[ ] is old law to be omitted.
LBD12670-02-2
S. 8005--A 2 A. 9005--A
of domestic violence (Part H); to amend the executive law, in relation
to awarding reimbursement for certain items of essential personal
property (Part I); to amend chapter 674 of the laws of 1993, amending
the public buildings law relating to value limitations on contracts,
in relation to extending the effectiveness thereof (Part J); to amend
the alcoholic beverage control law, in relation to allowing a munici-
pality to elect to receive notice by email (Part K); to amend the
alcoholic beverage control law, in relation to requiring certain
information to be requested in applications for licenses; and to
repeal certain provisions of such law relating thereto (Part L); to
amend chapter 396 of the laws of 2010 amending the alcoholic beverage
control law relating to liquidator's permits and temporary retail
permits, in relation to the effectiveness thereof (Part M); to amend
the election law, in relation to voter registration (Part N); to amend
the election law, in relation to the boundaries of election districts
and the designation of polling places (Part O); to amend the alcoholic
beverage control law, in relation to authorizing retail licensees for
on-premises consumption to sell and/or deliver alcoholic beverages for
off-premises consumption (Part P); to amend the general municipal law,
in relation to prohibiting nepotism and certain gifts and conflicts of
interest (Part Q); to amend the civil service law, in relation to
establishing continuing eligible lists (Part R); to amend the civil
service law, in relation to promotional examination eligibility (Part
S); to amend the civil service law, in relation to the transfer of
civil service sections 55-b and 55-c employees (Part T); to amend the
civil service law, in relation to eligibility for shift pay differen-
tials (Part U); to amend the civil practice law and rules and the
state finance law, in relation to the rate of interest to be paid on
judgment and accrued claims (Part V); to amend the general municipal
law, in relation to streamlining the county-wide shared services
initiative (Part W); to amend the state finance law, the tax law, and
the public authorities law, in relation to providing aid and incen-
tives for municipalities to towns and villages; and providing for the
repeal of certain provisions of the tax law relating thereto (Part X);
to provide for the administration of certain funds and accounts
related to the 2022-2023 budget, authorizing certain payments and
transfers; to amend the state finance law, in relation to the adminis-
tration of certain funds and accounts; to amend part D of chapter 389
of the laws of 1997 relating to the financing of the correctional
facilities improvement fund and the youth facility improvement fund,
in relation to the issuance of certain bonds or notes; to amend chap-
ter 81 of the laws of 2002 relating to providing for the adminis-
tration of certain funds and accounts related to the 2002-2003 budget,
in relation to the issuance of certain bonds & notes; to amend part Y
of chapter 61 of the laws of 2005, relating to providing for the
administration of certain funds and accounts related to the 2005-2006
budget, in relation to the issuance of certain bonds or notes; to
amend the public authorities law, in relation to the issuance of
certain bonds or notes; to amend the New York state medical care
facilities finance agency act, in relation to the issuance of certain
bonds or notes; to amend the New York state urban development corpo-
ration act, in relation to the issuance of certain bonds or notes; to
amend chapter 329 of the laws of 1991, amending the state finance law
and other laws relating to the establishment of the dedicated highway
and bridge trust fund, in relation to the issuance of certain bonds or
notes; to amend the public authorities law, in relation to the issu-
S. 8005--A 3 A. 9005--A
ance of certain bonds or notes; to amend the private housing finance
law, in relation to housing program bonds and notes; to amend part D
of chapter 63 of the laws of 2005, relating to the composition
and responsibilities of the New York state higher education capital
matching grant board, in relation to increasing the amount of
authorized matching capital grants; to amend the New York state urban
development corporation act, in relation to the nonprofit infrastruc-
ture capital investment program; to amend the New York state urban
development corporation act, in relation to personal income tax notes
for 2022, in relation to authorizing the dormitory authority of the
state of New York and the urban development corporation to enter into
line of credit facilities for 2022, and in relation to state-supported
debt issued during the 2022 fiscal year; to amend the state finance
law, in relation to payments of bonds; to amend the state finance law,
in relation to the mental health services fund; to amend the state
finance law, in relation to the issuance of revenue bonds; to repeal
subdivisions 4 and 5 of section 16 of part T of chapter 57 of the laws
of 2007, relating to providing for the administration of certain funds
and accounts related to the 2007-2008 budget; and providing for the
repeal of certain provisions upon expiration thereof (Part Y); to
establish the "independent ethics commission reform act of 2022"; to
amend the executive law, in relation to creating the independent
commission on ethics and lobbying in government, and to repeal certain
provisions of such law relating thereto; and to amend the legislative
law, the public officers law, and the executive law, in relation to
making technical corrections thereto (Part Z); to amend the criminal
procedure law and the correction law, in relation to automatic sealing
of certain convictions (Part AA); and to amend the correction law, in
relation to employment by a private sector entity or as part of a
prison industries certification program authorized by the United
States (Part BB)
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
necessary to implement the state public protection and general govern-
ment budget for the 2022-2023 state fiscal year. Each component is whol-
ly contained within a Part identified as Parts A through BB. The effec-
tive 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, including 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. Section 3 of part E of chapter 55 of the laws of 2020,
amending the state finance law relating to establishing the criminal
justice discovery compensation fund; amending the criminal procedure law
relating to monies recovered by county district attorneys before the
filing of an accusatory instrument; and providing for the repeal of
S. 8005--A 4 A. 9005--A
certain provisions upon expiration thereof, is amended to read as
follows:
§ 3. This act shall take effect immediately; provided, however, [that
subdivision 2 of section 99-hh of the state finance law, as added by
section one of this act, shall expire and be deemed repealed March 31,
2022, and provided, further] that the amendments to section 95.00 of the
criminal procedure law made by section two of this act shall not affect
the repeal of such section and shall be deemed repealed therewith.
§ 2. This act shall take effect immediately and shall be deemed to
have been in full force and effect on and after March 31, 2022.
PART B
Section 1. Subdivision 1 of section 71 of the correction law is
amended by adding a new paragraph (c) to read as follows:
(C) NOTWITHSTANDING THE FOREGOING, INCARCERATED INDIVIDUALS WHO HAVE A
GENDER IDENTITY THAT DIFFERS FROM THEIR ASSIGNED SEX AT BIRTH, HAVE A
DIAGNOSIS OF GENDER DYSPHORIA, WHO IDENTIFY AS TRANSGENDER, GENDER
NONCONFORMING, OR NONBINARY, OR WHO ARE INTERSEX MAY BE RECEIVED AT A
CORRECTIONAL FACILITY DESIGNATED FOR MALES OR FEMALES. THE DEPARTMENT
SHALL ESTABLISH A MECHANISM BY WHICH INCARCERATED INDIVIDUALS WHO HAVE A
GENDER IDENTITY THAT DIFFERS FROM THEIR ASSIGNED SEX AT BIRTH, HAVE A
DIAGNOSIS OF GENDER DYSPHORIA, WHO IDENTIFY AS TRANSGENDER, GENDER
NONCONFORMING, OR NONBINARY, OR WHO ARE INTERSEX MAY REQUEST PLACEMENT
IN A FACILITY DESIGNATED FOR MALES OR FEMALES PRIOR TO RECEPTION.
§ 2. The correction law is amended by adding a new section 135 to read
as follows:
§ 135. PLACEMENT BASED ON GENDER IDENTITY. INCARCERATED INDIVIDUALS
WHO HAVE A GENDER IDENTITY THAT DIFFERS FROM THEIR ASSIGNED SEX AT
BIRTH, HAVE A DIAGNOSIS OF GENDER DYSPHORIA, WHO IDENTIFY AS TRANSGEN-
DER, GENDER NONCONFORMING, OR NONBINARY, OR WHO ARE INTERSEX MAY
REQUEST TO BE PLACED IN A CORRECTIONAL FACILITY WITH PERSONS OF THE
GENDER THAT IS CONSISTENT WITH SUCH PERSON'S GENDER IDENTITY.
(A) DECISIONS REGARDING THE PLACEMENT OF INCARCERATED INDIVIDUALS WHO
HAVE A GENDER IDENTITY THAT DIFFERS FROM THEIR ASSIGNED SEX AT BIRTH,
HAVE A DIAGNOSIS OF GENDER DYSPHORIA, WHO IDENTIFY AS TRANSGENDER,
GENDER NONCONFORMING, OR NONBINARY, OR WHO ARE INTERSEX IN A FACILITY
DESIGNATED FOR THE CONFINEMENT OF MALES OR FEMALES SHALL BE MADE ON A
CASE-BY-CASE BASIS, WITH CAREFUL CONSIDERATION GIVEN TO HOUSING CONSIST-
ENT WITH THE INDIVIDUAL'S GENDER IDENTITY, FOLLOWING AN INDIVIDUALIZED
AND INFORMED ASSESSMENT BUT SUBJECT TO DENIAL BASED ON SAFETY, SECURITY
OR HEALTH CONCERNS. THE DEPARTMENT SHALL PROVIDE A DETERMINATION IN
WRITING TO THE AFFECTED PERSON.
(B) IF AN INCARCERATED INDIVIDUAL RAISES CONCERNS FOR THEIR HEALTH OR
SAFETY AT ANY TIME, OR IF THEIR PLACEMENT RAISES SAFETY, SECURITY OR
HEALTH CONCERNS AT ANY TIME, THEIR HOUSING AND PLACEMENT SHALL BE REAS-
SESSED.
(C) ANY INCARCERATED INDIVIDUAL WHO HAS BEEN PLACED IN A FACILITY
CONSISTENT WITH THE INDIVIDUAL'S GENDER IDENTITY, MAY REQUEST AT ANY
TIME TO BE TRANSFERRED TO A FACILITY HOUSING INDIVIDUALS OF THEIR
ASSIGNED SEX AT BIRTH.
(I) IF GRANTED, SUCH REQUEST SHALL BE EFFECTUATED AS SOON AS PRACTICA-
BLE.
(II) ANY INCARCERATED INDIVIDUAL WHO HAS A GENDER IDENTITY THAT
DIFFERS FROM THEIR ASSIGNED SEX AT BIRTH, HAS A DIAGNOSIS OF GENDER
DYSPHORIA, WHO IDENTIFIES AS TRANSGENDER, GENDER NONCONFORMING, OR
S. 8005--A 5 A. 9005--A
NONBINARY, OR WHO IS INTERSEX WHO HAS DECLINED TO BE HOUSED IN A FACILI-
TY CONSISTENT WITH THE INDIVIDUAL'S GENDER IDENTITY, OR WHO HAS
REQUESTED TO LEAVE SUCH A PLACEMENT, MAY REQUEST TO HAVE THEIR PLACEMENT
REASSESSED IN ACCORDANCE WITH PROCEDURES ESTABLISHED BY THE COMMISSION-
ER.
§ 3. Section 137 of the correction law is amended by adding a new
subdivision 7 to read as follows:
7. THE COMMISSIONER SHALL PROMULGATE RULES AND REGULATIONS TO ENSURE
THE APPROPRIATE TREATMENT OF INCARCERATED INDIVIDUALS WHO HAVE A GENDER
IDENTITY THAT DIFFERS FROM THEIR ASSIGNED SEX AT BIRTH, HAVE A DIAGNOSIS
OF GENDER DYSPHORIA, WHO IDENTIFY AS TRANSGENDER, GENDER NONCONFORM-
ING, OR NONBINARY, OR WHO ARE INTERSEX SUCH THAT:
(A) INCARCERATED INDIVIDUALS WHO HAVE A GENDER IDENTITY THAT DIFFERS
FROM THEIR ASSIGNED SEX AT BIRTH, HAVE A DIAGNOSIS OF GENDER DYSPHORIA,
WHO IDENTIFY AS TRANSGENDER, GENDER NONCONFORMING, OR NONBINARY, OR
WHO ARE INTERSEX SHALL:
(I) HAVE ACCESS TO DEPARTMENT-ISSUED UNDERGARMENTS AND CLOTHING THAT
ARE CONSISTENT WITH THE INDIVIDUALS' GENDER IDENTITY, AND SHALL HAVE THE
ABILITY TO RECEIVE UNDERGARMENTS, CLOTHING AND PERSONAL CARE ITEMS
THROUGH PACKAGE PROCEDURES, SUBJECT TO GENDER-NEUTRAL RESTRICTIONS; AND
(II) HAVE THE RIGHT TO GENDER AFFIRMING MEDICAL AND MENTAL HEALTH CARE
CONSISTENT WITH THE COMMUNITY STANDARD OF CARE.
(III) THE ABSENCE OF A DOCUMENTED HISTORY OF GENDER VARIANCE SHALL NOT
PRECLUDE AN INCARCERATED INDIVIDUAL FROM SELF-IDENTIFICATION AS TRANS-
GENDER, GENDER NONCONFORMING, OR NONBINARY.
(B) NO EMPLOYEE OF THE DEPARTMENT SHALL MISGENDER ANY INDIVIDUAL IN
THE CARE OR CUSTODY OF THE DEPARTMENT BY INTENTIONALLY REFERRING TO
SOMEONE, INCLUDING BUT NOT LIMITED TO, A TRANSGENDER, GENDER NONCONFORM-
ING, NONBINARY OR INTERSEX PERSON, USING A WORD, PRONOUN OR FORM OF
ADDRESS THAT DOES NOT CORRECTLY REFLECT THE GENDER WITH WHICH THEY IDEN-
TIFY.
