENUES AND
PROPOSED ALLOCATIONS.
S 2. The Genesee Valley regional market authority shall comply with
all provisions of law, including but not limited to title 1 of article 9
of the public authorities law. In addition, the Genesee Valley Regional
Market Authority must furnish an annual real estate report detailing all
real estate holdings and detailed property information, including but
not limited to the tenants, important lease terms, rents, durations of
leases, as well as copies of each lease. Notwithstanding any other
provision of law to the contrary, the Genesee Valley Regional Market
Authority shall furnish all required reports, audits, and reviews,
including the annual real estate report, to all parties enumerated in
paragraph (a) of subdivision 1 of section 2800 of the public authorities
law as well as to the commissioner of agriculture and markets, within 60
days of the effective date of this act or within 90 days after the end
of its fiscal year whichever is sooner.
S 3. This act shall take effect immediately and shall be deemed to
have been in full force and effect on and after April 1, 2010.
PART KK
Intentionally omitted.
PART LL
Section 1. Subdivision 46 of section 100 of the economic development
law, as added by chapter 427 of the laws of 2008, is amended to read as
follows:
46. to prepare[, in cooperation with the governor's office of regula-
tory reform,] an annual summary for the small business community of the
key legislative, budgetary and regulatory changes impacting small busi-
nesses. Agencies shall cooperate with the department [and the governor's
office of regulatory reform] in developing the annual summary. The
annual summary shall be written in plain language and shall provide
specific contact information within the appropriate agency for inquiries
regarding implementation and compliance. The annual summary shall be
posted on the department website on or before September first of each
year.
S 2. Section 90 of the executive law, as amended by chapter 71 of the
laws of 1964, is amended to read as follows:
S 90. Department of state; secretary of state. 1. There shall be in
the state government a department of state. The head of the department
shall be the secretary of state who shall be appointed by the governor
by and with the advice and consent of the senate and hold office until
the end of the term of the governor by whom he OR SHE was appointed and
until his OR HER successor is appointed and has qualified. The secretary
of state shall receive an annual salary within the amount appropriated
therefor and his OR HER reasonable expenses when necessarily absent on
public business pertaining to the duties of his OR HER office.
A. 9709--B 44
In addition to those divisions created and continued within the
Department of State by other statutes, the secretary of state may estab-
lish such other divisions and bureaus in the department of state as he
OR SHE may deem necessary. He OR SHE may prescribe the duties and powers
of such divisions and bureaus which shall be exercised and performed
under his OR HER supervision.
2. ANY REFERENCE TO THE "GOVERNOR'S OFFICE OF REGULATORY REFORM" OR
"OFFICE OF REGULATORY AND MANAGEMENT ASSISTANCE" IN THE LAWS OF NEW YORK
STATE OR CONTRACTS ENTERED INTO ON BEHALF OF THE STATE SHALL BE DEEMED
TO REFER TO THE DEPARTMENT OF STATE.
S 3. Paragraph a of subdivision 1 of section 102 of the executive law,
as amended by chapter 941 of the laws of 1984, is amended to read as
follows:
a. No code, rule or regulation shall become effective until it is
filed with the secretary of state, unless a later date is required by
statute or is specified by such code, rule or regulation. THE SECRETARY
SHALL HAVE THE AUTHORITY TO ENSURE THAT EACH AGENCY HAS COMPLIED WITH
THE REQUIREMENTS OF THE STATE ADMINISTRATIVE PROCEDURE ACT BEFORE ITS
PROPOSED REGULATIONS BECOME EFFECTIVE, AND MAY REQUIRE AGENCIES TO COOP-
ERATE IN ITS REVIEWS AND COMPLIANCE ACTIVITIES.
S 4. Subdivision 1 of section 102 of the executive law is amended by
adding a new paragraph f to read as follows:
F. BEFORE THE ADOPTION OF ANY NEW CODE, RULE, OR REGULATION INCLUDING
ANY RULE AS DEFINED IN THE STATE ADMINISTRATIVE PROCEDURE ACT, OR ANY
SUBSTANTIAL REVISION OF AN EXISTING CODE, RULE, OR REGULATION, THE
SECRETARY MAY REQUIRE AN AGENCY TO PREPARE AND SUBMIT A COST-BENEFIT
ANALYSIS, RISK ASSESSMENT, JOB IMPACT ANALYSIS, OR OTHER ANALYSIS
CONSISTENT WITH THE STATE ADMINISTRATIVE PROCEDURE ACT, AND MAY FURTHER
REQUIRE AN AGENCY TO DEMONSTRATE THAT IT HAS COMPLIED WITH THE
PROVISIONS OF THE STATE ADMINISTRATIVE PROCEDURE ACT AND HAS PROVIDED
INFORMATION IN THE REGULATORY IMPACT STATEMENT, THE REGULATORY FLEXIBIL-
ITY ANALYSIS, AND THE RURAL AREA FLEXIBILITY ANALYSIS PREPARED PURSUANT
TO SUCH SECTIONS ADEQUATE TO ENABLE INTERESTED PERSONS TO EVALUATE THE
IMPACT OF THE RULE.
S 5. Subdivision 3 of section 164-d of the executive law, as added by
chapter 65 of the laws of 2005, is amended to read as follows:
3. The office for technology[, in consultation with the governor's
office of regulatory reform,] shall promulgate rules and regulations to
implement the provisions of this section. Such rules shall at least
provide for the prioritization and timing for making application forms
available on the internet.
S 6. Section 102-a of the state administrative procedure act, as added
by chapter 419 of the laws of 2007, is amended to read as follows:
S 102-a. Small business regulation guides. For each rule or group of
related rules which significantly impact a substantial number of small
businesses, the agency which adopted the rule shall post on its website
one or more guides explaining the actions a small business may take to
comply with such rule or group of rules if the agency determines[, in
conjunction with the governor's office of regulatory reform,] that such
guide or guides will assist small businesses in complying with the rule,
and shall designate each such posting as a "small business regulation
guide". The guide shall explain the actions a small business may take to
comply with a rule or group of rules. The agency shall, in its sole
discretion, taking into account the subject matter of the rule and the
language of relevant statutes, ensure that the guide is written using
sufficiently plain language that it is likely to be understood by
A. 9709--B 45
affected small businesses. [Agencies shall cooperate with the governor's
office of regulatory reform and other state agencies in developing such
guides.] The [governor's office of regulatory reform] SECRETARY OF STATE
shall oversee and coordinate the preparation of such small business
regulation guides by agencies.
S 7. Paragraph (a) of subdivision 6-a of section 202 of the state
administrative procedure act, as amended by chapter 171 of the laws of
1994, is amended to read as follows:
(a) An agency shall transmit a copy of any rule making notice prepared
pursuant to this article to the governor, the temporary president of the
senate, the speaker of the assembly, AND the administrative regulations
review commission [and the office of regulatory and management assist-
ance] at the time such notice is submitted to the secretary of state for
publication in the state register. Such transmittal shall include the
complete rule text, regulatory impact statement, regulatory flexibility
analysis, rural area flexibility analysis, or revisions thereof, and any
other information submitted to the secretary of state pursuant to this
article.
S 8. Subparagraph (iii) of paragraph (b) of subdivision 9 of section
202 of the state administrative procedure act, as added by chapter 230
of the laws of 2006, is amended to read as follows:
(iii) The secretary of state shall provide that the direct link
between the electronic copy of the state register and the electronic
mail address provided by an agency shall also deliver to the [governor's
office of regulatory reform] DEPARTMENT OF STATE a copy of all comments
submitted.
S 9. Subdivision 8 of section 202-b of the state administrative proce-
dure act, as added by chapter 637 of the laws of 2005, is amended to
read as follows:
8. The [governor's office of regulatory reform] SECRETARY OF STATE
shall issue quarterly reports to the governor and the legislature iden-
tifying the alternative approaches utilized by state agencies to mini-
mize any adverse economic impact of rules on small businesses and local
governments, in accordance with subdivision one of this section.
S 10. The opening paragraph of subdivision 3 of section 202-bb of the
state administrative procedure act, as added by chapter 171 of the laws
of 1994, is amended to read as follows:
In proposing a rule for adoption or in adopting a rule on an emergency
basis, the agency shall issue a rural area flexibility analysis regard-
ing the rule being proposed for adoption or the emergency rule being
adopted. A copy of such analysis and any finding, and reasons for such
finding, pursuant to this section, shall be submitted to the governor,
the temporary president of the senate, the speaker of the assembly[, the
office for regulatory and management assistance] and the administrative
regulations review commission at the time such analysis is submitted to
the secretary of state for publication and, upon written request, a copy
shall be sent to any other person. Each rural area flexibility analysis
shall contain:
S 11. Paragraph (d) of subdivision 1 of section 202-d of the state
administrative procedure act, as added by chapter 193 of the laws of
2008, is amended to read as follows:
(d) An agency shall identify each rule described in its regulatory
agenda for which a regulatory flexibility analysis or a rural area flex-
ibility analysis may be required, and shall provide outreach as appro-
priate to potentially affected small businesses, local governments and
public and private interests in rural areas. Such outreach may include
A. 9709--B 46
solicitation of input from potentially affected parties through elec-
tronic means or through any of the activities listed in subdivision six
of section two hundred two-b and subdivision seven of section two
hundred two-bb of this article. In addition, the agency shall provide a
copy of the description of each rule subject to the provisions of this
paragraph to the [governor's office of regulatory reform] DEPARTMENT OF
STATE, which may in its discretion include the description and addi-
tional information on the rule in the quarterly report issued pursuant
to subdivision eight of section two hundred two-b of this article.
S 12. a. The powers, duties, and unfinished business of the governor's
office of regulatory reform are transferred to the department of state
as established in article 6 of the executive law. All assets, liabil-
ities, and records of the governor's office of regulatory reform are
transferred to the department of state. For the purposes of succession
to functions, powers, duties, and obligations transferred and assigned
to, devolved upon and assumed by it pursuant to this act, the department
of state shall be deemed and held to constitute the continuation of the
governor's office of regulatory reform except where otherwise provided
in this act.
b. Every officer and employee of the governor's office of regulatory
reform is hereby transferred to the department of state. Transfers of
such employees will be made pursuant to subdivision 2 of section 70 of
the civil service law.
c. All rules, regulations, acts, determinations and decisions of the
governor's office of regulatory reform at the time of the effective date
of this act shall continue in force and effect as rules, regulations,
acts, determinations, and decisions of the secretary of state until duly
modified or abrogated by the secretary of state.
d. All appropriations and reappropriations heretofore made to the
governor's office of regulatory reform, to the extent of remaining unex-
pended or unencumbered balances thereof, whether allocated or unallo-
cated and whether obligated or unobligated, shall be transferred to and
made available for use and expenditure by the department of state.
S 13. This act shall take effect January 1, 2011; provided, however,
that the amendments to paragraph (d) of subdivision 1 of section 202-d
of the state administrative procedure act made by section eleven of this
act shall not affect the expiration of such subdivision and shall expire
therewith.
PART MM
Section 1. The director of the division of the lottery and the chair-
man of the racing and wagering board, shall, to the greatest extent
possible, coordinate and centralize administrative functions, including
but not limited to, clerical, payroll, bookkeeping, procurement and
human resource functions in an effort to create greater efficiencies and
cost savings.
S 2. This act shall take effect immediately.
PART NN
Section 1. Short title. This act shall be known and may be cited as
the "electronic equipment recycling and reuse act".
S 2. Article 27 of the environmental conservation law is amended by
adding a new title 26 to read as follows:
A. 9709--B 47
TITLE 26
ELECTRONIC EQUIPMENT RECYCLING AND REUSE
SECTION 27-2601. DEFINITIONS.
27-2603. MANUFACTURER COLLECTION; RECYCLING SURCHARGE.
27-2605. MANUFACTURER ELECTRONIC WASTE REGISTRATION AND RESPON-
SIBILITIES.
27-2607. RETAILER REQUIREMENTS.
27-2609. LABELING.
27-2611. DISPOSAL BAN.
27-2613. ELECTRONIC WASTE COLLECTION, CONSOLIDATION AND RECYCL-
ING.
27-2615. DEPARTMENT RESPONSIBILITIES.
27-2617. REPORTING REQUIREMENTS.
27-2619. PREEMPTION.
27-2621. DISPOSITION OF FEES.
S 27-2601. DEFINITIONS.
AS USED IN THIS TITLE:
1. "CATHODE RAY TUBE" MEANS A VACUUM TUBE OR PICTURE TUBE USED TO
CONVERT AN ELECTRONIC SIGNAL INTO A VISUAL IMAGE.
2. "COMPUTER" MEANS AN ELECTRONIC, MAGNETIC, OPTICAL, ELECTROCHEMICAL
OR OTHER HIGH-SPEED DATA PROCESSING DEVICE PERFORMING A LOGICAL, ARITH-
METIC OR STORAGE FUNCTION, INCLUDING A LAPTOP COMPUTER AND DESKTOP
COMPUTER, AND INCLUDES ANY CABLE, CORD, OR WIRING PERMANENTLY AFFIXED TO
OR INCORPORATED INTO SUCH PRODUCT, AND MAY INCLUDE BOTH A COMPUTER
CENTRAL PROCESSING UNIT AND A MONITOR; BUT SUCH TERM SHALL NOT INCLUDE
AN AUTOMATED TYPEWRITER OR TYPESETTER, A PORTABLE HAND-HELD CALCULATOR,
A PORTABLE DIGITAL ASSISTANT, OR OTHER SIMILAR DEVICE.
3. "COMPUTER PERIPHERAL" MEANS A MONITOR; ELECTRONIC KEYBOARD; ELEC-
TRONIC MOUSE OR SIMILAR POINTING DEVICE; FACSIMILE MACHINE, DOCUMENT
SCANNER, OR PRINTER INTENDED FOR USE WITH A COMPUTER; AND INCLUDES ANY
CABLE, CORD, OR WIRING PERMANENTLY AFFIXED TO OR INCORPORATED INTO ANY
SUCH PRODUCT.
4. "CONSUMER" MEANS A PERSON LOCATED IN THE STATE WHO OWNS OR USES
COVERED ELECTRONIC EQUIPMENT, INCLUDING BUT NOT LIMITED TO AN INDIVID-
UAL, A BUSINESS, CORPORATION, LIMITED PARTNERSHIP, NOT-FOR-PROFIT ORGAN-
IZATION, OR GOVERNMENTAL ENTITY, BUT DOES NOT INCLUDE AN ENTITY INVOLVED
IN A WHOLESALE TRANSACTION BETWEEN A DISTRIBUTOR AND RETAILER.
5. "COVERED ELECTRONIC EQUIPMENT" MEANS: A COMPUTER; COMPUTER PERIPH-
ERAL; SMALL ELECTRONIC EQUIPMENT; CATHODE RAY TUBE; CATHODE RAY TUBE
DEVICE; OR TELEVISION, AS DEFINED IN THIS SECTION. "COVERED ELECTRONIC
EQUIPMENT" DOES NOT INCLUDE ANY MOTOR VEHICLE OR ANY PART THEREOF;
CAMERA OR VIDEO CAMERA; PORTABLE OR STATIONARY RADIO; WIRELESS TELE-
PHONE; HOUSEHOLD APPLIANCES SUCH AS CLOTHES WASHERS, CLOTHES DRYERS,
REFRIGERATORS, FREEZERS, MICROWAVE OVENS, OVENS, RANGES OR DISHWASHERS;
EQUIPMENT THAT IS FUNCTIONALLY OR PHYSICALLY PART OF A LARGER PIECE OF
EQUIPMENT INTENDED FOR USE IN AN INDUSTRIAL, RESEARCH AND DEVELOPMENT OR
COMMERCIAL SETTING; SECURITY OR ANTI-TERRORISM EQUIPMENT; MONITORING AND
CONTROL INSTRUMENT OR SYSTEM; THERMOSTAT; HAND-HELD TRANSCEIVER; TELE-
PHONE OF ANY TYPE; PORTABLE DIGITAL ASSISTANT OR SIMILAR DEVICE; CALCU-
LATOR; GLOBAL POSITIONING SYSTEM (GPS) RECEIVER OR SIMILAR NAVIGATION
DEVICE; COMMERCIAL MEDICAL EQUIPMENT THAT CONTAINS WITHIN IT A CATHODE
RAY TUBE, A CATHODE RAY TUBE DEVICE, A FLAT PANEL DISPLAY OR SIMILAR
VIDEO DISPLAY DEVICE, AND IS NOT SEPARATE FROM THE LARGER PIECE OF
EQUIPMENT; OR OTHER MEDICAL DEVICES AS THAT TERM IS DEFINED UNDER THE
FEDERAL FOOD, DRUG AND COSMETIC ACT.
A. 9709--B 48
6. "ELECTRONIC RECYCLER" MEANS A PERSON WHO ENGAGES IN THE RECYCLING
OF ELECTRONIC WASTE.
7. "ELECTRONIC WASTE" MEANS COVERED ELECTRONIC EQUIPMENT THAT HAS BEEN
DISCARDED OR IS NO LONGER WANTED BY ITS OWNER, OR FOR ANY OTHER REASON
ENTERS THE WASTE COLLECTION, RECOVERY, TREATMENT, PROCESSING, OR RECYCL-
ING SYSTEM. FOR PURPOSES OF SECTION 27-2611 OF THIS TITLE, "ELECTRONIC
WASTE" DOES NOT INCLUDE THE CASE, SHELL, OR OTHER ENCLOSURE OF COVERED
ELECTRONIC EQUIPMENT FROM WHICH INCORPORATED ASSEMBLIES, SUB-ASSEMBLIES,
COMPONENTS, MATERIALS, WIRING, CIRCUITRY AND COMMODITIES HAVE BEEN
REMOVED.
8. "ELECTRONIC WASTE COLLECTION SITE" MEANS A FACILITY AT A FIXED OR
TEMPORARY SITE AT WHICH ELECTRONIC WASTE IS ACCEPTED FROM CONSUMERS AND
TEMPORARILY STORED FOR NOT MORE THAN FIVE DAYS IN A CALENDAR YEAR BEFORE
SUCH WASTE IS TRANSPORTED TO AN ELECTRONIC WASTE CONSOLIDATION FACILITY
OR ELECTRONIC WASTE RECYCLING FACILITY. ELECTRONIC WASTE COLLECTION
SITES INCLUDE, BUT ARE NOT LIMITED TO, DEDICATED SITES AND FACILITIES
FOR THE ACCEPTANCE OF ELECTRONIC WASTE, AND RETAIL STORES AND OUTLETS,
MUNICIPAL OR PRIVATE ELECTRONIC WASTE COLLECTION SITES AND NOT-FOR-PRO-
FIT DONATION SITES THAT HAVE AGREED TO ACCEPT ELECTRONIC WASTE.
9. "ELECTRONIC WASTE CONSOLIDATION FACILITY" MEANS A FACILITY THAT
RECEIVES AND STORES ELECTRONIC WASTE FOR THE PURPOSE OF ORGANIZING,
CATEGORIZING OR CONSOLIDATING ITEMS OF ELECTRONIC WASTE BEFORE SUCH
WASTE IS TRANSPORTED TO AN ELECTRONIC WASTE RECYCLING FACILITY. ELEC-
TRONIC WASTE CONSOLIDATION FACILITIES INCLUDE, BUT ARE NOT LIMITED TO,
FACILITIES OF BROKERS ACTING AS INTERMEDIARIES BETWEEN ELECTRONIC WASTE
BUYERS AND SELLERS, AND REGIONAL CENTERS AT WHICH ELECTRONIC WASTE IS
ORGANIZED, CATEGORIZED OR CONSOLIDATED AFTER BEING TRANSPORTED TO SUCH
CENTERS FROM ELECTRONIC WASTE COLLECTION SITES OR OTHER ELECTRONIC WASTE
CONSOLIDATION FACILITIES.
10. "ELECTRONIC WASTE RECYCLING FACILITY" MEANS A FACILITY AT WHICH
ELECTRONIC WASTE IS RECYCLED.
11. "LABEL" MEANS A MARKER ON THE SURFACE OF COVERED ELECTRONIC EQUIP-
MENT CONVEYING INFORMATION; FOR THE PURPOSES OF THIS TITLE, LABELS MUST
BE PERMANENT AND CAN BE ATTACHED, PRINTED, ENGRAVED OR INCORPORATED IN
ANY OTHER PERMANENT WAY THAT IS OBVIOUS AND VISIBLE TO USERS OF THE
PRODUCT.
12. "MANUFACTURER" MEANS A PERSON WHO: (A) ASSEMBLES OR SUBSTANTIALLY
ASSEMBLES COVERED ELECTRONIC EQUIPMENT FOR SALE IN THE STATE; (B) MANU-
FACTURES COVERED ELECTRONIC EQUIPMENT UNDER ITS OWN BRAND NAME OR UNDER
ANY OTHER BRAND NAME FOR SALE IN THE STATE; (C) SELLS, UNDER ITS OWN
BRAND NAME, COVERED ELECTRONIC EQUIPMENT SOLD IN THE STATE; (D) OWNS A
BRAND NAME THAT IT LICENSES TO ANOTHER PERSON FOR USE ON COVERED ELEC-
TRONIC EQUIPMENT SOLD IN THE STATE; (E) IMPORTS COVERED ELECTRONIC
EQUIPMENT FOR SALE IN THE STATE; OR (F) MANUFACTURES COVERED ELECTRONIC
EQUIPMENT FOR SALE IN THE STATE WITHOUT AFFIXING A BRAND NAME. "MANUFAC-
TURER" DOES NOT MEAN A PERSON WHO ASSEMBLES OR SUBSTANTIALLY ASSEMBLES,
AND SELLS LESS THAN ONE THOUSAND UNITS OF COVERED ELECTRONIC EQUIPMENT
ANNUALLY IN THIS STATE, OR WHOSE PRIMARY BUSINESS IS THE SALE OF COVERED
ELECTRONIC EQUIPMENT WHICH IS COMPRISED PRIMARILY OF REBUILT, REFUR-
BISHED OR USED COMPONENTS. IF MORE THAN ONE PERSON IS A MANUFACTURER OF
A BRAND OF COVERED ELECTRONIC EQUIPMENT, ANY SUCH PERSON MAY ASSUME
RESPONSIBILITY FOR OBLIGATIONS OF A MANUFACTURER OF THAT BRAND UNDER
THIS TITLE. IF NONE OF THOSE PERSONS ASSUMES RESPONSIBILITY FOR THE
OBLIGATIONS OF A MANUFACTURER UNDER THIS TITLE, ANY AND ALL SUCH PERSONS
JOINTLY AND SEVERALLY MAY BE CONSIDERED TO BE THE RESPONSIBLE MANUFAC-
TURER OF THAT BRAND FOR PURPOSES OF THIS TITLE.
A. 9709--B 49
13. "MANUFACTURER'S BRANDS" MEANS A MANUFACTURER'S NAME, BRAND NAME OR
BRAND LABEL, AND ALL MANUFACTURER'S NAMES, BRAND NAMES AND BRAND LABELS
FOR WHICH THE MANUFACTURER HAS A LEGAL RIGHT OR INTEREST, INCLUDING
THOSE NAMES, BRAND NAMES, AND BRAND LABELS OF COMPANIES THAT HAVE BEEN
ACQUIRED BY THE MANUFACTURER OR IN WHICH THE MANUFACTURER ASSERTS A
LEGAL INTEREST SUCH AS TRADEMARK, LICENSE, SERVICE MARK, OR PATENT.
14. "MONITOR" MEANS A SEPARATE VISUAL DISPLAY COMPONENT OF A COMPUTER,
WHETHER SOLD SEPARATELY OR TOGETHER WITH A COMPUTER CENTRAL PROCESSING
UNIT, AND INCLUDES A CATHODE RAY TUBE, LIQUID CRYSTAL DISPLAY, GAS PLAS-
MA, DIGITAL LIGHT PROCESSING OR OTHER IMAGE PROJECTION TECHNOLOGY,
GREATER THAN FOUR INCHES WHEN MEASURED DIAGONALLY, AND ITS CASE, INTERI-
OR WIRES AND CIRCUITRY, AND ANY CABLE CORD OR WIRING PERMANENTLY AFFIXED
THERETO OR INCORPORATED INTO SUCH PRODUCT.
15. "PERSON" MEANS ANY INDIVIDUAL, BUSINESS ENTITY, PARTNERSHIP,
COMPANY, CORPORATION, NOT-FOR-PROFIT CORPORATION, ASSOCIATION, GOVERN-
MENTAL ENTITY, PUBLIC BENEFIT CORPORATION, PUBLIC AUTHORITY, FIRM,
ORGANIZATION, OR ANY OTHER GROUP OF INDIVIDUALS, OR ANY OFFICER OR
EMPLOYEE OR AGENT THEREOF.
16. "RECYCLE" MEANS TO SEPARATE, DISMANTLE OR PROCESS THE MATERIALS,
COMPONENTS OR COMMODITIES CONTAINED IN ELECTRONIC WASTE FOR THE PURPOSE
OF PREPARING THE MATERIALS, COMPONENTS OR COMMODITIES FOR USE OR REUSE
IN NEW PRODUCTS OR COMPONENTS THEREOF, BUT NOT FOR ENERGY RECOVERY OR
ENERGY GENERATION BY MEANS OF COMBUSTION, GASIFICATION, PYROLYSIS OR
OTHER MEANS. RECYCLING INCLUDES THE MANUAL AND MECHANICAL SEPARATION OF
ELECTRONIC WASTE TO RECOVER MATERIALS, COMPONENTS OR COMMODITIES
CONTAINED THEREIN FOR THE PURPOSE OF REUSE OR RECYCLING, AND CHANGING
THE PHYSICAL OR CHEMICAL COMPOSITION OF ELECTRONIC WASTE TO SEGREGATE
COMPONENTS FOR PURPOSES OF RECYCLING THOSE COMPONENTS.
17. "RETAILER" MEANS A PERSON WHO SELLS COVERED ELECTRONIC EQUIPMENT
TO A PERSON IN THE STATE THROUGH ANY MEANS, INCLUDING, BUT NOT LIMITED
TO, TRANSACTIONS CONDUCTED THROUGH RETAIL SALES OUTLETS, MAIL, CATALOGS,
THE TELEPHONE OR THE INTERNET, OR ANY ELECTRONIC MEANS. "RETAILER" DOES
NOT INCLUDE A PERSON WHO SELLS OR OFFERS FOR SALE FEWER THAN TEN ITEMS
OF COVERED ELECTRONIC EQUIPMENT DURING A CALENDAR YEAR.
18. "REUSE" MEANS THE USE OF ELECTRONIC WASTE THAT IS TESTED AND
CERTIFIED TO BE IN GOOD WORKING ORDER AND WHICH WAS REMOVED FROM THE
WASTE STREAM FOR USE FOR THE SAME PURPOSE FOR WHICH IT WAS MANUFACTURED,
INCLUDING THE CONTINUED USE OF WHOLE SYSTEMS OR COMPONENTS.
19. "SELL" OR "SALE" MEANS ANY TRANSFER FOR CONSIDERATION OF TITLE OR
THE RIGHT TO USE, FROM A MANUFACTURER OR RETAILER TO A PERSON, INCLUD-
ING, BUT NOT LIMITED TO, TRANSACTIONS CONDUCTED THROUGH RETAIL SALES
OUTLETS, CATALOGS, MAIL, THE TELEPHONE, THE INTERNET, OR ANY ELECTRONIC
MEANS; THIS INCLUDES TRANSFER OF NEW PRODUCTS OR USED PRODUCTS THAT MAY
HAVE BEEN REFURBISHED BY THEIR MANUFACTURER OR MANUFACTURER-APPROVED
PARTY AND THAT ARE OFFERED FOR SALE BY A MANUFACTURER OR RETAILER, BUT
DOES NOT INCLUDE CONSUMER-TO-CONSUMER SECOND-HAND TRANSFER. "SELL OR
SALE" DOES NOT INCLUDE: (A) THE TRANSFER OF USED COVERED ELECTRONIC
EQUIPMENT OR A LEASE OF COVERED ELECTRONIC EQUIPMENT; OR (B) WHOLESALE
TRANSACTIONS AMONG A MANUFACTURER, WHOLESALER AND RETAILER.
20. "SMALL ELECTRONIC EQUIPMENT" MEANS ANY PORTABLE DIGITAL MUSIC
PLAYER THAT HAS MEMORY CAPABILITY AND IS BATTERY-POWERED, VIDEO CASSETTE
RECORDER, A DIGITAL VIDEO DISC PLAYER, DIGITAL VIDEO RECORDER, DIGITAL
CONVERTER BOX, CABLE OR SATELLITE RECEIVER, OR ELECTRONIC OR VIDEO GAME
CONSOLE, AND INCLUDES ANY CABLE, CORD, OR WIRING PERMANENTLY AFFIXED TO
OR INCORPORATED INTO ANY SUCH PRODUCT.
A. 9709--B 50
21. "TELEVISION" MEANS A DISPLAY SYSTEM CONTAINING A CATHODE RAY TUBE
OR ANY OTHER TYPE OF DISPLAY PRIMARILY INTENDED TO RECEIVE VIDEO
PROGRAMMING VIA BROADCAST, CABLE OR SATELLITE TRANSMISSION, HAVING A
VIEWABLE AREA GREATER THAN FOUR INCHES WHEN MEASURED DIAGONALLY.
S 27-2603. MANUFACTURER COLLECTION; RECYCLING SURCHARGE.
1. BEGINNING DECEMBER FIRST, TWO THOUSAND TEN, A MANUFACTURER OF
COVERED ELECTRONIC EQUIPMENT MUST ACCEPT FOR COLLECTION, HANDLING AND
RECYCLING OR REUSE ELECTRONIC WASTE FOR WHICH IT IS THE MANUFACTURER AND
ONE PIECE OF ELECTRONIC WASTE OF ANY MANUFACTURER'S BRAND, WITH THE
PURCHASE OF COVERED ELECTRONIC EQUIPMENT OF THE SAME TYPE BY A CONSUMER.
SUCH WASTE SHALL COUNT TOWARD THE AMOUNT OF ELECTRONIC WASTE REQUIRED TO
BE ACCEPTED PURSUANT TO SUBDIVISION FOUR OF THIS SECTION.
2. BEGINNING DECEMBER FIRST, TWO THOUSAND TEN, EACH MANUFACTURER MUST
ACCEPT FOR COLLECTION, HANDLING AND RECYCLING OR REUSE THE MANUFACTUR-
ER'S ACCEPTANCE STANDARD AS SPECIFIED IN SUBDIVISION FOUR OF THIS
SECTION.
3. STATEWIDE RECYCLING OR REUSE GOAL. (A) FOR THE PERIOD FROM DECEM-
BER FIRST, TWO THOUSAND TEN THROUGH JUNE FIRST, TWO THOUSAND ELEVEN, THE
STATEWIDE RECYCLING OR REUSE GOAL FOR ELECTRONIC WASTE SHALL BE THE
PRODUCT OF THE LATEST POPULATION ESTIMATE FOR THE STATE, AS PUBLISHED BY
THE U.S. CENSUS BUREAU ON JANUARY FIRST, TWO THOUSAND TEN MULTIPLIED BY
THREE POUNDS MULTIPLIED BY ONE-HALF.
(B) BEGINNING JUNE SECOND, TWO THOUSAND ELEVEN, THE STATEWIDE RECYCL-
ING OR REUSE GOAL FOR ALL ELECTRONIC WASTE SHALL BE THE PRODUCT OF THE
LATEST POPULATION ESTIMATE, AS PUBLISHED BY THE U.S. CENSUS BUREAU
MULTIPLIED BY FOUR POUNDS.
(C) FOR CALENDAR YEAR TWO THOUSAND TWELVE, THE STATEWIDE RECYCLING OR
REUSE GOAL FOR ALL ELECTRONIC WASTE SHALL BE THE PRODUCT OF THE LATEST
POPULATION ESTIMATE, AS PUBLISHED BY THE U.S. CENSUS BUREAU MULTIPLIED
BY FIVE POUNDS.
(D) FOR CALENDAR YEAR TWO THOUSAND THIRTEEN AND ANNUALLY THEREAFTER,
THE STATEWIDE RECYCLING OR REUSE GOAL FOR ALL ELECTRONIC WASTE IS THE
PRODUCT OF THE BASE WEIGHT MULTIPLIED BY THE GOAL ATTAINMENT PERCENTAGE.
FOR THE PURPOSES OF THIS PARAGRAPH, "BASE WEIGHT" MEANS THE GREATER OF:
(I) THE AVERAGE WEIGHT OF ALL ELECTRONIC WASTE COLLECTED FOR RECYCLING
OR REUSE DURING THE PREVIOUS THREE CALENDAR YEARS AS REPORTED TO THE
DEPARTMENT PURSUANT TO PARAGRAPH (B) OF SUBDIVISION ONE OF SECTION
27-2617 OF THIS TITLE; OR (II) THE THREE YEAR AVERAGE OF THE SUM OF ALL
ELECTRONIC WASTE COLLECTED FOR RECYCLING OR REUSE DURING THE PREVIOUS
THREE CALENDAR YEARS AS REPORTED TO THE DEPARTMENT PURSUANT TO PARAGRAPH
(B) OF SUBDIVISION ONE, PARAGRAPH (B) OF SUBDIVISION TWO AND PARAGRAPH
(B) OF SUBDIVISION THREE OF SECTION 27-2613 OF THIS TITLE.
(E) THE "GOAL ATTAINMENT PERCENTAGE" MEANS:
(I) NINETY PERCENT IF THE BASE WEIGHT IS LESS THAN NINETY PERCENT OF
THE STATEWIDE RECYCLING OR REUSE GOAL FOR THE PREVIOUS CALENDAR YEAR;
(II) NINETY-FIVE PERCENT IF THE BASE WEIGHT IS NINETY PERCENT OR
GREATER, BUT DOES NOT EXCEED NINETY-FIVE PERCENT OF THE STATEWIDE RECY-
CLING OR REUSE GOAL FOR THE PREVIOUS CALENDAR YEAR;
(III) ONE HUNDRED PERCENT IF THE BASE WEIGHT IS NINETY-FIVE PERCENT OR
GREATER, BUT DOES NOT EXCEED ONE HUNDRED FIVE PERCENT OF THE STATEWIDE
RECYCLING OR REUSE GOAL FOR THE PREVIOUS CALENDAR YEAR;
(IV) ONE HUNDRED FIVE PERCENT IF THE BASE WEIGHT IS ONE HUNDRED FIVE
PERCENT OR GREATER, BUT DOES NOT EXCEED ONE HUNDRED TEN PERCENT OF THE
STATEWIDE RECYCLING OR REUSE GOAL FOR THE PREVIOUS CALENDAR YEAR; AND
A. 9709--B 51
(V) ONE HUNDRED TEN PERCENT IF THE BASE WEIGHT IS ONE HUNDRED TEN
PERCENT OR GREATER OF THE STATEWIDE RECYCLING OR REUSE GOAL FOR THE
PREVIOUS CALENDAR YEAR.
4. MANUFACTURER ACCEPTANCE STANDARD. (A) FOR CALENDAR YEAR TWO THOU-
SAND ELEVEN, EACH MANUFACTURER'S ACCEPTANCE STANDARD IS THE PRODUCT OF
THE STATEWIDE RECYCLING OR REUSE GOAL UNDER PARAGRAPH (A) OF SUBDIVISION
THREE OF THIS SECTION MULTIPLIED BY THAT MANUFACTURER'S MARKET SHARE AS
DETERMINED BY THE DEPARTMENT PURSUANT TO PARAGRAPH (C) OF THIS SUBDIVI-
SION.
(B) FOR CALENDAR YEAR TWO THOUSAND TWELVE AND ANNUALLY THEREAFTER,
EACH MANUFACTURER'S ACCEPTANCE STANDARD IS THE PRODUCT OF THE STATEWIDE
RECYCLING OR REUSE GOAL UNDER PARAGRAPH (B), (C) OR (D) OF SUBDIVISION
THREE OF THIS SECTION AS APPROPRIATE MULTIPLIED BY THAT MANUFACTURER'S
MARKET SHARE PURSUANT TO PARAGRAPH (C) OF THIS SUBDIVISION.
(C) EACH MANUFACTURER'S MARKET SHARE OF ELECTRONIC WASTE SHALL BE
DETERMINED BY THE DEPARTMENT BASED ON THE MANUFACTURER'S PERCENTAGE
SHARE OF THE TOTAL WEIGHT OF COVERED ELECTRONIC EQUIPMENT SOLD AS DETER-
MINED BY THE BEST AVAILABLE INFORMATION, INCLUDING, BUT NOT LIMITED TO,
STATE SALES DATA REPORTED BY WEIGHT. BEGINNING JULY FIRST, TWO THOUSAND
ELEVEN, AND EVERY YEAR THEREAFTER, THE DEPARTMENT SHALL PROVIDE EACH
MANUFACTURER WITH A DETERMINATION OF ITS MARKET SHARE OF ELECTRONIC
WASTE WHICH SHALL BE THE QUOTIENT OF THE TOTAL WEIGHT OF THE MANUFACTUR-
ER'S COVERED ELECTRONIC EQUIPMENT SOLD TO PERSONS IN THIS STATE BASED ON
THE AVERAGE ANNUAL RETAIL SALES DURING THE PRECEDING THREE CALENDAR
YEARS, AS REPORTED UNDER SECTION 27-2617 OF THIS TITLE DIVIDED BY THE
TOTAL WEIGHT OF ALL MANUFACTURERS COVERED ELECTRONIC EQUIPMENT SOLD TO
PERSONS IN THIS STATE BASED ON THE AVERAGE ANNUAL RETAIL SALES DURING
THE PRECEDING THREE CALENDAR YEARS, AS REPORTED UNDER SECTION 27-2617 OF
THIS TITLE.