(C) EMPLOYEES OF THE DEPARTMENT SHALL ONLY USE INFORMATION PERTAINING
TO AN INCARCERATED INDIVIDUAL'S GENDER IDENTITY AND EXPRESSION AS NECES-
SARY FOR THE PERFORMANCE OF THEIR OFFICIAL DUTIES AND SHALL NOT REVEAL
ANY INFORMATION RELATED TO AN INCARCERATED INDIVIDUAL'S GENDER IDENTITY
AND EXPRESSION OTHER THAN TO THE EXTENT NECESSARY FOR LEGITIMATE OPERA-
TIONAL FUNCTIONS OF THE FACILITY OR THE DEPARTMENT.
(D) NO INCARCERATED INDIVIDUAL MAY BE DENIED ACCESS TO PROGRAMMING OR
EDUCATION BASED ON THEIR GENDER IDENTITY OR EXPRESSION.
(E) THE COMMISSIONER SHALL IMPLEMENT PROCEDURES FOR INCARCERATED INDI-
VIDUALS WHO HAVE A GENDER IDENTITY THAT DIFFERS FROM THEIR ASSIGNED SEX
AT BIRTH, HAVE A DIAGNOSIS OF GENDER DYSPHORIA, WHO IDENTIFY AS TRANS-
GENDER, GENDER NONCONFORMING, OR NONBINARY, OR WHO ARE INTERSEX TO
DESIGNATE THEIR GENDER PREFERENCE FOR PERSONAL SEARCHES.
(F) THE DEPARTMENT SHALL PROVIDE TRAINING ON THE PROVISIONS OF THIS
SUBDIVISION TO ALL PERSONNEL EVERY TWO YEARS.
(G) THE DEPARTMENT SHALL MAKE AVAILABLE DOCUMENTATION SUMMARIZING THE
PROVISIONS OF THIS SUBDIVISION TO INCARCERATED INDIVIDUALS WHO HAVE A
GENDER IDENTITY THAT DIFFERS FROM THEIR ASSIGNED SEX AT BIRTH, HAVE A
DIAGNOSIS OF GENDER DYSPHORIA, WHO IDENTIFY AS TRANSGENDER, GENDER
NONCONFORMING, OR NONBINARY, OR WHO ARE INTERSEX, AND SHALL WIDELY
DISTRIBUTE SUCH DOCUMENTATION SUCH THAT IT IS READILY ACCESSIBLE.
§ 4. Section 500-b of the correction law is amended by adding a new
subdivision 14 to read as follows:
14. NOTWITHSTANDING ANY OTHER PROVISION, INCARCERATED INDIVIDUALS WHO
HAVE A GENDER IDENTITY THAT DIFFERS FROM THEIR ASSIGNED SEX AT BIRTH,
S. 8005--A 6 A. 9005--A
HAVE A DIAGNOSIS OF GENDER DYSPHORIA, WHO IDENTIFY AS TRANSGENDER,
GENDER NONCONFORMING, OR NONBINARY, OR WHO ARE INTERSEX MAY REQUEST TO
BE PLACED IN A HOUSING UNIT DESIGNATED FOR INDIVIDUALS OF THE GENDER
THAT MOST CLOSELY ALIGNS WITH SUCH INDIVIDUALS' GENDER IDENTITY.
(A) DECISIONS REGARDING THE PLACEMENT OF INCARCERATED INDIVIDUALS WHO
HAVE A GENDER IDENTITY THAT DIFFERS FROM THEIR ASSIGNED SEX AT BIRTH,
HAVE A DIAGNOSIS OF GENDER DYSPHORIA, WHO IDENTIFY AS TRANSGENDER,
GENDER NONCONFORMING, OR NONBINARY, OR WHO ARE INTERSEX SHALL BE MADE ON
A CASE-BY-CASE BASIS, WITH CAREFUL CONSIDERATION GIVEN TO HOUSING MOST
CLOSELY ALIGNING WITH THE INDIVIDUALS' GENDER IDENTITY, FOLLOWING AN
INDIVIDUALIZED AND INFORMED ASSESSMENT BUT SUBJECT TO DENIAL BASED ON
SAFETY, SECURITY OR HEALTH CONCERNS. THE CHIEF ADMINISTRATIVE OFFICER
OR THEIR DESIGNEE SHALL PROVIDE A DETERMINATION IN WRITING TO THE
AFFECTED PERSON.
(B) IF AN INCARCERATED INDIVIDUAL PLACED IN A HOUSING UNIT CONSISTENT
WITH THE INDIVIDUAL'S GENDER IDENTITY OR EXPRESSION RAISES CONCERNS FOR
THEIR HEALTH OR SAFETY AT ANY TIME, OR IF THEIR PLACEMENT RAISES SAFETY,
SECURITY OR HEALTH CONCERNS AT ANY TIME, THEIR HOUSING AND PLACEMENT
SHALL BE REASSESSED.
(C) AN INCARCERATED INDIVIDUAL WHO HAS BEEN PLACED IN A HOUSING UNIT
CONSISTENT WITH THE INDIVIDUAL'S GENDER IDENTITY MAY REQUEST AT ANY TIME
TO BE TRANSFERRED TO A HOUSING UNIT HOUSING INDIVIDUALS OF THEIR
ASSIGNED SEX AT BIRTH.
(I) SUCH REQUEST SHALL BE REVIEWED AS SOON AS PRACTICABLE.
(II) AN INDIVIDUAL WHO HAS DECLINED TO BE HOUSED IN A HOUSING UNIT
CONSISTENT WITH THE INDIVIDUAL'S GENDER IDENTITY, OR WHO HAS REQUESTED
TO LEAVE SUCH A PLACEMENT, MAY REQUEST TO HAVE THEIR PLACEMENT REAS-
SESSED IN ACCORDANCE WITH PROCEDURES ESTABLISHED BY THE CHIEF ADMINIS-
TRATIVE OFFICER OR THEIR DESIGNEE.
§ 5. Subdivision 1 of section 500-k of the correction law, as sepa-
rately amended by chapters 93 and 322 of the laws of 2021, is amended to
read as follows:
1. Subdivisions five [and], six AND SEVEN of section one hundred thir-
ty-seven of this chapter, except paragraphs (d) and (e) of subdivision
six of such section, relating to the treatment of incarcerated individ-
uals in state correctional facilities are applicable to incarcerated
individuals confined in county jails; except that the report required by
paragraph (f) of subdivision six of such section shall be made to a
person designated to receive such report in the rules and regulations of
the state commission of correction, or in any county or city where there
is a department of correction, to the head of such department; AND THE
STATE COMMISSION OF CORRECTION SHALL PROMULGATE RULES AND REGULATIONS
WHICH PRESCRIBE THE MANNER IN WHICH SUBDIVISION SEVEN OF SECTION ONE
HUNDRED THIRTY-SEVEN OF THIS CHAPTER SHALL APPLY TO THE TREATMENT OF
INCARCERATED INDIVIDUALS WHO HAVE A GENDER IDENTITY THAT DIFFERS FROM
THEIR ASSIGNED SEX AT BIRTH, HAVE A DIAGNOSIS OF GENDER DYSPHORIA, WHO
IDENTIFY AS TRANSGENDER, GENDER NONCONFORMING, OR NONBINARY, OR WHO
ARE INTERSEX CONFINED IN LOCAL CORRECTIONAL FACILITIES.
§ 6. Subdivision (a) of section 601 of the correction law, as amended
by section 209 of chapter 322 of the laws of 2021, is amended to read as
follows:
(a) Whenever an incarcerated individual shall be delivered to the
superintendent of a state correctional facility pursuant to an indeter-
minate or determinate sentence, the officer so delivering such incarcer-
ated individual shall deliver to such superintendent, the sentence and
commitment or certificate of conviction, or a certified copy thereof,
S. 8005--A 7 A. 9005--A
and a copy of any order of protection pursuant to section 380.65 of the
criminal procedure law received by such officer from the clerk of the
court by which such incarcerated individual shall have been sentenced, a
copy of the report of the probation officer's investigation and report
or a detailed statement covering the facts relative to the crime and
previous history certified by the district attorney, a copy of the
incarcerated individual's fingerprint records, a detailed summary of
available medical records, psychiatric records and reports relating to
assaults, or other violent acts, attempts at suicide or escape by the
incarcerated individual while in the custody of the local correctional
facility, A COPY OF RECORDS REFLECTING THE INDIVIDUAL'S GENDER IDENTITY
AND GENDER-RELATED HOUSING REQUESTS; any such medical or psychiatric
records in the possession of a health care provider other than the local
correctional facility shall be summarized in detail and forwarded by
such health care provider to the medical director of the appropriate
state correctional facility upon request; the superintendent shall pres-
ent to such officer a certificate of the delivery of such incarcerated
individual, and the fees of such officer for transporting such incarcer-
ated individual shall be paid from the treasury upon the audit and
warrant of the comptroller. Whenever an incarcerated individual of the
state is delivered to a local facility, the superintendent shall forward
summaries of such records to the local facility with the incarcerated
individual.
§ 7. Subdivision (a) of section 601 of the correction law, as amended
by section 209-a of chapter 322 of the laws of 2021, is amended to read
as follows:
(a) Whenever an incarcerated individual shall be delivered to the
superintendent of a state correctional facility pursuant to an indeter-
minate or determinate sentence, the officer so delivering such incarcer-
ated individual shall deliver to such superintendent, the sentence and
commitment or certificate of conviction, or a certified copy thereof,
and a copy of any order of protection pursuant to section 380.65 of the
criminal procedure law received by such officer from the clerk of the
court by which such incarcerated individual shall have been sentenced, a
copy of the report of the probation officer's investigation and report
or a detailed statement covering the facts relative to the crime and
previous history certified by the district attorney, a copy of the
incarcerated individual's fingerprint records, a detailed summary of
available medical records, psychiatric records and reports relating to
assaults, or other violent acts, attempts at suicide or escape by the
incarcerated individual while in the custody of the local correctional
facility, A COPY OF RECORDS REFLECTING THE INDIVIDUAL'S GENDER IDENTITY
AND GENDER-RELATED HOUSING REQUESTS; any such medical or psychiatric
records in the possession of a health care provider other than the local
correctional facility shall be summarized in detail and forwarded by
such health care provider to the medical director of the appropriate
state correctional facility upon request; the superintendent shall pres-
ent to such officer a certificate of the delivery of such incarcerated
individual, and the fees of such officer for transporting such incarcer-
ated individual shall be paid from the treasury upon the audit and
warrant of the comptroller. Whenever an incarcerated individual of the
state is delivered to a local facility, the superintendent shall forward
summaries of such records to the local facility with the incarcerated
individual.
§ 8. This act shall take effect immediately; provided, however, that
section five of this act shall take effect on the same date and in the
S. 8005--A 8 A. 9005--A
same manner as section 13 of chapter 93 of the laws of 2021, takes
effect; provided, further, that the amendments to section 500-b of the
correction law made by section four of this act shall not affect the
repeal of such section and shall be deemed repealed therewith; and
provided, further, that the amendments to subdivision (a) of section 601
of the correction law made by section six of this act shall be subject
to the expiration and reversion of such subdivision pursuant to subdivi-
sion d of section 74 of chapter 3 of the laws of 1995, as amended when
upon such date the provisions of section seven of this act shall take
effect.
PART C
Section 1. Subparagraph i of paragraph (c) of subdivision 1 of
section 803-b of the correction law, as amended by chapter 322 of the
laws of 2021, is amended to read as follows,
(i) participates in no less than two years of college programming OR
PARTICIPATES IN ONE YEAR OF COLLEGE PROGRAMMING WHILE CONFINED IN A
GENERAL CONFINEMENT FACILITY AND THEREAFTER PARTICIPATES IN SIX MONTHS
OF COLLEGE PROGRAMMING WHILE A PARTICIPANT IN EDUCATIONAL RELEASE; or
§ 2. Subdivisions 4 and 7 of section 851 of the correction law, as
amended by chapter 322 of the laws of 2021, is amended to read as
follows:
4. "Furlough program" means a program under which eligible incarcerat-
ed individuals may be granted the privilege of leaving the premises of
an institution for a period not exceeding seven days for the purpose of
seeking employment, maintaining family ties, solving family problems,
seeking post-release housing, attending a short-term educational or
vocational training course, or for any matter necessary to the further-
ance of any such purposes. NOTWITHSTANDING THE PROVISIONS OF SUBDIVI-
SION TWO OF THIS SECTION, AN ELIGIBLE INCARCERATED INDIVIDUAL FOR THE
FURLOUGH PROGRAM SHALL ALSO INCLUDE AN INCARCERATED INDIVIDUAL WHO IS
NOT SERVING A SENTENCE FOR AN OFFENSE THAT WOULD RENDER SUCH PERSON
INELIGIBLE FOR THE LIMITED CREDIT TIME ALLOWANCE, AS SET FORTH IN
SECTION EIGHT HUNDRED THREE-B OF THIS CHAPTER, AND PROVIDED FURTHER THAT
SUCH INCARCERATED INDIVIDUAL HAS SUCCESSFULLY PARTICIPATED IN COLLEGE
PROGRAMMING WHILE INCARCERATED WITH THE DEPARTMENT IN A GENERAL CONFINE-
MENT FACILITY FOR A PERIOD OF AT LEAST ONE YEAR, AND IS PRESENTLY
SUCCESSFULLY PARTICIPATING IN COLLEGE PROGRAMMING THROUGH EDUCATIONAL
LEAVE AS PROVIDED FOR IN SUBDIVISION SEVEN OF THIS SECTION.