5. IN THE ABSENCE OF A WAIVER BY THE DEPARTMENT PURSUANT TO SUBDIVI-
SION THREE OF SECTION 27-2615 OF THIS TITLE, BEGINNING IN CALENDAR YEAR
TWO THOUSAND TWELVE, A MANUFACTURER THAT FAILS TO MEET ITS MANUFACTUR-
ER'S ACCEPTANCE STANDARD AS REQUIRED BY SUBDIVISION FOUR OF THIS SECTION
SHALL BE SUBJECT TO A RECYCLING SURCHARGE, DETERMINED AS FOLLOWS:
(A) IF A MANUFACTURER ACCEPTS AT LEAST NINETY PERCENT BUT LESS THAN
ONE HUNDRED PERCENT OF ITS MANUFACTURER'S ACCEPTANCE STANDARD AS
REQUIRED BY SUBDIVISION FOUR OF THIS SECTION, THE SURCHARGE SHALL BE
THIRTY CENTS MULTIPLIED BY THE NUMBER OF ADDITIONAL POUNDS OF ELECTRONIC
WASTE THAT SHOULD HAVE BEEN ACCEPTED BY SUCH MANUFACTURER.
(B) IF A MANUFACTURER ACCEPTS AT LEAST FIFTY PERCENT BUT LESS THAN
NINETY PERCENT OF ITS MANUFACTURER'S ACCEPTANCE STANDARD AS REQUIRED BY
SUBDIVISION FOUR OF THIS SECTION, THE SURCHARGE SHALL BE FORTY CENTS
MULTIPLIED BY THE NUMBER OF ADDITIONAL POUNDS OF ELECTRONIC WASTE THAT
SHOULD HAVE BEEN ACCEPTED BY SUCH MANUFACTURER.
(C) IF A MANUFACTURER ACCEPTS LESS THAN FIFTY PERCENT OF ITS MANUFAC-
TURER'S ACCEPTANCE STANDARD AS REQUIRED BY SUBDIVISION FOUR OF THIS
SECTION, THE SURCHARGE SHALL BE FIFTY CENTS MULTIPLIED BY THE NUMBER OF
ADDITIONAL POUNDS OF ELECTRONIC WASTE THAT SHOULD HAVE BEEN ACCEPTED BY
SUCH MANUFACTURER.
6. THE RECYCLING SURCHARGE SHALL BE PAID TO THE DEPARTMENT WITH THE
ANNUAL REPORT REQUIRED PURSUANT TO SECTION 27-2617 OF THIS TITLE.
7. BEGINNING WITH CALENDAR YEAR TWO THOUSAND THIRTEEN, IF A MANUFAC-
TURER ACCEPTS MORE THAN ITS MANUFACTURER'S ACCEPTANCE STANDARD AS
REQUIRED BY SUBDIVISION FOUR OF THIS SECTION, THE EXCESS WEIGHT MAY BE
USED AS ELECTRONIC WASTE ACCEPTANCE CREDITS AND MAY BE SOLD, TRADED, OR
BANKED FOR A PERIOD NO LONGER THAN THREE CALENDAR YEARS SUCCEEDING THE
A. 9709--B 52
YEAR IN WHICH THE CREDITS WERE EARNED; PROVIDED, HOWEVER, THAT NO MORE
THAN TWENTY-FIVE PERCENT OF A MANUFACTURER'S OBLIGATION FOR ANY CALENDAR
YEAR MAY BE MET WITH RECYCLING CREDITS GENERATED IN A PRIOR CALENDAR
YEAR.
S 27-2605. MANUFACTURER ELECTRONIC WASTE REGISTRATION AND RESPONSIBIL-
ITIES.
1. A MANUFACTURER SHALL SUBMIT A REGISTRATION TO THE DEPARTMENT BY
JUNE FIRST, TWO THOUSAND TEN, ALONG WITH A REGISTRATION FEE OF FIVE
THOUSAND DOLLARS. SUCH REGISTRATION SHALL INCLUDE:
(A) THE MANUFACTURER'S NAME, ADDRESS, AND TELEPHONE NUMBER;
(B) THE NAME AND TITLE OF AN OFFICER, DIRECTOR, OR OTHER INDIVIDUAL
DESIGNATED AS THE MANUFACTURER'S CONTACT FOR PURPOSES OF THIS TITLE;
(C) A LIST IDENTIFYING THE MANUFACTURER'S BRANDS;
(D) A GENERAL DESCRIPTION OF THE MANNER IN WHICH THE MANUFACTURER WILL
COMPLY WITH SECTION 27-2603 OF THIS TITLE, INCLUDING SPECIFIC INFORMA-
TION ON THE MANUFACTURER'S ELECTRONIC WASTE ACCEPTANCE PROGRAM IN THE
STATE, AND A CURRENT LIST OF LOCATIONS WITHIN THE STATE WHERE CONSUMERS
MAY RETURN ELECTRONIC WASTE;
(E) SALES DATA REPORTED BY WEIGHT FOR THE MANUFACTURER'S COVERED ELEC-
TRONIC EQUIPMENT SOLD IN THIS STATE FOR THE PREVIOUS THREE CALENDAR
YEARS, CATEGORIZED BY TYPE TO THE EXTENT KNOWN. IF THE MANUFACTURER
CANNOT PROVIDE ACCURATE STATE SALES DATA, IT MUST EXPLAIN WHY SUCH DATA
CANNOT BE PROVIDED, AND ESTIMATE STATE SALES DATA BY (I) DIVIDING ITS
NATIONAL SALES DATA BY WEIGHT BY THE NATIONAL POPULATION ACCORDING TO
THE MOST RECENT CENSUS AND MULTIPLYING THE RESULT BY THE POPULATION OF
THE STATE, OR (II) ANOTHER METHOD APPROVED BY THE DEPARTMENT;
(F) A STATEMENT DISCLOSING WHETHER: (I) ANY COVERED ELECTRONIC DEVICE
SOLD IN THIS STATE EXCEEDS THE MAXIMUM CONCENTRATION VALUES ESTABLISHED
FOR LEAD, MERCURY, CADMIUM, HEXAVALENT CHROMIUM, POLYBROMINATED BIPHE-
NYLS (PBBS), AND POLYBROMINATED DIPHENYL ETHERS (PBDES) UNDER THE
RESTRICTION OF HAZARDOUS SUBSTANCES DIRECTIVE (ROHS) PURSUANT TO
2002/95/EC OF THE EUROPEAN PARLIAMENT AND COUNCIL AND ANY AMENDMENTS
THERETO AND IF SO, A LISTING OF ANY COVERED ELECTRONIC EQUIPMENT THAT IS
NOT IN COMPLIANCE WITH SUCH DIRECTIVE; OR (II) THE MANUFACTURER HAS
RECEIVED AN EXEMPTION FROM ONE OR MORE OF THOSE MAXIMUM CONCENTRATION
VALUES UNDER THE ROHS DIRECTIVE THAT HAS BEEN APPROVED AND PUBLISHED BY
THE EUROPEAN COMMISSION; AND
(G) ANY OTHER INFORMATION AS THE DEPARTMENT MAY REQUIRE.
2. A MANUFACTURER'S REGISTRATION MUST BE UPDATED WITHIN THIRTY DAYS OF
ANY MATERIAL CHANGE TO THE INFORMATION REQUIRED BY THE REGISTRATION.
3. ANY PERSON WHO BECOMES A MANUFACTURER ON OR AFTER JUNE SECOND, TWO
THOUSAND TEN SHALL REGISTER WITH THE DEPARTMENT PRIOR TO SELLING OR
OFFERING FOR SALE IN THE STATE ANY COVERED ELECTRONIC EQUIPMENT, AND
MUST COMPLY WITH THE REQUIREMENTS OF THIS TITLE.
4. NO LATER THAN DECEMBER FIRST, TWO THOUSAND TEN, A MANUFACTURER
SHALL NOT SELL OR OFFER FOR SALE ELECTRONIC EQUIPMENT IN THE STATE
UNLESS THE MANUFACTURER HAS REGISTERED WITH THE DEPARTMENT AND MAINTAINS
AN ELECTRONIC WASTE ACCEPTANCE PROGRAM THROUGH WHICH THE MANUFACTURER,
EITHER DIRECTLY OR THROUGH AN AGENT OR DESIGNEE, ACCEPTS ELECTRONIC
WASTE FROM CONSUMERS IN THE STATE FOR RECYCLING. THE MANUFACTURER SHALL
ENSURE THAT RETAILERS ARE NOTIFIED OF SUCH REGISTRATION. THE MANUFAC-
TURER SHALL NOT IMPOSE A FEE ON CONSUMERS FOR THE COLLECTION, HANDLING
AND RECYCLING OR REUSE OF ELECTRONIC WASTE.
5. THE ELECTRONIC WASTE ACCEPTANCE PROGRAM SHALL INCLUDE, AT A MINI-
MUM:
A. 9709--B 53
(A) COLLECTION, HANDLING AND RECYCLING OR REUSE OF COVERED ELECTRONIC
EQUIPMENT PRODUCED BY THE MANUFACTURER AND OFFERED FOR RETURN BY ANY
CONSUMER IN THIS STATE, FREE OF COST AND IN A MANNER CONVENIENT TO
CONSUMERS. THE FOLLOWING ACCEPTANCE METHODS SHALL BE CONSIDERED REASON-
ABLY CONVENIENT: (I) MAIL OR SHIP BACK RETURN PROGRAMS; (II) COLLECTION
OR ACCEPTANCE EVENTS CONDUCTED BY THE MANUFACTURER OR THE MANUFACTURER'S
AGENT OR DESIGNEE, INCLUDING EVENTS CONDUCTED THROUGH LOCAL GOVERNMENTS
OR PRIVATE PARTIES; (III) FIXED ACCEPTANCE LOCATIONS SUCH AS DEDICATED
ACCEPTANCE SITES OPERATED BY THE MANUFACTURER OR ITS AGENT OR DESIGNEE;
(IV) AGREEMENTS WITH LOCAL GOVERNMENTS, RETAIL STORES, SALES OUTLETS AND
NOT-FOR-PROFIT ORGANIZATIONS WHICH HAVE AGREED TO PROVIDE FACILITIES FOR
THE COLLECTION OF ELECTRONIC WASTE; (V) COMMUNITY COLLECTION EVENTS; AND
(VI) ANY COMBINATION OF THESE OR OTHER ACCEPTANCE METHODS WHICH EFFEC-
TIVELY PROVIDE FOR THE ACCEPTANCE OF ELECTRONIC WASTE FOR RECYCLING OR
REUSE THROUGH MEANS THAT ARE AVAILABLE AND REASONABLY CONVENIENT TO
CONSUMERS IN THE STATE. AT A MINIMUM, THE MANUFACTURER SHALL ENSURE THAT
ALL COUNTIES OF THE STATE AND ALL MUNICIPALITIES WHICH HAVE A POPULATION
OF TEN THOUSAND OR GREATER HAVE AT LEAST ONE METHOD OF ACCEPTANCE THAT
IS AVAILABLE WITHIN THAT MUNICIPALITY. THE DEPARTMENT MAY ESTABLISH
ADDITIONAL REQUIREMENTS TO ENSURE CONVENIENT COLLECTION FROM CONSUMERS;
(B) INFORMATION ON HOW CONSUMERS CAN DESTROY ALL DATA ON ANY ELECTRON-
IC WASTE, EITHER THROUGH PHYSICAL DESTRUCTION OF THE HARD DRIVE OR
THROUGH DATA WIPING;
(C) A PUBLIC EDUCATION PROGRAM TO INFORM CONSUMERS ABOUT THE MANUFAC-
TURER'S ELECTRONIC WASTE ACCEPTANCE PROGRAM, INCLUDING AT A MINIMUM: (I)
AN INTERNET WEBSITE AND A TOLL-FREE TELEPHONE NUMBER AND WRITTEN INFOR-
MATION INCLUDED IN THE PACKAGE FOR, OR AT THE TIME OF SALE OF, COVERED
ELECTRONIC EQUIPMENT THAT PROVIDES SUFFICIENT INFORMATION TO ALLOW A
CONSUMER OF COVERED ELECTRONIC EQUIPMENT TO LEARN HOW TO RETURN THE
COVERED EQUIPMENT FOR RECYCLING OR REUSE, AND IN THE CASE OF MANUFACTUR-
ERS OF COMPUTERS, HARD DRIVES AND OTHER COVERED ELECTRONIC EQUIPMENT
THAT HAVE INTERNAL MEMORY ON WHICH PERSONAL OR OTHER CONFIDENTIAL DATA
CAN BE STORED, SUCH WEBSITE SHALL PROVIDE INSTRUCTIONS FOR HOW CONSUMERS
CAN DESTROY SUCH DATA BEFORE SURRENDERING THE PRODUCTS FOR RECYCLING OR
REUSE; (II) ADVERTISEMENTS AND PRESS RELEASES IF ANY; AND
(D) ANY OTHER INFORMATION AS REQUIRED BY THE DEPARTMENT IN ACCORDANCE
WITH REGULATIONS PROMULGATED PURSUANT TO THIS ARTICLE.
6. A MANUFACTURER SHALL MAINTAIN RECORDS DEMONSTRATING COMPLIANCE WITH
THIS TITLE AND MAKE THEM AVAILABLE FOR AUDIT AND INSPECTION BY THE
DEPARTMENT FOR A PERIOD OF THREE YEARS.
7. A MANUFACTURER MAY SATISFY THE ELECTRONIC WASTE COLLECTION REQUIRE-
MENTS OF THIS SECTION BY AGREEING TO PARTICIPATE IN A COLLECTIVE ELEC-
TRONIC WASTE ACCEPTANCE PROGRAM WITH OTHER MANUFACTURERS. ANY SUCH
COLLECTIVE ELECTRONIC WASTE ACCEPTANCE PROGRAM MUST MEET THE SAME
REQUIREMENTS AS AN INDIVIDUAL MANUFACTURER. ANY COLLECTIVE ELECTRONIC
WASTE ACCEPTANCE PROGRAM MUST INCLUDE A LIST OF MANUFACTURERS THAT ARE
PARTICIPATING IN SUCH PROGRAM ALONG WITH OTHER IDENTIFYING INFORMATION
AS MAY BE REQUIRED BY THE DEPARTMENT. SUCH PROGRAM SHALL SUBMIT A REGIS-
TRATION TO THE DEPARTMENT ALONG WITH A REGISTRATION FEE OF TEN THOUSAND
DOLLARS.
8. A MANUFACTURER SHALL BE RESPONSIBLE FOR ALL COSTS ASSOCIATED WITH
THE IMPLEMENTATION OF THE ELECTRONIC WASTE ACCEPTANCE PROGRAM.
S 27-2607. RETAILER REQUIREMENTS.
1. AT THE LOCATION OF SALE OF COVERED ELECTRONIC EQUIPMENT, A RETAILER
SHALL PROVIDE PURCHASERS OF COVERED ELECTRONIC EQUIPMENT WITH INFORMA-
A. 9709--B 54
TION, IF ANY, ABOUT OPPORTUNITIES FOR THE RETURN OF ELECTRONIC WASTE
THAT HAS BEEN PROVIDED TO THE RETAILER BY A MANUFACTURER.
2. NO RETAILER SHALL SELL OR OFFER FOR SALE IN THE STATE ANY COVERED
ELECTRONIC EQUIPMENT UNLESS THE MANUFACTURER AND THE MANUFACTURER'S
BRANDS ARE REGISTERED WITH THE DEPARTMENT PURSUANT TO SECTION 27-2605 OF
THIS TITLE.
S 27-2609. LABELING.
BEGINNING DECEMBER FIRST, TWO THOUSAND TEN, A MANUFACTURER MAY NOT
OFFER FOR SALE IN THE STATE OR DELIVER TO RETAILERS FOR SUBSEQUENT SALE
COVERED ELECTRONIC EQUIPMENT UNLESS IT HAS A VISIBLE, PERMANENT LABEL
CLEARLY IDENTIFYING THE MANUFACTURER OF THAT EQUIPMENT.
S 27-2611. DISPOSAL BAN.
1. BEGINNING JANUARY FIRST, TWO THOUSAND ELEVEN, NO MANUFACTURER,
RETAILER, OR OWNER OR OPERATOR OF AN ELECTRONIC WASTE COLLECTION SITE,
ELECTRONIC WASTE CONSOLIDATION FACILITY OR ELECTRONIC WASTE RECYCLING
FACILITY IN THE STATE SHALL DISPOSE OF ELECTRONIC WASTE AT A SOLID WASTE
MANAGEMENT FACILITY OR HAZARDOUS WASTE MANAGEMENT FACILITY, OR PLACE
ELECTRONIC WASTE FOR COLLECTION WHICH IS INTENDED FOR DISPOSAL AT A
SOLID WASTE MANAGEMENT FACILITY OR HAZARDOUS WASTE MANAGEMENT FACILITY.
2. BEGINNING JANUARY FIRST, TWO THOUSAND TWELVE, NO PERSON EXCEPT FOR
AN INDIVIDUAL OR HOUSEHOLD SHALL PLACE OR DISPOSE OF ANY ELECTRONIC
WASTE IN ANY SOLID WASTE MANAGEMENT FACILITY, OR PLACE ELECTRONIC WASTE
FOR COLLECTION WHICH IS INTENDED FOR DISPOSAL AT A SOLID WASTE MANAGE-
MENT FACILITY OR HAZARDOUS WASTE MANAGEMENT FACILITY IN THIS STATE.
PERSONS ENGAGED IN THE COLLECTION OF SOLID WASTE FOR DELIVERY TO A SOLID
WASTE MANAGEMENT FACILITY SHALL PROVIDE WRITTEN INFORMATION TO USERS OF
SUCH FACILITY ON THE PROPER METHODS FOR THE RECYCLING OF ELECTRONIC
WASTE.
3. BEGINNING JANUARY FIRST, TWO THOUSAND SIXTEEN, NO INDIVIDUAL OR
HOUSEHOLD SHALL PLACE OR DISPOSE OF ANY ELECTRONIC WASTE IN ANY SOLID
WASTE MANAGEMENT FACILITY, OR PLACE ELECTRONIC WASTE FOR COLLECTION
WHICH IS INTENDED FOR DISPOSAL AT A SOLID WASTE MANAGEMENT FACILITY OR
HAZARDOUS WASTE MANAGEMENT FACILITY IN THIS STATE.
4. BEGINNING JANUARY FIRST, TWO THOUSAND ELEVEN, AN OWNER OR OPERATOR
OF A SOLID WASTE MANAGEMENT FACILITY OR HAZARDOUS WASTE MANAGEMENT
FACILITY SHALL EDUCATE USERS OF SUCH FACILITY ON THE PROPER METHODS FOR
THE MANAGEMENT OF ELECTRONIC WASTE. SUCH EDUCATION SHALL INCLUDE:
(A) PROVIDING WRITTEN INFORMATION TO USERS OF SUCH FACILITY ON THE
PROPER METHODS FOR RECYCLING OF ELECTRONIC WASTE; AND
(B) POSTING, IN CONSPICUOUS LOCATIONS AT SUCH FACILITY, SIGNS STATING
THAT ELECTRONIC WASTE MAY NOT BE DISPOSED OF AT THE FACILITY.
S 27-2613. ELECTRONIC WASTE COLLECTION, CONSOLIDATION AND RECYCLING.
1. ELECTRONIC WASTE COLLECTION SITES. NO LATER THAN DECEMBER FIRST,
TWO THOUSAND TEN, EACH PERSON WHO OWNS OR OPERATES AN ELECTRONIC WASTE
COLLECTION SITE IN THE STATE SHALL:
(A) REGISTER WITH THE DEPARTMENT ON A FORM PRESCRIBED BY THE DEPART-
MENT. THE REGISTRATION SHALL INCLUDE: (I) THE NAME, ADDRESS, AND TELE-
PHONE NUMBER OF THE OWNERS AND THE OPERATORS OF THE ELECTRONIC WASTE
COLLECTION SITE; AND (II) THE NAME, ADDRESS, AND TELEPHONE NUMBER OF THE
ELECTRONIC WASTE COLLECTION SITE. ANY PERSON WHO COMMENCES THE OPERATION
OF AN ELECTRONIC WASTE COLLECTION SITE ON OR AFTER DECEMBER FIRST, TWO
THOUSAND TEN SHALL REGISTER WITH THE DEPARTMENT AT LEAST THIRTY DAYS
PRIOR TO RECEIVING ANY ELECTRONIC WASTE AT SUCH COLLECTION SITE. A
REGISTRATION IS EFFECTIVE UPON ACCEPTANCE BY THE DEPARTMENT. IN THE CASE
OF COLLECTION SITES OPERATED BY A RETAILER, A SINGLE REGISTRATION LIST-
A. 9709--B 55
ING THE NAME, ADDRESS, AND TELEPHONE NUMBER OF THE INDIVIDUAL COLLECTION
SITES MAY BE SUBMITTED COVERING ALL THEIR COLLECTION SITES;
(B) BEGINNING MARCH FIRST, TWO THOUSAND ELEVEN, EACH PERSON OPERATING
AN ELECTRONIC WASTE COLLECTION SITE SHALL SUBMIT TO THE DEPARTMENT A
REPORT FOR THE PERIOD DECEMBER FIRST, TWO THOUSAND TEN THROUGH DECEMBER
THIRTY-FIRST, TWO THOUSAND ELEVEN, AND THEREAFTER, AN ANNUAL REPORT FOR
THE PREVIOUS CALENDAR YEAR, ON A FORM PRESCRIBED BY THE DEPARTMENT,
INCLUDING, BUT NOT LIMITED TO, THE FOLLOWING INFORMATION: (I) THE QUAN-
TITY, BY WEIGHT, OF ELECTRONIC WASTE RECEIVED FROM CONSUMERS IN THE
STATE; (II) THE NAME AND ADDRESS OF EACH PERSON TO WHOM THE ELECTRONIC
WASTE COLLECTION SITE SENT ELECTRONIC WASTE DURING THE PRECEDING YEAR,
ALONG WITH THE QUANTITY, BY WEIGHT, OF ELECTRONIC WASTE THAT WAS SENT TO
EACH SUCH PERSON; AND (III) THE WEIGHT OF ELECTRONIC WASTE COLLECTED ON
BEHALF OF OR PURSUANT TO AN AGREEMENT WITH EACH MANUFACTURER DURING THE
PRECEDING CALENDAR YEAR. ALL QUANTITIES OF ELECTRONIC WASTE REPORTED BY
THE COLLECTION SITE MUST SEPARATELY INCLUDE ELECTRONIC WASTE GENERATED
BY NEW YORK STATE CONSUMERS AND ELECTRONIC WASTE RECEIVED FROM OR
SHIPPED OUTSIDE THE STATE;
(C) MANAGE ELECTRONIC WASTE IN A MANNER THAT COMPLIES WITH ALL APPLI-
CABLE LAWS, RULES AND REGULATIONS;
(D) STORE ELECTRONIC WASTE (I) IN A FULLY ENCLOSED BUILDING WITH A
ROOF, FLOOR AND WALLS, OR (II) IN A SECURE CONTAINER (E.G., PACKAGE OR
VEHICLE), THAT IS CONSTRUCTED AND MAINTAINED TO MINIMIZE BREAKAGE OF
ELECTRONIC WASTE AND TO PREVENT RELEASES OF HAZARDOUS MATERIALS TO THE
ENVIRONMENT;
(E) REMOVE ELECTRONIC WASTE FROM THE SITE WITHIN ONE YEAR OF THE
WASTE'S RECEIPT AT THE SITE, AND MAINTAIN RECORDS DEMONSTRATING COMPLI-
ANCE WITH THIS REQUIREMENT.
2. ELECTRONIC WASTE CONSOLIDATION FACILITIES. (A) NO LATER THAN
DECEMBER FIRST, TWO THOUSAND TEN, EACH PERSON WHO OPERATES AN ELECTRONIC
WASTE CONSOLIDATION FACILITY IN THE STATE SHALL REGISTER WITH THE
DEPARTMENT ON A FORM PRESCRIBED BY THE DEPARTMENT. THE REGISTRATION
SHALL INCLUDE: (I) THE NAME, ADDRESS AND TELEPHONE NUMBER OF THE OWNER
AND THE OPERATOR OF THE FACILITY; AND (II) THE NAME, ADDRESS AND TELE-
PHONE NUMBER OF THE ELECTRONIC WASTE CONSOLIDATION FACILITY. ANY PERSON
WHO COMMENCES THE OPERATION OF AN ELECTRONIC WASTE CONSOLIDATION FACILI-
TY ON OR AFTER DECEMBER FIRST, TWO THOUSAND TEN SHALL REGISTER WITH THE
DEPARTMENT AT LEAST THIRTY DAYS PRIOR TO RECEIVING ANY ELECTRONIC WASTE.
A REGISTRATION IS EFFECTIVE UPON ACCEPTANCE BY THE DEPARTMENT. ANY
REGISTRATION REQUIRED BY THIS PARAGRAPH SHALL BE ACCOMPANIED BY A REGIS-
TRATION FEE OF TWO HUNDRED FIFTY DOLLARS.
(B) BEGINNING MARCH FIRST, TWO THOUSAND ELEVEN, EACH PERSON OPERATING
AN ELECTRONIC WASTE CONSOLIDATION FACILITY SHALL SUBMIT TO THE DEPART-
MENT A REPORT FOR THE PERIOD DECEMBER FIRST, TWO THOUSAND TEN THROUGH
DECEMBER THIRTY-FIRST, TWO THOUSAND ELEVEN, AND THEREAFTER, AN ANNUAL
REPORT FOR THE PREVIOUS CALENDAR YEAR, ON A FORM PRESCRIBED BY THE
DEPARTMENT, INCLUDING, BUT NOT LIMITED TO, THE FOLLOWING INFORMATION:
(I) THE NAME AND ADDRESS OF EACH ELECTRONIC WASTE COLLECTION SITE FROM
WHICH THE CONSOLIDATION FACILITY RECEIVED ELECTRONIC WASTE DURING THE
PRECEDING YEAR, ALONG WITH THE QUANTITY, BY WEIGHT, OF ELECTRONIC WASTE
RECEIVED FROM EACH COLLECTION SITE; (II) THE NAME AND ADDRESS OF EACH
PERSON TO WHOM THE ELECTRONIC WASTE CONSOLIDATION FACILITY SENT ELEC-
TRONIC WASTE DURING THE PRECEDING YEAR, ALONG WITH THE QUANTITY, BY
WEIGHT, OF ELECTRONIC WASTE THAT WAS SENT TO EACH SUCH PERSON; (III) THE
WEIGHT OF ELECTRONIC WASTE COLLECTED ON BEHALF OF OR PURSUANT TO AN
AGREEMENT WITH EACH MANUFACTURER DURING THE PRECEDING CALENDAR YEAR; AND
A. 9709--B 56
(IV) A CERTIFICATION BY THE OWNER OR OPERATOR OF THE ELECTRONIC WASTE
CONSOLIDATION FACILITY THAT SUCH A FACILITY HAS COMPLIED WITH THE
REQUIREMENTS OF THIS TITLE AND ALL OTHER APPLICABLE LAWS, RULES, AND
REGULATIONS. ALL QUANTITIES OF ELECTRONIC WASTE REPORTED BY THE CONSOL-
IDATION FACILITY MUST SEPARATELY INCLUDE ELECTRONIC WASTE GENERATED BY
NEW YORK STATE CONSUMERS AND ELECTRONIC WASTE RECEIVED FROM OR SHIPPED
OUTSIDE THE STATE.
(C) EACH PERSON OPERATING AN ELECTRONIC WASTE CONSOLIDATION FACILITY
SHALL:
(I) MANAGE ELECTRONIC WASTE IN A MANNER THAT COMPLIES WITH ALL APPLI-
CABLE LAWS, RULES AND REGULATIONS;
(II) STORE ELECTRONIC WASTE (A) IN A FULLY ENCLOSED BUILDING WITH A
ROOF, FLOOR AND WALLS, OR (B) IN A SECURE CONTAINER (E.G., PACKAGE OR
VEHICLE), THAT IS CONSTRUCTED AND MAINTAINED TO MINIMIZE BREAKAGE OF
ELECTRONIC WASTE AND TO PREVENT RELEASES OF HAZARDOUS MATERIALS TO THE
ENVIRONMENT;
(III) HAVE A MEANS TO CONTROL ENTRY, AT ALL TIMES, TO THE ACTIVE
PORTION OF THE FACILITY;
(IV) INFORM ALL EMPLOYEES WHO HANDLE OR HAVE RESPONSIBILITY FOR MANAG-
ING ELECTRONIC WASTE ABOUT THE PROPER HANDLING AND EMERGENCY PROCEDURES
APPROPRIATE TO THE TYPE OR TYPES OF ELECTRONIC WASTE HANDLED AT THE
FACILITY;
(V) REMOVE ELECTRONIC WASTE FROM THE SITE WITHIN ONE YEAR OF THE
WASTE'S RECEIPT AT THE SITE, AND MAINTAIN RECORDS DEMONSTRATING COMPLI-
ANCE WITH THIS REQUIREMENT; AND
(VI) MAINTAIN THE RECORDS REQUIRED BY PARAGRAPHS (A) AND (B) OF THIS
SUBDIVISION AND BY SUBPARAGRAPH (V) OF THIS PARAGRAPH ON SITE AND MAKE
THEM AVAILABLE FOR AUDIT AND INSPECTION BY THE DEPARTMENT FOR A PERIOD
OF THREE YEARS.
(D) A PERSON OPERATING AN ELECTRONIC WASTE CONSOLIDATION FACILITY
SHALL NOT ENGAGE IN ELECTRONIC WASTE RECYCLING UNLESS SUCH PERSON IS
ALSO REGISTERED AS AN ELECTRONIC WASTE RECYCLING FACILITY, AND COMPLIES
WITH THE REQUIREMENTS OF THIS SECTION THAT ARE APPLICABLE TO EACH TYPE
OF FACILITY.
(E) A PERSON OPERATING AN ELECTRONIC WASTE CONSOLIDATION FACILITY MAY
ACCEPT ELECTRONIC WASTE IN THE SAME MANNER AS AN ELECTRONIC WASTE
COLLECTION SITE PROVIDED THAT SUCH PERSON COMPLIES WITH THE REQUIREMENTS
OF THIS SECTION THAT ARE APPLICABLE TO ELECTRONIC WASTE COLLECTION
FACILITIES.
3. ELECTRONIC WASTE RECYCLING FACILITIES. (A) NO LATER THAN DECEMBER
FIRST, TWO THOUSAND TEN, EACH PERSON OPERATING AN ELECTRONIC WASTE RECY-
CLING FACILITY IN THE STATE SHALL REGISTER WITH THE DEPARTMENT ON A FORM
PRESCRIBED BY THE DEPARTMENT. THE REGISTRATION SHALL INCLUDE: (I) THE
NAME, ADDRESS AND TELEPHONE NUMBER OF THE OWNER AND THE OPERATOR OF THE
FACILITY; AND (II) THE NAME, ADDRESS, AND TELEPHONE NUMBER OF THE ELEC-
TRONIC WASTE RECYCLING FACILITY. ANY PERSON WHO COMMENCES THE OPERATION
OF AN ELECTRONIC WASTE RECYCLING FACILITY ON OR AFTER DECEMBER SECOND,
TWO THOUSAND TEN SHALL REGISTER WITH THE DEPARTMENT AT LEAST THIRTY DAYS
PRIOR TO RECEIVING ANY ELECTRONIC WASTE. A REGISTRATION IS EFFECTIVE
UPON ACCEPTANCE BY THE DEPARTMENT. ANY REGISTRATION REQUIRED BY THIS
PARAGRAPH SHALL BE ACCOMPANIED BY A REGISTRATION FEE OF TWO HUNDRED
FIFTY DOLLARS.
(B) BEGINNING MARCH FIRST, TWO THOUSAND ELEVEN, EACH PERSON OPERATING
AN ELECTRONIC WASTE RECYCLING FACILITY SHALL SUBMIT TO THE DEPARTMENT A
REPORT FOR THE PERIOD DECEMBER FIRST, TWO THOUSAND TEN THROUGH DECEMBER
THIRTY-FIRST, TWO THOUSAND ELEVEN, AND THEREAFTER, AN ANNUAL REPORT FOR
A. 9709--B 57
THE PREVIOUS CALENDAR YEAR, ON A FORM PRESCRIBED BY THE DEPARTMENT,
INCLUDING, BUT NOT LIMITED TO, THE FOLLOWING INFORMATION: (I) THE QUAN-
TITY, BY WEIGHT, OF ELECTRONIC WASTE RECEIVED FROM CONSUMERS IN THE
STATE; (II) THE NAME AND ADDRESS OF EACH ELECTRONIC WASTE COLLECTION
SITE AND ELECTRONIC WASTE CONSOLIDATION FACILITY FROM WHICH ELECTRONIC
WASTE WAS RECEIVED DURING THE PRECEDING CALENDAR YEAR, ALONG WITH THE
QUANTITY, BY WEIGHT, OF ELECTRONIC WASTE RECEIVED FROM EACH PERSON;
(III) THE NAME AND ADDRESS OF EACH PERSON TO WHOM THE FACILITY SENT
ELECTRONIC WASTE OR COMPONENT MATERIALS DURING THE PRECEDING YEAR, ALONG
WITH THE QUANTITY, BY WEIGHT, OF ELECTRONIC WASTE OR COMPONENT MATERIALS
THEREOF SENT TO EACH SUCH PERSON; (IV) THE WEIGHT OF ELECTRONIC WASTE
COLLECTED ON BEHALF OF OR PURSUANT TO AN AGREEMENT WITH EACH MANUFACTUR-
ER DURING THE PRECEDING CALENDAR YEAR; AND (V) A CERTIFICATION BY THE
OWNER OR OPERATOR OF THE FACILITY THAT SUCH FACILITY HAS COMPLIED WITH
THE REQUIREMENTS OF THIS TITLE AND ALL OTHER APPLICABLE LAWS, RULES, AND
REGULATIONS. ALL QUANTITIES OF ELECTRONIC WASTE REPORTED BY THE RECYCL-
ING FACILITY MUST SEPARATELY INCLUDE ELECTRONIC WASTE GENERATED BY NEW
YORK STATE CONSUMERS AND ELECTRONIC WASTE RECEIVED FROM OR SHIPPED
OUTSIDE THE STATE.
(C) EACH PERSON OPERATING AN ELECTRONIC WASTE RECYCLING FACILITY
SHALL:
(I) MANAGE AND RECYCLE ELECTRONIC WASTE IN A MANNER THAT COMPLIES WITH
ALL APPLICABLE LAWS, RULES AND REGULATIONS;
(II) STORE ELECTRONIC WASTE (A) IN A FULLY ENCLOSED BUILDING WITH A
ROOF, FLOOR AND WALLS, OR (B) IN A SECURE CONTAINER (E.G., PACKAGE OR
VEHICLE), THAT IS CONSTRUCTED AND MAINTAINED TO MINIMIZE BREAKAGE OF
ELECTRONIC WASTE AND TO PREVENT RELEASES OF HAZARDOUS MATERIALS TO THE
ENVIRONMENT;
(III) HAVE A MEANS TO CONTROL ENTRY, AT ALL TIMES, THROUGH GATES OR
OTHER ENTRANCES TO THE ACTIVE PORTION OF THE FACILITY;
(IV) INFORM ALL EMPLOYEES WHO HANDLE OR HAVE RESPONSIBILITY FOR MANAG-
ING ELECTRONIC WASTE ABOUT PROPER HANDLING AND EMERGENCY PROCEDURES
APPROPRIATE TO THE TYPE OR TYPES OF ELECTRONIC WASTE HANDLED AT THE
FACILITY;
(V) REMOVE ELECTRONIC WASTE FROM THE SITE WITHIN ONE YEAR OF THE
WASTE'S RECEIPT AT THE SITE, AND MAINTAIN RECORDS DEMONSTRATING COMPLI-
ANCE WITH THIS REQUIREMENT; AND
(VI) MAINTAIN THE RECORDS REQUIRED BY PARAGRAPHS (A) AND (B) OF THIS
SUBDIVISION AND BY SUBPARAGRAPH (V) OF THIS PARAGRAPH ON SITE AND MAKE
THEM AVAILABLE FOR AUDIT AND INSPECTION BY THE DEPARTMENT FOR A PERIOD
OF THREE YEARS.
(D) A PERSON OPERATING AN ELECTRONIC WASTE RECYCLING FACILITY MAY ALSO
OPERATE SUCH FACILITY AS AN ELECTRONIC WASTE CONSOLIDATION FACILITY
PROVIDED THAT SUCH PERSON COMPLIES WITH THE REQUIREMENTS OF THIS SECTION
THAT ARE APPLICABLE TO EACH TYPE OF FACILITY. WHERE A FACILITY IS OPER-
ATED FOR BOTH PURPOSES, ONLY ONE REGISTRATION FEE MUST BE PAID.
(E) A PERSON OPERATING AN ELECTRONIC WASTE RECYCLING FACILITY MAY
ACCEPT ELECTRONIC WASTE IN THE SAME MANNER AS AN ELECTRONIC WASTE
COLLECTION SITE PROVIDED THAT SUCH PERSON COMPLIES WITH THE REQUIREMENTS
OF THIS SECTION THAT ARE APPLICABLE TO ELECTRONIC WASTE COLLECTION
FACILITIES.
4. EXCEPT TO THE EXTENT OTHERWISE REQUIRED BY LAW, NO MANUFACTURER OR
PERSON OPERATING AN ELECTRONIC WASTE COLLECTION SITE, ELECTRONIC WASTE
CONSOLIDATION FACILITY OR ELECTRONIC WASTE RECYCLING FACILITY SHALL HAVE
ANY RESPONSIBILITY OR LIABILITY FOR ANY DATA IN ANY FORM STORED ON ELEC-
TRONIC WASTE SURRENDERED FOR RECYCLING OR REUSE, UNLESS SUCH PERSON
A. 9709--B 58
MISUSES OR KNOWINGLY AND INTENTIONALLY, OR WITH GROSS NEGLIGENCE,
DISCLOSES THE DATA. THIS PROVISION SHALL NOT PROHIBIT ANY SUCH PERSON
FROM ENTERING INTO AGREEMENTS THAT PROVIDE FOR THE DESTRUCTION OF DATA
ON COVERED ELECTRONIC EQUIPMENT.
S 27-2615. DEPARTMENT RESPONSIBILITIES.
1. THE DEPARTMENT IS AUTHORIZED TO PROMULGATE RULES AND REGULATIONS
NECESSARY TO IMPLEMENT AND ADMINISTER THIS TITLE. AT A MINIMUM, THE
DEPARTMENT SHALL PROMULGATE RULES AND REGULATIONS ON: STANDARDS FOR
REUSE; ELECTRONIC WASTE ACCEPTANCE CREDITS; WAIVERS OF THE RECYCLING
SURCHARGE; AND ACCEPTABLE ALTERNATIVE METHODS FOR THE DETERMINATION OF
STATE SALES DATA.
2. THE DEPARTMENT SHALL (A) MAINTAIN A LIST OF MANUFACTURERS WHO ARE
REGISTERED PURSUANT TO SECTION 27-2605 OF THIS TITLE, (B) MAINTAIN A
LIST OF EACH SUCH MANUFACTURER'S BRANDS, AND (C) POST SUCH LISTS ON THE
DEPARTMENT'S WEBSITE.
3. THE DEPARTMENT MAY WAIVE THE RECYCLING SURCHARGE PAYABLE BY A
MANUFACTURER UNDER THIS TITLE WHEN THE MANUFACTURER DEMONSTRATES IN AN
APPLICATION TO THE DEPARTMENT IT WAS UNABLE TO ACCEPT THE WEIGHT OF
ELECTRONIC WASTE REQUIRED BY SECTION 27-2603 OF THIS TITLE DESPITE THE
MANUFACTURER'S BEST EFFORTS. THE APPLICATION SHALL BE MADE WITH THE
ANNUAL REPORT REQUIRED BY SECTION 27-2617 OF THIS TITLE. THE APPLICATION
SHALL INCLUDE SUCH INFORMATION AS THE DEPARTMENT REQUIRES. A WAIVER
PROVIDED PURSUANT TO THIS SUBDIVISION SHALL NOT RELIEVE A MANUFACTURER
FROM THE OBLIGATION TO COMPLY WITH THE PROVISIONS OF THIS TITLE NOT
SPECIFICALLY ADDRESSED IN SUCH WAIVER.
S 27-2617. REPORTING REQUIREMENTS.
1. BEGINNING MARCH FIRST, TWO THOUSAND TWELVE, FOR THE PREVIOUS CALEN-
DAR YEAR AND ANNUALLY THEREAFTER, A MANUFACTURER THAT OFFERS COVERED
ELECTRONIC EQUIPMENT FOR SALE IN THIS STATE SHALL SUBMIT A REPORT TO THE
DEPARTMENT ON A FORM PRESCRIBED BY THE DEPARTMENT THAT INCLUDES THE
FOLLOWING:
(A) SALES DATA REPORTED BY WEIGHT FOR THE MANUFACTURER'S COVERED ELEC-
TRONIC EQUIPMENT SOLD IN THIS STATE FOR THE PREVIOUS THREE CALENDAR
YEARS, CATEGORIZED BY TYPE TO THE EXTENT KNOWN. IF THE MANUFACTURER
CANNOT PROVIDE ACCURATE STATE SALES DATA, IT MUST EXPLAIN WHY SUCH DATA
CANNOT BE PROVIDED, AND ESTIMATE STATE SALES DATA BY (I) DIVIDING ITS
NATIONAL SALES DATA BY WEIGHT BY THE NATIONAL POPULATION ACCORDING TO
THE MOST RECENT CENSUS AND MULTIPLYING THE RESULT BY THE POPULATION OF
THE STATE, OR (II) ANOTHER METHOD APPROVED BY THE DEPARTMENT;
(B) THE QUANTITY, BY WEIGHT, OF ELECTRONIC WASTE COLLECTED FOR RECYCL-
ING OR REUSE IN THIS STATE, CATEGORIZED BY THE TYPE OF COVERED ELECTRON-
IC EQUIPMENT COLLECTED DURING THE PRECEDING CALENDAR YEAR, THE METHODS
USED TO ACCEPT THE ELECTRONIC WASTE, AND THE APPROXIMATE WEIGHT OF ELEC-
TRONIC WASTE ACCEPTED BY EACH METHOD USED TO THE EXTENT KNOWN;
(C) ALL QUANTITIES OF ELECTRONIC WASTE REPORTED BY THE MANUFACTURER
MUST SEPARATELY INCLUDE ELECTRONIC WASTE GENERATED BY NEW YORK STATE
CONSUMERS AND ELECTRONIC WASTE RECEIVED FROM OR SHIPPED OUTSIDE THE
STATE: (I) THE QUANTITY, BY WEIGHT, OF ELECTRONIC WASTE RECEIVED DIRECT-
LY FROM CONSUMERS IN THE STATE THROUGH A MAIL BACK PROGRAM; (II) THE
NAME AND ADDRESS OF EACH ELECTRONIC WASTE COLLECTION SITE, ELECTRONIC
WASTE CONSOLIDATION FACILITY, AND ELECTRONIC WASTE RECYCLING FACILITY AT
WHICH ELECTRONIC WASTE FROM CONSUMERS WAS RECEIVED ON BEHALF OF THE
PRODUCER DURING THE PRECEDING CALENDAR YEAR, ALONG WITH THE QUANTITY, BY
WEIGHT, OF ELECTRONIC WASTE RECEIVED; AND (III) THE NAME AND ADDRESS OF
EACH PERSON TO WHOM THE PRODUCER SENT ELECTRONIC WASTE OR COMPONENT
MATERIALS DURING THE PRECEDING YEAR, ALONG WITH THE QUANTITY, BY WEIGHT,
A. 9709--B 59
OF ELECTRONIC WASTE OR COMPONENT MATERIALS THEREOF SENT TO EACH SUCH
PERSON;
(D) THE NUMBER OF ELECTRONIC WASTE ACCEPTANCE CREDITS PURCHASED, SOLD,
BANKED AND TRADED DURING THE PRECEDING CALENDAR YEAR, THE NUMBER OF
ELECTRONIC WASTE ACCEPTANCE CREDITS USED TO MEET THE REQUIREMENTS OF
SECTION 27-2603 OF THIS TITLE, AND FROM WHOM THEY WERE PURCHASED AND TO
WHOM THEY WERE SOLD OR TRADED, AND THE NUMBER OF ELECTRONIC WASTE
ACCEPTANCE CREDITS RETAINED AS OF THE DATE OF THE REPORT;
(E) THE AMOUNT OF ANY RECYCLING SURCHARGE OWED FOR THE PRECEDING
CALENDAR YEAR, WITH SUFFICIENT INFORMATION TO DEMONSTRATE THE BASIS FOR
THE CALCULATION OF THE SURCHARGE;
(F) THE NAMES AND LOCATIONS OF ELECTRONIC WASTE RECYCLERS UTILIZED BY
THE MANUFACTURER AND ENTITIES TO WHICH ELECTRONIC WASTE IS SENT FOR
REUSE, WHETHER IN THE STATE OR OUTSIDE THE STATE, INCLUDING DETAILS ON
THE METHODS OF RECYCLING OR REUSE OF ELECTRONIC WASTE, ANY DISASSEMBLY
OR PHYSICAL RECOVERY OPERATION USED, AND THE ENVIRONMENTAL MANAGEMENT
MEASURES IMPLEMENTED BY SUCH RECYCLER OR ENTITY;
(G) INFORMATION DETAILING THE ACCEPTANCE METHODS MADE AVAILABLE TO
CONSUMERS IN MUNICIPALITIES WHICH HAVE A POPULATION OF GREATER THAN TEN
THOUSAND AND IN EACH COUNTY OF THE STATE TO MEET THE REQUIREMENTS OF
PARAGRAPH (A) OF SUBDIVISION FIVE OF SECTION 27-2605 OF THIS TITLE;
(H) A BRIEF DESCRIPTION OF ITS PUBLIC EDUCATION PROGRAM INCLUDING THE
NUMBER OF VISITS TO THE INTERNET WEBSITE AND CALLS TO THE TOLL-FREE
TELEPHONE NUMBER PROVIDED BY THE MANUFACTURER AS REQUIRED BY SECTION
27-2605 OF THIS TITLE;
(I) ANY OTHER INFORMATION AS REQUIRED BY THE DEPARTMENT; AND
(J) A SIGNATURE BY AN OFFICER, DIRECTOR, OR OTHER INDIVIDUAL AFFIRMING
THE ACCURACY OF THE REPORT.
2. THE REPORT SHALL BE ACCOMPANIED BY AN ANNUAL REPORTING FEE OF THREE
THOUSAND DOLLARS, AND ANY RECYCLING SURCHARGE DUE PURSUANT TO SECTION
27-2603 OF THIS TITLE.
3. THE DEPARTMENT SHALL SUBMIT A REPORT ON IMPLEMENTATION OF THE TITLE
IN THIS STATE TO THE GOVERNOR AND LEGISLATURE BY APRIL FIRST, TWO THOU-
SAND ELEVEN AND EVERY TWO YEARS THEREAFTER. THE REPORT MUST INCLUDE, AT
A MINIMUM, AN EVALUATION OF:
(A) THE ELECTRONIC WASTE STREAM IN THE STATE;
(B) RECYCLING AND REUSE RATES IN THE STATE FOR COVERED ELECTRONIC
EQUIPMENT;
(C) A DISCUSSION OF COMPLIANCE AND ENFORCEMENT RELATED TO THE REQUIRE-
MENTS OF THIS TITLE;
(D) RECOMMENDATIONS FOR ANY CHANGES TO THIS TITLE; AND
(E) A DISCUSSION OF OPPORTUNITIES FOR BUSINESS DEVELOPMENT IN THE
STATE RELATED TO THE ACCEPTANCE, COLLECTION, HANDLING AND RECYCLING OR
REUSE OF ELECTRONIC EQUIPMENT IN THIS STATE.
S 27-2619. PREEMPTION.
JURISDICTION IN ALL MATTERS PERTAINING TO ELECTRONIC WASTE RECYCLING,
INCLUDING BUT NOT LIMITED TO THE OBLIGATIONS OF MANUFACTURERS, RETAIL-
ERS, ELECTRONIC WASTE COLLECTION SITES, ELECTRONIC WASTE CONSOLIDATION
FACILITIES AND ELECTRONIC WASTE RECYCLING FACILITIES WITH RESPECT TO
ELECTRONIC WASTE RECYCLING, IS, BY THIS TITLE, VESTED EXCLUSIVELY IN THE
STATE. ANY PROVISION OF ANY LOCAL LAW OR ORDINANCE, OR ANY RULE OR REGU-
LATION PROMULGATED THERETO, GOVERNING COVERED ELECTRONIC EQUIPMENT AND
THE COLLECTION, REUSE, OR RECYCLING OF ELECTRONIC WASTE SHALL UPON THE
EFFECTIVE DATE OF THIS TITLE BE PREEMPTED.
S 27-2621. DISPOSITION OF FEES.
A. 9709--B 60
ALL FEES AND CHARGES COLLECTED PURSUANT TO THIS TITLE SHALL BE DEPOS-
ITED INTO THE ENVIRONMENTAL PROTECTION FUND ESTABLISHED PURSUANT TO
SECTION NINETY-TWO-S OF THE STATE FINANCE LAW.
S 3. The environmental conservation law is amended by adding a new
section 71-2729 to read as follows:
S 71-2729. ENFORCEMENT OF TITLE 26 OF ARTICLE 27 OF THIS CHAPTER.
1. A. ANY CONSUMER, AS DEFINED IN TITLE TWENTY-SIX OF ARTICLE TWENTY-
SEVEN OF THIS CHAPTER, WHO VIOLATES ANY PROVISION OF, OR FAILS TO
PERFORM ANY DUTY IMPOSED BY, SECTION 27-2611 OF THIS CHAPTER, SHALL BE
LIABLE FOR A CIVIL PENALTY NOT TO EXCEED ONE HUNDRED DOLLARS FOR EACH
VIOLATION.
B. ANY PERSON, EXCEPT A CONSUMER, MANUFACTURER, OR AN OWNER OR OPERA-
TOR OF AN ELECTRONIC WASTE COLLECTION SITE, ELECTRONIC WASTE CONSOL-
IDATION FACILITY, OR ELECTRONIC WASTE RECYCLING FACILITY AS THESE TERMS
ARE DEFINED IN TITLE TWENTY-SIX OF ARTICLE TWENTY-SEVEN OF THIS CHAPTER,
WHO VIOLATES ANY PROVISION, OR FAILS TO PERFORM ANY DUTY IMPOSED BY
SECTION 27-2611 OF THIS CHAPTER, SHALL BE LIABLE FOR A CIVIL PENALTY NOT
TO EXCEED TWO HUNDRED FIFTY DOLLARS FOR EACH VIOLATION.
C. ANY MANUFACTURER, OR ANY PERSON OPERATING AN ELECTRONIC WASTE
COLLECTION SITE, AN ELECTRONIC WASTE CONSOLIDATION FACILITY, OR AN ELEC-
TRONIC WASTE RECYCLING FACILITY AS THOSE TERMS ARE DEFINED IN TITLE
TWENTY-SIX OF ARTICLE TWENTY-SEVEN OF THIS CHAPTER, WHO:
I. FAILS TO SUBMIT ANY REPORT, REGISTRATION, FEE, OR SURCHARGE TO THE
DEPARTMENT AS REQUIRED BY TITLE TWENTY-SIX OF ARTICLE TWENTY-SEVEN OF
THIS CHAPTER SHALL BE LIABLE FOR A CIVIL PENALTY NOT TO EXCEED ONE THOU-
SAND DOLLARS FOR EACH DAY SUCH REPORT, REGISTRATION, FEE, OR SURCHARGE
IS NOT SUBMITTED; AND
II. VIOLATES ANY OTHER PROVISION OF TITLE TWENTY-SIX OF ARTICLE TWEN-
TY-SEVEN OF THIS CHAPTER OR FAILS TO PERFORM ANY DUTY IMPOSED BY SUCH
TITLE, EXCEPT FOR SUBDIVISION FOUR OF SECTION 27-2603 OF THIS CHAPTER,
SHALL BE LIABLE FOR A CIVIL PENALTY FOR EACH VIOLATION NOT TO EXCEED ONE
THOUSAND DOLLARS FOR THE FIRST VIOLATION, TWO THOUSAND FIVE HUNDRED
DOLLARS FOR THE SECOND VIOLATION AND FIVE THOUSAND DOLLARS FOR THE THIRD
AND SUBSEQUENT VIOLATIONS OF THIS TITLE WITHIN A TWELVE-MONTH PERIOD.
D. ANY RETAILER, AS DEFINED BY SECTION 27-2601 OF THIS CHAPTER, WHO
VIOLATES ANY PROVISION OF TITLE TWENTY-SIX OF ARTICLE TWENTY-SEVEN OF
THIS CHAPTER OR FAILS TO PERFORM ANY DUTY IMPOSED BY SUCH TITLE, SHALL
BE LIABLE FOR A CIVIL PENALTY FOR EACH VIOLATION NOT TO EXCEED TWO
HUNDRED FIFTY DOLLARS FOR THE FIRST VIOLATION, FIVE HUNDRED DOLLARS FOR
THE SECOND VIOLATION AND ONE THOUSAND DOLLARS FOR THE THIRD AND SUBSE-
QUENT VIOLATIONS OF THIS TITLE IN A TWELVE-MONTH PERIOD.
E. CIVIL PENALTIES UNDER THIS SECTION SHALL BE ASSESSED BY THE COMMIS-
SIONER AFTER A HEARING OR OPPORTUNITY TO BE HEARD PURSUANT TO THE
PROVISIONS OF SECTION 71-1709 OF THIS ARTICLE, OR BY THE COURT IN ANY
ACTION OR PROCEEDING PURSUANT TO THIS SECTION, AND, IN ADDITION THERETO,
SUCH PERSON MAY BY SIMILAR PROCESS BE ENJOINED FROM CONTINUING SUCH
VIOLATION.
2. ALL PENALTIES COLLECTED PURSUANT TO THIS SECTION SHALL BE PAID OVER
TO THE COMMISSIONER FOR DEPOSIT TO THE CREDIT OF THE SOLID WASTE ACCOUNT
OF THE ENVIRONMENTAL PROTECTION FUND ESTABLISHED PURSUANT TO SECTION
NINETY-TWO-S OF THE STATE FINANCE LAW.
S 4. Severability. The provisions of this title shall be severable,
and if any provision of this title is declared to be void or invalid by
a court of competent jurisdiction, the remaining provisions shall not be
affected, but shall remain in full force and effect.
S 5. This act shall take effect immediately.
A. 9709--B 61
PART OO
Section 1. Section 72-0403 of the environmental conservation law, as
added by section 3 of part I of chapter 1 of the laws of 2003, para-
graphs m and n of subdivision 1 as added by section 7 of part I of chap-
ter 577 of the laws of 2004, is amended to read as follows:
S 72-0403. Hazardous waste program surcharges.
1. For the period beginning April first, two thousand three, all
generators shall submit annually to the department a fee in the amount
to be determined as follows:
a. Four thousand dollars for generators of equal to or greater than
fifteen tons per year and less than or equal to twenty-five tons per
year of hazardous waste;
b. Nine thousand dollars for generators of greater than twenty-five
tons per year and less than or equal to fifty tons per year of hazardous
waste;
c. Fourteen thousand dollars for generators of greater than fifty tons
per year and less than or equal to seventy-five tons per year of hazard-
ous waste;
d. Nineteen thousand dollars for generators of greater than seventy-
five tons per year and less than or equal to one hundred tons per year
of hazardous waste;
e. Twenty-four thousand dollars for generators of greater than one
hundred tons per year and less than or equal to five hundred tons per
year of hazardous waste;
f. Eighty thousand dollars for generators of greater than five hundred
tons per year and less than or equal to one thousand tons per year of
hazardous waste;
g. Eighty-five thousand dollars for generators of greater than one
thousand tons per year and less than or equal to two thousand tons per
year of hazardous waste;
h. One hundred ten thousand dollars for generators of greater than two
thousand tons per year and less than or equal to three thousand tons per
year of hazardous waste;
i. One hundred thirty-five thousand dollars for generators of greater
than three thousand tons per year and less than or equal to five thou-
sand tons per year of hazardous waste;
j. One hundred sixty thousand dollars for generators of greater than
five thousand tons per year and less than or equal to ten thousand tons
per year of hazardous waste;
k. Three hundred sixty thousand dollars for generators of greater than
ten thousand tons per year of hazardous waste;
l. Six thousand dollars for generators of equal to or greater than
fifteen thousand tons per year of hazardous wastewater, payable in addi-
tion to the fees for hazardous wastes, other than wastewater, as
required by this subdivision.
[m.] 2. FOR THE PERIOD BEGINNING APRIL FIRST, TWO THOUSAND TEN, ALL
GENERATORS SHALL SUBMIT ANNUALLY TO THE DEPARTMENT A FEE IN THE AMOUNT
TO BE DETERMINED AS FOLLOWS:
A. ONE THOUSAND DOLLARS FOR GENERATORS OF EQUAL TO OR GREATER THAN
FIFTEEN TONS PER YEAR AND LESS THAN OR EQUAL TO TWENTY-FIVE TONS PER
YEAR OF HAZARDOUS WASTE;
B. TWO THOUSAND DOLLARS FOR GENERATORS OF GREATER THAN TWENTY-FIVE
TONS PER YEAR AND LESS THAN OR EQUAL TO FIFTY TONS PER YEAR OF HAZARDOUS
WASTE;
A. 9709--B 62
C. TWO THOUSAND FIVE HUNDRED DOLLARS FOR GENERATORS OF GREATER THAN
FIFTY TONS PER YEAR AND LESS THAN OR EQUAL TO SEVENTY-FIVE TONS PER YEAR
OF HAZARDOUS WASTE;
D. THREE THOUSAND FIVE HUNDRED DOLLARS FOR GENERATORS OF GREATER THAN
SEVENTY-FIVE TONS PER YEAR AND LESS THAN OR EQUAL TO ONE HUNDRED TONS
PER YEAR OF HAZARDOUS WASTE;
E. FOUR THOUSAND DOLLARS FOR GENERATORS OF GREATER THAN ONE HUNDRED
TONS PER YEAR AND LESS THAN OR EQUAL TO FIVE HUNDRED TONS PER YEAR OF
HAZARDOUS WASTE;
F. FIFTEEN THOUSAND DOLLARS FOR GENERATORS OF GREATER THAN FIVE
HUNDRED TONS PER YEAR AND LESS THAN OR EQUAL TO ONE THOUSAND TONS PER
YEAR OF HAZARDOUS WASTE;
G. FIFTEEN THOUSAND DOLLARS FOR GENERATORS OF GREATER THAN ONE THOU-
SAND TONS PER YEAR AND LESS THAN OR EQUAL TO TWO THOUSAND TONS PER YEAR
OF HAZARDOUS WASTE;
H. TWENTY THOUSAND DOLLARS FOR GENERATORS OF GREATER THAN TWO THOUSAND
TONS PER YEAR AND LESS THAN OR EQUAL TO THREE THOUSAND TONS PER YEAR OF
HAZARDOUS WASTE;
I. TWENTY-FIVE THOUSAND DOLLARS FOR GENERATORS OF GREATER THAN THREE
THOUSAND TONS PER YEAR AND LESS THAN OR EQUAL TO FIVE THOUSAND TONS PER
YEAR OF HAZARDOUS WASTE;
J. THIRTY THOUSAND DOLLARS FOR GENERATORS OF GREATER THAN FIVE THOU-
SAND TONS PER YEAR AND LESS THAN OR EQUAL TO TEN THOUSAND TONS PER YEAR
OF HAZARDOUS WASTE;
K. SIXTY-FIVE THOUSAND DOLLARS FOR GENERATORS OF GREATER THAN TEN
THOUSAND TONS PER YEAR OF HAZARDOUS WASTE.
3. No fee shall be payable for waste resulting from services which are
provided [(i)]: A. under a contract with the department, or with the
department's approval and in compliance with department regulations, or
pursuant to an order of the department, the United States environmental
protection agency or a court, related to the cleanup or remediation of a
hazardous materials or hazardous waste spill, discharge, or surficial
cleanup, pursuant to this chapter, other than section 27-1313 of this
chapter or a removal action pursuant to the Comprehensive Environmental
Response, Compensation and Liability Act (42 U.S.C. 9601 et seq.); or
[(ii)] B. under a contract for, or with the department's approval and
in compliance with department regulations for, the cleanup and removal
of a petroleum spill or discharge, pursuant to subdivision seven of
section one hundred seventy-six of the navigation law; or
[(iii)] C. under the order of a court, the department or the depart-
ment of health, or the United States environmental protection agency
related to an inactive hazardous waste disposal site pursuant to section
27-1313 of this chapter, section thirteen hundred eighty-nine-b of the
public health law, or the Comprehensive Environmental Response, Compen-
sation and Liability Act (42 U.S.C. 9601 et seq.); or
[(iv)] D. voluntarily and without expectation of monetary compensation
in accordance with subdivision one of section 27-1321 of this chapter;
or
[(v)] E. under permit or order requiring corrective action pursuant to
title nine of article twenty-seven of this chapter or the Resource
Conservation and Recovery Act (42 U.S.C. 6901 et seq.); or
[(vi)] F. under a brownfield site cleanup agreement with the depart-
ment pursuant to section 27-1409 of this chapter; or
[(vii)] G. under an environmental restoration project state assistance
contract with the department pursuant to section 56-0503 of this chap-
ter.
A. 9709--B 63
[n.] 4. Notwithstanding any other provision of this section, no fee
shall be payable for the generation of universal wastes. For purposes of
this paragraph, "universal wastes" shall mean those defined and listed
in regulations promulgated pursuant to this title, provided that such
wastes are regulated consistent with rules adopted by the administrator
pursuant to RCRA for the management of universal wastes.
[2.] 5. In any case where a generator recycles more than ninety
percent of the amount of hazardous waste or more than ninety percent of
the amount of hazardous wastewater it produces in any calendar year, as
certified to the commissioner, upon which a fee is imposed pursuant to
this section, any such fee imposed or to be imposed in such case shall
be determined based upon the net amount of hazardous waste or hazardous
wastewater generated, as applicable, which is not so recycled in such
calendar year, rather than upon the gross amount of hazardous waste or
hazardous wastewater generated in such calendar year.
S 2. Paragraph (h) of subdivision 2 of section 97-b of the state
finance law, as amended by section 4 of part I of chapter 1 of the laws
of 2003, is amended to read as follows:
(h) all fees paid into the fund pursuant to SUBDIVISION ONE OF section
72-0403 of the environmental conservation law which shall be deposited
in the fund's industry fee transfer account;
S 3. Subdivision 3 of section 92-s of the state finance law, as
amended by section 2 of part T of chapter 59 of the laws of 2009, is
amended to read as follows:
3. Such fund shall consist of the amount of revenue collected within
the state from the amount of revenue, interest and penalties deposited
pursuant to section fourteen hundred twenty-one of the tax law, the
amount of fees and penalties received from easements or leases pursuant
to subdivision fourteen of section seventy-five of the public lands law
[and], the money received as annual service charges pursuant to section
four hundred four-l of the vehicle and traffic law, all moneys required
to be deposited therein from the contingency reserve fund pursuant to
section two hundred ninety-four of chapter fifty-seven of the laws of
nineteen hundred ninety-three, all moneys required to be deposited
pursuant to section thirteen of chapter six hundred ten of the laws of
nineteen hundred ninety-three, repayments of loans made pursuant to
section 54-0511 of the environmental conservation law, all moneys to be
deposited from the Northville settlement pursuant to section one hundred
twenty-four of chapter three hundred nine of the laws of nineteen
hundred ninety-six, provided however, that such moneys shall only be
used for the cost of the purchase of private lands in the core area of
the central Suffolk pine barrens pursuant to a consent order with the
Northville industries signed on October thirteenth, nineteen hundred
ninety-four and the related resource restoration and replacement plan,
the amount of penalties required to be deposited therein by section
71-2724 of the environmental conservation law, all moneys required to be
deposited pursuant to article thirty-three of the environmental conser-
vation law, all fees collected pursuant to subdivision eight of section
70-0117 of the environmental conservation law, [as added by a chapter of
the laws of two thousand nine,] all moneys collected pursuant to title
thirty-three of article fifteen of the environmental conservation law,
[as added by a chapter of the laws of two thousand nine] ALL SURCHARGES
COLLECTED PURSUANT TO SUBDIVISION TWO OF SECTION 72-0403 OF THE ENVIRON-
MENTAL CONSERVATION LAW, and all other moneys credited or transferred
thereto from any other fund or source pursuant to law. All such revenue
A. 9709--B 64
shall be initially deposited into the environmental protection fund, for
application as provided in subdivision five of this section.
S 4. Paragraph e of subdivision 1 of section 72-0201 of the environ-
mental conservation law, as added by section 2 of part I of chapter 1 of
the laws of 2003, is amended to read as follows:
e. Notwithstanding any general or special law to the contrary, all
monies collected by the department pursuant to SUBDIVISION ONE OF
section 72-0403 of this article shall be deposited in the industry fee
transfer account of the hazardous waste remedial fund established by
subdivision one of section ninety-seven-b of the state finance law.
S 5. Paragraph b of subdivision 9 of section 72-0201 of the environ-
mental conservation law, as added by section 2 of part I of chapter 1 of
the laws of 2003, is amended to read as follows:
b. In the event a penalty or interest is collected pursuant to subdi-
vision five or six of this section for fees due under SUBDIVISION ONE OF
section 72-0403 of this article, such penalty or interest shall be
deposited in the industry fee transfer account of the hazardous waste
remedial fund established by subdivision one of section ninety-seven-b
of the state finance law.
S 6. This act shall take effect April 1, 2010.
PART PP
Section 1. The purpose of this act is to provide for the consol-
idation of the responsibilities of the environmental facilities corpo-
ration and the department of environmental conservation.
S 1-a. Subdivisions 13, 15 and 28 of section 1281 of the public
authorities law, subdivision 13 as amended by chapter 1046 of the laws
of 1974, subdivision 15 as amended by chapter 132 of the laws of 1992
and subdivision 28 as added by chapter 166 of the laws of 1991, are
amended to read as follows:
13. "Cost" as applied to any project shall include, but not be limited
to, cost of construction of the project, the cost of acquisition of all
property, including real property and other property, both real and
personal and improved and unimproved, the cost of demolishing, removing
or relocating any buildings or structures on lands so acquired, includ-
ing the cost of acquiring any lands to which such buildings or struc-
tures may be moved or relocated, the costs of all systems, facilities,
machinery and equipment, financing charges, interest prior to and during
construction, the cost of engineering and architectural surveys, plans
and specifications, the cost of consultants' and legal services, the
cost of lease guarantee or bond insurance, other expenses necessary or
incident to the construction of such project and the financing of the
construction thereof, including the amount authorized in the resolution
of the corporation providing for the issuance of bonds to be paid into
any special fund from the proceeds of such bonds and the financing of
the placing of any project in operation, including reimbursement to any
municipality, state agency, the state, the United States government, or
any other person for expenditures, made with the prior approval of the
corporation UNDER THE GUIDANCE AND SUPPORT OF THE DEPARTMENT OF ENVIRON-
MENTAL CONSERVATION, that would be costs of the project hereunder had
they been made directly by the corporation.
15. "Project" shall mean any sewage treatment works, sewage collecting
systems, solid waste disposal facilities, air pollution control facili-
ty, water management facility, industrial hazardous waste treatment,
storage, exchange and disposal facility, inactive hazardous waste
A. 9709--B 65
disposal site remedial program, storm water collecting system, and waste
oil recovery, reprocessing and rerefining facilities or any other works
or facilities which the corporation UNDER THE GUIDANCE AND SUPPORT OF
THE DEPARTMENT OF ENVIRONMENTAL CONSERVATION is authorized to plan,
finance, construct, operate or maintain under the provisions of this
title including all buildings, systems, facilities, appurtenances,
machinery and equipment which the corporation UNDER THE GUIDANCE AND
SUPPORT OF THE DEPARTMENT OF ENVIRONMENTAL CONSERVATION deems necessary
for the operation of the project, including the site therefor, together
with all property, rights, easements and interests, either on or off
such site, which may be required for the operation of the project.
28. "Riverbank Park" shall mean a park or parks to be located on a
site of approximately twenty-eight acres, on the roof of and adjacent to
the North River sewage treatment plant, located at the Hudson River
between 137th and 145th Streets in the borough of Manhattan, city of New
York, including all buildings, systems, bridges and other means of
pedestrian or vehicular access, recreational, cultural and athletic
facilities, appurtenances, machinery and equipment which the corporation
deems necessary UNDER THE GUIDANCE AND SUPPORT OF THE DEPARTMENT OF
ENVIRONMENTAL CONSERVATION for the operation of such park or parks,
including the site therefor, together with all property, rights, ease-
ments and interests, either on or off such site, which may be required
for the operation of such park or parks. Such recreational, cultural and
athletic facilities may include, without limitation, swimming pools,
gymnasia, athletic fields, skating rinks, tennis courts, theaters or
amphitheaters and centers for the performing arts.
S 2. Subdivision 1 of section 1283 of the public authorities law, as
amended by chapter 55 of the laws of 1992, is amended and a new subdivi-
sion 3 is added to read as follows:
1. The purposes of the corporation UNDER THE GUIDANCE AND SUPPORT OF
THE DEPARTMENT OF ENVIRONMENTAL CONSERVATION shall be the planning,
financing, construction, maintenance and operation of sewage treatment
works, sewage collecting systems, air pollution control facilities,
water management facilities, storm water collecting systems, solid waste
disposal facilities and state park infrastructure projects, the
construction on behalf of municipalities and state agencies of sewage
treatment works, sewage collecting systems, air pollution control facil-
ities, water management facilities, storm water collecting systems and
solid waste disposal facilities, the financing, for or on behalf of
persons, of sewage treatment works, air pollution control facilities,
water management facilities, and solid waste disposal facilities and the
making of loans which may, but need not, be secured by mortgage,
contracts and other instruments to persons for the planning and
construction of sewage treatment works, air pollution control facili-
ties, water management facilities and solid waste disposal facilities
and the assistance of municipalities, state agencies and the state in
the planning, financing, construction, maintenance and operation of
sewage treatment works, sewage collecting systems, air pollution control
facilities, water management facilities, storm water collecting systems
and solid waste disposal facilities, in accordance with the provisions
of this title. In addition, the purposes of the corporation shall
include financing the design, acquisition, construction, improvement and
installation of all or any portion of Riverbank Park UNDER THE GUIDANCE
AND SUPPORT OF THE DEPARTMENT OF ENVIRONMENTAL CONSERVATION.
3. NOTWITHSTANDING ANY INCONSISTENT PROVISIONS OF LAW, NO FINANCIAL,
TECHNICAL OR OTHER ASSISTANCE SHALL BE PROVIDED BY THE CORPORATION
A. 9709--B 66
UNLESS AND UNTIL THE DEPARTMENT OF ENVIRONMENTAL CONSERVATION HAS
REVIEWED AND APPROVED EACH PROJECT.
S 3. The opening paragraph of section 1284 of the public authorities
law, as amended by chapter 744 of the laws of 1970, is amended to read
as follows:
Except as otherwise limited by this title, the corporation shall have
power, UNDER THE GUIDANCE AND SUPPORT OF THE DEPARTMENT OF ENVIRONMENTAL
CONSERVATION:
S 4. Section 1285 of the public authorities law, as amended by chapter
744 of the laws of 1970, paragraph (d) of subdivision 1 as amended by
chapter 83 of the laws of 1995, paragraph (a) of subdivision 3 and
subdivision 8 as amended by chapter 551 of the laws of 1974 and subdivi-
sion 5 as amended by chapter 234 of the laws of 1991, is amended to read
as follows:
S 1285. Special powers of the corporation. In order to effectuate the
purposes of this title, the corporation UNDER THE GUIDANCE AND SUPPORT
OF THE DEPARTMENT OF ENVIRONMENTAL CONSERVATION shall have the following
special powers:
1. Construction, operation and maintenance of sewage treatment works,
sewage collecting systems and solid waste disposal facilities on behalf
of a municipality. (a) The corporation, UNDER THE GUIDANCE AND SUPPORT
OF THE DEPARTMENT OF ENVIRONMENTAL CONSERVATION, and any municipality
having power to construct sewage treatment works, sewage collecting
systems or solid waste disposal facilities by resolution of its govern-
ing body may enter into a contract for the construction of sewage treat-
ment works, sewage collecting systems or solid waste disposal facilities
by the corporation for such municipality upon such terms and conditions
as the corporation, UNDER THE GUIDANCE AND SUPPORT OF THE DEPARTMENT OF
ENVIRONMENTAL CONSERVATION, shall determine to be reasonable, including
but not limited to the reimbursement of all costs of such construction
and claims arising therefrom.
(b) The corporation, UNDER THE GUIDANCE AND SUPPORT OF THE DEPARTMENT
OF ENVIRONMENTAL CONSERVATION, and any municipality having power to
operate and maintain sewage treatment works or solid waste disposal
facilities by resolution of its governing body may enter into a contract
for the operation and maintenance of sewage treatment works or solid
waste disposal facilities by the corporation for such municipality upon
such terms and conditions as the corporation shall determine to be
reasonable, including but not limited to the reimbursement of all costs
of such operation and maintenance and claims arising therefrom.
(c) No such contract shall be deemed to be a contract for public work
or purchase within the meaning of the general municipal law.