7. "Educational leave" means a privilege granted to an eligible incar-
cerated individual to leave the premises of an institution for a period
not exceeding fourteen hours in any day for the purpose of education or
vocational training, or for any matter necessary to the furtherance of
any such purposes. NOTWITHSTANDING THE PROVISIONS OF SUBDIVISION TWO OF
THIS SECTION, AN ELIGIBLE INCARCERATED INDIVIDUAL FOR EDUCATIONAL LEAVE
SHALL ALSO INCLUDE AN INCARCERATED INDIVIDUAL WHO IS NOT SERVING A
SENTENCE FOR AN OFFENSE THAT WOULD RENDER SUCH PERSON INELIGIBLE FOR THE
LIMITED CREDIT TIME ALLOWANCE, AS SET FORTH IN SECTION EIGHT HUNDRED
THREE-B OF THIS CHAPTER, AND PROVIDED FURTHER THAT SUCH INCARCERATED
INDIVIDUAL HAS SUCCESSFULLY PARTICIPATED IN COLLEGE PROGRAMMING WHILE
INCARCERATED WITH THE DEPARTMENT IN A GENERAL CONFINEMENT FACILITY FOR A
PERIOD OF AT LEAST ONE YEAR.
§ 3. This act shall take effect on April 1, 2022; provided, however,
that the amendments to subdivisions 4 and 7 of section 851 of the
S. 8005--A 9 A. 9005--A
correction law made by section two of this act shall not affect the
expiration of such section and shall be deemed expired therewith.
PART D
Section 1. Subdivision 9 of section 201 of the correction law is
REPEALED.
§ 2. This act shall take effect immediately.
PART E
Section 1. Subdivision (a) of section 601 of the correction law, as
amended by section 209 of chapter 322 of the laws of 2021, is amended to
read as follows:
(a) Whenever an incarcerated individual shall be delivered to the
superintendent of a state correctional facility pursuant to an indeter-
minate or determinate sentence, the officer so delivering such incarcer-
ated individual shall deliver to such superintendent, the sentence and
commitment or certificate of conviction, or a certified copy thereof,
and a copy of any order of protection pursuant to section 380.65 of the
criminal procedure law received by such officer from the clerk of the
court by which such incarcerated individual shall have been sentenced, a
copy of the report of the probation officer's investigation and report
or a detailed statement covering the facts relative to the crime and
previous history certified by the district attorney, a copy of the
incarcerated individual's fingerprint records, a detailed summary of
available medical records, psychiatric records and reports relating to
assaults, or other violent acts, attempts at suicide or escape by the
incarcerated individual while in the custody of the local correctional
facility; any such medical or psychiatric records in the possession of a
health care provider other than the local correctional facility shall be
summarized in detail and forwarded by such health care provider to the
medical director of the appropriate state correctional facility upon
request; the superintendent shall present to such officer a certificate
of the delivery of such incarcerated individual, and the fees of such
officer for transporting such incarcerated individual shall be paid from
the treasury upon the audit and warrant of the comptroller. THE
SENTENCE AND COMMITMENT OR CERTIFICATE OF CONVICTION SHALL BE DEEMED TO
GRANT AUTHORIZATION TO THE DEPARTMENT OF CORRECTIONS AND COMMUNITY
SUPERVISION TO REQUEST A CERTIFIED COPY OR CERTIFIED TRANSCRIPT OF BIRTH
ON BEHALF OF AN INCARCERATED INDIVIDUAL, WHEN SUCH REQUEST IS MADE
PURSUANT TO SUBDIVISION FOUR OF SECTION FOUR THOUSAND ONE HUNDRED SEVEN-
TY-FOUR OF THE PUBLIC HEALTH LAW OR SECTION FOUR THOUSAND ONE HUNDRED
SEVENTY-NINE OF SUCH LAW. Whenever an incarcerated individual of the
state is delivered to a local facility, the superintendent shall forward
summaries of such records to the local facility with the incarcerated
individual.
§ 2. Subdivision 4 of section 4174 of the public health law, as
amended by chapter 322 of the laws of 2021, is amended to read as
follows:
4. No fee shall be charged for a search, certification, certificate,
certified copy or certified transcript of a record to be used for school
entrance, employment certificate or for purposes of public relief or
when required by the veterans administration to be used in determining
the eligibility of any person to participate in the benefits made avail-
able by the veterans administration or when required by a board of
S. 8005--A 10 A. 9005--A
elections for the purposes of determining voter eligibility or when
requested by the department of corrections and community supervision or
a local correctional facility as defined in subdivision sixteen of
section two of the correction law for the purpose of providing a certi-
fied copy or certified transcript of birth to an incarcerated individual
in anticipation of such incarcerated individual's release from custody
or to obtain a death certificate to be used for administrative purposes
for an incarcerated individual who has died under custody or when
requested by the office of children and family services or an authorized
agency for the purpose of providing a certified copy or certified tran-
script of birth to a youth placed in the care and custody or custody and
guardianship of the local commissioner of social services or the care
and custody or custody and guardianship of the office of children and
family services in anticipation of such youth's discharge from placement
or foster care. WHENEVER A REQUEST IS MADE BY THE DEPARTMENT OF
CORRECTIONS AND COMMUNITY SUPERVISION FOR A CERTIFIED COPY OR CERTIFIED
TRANSCRIPT OF BIRTH ON BEHALF OF AN INCARCERATED INDIVIDUAL PURSUANT TO
THIS SECTION, A CERTIFIED COPY OF THE SENTENCE AND COMMITMENT OR CERTIF-
ICATE OF CONVICTION SHALL BE DEEMED TO GRANT AUTHORIZATION BY THE INCAR-
CERATED INDIVIDUAL TO THE DEPARTMENT TO SUBMIT SUCH REQUEST ON THEIR
BEHALF, AND NO OTHER AUTHORIZATION SHALL BE REQUIRED.
§ 3. Section 4179 of the public health law, as amended by chapter 322
of the laws of 2021, is amended to read as follows:
§ 4179. Vital records; fees; city of New York. Notwithstanding the
provisions of paragraph one of subdivision a of section 207.13 of the
health code of the city of New York, the department of health shall
charge, and the applicant shall pay, for a search of two consecutive
calendar years under one name and the issuance of a certificate of
birth, death or termination of pregnancy, or a certification of birth or
death, or a certification that the record cannot be found, a fee of
fifteen dollars for each copy. Provided, however, that no such fee shall
be charged when the department of corrections and community supervision
or a local correctional facility as defined in subdivision sixteen of
section two of the correction law requests a certificate of birth or
certification of birth for the purpose of providing such certificate of
birth or certification of birth to an incarcerated individual in antic-
ipation of such incarcerated individual's release from custody or to
obtain a death certificate to be used for administrative purposes for an
incarcerated individual who has died under custody or when the office of
children and family services or an authorized agency requests a certi-
fied copy or certified transcript of birth for a youth placed in the
custody of the local commissioner of social services or the custody of
the office of children and family services pursuant to article three of
the family court act for the purpose of providing such certified copy or
certified transcript of birth to such youth in anticipation of discharge
from placement. WHENEVER A REQUEST IS MADE BY THE DEPARTMENT OF
CORRECTIONS AND COMMUNITY SUPERVISION FOR A CERTIFIED COPY OR CERTIFIED
TRANSCRIPT OF BIRTH ON BEHALF OF AN INCARCERATED INDIVIDUAL PURSUANT TO
THIS SECTION, A CERTIFIED COPY OF THE SENTENCE AND COMMITMENT OR CERTIF-
ICATE OF CONVICTION SHALL BE DEEMED TO GRANT AUTHORIZATION BY THE INCAR-
CERATED INDIVIDUAL TO THE DEPARTMENT TO SUBMIT SUCH REQUEST ON THEIR
BEHALF, AND NO OTHER AUTHORIZATION SHALL BE REQUIRED.
§ 4. This act shall take effect on September 1, 2022; provided, howev-
er, that the amendments to subdivision (a) of section 601 of the
correction law made by section one of this act shall not affect the
expiration of such subdivision and shall be deemed to expire therewith.
S. 8005--A 11 A. 9005--A
PART F
Section 1. Section 259-b of the executive law is amended by adding a
new subdivision 8 to read as follows:
8. MEMBERS OF THE BOARD SHALL DEVOTE THEIR ENTIRE TIME TO THE DUTIES
OF THEIR OFFICE AND SHALL NOT PRACTICE IN THEIR RESPECTIVE PROFESSION OR
CALLINGS.
§ 2. This act shall take effect on the thirtieth day after it shall
have become a law.
PART G
Section 1. Paragraph (b) of subdivision 6 of section 186-f of the tax
law, as amended by section 1 of part I of chapter 55 of the laws of
2020, is amended to read as follows:
(b) The sum of one million five hundred thousand dollars must be
deposited into the New York state emergency services revolving loan fund
annually; provided, however, that such sums shall not be deposited for
state fiscal years two thousand eleven--two thousand twelve, two thou-
sand twelve--two thousand thirteen, two thousand fourteen--two thousand
fifteen, two thousand fifteen--two thousand sixteen, two thousand
sixteen--two thousand seventeen, two thousand seventeen--two thousand
eighteen, two thousand eighteen--two thousand nineteen, two thousand
nineteen--two thousand twenty, two thousand twenty--two thousand twen-
ty-one [and], two thousand twenty-one--two thousand twenty-two, TWO
THOUSAND TWENTY-TWO--TWO THOUSAND TWENTY-THREE, AND TWO THOUSAND TWEN-
TY-THREE--TWO THOUSAND TWENTY-FOUR;
§ 2. This act shall take effect April 1, 2022.
PART H
Section 1. Paragraphs 4 and 5 of subdivision (a) of section 4510 of
the civil practice law and rules, as added by chapter 309 of the laws of
2021, are amended to read as follows:
4. "Domestic violence program" means a residential program for victims
of domestic violence or a non-residential program for victims of domes-
tic violence as defined in section four hundred fifty-nine-a of the
social services law [or], any similar program operated by an Indian
tribe, as defined by section two of the Indian law, OR ANY OTHER PROGRAM
OPERATED BY A NOT-FOR-PROFIT ORGANIZATION OR LOCAL SOCIAL SERVICES
DISTRICT, FOR THE PURPOSE OF PROVIDING NON-RESIDENTIAL SERVICES TO
VICTIMS OF DOMESTIC VIOLENCE, INCLUDING, BUT NOT LIMITED TO, INFORMATION
AND REFERRAL SERVICES, ADVOCACY, COUNSELING, AND COMMUNITY EDUCATION AND
OUTREACH ACTIVITIES AND PROVIDING OR ARRANGING FOR HOTLINE SERVICES.
5. "Domestic violence advocate" means any person who is acting under
the direction and supervision of a [licensed and approved] domestic
violence program and has satisfied the training standards required by
the office of children and family services AND THE OFFICE FOR THE
PREVENTION OF DOMESTIC VIOLENCE.
§ 2. Section 575 of the executive law is amended by adding a new
subdivision 11 to read as follows:
11. DOMESTIC VIOLENCE ADVOCATE CERTIFICATION. (A) THE OFFICE SHALL, IN
COORDINATION WITH THE OFFICE OF CHILDREN AND FAMILY SERVICES, THE OFFICE
FOR VICTIM SERVICES, AND THE DEPARTMENT OF HEALTH, AND IN CONSULTATION
WITH THE NEW YORK STATE COALITION AGAINST DOMESTIC VIOLENCE, THE NEW
YORK STATE COALITION AGAINST SEXUAL ASSAULT, AND STATE ADVOCACY ORGAN-
S. 8005--A 12 A. 9005--A
IZATIONS FOR THE PREVENTION OF DOMESTIC AND GENDER-BASED VIOLENCE,
PROMULGATE RULES AND REGULATIONS WHICH ESTABLISH:
(I) MINIMUM TRAINING STANDARDS FOR DOMESTIC VIOLENCE ADVOCATES, AS
DEFINED IN SECTION FORTY-FIVE HUNDRED TEN OF THE CIVIL PRACTICE LAW AND
RULES; AND
(II) PROCEDURES FOR CERTIFICATION OF CURRENT AND FUTURE DOMESTIC
VIOLENCE ADVOCATES, INCLUDING VOLUNTEER ADVOCATES, PROVIDED SUCH DOMES-
TIC VIOLENCE ADVOCATES HAVE MET THE MINIMUM TRAINING STANDARDS AS SET
FORTH IN THIS SUBDIVISION.