(d) The corporation, UNDER THE GUIDANCE AND SUPPORT OF THE DEPARTMENT
OF ENVIRONMENTAL CONSERVATION, and any state agency having the power may
enter into a contract for the planning, construction, operation and
maintenance of sewage treatment works, sewage collecting systems, solid
waste disposal facilities, and for the removal, disposal and remediation
of petroleum storage tanks and the remediation of the sites thereof, as
the case may be, for and on behalf of such state agency; the
corporation, UNDER THE GUIDANCE AND SUPPORT OF THE DEPARTMENT OF ENVI-
RONMENTAL CONSERVATION, and any such state agency may enter into a
contract pursuant to which the corporation, UNDER THE GUIDANCE AND
SUPPORT OF THE DEPARTMENT OF ENVIRONMENTAL CONSERVATION, may provide for
the collection, conveyance, treatment and disposal of sewage, storage,
separating, treatment, recycling, reconstituting, compacting, compost-
ing, shredding, converting, utilization, processing, pyrolization or
A. 9709--B 67
final disposal of solid waste by means of sewage collecting systems,
sewage treatment works, or solid waste disposal facilities, as the case
may be, owned, constructed, operated and maintained by the corporation.
Any such contract entered into by any such state agency and the corpo-
ration for the purposes of removal, disposal and remediation of petrole-
um storage tanks and the remediation of the sites thereof, may provide
for ownership, construction, operation and maintenance of such projects
by the corporation or by any such state agency and any such contract
shall be subject to the approval of the director of the budget. Any such
contract or contracts shall be upon such terms and conditions as the
corporation and such state agency shall determine to be reasonable,
including but not limited to the reimbursement of all costs of planning,
financing, construction and operation and maintenance, and any claims
arising therefrom. No such contract shall be deemed to be a contract for
public work or purchase within the meaning of the state finance law.
2. Loans to municipalities and certain state agencies. The
corporation, UNDER THE GUIDANCE AND SUPPORT OF THE DEPARTMENT OF ENVI-
RONMENTAL CONSERVATION, may make loans to any municipality, or any state
agency authorized to issue bonds or notes not constituting a debt or
liability within the meaning of section eleven of article seven of the
state constitution, for the construction of any sewage treatment works,
sewage collecting system or solid waste disposal facility. Any loan by
the corporation to any such state agency shall be subject to the
approval of the director of the budget. The corporation, UNDER THE GUID-
ANCE AND SUPPORT OF THE DEPARTMENT OF ENVIRONMENTAL CONSERVATION, may
accept as evidence of the indebtedness of any such municipality or any
state agency authorized to issue bonds or notes not constituting a debt
or liability of the state within the meaning of section eleven of arti-
cle seven of the state constitution, only the municipal bonds or notes
of such municipality or bonds or notes of such state agency. Any such
loan shall be in an amount or amounts not to exceed the cost of
construction of any such sewage treatment works, sewage collecting
system or solid waste disposal facility required to be financed by the
municipality or such state agency. In connection with the making of any
such loans, the corporation may fix and collect such fees and charges,
including but not limited to reimbursement of all costs of financing by
the corporation, as the corporation shall determine to be reasonable.
3. Construction, operation and maintenance of sewage collecting
systems, sewage treatment works and solid waste disposal facilities. (a)
The corporation, UNDER THE GUIDANCE AND SUPPORT OF THE DEPARTMENT OF
ENVIRONMENTAL CONSERVATION, and a municipality having power to
construct, operate and maintain sewage treatment works, sewage collect-
ing systems or solid waste disposal facilities, by resolution of its
governing body may enter into a contract pursuant to which the corpo-
ration, UNDER THE GUIDANCE AND SUPPORT OF THE DEPARTMENT OF ENVIRON-
MENTAL CONSERVATION, may provide for the collection, conveyance, treat-
ment and disposal of sewage or the storage, separating, treatment,
recycling, reconstituting, compacting, composting, shredding, convert-
ing, utilizing, processing, pyrolization or final disposal of solid
wastes by means of sewage treatment works or solid waste disposal facil-
ities, as the case may be, owned and constructed by the corporation and
operated and maintained by the corporation or, for and on behalf of the
corporation, by such municipality or by any person, as may be approved
by the corporation, UNDER THE GUIDANCE AND SUPPORT OF THE DEPARTMENT OF
ENVIRONMENTAL CONSERVATION, and such municipality, and by means of
sewage collecting systems owned and constructed by the corporation for
A. 9709--B 68
and on behalf of such municipality pursuant to a contract whereby title
to such sewage collecting systems shall vest in such municipality in
accordance with the provisions of paragraph (c) of this subdivision, and
operated and maintained by such municipality upon such terms and condi-
tions as the corporation, UNDER THE GUIDANCE AND SUPPORT OF THE DEPART-
MENT OF ENVIRONMENTAL CONSERVATION, shall determine to be reasonable.
Such contract or contracts shall, except in the case of a sewer corpo-
ration now existing in a city, contain provisions in accordance with the
requirements of paragraph (b) or (c) of this subdivision, and, in addi-
tion thereto and consistent therewith, may provide for the payment to
the corporation by such municipality, annually or otherwise, of such sum
or sums of money, computed at fixed amounts or by a formula based on any
factors or other matters or in any other manner, as said contract or
contracts may provide, and the sum or sums so payable may include
provision for all or any part or a share of the amounts necessary (i) to
pay or provide for the expense of operation and maintenance of any such
project including, without limitation, insurance, extensions, better-
ments and replacements and the principal of and interest on any bonds or
notes of the corporation, and (ii) to provide for any deficits resulting
from failure to secure sums payable to the corporation by such munici-
pality, any other municipality or from any other cause, and (iii) to
maintain such reserves or sinking funds for any of the foregoing as may
be required by the terms of any contract of the corporation or as may be
deemed necessary or desirable by the corporation. Such contract or
contracts may also contain provisions as to the financing and payment of
expenses to be incurred by the corporation and determined by it to be
necessary for its purposes prior to the placing in operation of any such
project, and may provide for the payment by such municipality to the
corporation for application to such expenses or indebtedness therefor
such sum or sums of money, not in the aggregate exceeding an amount
stated or otherwise limited in said contract or contracts, plus interest
thereon, as said contract or contracts may provide and as the governing
body of said municipality shall, by virtue of its authorization of and
entry into said contract or contracts, determine to be necessary for the
purposes of the corporation. Except as otherwise provided in this subdi-
vision, any such contract may be made with or without consideration and
for a specified or an unlimited time and on any terms and conditions
which may be approved by such municipality and which may be agreed to by
the corporation in conformity with its contracts with the holders of any
of its bonds or notes, and shall be valid whether or not an appropri-
ation with respect thereto is made by such municipality prior to author-
ization or execution thereof. The corporation may, UNDER THE GUIDANCE
AND SUPPORT OF THE DEPARTMENT OF ENVIRONMENTAL CONSERVATION, sell,
transfer or dispose of, in any manner it deems desirable any materials,
substances or sources or forms of energy derived from any corporate
activity, including but not limited to sludge, raw materials, by-pro-
ducts; heat, oil, steam or electric energy in accordance with any
contract pursuant to this paragraph or pursuant to paragraphs (b) and
(d) of subdivision one of section twelve hundred eighty-five of this
title. Such municipality is hereby authorized to do and perform any and
all acts or things necessary, convenient or desirable to carry out and
perform every such contract and to provide for the payment or discharge
of any obligation thereunder in the same manner as other obligations of
such municipality. Subject to any such contracts with the holders of
its bonds or notes, the corporation, UNDER THE GUIDANCE AND SUPPORT OF
THE DEPARTMENT OF ENVIRONMENTAL CONSERVATION, is hereby authorized to do
A. 9709--B 69
and perform any and all acts or things necessary, convenient or desira-
ble to carry out and perform every such contract and, in accordance with
any such contract to waive, modify, suspend or reduce charges which
would otherwise be charged and collected by the corporation within the
municipality.
A municipality shall not be liable for any act or omission of the
corporation, its officers, agents, servants or contractors in the
performance of any such contract by the corporation.
(b) Except as provided in paragraph (c) of this subdivision, any
contract entered into by the corporation and any municipality, other
than a sewer corporation now existing in a city, pursuant to this subdi-
vision shall provide that the municipality shall not acquire any vested
rights in any such works or facility by reason of such contract, and, in
the case of a county, city, or village, that all or any portion of the
annual payments, as the case may be, made by such municipality, shall be
deemed to be current operating expenses of such municipality within the
meaning of section ten of article eight of the state constitution where
all or any portion of such payments are or may be required to be raised
by tax on real estate in any fiscal year of such municipality.
(c) Any contract entered into by the corporation and any municipality
pursuant to this subdivision may provide that at the termination thereof
the title to the works or facility shall vest in the municipality or its
successor in interest, if any, free and clear of any indebtedness
contracted by the corporation. Any such contract entered into by the
corporation and any municipality which provides that title shall so vest
in the municipality or its successor in interest, other than a sewer
authority now existing in a city, shall be subject to the following
provisions:
(1) The term of any such contract shall not exceed the period of prob-
able usefulness of the works or facility as provided in section 11.00 of
the local finance law, computed from the date of the first indebtedness
contracted by the corporation for such works or facility.
(2) The annual payments to be made by the municipality to the corpo-
ration to enable the corporation to pay the principal of any such
indebtedness contracted by it to finance the cost of such works or
facility shall commence within two years after any such indebtedness or
portion thereof shall have been contracted and no such annual payment
shall be more than fifty percentum in excess of the smallest prior annu-
al payment for such purpose.
(3) The municipality shall pledge its full faith and credit for the
payment of such annual payments described in subparagraph two of this
paragraph (c) and also for the payments required to be made to the
corporation to enable it to pay the interest on any such indebtedness.
(4) The total amount of any unpaid annual payments in relation to the
principal of any such indebtedness shall be deemed to be indebtedness of
the county, city, town or village for a capital improvement within the
meaning of subparagraph (b) of subdivision three of paragraph a of
section 135.00 of the local finance law or indebtedness contracted by a
district corporation pursuant to subdivision seven of paragraph a of
such section 135.00, as the case may be.
(5) The total amount of any unpaid annual payments in relation to the
construction or reconstruction of facilities for the conveyance, treat-
ment and disposal of sewage shall be deemed to be indebtedness of the
county, city, town or village within the meaning of subdivision four-a
of section 136.00 of the local finance law.
A. 9709--B 70
(6) The annual payments by a county, city or village in relation to
such indebtedness and interest shall be deemed to be "indebtedness" and
"interest" within the meaning of section ten of article eight of the
state constitution.
(7) The contract shall not be renegotiated, or amended, in such manner
as to constitute a refunding within the meaning of section two of arti-
cle eight of the state constitution.
(8) The contract shall not be applicable to any works or facility
constructed or reconstructed to effectuate the purposes of article eigh-
teen of the state constitution.
(9) The municipality shall not be liable for a default on the obli-
gations of the corporation. If the expenditure of money, or the issuance
of obligations, for a project would be subject to the adoption of a
proposition pursuant to paragraph b of section 38.00 of the local
finance law, a contract between a district corporation and the corpo-
ration pursuant to the provisions of this paragraph (c) shall be subject
to approval at an election or meeting in the same manner as provided in
such section 38.00.
In the case of a district corporation subject to the provisions of
section 102.00 of the local finance law, the annual payments to be made
to the corporation to enable it to pay the principal of any indebtedness
contracted by it to finance the cost of the project shall be deemed to
be indebtedness within the meaning of such section and section 120.00 of
such law and any contract entered into between the district corporation
and the corporation pursuant to the provisions of this paragraph (c)
shall be subject to the consent of the city, town or village affected as
provided in such section 102.00.
A contract pursuant to the provisions of this paragraph (c) shall be
deemed to be an issuance of bonds, bond anticipation notes or capital
notes for the purposes of subdivisions three, four, five, and seven of
section 104.10 of the local finance law insofar as the contract shall
provide for annual payments to the corporation to enable it to pay the
principal of indebtedness contracted by it to finance the cost of any
project.
(d) Where a county, city, town or village is prevented from utilizing
the provisions of this subdivision, by the provision of any general or
special law, county, city or village charter which (i) requires that any
project must be constructed, operated and maintained by the munici-
pality, (ii) limits the period of time for which a municipality may
contract, (iii) requires that the cost shall be paid for by taxes levied
for the fiscal year in which the expenditure is to be made, (iv)
requires that the cost shall be financed pursuant to the local finance
law or (v) only permits any such project to be constructed subject to
either mandatory or permissive referendum, such county, city, town or
village may adopt a local law superseding the provisions of any such
general or special law, county, city or village charter. Any such local
law shall be subject to mandatory referendum, or referendum on petition
in the manner provided in sections twenty-three or twenty-four, as the
case may be, of the municipal home rule law, if the issuance, or the
resolution authorizing the issuance, of serial bonds having a maturity
of more than ten years to finance any such project would be required,
under or pursuant to the provisions of sections 33.10, 34.00, 35.00 or
36.00 of the local finance law or any other law, to be subject to manda-
tory or permissive referendum.
4. The corporation, UNDER THE GUIDANCE AND SUPPORT OF THE DEPARTMENT
OF ENVIRONMENTAL CONSERVATION, is empowered to lease or rent a project
A. 9709--B 71
constructed and owned by the corporation pursuant to any contract with a
municipality or state agency as herein provided for, to any person, as
may be approved by the municipality or state agency. The corporation,
UNDER THE GUIDANCE AND SUPPORT OF THE DEPARTMENT OF ENVIRONMENTAL
CONSERVATION, may make available the use or services of any such
project, with the approval of such municipality or state agency, to one
or more persons, or any combination thereof, upon such terms and condi-
tions as the corporation may determine reasonable.
5. When requested by the governing body of a municipality, or when
requested by a person or state agency, the corporation, UNDER THE GUID-
ANCE AND SUPPORT OF THE DEPARTMENT OF ENVIRONMENTAL CONSERVATION, may
advise such municipality, person or state agency on matters relating to
the planning, construction, operation and maintenance of sewage treat-
ment works, sewage collecting systems, solid waste disposal facilities,
and any other projects which the corporation is authorized to construct
pursuant to any provisions of this title, on matters relating to the
identification, collection, handling, separation and disposal of waste,
and on matters relating to the prevention and control of air emissions
and water discharges subject to regulation pursuant to the environmental
conservation law, and pursuant to a contract with a municipality, person
or state agency, may render technical assistance and may undertake
research, planning and testing with respect to any such matter, and the
corporation may make a reasonable charge to such municipality, person or
state agency for the performance of any such functions authorized by
this subdivision.
6. In selecting a location for any projects constructed pursuant to
subdivision one or subdivision three of this section, the corporation,
UNDER THE GUIDANCE AND SUPPORT OF THE DEPARTMENT OF ENVIRONMENTAL
CONSERVATION, shall take into consideration the character of the area of
any proposed location and the zoning regulations, if any, applicable to
such area.
7. When requested by the governing body of a municipality or by a
state agency, any contract pursuant to either subdivision one or subdi-
vision three of this section, except a contract pursuant to which the
municipality shall not acquire a vested interest in the project, may
provide as part of a project and upon the site of such project, for the
construction and financing, pursuant to the provisions of this title, by
the authority of such other facilities, betterments, improvements and
appurtenances for which such municipality or state agency has the power
to provide. Such construction and financing shall be permitted when
necessary to develop or restore such site to a beneficial municipal or
public use, and in accordance with the plans or design of the project
prepared and approved by such municipality or state agency, or as may be
prepared by the corporation on behalf of such municipality or state
agency.
8. The corporation, UNDER THE GUIDANCE AND SUPPORT OF THE DEPARTMENT
OF ENVIRONMENTAL CONSERVATION, is empowered to enter into one or more
contracts with any person designated by the corporation to be a respon-
sible agent for the planning, design, construction and operation of one
or more solid waste processing pilot projects. The corporation, UNDER
THE GUIDANCE AND SUPPORT OF THE DEPARTMENT OF ENVIRONMENTAL CONSERVA-
TION, shall require such person to supply it with such plans, estimates
of costs, time schedules, designs, and other data as the corporation,
UNDER THE GUIDANCE AND SUPPORT OF THE DEPARTMENT OF ENVIRONMENTAL
CONSERVATION, shall determine to be reasonable to enable proper iden-
tification of costs. Such pilot projects are to determine which methods
A. 9709--B 72
of recycling solid wastes, including, but not limited to shredding,
compression, high-temperature incineration, pyrolization, separation or
any other new technology for resource recovery in solid waste management
are most feasible for large-scale implementation by the corporation and
by municipalities in this state, having due regard for the resources to
be recovered, net costs, amount of land required, and environmental
considerations. The corporation, UNDER THE GUIDANCE AND SUPPORT OF THE
DEPARTMENT OF ENVIRONMENTAL CONSERVATION, shall issue annual reports as
to the results of these projects, containing recommendations not incon-
sistent with those findings, and shall make copies of the report, find-
ings and supporting data available to any municipality in this state.
For this purpose the corporation, UNDER THE GUIDANCE AND SUPPORT OF THE
DEPARTMENT OF ENVIRONMENTAL CONSERVATION, is authorized to apply to the
United States Public Health Service, Environmental Protection Agency,
United States Department of Agriculture, or any other appropriate
authority for grants of such federal funds as may be available toward
the financing of or contracting for such projects.
The corporation, UNDER THE GUIDANCE AND SUPPORT OF THE DEPARTMENT OF
ENVIRONMENTAL CONSERVATION, shall transmit a copy of its report to the
commissioner of environmental conservation, who shall hold public hear-
ings on its recommendations, pursuant to section 3-0301 of the environ-
mental conservation law, at which hearings testimony shall be taken from
all interested parties. Following the termination of said hearings, the
department of environmental conservation may make additional findings,
if any, and shall have the power to promulgate rules and regulations
and/or propose legislation, consistent with its findings, to implement
the report.
S 5. Section 1285-a of the public authorities law, as amended by chap-
ter 744 of the laws of 1970, is amended to read as follows:
S 1285-a. Construction, operation and maintenance of air pollution
control facilities, water management facilities and storm water collect-
ing systems. 1. The corporation, UNDER THE GUIDANCE AND SUPPORT OF THE
DEPARTMENT OF ENVIRONMENTAL CONSERVATION and any municipality having
power to construct air pollution control facilities, water management
facilities or storm water collecting systems, by resolution of its
governing body may enter into a contract for the construction of air
pollution control facilities, water management facilities or storm water
collecting systems by the corporation for such municipality upon such
terms and conditions as the corporation shall determine to be reason-
able, including but not limited to reimbursement of all costs of such
construction and claims arising therefrom.
2. The corporation, UNDER THE GUIDANCE AND SUPPORT OF THE DEPARTMENT
OF ENVIRONMENTAL CONSERVATION, and any state agency having power to
construct air pollution control facilities, water management facilities,
or storm water collecting systems may enter into a contract for the
construction of air pollution control facilities, water management
facilities or storm water collecting systems by the corporation for such
state agency upon such terms and conditions as the authority and such
state agency shall determine to be reasonable, including but not limited
to reimbursement of all costs of such construction and claims arising
therefrom.
3. The corporation, UNDER THE GUIDANCE AND SUPPORT OF THE DEPARTMENT
OF ENVIRONMENTAL CONSERVATION, and any municipality having power to
construct, operate and maintain air pollution control facilities or
storm water collecting systems, by resolution of its governing body may
enter into a contract pursuant to which the corporation may, UNDER THE
A. 9709--B 73
GUIDANCE AND SUPPORT OF THE DEPARTMENT OF ENVIRONMENTAL CONSERVATION,
provide for the treatment, neutralization and disposal of gaseous wastes
and other air pollutants, by means of air pollution control facilities
owned and constructed by the corporation and operated and maintained by
the corporation or, for and on behalf of the corporation, by such muni-
cipality or by any person as may be approved by the corporation, UNDER
THE GUIDANCE AND SUPPORT OF THE DEPARTMENT OF ENVIRONMENTAL CONSERVA-
TION, and such municipality, or for the collection and conveyance of
storm waters by means of storm water collecting systems owned and
constructed by the corporation for and on behalf of such municipality.
Such contract or contracts shall be in accordance with the provisions
of, and shall contain the same terms, conditions and requirements as are
set forth in subdivision three of section twelve hundred eighty-five of
this title, provided, however, any such contract providing for the
collection and conveyance of storm waters by means of storm water
collecting systems owned and constructed by the corporation shall
expressly provide for the vesting of title to such storm water collect-
ing system in such municipality in accordance with the provisions of
paragraph (c) of said subdivision three of section twelve hundred eight-
y-five of this title, and that such storm water collecting system shall
be operated and maintained by such municipality upon such terms and
conditions as the corporation shall determine to be reasonable.
4. The corporation, UNDER THE GUIDANCE AND SUPPORT OF THE DEPARTMENT
OF ENVIRONMENTAL CONSERVATION, and any state agency having power to
operate and maintain air pollution control facilities, water management
facilities or storm water collecting systems may enter into a contract
with the corporation for the operation and maintenance of air pollution
control facilities, water management facilities or storm water collect-
ing systems by the corporation for and on behalf of such state agency;
or the corporation, UNDER THE GUIDANCE AND SUPPORT OF THE DEPARTMENT OF
ENVIRONMENTAL CONSERVATION, and any such state agency may enter into a
contract pursuant to which the corporation may provide for the treat-
ment, neutralization and disposal of gaseous wastes and other air pollu-
tants, the furnishing of a public water supply, the collection and
conveyance of storm waters by means of air pollution control facilities,
water management facilities or storm water collecting systems, as the
case may be, owned and constructed by the corporation and operated and
maintained by the corporation or for and on behalf of the corporation,
by such state agency or by any person as may be approved by the corpo-
ration, UNDER THE GUIDANCE AND SUPPORT OF THE DEPARTMENT OF ENVIRON-
MENTAL CONSERVATION, and such state agency. Any such contract or
contracts shall be upon such terms and conditions as the corporation,
UNDER THE GUIDANCE AND SUPPORT OF THE DEPARTMENT OF ENVIRONMENTAL
CONSERVATION, and such state agency shall determine to be reasonable,
including but not limited to the reimbursement of all costs of planning,
financing, construction and operation and maintenance and any claims
arising therefrom. No such contract shall be deemed to be a contract for
public works or purchase within the meaning of the state finance law.
5. The corporation, UNDER THE GUIDANCE AND SUPPORT OF THE DEPARTMENT
OF ENVIRONMENTAL CONSERVATION, may make loans to any municipality for
the construction of any air pollution control facility, water management
facility or storm water collecting system or to any state agency author-
ized to issue bonds or notes not constituting a debt or liability of the
state within the meaning of section eleven of article seven of the state
constitution, for the construction of any air pollution control facili-
ty, water management facility, or storm water collecting system. The
A. 9709--B 74
corporation, UNDER THE GUIDANCE AND SUPPORT OF THE DEPARTMENT OF ENVI-
RONMENTAL CONSERVATION, may accept as evidence of the indebtedness of
any such municipality or any state agency authorized to issue bonds or
notes not constituting a debt or liability of the state within the mean-
ing of section eleven of article seven of the state constitution, only
the municipal bonds or notes of such municipality or bonds or notes of
such state agency. Any such loans shall be in an amount or amounts not
to exceed the cost of construction of any such project required to be
financed by the municipality or such state agency. In connection with
the making of any such loans, the corporation, UNDER THE GUIDANCE AND
SUPPORT OF THE DEPARTMENT OF ENVIRONMENTAL CONSERVATION, may fix and
collect fees and charges, including but not limited to reimbursement of
all costs of financing by the corporation, as the corporation, UNDER THE
GUIDANCE AND SUPPORT OF THE DEPARTMENT OF ENVIRONMENTAL CONSERVATION,
shall determine to be reasonable. Any such loan by the corporation to a
state agency as herein provided, shall be subject to the approval of the
director of the budget AND THE COMMISSIONER OF THE DEPARTMENT OF ENVI-
RONMENTAL CONSERVATION.
S 6. Section 1285-b of the public authorities law, as added by chapter
1046 of the laws of 1974, is amended to read as follows:
S 1285-b. Additional special powers of the corporation with respect to
projects and persons. In order to effectuate the purposes of this title,
the corporation, UNDER THE GUIDANCE AND SUPPORT OF THE DEPARTMENT OF
ENVIRONMENTAL CONSERVATION, shall have the following additional special
powers; (1) to extend credit and make loans to a person or persons for
the construction or acquisition of a project or for the reimbursement to
a person or persons for costs incurred in connection with a project
completed or not completed at the time of such credit or loan, which
credits or loans may, but need not, be secured by mortgages, contracts
or other instruments, upon such terms and conditions as the corporation
shall determine reasonable in connection with such credits or loans, and
(2) in the exercise of powers granted in this section in connection with
a project for a person or persons, to require the inclusion in any
contract, loan agreement or other instrument, of such provisions for the
financing of such project and such other financial and other covenants
applying to such person or persons, as the corporation may deem neces-
sary or desirable and to do all things and to execute all instruments
necessary and desirable in connection therewith. In connection with the
extension of any such credit or loan, the corporation, UNDER THE GUID-
ANCE AND SUPPORT OF THE DEPARTMENT OF ENVIRONMENTAL CONSERVATION, may
fix and collect such fees and charges, including but not limited to
reimbursement of all costs of financing by the corporation as the corpo-
ration shall determine to be reasonable. In connection with such exten-
sion of credit or loan to such person or persons for the construction or
acquisition of a project as provided above, such person or persons shall
submit to the corporation an application for the extension of credit or
loan as set forth in the application. The corporation, UNDER THE GUID-
ANCE AND SUPPORT OF THE DEPARTMENT OF ENVIRONMENTAL CONSERVATION, may
deny such application for any reason it deems appropriate in the public
interest. The extension of any such credit or loan is subject to the
ability of the corporation to secure the necessary financing and subject
to the obtaining by such person or persons of certification by the
commissioner of environmental conservation that the project for which
such credit or loan is extended is intended to meet or exceed applicable
state environmental standards as set forth in law, rules and regu-
lations.
A. 9709--B 75
S 7. Section 1285-c of the public authorities law, as added by chapter
639 of the laws of 1978, is amended to read as follows:
S 1285-c. Construction, operation and maintenance of industrial
hazardous waste treatment, storage and disposal facilities. In addition
to its existing powers, the corporation, UNDER THE GUIDANCE AND SUPPORT
OF THE DEPARTMENT OF ENVIRONMENTAL CONSERVATION, is hereby empowered to
construct, operate and maintain industrial hazardous waste treatment,
storage and disposal facilities, including plants, works, instrumentali-
ties, or parts thereof, and appurtenances thereto for the collection,
conveyance, treatment, exchange and disposal of hazardous wastes
provided such a facility receives a certificate of environmental safety
and public necessity as provided in title eleven of article twenty-seven
of the environmental conservation law and is located on lands in a muni-
cipality where such industrial uses are permitted. The corporation,
UNDER THE GUIDANCE AND SUPPORT OF THE DEPARTMENT OF ENVIRONMENTAL
CONSERVATION, may subcontract for the construction or operation of such
facility.
S 8. Section 1285-d of the public authorities law, as added by chapter
639 of the laws of 1978 and subdivision 3 as amended by chapter 283 of
the laws of 1979, is amended to read as follows:
S 1285-d. Studies regarding design, construction and operation of
industrial waste treatment, storage and disposal facilities. 1. The
purposes of the corporation, UNDER THE GUIDANCE AND SUPPORT OF THE
DEPARTMENT OF ENVIRONMENTAL CONSERVATION, shall include research and
development of technologies for treatment, storage and disposal of
industrial hazardous wastes consistent with economic, social and envi-
ronmental objectives. In carrying out such purposes the corporation,
UNDER THE GUIDANCE AND SUPPORT OF THE DEPARTMENT OF ENVIRONMENTAL
CONSERVATION, shall prepare studies regarding the best technology or
systems possible for the design, construction and operation of indus-
trial hazardous waste treatment, storage and disposal facilities includ-
ing methods to recover materials or energy and to detoxify or neutralize
wastes. Studies shall also be made of methods to guarantee long-term
maintenance, ownership, monitoring, and environmental soundness of long-
term hazardous waste storage and disposal sites. With respect to matters
of operation and long-term maintenance, consideration shall be given to
the various options for locating such storage and disposal sites and for
public or private ownership and for public or private operation consist-
ent with the maximum protection of public health, safety and welfare and
the natural environment.
2. Not later than one year from the effective date of this section,
the corporation, UNDER THE GUIDANCE AND SUPPORT OF THE DEPARTMENT OF
ENVIRONMENTAL CONSERVATION, shall submit a report to the governor and
the legislature of its studies conducted pursuant to subdivision one of
this section.
3. To advise the corporation on technical matters, a technical advi-
sory committee shall be constituted to be composed of the commissioners
of transportation, commerce, health and environmental conservation, the
secretary of state, and five persons representative of affected indus-
tries to be appointed by the governor with the advice and consent of the
senate. Upon dissolution of the hazardous waste disposal advisory
committee pursuant to subdivision three of section twelve hundred eight-
y-five-f of this article, two members of that committee designated by
the governor shall become members of the committee established by this
subdivision which committee shall be expanded by two members.
A. 9709--B 76
In [excercising] EXERCISING its responsibilities, the corporation,
UNDER THE GUIDANCE AND SUPPORT OF THE DEPARTMENT OF ENVIRONMENTAL
CONSERVATION, shall also cooperate and act in conjunction with indus-
trial, commercial, medical, scientific, public interest and educational
organizations within the state, and with agencies of the federal govern-
ment, of the state and its political subdivisions, of other states, and
joint agencies thereof.
S 9. Section 1285-e of the public authorities law, as added by chapter
282 of the laws of 1979, is amended to read as follows:
S 1285-e. Inactive hazardous waste disposal site remedial programs. In
addition to its existing powers, the corporation, UNDER THE GUIDANCE AND
SUPPORT OF THE DEPARTMENT OF ENVIRONMENTAL CONSERVATION, is hereby
empowered to carry out inactive hazardous waste disposal site remedial
programs. The corporation, UNDER THE GUIDANCE AND SUPPORT OF THE DEPART-
MENT OF ENVIRONMENTAL CONSERVATION, may subcontract for the work
included in carrying out such programs.
S 10. Subdivision 1, paragraphs c and d of subdivision 3 and subdivi-
sions 4, 5, 6 and 7 of section 1285-g of the public authorities law,
subdivision 1 and paragraphs c and d of subdivision 3 as added by chap-
ter 990 of the laws of 1981 and subdivisions 4, 5, 6 and 7 as amended by
chapter 619 of the laws of 1988, are amended to read as follows:
1. Applicability. It is the purpose of this section to establish a
program within the corporation, UNDER THE GUIDANCE AND SUPPORT OF THE
DEPARTMENT OF ENVIRONMENTAL CONSERVATION, to encourage the reduction,
recovery and recycling of industrial materials otherwise requiring
disposal.
c. The corporation, UNDER THE GUIDANCE AND SUPPORT OF THE DEPARTMENT
OF ENVIRONMENTAL CONSERVATION, shall coordinate its activities under
this section with the department of environmental conservation with such
department's responsibilities pursuant to title four of article twenty-
seven of the environmental conservation law.
d. The corporation, UNDER THE GUIDANCE AND SUPPORT OF THE DEPARTMENT
OF ENVIRONMENTAL CONSERVATION, may enter into contracts with private
entities for the purpose of having such entities undertake activities
called for under this section.
4. Trade secrets; confidentiality. a. The corporation, UNDER THE GUID-
ANCE AND SUPPORT OF THE DEPARTMENT OF ENVIRONMENTAL CONSERVATION, shall
ensure that any trade secrets or other proprietary or confidential data
or information of a personal nature, required to be utilized pursuant to
this section, shall be utilized by the corporation, UNDER THE GUIDANCE
AND SUPPORT OF THE DEPARTMENT OF ENVIRONMENTAL CONSERVATION, in
connection with its respective responsibilities pursuant to this
section, and that such trade secrets and other proprietary or confiden-
tial data or information are not otherwise disseminated without the
express consent of the generator furnishing such information.
b. For the purposes of this section, trade secrets and other proprie-
tary or confidential data or information may include, but are not limit-
ed to, any formula, plan, pattern, process, tool, mechanism, compound,
procedure, customer lists, production data, or compilation of informa-
tion within a commercial concern which is using it to fabricate, produce
or compound an article of trade or service having commercial value, and
which gives its owner or authorized user an opportunity to obtain a
business advantage over competitors who do not know, use or have access
to such data and information.
c. For the purposes of this section, due to the unique nature of the
program, any generator who claims that specified data or information to
A. 9709--B 77
be utilized pursuant to any requirement of this section contains trade
secrets or other proprietary or confidential data or information of a
personal nature may set forth such claims in writing to the corporation,
UNDER THE GUIDANCE AND SUPPORT OF THE DEPARTMENT OF ENVIRONMENTAL
CONSERVATION, for the protection of trade secrets afforded pursuant to
this subdivision. Such information shall not be subject to disclosure
under the freedom of information law as set forth in article six of the
public officers law.
d. The corporation, UNDER THE GUIDANCE AND SUPPORT OF THE DEPARTMENT
OF ENVIRONMENTAL CONSERVATION, shall have rules of conduct for employees
and contractors of the corporation, UNDER THE GUIDANCE AND SUPPORT OF
THE DEPARTMENT OF ENVIRONMENTAL CONSERVATION, involved in the design,
development, operation and maintenance of any trade secret record-keep-
ing and instruct each such employee or contractor with respect to such
rules and the requirements of this subdivision including any other rules
and procedures adopted pursuant to this section and the penalties for
noncompliance.
e. The corporation, UNDER THE GUIDANCE AND SUPPORT OF THE DEPARTMENT
OF ENVIRONMENTAL CONSERVATION, shall have appropriate administrative,
technical, and physical safeguards to insure the security and confiden-
tiality of trade secret information and records and to protect against
any anticipated threats to their security or integrity which could
result in their unauthorized disclosure.
5. Improper disclosure of trade secrets or other proprietary or confi-
dential data or information of a personal nature. No officer, employee
or contractor of the corporation, UNDER THE GUIDANCE AND SUPPORT OF THE
DEPARTMENT OF ENVIRONMENTAL CONSERVATION, shall intentionally publish,
divulge, disclose or make known in a manner not authorized under the
provisions of this section any trade secret or other proprietary or
confidential data or information of a personal nature available to him
in the course of his employment. Any such official, employee or contrac-
tor who violates the provisions of this subdivision shall be liable for
a civil penalty not to exceed five thousand dollars. In addition, any
official or employee who violates the provisions of this subdivision may
be dismissed from his office or employment.
6. Report to the legislature. The chairman of the corporation, UNDER
THE GUIDANCE AND SUPPORT OF THE DEPARTMENT OF ENVIRONMENTAL CONSERVA-
TION, shall, not later than twelve months after the enactment date of
this section and annually thereafter, prepare and submit a report on the
status of the reduction, recycling and recovery of industrial materials
as facilitated by the provisions of this section to the governor and the
legislature. In addition, such report shall include, but not be limited
to the quantities, composition and disposition of hazardous waste gener-
ated by region in the preceding year and the listing of such wastes
feasible to recycle and recover developed pursuant to this section. The
chairman of the corporation, UNDER THE GUIDANCE AND SUPPORT OF THE
DEPARTMENT OF ENVIRONMENTAL CONSERVATION, shall also report on the
scope, status and efficacy of the program, including the small quantity
generator hazardous waste audit program, and specific recommendations
for continuation of the program; provided, however, such chairman, UNDER
THE GUIDANCE AND SUPPORT OF THE DEPARTMENT OF ENVIRONMENTAL CONSERVA-
TION, shall withhold information on the source or nature of particular
industrial materials in such a manner as to protect trade secrets or
confidential information of the generators.
7. Small quantity generator hazardous waste audit program. a. The
corporation, UNDER THE GUIDANCE AND SUPPORT OF THE DEPARTMENT OF ENVI-
A. 9709--B 78
RONMENTAL CONSERVATION, shall establish and be responsible for a small
quantity generator hazardous waste audit program. To carry out such
program, the corporation, UNDER THE GUIDANCE AND SUPPORT OF THE DEPART-
MENT OF ENVIRONMENTAL CONSERVATION, is authorized to obtain the
services, as necessary, of waste management specialists to conduct waste
audits at the facilities of hazardous waste generators that have
produced less then one thousand kilograms of hazardous waste in each of
the past twelve calendar months. The purpose of such audits shall be to
provide on-site technical assistance to aid such generators in complying
with New York state's hazardous waste regulations and to identify and
evaluate the potential for reducing the amount and/or toxicity of
hazardous waste generated at such facilities.
b. Waste audits conducted pursuant to this subdivision may include,
but need not be limited to:
(i) identification of all hazardous wastes generated at the facility;
(ii) identification of the regulatory requirements associated with the
storage, treatment, or disposal of all hazardous wastes generated at the
facility;
(iii) identification of any methodologies, processes, equipment, or
production changes which could be utilized by the facility to reduce the
amount or toxicity of hazardous wastes generated at the facility;
(iv) identification of any on-site recycling or waste treatment tech-
nologies which could be utilized to reduce the amount or toxicity of
hazardous wastes disposed of by the facility; and
(v) identification of any potential markets for hazardous waste gener-
ated by the facility, including the use of waste exchange markets.
c. The corporation, UNDER THE GUIDANCE AND SUPPORT OF THE DEPARTMENT
OF ENVIRONMENTAL CONSERVATION, shall establish by rule and regulation,
upon consultation with the director of the budget, a sliding fee sched-
ule to offset the costs of conducting on-site audits. The fee schedule
established pursuant to this section shall be intended to provide reven-
ues sufficient to meet solely the costs incurred by the corporation,
UNDER THE GUIDANCE AND SUPPORT OF THE DEPARTMENT OF ENVIRONMENTAL
CONSERVATION, in performing such audits, provided that the corporation,
UNDER THE GUIDANCE AND SUPPORT OF THE DEPARTMENT OF ENVIRONMENTAL
CONSERVATION, may use technical assistance grants it receives from the
federal government, private foundations, or other institutions to reduce
or eliminate fees charged generators for performing such audits, and
further provided that monies appropriated to the corporation, UNDER THE
GUIDANCE AND SUPPORT OF THE DEPARTMENT OF ENVIRONMENTAL CONSERVATION, to
carry out the purposes of this subdivision shall not be used to provide
financial assistance to waste generators for the purchase of manufactur-
ing plants or equipment, property, real or otherwise, engineering or
legal services, or any other cost incident to the actual implementation
of a waste reduction or management project. The chairman of the corpo-
ration, UNDER THE GUIDANCE AND SUPPORT OF THE DEPARTMENT OF ENVIRON-
MENTAL CONSERVATION, is authorized and directed to deposit all monies
received in payment of fees under this subdivision in an account within
the miscellaneous special revenue fund.
d. Any person receiving audit services pursuant to this subdivision
shall, within ninety days of the completion of such audit, submit to the
corporation, UNDER THE GUIDANCE AND SUPPORT OF THE DEPARTMENT OF ENVI-
RONMENTAL CONSERVATION, a description of the steps it will take, if any,
to implement any recommended waste reduction, recycling, or treatment
strategies identified in such audit.