(B) MINIMUM TRAINING STANDARDS ESTABLISHED BY THE OFFICE MUST INCLUDE
THIRTY HOURS OF PRE-SERVICE TRAINING AND WITHIN THE FIRST YEAR OF
SERVICE AND AT LEAST TEN HOURS OF IN-SERVICE TRAINING FOR DOMESTIC
VIOLENCE COUNSELORS. THIS TRAINING SHALL INCLUDE BUT NOT BE LIMITED TO,
INSTRUCTION ON THE FOLLOWING:
(I) CLIENT-COUNSELOR CONFIDENTIALITY REQUIREMENTS;
(II) CHILD ABUSE AND MALTREATMENT IDENTIFICATION AND REPORTING RESPON-
SIBILITIES;
(III) THE DYNAMICS OF DOMESTIC AND GENDER-BASED VIOLENCE;
(IV) CRISIS INTERVENTION TECHNIQUES;
(V) COMMUNICATION SKILLS AND INTERVENTION TECHNIQUES WITH A FOCUS ON
TRAUMA INFORMED SERVICE DELIVERY;
(VI) AN OVERVIEW OF THE STATE CRIMINAL JUSTICE SYSTEM;
(VII) AN UPDATE AND REVIEW OF STATE LAWS ON DOMESTIC VIOLENCE, SEXUAL
OFFENSES, SEXUAL ABUSE AND INCEST;
(VIII) THE AVAILABILITY OF PUBLICLY-FUNDED AND COMMUNITY RESOURCES FOR
CLIENTS;
(IX) ACCESSING AND APPLYING FOR STATE AND FEDERAL FUNDING STREAMS
DEDICATED TO THE PROVISION OF SERVICES FOR VICTIMS OF DOMESTIC VIOLENCE;
(X) DIVERSITY AND INCLUSION WHICH INCLUDES UNDERSTANDING HOW CULTURE,
ETHNICITY, RELIGION, SEXUALITY AND/OR GENDER IDENTITY/EXPRESSION CAN
INFLUENCE/IMPACT DOMESTIC VIOLENCE VICTIMS, AND HOW TO PROVIDE SERVICES
TO VICTIMS IN A RESPECTFUL MANNER SO AS TO INCREASE THE QUALITY OF
SERVICES AND PROVIDE BETTER OUTCOMES; AND
(XI) INFORMATION ON THE AVAILABILITY OF MEDICAL AND LEGAL ASSISTANCE
FOR SUCH CLIENTS.
(C) MINIMUM TRAINING STANDARDS ESTABLISHED BY THE OFFICE MAY PROVIDE
FOR SUBSTITUTION OF CERTAIN EXPERIENCE FOR ANY PROVISION OF THE TRAINING
STANDARDS.
(D) MINIMUM TRAINING STANDARDS ESTABLISHED BY THE OFFICE MUST PROVIDE
THAT ANY PERSON WHO HAS BEEN CERTIFIED BY AN APPROVED RAPE CRISIS
PROGRAM AS HAVING SATISFIED THE TRAINING STANDARDS SPECIFIED IN SUBDIVI-
SION FIFTEEN OF SECTION TWO HUNDRED SIX OF THE PUBLIC HEALTH LAW, AS
ADDED BY CHAPTER FOUR HUNDRED THIRTY-TWO OF THE LAWS OF NINETEEN HUNDRED
NINETY-THREE, BE DEEMED TO HAVE MET THE MINIMUM TRAINING STANDARDS FOR
DOMESTIC VIOLENCE ADVOCATES.
(E) THERE SHALL BE ESTABLISHED WITHIN THE OFFICE A GENDER-BASED
VIOLENCE TRAINING INSTITUTE FOR THE PURPOSE OF PROVIDING GUIDANCE,
TRAINING AND TECHNICAL ASSISTANCE TO DOMESTIC AND GENDER-BASED VIOLENCE
PROGRAMS TO IMPLEMENT TRAINING PROGRAMS IN ACCORDANCE WITH THE MINIMUM
STANDARDS SET FORTH IN THIS SUBDIVISION.
§ 3. The office of children and family services and the New York state
department of health shall review all rules and regulations related to
training of domestic violence advocates, rape crisis counselors, and
staff of licensed and approved domestic violence programs and rape
crisis programs, and ensure such rules and regulations are updated
S. 8005--A 13 A. 9005--A
consistent with the provisions of section two of this act no later than
one year after it shall have become a law.
§ 4. This act shall take effect immediately; provided that section one
of this act shall take effect one year after it shall have become a law.
PART I
Section 1. Subdivision 8 of section 621 of the executive law, as added
by chapter 197 of the laws of 1983, is amended to read as follows:
8. "Essential personal property" shall mean articles of personal prop-
erty necessary and essential to the health[, welfare] or safety of the
victim.
§ 2. Subdivision 9 of section 631 of the executive law, as amended by
chapter 487 of the laws of 2014, is amended to read as follows:
9. Any award made for the cost of repair or replacement of essential
personal property, including cash losses of essential personal property,
shall be limited to an amount of [five] TWENTY-FIVE hundred dollars,
except that all cash losses of essential personal property shall be
limited to the amount of one hundred dollars. In the case of medically
necessary life-sustaining equipment which was lost or damaged as the
direct result of a crime, the award shall be limited to the amount of
ten thousand dollars.
§ 3. This act shall take effect on the one hundred eightieth day after
it shall have become a law and apply to all claims filed on or after
such effective date.
PART J
Section 1. Section 3 of chapter 674 of the laws of 1993, amending the
public buildings law relating to value limitations on contracts, as
amended by section 2 of part HH of chapter 55 of the laws of 2019, is
amended to read as follows:
§ 3. This act shall take effect immediately and shall remain in full
force and effect only until June 30, [2022] 2027.
§ 2. This act shall take effect immediately.
PART K
Section 1. Section 110-b of the alcoholic beverage control law is
amended by adding a new subdivision 6-a to read as follows:
6-A. SUCH NOTIFICATION MAY BE MADE BY EMAIL, PROVIDED THE MUNICIPALITY
IN WHICH THE PREMISES IS LOCATED ELECTS TO TAKE SERVICE IN SUCH FORM.
SUCH AN ELECTION SHALL BE IN A WRITING SIGNED BY THE AUTHORIZED AGENT OR
CLERK OF THE MUNICIPALITY. PROOF OF EMAIL SERVICE SHALL BE PROVIDED TO
THE AUTHORITY IN THE FORM OF AN EMAIL FROM THE MUNICIPALITY THAT REASON-
ABLY IDENTIFIES THE APPLICANT, OR BY OTHER SUCH FORMS OF PROOF AS DETER-
MINED BY THE AUTHORITY.
§ 2. This act shall take effect immediately.
PART L
Section 1. Subdivision one of Section 110 of the alcoholic beverage
control law is REPEALED and new subdivisions one and one-a are added to
read as follows:
§ 110. AN APPLICATION FOR A LICENSE ISSUED UNDER THIS CHAPTER SHALL
CONTAIN THE FOLLOWING INFORMATION OR DOCUMENTATION:
S. 8005--A 14 A. 9005--A
1. THE NAME, TRADE NAME, IF ANY, BUSINESS ADDRESS, ADDRESS OF THE
PROPOSED LICENSED PREMISES, TELEPHONE NUMBER, EMAIL ADDRESS AND SOCIAL
SECURITY OR FEDERAL EMPLOYER IDENTIFICATION NUMBER OF THE APPLICANT.
1-A. THE FOLLOWING INFORMATION FOR EACH PRINCIPAL OF THE APPLICANT:
(A) NAME;
(B) DATE AND PLACE OF BIRTH;
(C) PERMANENT HOME ADDRESS;
(D) TELEPHONE NUMBER AND EMAIL ADDRESS;
(E) SOCIAL SECURITY NUMBER;
(F) RESIDENTIAL ADDRESS OR ADDRESSES AND EMPLOYMENT HISTORY FOR THE
FIVE YEARS PRECEDING THE FILING OF THE APPLICATION;
(G) A LIST OF ANY LICENSES TO TRAFFIC IN ALCOHOLIC BEVERAGES HELD OR
APPLIED FOR BY THE INDIVIDUAL;
(H) A STATEMENT AS TO WHETHER THE PRINCIPAL HAS A CRIMINAL CONVICTION
THAT WOULD PROHIBIT THE INDIVIDUAL FROM HOLDING A LICENSE ISSUED UNDER
THIS CHAPTER;
(I) THE STREET AND NUMBER OF THE PROPOSED LICENSED PREMISES;
(J) DRAWINGS, INCLUDING A FLOOR PLAN, DEPICTING THE APPEARANCE OF THE
INTERIOR OR EXTERIOR OF THE PROPOSED LICENSED PREMISES AS WELL AS A PLOT
MAP OF THE GENERAL AREA WHERE THE PROPOSED LICENSED PREMISES WILL BE
LOCATED;
(K) A STATEMENT THAT THE LOCATION AND LAYOUT OF THE PREMISES TO BE
LICENSED DOES NOT VIOLATE ANY REQUIREMENT OF THIS CHAPTER OR ANY LOCAL
REGULATION RELATING TO LOCATION AND LAYOUT OF LICENSED PREMISES;
(L) A DESCRIPTION OF THE TYPE OF ESTABLISHMENT, INCLUDING BUT NOT
LIMITED TO A RESTAURANT, HOTEL, TAVERN, OR GROCERY STORE, TO BE OPERATED
AT THE PREMISES WHICH SHALL INCLUDE, FOR ON-PREMISES LICENSES, SUCH
OTHER INFORMATION AS MAY BE REQUIRED BY THE AUTHORITY;
(M) FOR APPLICATIONS FOR ON-PREMISES LICENSES, A STATEMENT INDICATING
WHETHER THE PREMISES WILL HAVE TOPLESS ENTERTAINMENT AND/OR EXOTIC DANC-
ING, WHETHER TOPLESS OR OTHERWISE, INCLUDING, BUT NOT LIMITED TO, POLE
DANCING AND LAP DANCING, AT THE PREMISES ALONG WITH ANY OTHER INFORMA-
TION REQUIRED BY THE AUTHORITY TO IDENTIFY THE APPLICANT'S METHOD OF
OPERATION;
(N) A STATEMENT EXPLAINING HOW THE APPLICANT HAS CONTROL OF THE PREM-
ISES, EITHER BY: OWNERSHIP OF A FEE INTEREST; A LEASE; A MANAGEMENT OR
OTHER AGREEMENT GIVING THE APPLICANT CONTROL OVER THE FOOD AND BEVERAGE
OPERATIONS AT THE PREMISES; OR A BINDING AGREEMENT TO OBTAIN SUCH OWNER-
SHIP, LEASE OR AGREEMENT;
(O) A LIST OF THE FUNDS BEING INVESTED INTO THE LICENSED BUSINESS AND
THE ANTICIPATED EXPENSES TO START THE BUSINESS;
(P) THE NAME OF ANY INDIVIDUAL NOT LISTED IN THIS SUBDIVISION WHO HAS
A FINANCIAL INTEREST IN THE LICENSED BUSINESS THROUGH A LOAN, GIFT OF
FUNDS, PERCENTAGE OF REVENUE, ETC.; AND
(Q) THE FINGERPRINTS OF THE INDIVIDUALS NAMED IN THIS SUBDIVISION
WHICH SHALL BE TRANSMITTED TO THE DIVISION OF CRIMINAL JUSTICE SERVICES.
FOR PURPOSES OF THIS SUBDIVISION, PRINCIPAL MEANS: IF THE APPLICANT IS
AN INDIVIDUAL, THAT INDIVIDUAL; IF THE APPLICANT IS A PARTNERSHIP, ANY
INDIVIDUAL OWNING, DIRECTLY OR INDIRECTLY, TEN PERCENT OR MORE OF THE
PARTNERSHIP; IF THE APPLICANT IS A CORPORATION, THE OFFICERS AND DIREC-
TORS OF THE CORPORATION AND ANY INDIVIDUAL OWNING, DIRECTLY OR INDIRECT-
LY, TEN PERCENT OR MORE OF THE CORPORATION; IF THE APPLICANT IS A LIMIT-
ED LIABILITY COMPANY, THE MANAGING MEMBERS AND ANY INDIVIDUAL OWNING,
DIRECTLY OR INDIRECTLY, TEN PERCENT OR MORE OF THE LIMITED LIABILITY
COMPANY.
S. 8005--A 15 A. 9005--A
§ 2. This act shall take effect on the ninetieth day after it shall
have become a law; provided that any license application pending or
filed with the authority on or after the effective date of this act
shall be subject to section one of this act.
PART M
Section 1. Section 5 of chapter 396 of the laws of 2010 amending the
alcoholic beverage control law relating to liquidator's permits and
temporary retail permits, as amended by chapter 375 of the laws of 2021,
is amended to read as follows:
§ 5. This act shall take effect on the sixtieth day after it shall
have become a law[, provided that paragraph (b) of subdivision 1 of
section 97-a of the alcoholic beverage control law as added by section
two of this act shall expire and be deemed repealed October 12, 2022].
§ 2. This act shall take effect immediately.
PART N
Section 1. Subdivision 3 of section 5-210 of the election law, as
amended by chapter 255 of the laws of 2015, is amended to read as
follows:
3. Completed application forms, when received by any board of
elections and, with respect to application forms promulgated by the
federal election commission, when received by the state board of
elections, or showing a dated cancellation mark of the United States
Postal Service or contained in an envelope showing such a dated cancel-
lation mark which is not later than the [twenty-fifth] FIFTEENTH day
before the next ensuing primary, general or special election, and
received no later than the [twentieth] TENTH day before such election,
or delivered in person to such board of elections not later than the
tenth day before [a special] SUCH election, shall entitle the applicant
to vote in such election, if he or she is otherwise qualified, provided,
however, such applicant shall not vote on a voting machine until his or
her identity is verified. Any board of elections receiving an applica-
tion form from a person who does not reside in its jurisdiction but who
does reside elsewhere in the state of New York, shall forthwith forward
such application form to the proper board of elections. Each board of
elections shall make an entry on each such form of the date it is
received by such board.
§ 2. This act shall take effect immediately.
PART O
Section 1. Section 4-104 of the election law is amended by adding a
new subdivision 5-a to read as follows:
5-A. WHENEVER A CONTIGUOUS PROPERTY OF A COLLEGE OR UNIVERSITY
CONTAINS THREE HUNDRED OR MORE REGISTRANTS WHO ARE REGISTERED TO VOTE AT
AN ADDRESS ON SUCH CONTIGUOUS PROPERTY, THE POLLING PLACE DESIGNATED FOR
SUCH REGISTRANTS SHALL BE ON SUCH CONTIGUOUS PROPERTY OR AT A NEARBY
LOCATION RECOMMENDED BY THE COLLEGE OR UNIVERSITY AND AGREED TO BY THE
BOARD OF ELECTIONS.
§ 2. Paragraph a of subdivision 3 of section 4-100 of the election
law, as amended by chapter 260 of the laws of 2021, is amended to read
as follows:
S. 8005--A 16 A. 9005--A
a. Each election district shall be in compact form and may not be
partly within and partly without a ward, town, city, a village which has
five thousand or more inhabitants and is wholly within one town, THE
CONTIGUOUS PROPERTY OF A COLLEGE OR UNIVERSITY WHICH CONTAINS THREE
HUNDRED OR MORE REGISTRANTS WHO ARE REGISTERED TO VOTE AT AN ADDRESS ON
SUCH CONTIGUOUS PROPERTY, or a county legislative, assembly, senatorial
or congressional district. Except as provided in paragraph b of this
subdivision, election district boundaries, other than those boundaries
which are coterminous with the boundaries of those political subdivi-
sions AND COLLEGE OR UNIVERSITY PROPERTIES mentioned in this paragraph,
must be streets, rivers, railroad lines or other permanent character-
istics of the landscape which are clearly visible to any person without
the need to use any technical or mechanical device. An election district
shall contain not more than nine hundred fifty registrants (excluding
registrants in inactive status) or, with the approval of the county
board of elections, not more than two thousand registrants (excluding
registrants in inactive status), but any election district may be
divided for the convenience of the voters.
§ 3. This act shall take effect January 1, 2024.
PART P
Section 1. Section 106 of the alcoholic beverage control law is
amended by adding a new subdivision 2-a to read as follows:
2-A. NOTWITHSTANDING ANY PROVISION OF LAW TO THE CONTRARY, IN ADDITION
TO ANY OTHER PRIVILEGE PROVIDED UNDER THIS CHAPTER, ANY RETAIL LICENSE
THAT ALLOWS FOR LIQUOR AND/OR WINE SALE FOR ON-PREMISES CONSUMPTION
SHALL ALSO INCLUDE THE PRIVILEGE TO SELL FOR TAKE-OUT AND DELIVERY, ANY
PRODUCT IT MAY OTHERWISE SELL AT RETAIL, IN SEALED ORIGINAL, UNSEALED
ORIGINAL, AND NON-ORIGINAL CONTAINERS, SUBJECT TO AND UPON ADOPTION OF
RULES AND REGULATIONS OF THE AUTHORITY WHICH MAY INCLUDE, BUT NEED NOT
BE LIMITED TO, ANY REASONABLE LIMITATION ON: QUANTITY AND VOLUME, FOOD
REQUIRED AT TIME OF PURCHASE, HOURS OF SALE, AND THE SEALING OF OPEN
CONTAINERS.
§ 2. This act shall take effect immediately.
PART Q
Section 1. Paragraph (a) of subdivision 3 of section 800 of the gener-
al municipal law, as amended by chapter 1043 of the laws of 1965, is
amended to read as follows:
(a) his [spouse, minor children and dependents] OR HER FAMILIAL MEMBER
WHERE SUCH FAMILIAL MEMBER IS ANY PERSON LIVING IN THE SAME HOUSEHOLD AS
THE MUNICIPAL OFFICER OR EMPLOYEE, ANY PERSON WHO IS A DIRECT DESCENDANT
OF SUCH MUNICIPAL OFFICER OR EMPLOYEE'S GRANDPARENTS OR THE SPOUSE OF
SUCH DESCENDANT, AND WHERE SUCH CONTRACT IS ENTERED INTO AFTER THE
EFFECTIVE DATE OF THE CHAPTER OF THE LAWS OF TWO THOUSAND TWENTY-TWO
THAT AMENDS THIS PARAGRAPH, except a contract of employment with the
municipality which such officer or employee serves,
§ 2. Subdivision 1 of section 803 of the general municipal law, as
amended by chapter 499 of the laws of 2005, is amended to read as
follows:
1. Any municipal officer or employee who has, will have, or later
acquires an interest in or whose [spouse] FAMILIAL MEMBER, AS THAT TERM
IS USED IN SECTION EIGHT HUNDRED OF THIS ARTICLE, has, will have, or
later acquires an interest in any actual or proposed contract, purchase
S. 8005--A 17 A. 9005--A
agreement, lease agreement or other agreement, including oral agree-
ments, with the municipality of which he or she is an officer or employ-
ee, shall publicly disclose the nature and extent of such interest in
writing to his or her immediate supervisor and to the governing body
thereof as soon as he or she has knowledge of such actual or prospective
interest. Such written disclosure shall be made part of and set forth in
the official record of the proceedings of such body.
§ 3. Paragraph a of subdivision 1 of section 805-a of the general
municipal law, as amended by chapter 813 of the laws of 1987, is amended
to read as follows:
a. directly or indirectly, solicit any gift, or accept or receive any
gift having [a value of seventy-five dollars or] more THAN A NOMINAL
VALUE, whether in the form of money, service, loan, travel, enter-
tainment, hospitality, thing or promise, or in any other form, under
circumstances in which it could reasonably be inferred that the gift was
intended to influence him, or could reasonably be expected to influence
him, in the performance of his official duties or was intended as a
reward for any official action on his part;
§ 4. This act shall take effect immediately.
PART R
Section 1. Section 57 of the civil service law, as added by chapter 83
of the laws of 1963, is amended to read as follows:
§ 57. Continuous recruitment for certain positions. Notwithstanding
any other provisions of this chapter or any other law, the civil service
department or a municipal commission may establish a continuing eligible
list for any class of positions [for which it finds inadequate numbers
of well qualified persons available for recruitment]. Names of eligi-
bles shall be inserted in such list from time to time as applicants are
tested and found qualified in examinations held at such intervals as may
be prescribed by the civil service department or municipal commission
having jurisdiction. Such successive examinations shall, so far as prac-
ticable, be constructed and rated so as to be equivalent tests of the
merit and fitness of candidates. The name of any candidate who passes
any such examination and who is otherwise qualified shall be placed on
the continuing eligible list in the rank corresponding to [his] THE
CANDIDATE'S final rating on such examination. The period of eligibility
of successful candidates for certification and appointment from such
continuing eligible list, as a result of any such examination, shall be
fixed by the civil service department or municipal commission but,
except as a list may reach an announced terminal date, such period shall
not be less than one year; nor shall such period of eligibility exceed
four years. Subject to such conditions and limitations as the civil
service department or municipal commission may prescribe, a candidate
may take more than one such examination; provided, however, that no such
candidate shall be certified simultaneously with more than one rank on
the continuing eligible list. With respect to any candidate who applies
for and is granted additional credit in any such examination as a disa-
bled or non-disabled veteran, and for the limited purpose of granting
such additional credit, the eligible list shall be deemed to be estab-
lished on the date on which [his] THE CANDIDATE'S name is added thereto.
§ 2. This act shall take effect immediately.
PART S
S. 8005--A 18 A. 9005--A
Section 1. Subdivision 11 of section 52 of the civil service law, as
amended by chapter 214 of the laws of 1989, is amended to read as
follows:
11. Notwithstanding any other provision of law, the state department
of civil service may, for titles designated by it, extend to employees
in the state service who are holding or who have held a position in the
non-competitive or labor class of such service the same opportunity as
employees in the competitive class to take promotion examinations [if
such examinations are to be held in conjunction with open competitive
examinations].
§ 2. Subdivision 12 of section 52 of the civil service law, as added
by chapter 453 of the laws of 1976, is amended to read as follows:
12. Notwithstanding any other provisions of law, a municipal commis-
sion may, for entrance level titles as defined and designated by it,
extend to employees in the service of a civil division who are holding
or who have held a position in the non-competitive class of such service
for a period of two years the same opportunity as employees in the
competitive class to take promotion examinations for which such non-com-
petitive class service is determined by the municipal commission to be
appropriate preparation [if such examinations are to be held in conjunc-
tion with open competitive examinations].
§ 3. This act shall take effect immediately.
PART T
Section 1. Section 55-b of the civil service law is amended by adding
a new subdivision 3 to read as follows:
3. THOSE EMPLOYEES HIRED UNDER SUBDIVISION ONE OF THIS SECTION, SHALL
BE AFFORDED THE OPPORTUNITY TO TRANSFER INTO COMPETITIVE CLASS POSI-
TIONS, PROVIDED THAT THEY MEET THE REQUIREMENTS FOR COMPETITIVE EXAMINA-
TION; AND POSSESS THE REQUISITE CREDENTIALS, LICENSES, AND CERTIF-
ICATIONS AS NECESSARY.
§ 2. Section 55-c of the civil service law is amended by adding a new
subdivision 4 to read as follows:
4. THOSE EMPLOYEES HIRED UNDER SUBDIVISION ONE OF THIS SECTION, SHALL
BE AFFORDED THE OPPORTUNITY TO TRANSFER INTO COMPETITIVE CLASS POSI-
TIONS, PROVIDED THAT THEY MEET THE REQUIREMENTS FOR COMPETITIVE EXAMINA-
TION; AND POSSESS THE REQUISITE CREDENTIALS, LICENSES, AND CERTIF-
ICATIONS AS NECESSARY.
§ 3. This act shall take effect immediately.
PART U
Section 1. Subdivision 6 of section 130 of the civil service law, as
amended by chapter 307 of the laws of 1979, is amended to read as
follows:
6. Shift pay differentials. Whenever the director finds that under
prevailing wage practices in private or other public employment in the
state, employees in a given occupation receive a higher rate of pay or
wage differential for a work shift other [than a normal day shift] than
that which is paid to employees in the same occupation [for a normal day
shift], [he] THE DIRECTOR may, subject to the approval of the director
of the budget, authorize a pay differential to be paid to those employ-
ees in positions in the same or related occupations in the state service
and who are [regularly] assigned to an equivalent or substantially
equivalent work shift, on a statewide basis, provided however, where the
S. 8005--A 19 A. 9005--A
director finds that in a particular geographical area or areas wage
practices would warrant a shift differential for employees in a partic-
ular occupation then the director may grant a work shift pay differen-
tial for such employees, subject to the approval of the director of the
budget. In determining whether to authorize a pay differential the
director shall consider the various duties on each shift, [other than
the normal day shift,] in relation to the normal day shift. A pay
differential under this subdivision shall be a percentage of basic sala-
ry, AN HOURLY RATE, AN ANNUAL RATE, or a fixed dollar amount per pay
period, as prescribed in each case by the director of the classification
and compensation division subject to approval of the director of the
budget. Such differential shall be paid in addition to and shall not be
part of an employee's basic annual salary, and shall not affect or
impair any performance advancement payments, performance awards, longev-
ity payments or other rights or benefits to which an employee may be
entitled under the provisions of this chapter, provided, however, that
any differential payable pursuant to this subdivision shall be included
as compensation for retirement purposes. A pay differential shall be
terminated for any employee when [he] THE EMPLOYEE ceases to be employed
in the work shift or position for which such pay differential was
authorized. A pay differential shall remain in effect until terminated
by the director of the classification and compensation division with the
consent of the director of the budget or until a new pay differential is
authorized pursuant to this subdivision. The director of the budget may
adopt such regulations as [he may deem] necessary to carry out the
provisions of this subdivision.
§ 2. This act shall take effect immediately.
PART V
Section 1. Section 5004 of the civil practice law and rules, as
amended by chapter 258 of the laws of 1981, is amended to read as
follows:
§ 5004. Rate of interest. [Interest shall be at the rate of nine per
centum per annum, except where otherwise provided by statute.] NOTWITH-
STANDING ANY OTHER PROVISION OF LAW OR REGULATION TO THE CONTRARY,
INCLUDING ANY LAW OR REGULATION THAT LIMITS THE ANNUAL RATE OF INTEREST
TO BE PAID ON A JUDGMENT OR ACCRUED CLAIM, THE ANNUAL RATE OF INTEREST
TO BE PAID ON A JUDGMENT OR ACCRUED CLAIM SHALL BE CALCULATED AT THE
ONE-YEAR UNITED STATES TREASURY BILL RATE. FOR THE PURPOSES OF THIS
SECTION, THE "ONE-YEAR UNITED STATES TREASURY BILL RATE" MEANS THE WEEK-
LY AVERAGE ONE-YEAR CONSTANT MATURITY TREASURY YIELD, AS PUBLISHED BY
THE BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM, FOR THE CALENDAR
WEEK PRECEDING THE DATE OF THE ENTRY OF THE JUDGMENT AWARDING DAMAGES.
PROVIDED HOWEVER, THAT THIS SECTION SHALL NOT APPLY TO ANY PROVISION OF
THE TAX LAW WHICH PROVIDES FOR THE ANNUAL RATE OF INTEREST TO BE PAID ON
A JUDGMENT OR ACCRUED CLAIM.