A. 9709--B 79
e. In implementing the small quantity generator hazardous waste audit
program, the corporation, UNDER THE GUIDANCE AND SUPPORT OF THE DEPART-
MENT OF ENVIRONMENTAL CONSERVATION, is authorized to:
(i) hire or contract with an appropriate number of hazardous waste
management specialists to conduct on-site waste audits;
(ii) employ such public information methods as are appropriate to
identify and inform eligible hazardous waste generators of the existence
of the waste audit program;
(iii) establish a small quantity generator hazardous waste audit
program application consistent with the policies and goals of this
section; and
(iv) establish by rule and regulation a small quantity generator
hazardous waste audit program application evaluation procedure consist-
ent with the policies and goals of this section.
S 11. Section 1285-h of the public authorities law, as amended by
chapter 311 of the laws of 1991, is amended to read as follows:
S 1285-h. Inactive hazardous waste disposal site remedial programs.
1. The corporation, UNDER THE GUIDANCE AND SUPPORT OF THE DEPARTMENT OF
ENVIRONMENTAL CONSERVATION, and any owner of an inactive hazardous waste
disposal site, or any state agency or any person or municipality identi-
fied by the commissioner of the department of environmental conservation
pursuant to section 27-1313 of the environmental conservation law as
responsible for developing and implementing an inactive hazardous waste
disposal site remedial program pursuant to section 27-1313 of the envi-
ronmental conservation law or section thirteen hundred eighty-nine-b of
the public health law may enter into a contract for the development
and/or implementation of such a program upon such terms and conditions
as the corporation, UNDER THE GUIDANCE AND SUPPORT OF THE DEPARTMENT OF
ENVIRONMENTAL CONSERVATION, shall determine to be reasonable. Such
contract shall include payment to the corporation, UNDER THE GUIDANCE
AND SUPPORT OF THE DEPARTMENT OF ENVIRONMENTAL CONSERVATION, pursuant to
the contract. The corporation, UNDER THE GUIDANCE AND SUPPORT OF THE
DEPARTMENT OF ENVIRONMENTAL CONSERVATION, may subcontract for the devel-
opment or implementation of such a program.
2. When requested by the owner of an inactive hazardous waste disposal
site, or by any state agency or by any person or municipality identified
by the commissioner of the department of environmental conservation
pursuant to section 27-1313 of the environmental conservation law as
responsible for the disposal of hazardous waste at such site, the corpo-
ration, UNDER THE GUIDANCE AND SUPPORT OF THE DEPARTMENT OF ENVIRON-
MENTAL CONSERVATION, may advise such owner, state agency, person or
municipality on matters relating to the development and implementation
of an inactive hazardous waste remedial program and pursuant to a
contract with such an owner, state agency, person or municipality may
render technical assistance and may undertake research, planning and
testing with respect to any such program. The corporation, UNDER THE
GUIDANCE AND SUPPORT OF THE DEPARTMENT OF ENVIRONMENTAL CONSERVATION,
may make a reasonable charge to any such owner, state agency, person or
municipality for the performance of any of the functions authorized by
this subdivision.
3. The corporation, UNDER THE GUIDANCE AND SUPPORT OF THE DEPARTMENT
OF ENVIRONMENTAL CONSERVATION, shall have the authority to contract with
the department of environmental conservation to perform necessary work
in connection with inactive hazardous waste disposal site remedial
programs pursuant to section 27-1313 of the environmental conservation
law. Such contract shall include payment to the corporation, UNDER THE
A. 9709--B 80
GUIDANCE AND SUPPORT OF THE DEPARTMENT OF ENVIRONMENTAL CONSERVATION,
pursuant to the contract. The corporation, UNDER THE GUIDANCE AND
SUPPORT OF THE DEPARTMENT OF ENVIRONMENTAL CONSERVATION, may subcontract
for the development or implementation of such a program.
S 12. Section 1285-i of the public authorities law, as added by chap-
ter 70 of the laws of 1988, is amended to read as follows:
S 1285-i. Commercial and industrial waste audits. a. The corporation,
UNDER THE GUIDANCE AND SUPPORT OF THE DEPARTMENT OF ENVIRONMENTAL
CONSERVATION, shall establish and be responsible for administration of a
commercial and industrial waste audit program to help businesses identi-
fy and evaluate the potential at their New York facilities for reducing
the amount of solid waste generated, increasing new materials recovery
programs and otherwise reducing the amount of waste ultimately requiring
disposal. The corporation, UNDER THE GUIDANCE AND SUPPORT OF THE DEPART-
MENT OF ENVIRONMENTAL CONSERVATION, shall in implementing said waste
audit program coordinate activities with and actively foster the waste
exchange program of the corporation, UNDER THE GUIDANCE AND SUPPORT OF
THE DEPARTMENT OF ENVIRONMENTAL CONSERVATION, and other waste reduction
programs as is appropriate, and is further authorized to obtain the
services, as necessary, of waste management specialists to conduct such
waste audits.
b. In implementing the commercial and industrial waste audit program,
the corporation, UNDER THE GUIDANCE AND SUPPORT OF THE DEPARTMENT OF
ENVIRONMENTAL CONSERVATION, shall:
(i) establish an application process consistent with the rules and
regulations of the program;
(ii) establish by rule and regulation a commercial and industrial
solid waste audit program application evaluation procedure consistent
with the requirements of this section; and
(iii) establish by rule and regulation, upon consultation with the
director of the budget, a sliding fee schedule to offset the costs of
the audit. The fee schedule established pursuant to this section shall
be intended to provide revenues sufficient to meet solely the costs
incurred by the corporation, UNDER THE GUIDANCE AND SUPPORT OF THE
DEPARTMENT OF ENVIRONMENTAL CONSERVATION, in performing such audits. The
chairman, UNDER THE GUIDANCE AND SUPPORT OF THE DEPARTMENT OF ENVIRON-
MENTAL CONSERVATION, is authorized and directed to deposit all money
received in payment of fees under this section in an account within the
miscellaneous special revenue fund.
c. Waste audits conducted pursuant to this section may include but
need not be limited to identification of:
(i) all waste generated within the facility;
(ii) the regulatory requirements associated with the recovery, reuse
or disposal of such waste, and the implications of such requirements for
various reduction and reuse options;
(iii) any methodologies, processes, equipment, or production changes
that could be utilized to reduce the amount of waste generated and
consumer waste resulting from the product, process or service manufac-
tured, distributed or sold;
(iv) on site recycling or waste treatment technologies that could be
utilized to reduce the need for waste disposal capacity;
(v) potential markets for waste generated by the facility, including
local materials recycling programs, and the ability of such markets to
readily absorb the wastes generated by such facility; and
(vi) economic practicality of alternative waste reduction strategies.
A. 9709--B 81
d. Any person for whom a waste audit is prepared shall within one
hundred eighty days submit to the corporation, UNDER THE GUIDANCE AND
SUPPORT OF THE DEPARTMENT OF ENVIRONMENTAL CONSERVATION, findings with
respect to the report and the status of steps to implement any recom-
mended strategies identified in such audit.
e. Beginning January first, nineteen hundred eighty-nine, the
chairman, UNDER THE GUIDANCE AND SUPPORT OF THE DEPARTMENT OF ENVIRON-
MENTAL CONSERVATION, shall make an annual report concerning the activ-
ities undertaken pursuant to this section which shall include, at a
minimum (i) the number of businesses which received assistance, (ii) the
nature of assistance provided through the programs, (iii) needs and
problems confronted by such businesses in establishing and implementing
programs, and (iv) the number of businesses which applied for assist-
ance. The chairman, UNDER THE GUIDANCE AND SUPPORT OF THE DEPARTMENT OF
ENVIRONMENTAL CONSERVATION, shall submit to the director of the division
of the budget, the chairman and the ranking minority member of the
senate finance committee and the chairman and the ranking minority
member of the assembly ways and means committee an evaluation of the
program prepared by an entity independent of the authority. Such evalu-
ation shall be submitted by September first, nineteen hundred ninety and
by September first every two years thereafter.
S 13. Section 1285-j of the public authorities law, as added by chap-
ter 565 of the laws of 1989, paragraph (a) of subdivision 1 as amended
by chapter 262 of the laws of 2007, paragraph (b) of subdivision 1,
subdivision 2, paragraph (e) of subdivision 4 and subdivision 5 as
amended by chapter 134 of the laws of 2007, subdivision 3 and the open-
ing paragraph of subdivision 4 as amended by chapter 410 of the laws of
2002, paragraph (a) of subdivision 4, subdivisions 9 and 10, paragraph
(b) of subdivision 12 as amended and subdivision 13 as added by chapter
55 of the laws of 1992, subdivision 6 as amended by chapter 307 of the
laws of 2005, subdivision 11 as amended by chapter 264 of the laws of
2004 and subdivision 12 as added by chapter 166 of the laws of 1991, is
amended to read as follows:
S 1285-j. Water pollution control revolving fund. 1. (a) The corpo-
ration, UNDER THE GUIDANCE AND SUPPORT OF THE DEPARTMENT OF ENVIRON-
MENTAL CONSERVATION, shall undertake and provide assistance in support
of the program to make financial assistance available to municipalities
to encourage and support the planning, development and construction of
municipal water pollution control projects in accordance with the
provisions of this section, section 17-1909 of the environmental conser-
vation law, and to make financial assistance available to eligible
borrowers through linked deposits made in accordance with article
sixteen of the state finance law.
(b) There is hereby established in the custody of the corporation,
UNDER THE GUIDANCE AND SUPPORT OF THE DEPARTMENT OF ENVIRONMENTAL
CONSERVATION, a special fund to be known as the water pollution control
revolving fund. Moneys in the water pollution control revolving fund
shall be segregated from all other funds of or in the custody of the
corporation subject to any rights of holders of corporation bonds or
notes issued for the purposes of this section. Moneys in the water
pollution control revolving fund shall only be used in accordance with
the provisions of this section and section 17-1909 of the environmental
conservation law. The moneys in such fund shall be applied to or paid
out for authorized purposes of such fund on the direction of the chair-
man of the corporation, UNDER THE GUIDANCE AND SUPPORT OF THE DEPARTMENT
OF ENVIRONMENTAL CONSERVATION, in accordance with subdivision four of
A. 9709--B 82
this section and section 17-1909 of the environmental conservation law,
or such other person as the corporation, UNDER THE GUIDANCE AND SUPPORT
OF THE DEPARTMENT OF ENVIRONMENTAL CONSERVATION, shall authorize to make
such direction. In consultation with the director of the division of the
budget, the corporation, UNDER THE GUIDANCE AND SUPPORT OF THE DEPART-
MENT OF ENVIRONMENTAL CONSERVATION, may, subject to subparagraph (ii) of
paragraph a of subdivision seven of section 17-1909 of the environmental
conservation law, and shall, at the direction of the commissioner of
environmental conservation pursuant to such subdivision, establish with-
in the water pollution control revolving fund additional accounts or
subaccounts and specify any conditions applicable to the transfer of
moneys between such accounts or subaccounts. With respect to each eligi-
ble project, the corporation, UNDER THE GUIDANCE AND SUPPORT OF THE
DEPARTMENT OF ENVIRONMENTAL CONSERVATION, shall establish and maintain a
record of the allocation provided for the benefit of such project in
accordance with the terms of the applicable project financing agreement
or loan agreement.
2. As used in this section, the terms "allocation", "construction",
"eligible project", "fund", and "project financing agreement" shall have
the meanings set forth in section 17-1909 of the environmental conserva-
tion law.
3. Such fund shall consist of all of the following: (a) federal
capitalization grants and awards or other federal assistance provided
pursuant to Title II or Title VI of the Federal Water Pollution Control
Act, exclusive of any such grants, awards or assistance available under
Title II, except as may be necessary to avoid the loss to New York state
of any unobligated Title II money which can not be made available as a
grant or grant increase to a municipality, for purposes of deposit in
the fund and appropriated by the state for deposit therein, (b) federal
capitalization grants and awards or other federal assistance provided
pursuant to, or for the purposes of, the Omnibus Consolidated Rescis-
sions and Appropriations Act of 1996 (Pub. L. 104-134) or wet weather
quality grants as provided in the Consolidated Appropriations Act of
2001 (Pub. L. 106-554), (c) moneys appropriated by the state legislature
for the purpose of such fund or otherwise transferred by the state for
deposit therein by the comptroller as required by law, (d) payments of
principal and interest made by municipalities pursuant to loan or other
agreements entered into pursuant to subdivisions eight and nine of this
section: provided, however, if such loans were financed by the issuance
of bonds or notes of the corporation, deposit of such payments into the
fund shall be subject to the rights of the holders of such bonds or
notes to receive such moneys, (e) investment earnings on amounts in such
fund, (f) any other payments received from municipalities pursuant to a
loan or other agreement made pursuant to subdivisions eight and nine of
this section for costs of managing and administering the program, (g)
the proceeds of bonds or notes issued by the corporation, UNDER THE
GUIDANCE AND SUPPORT OF THE DEPARTMENT OF ENVIRONMENTAL CONSERVATION,
for purposes of providing financial assistance to municipalities, (h)
the balance of any fees or penalties paid pursuant to the terms and
conditions of a compliance or enforcement agreement for violations of
the federal Marine Protection, Research and Sanctuaries Act, as amended
(33 U.S.C. SS 1401 et seq.), occurring prior to December thirty-first,
nineteen hundred ninety-four, after payment has been made to the admin-
istrator of the United States environmental protection agency, a trust
account, the ocean dumping alternatives account, and (i) the balance of
any amount in a trust account or, if applicable, municipal trust
A. 9709--B 83
accounts of the clean oceans fund upon a finding by the administrator of
the United States environmental protection agency that fees or penalties
were not paid into such trust account or municipal trust account as
required by the Marine Protection, Research, and Sanctuaries Act, or an
applicable compliance or enforcement agreement.
4. Moneys in the water pollution control revolving fund shall be
applied by the corporation, UNDER THE GUIDANCE AND SUPPORT OF THE
DEPARTMENT OF ENVIRONMENTAL CONSERVATION, to provide financial assist-
ance to municipalities for construction of eligible projects and, upon
consultation with the director of the division of the budget and the
commissioner, for such other purposes permitted by the Federal Water
Pollution Control Act, as amended, and to provide for the administrative
and management costs of the program. All moneys from federal capitaliza-
tion grants and awards or other federal assistance made available pursu-
ant to, or for the purposes of, the Omnibus Consolidated Rescissions and
Appropriations Act of 1996 (Pub. L. 104-134) or wet weather quality
grants as provided in the Consolidated Appropriations Act of 2001 (Pub.
L. 106-554), which are deposited into the water pollution control fund
pursuant to subdivision three of this section, and any corresponding
state match moneys, may be used by the corporation, UNDER THE GUIDANCE
AND SUPPORT OF THE DEPARTMENT OF ENVIRONMENTAL CONSERVATION, for the
purposes permitted by the Omnibus Consolidated Rescissions and Appropri-
ations Act of 1996 (Pub. L. 104-134) or wet weather quality grants as
provided in the Consolidated Appropriations Act of 2001 (Pub. L.
106-554), and for no other purposes. As used in this section "financial
assistance to municipalities" means any one or more of the following:
(a) making loans to municipalities for construction of eligible
projects, provided such loans (i) are made at market or below market
rates, (ii) do not have a final maturity of more than twenty years
following scheduled completion of the eligible project, (iii) have prin-
cipal and interest payments which commence not later than one year after
scheduled completion of the eligible project, and (iv) require the muni-
cipality to establish a dedicated source of revenue (which may be a
general obligation of the municipality); unless otherwise determined by
the corporation or directed by the commissioner of environmental conser-
vation pursuant to subdivision eight of section 17-1909 of the environ-
mental conservation law, the corporation, UNDER THE GUIDANCE AND SUPPORT
OF THE DEPARTMENT OF ENVIRONMENTAL CONSERVATION, shall make such loans
only from the proceeds of the corporation's bonds or notes issued for
purposes of this section;
(b) buying or refinancing debt obligations of municipalities at market
or below market rates, if work was commenced and debt was incurred for
the eligible project after March seventh, nineteen hundred eighty-five;
(c) guarantying, or purchasing insurance or other credit enhancement
for municipal obligations where such action would improve credit market
access for or reduce interest rates on such municipal obligations;
(d) providing a source of revenue or security for payment of principal
and interest on bonds or notes issued by the corporation, UNDER THE
GUIDANCE AND SUPPORT OF THE DEPARTMENT OF ENVIRONMENTAL CONSERVATION, if
the proceeds of the sale of such bonds or notes will be deposited in the
fund;
(e) providing interest rate subsidy allocations to subsidize loans to
municipalities made from the proceeds of the corporation's bonds or
notes;
(f) using investment earnings on moneys in the fund to pay, pursuant
to subdivision seven of this section, the costs of the corporation,
A. 9709--B 84
UNDER THE GUIDANCE AND SUPPORT OF THE DEPARTMENT OF ENVIRONMENTAL
CONSERVATION, and the department of environmental conservation of admin-
istering and managing the program described in this section and section
17-1909 of the environmental conservation law.
5. The corporation, UNDER THE GUIDANCE AND SUPPORT OF THE DEPARTMENT
OF ENVIRONMENTAL CONSERVATION, shall make payments to the sewage treat-
ment program management and administration fund in accordance with
subdivision seven of this section to reimburse such fund for expendi-
tures made pursuant to appropriation to pay the cost of the corporation
and the department of environmental conservation for administering and
managing the water pollution control revolving fund program established
in section ninety-seven-l of the state finance law, for such costs. Such
reimbursement shall be made from (a) available investment earnings on
all amounts in the water pollution control revolving fund excluding all
amounts in the fund which are the subject of allocations or other finan-
cial assistance to a municipality; and (b) payments received from a
municipality for such purpose pursuant to a project financing agreement
or loan agreement; and (c) if the sources of revenue described in this
paragraph and paragraphs (a) and (b) of this subdivision are or are
anticipated to be insufficient, then from the proceeds of federal
capitalization grants, awards or assistance appropriated to the fund for
administration and management of such program.
Notwithstanding the foregoing, if the sources of revenues described in
paragraphs (a), (b) and (c) of this subdivision are at any time insuffi-
cient to make a reimbursement to the state pursuant to this subdivision
when due, the corporation, UNDER THE GUIDANCE AND SUPPORT OF THE DEPART-
MENT OF ENVIRONMENTAL CONSERVATION, shall make such reimbursement from
any other available amounts in the water pollution control revolving
fund, excluding all amounts that are the subject of allocations,
provided, that the amounts paid from fund sources other than those
described in paragraphs (a), (b) and (c) of this subdivision shall be
reimbursed upon a determination by the director of the budget that
future revenues obtained from sources described in paragraphs (a), (b)
and (c) of this subdivision are in excess of the amounts reasonably
needed to make future reimbursements pursuant to this subdivision.
6. Moneys in the water pollution control revolving fund may be
invested as provided in subdivision four of section twelve hundred
eighty-four of this title and may be further invested (a) in investment
agreements continuously secured by obligations with any insurance or
reinsurance company or corporate affiliate thereof rated by a nationally
recognized rating agency in one of its two highest categories, any bank,
trust company or broker or dealer, as defined by the securities exchange
act of 1934, which is a dealer in government bonds, which reports to,
trades with and is recognized as a primary dealer by a federal reserve
bank and is a member of the securities investors protection corporation,
if, (i) such obligations securing such investment agreements are obli-
gations as set forth in section ten of the general municipal law, (ii)
such obligations are delivered to a trustee for the benefit of the
corporation or, with respect to moneys pledged under an indenture of
trust relating to bonds or notes of the corporation, to the trustee
under such indenture, or are supported by a safe keeping receipt issued
by a depository satisfactory to the corporation as applicable, provided
that such investment agreements must provide that the value of the
underlying obligations shall be maintained at a current market value,
calculated no less frequently than monthly, of not less than the amount
deposited thereunder, (iii) a prior perfected security interest in the
A. 9709--B 85
obligations which are securing such agreement has been granted to the
corporation, as applicable, and (iv) such obligations are free and clear
of adverse third party claims, or (b) in obligations as set forth in
section ten of the general municipal law that are rated by a nationally
recognized rating agency in one of its two highest rating categories.
7. The corporation, UNDER THE GUIDANCE AND SUPPORT OF THE DEPARTMENT
OF ENVIRONMENTAL CONSERVATION, shall transfer to the sewage treatment
program management and administration fund established pursuant to
section ninety-seven-l of the state finance law no less frequently than
semi-monthly amounts from the fund sufficient to reimburse the sewage
treatment program management and administration fund in accordance with
the provisions of subdivision five of this section.
8. In addition to the powers of the corporation granted elsewhere in
this chapter, the corporation, UNDER THE GUIDANCE AND SUPPORT OF THE
DEPARTMENT OF ENVIRONMENTAL CONSERVATION, shall have the power to enter
into project financing agreements authorized by section 17-1909 of the
environmental conservation law. Notwithstanding the powers granted to
the corporation elsewhere in this title, the corporation's power to
finance eligible projects, UNDER THE GUIDANCE AND SUPPORT OF THE DEPART-
MENT OF ENVIRONMENTAL CONSERVATION, from the fund is limited to eligible
projects for which project financing agreements have been executed
pursuant to section 17-1909 of the environmental conservation law.
9. In addition to the powers granted to the corporation elsewhere in
this chapter, the corporation, UNDER THE GUIDANCE AND SUPPORT OF THE
DEPARTMENT OF ENVIRONMENTAL CONSERVATION, may make loans to munici-
palities for purposes of financing eligible projects for which the fund
may be used, subject to the limitations of subdivision eight of this
section, may accept the obligations of any municipality as security for
the repayment of a loan to such municipality, and may assign and pledge
such municipal obligations and loan agreements for the benefit of the
holder of obligations of the corporation from the proceeds of which such
loans are made. Loan proceeds may be disbursed to a municipality in
accordance with such restrictions as may be imposed by the corporation,
UNDER THE GUIDANCE AND SUPPORT OF THE DEPARTMENT OF ENVIRONMENTAL
CONSERVATION, in connection with such loan or obligations of the corpo-
ration from the proceeds of which such loan is made.
10. The corporation, UNDER THE GUIDANCE AND SUPPORT OF THE DEPARTMENT
OF ENVIRONMENTAL CONSERVATION, is authorized to arrange for any audits
required by law for the purpose of issuing its bonds or notes to provide
financial assistance to municipalities, and provide for the implementa-
tion of any independently conducted reviews or audits arranged pursuant
to subdivision seven of section 17-1909 of the environmental conserva-
tion law.
11. In the event a municipality shall fail to make any payment due the
corporation pursuant to any loan agreement, financing agreement, or
other obligation of the municipality sold to the corporation or issued
as security for the undertaking of the municipality thereunder, the
corporation, UNDER THE GUIDANCE AND SUPPORT OF THE DEPARTMENT OF ENVI-
RONMENTAL CONSERVATION, shall certify to the comptroller, and notify the
chairman of the senate finance committee, the chairman of the assembly
ways and means committee, the director of the division of the budget and
the governing body of the municipality that such municipality has failed
to make such payment. Such certificate shall be in such form as may be
determined by the corporation, UNDER THE GUIDANCE AND SUPPORT OF THE
DEPARTMENT OF ENVIRONMENTAL CONSERVATION, provided such certificate
shall specify the exact amount of debt service and surcharge, if appli-
A. 9709--B 86
cable, required to satisfy such municipality's unpaid obligation. The
comptroller, upon receipt of such certificate from the corporation, is
authorized to and shall, to the extent not otherwise prohibited by law
and subject to any other provision of law providing for withholding of
payments to the municipality which take precedence over this subdivi-
sion, withhold from such municipality the next succeeding payments of
state aid or local assistance otherwise payable to it to the extent
necessary to meet the certified amount of debt service and surcharge, if
applicable, due the corporation and shall immediately pay over to the
corporation as a debt service payment on behalf of such municipality the
amount so withheld.
12. (a) Notwithstanding the provisions of any general or special law
to the contrary, the commissioner of environmental conservation on
behalf of the state and the corporation, subject to the approval of the
director of the budget, are each hereby authorized to enter into a state
revolving fund service contract or contracts providing for the adminis-
tration of the water pollution control revolving fund and the financing
by the corporation, UNDER THE GUIDANCE AND SUPPORT OF THE DEPARTMENT OF
ENVIRONMENTAL CONSERVATION, of the contributions made by the state to
the water pollution control revolving fund. Any such contract or
contracts shall be upon such terms and conditions as the corporation and
the commissioner of environmental conservation shall determine to be
reasonable, including, but not limited to, provisions relating to the
respective obligations of the state and the corporation with respect to
the administration of the water pollution control revolving fund and
provisions providing for the payment of (i) all fees and other charges
of, and expenses incurred by, the corporation in connection with the
issuance and administration of special obligation bonds to provide funds
to the state or reimburse the state for contributions to the water
pollution control revolving fund and (ii) all debt service payments on
such bonds.
(b) Any such contract entered into pursuant to paragraph (a) of this
subdivision shall provide that the obligation of the state to fund or to
pay the amounts therein provided for shall not constitute a debt of the
state within the meaning of any constitutional or statutory provision
and shall be deemed executory only to the extent of moneys available
therefore and that no liability shall be incurred by the state beyond
the moneys available for such purpose, and that such obligation is
subject to annual appropriation by the legislature.
(c) Any such contract or any payments made or to be made thereunder
may be assigned and pledged by the corporation, UNDER THE GUIDANCE AND
SUPPORT OF THE DEPARTMENT OF ENVIRONMENTAL CONSERVATION, as security for
its bonds and notes issued for the purpose of financing the state
contribution to the water pollution control revolving fund.
(d) The comptroller is hereby authorized to receive from the corpo-
ration, UNDER THE GUIDANCE AND SUPPORT OF THE DEPARTMENT OF ENVIRON-
MENTAL CONSERVATION, any portion of special obligation bond proceeds
paid to provide funds to or reimburse the state for its contribution to
the water pollution control revolving fund and to credit such amounts to
the capital projects fund or any other appropriate fund.
13. In addition to the powers granted to the corporation in this
section, the corporation, UNDER THE GUIDANCE AND SUPPORT OF THE DEPART-
MENT OF ENVIRONMENTAL CONSERVATION, is authorized to exercise the
powers, perform the responsibilities and take the actions assigned to it
under section 17-1909 of the environmental conservation law.
A. 9709--B 87
S 14. Section 1285-k of the public authorities law, as added by chap-
ter 166 of the laws of 1991, is amended to read as follows:
S 1285-k. Financing of the design, acquisition, construction, improve-
ment and installation of Riverbank Park. In order to effectuate the
purposes of this title, the corporation, UNDER THE GUIDANCE AND SUPPORT
OF THE DEPARTMENT OF ENVIRONMENTAL CONSERVATION, shall have the follow-
ing additional special powers:
1. Notwithstanding the provisions of any law to the contrary, the
corporation, UNDER THE GUIDANCE AND SUPPORT OF THE DEPARTMENT OF ENVI-
RONMENTAL CONSERVATION, and any state agency, subject to the approval of
the director of the budget, may enter into a contract for financing the
design, acquisition, construction, improvement and installation of all
or any portion of Riverbank Park, for and on behalf of such state agen-
cy; and the corporation, UNDER THE GUIDANCE AND SUPPORT OF THE DEPART-
MENT OF ENVIRONMENTAL CONSERVATION, and any state agency may enter into
a contract, lease, easement, license or other instrument pursuant to
which the corporation, UNDER THE GUIDANCE AND SUPPORT OF THE DEPARTMENT
OF ENVIRONMENTAL CONSERVATION, shall make all or any portion of River-
bank Park available to such agency, for use as a park. Any such contract
or contracts, lease, easement, license or other instrument shall be upon
such terms and conditions as the corporation, UNDER THE GUIDANCE AND
SUPPORT OF THE DEPARTMENT OF ENVIRONMENTAL CONSERVATION, and the subject
state agency shall determine to be reasonable, including, but not limit-
ed to, the payment of, or reimbursement to the corporation for, (a) all
costs of the corporation in financing the design, acquisition,
construction, improvement and installation of all or any portion of
Riverbank Park, and any claims arising therefrom, (b) all fees and other
charges of, and all expenses incurred by, the corporation, UNDER THE
GUIDANCE AND SUPPORT OF THE DEPARTMENT OF ENVIRONMENTAL CONSERVATION, in
connection with the issuance and administration of any bonds or notes
issued by the corporation for such purpose, and (c) amounts sufficient
to pay all principal, premium, if any, and interest on such bonds or
notes. Such payment or reimbursement may be made annually or otherwise,
may be in fixed amounts or based on any factors or other matters, or may
be made in any other manner, as such contract or contracts shall
provide.
2. Any contract, lease, easement, license or other instrument entered
into by the corporation, UNDER THE GUIDANCE AND SUPPORT OF THE DEPART-
MENT OF ENVIRONMENTAL CONSERVATION, pursuant to subdivision one of this
section may be assigned or pledged by the corporation, UNDER THE GUID-
ANCE AND SUPPORT OF THE DEPARTMENT OF ENVIRONMENTAL CONSERVATION, as
security for its bonds or notes issued for the purpose of financing the
design, acquisition, construction, improvement and installation of all
or any portion of Riverbank Park.
3. The corporation, UNDER THE GUIDANCE AND SUPPORT OF THE DEPARTMENT
OF ENVIRONMENTAL CONSERVATION, any state agency, the city of New York or
any agency or instrumentality thereof, may enter into any leases, ease-
ments, licenses, or other instruments, for the purpose of granting to
the corporation any interest in real property which the corporation
shall deem necessary for the purpose of financing the design, acquisi-
tion, construction, improvement and installation of all or any portion
of Riverbank Park.
4. Notwithstanding the provisions of subdivision one of this section,
any contract, lease, easement, license or other instrument entered into
by the corporation, UNDER THE GUIDANCE AND SUPPORT OF THE DEPARTMENT OF
ENVIRONMENTAL CONSERVATION, with any state agency, pursuant to subdivi-
A. 9709--B 88
sion one of this section, shall (a) provide that the obligation of the
state or such state agency to pay the amounts therein provided shall not
constitute a debt of the state within the meaning of any constitutional
or statutory provision, and (b) be deemed executory only to the extent
moneys are available, and provide that the obligation of the state or
such state agency to make payments thereunder is subject to annual
appropriation by the legislature.
S 15. Section 1285-l of the public authorities law, as added by chap-
ter 55 of the laws of 1992, is amended to read as follows:
S 1285-l. State park infrastructure projects. In order to effectuate
the purposes of this title, the corporation, UNDER THE GUIDANCE AND
SUPPORT OF THE DEPARTMENT OF ENVIRONMENTAL CONSERVATION, shall have the
following additional special powers:
1. Notwithstanding the provisions of any general or special law to the
contrary, the office of parks, recreation and historic preservation or
the division of the budget, with the approval of the director of the
budget, and the corporation, UNDER THE GUIDANCE AND SUPPORT OF THE
DEPARTMENT OF ENVIRONMENTAL CONSERVATION, are each hereby authorized to
enter into a contract or contracts providing for the financing of the
design, acquisition, construction, improvement and installation of all
or any portion of any state park infrastructure project or reimbursement
to the state for costs incurred in connection with a state park infras-
tructure project for and on behalf of the state; and the corporation,
UNDER THE GUIDANCE AND SUPPORT OF THE DEPARTMENT OF ENVIRONMENTAL
CONSERVATION, and the office of parks, recreation and historic preserva-
tion or the division of the budget, with the approval of the director of
the budget, may enter into a contract, lease, easement, license or other
instrument pursuant to which the corporation shall make all or any
portion of any state park infrastructure project available to such state
agency. Any such contract or contracts, lease, easement, license or
other instrument shall be upon such terms and conditions as the corpo-
ration, UNDER THE GUIDANCE AND SUPPORT OF THE DEPARTMENT OF ENVIRON-
MENTAL CONSERVATION, and the state shall determine to be reasonable,
including, but not limited to, the payment of or reimbursement to the
corporation for (a) all costs of the corporation in financing all or any
portion of any state park infrastructure project, and any claims arising
therefrom, (b) all fees and other charges of, and all expenses incurred
by, the corporation in connection with the issuance and administration
of any bonds or notes issued by the corporation for such purpose, and
(c) amounts sufficient to pay all principal, premium, if any, and inter-
est on such bonds or notes. Such payment or reimbursement may be made
annually or otherwise, may be in fixed amounts or based on any factors
or other matters, or may be made in any other manner, as such contract
or contracts, lease, easement, license or other instrument shall
provide. Provided, however, that the net proceeds of any such bonds or
notes issued shall not exceed sixteen million dollars, not including
issuance costs, capitalized interest and debt service reserve funds.
2. Any such contract or contracts, lease, easement, license or other
instrument entered into pursuant to subdivision one of this section
shall provide that the obligation of the state to fund or to pay the
amounts therein provided for shall not constitute a debt of the state
within the meaning of any constitutional or statutory provision and
shall be deemed executory only to the extent of moneys available there-
for and that no liability shall be incurred by the state beyond the
moneys available for such purpose, and that such obligation is subject
to annual appropriation by the legislature.
A. 9709--B 89
3. Any such contract or contracts, lease, easement, license or other
instrument or any payments made or to be made thereunder may be assigned
and pledged by the corporation, UNDER THE GUIDANCE AND SUPPORT OF THE
DEPARTMENT OF ENVIRONMENTAL CONSERVATION, as security for its bonds and
notes issued for the purpose of financing all or any part of any state
park infrastructure project.
4. The corporation, UNDER THE GUIDANCE AND SUPPORT OF THE DEPARTMENT
OF ENVIRONMENTAL CONSERVATION, and the office of parks, recreation and
historic preservation or the division of the budget, with the approval
of the director of the budget, may enter into any leases, easements,
licenses or other instruments for the purpose of granting to the corpo-
ration any interest in real property which the corporation shall deem
necessary for the purpose of financing the design, acquisition,
construction, improvement and installation of all or any portion of any
state park infrastructure project. The corporation shall hold any such
interest in real property in trust for the state, shall make and keep
such properties accessible to the public, and shall not sell, lease,
exchange or donate such properties except to the state.
5. The comptroller is hereby authorized to receive from the corpo-
ration, UNDER THE GUIDANCE AND SUPPORT OF THE DEPARTMENT OF ENVIRON-
MENTAL CONSERVATION, any portion of special obligation bond proceeds
paid to provide funds for or reimburse the state for its costs associ-
ated with any state park infrastructure project and to credit such
amounts to the capital projects fund or any other appropriate fund.
S 16. Section 1285-m of the public authorities law, as added by chap-
ter 413 of the laws of 1996, paragraph (b) of subdivision 1, subdivision
2, paragraph (e) of subdivision 4 and subdivision 5 as amended by chap-
ter 134 of the laws of 2007, subdivision 6 as amended by chapter 307 of
the laws of 2005 and subdivision 11 as amended by chapter 264 of the
laws of 2004, is amended to read as follows:
S 1285-m. Drinking water revolving fund. 1. (a) The corporation, UNDER
THE GUIDANCE AND SUPPORT OF THE DEPARTMENT OF ENVIRONMENTAL CONSERVA-
TION, shall undertake and provide assistance in support of the program
to make financial assistance available to recipients to encourage and
support the planning, development and construction of water supply
facilities in accordance with the provisions of this section and title
four of article eleven of the public health law.
(b) There is hereby established in the custody of the corporation,
UNDER THE GUIDANCE AND SUPPORT OF THE DEPARTMENT OF ENVIRONMENTAL
CONSERVATION, a special fund to be known as the drinking water revolving
fund. Except as otherwise provided by this paragraph, moneys in the
drinking water revolving fund shall be segregated from all other funds
of or in the custody of the corporation subject to any rights of holders
of corporation bonds or notes issued for the purposes of this section.