§ 2. Subdivision (a) of section 5004 of the civil practice law and
rules, as amended by chapter 831 of the laws of 2021, is amended to read
as follows:
(a) [Interest shall be at the rate of nine per centum per annum,
except where otherwise provided by statute; provided] NOTWITHSTANDING
ANY OTHER PROVISION OF LAW OR REGULATION TO THE CONTRARY, INCLUDING ANY
LAW OR REGULATION THAT LIMITS THE ANNUAL RATE OF INTEREST TO BE PAID ON
A JUDGMENT OR ACCRUED CLAIM, THE ANNUAL RATE OF INTEREST TO BE PAID ON A
JUDGMENT OR ACCRUED CLAIM SHALL BE CALCULATED AT THE ONE-YEAR UNITED
S. 8005--A 20 A. 9005--A
STATES TREASURY BILL RATE. FOR PURPOSES OF THIS SECTION, THE "ONE-YEAR
UNITED STATES TREASURY BILL RATE" MEANS THE WEEKLY AVERAGE ONE-YEAR
CONSTANT MATURITY TREASURY YIELD, AS PUBLISHED BY THE BOARD OF GOVERNORS
OF THE FEDERAL RESERVE SYSTEM, FOR THE CALENDAR WEEK PRECEDING THE DATE
OF THE ENTRY OF THE JUDGMENT AWARDING DAMAGES; PROVIDED HOWEVER, THAT
THIS SECTION SHALL NOT APPLY TO ANY PROVISION OF THE TAX LAW WHICH
PROVIDES FOR THE ANNUAL RATE OF INTEREST TO BE PAID ON A JUDGMENT OR
ACCRUED CLAIM. PROVIDED, HOWEVER, the annual rate of interest to be paid
in an action arising out of a consumer debt where a natural person is a
defendant shall be two per centum per annum (i) on a judgment or accrued
claim for judgments entered on or after the effective date of the chap-
ter of the laws of two thousand twenty-one which amended this section,
and (ii) for interest upon a judgment pursuant to section five thousand
three of this article from the date of the entry of judgment on any part
of a judgment entered before the effective date of the chapter of the
laws of two thousand twenty-one which amended this section that is
unpaid as of such effective date.
§ 3. Section 16 of the state finance law, as amended by chapter 681 of
the laws of 1982, is amended to read as follows:
§ 16. Rate of interest on judgments and accrued claims against the
state. The rate of interest to be paid by the state upon any judgment
or accrued claim against the state shall [not exceed nine per centum per
annum] BE CALCULATED AT THE ONE-YEAR UNITED STATES TREASURY BILL RATE.
FOR THE PURPOSES OF THIS SECTION, THE "ONE-YEAR UNITED STATES TREASURY
BILL RATE" MEANS THE WEEKLY AVERAGE ONE-YEAR CONSTANT MATURITY TREASURY
YIELD, AS PUBLISHED BY THE BOARD OF GOVERNORS OF THE FEDERAL RESERVE
SYSTEM, FOR THE CALENDAR WEEK PRECEDING THE DATE OF THE ENTRY OF THE
JUDGMENT AWARDING DAMAGES. PROVIDED HOWEVER, THAT THIS SECTION SHALL NOT
APPLY TO ANY PROVISION OF THE TAX LAW WHICH PROVIDES FOR THE ANNUAL RATE
OF INTEREST TO BE PAID ON A JUDGMENT OR ACCRUED CLAIM.
§ 4. This act shall take effect immediately, and shall be deemed to
have been in full force and effect on and after April 1, 2022; provided,
however, section two of this act shall take effect on the same date and
in the same manner as section 1 of chapter 831 of the laws of 2021,
takes effect.
PART W
Section 1. Subdivision 8 of section 239-bb of the general municipal
law, as amended by chapter 294 of the laws of 2021, is amended to read
as follows:
8. For each county, new shared services actions [not included] in [a
previously] AN approved and submitted plan pursuant to this section or
part BBB of chapter fifty-nine of the laws of two thousand seventeen,
may be eligible for funding to match savings from such action, subject
to available appropriation. Savings that are actually and demonstrably
realized by the participating local governments are eligible for match-
ing funding. For actions that are part of an approved plan transmitted
to the secretary of state in accordance with paragraph b of subdivision
seven of this section, savings achieved during either: (i) January first
through December thirty-first from new actions implemented on or after
January first through December thirty-first of the year immediately
following an approved and transmitted plan, or (ii) July first of the
year immediately following an approved and transmitted plan through June
thirtieth of the subsequent year from new actions implemented July first
of the year immediately following an approved plan through June thirti-
S. 8005--A 21 A. 9005--A
eth of the subsequent year may be eligible for matching funding. Only
net savings between local governments for each action would be eligible
for matching funding. Savings from internal efficiencies or any other
action taken by a local government without the participation of another
local government are not eligible for matching funding. Each county and
all of the local governments within the county that are part of any
action to be implemented as part of an approved plan must collectively
apply for the matching funding BY SUBMITTING ONE CONSOLIDATED APPLICA-
TION PER PLAN, and agree on the distribution and use of any matching
funding in order to qualify for matching funding. ANY SUCH CONSOLIDATED
APPLICATION SHALL BE SUBMITTED TO THE DEPARTMENT OF STATE IN SUCH FORM
AND MANNER AS DIRECTED BY THE DEPARTMENT NO LATER THAN DECEMBER THIRTY-
FIRST OF THE SECOND CALENDAR YEAR FOLLOWING PLAN ADOPTION; PROVIDED,
HOWEVER, THAT FOR PLANS ADOPTED PRIOR TO CALENDAR YEAR TWO THOUSAND
TWENTY, FOR WHICH NO APPLICATION FOR MATCHING FUNDING HAS BEEN SUBMIT-
TED, ONE CONSOLIDATED APPLICATION PER PLAN YEAR MAY BE SUBMITTED TO THE
DEPARTMENT NO LATER THAN DECEMBER THIRTY-FIRST, TWO THOUSAND TWENTY-TWO.
§ 2. This act shall take effect immediately.
PART X
Section 1. Paragraph b of subdivision 10 of section 54 of the state
finance law is amended by adding a new subparagraph (vii) to read as
follows:
(VII) NOTWITHSTANDING SUBPARAGRAPH (I) OF THIS PARAGRAPH, WITHIN
AMOUNTS APPROPRIATED IN THE STATE FISCAL YEAR COMMENCING APRIL FIRST,
TWO THOUSAND TWENTY-TWO, AND ANNUALLY THEREAFTER, THERE SHALL BE
APPORTIONED AND PAID TO EACH EXISTING MUNICIPALITY AS OF APRIL FIRST,
TWO THOUSAND TWENTY-TWO A BASE LEVEL GRANT IN AN AMOUNT EQUAL TO THE AID
RECEIVED BY SUCH MUNICIPALITY IN THE STATE FISCAL YEAR COMMENCING APRIL
FIRST, TWO THOUSAND EIGHTEEN; PROVIDED, HOWEVER, AND NOTWITHSTANDING
ANY LAW TO THE CONTRARY, IN THE STATE FISCAL YEAR COMMENCING APRIL
FIRST, TWO THOUSAND TWENTY-TWO, AND ANNUALLY THEREAFTER, THE TOWN OF
PALM TREE SHALL RECEIVE A BASE LEVEL GRANT OF TWENTY-FOUR THOUSAND TWO
HUNDRED THIRTEEN DOLLARS, AND THE VILLAGE OF SAGAPONACK SHALL RECEIVE A
BASE LEVEL GRANT OF TWO THOUSAND DOLLARS, AND THE VILLAGE OF WOODBURY
SHALL RECEIVE A BASE LEVEL GRANT OF TWENTY-SEVEN THOUSAND DOLLARS, AND
THE VILLAGE OF SOUTH BLOOMING GROVE SHALL RECEIVE A BASE LEVEL GRANT OF
NINETEEN THOUSAND DOLLARS.
§ 2. Paragraph 3 of subdivision c of section 1261 of the tax law, as
amended by section 1 of part NN of chapter 55 of the laws of 2020, is
amended to read as follows:
(3) However, the taxes, penalties and interest which (i) the county of
Nassau, (ii) the county of Erie, to the extent the county of Erie is
contractually or statutorily obligated to allocate and apply or pay net
collections to the city of Buffalo and to the extent that such county
has set aside net collections for educational purposes attributable to
the Buffalo school district, or the city of Buffalo or (iii) the county
of Erie is authorized to impose pursuant to section twelve hundred ten
of this article, other than such taxes in the amounts described, respec-
tively, in subdivisions one and two of section one thousand two hundred
sixty-two-e of this part, during the period that such section authorizes
Nassau county to establish special or local assistance programs there-
under, together with any penalties and interest related thereto, and
after the comptroller has reserved such refund fund and such costs,
shall, commencing on the next payment date after the effective date of
S. 8005--A 22 A. 9005--A
this sentence and of each month thereafter, until such date as (i) the
Nassau county interim finance authority shall have no obligations
outstanding, or (ii) the Buffalo fiscal stability authority shall cease
to exist, or (iii) the Erie county fiscal stability authority shall
cease to exist, be paid by the comptroller, respectively, to (i) the
Nassau county interim finance authority to be applied by the Nassau
county interim finance authority, or (ii) to the Buffalo fiscal stabili-
ty authority to be applied by the Buffalo fiscal stability authority, or
(iii) to the Erie county fiscal stability authority to be applied by the
Erie county fiscal stability authority, as the case may be, in the
following order of priority: first pursuant to the Nassau county interim
finance authority's contracts with bondholders or the Buffalo fiscal
stability authority's contracts with bondholders or the Erie county
fiscal stability authority's contracts with bondholders, respectively,
then to pay the Nassau county interim finance authority's operating
expenses not otherwise provided for or the Buffalo fiscal stability
authority's operating expenses not otherwise provided for or the Erie
county fiscal stability authority's operating expenses not otherwise
provided for, respectively, [then (i) for the Nassau county interim
finance authority to pay to the state as soon as practicable in the
months of May and December each year, the amount necessary to fulfill
the town and village distribution requirement on behalf of Nassau county
pursuant to paragraph five-a of this subdivision, or (ii) for the
Buffalo fiscal stability authority to pay to the state as soon as prac-
ticable in the months of May and December each year, the percentage of
the amount necessary to fulfill the town and village distribution
requirement on behalf of Erie county pursuant to paragraph five-a of
this subdivision that equates to the percentage of the county net
collections that the city of Buffalo and the Buffalo city school
district, together, are due in the months of May and December each year,
or (iii) for the Erie county fiscal stability authority to pay to the
state as soon as practicable in the months of May and December each
year, the amount necessary to fulfill the town and village distribution
requirement on behalf of Erie county pursuant to paragraph five-a of
this subdivision, less the amount being paid to the state by the Buffalo
fiscal stability authority in each respective month,] and then (i)
pursuant to the Nassau county interim finance authority's agreements
with the county of Nassau, which agreements shall require the Nassau
county interim finance authority to transfer such taxes, penalties and
interest remaining after providing for contractual or other obligations
of the Nassau county interim finance authority, and subject to any
agreement between such authority and the county of Nassau, to the county
of Nassau as frequently as practicable; or (ii) pursuant to the Buffalo
fiscal stability authority's agreements with the city of Buffalo, which
agreements shall require the Buffalo fiscal stability authority to
transfer such taxes, penalties and interest remaining after providing
for contractual or other obligations of the Buffalo fiscal stability
authority, and subject to any agreement between such authority and the
city of Buffalo, to the city of Buffalo or the city of Buffalo school
district, as the case may be, as frequently as practicable; or (iii)
pursuant to the Erie county fiscal stability authority's agreements with
the county of Erie, which agreements shall require the Erie county
fiscal stability authority to transfer such taxes, penalties and inter-
est remaining after providing for contractual or other obligations of
the Erie county fiscal stability authority, and subject to any agreement
between such authority and the county of Erie, to the county of Erie as
S. 8005--A 23 A. 9005--A
frequently as practicable. During the period that the comptroller is
required to make payments to the Nassau county interim finance authority
described in the previous sentence, the county of Nassau shall have no
right, title or interest in or to such taxes, penalties and interest
required to be paid to the Nassau county interim finance authority,
except as provided in such authority's agreements with the county of
Nassau. During the period that the comptroller is required to make
payments to the Buffalo fiscal stability authority described in the
second previous sentence, the city of Buffalo and such school district
shall have no right, title or interest in or to such taxes, penalties
and interest required to be paid to the Buffalo fiscal stability author-
ity, except as provided in such authority's agreements with the city of
Buffalo. During the period that the comptroller is required to make
payments to the Erie county fiscal stability authority described in the
third previous sentence, the county of Erie shall have no right, title
or interest in or to such taxes, penalties and interest required to be
paid to the Erie county fiscal stability authority, except as provided
in such authority's agreements with the county of Erie.
§ 3. Paragraph 5-a of subdivision c of section 1261 of the tax law is
REPEALED.
§ 4. Subdivision 5 of section 3657 of the public authorities law, as
amended by section 3 of part NN of chapter 55 of the laws of 2020, is
amended to read as follows:
5. Tax revenues received by the authority pursuant to section twelve
hundred sixty-one of the tax law, together with any other revenues
received by the authority, shall be applied in the following order of
priority: first pursuant to the authority's contracts with bondholders,
then to pay the authority's operating expenses not otherwise provided
for, [then to pay to the state pursuant to paragraph three of subdivi-
sion (c) of section twelve hundred sixty-one of the tax law,] and then,
subject to the authority's agreements with the county, to transfer the
balance of such tax revenues not required to meet contractual or other
obligations of the authority to the county as frequently as practicable.
§ 5. Subdivision 5 of section 3965 of the public authorities law, as
amended by section 5 of part NN of chapter 55 of the laws of 2020, is
amended to read as follows:
5. Revenues of the authority shall be applied in the following order
of priority: first to pay debt service or for set asides to pay debt
service on the authority's bonds, notes, or other obligations and to
replenish any reserve funds securing such bonds, notes or other obli-
gations of the authority in accordance with the provision of indenture
or bond resolution of the authority; then to pay the authority's operat-
ing expenses not otherwise provided for; [then to pay to the state
pursuant to paragraph three of subdivision (c) of section twelve hundred
sixty-one of the tax law;] and then, subject to the authority's agree-
ments with the county for itself or on behalf of any covered organiza-
tion to transfer as frequently as practicable the balance of revenues
not required to meet contractual or other obligations of the authority
to the county as provided in subdivision seven of this section.
§ 6. Subdivision 5 of section 3865 of the public authorities law, as
amended by section 4 of part NN of chapter 55 of the laws of 2020, is
amended to read as follows:
5. Revenues of the authority shall be applied in the following order
of priority: first to pay debt service or for set asides to pay debt
service on the authority's bonds, notes, or other obligations and to
replenish any reserve funds securing such bonds, notes or other obli-
S. 8005--A 24 A. 9005--A
gations of the authority, in accordance with the provision of any inden-
ture or bond resolution of the authority; then to pay the authority's
operating expenses not otherwise provided for; [then to pay to the state
pursuant to paragraph three of subdivision (c) of section twelve hundred
sixty-one of the tax law;] and then, subject to the authority's agree-
ment with the city, for itself or on behalf of the city's dependent
school district and any other covered organization, to transfer as
frequently as practicable the balance of revenues not required to meet
contractual or other obligations of the authority to the city or the
city's dependent school district as provided in subdivision seven of
this section.
§ 7. This act shall take effect July 1, 2022.
PART Y
Section 1. The state comptroller is hereby authorized and directed to
loan money in accordance with the provisions set forth in subdivision 5
of section 4 of the state finance law to the following funds and/or
accounts:
1. DOL-Child performer protection account (20401).
2. Local government records management account (20501).
3. Child health plus program account (20810).
4. EPIC premium account (20818).
5. Education - New (20901).
6. VLT - Sound basic education fund (20904).
7. Sewage treatment program management and administration fund
(21000).
8. Hazardous bulk storage account (21061).
9. Utility environmental regulatory account (21064).
10. Federal grants indirect cost recovery account (21065).
11. Low level radioactive waste account (21066).
12. Recreation account (21067).
13. Public safety recovery account (21077).
14. Environmental regulatory account (21081).
15. Natural resource account (21082).
16. Mined land reclamation program account (21084).
17. Great lakes restoration initiative account (21087).
18. Environmental protection and oil spill compensation fund (21200).
19. Public transportation systems account (21401).
20. Metropolitan mass transportation (21402).
21. Operating permit program account (21451).
22. Mobile source account (21452).
23. Statewide planning and research cooperative system account
(21902).
24. New York state thruway authority account (21905).
25. Mental hygiene program fund account (21907).
26. Mental hygiene patient income account (21909).
27. Financial control board account (21911).
28. Regulation of racing account (21912).
29. State university dormitory income reimbursable account (21937).
30. Criminal justice improvement account (21945).
31. Environmental laboratory reference fee account (21959).
32. Training, management and evaluation account (21961).
33. Clinical laboratory reference system assessment account (21962).
34. Indirect cost recovery account (21978).
35. Multi-agency training account (21989).
S. 8005--A 25 A. 9005--A
36. Bell jar collection account (22003).
37. Industry and utility service account (22004).
38. Real property disposition account (22006).
39. Parking account (22007).
40. Courts special grants (22008).
41. Asbestos safety training program account (22009).
42. Camp Smith billeting account (22017).
43. Batavia school for the blind account (22032).
44. Investment services account (22034).
45. Surplus property account (22036).
46. Financial oversight account (22039).
47. Regulation of Indian gaming account (22046).
48. Rome school for the deaf account (22053).
49. Seized assets account (22054).
50. Administrative adjudication account (22055).
51. New York City assessment account (22062).
52. Cultural education account (22063).
53. Local services account (22078).
54. DHCR mortgage servicing account (22085).
55. Housing indirect cost recovery account (22090).
56. DHCR-HCA application fee account (22100).
57. Low income housing monitoring account (22130).
58. Corporation administration account (22135).
59. New York State Home for Veterans in the Lower-Hudson Valley
account (22144).
60. Deferred compensation administration account (22151).
61. Rent revenue other New York City account (22156).
62. Rent revenue account (22158).
63. Transportation aviation account (22165).
64. Tax revenue arrearage account (22168).
65. New York state medical indemnity fund account (22240).
66. Behavioral health parity compliance fund (22246).
67. State university general income offset account (22654).
68. Lake George park trust fund account (22751).
69. State police motor vehicle law enforcement account (22802).
70. Highway safety program account (23001).
71. DOH drinking water program account (23102).
72. NYCCC operating offset account (23151).
73. Commercial gaming regulation account (23702).
74. Highway use tax administration account (23801).
75. New York state secure choice administrative account (23806).
76. New York state cannabis revenue fund (24800).
77. Fantasy sports administration account (24951).
78. Highway and bridge capital account (30051).
79. Aviation purpose account (30053).
80. State university residence hall rehabilitation fund (30100).
81. State parks infrastructure account (30351).
82. Clean water/clean air implementation fund (30500).
83. Hazardous waste remedial cleanup account (31506).
84. Youth facilities improvement account (31701).
85. Housing assistance fund (31800).
86. Housing program fund (31850).
87. Highway facility purpose account (31951).
88. New York racing account (32213).
89. Capital miscellaneous gifts account (32214).
90. Information technology capital financing account (32215).
S. 8005--A 26 A. 9005--A
91. New York environmental protection and spill remediation account
(32219).
92. Mental hygiene facilities capital improvement fund (32300).
93. Correctional facilities capital improvement fund (32350).
94. New York State Storm Recovery Capital Fund (33000).
95. OGS convention center account (50318).
96. Empire Plaza Gift Shop (50327).
97. Centralized services fund (55000).
98. Archives records management account (55052).
99. Federal single audit account (55053).
100. Civil service administration account (55055).
101. Civil service EHS occupational health program account (55056).
102. Banking services account (55057).
103. Cultural resources survey account (55058).
104. Neighborhood work project account (55059).
105. Automation & printing chargeback account (55060).
106. OFT NYT account (55061).
107. Data center account (55062).
108. Intrusion detection account (55066).
109. Domestic violence grant account (55067).
110. Centralized technology services account (55069).
111. Labor contact center account (55071).
112. Human services contact center account (55072).
113. Tax contact center account (55073).
114. Department of law civil recoveries account (55074).
115. Executive direction internal audit account (55251).
116. CIO Information technology centralized services account (55252).
117. Health insurance internal service account (55300).
118. Civil service employee benefits division administrative account
(55301).
119. Correctional industries revolving fund (55350).
120. Employees health insurance account (60201).
121. Medicaid management information system escrow fund (60900).
§ 1-a. The state comptroller is hereby authorized and directed to loan
money in accordance with the provisions set forth in subdivision 5 of
section 4 of the state finance law to any account within the following
federal funds, provided the comptroller has made a determination that
sufficient federal grant award authority is available to reimburse such
loans:
1. Federal USDA-food and nutrition services fund (25000).
2. Federal health and human services fund (25100).
3. Federal education fund (25200).
4. Federal block grant fund (25250).
5. Federal miscellaneous operating grants fund (25300).
6. Federal unemployment insurance administration fund (25900).
7. Federal unemployment insurance occupational training fund (25950).
8. Federal emergency employment act fund (26000).
9. Federal capital projects fund (31350).
§ 2. Notwithstanding any law to the contrary, and in accordance with
section 4 of the state finance law, the comptroller is hereby authorized
and directed to transfer, upon request of the director of the budget, on
or before March 31, 2023, up to the unencumbered balance or the follow-
ing amounts:
Economic Development and Public Authorities:
1. $1,175,000 from the miscellaneous special revenue fund, underground
facilities safety training account (22172), to the general fund.
S. 8005--A 27 A. 9005--A
2. An amount up to the unencumbered balance from the miscellaneous
special revenue fund, business and licensing services account (21977),
to the general fund.
3. $14,810,000 from the miscellaneous special revenue fund, code
enforcement account (21904), to the general fund.
4. $3,000,000 from the general fund to the miscellaneous special
revenue fund, tax revenue arrearage account (22168).
Education:
1. $2,653,000,000 from the general fund to the state lottery fund,
education account (20901), as reimbursement for disbursements made from
such fund for supplemental aid to education pursuant to section 92-c of
the state finance law that are in excess of the amounts deposited in
such fund for such purposes pursuant to section 1612 of the tax law.
2. $1,237,000,000 from the general fund to the state lottery fund, VLT
education account (20904), as reimbursement for disbursements made from
such fund for supplemental aid to education pursuant to section 92-c of
the state finance law that are in excess of the amounts deposited in
such fund for such purposes pursuant to section 1612 of the tax law.
3. $139,200,000 from the general fund to the New York state commercial
gaming fund, commercial gaming revenue account (23701), as reimbursement
for disbursements made from such fund for supplemental aid to education
pursuant to section 97-nnnn of the state finance law that are in excess
of the amounts deposited in such fund for purposes pursuant to section
1352 of the racing, pari-mutuel wagering and breeding law.
4. $496,000,000 from the general fund to the mobile sports wagering
fund, education account (24955), as reimbursement for disbursements made
from such fund for supplemental aid to education pursuant to section
92-c of the state finance law that are in excess of the amounts deposit-
ed in such fund for such purposes pursuant to section 1367 of the
racing, pari-mutuel wagering and breeding law.
5. $7,000,000 from the interactive fantasy sports fund, fantasy sports
education account (24950), to the state lottery fund, education account
(20901), as reimbursement for disbursements made from such fund for
supplemental aid to education pursuant to section 92-c of the state
finance law.
6. An amount up to the unencumbered balance in the fund on March 31,
2023 from the charitable gifts trust fund, elementary and secondary
education account (24901), to the general fund, for payment of general
support for public schools pursuant to section 3609-a of the education
law.
7. Moneys from the state lottery fund (20900) up to an amount deposit-
ed in such fund pursuant to section 1612 of the tax law in excess of the
current year appropriation for supplemental aid to education pursuant to
section 92-c of the state finance law.
8. $300,000 from the New York state local government records manage-
ment improvement fund, local government records management account
(20501), to the New York state archives partnership trust fund, archives
partnership trust maintenance account (20351).
9. $900,000 from the general fund to the miscellaneous special revenue
fund, Batavia school for the blind account (22032).
10. $900,000 from the general fund to the miscellaneous special reven-
ue fund, Rome school for the deaf account (22053).
11. $343,400,000 from the state university dormitory income fund
(40350) to the miscellaneous special revenue fund, state university
dormitory income reimbursable account (21937).
S. 8005--A 28 A. 9005--A
12. $8,318,000 from the general fund to the state university income
fund, state university income offset account (22654), for the state's
share of repayment of the STIP loan.
13. $68,000,000 from the state university income fund, state universi-
ty hospitals income reimbursable account (22656) to the general fund for
hospital debt service for the period April 1, 2022 through March 31,
2023.
14. $7,790,000 from the miscellaneous special revenue fund, office of
the professions account (22051), to the miscellaneous capital projects
fund, office of the professions electronic licensing account (32222).
15. $24,000,000 from any of the state education department's special
revenue and internal service funds to the miscellaneous special revenue
fund, indirect cost recovery account (21978).
16. $4,200,000 from any of the state education department's special
revenue or internal service funds to the capital projects fund (30000).
Environmental Affairs:
1. $16,000,000 from any of the department of environmental conserva-
tion's special revenue federal funds, and/or federal capital funds, to
the environmental conservation special revenue fund, federal indirect
recovery account (21065).
2. $5,000,000 from any of the department of environmental conserva-
tion's special revenue federal funds, and/or federal capital funds, to
the conservation fund (21150) or Marine Resources Account (21151) as
necessary to avoid diversion of conservation funds.
3. $3,000,000 from any of the office of parks, recreation and historic
preservation capital projects federal funds and special revenue federal
funds to the miscellaneous special revenue fund, federal grant indirect
cost recovery account (22188).
4. $1,000,000 from any of the office of parks, recreation and historic
preservation special revenue federal funds to the miscellaneous capital
projects fund, I love NY water account (32212).
5. $100,000,000 from the general fund to the environmental protection
fund, environmental protection fund transfer account (30451).
6. $6,000,000 from the general fund to the hazardous waste remedial
fund, hazardous waste oversight and assistance account (31505).
7. An amount up to or equal to the cash balance within the special
revenue-other waste management & cleanup account (21053) to the capital
projects fund (30000) for services and capital expenses related to the
management and cleanup program as put forth in section 27-1915 of the
environmental conservation law.
8. $1,800,000 from the miscellaneous special revenue fund, public
service account (22011) to the miscellaneous special revenue fund, util-
ity environmental regulatory account (21064).
9. $7,000,000 from the general fund to the enterprise fund, state fair
account (50051).
10. $4,000,000 from the waste management & cleanup account (21053) to
the general fund.
11. $3,000,000 from the waste management & cleanup account (21053) to
the environmental protection fund transfer account (30451).
12. Up to $10,000,000 from the general fund to the miscellaneous
special revenue fund, patron services account (22163).