Moneys in the drinking water revolving fund shall only be used in
accordance with the provisions of this section and title four of article
eleven of the public health law; provided that, in addition, to the
extent permitted by federal or state law, moneys in the drinking water
revolving fund may be transferred to and used for the purposes author-
ized for the water pollution control revolving fund, and moneys in the
water pollution control revolving fund may be transferred to and used
for the purposes authorized for the drinking water revolving fund. The
moneys in the drinking water revolving fund shall be applied to or paid
out for authorized purposes of such fund in accordance with subdivision
four of this section and title four of article eleven of the public
health law. To the extent approved by the commissioner of health and the
A. 9709--B 90
commissioner of environmental conservation and notwithstanding the
provisions of paragraph (a) of this subdivision, moneys in the drinking
water revolving fund and in the water pollution control revolving fund
may be held together; provided that all such moneys are segregated from
all other funds of or in the custody of the corporation subject to any
rights of holders of corporation bonds or notes issued for the purposes
of this section; provided further, that the corporation, UNDER THE GUID-
ANCE AND SUPPORT OF THE DEPARTMENT OF ENVIRONMENTAL CONSERVATION, shall
establish and maintain or cause there to be established and maintained a
system of tracking the application of such moneys to the purposes of
this section. The corporation, UNDER THE GUIDANCE AND SUPPORT OF THE
DEPARTMENT OF ENVIRONMENTAL CONSERVATION, may establish within the
drinking water revolving fund additional accounts or subaccounts and
specify any conditions applicable to the transfer of moneys between such
accounts or subaccounts. With respect to each eligible project, the
corporation, UNDER THE GUIDANCE AND SUPPORT OF THE DEPARTMENT OF ENVI-
RONMENTAL CONSERVATION, shall establish and maintain a record of the
allocation provided for the benefit of such project in accordance with
the terms of the applicable financing agreement.
2. As used in this section, the terms "allocation", "construction",
"eligible project", "fund" and "financing agreement" shall have the
meanings set forth in section eleven hundred sixty of the public health
law.
3. Such fund shall consist of all of the following:
(a) the proceeds of bonds or notes issued by the state pursuant to the
Clean Water/Clean Air Bond Act of 1996; provided that up to two hundred
sixty-five million dollars ($265,000,000) of such proceeds shall be
available to finance state assistance payments in the manner set forth
in paragraphs (a), (d), (e), (f) and (g) of subdivision four of this
section, and up to ninety million dollars ($90,000,000) shall be avail-
able to finance state assistance payments in the manner set forth in
paragraphs (d), (f) and (h) of subdivision four of this section;
(b) federal capitalization grants and awards or other federal assist-
ance provided pursuant to the federal safe drinking water act for
purposes of deposit in the fund and appropriated by the state for depos-
it therein;
(c) moneys appropriated by the state legislature for the purpose of
such fund or otherwise transferred by the state for deposit therein by
the comptroller as required by law;
(d) payments of principal and interest made by recipients pursuant to
loan or other financing agreements entered into pursuant to subdivisions
eight and nine of this section; provided, however, if financial assist-
ance made pursuant to financing agreements were financed by the issuance
of bonds or notes of the corporation, deposit of such payments into the
fund shall be subject to the rights of the holders of such bonds or
notes to receive such moneys;
(e) investment earnings on amounts in such fund; and
(f) the proceeds of bonds or notes issued by the corporation for
purposes of providing financial assistance to recipients.
4. Moneys in the drinking water revolving fund shall be applied by the
corporation, UNDER THE GUIDANCE AND SUPPORT OF THE DEPARTMENT OF ENVI-
RONMENTAL CONSERVATION, in accordance with this section and title four
of article eleven of the public health law to provide financial assist-
ance to recipients for construction of eligible projects and, upon
consultation with the director of the division of the budget, for such
other purposes permitted by the federal safe drinking water act, as
A. 9709--B 91
amended, and to provide for the administrative and management costs of
the program, provided however, that proceeds of bonds issued pursuant to
the Clean Water/Clean Air Bond Act of 1996, other than proceeds of bonds
used to finance the state match for federal capitalization grants for
the drinking water revolving fund, shall not be used for administrative
and management costs; and provided further, that proceeds of bonds
issued pursuant to the Clean Water/Clean Air Bond Act of 1996, other
than proceeds of bonds issued to finance the state match for federal
capitalization grants for the drinking water revolving fund, shall not
be used to finance costs with respect to the Croton filtration project.
As used in this section "financial assistance to recipients" means any
one or more of the following:
(a) making loans to recipients for construction of eligible projects
on such terms as the corporation, UNDER THE GUIDANCE AND SUPPORT OF THE
DEPARTMENT OF ENVIRONMENTAL CONSERVATION, may determine, subject to any
applicable provisions of federal or state law;
(b) buying or refinancing debt obligations of recipients at market or
below market rates, subject to any applicable provisions of federal or
state law;
(c) guarantying, or purchasing insurance or other credit enhancement
for municipal obligations where such action would improve credit market
access for or reduce interest rates on such municipal obligations;
(d) providing a source of revenue or security for payment of principal
and interest on bonds or notes issued by the corporation if the proceeds
of the sale of such bonds or notes will be deposited in the fund;
(e) providing interest rate subsidy allocations to subsidize loans to
recipients made from the proceeds of the corporation's bonds or notes;
(f) paying, pursuant to subdivision seven of this section, the costs
of the corporation and the department of health of administering and
managing the program described in this section and title four of article
eleven of the public health law and paying the costs of the corporation
and the department of health of providing technical assistance with
respect to such program; provided, however, that proceeds of bonds
issued pursuant to the Clean Water/Clean Air Bond Act of 1996, other
than proceeds of bonds used to finance the state match for federal
capitalization grants for the drinking water revolving fund, shall not
be used for such costs;
(g) paying up to seventy-five percent of the principal on loans made
to recipients under financing agreements if the corporation, UNDER THE
GUIDANCE AND SUPPORT OF THE DEPARTMENT OF ENVIRONMENTAL CONSERVATION,
determines that the recipient would be unable to carry out the eligible
project financed with such loan without creating a financial hardship on
system users and without the subsidy afforded by such payment of princi-
pal, provided that (i) the amounts applied to such purpose shall be paid
from interest earned on funds deposited in the fund and from interest
received on other loans made from the fund, (ii) the amounts so applied
shall not exceed, in the aggregate, the interest earnings received by
the fund on fifty percent of the amounts deposited to the fund, and
(iii) in accordance with regulations to be promulgated by the corpo-
ration, UNDER THE GUIDANCE AND SUPPORT OF THE DEPARTMENT OF ENVIRON-
MENTAL CONSERVATION, preference shall be given to small and rural commu-
nities in providing such principal subsidies; or
(h) making state assistance payments for the state share of the cost
of an eligible project from up to ninety million dollars ($90,000,000)
of the proceeds of state bonds and notes issued pursuant to the Clean
Water/Clean Air Bond Act of 1996; provided that, in accordance with
A. 9709--B 92
regulations to be promulgated by the corporation, preference shall be
given to recipients which would be unable to carry out such eligible
projects in the absence of such state assistance payments without creat-
ing a financial hardship on system users.
5. The corporation, UNDER THE GUIDANCE AND SUPPORT OF THE DEPARTMENT
OF ENVIRONMENTAL CONSERVATION, may make payments to the state in accord-
ance with subdivision seven of this section to reimburse the state for
expenditures made pursuant to appropriation to pay the cost of the
corporation and the department of health for administering and managing
the drinking water revolving fund program, including provision of tech-
nical assistance. Such reimbursement may be made from:
(a) available investment earnings on all amounts in the drinking water
revolving fund excluding all amounts in the fund which are the subject
of allocations or other financial assistance to a recipient;
(b) payments received from a recipient for such purpose; and
(c) the proceeds of federal capitalization grants, awards or assist-
ance available for administration and management of such program.
Notwithstanding the foregoing, if the sources of revenues described in
paragraphs (a), (b) and (c) of this subdivision are at any time insuffi-
cient to make a reimbursement to the state pursuant to this subdivision
when due, the corporation, UNDER THE GUIDANCE AND SUPPORT OF THE DEPART-
MENT OF ENVIRONMENTAL CONSERVATION, may make such reimbursement from any
other available amounts in the drinking water revolving fund, excluding
all amounts that are the subject of allocations, provided, that the
amounts paid from fund sources other than those described in paragraphs
(a), (b) and (c) of this subdivision shall be reimbursed upon a determi-
nation by the director of the budget that future revenues obtained from
sources described in paragraphs (a), (b) and (c) of this subdivision are
in excess of the amounts reasonably needed to make future reimbursements
pursuant to this subdivision.
6. Moneys in the drinking water revolving fund may be invested as
provided in subdivision four of section twelve hundred eighty-four of
this title and may be further invested:
(a) in investment agreements continuously secured by obligations with
any insurance company or reinsurance company or corporate affiliate
thereof rated by a nationally recognized rating agency in one of its two
highest categories, any bank, trust company or broker or dealer, as
defined by the securities exchange act of 1934, which is a dealer in
government bonds, which reports to, trades with and is recognized as a
primary dealer by a federal reserve bank and is a member of the securi-
ties investors protection corporation, if such investment agreement
provides that:
(i) such obligations securing such investment agreements are obli-
gations as set forth in section ten of the general municipal law;
(ii) such obligations are to be delivered to a trustee for the benefit
of the corporation or, with respect to moneys pledged under an indenture
of trust or trust agreement relating to bonds or notes of the corpo-
ration, to the trustee under such indenture or trust agreement, or are
supported by a safe keeping receipt issued by a depository satisfactory
to the corporation, UNDER THE GUIDANCE AND SUPPORT OF THE DEPARTMENT OF
ENVIRONMENTAL CONSERVATION, as applicable, provided that such investment
agreements must provide that the value of the underlying obligations
shall be maintained at a current market value, calculated no less
frequently than monthly, of not less than the amount deposited there-
under;
A. 9709--B 93
(iii) a prior perfected security interest in the obligations which are
securing such agreement has been granted to the corporation, such trus-
tee or such depository as applicable; and
(iv) such obligations are free and clear of adverse third party
claims; or
(b) in obligations as set forth in section ten of the general munici-
pal law that are rated by a nationally recognized rating agency in one
of its two highest rating categories.
7. The corporation, UNDER THE GUIDANCE AND SUPPORT OF THE DEPARTMENT
OF ENVIRONMENTAL CONSERVATION, shall transfer to the state on such sche-
dule as the corporation and the department of health shall agree amounts
from the fund to reimburse the state in accordance with the provisions
of subdivision five of this section.
8. In addition to the powers of the corporation granted elsewhere in
this chapter, the corporation, UNDER THE GUIDANCE AND SUPPORT OF THE
DEPARTMENT OF ENVIRONMENTAL CONSERVATION, shall have the power to enter
into loan and other financing agreements authorized by title four of
article eleven of the public health law. Notwithstanding the powers
granted to the corporation elsewhere in this title, the corporation's
power to finance eligible projects from the fund is limited to eligible
projects for which financing agreements have been executed pursuant to
title four of article eleven of the public health law.
9. In addition to the powers granted to the corporation elsewhere in
this chapter, the corporation, UNDER THE GUIDANCE AND SUPPORT OF THE
DEPARTMENT OF ENVIRONMENTAL CONSERVATION, may make loans or other finan-
cial assistance to recipients for purposes of financing eligible
projects for which the fund may be used, subject to the limitations of
subdivision eight of this section, may accept the obligations of any
recipient as security for the repayment of a loan to such recipient, and
may assign and pledge such recipient obligations and financing agree-
ments for the benefit of the holders of obligations of the corporation.
Loan proceeds or other financial assistance may be disbursed to a recip-
ient only in connection with facilities that have been certified by the
commissioner of health as constituting an eligible project and in
accordance with other restrictions as may be imposed in connection with
such loan or obligations of the corporation from the proceeds of which
such loan is made.
10. The corporation, UNDER THE GUIDANCE AND SUPPORT OF THE DEPARTMENT
OF ENVIRONMENTAL CONSERVATION, is authorized to arrange, in consultation
with the department of health, for any audits required by law for the
purpose of issuing its bonds or notes to provide financial assistance to
recipients, and provide for the implementation of any independently
conducted reviews or audits arranged pursuant to subdivision two of
section eleven hundred sixty-six of the public health law.
11. In the event a municipality participating in the drinking water
revolving fund program shall fail to make any payment due the corpo-
ration pursuant to any financing agreement or other obligation of the
municipality sold to the corporation or issued as security for the
undertaking of the municipality thereunder, the corporation shall, UNDER
THE GUIDANCE AND SUPPORT OF THE DEPARTMENT OF ENVIRONMENTAL CONSERVA-
TION, certify to the comptroller, and notify the chairman of the senate
finance committee, the chairman of the assembly ways and means commit-
tee, the director of the division of the budget and the governing body
of the municipality that such municipality has failed to make such
payment. Such certificate shall be in such form as may be determined by
the corporation, UNDER THE GUIDANCE AND SUPPORT OF THE DEPARTMENT OF
A. 9709--B 94
ENVIRONMENTAL CONSERVATION, provided such certificate shall specify the
exact amount of debt service and surcharge, if applicable, required to
satisfy such municipality's unpaid obligation. The comptroller, upon
receipt of such certificate from the corporation, is authorized to and
shall, to the extent not otherwise prohibited by law and subject to any
other provision of law providing for withholding of payments to the
municipality which takes precedence over this subdivision, withhold from
such municipality the next succeeding payments of state aid or local
assistance otherwise payable to it to the extent necessary to meet the
certified amount of debt service and surcharge, if applicable, due the
corporation and shall immediately pay over to the corporation as a debt
service payment on behalf of such municipality the amount so withheld.
S 17. Section 1285-n of the public authorities law, as amended by
chapter 264 of the laws of 2004, is amended to read as follows:
S 1285-n. Issuance and sale of recipient bonds and notes. Notwith-
standing subdivision two of section one thousand eighty of this article,
or any by-law, rule or regulation requiring the recipient to issue bonds
or notes at a public or competitive sale, any recipient of a financing
from the corporation, UNDER THE GUIDANCE AND SUPPORT OF THE DEPARTMENT
OF ENVIRONMENTAL CONSERVATION, pursuant to section twelve hundred eight-
y-five-j, twelve hundred eighty-five-m or twelve hundred eighty-five-o
of this title may validly issue its notes or bonds to the corporation,
as evidence of its obligation to repay such financing.
S 18. The opening paragraph, subdivisions 1 and 3, paragraph (d) of
subdivision 4, subdivisions 5 and 6 and paragraphs (a) and (d) of subdi-
vision 9 of section 1285-o of the public authorities law, as added by
chapter 624 of the laws of 1999, are amended to read as follows:
The corporation, UNDER THE GUIDANCE AND SUPPORT OF THE DEPARTMENT OF
ENVIRONMENTAL CONSERVATION, shall undertake to provide financial assist-
ance to recipients to encourage and support the planning, design and
construction of eligible projects which provide an economic development
benefit to the state.
1. There is hereby established in the custody of the corporation,
UNDER THE GUIDANCE AND SUPPORT OF THE DEPARTMENT OF ENVIRONMENTAL
CONSERVATION, a "pipeline for jobs fund". The purpose of the pipeline
for jobs fund shall be to provide financial assistance, as determined by
the corporation in consultation with the department of economic develop-
ment, to recipients for the planning, design and construction of eligi-
ble projects.
3. Moneys in the fund shall be segregated from all other funds of or
in the custody of the corporation, UNDER THE GUIDANCE AND SUPPORT OF THE
DEPARTMENT OF ENVIRONMENTAL CONSERVATION. Moneys in the fund shall be
used for any authorized purpose of the fund as provided and in accord-
ance with the provisions of this section.
(d) the proceeds of bonds or notes issued by the corporation, UNDER
THE GUIDANCE AND SUPPORT OF THE DEPARTMENT OF ENVIRONMENTAL CONSERVA-
TION, for purposes of providing financial assistance to recipients.
5. Moneys in the fund may be invested by the corporation, UNDER THE
GUIDANCE AND SUPPORT OF THE DEPARTMENT OF ENVIRONMENTAL CONSERVATION, in
accordance with this title and pursuant to guidelines from time to time
issued by the corporation.
6. The corporation, UNDER THE GUIDANCE AND SUPPORT OF THE DEPARTMENT
OF ENVIRONMENTAL CONSERVATION, shall request applications from recipi-
ents to receive financial assistance from the fund for eligible
projects. The corporation shall provide a list of the eligible projects
and the amounts available for financial assistance to the department of
A. 9709--B 95
economic development, which department shall recommend to the corpo-
ration projects to be financed from the moneys available. In making such
recommendations, the department of economic development shall give
consideration to eligible projects which have the potential to enhance
the state's technology industry development efforts.
(a) Notwithstanding the provisions of any general or special law to
the contrary, the corporation, UNDER THE GUIDANCE AND SUPPORT OF THE
DEPARTMENT OF ENVIRONMENTAL CONSERVATION, and the director of the budget
are hereby authorized to enter into a pipeline for jobs fund service
contract or contracts providing for the administration of the pipeline
for jobs fund and the financing by such corporation of the contributions
made by the state to the pipeline for jobs fund. Any such contract or
contracts shall be upon such terms and conditions as the corporation and
the director of the budget shall determine to be reasonable, including,
but not limited to, provisions relating to the respective obligations of
the state and the corporation with respect to providing for the payment
of (i) all fees and other charges of, and expenses incurred by, the
corporation in connection with the issuance and administration of bonds
to provide funds to the state or reimburse the state for contributions
to the pipeline for jobs fund and (ii) all debt service payments and
related expenses on such bonds.
(d) The comptroller is hereby authorized to receive from the corpo-
ration, UNDER THE GUIDANCE AND SUPPORT OF THE DEPARTMENT OF ENVIRON-
MENTAL CONSERVATION, any portion of bond proceeds paid to provide funds
to or reimburse the state for its contribution to the pipeline for jobs
fund and to credit such amounts to the capital projects fund.
S 19. The opening paragraph and subdivisions 1 and 2 of section 1285-p
of the public authorities law, as amended by section 21 of part II of
chapter 59 of the laws of 2004, are amended to read as follows:
In order to effectuate the purposes of this title, the corporation,
UNDER THE GUIDANCE AND SUPPORT OF THE DEPARTMENT OF ENVIRONMENTAL
CONSERVATION, shall have the following additional special powers:
1. Subject to chapter fifty-nine of the laws of two thousand, but
notwithstanding any other provisions of law to the contrary, in order to
assist the corporation, UNDER THE GUIDANCE AND SUPPORT OF THE DEPARTMENT
OF ENVIRONMENTAL CONSERVATION, in undertaking the administration and the
financing of the design, acquisition, construction, improvement, instal-
lation, and related work for all or any portion of any of the following
environmental infrastructure projects and for the provision of funds to
the state for any amounts disbursed therefor: (a) projects authorized
under the environmental protection fund, or for which appropriations are
made to the environmental protection fund including, but not limited to
municipal parks and historic preservation, stewardship, farmland
protection, non-point source, pollution control, Hudson River Park, land
acquisition, and waterfront revitalization; (b) department of environ-
mental conservation capital appropriations for Onondaga Lake for certain
water quality improvement projects in the same manner as set forth in
paragraph (d) of subdivision one of section 56-0303 of the environmental
conservation law; (c) for the purpose of the administration, management,
maintenance, and use of the real property at the western New York nucle-
ar service center; and (d) department of environmental conservation
capital appropriations for the administration, design, acquisition,
construction, improvement, installation, and related work on department
of environmental conservation environmental infrastructure projects; and
(e) office of parks, recreation and historic preservation appropriations
or reappropriations from the state parks infrastructure fund, the direc-
A. 9709--B 96
tor of the division of budget and the corporation are each authorized to
enter into one or more service contracts, none of which shall exceed
twenty years in duration, upon such terms and conditions as the director
and the corporation may agree, so as to annually provide to the corpo-
ration in the aggregate, a sum not to exceed the annual debt service
payments and related expenses required for any bonds and notes author-
ized pursuant to section twelve hundred ninety of this title. Any
service contract entered into pursuant to this section shall provide
that the obligation of the state to fund or to pay the amounts therein
provided for shall not constitute a debt of the state within the meaning
of any constitutional or statutory provision and shall be deemed execu-
tory only to the extent of moneys available for such purposes, subject
to annual appropriation by the legislature. Any such service contract or
any payments made or to be made thereunder may be assigned and pledged
by the corporation as security for its bonds and notes, as authorized
pursuant to section twelve hundred ninety of this title.
2. The comptroller is hereby authorized to receive from the corpo-
ration, UNDER THE GUIDANCE AND SUPPORT OF THE DEPARTMENT OF ENVIRON-
MENTAL CONSERVATION, any portion of bond proceeds paid to provide funds
for or reimburse the state for its costs associated with any state envi-
ronmental infrastructure projects and to credit such amounts to the
capital projects fund or any other appropriate fund.
S 20. The opening paragraph and subdivisions 1 and 2 of section 1285-q
of the public authorities law, as added by section 6 of part I of chap-
ter 1 of the laws of 2003, are amended to read as follows:
In order to effectuate the purposes of this title, the corporation,
UNDER THE GUIDANCE AND SUPPORT OF THE DEPARTMENT OF ENVIRONMENTAL
CONSERVATION, shall have the following additional special powers:
1. Subject to chapter fifty-nine of the laws of two thousand, but
notwithstanding any other provisions of law to the contrary, in order to
assist the corporation in undertaking the administration and the financ-
ing of hazardous waste site remediation projects for payment of the
state's share of the costs of the remediation of hazardous waste sites,
in accordance with title thirteen of article twenty-seven of the envi-
ronmental conservation law and section ninety-seven-b of the state
finance law, and for payment of state costs associated with the remedi-
ation of offsite contamination at significant threat sites as provided
in section 27-1411 of the environmental conservation law, pursuant to
capital appropriations made to the department of environmental conserva-
tion, the director of the division of budget and the corporation are
each authorized to enter into one or more service contracts, none of
which shall exceed twenty years in duration, upon such terms and condi-
tions as the director and the corporation, UNDER THE GUIDANCE AND
SUPPORT OF THE DEPARTMENT OF ENVIRONMENTAL CONSERVATION, may agree, so
as to annually provide to the corporation in the aggregate, a sum not to
exceed the annual debt service payments and related expenses required
for any bonds and notes authorized pursuant to section twelve hundred
ninety of this title. Any service contract entered into pursuant to this
section shall provide that the obligation of the state to fund or to pay
the amounts therein provided for shall not constitute a debt of the
state within the meaning of any constitutional or statutory provision
and shall be deemed executory only to the extent of moneys available for
such purposes, subject to annual appropriation by the legislature. Any
such service contract or any payments made or to be made thereunder may
be assigned and pledged by the corporation as security for its bonds and
A. 9709--B 97
notes, as authorized pursuant to section twelve hundred ninety of this
title.
2. The comptroller is hereby authorized to receive from the corpo-
ration, UNDER THE GUIDANCE AND SUPPORT OF THE DEPARTMENT OF ENVIRON-
MENTAL CONSERVATION, any portion of bond proceeds paid to provide funds
for or reimburse the state for its costs associated with any hazardous
waste site remediation projects and to credit such amounts to the capi-
tal projects fund or any other appropriate fund.
S 21. Subdivisions 1, 3, 4, 5 and 7 of section 1285-r of the public
authorities law, as added by chapter 366 of the laws of 2004, are
amended to read as follows:
1. Notwithstanding the provisions of any general or special law to the
contrary, the corporation, UNDER THE GUIDANCE AND SUPPORT OF THE DEPART-
MENT OF ENVIRONMENTAL CONSERVATION, shall undertake to provide financial
assistance to beginning farmers to purchase agricultural land, improve-
ments and other agricultural property at or for any agricultural facili-
ty as set forth in this section.
3. The corporation, UNDER THE GUIDANCE AND SUPPORT OF THE DEPARTMENT
OF ENVIRONMENTAL CONSERVATION, is hereby authorized to enter into any
contract, financing or loan agreement, or other instrument in connection
with a loan made by a lender to a beginning farmer for a project.
4. In order to effectuate the purposes of this section, the corpo-
ration, UNDER THE GUIDANCE AND SUPPORT OF THE DEPARTMENT OF ENVIRON-
MENTAL CONSERVATION, may extend credit to or on behalf of a beginning
farmer for the construction or acquisition of a project, or for the
reimbursement for costs incurred by a beginning farmer in connection
with a project, provided such beginning farmer has received a commitment
to receive from a lender a loan or other financial assistance acceptable
to the corporation. In the exercise of the powers granted in this
section in connection with a project for a beginning farmer, the corpo-
ration may require the inclusion in any contract, loan agreement or
other instrument of such provisions for the financing of such project
and such other financial and other covenants as may apply to such begin-
ning farmers as the corporation may deem desirable and/or appropriate
and to do all things necessary to execute any instrument in connection
and desirable with such financing.
5. In connection with the issuance of any bond or note issued in
connection with or for the beginning farmer program, the corporation
may, UNDER THE GUIDANCE AND SUPPORT OF THE DEPARTMENT OF ENVIRONMENTAL
CONSERVATION, fix and collect any fees and charges, including but not
limited to reimbursement of all costs of financing incurred by the
corporation, as the corporation shall determine to be reasonable.
7. Any bonds or notes issued to finance the provisions of this
section, UNDER THE GUIDANCE AND SUPPORT OF THE DEPARTMENT OF ENVIRON-
MENTAL CONSERVATION, shall be special limited obligations of the corpo-
ration payable solely out of the revenue derived from any loan or
finance agreement, debt obligation or sales contract, collateral or
other property received in connection with the beginning farmer program.
All assets and liabilities created through the issuance of bonds or
notes under this section shall be separate from all other assets and
liabilities of the corporation. The corporation shall have no moral or
legal obligation or liability to any beginning farmer or other person
under this section except as expressly provided by written contract. No
funds in the beginning farmer program may be commingled with any other
funds of the corporation.
A. 9709--B 98
S 22. Subdivisions 1, 4, 5 and 6 of section 1286 of the public author-
ities law, as amended by chapter 744 of the laws of 1970, are amended to
read as follows:
1. The corporation, UNDER THE GUIDANCE AND SUPPORT OF THE DEPARTMENT
OF ENVIRONMENTAL CONSERVATION, may acquire, by purchase, gift, grant,
transfer, contract or lease, or by condemnation pursuant to the [condem-
nation] EMINENT DOMAIN PROCEDURE law, any real property it may deem
necessary, convenient or desirable to effectuate the purposes of this
title, provided however, that any such condemnation proceedings shall be
brought only in the supreme court and the compensation to be paid shall
be ascertained and determined by the court without a jury.
4. Notwithstanding the provisions of any general, special or local law
or charter, any municipality, by resolution of its governing body, is
hereby empowered without referendum and without the consent of any
board, officer or other agency of the state, to sell, lease, lend, grant
or convey to the corporation, or to permit the corporation to use, main-
tain or operate as part of a sewage treatment works or solid waste
disposal facility, any real or personal property owned by it, including
all or any part of any such facilities, which may be necessary or useful
and convenient for the purposes of the corporation and which may be
accepted by the corporation, UNDER THE GUIDANCE AND SUPPORT OF THE
DEPARTMENT OF ENVIRONMENTAL CONSERVATION. Any such sale, lease, loan,
grant, conveyance or permit may be made with or without consideration
and for a specified or an unlimited period of time and under any agree-
ment and on any terms and conditions which may be approved by such muni-
cipality and which may be agreed to by the corporation in conformity
with its contracts with the holders of its bonds and notes, the corpo-
ration may enter into and perform any and all agreements with respect to
property so accepted by it, including agreements for the operation and
maintenance of such property as part of a sewage treatment works, or
solid waste disposal facility.
5. The corporation, UNDER THE GUIDANCE AND SUPPORT OF THE DEPARTMENT
OF ENVIRONMENTAL CONSERVATION, may, whenever it determines that it is in
the interest of the corporation, and subject to any existing agreement,
dispose of any real property which it determines is not necessary,
convenient or desirable for its purposes.
6. The corporation, UNDER THE GUIDANCE AND SUPPORT OF THE DEPARTMENT
OF ENVIRONMENTAL CONSERVATION, may, whenever it shall determine that it
is in the interest of the corporation, rent, lease, or grant easements
or other rights in any land or property of the corporation.
S 23. Subdivisions 1, 3 and 4 of section 1287 of the public authori-
ties law, subdivision 1 as amended by chapter 552 of the laws of 1980,
subdivision 3 as amended by chapter 744 of the laws of 1970 and subdivi-
sion 4 as added by chapter 769 of the laws of 1978, are amended to read
as follows:
1. Construction contracts other than for resource recovery facilities
let by the corporation, UNDER THE GUIDANCE AND SUPPORT OF THE DEPARTMENT
OF ENVIRONMENTAL CONSERVATION, shall be in conformity with the applica-
ble provisions of section one hundred thirty-five of the state finance
law, but the corporation [in its discretion], UNDER THE GUIDANCE AND
SUPPORT OF THE DEPARTMENT OF ENVIRONMENTAL CONSERVATION, may assign such
contracts for supervision and coordination to the successful bidder for
any subdivision of work for which the corporation receives bids.
Contracts for resource recovery facilities may be awarded by the corpo-
ration, UNDER THE GUIDANCE AND SUPPORT OF THE DEPARTMENT OF ENVIRON-
A. 9709--B 99
MENTAL CONSERVATION, in the same manner as by a municipality pursuant to
section one hundred twenty-w of the general municipal law.
3. Any construction contract awarded by the corporation, UNDER THE
GUIDANCE AND SUPPORT OF THE DEPARTMENT OF ENVIRONMENTAL CONSERVATION,
shall contain such other terms and conditions, and such provisions for
penalties, as the corporation may deem desirable.
4. Notwithstanding the provisions of any other law to the contrary,
all contracts for public work awarded by the New York state environ-
mental facilities corporation, UNDER THE GUIDANCE AND SUPPORT OF THE
DEPARTMENT OF ENVIRONMENTAL CONSERVATION, pursuant to this section shall
be in accordance with section one hundred thirty-nine-f of the state
finance law.
S 24. Section 1288 of the public authorities law, as amended by chap-
ter 744 of the laws of 1970, is amended to read as follows:
S 1288. Co-operation and assistance of other agencies. To avoid
duplication of effort and in the interests of economy, the corporation,
UNDER THE GUIDANCE AND SUPPORT OF THE DEPARTMENT OF ENVIRONMENTAL
CONSERVATION, may make use of existing studies, surveys, plans, data and
other materials in the possession of any state agency or any munici-
pality or political subdivision of the state. Each such agency, munici-
pality and subdivision is hereby authorized to make the same available
to the corporation and otherwise to assist it in the performance of its
functions. The officers and personnel of such agencies, municipalities
and subdivisions, and of any other government or agency whatever, may
serve at the request of the corporation upon such advisory committees as
the corporation shall determine to create and such officers and person-
nel may serve upon such committees without forfeiture of office or
employment and with no loss or diminution in the compensation, status,
rights and privileges which they otherwise enjoy.
S 25. Section 1289 of the public authorities law, as amended by chap-
ter 47 of the laws of 1980, is amended to read as follows:
S 1289. Transfer of officers and employees. Officers and employees of
state departments and agencies may be transferred to the corporation,
UNDER THE GUIDANCE AND SUPPORT OF THE DEPARTMENT OF ENVIRONMENTAL
CONSERVATION, and officers and employees of the corporation, UNDER THE
GUIDANCE AND SUPPORT OF THE DEPARTMENT OF ENVIRONMENTAL CONSERVATION,
may be transferred to state departments and agencies without examination
and without loss of any civil service status or rights. No such transfer
may, however, be made except with the approval of the head of the state
department or division involved, the director of the budget and the
chief executive officer of the corporation, and in compliance with the
rules and regulations of the civil service commission of the state.
S 26. Paragraphs (a), (b) and (c) of subdivision 1 and subdivisions 2,
4, 7 and 8 of section 1290 of the public authorities law, paragraphs (a)
and (c) of subdivision 1 as amended by chapter 366 of the laws of 2004,
paragraph (b) of subdivision 1 as amended by section 35 of part P2 of
chapter 62 of the laws of 2003, subdivision 2 as amended by chapter 55
of the laws of 1992, subdivisions 4 and 7 as amended by chapter 744 of
the laws of 1970 and subdivision 8 as amended by chapter 1046 of the
laws of 1974, are amended to read as follows:
(a) The corporation shall, UNDER THE GUIDANCE AND SUPPORT OF THE
DEPARTMENT OF ENVIRONMENTAL CONSERVATION, have power and is hereby
authorized from time to time to issue its negotiable or non-negotiable
bonds and notes in conformity with applicable provisions of the uniform
commercial code in such principal amount, as, in the opinion of the
corporation, shall be necessary to provide sufficient funds for achiev-
A. 9709--B 100
ing its purposes, including the acquisition and construction, operation
and maintenance of sewage treatment works, sewage collecting systems,
solid waste disposal facilities, storm water collecting systems, water
management facilities, air pollution control facilities, the removal,
disposal and remediation of petroleum storage tanks and the remediation
of the sites thereof and any other project or projects authorized pursu-
ant to the provisions of this title, and paying the cost thereof; the
making of loans to persons and, for purposes of sections twelve hundred
eighty-five-j, twelve hundred eighty-five-m and twelve hundred eighty-
five-o of this title only, to any municipality or recipient for such
purposes; the making of loans, providing of financing or extension of
credit to or on behalf of beginning farmers for purposes of section
twelve hundred eighty-five-r of this title only; the financing of the
design, acquisition, construction, improvement and installation of all
or any portion of Riverbank Park, provided however, that any such bonds
or notes issued to finance Riverbank Park shall only be issued in such
principal amount as shall be necessary to provide sufficient funds for
the repayment of amounts disbursed pursuant to appropriations or reap-
propriations under chapter fifty-four of the laws of nineteen hundred
ninety-one including any subsequent reappropriation of the unexpended
balance of such appropriations or reappropriations for the purpose of
Riverbank Park, plus an amount sufficient to fund any debt service
reserve fund established by the corporation for the purpose of Riverbank
Park and to provide for the payment of fees and other charges and
expenses of the corporation in connection with such bonds and notes,
which principal amount shall constitute the statutory ceiling on the
amount of bonds and notes that can be issued for such purpose; the
financing of all or any portion of any state park infrastructure project
or reimbursement of the state for expenditures relating thereto, plus an
amount to provide for the payment of fees and other charges and expenses
of the corporation in connection with such bonds and notes; the
provision of funds to the state for any amounts contributed or to be
contributed to the water pollution control revolving fund, the pipeline
for jobs fund or the drinking water revolving fund provided, however,
that any such bonds or notes issued to provide funds to the water
pollution control revolving fund, the pipeline for jobs fund or the
drinking water revolving fund shall only be issued in such principal
amount as shall be necessary to provide sufficient funds for the repay-
ment of amounts disbursed pursuant to any appropriation or reappropri-
ation enacted for the pipeline for jobs fund or for the payment of the
state match for federal capitalization grants for the water pollution
control revolving fund or the drinking water revolving fund, plus an
amount sufficient to fund any debt service reserve fund and to provide
for fees, charges and other costs of issuance, which principal amount
shall constitute the statutory ceiling on the amount of bonds and notes
that can be issued for such purpose; the financing of any environmental
infrastructure projects authorized by section twelve hundred eighty-
five-p of this title; the purchase of municipal bonds and notes, and
bonds and notes of a state agency, the payment of the cost of any
project, the payment of interest on bonds and notes of the corporation,
the establishment of reserves to secure such bonds and notes; the
provision of working capital and all other expenditures of the corpo-
ration incident to and necessary or convenient to carry out its purposes
and powers;
(b) The corporation, UNDER THE GUIDANCE AND SUPPORT OF THE DEPARTMENT
OF ENVIRONMENTAL CONSERVATION, shall have power, from time to time, to
A. 9709--B 101
issue renewal notes, to issue bonds to pay notes and whenever it deems
refunding expedient, to refund any bonds by the issuance of new bonds,
whether the bonds to be refunded have or have not matured, and to issue
bonds partly to refund bonds then outstanding, and partly for any other
purpose. The refunding bonds shall be sold and the proceeds applied to
the purchase, redemption or payment of the bonds to be refunded.
Notwithstanding any statutory ceiling on outstanding bonds, any refund-
ing bonds shall be sold in the amount required to pay or redeem
outstanding bonds, to fund any reserve, escrow or payment fund, and to
provide for the payment of all fees and other charges and expenses,
including costs of issuance, incurred in connection with the issuance of
such refunding bonds, provided that the present value of the aggregate
debt service on the refunding bonds does not exceed the present value of
the aggregate debt service on the bonds refunded thereby.
(c) Except as may otherwise be expressly provided by the corporation,
UNDER THE GUIDANCE AND SUPPORT OF THE DEPARTMENT OF ENVIRONMENTAL
CONSERVATION, every issue of its notes or bonds shall be (i) general
obligations of the corporation payable out of any revenues or monies of
the corporation, subject only to any agreements with the holders of
particular notes or bonds pledging any particular receipts or revenues,
(ii) special obligations of the corporation payable solely from the
revenues, service charges, rentals, proceeds or other payments to be
received on account of the mortgage, loan or other agreements and
payments, reserve and insurance funds or accounts issuance of special
obligations, and fees, charges or other monies to be received by the
corporation in respect to loans pursuant to section twelve hundred
eighty-five-b or twelve hundred eighty-five-j of this title, or from
amounts received by the corporation pursuant to any contract, lease,
easement, license or other instrument entered into by the corporation
pursuant to sections twelve hundred eighty-five-k and twelve hundred
eighty-five-l of this title or, (iii) special obligations of the corpo-
ration payable solely from amounts received pursuant to an agreement
with the commissioner of environmental conservation pursuant to subdivi-
sion twelve of section twelve hundred eighty-five-j of this title, and
may, but need not, be secured by mortgages, assignments or pledges of
such revenues, service charges, rentals, proceeds, other payments, funds
and accounts, fees, charges and other monies, and by mortgages or
assignments thereof in respect to projects, and may include pooled
financings subject only to any agreements with the holders of particular
special obligation notes or bonds issued to finance the cost of, or
loans for, a project or projects; no general obligations of the corpo-
ration shall be issued to finance the cost of, or loans for, a project
or projects authorized to be constructed pursuant to section twelve
hundred eighty-five-b or twelve hundred eighty-five-j of this title or
to finance (A) the contribution of the state to the water pollution
control revolving fund, (B) the design, acquisition, construction,
improvement and installation of all or any portion of Riverbank Park or
(C) state park infrastructure projects and no funds, monies, revenues or
other assets of the corporation shall be used for loans authorized
pursuant to section twelve hundred eighty-five-b or twelve hundred
eighty-five-j of this title, except as may be available with respect to
a project and a contract with a person as aforesaid, or for the payment
to the state for amounts contributed by the state to the water pollution
control revolving fund, to finance the design, acquisition,
construction, improvement and installation of all or any portion of
Riverbank Park or state park infrastructure projects. Nor shall any
A. 9709--B 102
special obligation authorized pursuant hereto be payable from or secured
by any debt service reserve fund created pursuant to section twelve
hundred ninety-one of this title, and the state shall not be entitled to
require the redemption of such special obligations pursuant to section
twelve hundred ninety-three of this title; and such special obligation
and the security therefor shall not be subject to the provisions of
section twelve hundred ninety-four of this title but the remedies of the
holders thereof shall be set forth in the terms of such special obli-
gations and the instruments constituting such security; the making of
loans, providing of financial or extension of credit to or on behalf of
beginning farmers for purposes of section twelve hundred eighty-five-r
of this title only;
2. The notes and bonds shall be authorized by resolution of the direc-
tors of the corporation, UNDER THE GUIDANCE AND SUPPORT OF THE DEPART-
MENT OF ENVIRONMENTAL CONSERVATION, shall bear such date or dates, and
shall mature at such time or times, in the case of any such note or any
renewals thereof not exceeding twelve years from the date of issue of
such original note, and in the case of any such bond not exceeding forty
years from the date of issue, as such resolution or resolutions may
provide; provided, however, that the final maturity of any bond issued
for the purpose of financing any amounts deposited or to be deposited by
the state in the water pollution control revolving fund shall not exceed
thirty years from the date of issue of such bond. The notes and bonds
shall bear interest at such rate or rates which may vary from time to
time, be in such denominations, be in such form, either coupon or regis-
tered, carry such registration privileges, be executed in such manner,
be payable in such medium of payment, at such place or places and be
subject to such terms of redemption as such resolution or resolutions
may provide. The notes and bonds of the corporation may be sold by the
corporation, at public or private sale, at such price or prices as the
corporation shall determine. No notes or bonds of the corporation may be
sold by the corporation at private sale, however, unless such sale and
the terms thereof have been approved in writing by (a) the comptroller,
where such sale is not to the comptroller, or (b) the director of the
budget, where such sale is to the comptroller.
4. In addition to the powers herein conferred upon the corporation,
UNDER THE GUIDANCE AND SUPPORT OF THE DEPARTMENT OF ENVIRONMENTAL
CONSERVATION, to secure its notes and bonds, the corporation, UNDER THE
GUIDANCE AND SUPPORT OF THE DEPARTMENT OF ENVIRONMENTAL CONSERVATION,
shall have power in connection with the issuance of notes and bonds to
enter into such agreements as the corporation may deem necessary,
convenient or desirable concerning the use or disposition of its monies
or property including the mortgaging of any such property and the
entrusting, pledging or creation of any other security interest in any
such monies or property and the doing of any act (including refraining
from doing any act) which the corporation would have the right to do in
the absence of such agreements. The corporation shall have power to
enter into amendments of any such agreements within the powers granted
to the corporation by this title and to perform such agreements. The
provisions of any such agreements may be made a part of the contract
with the holders of the notes and bonds of the corporation.
7. The corporation, UNDER THE GUIDANCE AND SUPPORT OF THE DEPARTMENT
OF ENVIRONMENTAL CONSERVATION, subject to such agreements with notehold-
ers or bondholders as may then exist, shall have power out of any funds
available therefor to purchase notes or bonds of the corporation, which
shall thereupon be cancelled, at a price not exceeding (a) if the notes
A. 9709--B 103
or bonds are then redeemable, the redemption price then applicable plus
accrued interest to the next interest payment thereon, or (b) if the
notes or bonds are not then redeemable, the redemption price applicable
on the first date after such purchase upon which the notes or bonds
become subject to redemption plus accrued interest to such date.
8. Neither the state nor any municipality shall be liable on notes or
bonds issued as general obligations of the corporation, UNDER THE GUID-
ANCE AND SUPPORT OF THE DEPARTMENT OF ENVIRONMENTAL CONSERVATION, and
such notes and bonds shall not be a debt of the state or any munici-
pality, and such notes and bonds shall contain on the face thereof a
statement to such effect. The state shall not be liable on notes or
bonds issued as special obligations of the corporation, and such notes
and bonds shall not be a debt of the state and shall be payable solely
from the revenues, service charges, rentals, proceeds or other payments
to be derived from the extension of credit or the loan for the project
for which such notes and bonds were issued, and such notes and bonds
shall contain on the face thereof a statement to such effect.
S 27. Section 1290-a of the public authorities law, as added by chap-
ter 1046 of the laws of 1974, is amended to read as follows:
S 1290-a. Insurance and guarantees. The corporation, UNDER THE GUID-
ANCE AND SUPPORT OF THE DEPARTMENT OF ENVIRONMENTAL CONSERVATION, may
obtain from any department or agency of the United States of America any
available insurance or guaranty for the payment or repayment of interest
or principal, or both, or any part thereof, on any bonds or notes issued
by the corporation, but notwithstanding any other provisions of this
title may not enter into any agreement or contract with respect to any
such insurance or guaranty to the extent that it would in any way impair
or interfere with the ability of the corporation to perform and fulfill
the terms of any agreement made with the holders of the bonds or notes
of the corporation.
S 28. Subdivisions 1 and 2 of section 1291 of the public authorities
law, as amended by chapter 526 of the laws of 1974, are amended to read
as follows:
1. The corporation, UNDER THE GUIDANCE AND SUPPORT OF THE DEPARTMENT
OF ENVIRONMENTAL CONSERVATION, may create and establish one or more
reserve funds to be known as debt service reserve funds and may pay into
such debt service reserve funds (a) any monies appropriated and made
available by the state for the purposes of such funds, (b) any proceeds
of sale of notes or bonds, to the extent provided in the resolution of
the corporation authorizing the issuance thereof, and (c) any other
monies which may be made available to the corporation for the purpose of
such funds from any other source or sources. The monies held in or cred-
ited to any debt service reserve fund established under this section,
except as hereinafter provided, shall be used solely for the payment of
the principal of bonds of the corporation secured by such debt service
reserve fund as the same mature or as payments required by the terms of
any contracts therefor as sinking fund payments become due, the purchase
of such bonds of the corporation, the payment of interest on such bonds
of the corporation or the payment of any redemption premium required to
be paid when such bonds are redeemed prior to maturity; provided howev-
er, that the corporation shall have power to provide that monies in any
such fund shall not be withdrawn therefrom at any time in such amount as
would reduce the amount of such fund to less than the maximum amount of
any sinking fund payments becoming due and principal and interest matur-
ing and becoming due in any succeeding calendar year on the bonds of the
corporation then outstanding and secured by such debt service reserve
A. 9709--B 104
fund, except for the purpose of paying any sinking fund payments becom-
ing due and principal of and interest on such bonds of the corporation
secured by such debt service reserve fund maturing and becoming due and
for the payment of which other monies of the corporation are not avail-
able. Any income or interest earned by, or increment to, any such debt
service reserve fund due to the investment thereof may be transferred by
the corporation to any other fund or account of the corporation and the
corporation shall have power to provide that any such transfer shall not
reduce the amount of such debt service reserve fund below the maximum
amount of any sinking fund payments becoming due and principal and
interest maturing and becoming due in any succeeding calendar year on
all bonds of the corporation then outstanding and secured by such debt
service reserve fund.
2. The corporation shall not issue bonds WITHOUT THE GUIDANCE AND
SUPPORT OF THE DEPARTMENT OF ENVIRONMENTAL CONSERVATION at any time if
the maximum amount of any sinking fund payments becoming due and princi-
pal and interest maturing and becoming due in any succeeding calendar
year on the bonds outstanding and then to be issued and secured by a
debt service reserve fund will exceed the amount of such debt service
reserve fund at the time of issuance, unless the corporation, at the
time of the issuance of such bonds, shall deposit in such debt service
reserve fund from the proceeds of the bonds so to be issued, or other-
wise, an amount which, together with the amount then in such debt
service reserve fund, will be not less than the maximum amount of any
sinking fund payments becoming due and principal and interest maturing
and becoming due in any succeeding calendar year on the bonds then to be
issued and on all other bonds of the corporation then outstanding and
secured by such debt service reserve fund.
S 29. Section 104-a of the executive law, as added by chapter 262 of
the laws of 2007, is amended to read as follows:
S 104-a. Departmental cooperation regarding water quality. The secre-
tary of state shall cooperate with the environmental facilities corpo-
ration UNDER THE GUIDANCE AND SUPPORT OF THE DEPARTMENT OF ENVIRONMENTAL
CONSERVATION to establish methods to facilitate loans to eligible
borrowers and to develop educational materials for eligible borrowers
about the low-interest loans available through the water pollution
control linked deposit program, established by article sixteen of the
state finance law, and to develop an application form to be provided to
lenders for linked deposit loan requests. For residential and small
business on-site wastewater treatment systems projects, the department
shall require owners of such systems to submit the results of
inspections of such systems at the time of an application for financial
assistance pursuant to article sixteen of the state finance law. The
department may promulgate rules and regulations necessary and reasonable
for the operation of the program, including but not limited to standards
for the inspection of residential and small business on-site wastewater
treatment systems.
S 30. Subdivision 3 of section 916 of the executive law, as amended by
chapter 202 of the laws of 1992, is amended to read as follows:
3. The secretary shall consult and work with state agencies, includ-
ing, but not limited to, the urban development corporation, the job
development authority, the environmental facilities corporation UNDER
THE GUIDANCE AND SUPPORT OF THE DEPARTMENT OF ENVIRONMENTAL
CONSERVATION, the office of parks, recreation and historic preservation
and the departments of economic development and transportation, to seek
to identify additional means of effectuating approved waterfront revi-
A. 9709--B 105
talization programs. The secretary shall make recommendations to local,
state and federal agencies and the legislature, as appropriate.
S 31. Subdivision 4 of section 97-ddd of the state finance law, as
added by chapter 432 of the laws of 1997, is amended to read as follows:
4. Moneys in the fund, following appropriation by the legislature,
shall be used, for the purpose of paying all costs of the department of
health and New York state environmental facilities corporation UNDER THE
GUIDANCE AND SUPPORT OF THE DEPARTMENT OF ENVIRONMENTAL CONSERVATION for
management and administration of the drinking water program established
by title four of article eleven of the public health law and of the
drinking water revolving fund established by section twelve hundred
eighty-five-m of the public authorities law.
S 32. Paragraph g of subdivision 3 of section 165 of the state finance
law, as amended by chapter 95 of the laws of 2000, is amended to read as
follows:
g. In addition to carrying out the provisions of paragraphs e and f of
this subdivision, the commissioner shall identify and implement specific
steps which will reduce, to the maximum extent practicable, waste gener-
ated in state facilities and maximize the recovery and reuse of second-
ary materials from such facilities. Such steps and their implementation
shall be reviewed from time to time but no less frequently than annually
or upon receiving recommendations for additional steps from the solid
waste management board[,] OR the department of environmental conserva-
tion [or the environmental facilities corporation].
S 33. Section 236 of the state finance law, as added by chapter 262 of
the laws of 2007, is amended to read as follows:
S 236. Definitions. When used in this article, unless the context
clearly indicates otherwise, the following terms shall have the follow-
ing meanings:
1. "Corporation" means the New York state environmental facilities
corporation, as continued by section twelve hundred eighty-two of the
public authorities law.
2. "Eligible borrower" means any recipient, including any entity
receiving or eligible to receive an agricultural assessment pursuant to
article twenty-five-AA of the agriculture and markets law and any indi-
vidual or small business eligible to undertake an eligible project
related to residential and small business on-site wastewater treatment
systems.
3. "Eligible project" shall mean a project for the implementation of a
management program established under section 319 of the Federal Water
Pollution Control Act related to agricultural operations, the upgrade or
replacement of residential and small business on-site wastewater treat-
ment systems with a system approved by the state or local department of
health, or the abandonment of residential and small business on-site
wastewater treatment systems and connection to a sewer, when a sewer
becomes available.
4. "Lender" means any state or federally-chartered savings bank,
savings and loan association, federal savings bank, federal savings and
loan association, farm credit system institution, or commercial bank or
trust company designated by the corporation UNDER THE GUIDANCE AND
SUPPORT OF THE DEPARTMENT OF ENVIRONMENTAL CONSERVATION to participate
in the program.
5. "Linked deposit" means financial assistance undertaken by the
corporation UNDER THE GUIDANCE AND SUPPORT OF THE DEPARTMENT OF ENVIRON-
MENTAL CONSERVATION for the construction of an eligible project through
a deposit, or for a farm credit system institution an investment eligi-
A. 9709--B 106
ble to be held by such institution, placed with a lender by the corpo-
ration UNDER THE GUIDANCE AND SUPPORT OF THE DEPARTMENT OF ENVIRONMENTAL
CONSERVATION bearing interest at the linked deposit interest rate,
provided the lender has agreed to:
(a) lend the equivalent value of such deposit to an eligible borrower
at the linked loan interest rate; and
(b) permit the deposit to be comprised of a series of certificates of
deposit each bearing an interest rate equal to the linked deposit inter-
est rate fixed at the time the original linked deposit is placed.
Each linked deposit shall be continuously and fully secured by direct
obligations of the state or the United States of America or by obli-
gations the principal and interest on which are guaranteed by the state
or the United States of America.
This article and related statutes that refer to this article do not
grant savings banks, savings and loan associations, farm credit system
institutions, federal savings banks, or federal savings and loan associ-
ations eligibility to accept public funds or public moneys from public
entities for investment purposes. A linked deposit is intended to enable
a lender to make a linked loan to an eligible borrower and such deposit
earns a yield lower than posted rates in order to accomplish the goals
of this article.
6. "Linked deposit interest rate" means a fixed rate of interest which
is below the market rate.
7. "Linked loan" means a loan for purposes of an eligible project, in
an amount equal to a linked deposit and bearing interest at the linked
loan interest rate.
8. "Linked loan interest rate" means a fixed rate below the fixed
interest rate the lender would have charged for the loan in the absence
of a linked deposit based on its usual credit considerations.
9. "Program" means the water pollution control linked deposit program.
10. "Recipient" means any person which is: (a) an individual or small
business which is eligible to undertake an eligible project related to
residential and small business on-site wastewater treatment systems; or
(b) an entity receiving or eligible to receive an agricultural assess-
ment pursuant to article twenty-five-AA of the agriculture and markets
law which is eligible to undertake an eligible project; or (c) any two
or more of the foregoing which are acting jointly in connection with an
eligible project.
11. "Residential and small business on-site wastewater treatment
system" means a system serving a residence or small business that
provides for the treatment and/or disposition of the combination of
human and sanitary waste with water not exceeding one thousand gallons
per day.
12. "Small business" means any business which is resident in this
state, independently owned and operated, not dominant in its field, and
employing not more than one hundred individuals.
S 34. The title heading of title 12 of article 5 of the public author-
ities law, as amended by chapter 744 of the laws of 1970, is amended to
read as follows:
PROGRAMS OF THE NEW YORK STATE ENVIRONMENTAL FACILITIES
CORPORATION UNDER THE GUIDANCE AND SUPPORT OF THE
DEPARTMENT OF ENVIRONMENTAL CONSERVATION
S 35. Section 17-1909 of the environmental conservation law, as added
by chapter 565 of the laws of 1989, paragraph a of subdivision 1,
subparagraph (v) of paragraph g of subdivision 4, paragraph a of subdi-
vision 10 as amended and paragraph (c) of subdivision 1 as relettered by
A. 9709--B 107
chapter 134 of the laws of 2007, item (c) of subparagraph (ii) of para-
graph d of subdivision 1 as amended by chapter 230 of the laws of 1995,
paragraph g of subdivision 1 and subdivision 2 as amended by chapter 262
of the laws of 2007, paragraph i of subdivision 1 and paragraph b of
subdivision 3 as amended, paragraph c of subdivision 3, subdivisions 5
and 6 as added, subdivisions 7 and 9 as renumbered, and paragraphs b and
c of subdivision 7 as relettered by chapter 55 of the laws of 1992,
paragraph a of subdivision 3 and paragraph e of subdivision 8 as amended
by chapter 279 of the laws of 2009, subdivision 4 as amended by chapter
523 of the laws of 1997, subdivision 8 as amended and subdivision 10 as
added by chapter 645 of the laws of 1992, is amended to read as follows:
S 17-1909. Water pollution control revolving fund agreements.
1. As used in this section:
a. "Allocation" means the amount of moneys allocated to reduce a
municipality's or group of municipalities' total financing costs for one
or more eligible projects.
b. "Construction" means the erection, building, acquisition, alter-
ation, reconstruction, improvement, enlargement or extension of an
eligible project; the inspection and supervision thereof; and the engi-
neering, architectural, legal, fiscal, and economic investigations and
studies, surveys, designs, plans, working drawings, specifications,
procedures, and other actions necessary thereto.
c. "Corporation" means the New York state environmental facilities
corporation, continued pursuant to section twelve hundred eighty-two of
the public authorities law, or any successor thereto.
d. "Eligible project" means a project for construction of a facility
which would be eligible for financing under the Federal Water Pollution
Control Act:
(i) for which all required federal and state permits have been issued;
and
(ii) which the commissioner has determined:
(a) is in accord with applicable comprehensive studies and reports
made pursuant to sections 17-0303 and 17-1901 of this article; and
(b) is necessary for the accomplishment of the state water pollution
control program formulated pursuant to sections 17-0303 and 17-1901 of
this article; and
(c) represents a reasonable effort to develop economic viability in
planning, design and construction; and
(d) is a project for which financial assistance is available from the
fund; and
(e) conforms with applicable rules and regulations of the department.
e. "Financial assistance to a municipality" has the same meaning as
set forth in subdivision four of section twelve hundred eighty-five-j of
the public authorities law.
f. "Fund" means the water pollution control revolving fund established
under section twelve hundred eighty-five-j of the public authorities
law.
g. "Intended use plan" means the plan prepared pursuant to subdivision
two of this section, identifying the intended uses of the amounts avail-
able in the fund, including but not limited to: (i) a list of those
projects for construction of publicly owned treatment works on the
priority list developed pursuant to subdivision two of this section;
(ii) a list of projects developed pursuant to subdivision two of this
section anticipated to be financed by the fund through the water
pollution control linked deposit program; (iii) a description of the
short and long term goals and objectives of the fund; (iv) information
A. 9709--B 108
on the activities to be supported, including a description of project
categories, discharge requirements under the Federal Water Pollution
Control Act, terms of financial assistance, and eligible borrowers
pursuant to the water pollution control linked deposit program served;
(v) the criteria and method established for the distribution of funds;
and (vi) the amount of moneys from the fund, not to exceed ten million
dollars annually, to be made available for linked loans under the water
pollution control linked deposit program during the period covered by
such intended use plan.
h. "Municipality" means any county, city, town, village, district
corporation, county or town improvement district, Indian reservation
wholly within New York state, any public benefit corporation or public
authority established pursuant to the laws of New York or any agency of
New York state which is empowered to construct and operate an eligible
project, or any two or more of the foregoing which are acting jointly in
connection with an eligible project.
i. "Project financing agreement" means an agreement between the corpo-
ration UNDER THE GUIDANCE AND SUPPORT OF THE DEPARTMENT and one or more
municipalities meeting the requirements of subdivision four of this
section.
2. The commissioner is required to establish and maintain a list of
potentially eligible projects and shall establish, pursuant to rules and
regulations, a process for listing potentially eligible projects identi-
fied by municipalities and eligible borrowers pursuant to article
sixteen of the state finance law and a priority ranking system for the
purpose of providing financial assistance to municipalities and eligible
borrowers for such projects under this section. In establishing such
system, the commissioner shall take into account:
a. The environmental significance of such potentially eligible
projects which shall include, but need not be limited to, an assessment
of (i) public health and safety; (ii) protection of environmental
resources; (iii) population affected; (iv) attainment of state water
quality goals and standards; and (v) compliance with state and federal
law, rules and regulations;
b. A municipality's inability as determined by the corporation UNDER
THE GUIDANCE AND SUPPORT OF THE DEPARTMENT to pay for such potentially
eligible project prior to receipt of such financial assistance;
c. The regional distribution of environmentally significant projects;
d. For agricultural projects funded through the water pollution
control linked deposit program, in consultation with the commissioner of
agriculture and markets, the extent to which the project will reduce,
abate, control, or prevent non-point source pollution originating from
agricultural sources and/or propose to implement best management prac-
tices, as identified in section three of the soil and water conservation
districts law; and
e. For residential and small business on-site wastewater treatment
system projects funded through the water pollution control linked depos-
it program, in consultation with the department of state, the extent to
which the project will prevent an increase in nutrients in water bodies
or the extent to which the project will enhance source water or
watershed protection.
3. a. The corporation UNDER THE GUIDANCE AND SUPPORT OF THE DEPARTMENT
is authorized to promulgate regulations, developed in consultation with
the commissioner and the director of the division of the budget, for the
purpose of carrying out its responsibilities under this section, includ-
ing establishing criteria and standards for determining the amount of
A. 9709--B 109
financial assistance to a municipality for an eligible project. To the
extent financial assistance to a municipality for an eligible project is
provided as a loan from the proceeds of bonds or notes of the corpo-
ration UNDER THE GUIDANCE AND SUPPORT OF THE DEPARTMENT, the amount of
an allocation applicable to the portion of such eligible project
financed with such loan shall be, subject to such maximum financial
limitations as may otherwise be necessary and prescribed by the commis-
sioner and the director of the division of the budget, thirty-three and
one-third percent of the principal amount of such loan outstanding at
any time for such eligible project, to the extent reasonably practica-
ble, and subject to such deviation as may be necessary, in connection
with the administration and investment of moneys in the fund, unless
allocations in differing amounts are necessary to preclude a determi-
nation by the commissioner [or the corporation] pursuant to paragraph e
of subdivision eight of this section or unless an allocation in a
differing amount is required for an innovative technology demonstration
project; provided, however, that in the case of any municipality which
has, during the period commencing on June first, nineteen hundred nine-
ty-two and ending on September thirtieth, two thousand twelve, (i)
submitted an application for financial assistance in the form of such a
loan for an eligible project, which application has been accepted by the
corporation UNDER THE GUIDANCE AND SUPPORT OF THE DEPARTMENT, (ii)
closed on such loan, and (iii) commenced construction of such eligible
project, the allocation applicable to the portion of such project
financed with such loan shall be, subject to maximum financial limita-
tions as may otherwise be necessary and prescribed by the commissioner
and the director of the division of the budget, fifty percent of the
principal balance outstanding on such loan at any time for such eligible
project, to the extent reasonably practicable, and subject to such devi-
ation as may be necessary, in connection with the administration and
investment of moneys in the fund, unless allocations in differing
amounts are necessary to preclude a determination by the commissioner
[or the corporation] pursuant to paragraph e of subdivision eight of
this section or unless an allocation in a differing amount is required
for an innovative technology demonstration project.
b. The corporation UNDER THE GUIDANCE AND SUPPORT OF THE DEPARTMENT
may enter into a project financing agreement with up to three munici-
palities which provides for up to one hundred percent subsidy of the
interest on the amount of principal not to exceed three million dollars
for the construction of innovative technology demonstration projects
which shall be waste water treatment facilities which utilize innovative
technology approved by the commissioner as defined in regulations
promulgated by the United States environmental protection agency in
accordance with the Federal Water Pollution Control Act. The commission-
er shall prepare criteria for selection of eligible projects pursuant to
this paragraph including, but not limited to, the use of innovative
technology which has been proven reasonably effective on at least a
demonstration model basis.
c. The department is authorized to promulgate regulations, developed
in consultation with the director of the division of the budget, for the
purpose of carrying out its responsibilities under this section.
4. The corporation UNDER THE GUIDANCE AND SUPPORT OF THE DEPARTMENT
may enter into project financing agreements with municipalities provid-
ing for the construction and financing of eligible projects. The corpo-
ration UNDER THE GUIDANCE AND SUPPORT OF THE DEPARTMENT shall prepare
A. 9709--B 110
each project financing agreement, which shall include but is not limited
to the following provisions:
a. A description of the eligible project;
b. An estimate of the reasonable cost of the eligible project and a
projected cash flow schedule for meeting that cost;
c. A schedule for construction of the eligible project;
d. A right of the corporation UNDER THE GUIDANCE AND SUPPORT OF THE
DEPARTMENT to approve all contracts for services and construction funded
pursuant to a project financing agreement, and to inspect and review the
construction of eligible projects;
e. Notwithstanding the provisions of any other law, general, special
or local, inconsistent with this section, a right of the corporation
UNDER THE GUIDANCE AND SUPPORT OF THE DEPARTMENT to invest proceeds of
the corporation's bonds or notes, including proceeds of bonds or notes
of the municipality, as provided in subdivision four of section twelve
hundred eighty-four and subdivision six of section twelve hundred eight-
y-five-j of the public authorities law.
Such right shall include the right to invest such monies together with
any other monies held by the corporation UNDER THE GUIDANCE AND SUPPORT
OF THE DEPARTMENT pursuant to the provisions of section twelve hundred
eighty-five-j of the public authorities law;
f. Remedies in the event of a municipality's failure to comply with
the terms of a project financing agreement;
g. An agreement by the corporation UNDER THE GUIDANCE AND SUPPORT OF
THE DEPARTMENT to:
(i) lend to the municipality for the construction of an eligible
project a specified amount from the proceeds of the corporation's bonds
or notes, not to exceed the estimated reasonable cost of construction of
the eligible project established in the project financing agreement or
any loan agreement, subject to the ability of the corporation UNDER THE
GUIDANCE AND SUPPORT OF THE DEPARTMENT to provide such financing,
including but not limited to the approval of the corporation's board and
any other approvals required by state or federal law;
(ii) use all reasonable efforts to issue its bonds or notes in an
amount sufficient to finance the estimated reasonable cost of the eligi-
ble project, including but not limited to costs of issuance, credit
support fees, if any, trustees fees, interest during construction, and
such reserve funds, if any, as may be necessary to secure such bonds or
notes;
(iii) in the alternative, provide financial assistance to the munici-
pality for the construction of an eligible project in a specified amount
from the proceeds of any federal capitalization grant, award, assist-
ance, or any state moneys appropriated to or otherwise transferred into
the fund, not to exceed the estimated reasonable cost of construction of
the eligible project established in the project financing agreement or
any loan agreement, as determined by the corporation UNDER THE GUIDANCE
AND SUPPORT OF THE DEPARTMENT or as directed by the commissioner pursu-
ant to subdivision eight of this section or subdivision four of section
twelve hundred eighty-five-j of the public authorities law;
(iv) make reimbursements for the administrative and management costs
of the department and the corporation in accordance with subdivisions
five and seven of section twelve hundred eighty-five-j of the public
authorities law;
(v) provide to the municipality, for any loan made from the proceeds
of the corporation's bonds or notes, an interest rate subsidy allocation
A. 9709--B 111
for the eligible project in accordance with section twelve hundred
eighty-five-j of the public authorities law and this section;
(vi) administer any federal rebate requirement in connection with
obligations of the corporation and of any municipality issued in accord-
ance with a project financing or loan agreement;
h. An agreement by the municipality to:
(i) proceed expeditiously with and complete the eligible project in
accordance with plans approved pursuant to titles seven and eight of
this article;
(ii) commence operation of the eligible project on completion of the
project, and not discontinue operation of or dispose of the eligible
project as long as a loan to the municipality for such project remains
outstanding, without approval of the commissioner; provided, however,
that the commissioner shall not approve disposition of the eligible
project without the concurrent approvals, as appropriate, of the [corpo-
ration] DEPARTMENT and the state comptroller. None of the foregoing
shall limit the commissioner's authority to terminate or impose condi-
tions upon the operation of an eligible project pursuant to the
provisions of this chapter and any implementing regulations thereto;
(iii) operate and maintain the eligible project in accordance with
applicable requirements of federal and state law;
(iv) establish and maintain project accounts in accordance with the
project financing agreement and generally accepted government accounting
standards;
(v) establish a dedicated source of revenue (which may include a
general obligation of the municipality) providing for:
(a) operation and maintenance costs of the eligible project and equip-
ment renewal and replacement; and
(b) loan repayment regardless of whether the eligible project is in
operation;
(vi) permit any reviews or audits and provide assistance determined to
be reasonable and necessary by the department [or the corporation];
(vii) retain public ownership of the eligible project; and
(viii) notwithstanding the provisions of any other law, general,
special or local, inconsistent with this section, delegate to the corpo-
ration UNDER THE GUIDANCE AND SUPPORT OF THE DEPARTMENT the authority to
invest proceeds of bonds or notes issued by the corporation or the muni-
cipality on behalf of the municipality.
i. An agreement by the corporation UNDER THE GUIDANCE AND SUPPORT OF
THE DEPARTMENT to certify, subject to the availability of funds, payment
upon submission of a satisfactory request for disbursement of loan
proceeds by a municipality, of an amount equivalent to actual
construction costs incurred on or before the date of submission of the
request for disbursement of loan proceeds, plus any projected
construction costs which will be incurred within ninety days from the
date of submission of the request for disbursement of loan proceeds,
less any funds already advanced;
j. An agreement in regard to financial assistance provided pursuant to
paragraph (b) of subdivision four of section twelve hundred
eighty-five-j of the public authorities law, to waive programmatic
requirements other than those mandated by federal law and subparagraph
(i) of paragraph d of subdivision one of this section, provided that the
project was in compliance with the goals and requirements of the Federal
Water Pollution Control Act, prior to July first, nineteen hundred
eighty-eight, or was subject to an administrative or judicial order
requiring compliance with the goals and requirements of the Federal
A. 9709--B 112
Water Pollution Control Act prior to September thirtieth, nineteen
hundred eighty-nine; and
k. Such other agreements or covenants as may be required in connection
with the issuance by the corporation UNDER THE GUIDANCE AND SUPPORT OF
THE DEPARTMENT of its bonds or notes.
5. For the purpose of implementing the program set forth in this
section and section twelve hundred eighty-five-j of the public authori-
ties law, and ensuring compliance with the requirements of Title VI of
the Federal Water Pollution Control Act, the corporation UNDER THE GUID-
ANCE AND SUPPORT OF THE DEPARTMENT shall ensure compliance with each
project financing agreement by:
a. retaining the right to inspect and review work on each eligible
project in progress and upon completion, and determining whether such
work was undertaken and completed in compliance with all relevant plans
and the terms of such project financing agreement;
b. retaining the right to certify or refuse to certify advances and
payments to a municipality pursuant to a project financing agreement or
any loan agreement executed subsequent thereto to finance an eligible
project;
c. retaining the right to certify or refuse to certify advances and
payments to a municipality pursuant to a project financing agreement and
any loan agreement executed subsequent thereto to finance an eligible
project based upon the determinations of any review or audit;
d. establishing remedies if work on an eligible project has not been
completed in accordance with all relevant plans and the terms of such
project financing agreement due to factors within the municipality's
control; and
e. requiring a municipality to maintain project accounts with respect
to any eligible project.
Nothing herein shall be construed to affect or diminish the general
authority of the department to inspect and review the work on any
project financed pursuant to this section, or to inspect the records
relating to such project, for the purpose of determining compliance with
any other provisions of this chapter.
6. In the event the work completed pursuant to a project financing
agreement or loan agreement is deemed not in compliance with such agree-
ments, the corporation UNDER THE GUIDANCE AND SUPPORT OF THE DEPARTMENT
shall expeditiously notify the municipality of such non-compliance and
indicate the reasons for such determination.
7. For the purpose of implementing the program set forth in this
section and section twelve hundred eighty-five-j of the public authori-
ties law, and ensuring compliance with the requirements of Title VI of
the Federal Water Pollution Control Act, the department shall:
a. Enter into any agreement between the state of New York and the
administrator of the United States environmental protection agency and
take all other actions necessary to comply with the requirements of
Title VI of the Federal Water Pollution Control Act and state law,
including but not limited to:
(i) determining a reasonable schedule for financing and construction
of eligible projects;
(ii) directing the establishment of systems of records or accounts and
subaccounts within the water pollution control revolving fund as the
department deems necessary or desirable, and approving or disapproving
the establishment of such record systems or accounts and subaccounts as
the corporation UNDER THE GUIDANCE AND SUPPORT OF THE DEPARTMENT
A. 9709--B 113
requests for the operation of the water pollution control revolving loan
fund;
(iii) determining the accounts or subaccounts within the water
pollution control revolving fund which will be used as a source of fund-
ing for each eligible project subject to the limitations of subdivision
six of this section; and
(iv) approving each project for qualification as an eligible project.
b. Arrange in consultation with the corporation UNDER THE GUIDANCE AND
SUPPORT OF THE DEPARTMENT for independently conducted reviews and audits
on at least an annual basis necessary to carry out the objectives of the
fund.
c. Submit a copy of the draft intended use plan to the governor, the
director of the division of the budget, the chairman of the senate
finance committee and the chairman of the assembly ways and means
committee on or before October thirty-first, nineteen hundred eighty-
nine and annually on or before such date thereafter and submit a copy of
the final intended use plan to such persons upon its approval by the
administrator of the United States environmental protection agency.
8. The corporation may or, if so directed by the commissioner, the
corporation shall provide financial assistance to municipalities as a
loan pursuant to paragraph (a) of subdivision four of section twelve
hundred eighty-five-j of the public authorities law from any available
moneys in the fund other than the proceeds of the corporation's bonds or
notes or moneys needed to comply with subdivision five of section twelve
hundred eighty-five-j of the public authorities law if and to the extent
any of the following conditions are met:
a. The corporation UNDER THE GUIDANCE AND SUPPORT OF THE DEPARTMENT
determines that it is unable to, or that it is impracticable to, finance
all or a portion of the costs of an eligible project from the proceeds
of bonds or notes that are special obligations of the corporation; or
b. The total cost of the eligible project and related segments does
not exceed four million dollars where such project and related segments
service a municipality with a population of three thousand five hundred
or less; or
c. The commissioner [or the corporation] determines that failure to do
so would jeopardize the receipt or maintenance of federal capitalization
grant moneys, awards or assistance; or
d. A determination is made by the corporation UNDER THE GUIDANCE AND
SUPPORT OF THE DEPARTMENT that the issuance of and use of the proceeds
of the corporation's bonds to provide financial assistance to munici-
palities would cause the loss of the tax-exempt status of any bonds or
other obligations of New York state, all or a portion of the proceeds of
which are appropriated or otherwise transferred into the fund; or
e. Federal capitalization grants are provided in the form of a letter
of credit or draws under capitalization grant agreements and the commis-
sioner [or the corporation] determines, consistent with the purposes of
the fund, that providing financial assistance from the proceeds of
corporation bonds or notes would delay receipt of moneys from the feder-
al government under the Federal Water Pollution Control Act.
The interest rate charged on any loan made by the corporation UNDER
THE GUIDANCE AND SUPPORT OF THE DEPARTMENT pursuant to this subdivision
shall be no more than two-thirds of the market rate of interest other-
wise applicable thereto, provided, however, that in the case of any
municipality which has, during the period commencing on June first,
nineteen hundred ninety-two and ending on September thirtieth, two thou-
sand twelve, (i) submitted an application for financial assistance in
A. 9709--B 114
the form of a loan from the corporation pursuant to this subdivision,
for an eligible project, which application has been accepted by the
corporation UNDER THE GUIDANCE AND SUPPORT OF THE DEPARTMENT, (ii)
closed on such loan, and (iii) commenced construction of such eligible
project, the interest rate charged on such loan shall be no more than
one-half of the market rate otherwise applicable thereto.
9. The contracts for the construction of eligible projects constructed
and financed pursuant to a project financing agreement shall be subject
to the requirements and provisions of article 15-A of the executive law
and, for such purposes, any such contract shall be considered a "state
contract" and the department shall be the "contracting agency" for each
such contract.
10. Notwithstanding the provisions of any other law, general, special
or local, the following determinations shall be made by the corporation
[in its sole and absolute discretion] UNDER THE GUIDANCE AND SUPPORT OF
THE DEPARTMENT:
(a) In connection with any application for financial assistance from
the fund in the form of a loan from the proceeds of bonds or notes of
the corporation, the determination as to whether the municipality
receiving such loan has qualified for an allocation of fifty percent of
the principal amount of such loan outstanding at any time, pursuant to
subdivision three of this section; and
(b) In connection with any application for financial assistance from
the fund in the form of a loan from the corporation UNDER THE GUIDANCE
AND SUPPORT OF THE DEPARTMENT pursuant to subdivision eight of this
section, where the municipality receiving such loan is not qualified for
an interest rate of zero percent, the determination as to whether such
municipality has qualified for an interest rate of one-half of the
market rate otherwise applicable thereto, pursuant to subdivision eight
of this section.
S 36. Section 56-0305 of the environmental conservation law, as added
by chapter 413 of the laws of 1996, is amended to read as follows:
S 56-0305. Application procedure.
1. Any municipality or soil and water conservation district may make
an application for such state assistance payment, in a manner, form, and
time frame and containing such information as the respective commission-
er, the president of the environmental facilities corporation UNDER THE
GUIDANCE AND SUPPORT OF THE COMMISSIONER or the secretary of state may
require. Subject to the provisions of section thirty-two of the chapter
of the laws of 1996 which added this section, the respective commission-
er, the president of the environmental facilities corporation or the
secretary of state shall review such application and may approve, disap-
prove, or recommend modifications thereto consistent with applicable
law, criteria, standards, or rules and regulations relative to such
projects.
2. In reviewing such applications for eligibility, the respective
commissioner, the president of the environmental facilities corporation
UNDER THE GUIDANCE AND SUPPORT OF THE COMMISSIONER or the secretary of
state shall give due consideration to:
(a) the suitability and feasibility of the project in relation to the
goals of the applicable program or plan;
(b) the priority of the project in relationship to other projects
proposed under the same program or plan. Highest priority shall be
granted to projects which will provide the greatest reduction in pollu-
tants or most significant habitat improvement. For water quality
improvement projects which have been developed with the assistance of,
A. 9709--B 115
or by any other state agencies, the respective commissioner, the presi-
dent of the environmental facilities corporation UNDER THE GUIDANCE AND
SUPPORT OF THE COMMISSIONER or secretary of state shall be consulted
with when determining the priority of the project;
(c) the availability of matching funds on the part of the municipality
or the soil and water conservation district to finance the munici-
pality's or soil and water conservation district's share of the project
cost. In submitting the application, the municipality or soil and water
conservation district shall submit proof to the satisfaction of the
respective commissioner, the president of the environmental facilities
corporation UNDER THE GUIDANCE AND SUPPORT OF THE COMMISSIONER or secre-
tary of state of the availability of such matching funds; and
(d) the urgency of the need to provide state assistance payments for
the project in relation to the availability of other funding sources and
the municipality's or soil and water conservation district's ability to
finance such project based on the availability of other moneys including
federal funds.
3. Upon approval of an application for such assistance payment, the
respective commissioner, the president of the environmental facilities
corporation UNDER THE GUIDANCE AND SUPPORT OF THE COMMISSIONER or the
secretary of state and the municipality or soil and water conservation
district shall enter into a contract for such payment toward the cost of
the approved project which shall include the following provisions:
(a) A current estimate of the cost of the project as determined by the
respective commissioner, the president of the environmental facilities
corporation UNDER THE GUIDANCE AND SUPPORT OF THE COMMISSIONER or the
secretary of state at the time of the execution of the contract and a
specific timetable for progress and completion of the project;
(b) An agreement by the respective commissioner, the president of the
environmental facilities corporation UNDER THE GUIDANCE AND SUPPORT OF
THE COMMISSIONER or secretary of state to make state assistance payments
toward the cost of the project by periodically reimbursing the munici-
pality or soil and water conservation district for costs incurred during
the progress of the project to the maximum agreed upon state share.
Such costs are subject to final computation and determination by the
respective commissioner, the president of the environmental facilities
corporation UNDER THE GUIDANCE AND SUPPORT OF THE COMMISSIONER or secre-
tary of state upon completion of the project; and
(c) An agreement by the municipality or soil and water conservation
district to proceed expeditiously with the project and to complete the
project in accordance with the timetable set out in the contract as so
approved by the respective department or authority and with the condi-
tions of applicable permits, administrative orders, or judicial orders.
A finding by the respective commissioner, the president of the environ-
mental facilities corporation UNDER THE GUIDANCE AND SUPPORT OF THE
COMMISSIONER or secretary of state that the municipality or soil and
water conservation district has not met the conditions of the contract
in good faith shall constitute a material breach of the contract.
S 37. Section 56-0611 of the environmental conservation law, as added
by chapter 413 of the laws of 1996, is amended to read as follows:
S 56-0611. Environmental compliance projects.
Of moneys made available under this title thirty million dollars
($30,000,000) shall be made available for state assistance payments
through the environmental facilities corporation UNDER THE GUIDANCE AND
SUPPORT OF THE DEPARTMENT to villages, towns, and cities with a popu-
lation of less than one million, for small business environmental
A. 9709--B 116
compliance assistance projects which enhance the quality of the air of
the state through compliance with environmental laws and regulations, or
by remedy or prevention of environmental deficiencies.
1. The president of the environmental facilities corporation UNDER THE
GUIDANCE AND SUPPORT OF THE COMMISSIONER is authorized to provide state
assistance payments to villages, towns, and cities with a population of
less than one million, for implementation of small business environ-
mental compliance assistance projects which enhance the quality of the
air of the state.
2. A village, town, and city with a population of less than one
million may submit an application to the president, in such form and
manner as the president may require, for state assistance payments
toward the cost of environmental compliance assistance projects.
3. Upon receipt of a request for a state assistance application, the
president UNDER THE GUIDANCE AND SUPPORT OF THE COMMISSIONER shall
review the request and, within ninety days from the receipt of a
complete application, may approve, disapprove, or recommend modifica-
tions thereto consistent with applicable law criteria, standards, or
rules and regulations relative to such projects.
S 38. Subdivision 5-e of section 234 of the banking law, as added by
chapter 262 of the laws of 2007, is amended to read as follows:
5-e. To accept moneys deposited by the New York state environmental
facilities corporation as linked deposits pursuant to article sixteen of
the state finance law and to enter into agreements, pledge assets or
furnish other security, satisfactory in form and amount to the New York
state environmental facilities corporation UNDER THE GUIDANCE AND
SUPPORT OF THE DEPARTMENT OF ENVIRONMENTAL CONSERVATION, for the repay-
ment of such moneys.
S 39. Section 169.00 of the local finance law, as amended by chapter
304 of the laws of 1997, is amended to read as follows:
S 169.00 Installment loans and obligations evidencing installment
loans. a. Notwithstanding the provisions of any other law, general,
special or local, inconsistent with this section, relating to the power
of municipalities to enter into contracts and to contract indebtedness,
the finance board of any municipality selling bonds or notes at private
sale to the New York state environmental facilities corporation in order
to obtain financial assistance pursuant to section twelve hundred eight-
y-five-j or twelve hundred eighty-five-m of the public authorities law
is hereby authorized and empowered to contract with such corporation
UNDER THE GUIDANCE AND SUPPORT OF THE DEPARTMENT OF ENVIRONMENTAL
CONSERVATION to receive from time to time advances of a loan up to a
stated maximum principal sum and to issue to such corporation, in order
to evidence the obligation of such municipality to repay such advances,
its bonds or notes in the form and in the manner provided by this
section. Any such bond or note may provide that the municipality issuing
such bond or note shall pay to such corporation or its assigns the stat-
ed maximum principal sum or, if less, the aggregate principal amount of
the advances of the corresponding loan made to such municipality by the
ENVIRONMENTAL FACILITIES corporation UNDER THE GUIDANCE AND SUPPORT OF
THE DEPARTMENT OF ENVIRONMENTAL CONSERVATION. The principal amounts of
advances and the timing and manner of the payment and repayment of such
advances and the interest rate applicable to such advances may be
provided for in the related contract or loan agreement or in any obli-
gations evidencing such loan advances.
b. Any obligation issued by a municipality pursuant to this section
shall be deemed indebtedness of such municipality (i) only as of the
A. 9709--B 117
date and to the extent that the corporation UNDER THE GUIDANCE AND
SUPPORT OF THE DEPARTMENT OF ENVIRONMENTAL CONSERVATION makes or has
made each loan advance available to such municipality and (ii) only in
the amount of each such loan advance. Any such advance shall be consid-
ered a separate borrowing for purposes of determining compliance with
the constitution and laws of the state.
c. Any obligation issued by a municipality pursuant to this section
shall provide for the payment of principal and interest without presen-
tation.
d. The finance board, by resolution, may delegate its power to
contract and to issue indebtedness pursuant to this section to the chief
fiscal officer of such municipality, in which event the chief fiscal
officer shall exercise such power until the finance board, by resol-
ution, shall elect to resume the same.
e. On or before the first day of January, in any given year, beginning
on January first, nineteen hundred ninety-four, the president of the New
York state environmental facilities corporation UNDER THE GUIDANCE AND
SUPPORT OF THE COMMISSIONER OF THE DEPARTMENT OF ENVIRONMENTAL CONSERVA-
TION shall submit to the director of the division of the budget, the
chairperson of the senate finance committee, the chairperson of the
assembly ways and means committee, and the chairpersons of the senate
and assembly committees on local government, a comprehensive report
detailing the activities undertaken pursuant to this section, which
shall include, at a minimum, (i) all project applicants; (ii) the amount
of the state revolving fund bond or note for each project; (iii) the
amount advanced; (iv) the repayment terms and conditions; and (v) the
interest rate savings to the project applicant.
S 40. Section 120-bb of the general municipal law, as added by chapter
80 of the laws of 1989, subdivision 1 as amended and subdivision 1-a as
added by chapter 92 of the laws of 1989, is amended to read as follows:
S 120-bb. Town of Huntington solid waste management resource recovery
facility; tax exemption; other contractual provisions related to towns
of Huntington and Smithtown. 1. Notwithstanding any inconsistent
provision of article twenty-eight of the tax law, or of any other gener-
al, special or local law respecting taxation, the receipts from the sale
of all tangible personal property purchased by a contractor, subcontrac-
tor or repairman for use in erecting, repairing, replacing, improving or
altering a solid waste management resource recovery facility within the
town of Huntington, as such term is defined in section one hundred twen-
ty-w of this article, where such property becomes an integral component
part of such facility, shall be exempt from the tax on retail sales
imposed under subdivision (a) of section eleven hundred five and the
compensating use tax imposed under section eleven hundred ten of the tax
law provided that:
(a) title to the real property upon which the solid waste management
resource recovery facility is to be situated is held by the town of
Huntington;
(b) the environmental facilities corporation has caused to be issued
bonds of the corporation for financing in whole or in part the
construction of such solid waste management resource recovery facility;
(c) the vendor has entered into a site lease, easement or rental
agreement with such town relating to the site of the proposed facility;
(d) prior to the issuance of a permit by the department of environ-
mental conservation authorizing the operation of the facility, the town
of Huntington and the town of Smithtown shall each have adopted and put
into effect and maintained in effect a local ordinance providing for the
A. 9709--B 118
separation of solid waste into recyclable, reusable and other components
pursuant to section one hundred twenty-aa of this article.
1-a. As long as the criteria set forth in paragraphs (a), (b), (c) and
(d) of subdivision one of this section are satisfied, a vendor under
this section, shall be afforded the same treatment, with respect to the
imposition of the sales and compensating use taxes imposed under article
twenty-eight of the tax law as the environmental facilities corporation
is pursuant to subdivision eight of section twelve hundred ninety-six of
the public authorities law, on any purchase or use of tangible personal
property.
2. Notwithstanding any provision of law, general, special or local,
relating to taxation to the contrary, any mortgage, security interest or
other lien granted on any interest in the real or personal property
comprising the solid waste management resource recovery facility by the
owner, lessee or sublessee thereof shall be exempt from any mortgage,
recording, stamp or other similar tax imposed by the state or any muni-
cipality or political subdivision thereof, with the same effect as if
the environmental facilities corporation were the owner of such facility
and the mortgagor or grantor of such mortgage, security interest or
lien, as the case may be, and section twelve hundred ninety-six of the
public authorities law were applicable to such facility.
3. (a) Pursuant to a joint agreement under article five-G of this
chapter, the town of Huntington and the town of Smithtown, without any
new or additional competitive procurement which would otherwise be
required by section one hundred twenty-w of this article, may enter into
a contract, amendment or supplement with the vendor with which the town
of Huntington has previously executed a contract on or before the effec-
tive date of this section, for the design, construction, operation,
financing, ownership or maintenance of a solid waste management-resource
recovery facility within the town of Huntington as may be necessary for
the purpose of expanding the facility and the services contemplated by
such original contract in order to accommodate the disposal of solid
waste from the town of Smithtown.
(b) The waiver of compliance with the competitive procurement
provisions of such section one hundred twenty-w shall be strictly limit-
ed in application to the undertaking and completion of such additional
design and construction at such facility as is necessary to accommodate
the disposal of solid waste from the town of Smithtown. Notwithstanding
such waiver, the provisions of section two hundred twenty of the labor
law shall be applicable to construction work undertaken pursuant to such
contract amendment or supplementation.
(c) Any expansion of the proposed Huntington resource recovery facili-
ty pursuant to this section shall be in full accordance with the rules
and regulations promulgated by the department of environmental conserva-
tion for the construction and operation of municipal solid waste incin-
eration facilities permitted on or after the effective date of this
section.
4. The town of Smithtown shall have the power to adopt and amend local
laws imposing appropriate and reasonable limitations on competition with
respect to collecting, receiving, transporting, delivering, storing,
processing and disposing of solid waste or the recovery by any means of
any material or energy product or resource therefrom, including local
laws requiring that all solid waste generated, originated or brought
within its boundaries, subject to such exceptions as may be determined
to be in the public interest, shall be delivered to a specified solid
waste management-resource recovery facility; provided, however, that any
A. 9709--B 119
such local law enacted by the town shall take precedence and shall
supersede any inconsistent provisions of any local law enacted by a
municipality within the town. Any such local law shall be adopted in
accordance with the procedure provided by the municipal home rule law,
except that no such local law shall be subject to either mandatory or
permissive referendum. For purposes of this section solid waste shall
not include any scrap or other material of value separated from the
waste stream and held for purposes of materials recycling.
5. Notwithstanding the provisions of any other law, general, special
or local, relating to the length, duration and terms of contracts a
municipality may enter into, or relating to the method by which
contracts may be entered into, the town of Huntington may enter into a
lease, easement or rental agreement relating to the site of the proposed
Huntington resource recovery facility and to the proposed facilities to
be constructed thereon with the vendor upon such terms and conditions,
for such consideration and for such term and duration, not to exceed
forty years, as may be agreed upon by the town of Huntington and the
vendor, provided that any agreement providing for payment by the town of
Huntington for resource recovery services to be provided at such site
may not exceed twenty-five years in duration, except as such agreement
may be extended in accordance with section one hundred twenty-w of this
article.
6. Notwithstanding any inconsistent provision of section twelve
hundred ninety of the public authorities law or of any other provision
of state law, the bonds and any renewals thereof [to be] issued by the
environmental facilities corporation OR TO BE ISSUED BY SUCH CORPORATION
UNDER THE GUIDANCE AND SUPPORT OF THE DEPARTMENT OF ENVIRONMENTAL
CONSERVATION for the purposes of constructing the solid waste management
resource recovery facility in the town of Huntington shall mature at
such time as the resolution authorizing such issuance provides but not
exceeding twenty-five years from the date of the original issuance of
such bonds.
7. For purposes of this section, the term "vendor" shall mean any
constructor or operator together with any successors or assigns, of a
solid waste management-resource recovery facility located in the town of
Huntington and intended to dispose of municipal solid waste pursuant to
an agreement with the town of Huntington.
S 41. Upon the transfer of the functions of the environmental facili-
ties corporation to the appropriate department or authority, all of the
employees of the environmental facilities corporation shall become
employees of the respective department or authority assuming the respon-
sibilities of each person's employment unit. The positions held by such
employees shall be classified pursuant to section 45 of the civil
service law in the same manner as if the state had acquired a private
enterprise, and such positions shall be assigned to collective bargain-
ing units in the same manner as other positions within each department
or authority.
S 42. a. The powers, duties, and unfinished business of the environ-
mental facilities corporation are transferred to the department of envi-
ronmental conservation. All assets, liabilities, and records of the
environmental facilities corporation are transferred to the department
of environmental conservation. For the purposes of succession to func-
tions, powers, duties, and obligations transferred and assigned to,
devolved upon and assumed by it pursuant to this act, the department of
environmental conservation shall be deemed and held to constitute the
A. 9709--B 120
continuation of the environmental facilities corporation except where
otherwise provided in this act.
b. Every officer and employee of the environmental facilities corpo-
ration is hereby transferred to the department of environmental conser-
vation. Transfers of such employees will be made pursuant to subdivi-
sion 2 of section 70 of the civil service law.
c. All rules, regulations, acts, determinations and decisions of the
environmental facilities corporation at the time of the effective date
of this act shall continue in force and effect as rules, regulations,
acts, determinations, and decisions of the commissioner of the depart-
ment of environmental conservation until duly modified or abrogated by
the commissioner of the department of environmental conservation.
d. All appropriations and reappropriations heretofore made to the
environmental facilities corporation, to the extent of remaining unex-
pended or unencumbered balances thereof, whether allocated or unallo-
cated and whether obligated or unobligated, shall be transferred to and
made available for use and expenditure by the department of environ-
mental conservation.
S 43. Environmental facilities corporation transfer to department of
environmental conservation. Upon the transfer of the functions of the
environmental facilities corporation to the department of environmental
conservation pursuant to this act, all of the employees of the environ-
mental faculties corporation shall become employees of the department of
environmental conservation. The positions held by such employees shall
be classified pursuant to section forty-five of the civil service law in
the same manner as if the state had acquired a private enterprise, and
such positions shall be assigned to collective bargaining units in the
same manner as other positions within the department of environmental
conservation.
S 44. This act shall take effect immediately; provided, however, that:
1. the amendments to subdivision 6 of section 1285-j of the public
authorities law made by section thirteen of this act shall survive the
expiration and reversion of such subdivision as provided in section 3 of
chapter 307 of the laws of 2005 provided further, that the amendments to
subdivision 6 of section 1285-m of the public authorities law, made by
section sixteen of this act shall survive the expiration and reversion
of such subdivision as provided in section 3 of chapter 307 of the laws
of 2005; and
2. the amendments to section 169.00 of the local finance law made by
section thirty-nine of this act shall not affect the repeal of such
section and shall expire and be deemed repealed therewith.
PART QQ
Section 1. There is hereby created a department of financial services.
The head of the department of financial services shall be the super-
intendent of financial services, who shall be appointed by the governor,
by and with the advice and consent of the senate, and who shall hold
office until the end of the term of the governor by whom he or she was
appointed and until his or her successor is appointed and qualified.
S 2. There shall be established within the department of financial
services a division of banking to carry out the duties and responsibil-
ities imposed under the banking law. There shall also be established
within the department of financial services a division of insurance to
carry out the duties and responsibilities imposed under the insurance
law.
A. 9709--B 121
S 3. Transfer of powers of the banking department. The functions and
powers possessed by and all of the obligations and duties of the banking
department, as established pursuant to the banking law, shall be trans-
ferred and assigned to, and assumed by and devolved upon the department
of financial services.
S 4. Transfer of powers of the insurance department. The functions and
powers possessed by and all of the obligations and duties of the depart-
ment of insurance, as established pursuant to the insurance law, shall
be transferred and assigned to, and assumed by and devolved upon the
department of financial services.
S 5. Abolition of the banking department. Upon the transfer pursuant
to this act of the functions and powers possessed by and all of the
obligations and duties of the banking department, as established pursu-
ant to the banking law and other laws, the banking department shall be
abolished.
S 6. Abolition of the insurance department. Upon the transfer pursuant
to this act of the functions and powers possessed by and all of the
obligations and duties of the insurance department, as established
pursuant to the insurance law and other laws, the insurance department
shall be abolished.
S 7. Continuity of authority of the banking department. Except as
herein otherwise provided, upon the transfer pursuant to this act of the
functions and powers possessed by and all of the obligations and duties
of the banking department as established pursuant to the banking law and
other laws, to the department of financial services as prescribed by
this act for the purpose of succession of all functions, powers, duties
and obligations of the department of financial services shall be deemed
and be held to constitute the continuation of such functions, powers,
duties and obligations and not a different agency.
S 8. Continuity of authority of the insurance department. Except as
herein otherwise provided, upon the transfer pursuant to this act of the
functions and powers possessed by and all of the obligations and duties
of the insurance department as established pursuant to the insurance law
and other laws, to the department of financial services as prescribed by
this act for the purpose of succession of all functions, powers, duties
and obligations of the department of financial services shall be deemed
and be held to constitute the continuation of such functions, powers,
duties and obligations and not a different agency.
S 9. Transfer of records of the banking department. Upon the transfer
pursuant to this act of the functions and powers possessed by and all of
the obligations and duties of the banking department as established
pursuant to the banking law and other laws, to the department of finan-
cial services as prescribed by this act, all books, papers, records and
property pertaining to the banking department shall be transferred to
and maintained by the department of financial services.
S 10. Transfer of records of the insurance department. Upon the trans-
fer pursuant to this act of the functions and powers possessed by and
all of the obligations and duties of the insurance department as estab-
lished pursuant to the insurance law and other laws, to the department
of financial services as prescribed by this act, all books, papers,
records and property pertaining to the insurance department shall be
transferred to and maintained by the department of financial services.
S 11. Completion of unfinished business of the banking department.
Upon the transfer pursuant to this act of the functions and powers
possessed by and all of the obligations and duties of the banking
department as established pursuant to the banking law and other laws, to
A. 9709--B 122
the department of financial services as prescribed by this act, any
business or other matter undertaken or commenced by the banking depart-
ment pertaining to or connected with the functions, powers, obligations
and duties so transferred and assigned to the department of financial
services may be conducted or completed by the department of financial
services.
S 12. Completion of unfinished business of the insurance department.
Upon the transfer pursuant to this act of the functions and powers
possessed by and all of the obligations and duties of the insurance
department as established pursuant to the insurance law and other laws,
to the department of financial services as prescribed by this act, any
business or other matter undertaken or commenced by the insurance
department pertaining to or connected with the functions, powers, obli-
gations and duties so transferred and assigned to the department of
financial services may be conducted or completed by the department of
financial services.
S 13. Terms occurring in laws, contracts or other documents of or
pertaining to the banking department. Upon the transfer pursuant to this
act of the functions and powers possessed by and all of the obligations
and duties of the banking department as established pursuant to the
banking law and other laws, as prescribed by this act, whenever the
banking department and the superintendent thereof, the functions,
powers, obligations and duties of which are transferred to the depart-
ment of financial services are referred to or designated in any law,
contract or document pertaining to the functions, powers, obligations
and duties transferred and assigned pursuant to this act, such reference
or designation shall be deemed to refer to the department of financial
services and its superintendent.
S 14. Terms occurring in laws, contracts or other documents of or
pertaining to the insurance department. Upon the transfer pursuant to
this act of the functions and powers possessed by and all of the obli-
gations and duties of the insurance department as established pursuant
to the insurance law and other laws, as prescribed by this act, whenever
the insurance department or the superintendent thereof, the functions,
powers, obligations and duties of which are transferred to the depart-
ment of financial services are referred to or designated in any law,
contract or document pertaining to the functions, powers, obligations
and duties transferred and assigned pursuant to this act, such reference
or designation shall be deemed to refer to the department of financial
services and its superintendent.
S 15. Existing rights and remedies of or pertaining to the banking
department preserved. Upon the transfer pursuant to this act of the
functions and powers possessed by and all of the obligations and duties
of the banking department as established pursuant to the banking law and
other laws, to the department of financial services as prescribed by
this act, no existing right or remedy of the state, including the bank-
ing department, shall be lost, impaired or affected by reason of this
act.
S 16. Existing rights and remedies of or pertaining to the insurance
department preserved. Upon the transfer pursuant to this act of the
functions and powers possessed by and all of the obligations and duties
of the insurance department as established pursuant to the insurance law
and other laws, to the department of financial services as prescribed by
this act, no existing right or remedy of the insurance department shall
be lost, impaired or affected by reason of this act.
A. 9709--B 123
S 17. Pending actions and proceedings of or pertaining to the banking
department. Upon the transfer pursuant to this act of the functions and
powers possessed by and all of the obligations and duties of the banking
department as established pursuant to the banking law and other laws, to
the department of financial services as prescribed by this act, no
action or proceeding pending on the effective date of this act, brought
by or against the banking department or the superintendent thereof shall
be affected by any provision of this act, but the same may be prosecuted
or defended in the name of the New York state department of financial
services. In all such actions and proceedings, the New York state
department of financial services, upon application to the court, shall
be substituted as a party.
S 18. Pending actions and proceedings of or pertaining to the insur-
ance department. Upon the transfer pursuant to this act of the func-
tions and powers possessed by and all of the obligations and duties of
the insurance department as established pursuant to the insurance law
and other laws, to the department of financial services as prescribed by
this act, no action or proceeding pending on the effective date of this
act, brought by or against the insurance department or the superinten-
dent thereof shall be affected by any provision of this act, but the
same may be prosecuted or defended in the name of the New York state
department of financial services. In all such actions and proceedings,
the New York state department of financial services, upon application to
the court, shall be substituted as a party.
S 19. Continuation of rules and regulations of or pertaining to the
banking department. Upon the transfer pursuant to this act of the func-
tions and powers possessed by and all the obligations and duties of the
banking department as established pursuant to the banking law and other
laws, to the department of financial services as prescribed by this act,
all rules, regulations, acts, determinations and decisions of the bank-
ing department, pertaining to the functions transferred and assigned by
this act to the department of financial services in force at the time of
such transfer, assignment, assumption or devolution shall continue in
force and effect as rules, regulations, acts, determinations and deci-
sions of the department of financial services until duly modified or
repealed.
S 20. Continuation of rules and regulations of or pertaining to the
insurance department. Upon the transfer pursuant to this act of the
functions and powers possessed by and all the obligations and duties of
the banking department as established pursuant to the insurance law and
other laws, to the department of financial services as prescribed by
this act, all rules, regulations, acts, determinations and decisions of
the insurance department, pertaining to the functions transferred and
assigned by this act to the department of financial services in force at
the time of such transfer, assignment, assumption or devolution shall
continue in force and effect as rules, regulations, acts, determinations
and decisions of the department of financial services until duly modi-
fied or repealed.
S 21. Transfer of appropriations heretofore made to the banking
department. Upon the transfer pursuant to this act of the functions and
powers possessed by and all of the obligations and duties of the banking
department as established pursuant to the banking law and other laws, to
the department of financial services as prescribed by this act, all
appropriations and reappropriations which shall have been made available
as of the date of such transfer to the banking department or segregated
pursuant to law, to the extent of remaining unexpended or unencumbered
A. 9709--B 124
balances thereof, whether allocated or unallocated and whether obligated
or unobligated, shall be transferred to and made available for use and
expenditure by the department of financial services and shall be payable
on vouchers certified or approved by the commissioner of taxation and
finance, on audit and warrant of the comptroller. Payments of liabil-
ities for expenses of personnel services, maintenance and operation
which shall have been incurred as of the date of such transfer by the
banking department, and for liabilities incurred and to be incurred in
completing its affairs shall also be made on vouchers certified or
approved by the superintendent of the department of financial services,
on audit and warrant of the comptroller.
S 22. Transfer of appropriations heretofore made to the insurance
department. Upon the transfer pursuant to this act of the functions and
powers possessed by and all of the obligations and duties of the insur-
ance department as established pursuant to the insurance law and other
laws, to the department of financial services as prescribed by this act,
all appropriations and reappropriations which shall have been made
available as of the date of such transfer to the insurance department or
segregated pursuant to law, to the extent of remaining unexpended or
unencumbered balances thereof, whether allocated or unallocated and
whether obligated or unobligated, shall be transferred to and made
available for use and expenditure by the department of financial
services and shall be payable on vouchers certified or approved by the
commissioner of taxation and finance, on audit and warrant of the comp-
troller. Payments of liabilities for expenses of personnel services,
maintenance and operation which shall have been incurred as of the date
of such transfer by the banking department, and for liabilities incurred
and to be incurred in completing its affairs shall also be made on
vouchers certified or approved by the superintendent of the department
of financial services, on audit and warrant of the comptroller.
S 23. Transfer of employees. Provision shall be made for the transfer
of all employees from the banking department and the department of
insurance into the department of financial services. Employees so trans-
ferred shall be transferred without further examination or qualification
to the same or similar titles and shall remain in the same collective
bargaining unit and shall retain their respective civil service classi-
fication, status and rights pursuant to their collective bargaining unit
and collective bargaining agreement.
S 24. Coordination of services. In an effort to create greater cost
efficiencies and cost savings, the superintendent of financial services
shall coordinate administrative, clerical and human resource functions,
or any other resources and functions, including but not limited to
office space and materials and supplies in accordance with the transfer
of powers set forth in this act.
S 25. Section 11 of the banking law, as amended by chapter 684 of the
laws of 1938, the section heading as amended by chapter 777 of the laws
of 1939, subdivisions 1 and 4 as amended by chapter 566 of the laws of
2004 and subdivision 3 as amended by chapter 276 of the laws of 1990, is
amended to read as follows:
S 11. [Banking department; official] OFFICIAL documents; destruction
of documents; official communications. 1. The [banking] department shall
be charged with the execution of the laws relating to the individuals,
partnerships, corporations and other entities to which this chapter is
applicable and shall exercise such powers and perform such duties as are
conferred and imposed upon it by this chapter or by any law of this
A. 9709--B 125
state. [The principal office of the department shall be in the city of
Albany.]
2. SUITABLE OFFICES FOR CONDUCTING THE BUSINESS OF THE DEPARTMENT
SHALL BE LOCATED IN THE CITIES OF ALBANY AND NEW YORK. NECESSARY ADDI-
TIONAL OFFICE, FILING, AND STORAGE SPACE THAT CANNOT BE SUPPLIED BY THE
STATE COMMISSIONER OF GENERAL SERVICES MAY BE LEASED BY THE SUPERINTEN-
DENT, AND RENT OR EXPENSES INCURRED PURSUANT TO ANY SUCH LEASE SHALL,
UNLESS OTHERWISE PROVIDED FOR, BE PAID ON THE CERTIFICATE OF THE SUPER-
INTENDENT AND THE AUDIT AND WARRANT OF THE COMPTROLLER.
3. Every paper executed by an officer of the department in pursuance
of authority conferred by law and sealed with the official seal of the
department shall be received in evidence, and may be recorded in the
proper recording offices in the same manner and with the same effect as
a deed regularly acknowledged.
[3.] 4. (a) Except as specified in paragraph (b) or (c) of this subdi-
vision, any report expressly required to be rendered to the superinten-
dent under any provision of this chapter, any report of an examination
made in accordance with any provision of this chapter, and any oath or
declaration of office received by the department shall be retained in
such form and for such period as the superintendent finds necessary and
proper. After such period the superintendent shall recommend disposal of
such material in accordance with the provisions of the arts and cultural
affairs law.
(b) Reports made in accordance with section twenty-eight-b of this
[chapter] ARTICLE or pursuant to the rules and regulations of the bank-
ing board promulgated in connection with assessing a banking organiza-
tion's record of performance in meeting the credit needs of local commu-
nities within the meaning of section twenty-eight-b of this [chapter]
ARTICLE, including reports expressly required to be rendered to the
superintendent and reports of examinations may be destroyed at the
direction of the superintendent and in accordance with the provisions of
the arts and cultural affairs law after three years from date of receipt
thereof, provided any such report has first been photographed, micropho-
tographed or otherwise reproduced. Each such reproduction shall be
retained in the files of the department for a period of at least fifteen
years from the date of the last received report, oath or declaration
appearing thereon. After the expiration of such period, such reprod-
uction may be destroyed at the direction of the superintendent and in
accordance with the provisions of the arts and cultural affairs law.
Such reproduction thereof shall be deemed, for any purpose, the equiv-
alent of the original of such report. Any such report not so reproduced
shall be retained in the files of the department for a period of at
least fifteen years from the date of receipt thereof, after which it may
be destroyed at the direction of the superintendent and in accordance
with the provisions of the arts and cultural affairs law.
(c) This subdivision shall not apply to any records, documents or
correspondence referred to in subdivision four of section six hundred
twenty-seven of this chapter.
[4.] 5. Any communication from the [banking] department to any person,
partnership, corporation or other entity may contain a direction that
such communication shall be presented to the controlling owners or prin-
cipal management of such entity, members of such partnership or to the
board of directors or trustees of such corporation. A communication
containing such direction shall be for the purposes of this chapter an
official communication. The superintendent may, in his or her
discretion, notify in writing each owner or principal manager of such
A. 9709--B 126
entity, every member of such partnership and every director or trustee
of such corporation of the sending of such a communication and, in that
event the notification shall state the date of such communication.
S 26. Paragraphs 17 and 41 of subsection (a) of section 107 of the
insurance law are amended to read as follows:
(17) "Department" means the [insurance] department OF FINANCIAL
SERVICES of this state.
(41) "Superintendent" means the superintendent of [insurance] FINAN-
CIAL SERVICES of this state.
S 27. Paragraph (b) of subdivision 1 of section 169 of the executive
law, as amended by section 1 of part F of chapter 56 of the laws of
2005, is amended to read as follows:
(b) commissioner of labor, chairman of public service commission,
commissioner of taxation and finance, superintendent of [banks] FINAN-
CIAL SERVICES, commissioner of criminal justice services, [superinten-
dent of insurance,] and commissioner of parks, recreation and historic
preservation;
S 28. Severability. If any clause, sentence, paragraph, section or
part of this act shall be adjudged by any court of competent jurisdic-
tion to be invalid, such judgment shall not affect, impair or invalidate
the remainder thereof, but shall be confined in its operation to the
clause, sentence, paragraph, section or part thereof directly involved
in the controversy in which such judgment shall have been rendered.
S 29. This act shall take effect January 1, 2011.
PART RR
Section 1. Temporary task force for the creation of an authority for
energy and economic development. 1. There is hereby created the tempo-
rary task force for energy and economic development to study and make
recommendations on the feasibility of a merger and consolidation of the
urban development corporation, the empire state development corporation,
the job development authority, the New York state energy research and
development authority, and the New York state foundation for science,
technology and innovation. Such task force shall conduct a thorough
study, research, and inquiry into: (a) how the coordination of the
state's effort in areas of energy consumption, renewable energy explora-
tion, economic development, environmental conservation, and job creation
could be maximized by the creation of a single authority; and (b) how an
authority with oversight over these areas could be a more efficient and
effective mechanism in the utilization of available resources and
provide a new model of statewide development, growth, and cooperation
that will advance stronger programs to further the state's goals.
2. Not later than thirty days from the effective date of this act,
there shall be a temporary task force for energy and economic develop-
ment established by the governor and legislature, consisting of eleven
board members. The governor shall appoint five members. Additionally,
two members shall be appointed by the temporary president of the senate,
two members by the speaker of the assembly, and one member each by the
minority leader of the senate and the minority leader of the assembly.
3. No board member shall be an officer, director, or employee of: the
urban development corporation, the empire state development corporation,
the job development authority, the New York state energy research and
development authority, or the New York state foundation for science,
technology and innovation. Furthermore, no board member, officer, or
employee of the task force shall be a party to or have any financial
A. 9709--B 127
interest in any project that receives financial assistance from any of
the entities listed in this subdivision.
4. The board shall designate one chair from among its members. The
board members of the task force, including the chair, shall serve with-
out compensation, but shall be compensated for their reasonable and
necessary expenses.
5. During its study and review, the task force may consider the
comments of advocates and experts from the following government and
private sectors, including but not limited to: energy, economic develop-
ment, banking, labor, engineering, agriculture, scientific research,
higher education, seed and high risk venture investment, environmental
conservation, renewable energy, public utility, manufacturing,
construction, and transportation.
6. In compiling its final report, the task force shall review and
evaluate: (a) the key programs and services of each of the entities
listed in subdivision three of this section, and the opportunities and
barriers to restructuring, merging, or consolidating such programs and
services; (b) the impact of such programs or services and the potential
opportunities for the coordination of efforts, prevention of duplication
of services, and sharing and maximization of resources; (c) the poten-
tial to enhance or facilitate the effectiveness of current or planned
renewable energy, economic development, job creation, and environmental
conservation programs; and (d) the increased ability to promote and
facilitate statewide planning of economic, energy, and environmental
needs.
7. Not later than November 15, 2010, the temporary task force shall
submit a final report to the governor, speaker of the assembly, and
temporary president of the senate.
S 2. This act shall take effect immediately and shall expire and be
deemed repealed June 30, 2011.
S 2. Severability clause. If any clause, sentence, paragraph, subdivi-
sion, section or part of this act shall be adjudged by any court of
competent jurisdiction to be invalid, such judgment shall not affect,
impair, or invalidate the remainder thereof, but shall be confined in
its operation to the clause, sentence, paragraph, subdivision, section
or part thereof directly involved in the controversy in which such judg-
ment shall have been rendered. It is hereby declared to be the intent of
the legislature that this act would have been enacted even if such
invalid provisions had not been included herein.
S 3. This act shall take effect immediately provided, however, that
the applicable effective date of Parts A through RR of this act shall be
as specifically set forth in the last section of such Parts.