Family Assistance:
1. $7,000,000 from any of the office of children and family services,
office of temporary and disability assistance, or department of health
special revenue federal funds and the general fund, in accordance with
agreements with social services districts, to the miscellaneous special
S. 8005--A 29 A. 9005--A
revenue fund, office of human resources development state match account
(21967).
2. $4,000,000 from any of the office of children and family services
or office of temporary and disability assistance special revenue federal
funds to the miscellaneous special revenue fund, family preservation and
support services and family violence services account (22082).
3. $18,670,000 from any of the office of children and family services,
office of temporary and disability assistance, or department of health
special revenue federal funds and any other miscellaneous revenues
generated from the operation of office of children and family services
programs to the general fund.
4. $175,000,000 from any of the office of temporary and disability
assistance or department of health special revenue funds to the general
fund.
5. $2,500,000 from any of the office of temporary and disability
assistance special revenue funds to the miscellaneous special revenue
fund, office of temporary and disability assistance program account
(21980).
6. $35,000,000 from any of the office of children and family services,
office of temporary and disability assistance, department of labor, and
department of health special revenue federal funds to the office of
children and family services miscellaneous special revenue fund, multi-
agency training contract account (21989).
7. $205,000,000 from the miscellaneous special revenue fund, youth
facility per diem account (22186), to the general fund.
8. $621,850 from the general fund to the combined gifts, grants, and
bequests fund, WB Hoyt Memorial account (20128).
9. $5,000,000 from the miscellaneous special revenue fund, state
central registry (22028), to the general fund.
10. $900,000 from the general fund to the Veterans' Remembrance and
Cemetery Maintenance and Operation account (20201).
11. $505,000,000 from the general fund to the housing program fund
(31850).
General Government:
1. $12,000,000 from the general fund to the health insurance revolving
fund (55300).
2. $292,400,000 from the health insurance reserve receipts fund
(60550) to the general fund.
3. $150,000 from the general fund to the not-for-profit revolving loan
fund (20650).
4. $150,000 from the not-for-profit revolving loan fund (20650) to the
general fund.
5. $3,000,000 from the miscellaneous special revenue fund, surplus
property account (22036), to the general fund.
6. $19,000,000 from the miscellaneous special revenue fund, revenue
arrearage account (22024), to the general fund.
7. $1,826,000 from the miscellaneous special revenue fund, revenue
arrearage account (22024), to the miscellaneous special revenue fund,
authority budget office account (22138).
8. $1,000,000 from the miscellaneous special revenue fund, parking
account (22007), to the general fund, for the purpose of reimbursing the
costs of debt service related to state parking facilities.
9. $11,460,000 from the general fund to the agencies internal service
fund, central technology services account (55069), for the purpose of
enterprise technology projects.
S. 8005--A 30 A. 9005--A
10. $10,000,000 from the general fund to the agencies internal service
fund, state data center account (55062).
11. $12,000,000 from the miscellaneous special revenue fund, parking
account (22007), to the centralized services, building support services
account (55018).
12. $30,000,000 from the general fund to the internal service fund,
business services center account (55022).
13. $8,000,000 from the general fund to the internal service fund,
building support services account (55018).
14. $1,500,000 from the combined expendable trust fund, plaza special
events account (20120), to the general fund.
15. $50,000,000 from the general fund to the New York State cannabis
revenue fund (24800).
16. $50,000,000 from the New York State cannabis revenue fund (24800)
to the general fund.
Health:
1. A transfer from the general fund to the combined gifts, grants and
bequests fund, breast cancer research and education account (20155), up
to an amount equal to the monies collected and deposited into that
account in the previous fiscal year.
2. A transfer from the general fund to the combined gifts, grants and
bequests fund, prostate cancer research, detection, and education
account (20183), up to an amount equal to the moneys collected and
deposited into that account in the previous fiscal year.
3. A transfer from the general fund to the combined gifts, grants and
bequests fund, Alzheimer's disease research and assistance account
(20143), up to an amount equal to the moneys collected and deposited
into that account in the previous fiscal year.
4. $8,750,000 from the HCRA resources fund (20800) to the miscella-
neous special revenue fund, empire state stem cell trust fund account
(22161).
5. $2,000,000 from the miscellaneous special revenue fund, certificate
of need account (21920), to the miscellaneous capital projects fund,
healthcare IT capital subfund (32216).
6. $2,000,000 from the miscellaneous special revenue fund, vital
health records account (22103), to the miscellaneous capital projects
fund, healthcare IT capital subfund (32216).
7. $6,000,000 from the miscellaneous special revenue fund, profes-
sional medical conduct account (22088), to the miscellaneous capital
projects fund, healthcare IT capital subfund (32216).
8. $112,500,000 from the HCRA resources fund (20800) to the capital
projects fund (30000).
9. $6,550,000 from the general fund to the medical marihuana trust
fund, health operation and oversight account (23755).
10. An amount up to the unencumbered balance from the charitable gifts
trust fund, health charitable account (24900), to the general fund, for
payment of general support for primary, preventive, and inpatient health
care, dental and vision care, hunger prevention and nutritional assist-
ance, and other services for New York state residents with the overall
goal of ensuring that New York state residents have access to quality
health care and other related services.
11. $500,000 from the miscellaneous special revenue fund, New York
State cannabis revenue fund, to the miscellaneous special revenue fund,
environmental laboratory fee account (21959).
12. An amount up to the unencumbered balance from the public health
emergency charitable gifts trust fund to the general fund, for payment
S. 8005--A 31 A. 9005--A
of goods and services necessary to respond to a public health disaster
emergency or to assist or aid in responding to such a disaster.
13. $1,000,000,000 from the general fund to the health care transfor-
mation fund (24850).
Labor:
1. $600,000 from the miscellaneous special revenue fund, DOL fee and
penalty account (21923), to the child performer's protection fund, child
performer protection account (20401).
2. $11,700,000 from the unemployment insurance interest and penalty
fund, unemployment insurance special interest and penalty account
(23601), to the general fund.
3. $50,000,000 from the DOL fee and penalty account (21923), unemploy-
ment insurance special interest and penalty account (23601), and public
work enforcement account (21998), to the general fund.
4. $850,000 from the miscellaneous special revenue fund, DOL elevator
safety program fund (22252) to the miscellaneous special revenue fund,
DOL fee and penalty account (21923).
Mental Hygiene:
1. $3,800,000 from the general fund, to the agencies internal service
fund, civil service EHS occupational health program account (55056).
2. $2,000,000 from the general fund, to the mental hygiene facilities
capital improvement fund (32300).
3. $20,000,000 from the opioid settlement fund (23817) to the miscel-
laneous capital projects fund, opioid settlement capital account.
4. $20,000,000 from the miscellaneous capital projects fund, opioid
settlement capital account to the opioid settlement fund (23817).
Public Protection:
1. $1,350,000 from the miscellaneous special revenue fund, emergency
management account (21944), to the general fund.
2. $2,587,000 from the general fund to the miscellaneous special
revenue fund, recruitment incentive account (22171).
3. $22,773,000 from the general fund to the correctional industries
revolving fund, correctional industries internal service account
(55350).
4. $2,000,000,000 from any of the division of homeland security and
emergency services special revenue federal funds to the general fund.
5. $115,420,000 from the state police motor vehicle law enforcement
and motor vehicle theft and insurance fraud prevention fund, state
police motor vehicle enforcement account (22802), to the general fund
for state operation expenses of the division of state police.
6. $136,130,000 from the general fund to the correctional facilities
capital improvement fund (32350).
7. $5,000,000 from the general fund to the dedicated highway and
bridge trust fund (30050) for the purpose of work zone safety activities
provided by the division of state police for the department of transpor-
tation.
8. $10,000,000 from the miscellaneous special revenue fund, statewide
public safety communications account (22123), to the capital projects
fund (30000).
9. $9,830,000 from the miscellaneous special revenue fund, legal
services assistance account (22096), to the general fund.
10. $1,000,000 from the general fund to the agencies internal service
fund, neighborhood work project account (55059).
11. $7,980,000 from the miscellaneous special revenue fund, finger-
print identification & technology account (21950), to the general fund.
S. 8005--A 32 A. 9005--A
12. $1,100,000 from the state police motor vehicle law enforcement and
motor vehicle theft and insurance fraud prevention fund, motor vehicle
theft and insurance fraud account (22801), to the general fund.
13. $14,400,000 from the general fund to the miscellaneous special
revenue fund, criminal justice improvement account (21945).
Transportation:
1. $20,000,000 from the general fund to the mass transportation oper-
ating assistance fund, public transportation systems operating assist-
ance account (21401), of which $12,000,000 constitutes the base need for
operations.
2. $727,500,000 from the general fund to the dedicated highway and
bridge trust fund (30050).
3. $244,250,000 from the general fund to the MTA financial assistance
fund, mobility tax trust account (23651).
4. $5,000,000 from the miscellaneous special revenue fund, transporta-
tion regulation account (22067) to the dedicated highway and bridge
trust fund (30050), for disbursements made from such fund for motor
carrier safety that are in excess of the amounts deposited in the dedi-
cated highway and bridge trust fund (30050) for such purpose pursuant to
section 94 of the transportation law.
5. $3,000,000 from the miscellaneous special revenue fund, traffic
adjudication account (22055), to the general fund.
6. $5,000,000 from the miscellaneous special revenue fund, transporta-
tion regulation account (22067) to the general fund, for disbursements
made from such fund for motor carrier safety that are in excess of the
amounts deposited in the general fund for such purpose pursuant to
section 94 of the transportation law.
Miscellaneous:
1. $750,000,000 from the general fund to any funds or accounts for the
purpose of reimbursing certain outstanding accounts receivable balances.
2. $500,000,000 from the general fund to the debt reduction reserve
fund (40000).
3. $450,000,000 from the New York state storm recovery capital fund
(33000) to the revenue bond tax fund (40152).
4. $15,500,000 from the general fund, community projects account GG
(10256), to the general fund, state purposes account (10050).
5. $100,000,000 from any special revenue federal fund to the general
fund, state purposes account (10050).
6. $12,750,000,000 from the special revenue federal fund, ARPA-Fiscal
Recovery Fund (25546) to the general fund, state purposes account
(10050) to cover eligible costs incurred by the state.
§ 3. Notwithstanding any law to the contrary, and in accordance with
section 4 of the state finance law, the comptroller is hereby authorized
and directed to transfer, on or before March 31, 2023:
1. Upon request of the commissioner of environmental conservation, up
to $12,745,400 from revenues credited to any of the department of envi-
ronmental conservation special revenue funds, including $4,000,000 from
the environmental protection and oil spill compensation fund (21200),
and $1,834,600 from the conservation fund (21150), to the environmental
conservation special revenue fund, indirect charges account (21060).
2. Upon request of the commissioner of agriculture and markets, up to
$3,000,000 from any special revenue fund or enterprise fund within the
department of agriculture and markets to the general fund, to pay appro-
priate administrative expenses.
3. Upon request of the commissioner of agriculture and markets, up to
$2,000,000 from the state exposition special fund, state fair receipts
S. 8005--A 33 A. 9005--A
account (50051) to the miscellaneous capital projects fund, state fair
capital improvement account (32208).
4. Upon request of the commissioner of the division of housing and
community renewal, up to $6,221,000 from revenues credited to any divi-
sion of housing and community renewal federal or miscellaneous special
revenue fund to the miscellaneous special revenue fund, housing indirect
cost recovery account (22090).
5. Upon request of the commissioner of the division of housing and
community renewal, up to $5,500,000 may be transferred from any miscel-
laneous special revenue fund account, to any miscellaneous special
revenue fund.
6. Upon request of the commissioner of health up to $13,694,000 from
revenues credited to any of the department of health's special revenue
funds, to the miscellaneous special revenue fund, administration account
(21982).
7. Upon the request of the attorney general, up to $4,000,000 from
revenues credited to the federal health and human services fund, federal
health and human services account (25117) or the miscellaneous special
revenue fund, recoveries and revenue account (22041), to the miscella-
neous special revenue fund, litigation settlement and civil recovery
account (22117).
8. Upon the request of the commission of agriculture and markets, up
to $3,000,000 from any special revenue fund or enterprise fund within
the department of agriculture and markets to the general fund, to pay
appropriate administrative expenses.
9. Upon the request of the commission of agriculture and markets, up
to $2,000,000 from the state exposition special fund, state fair
receipts account (50051) to the miscellaneous capital projects fund,
state fair capital improvement account (32208).
§ 4. On or before March 31, 2023, the comptroller is hereby authorized
and directed to deposit earnings that would otherwise accrue to the
general fund that are attributable to the operation of section 98-a of
the state finance law, to the agencies internal service fund, banking
services account (55057), for the purpose of meeting direct payments
from such account.
§ 5. Notwithstanding any law to the contrary, upon the direction of
the director of the budget and upon requisition by the state university
of New York, the dormitory authority of the state of New York is
directed to transfer, up to $22,000,000 in revenues generated from the
sale of notes or bonds, the state university income fund general revenue
account (22653) for reimbursement of bondable equipment for further
transfer to the state's general fund.
§ 6. Notwithstanding any law to the contrary, and in accordance with
section 4 of the state finance law, the comptroller is hereby authorized
and directed to transfer, upon request of the director of the budget and
upon consultation with the state university chancellor or his or her
designee, on or before March 31, 2023, up to $16,000,000 from the state
university income fund general revenue account (22653) to the state
general fund for debt service costs related to campus supported capital
project costs for the NY-SUNY 2020 challenge grant program at the
University at Buffalo.
§ 7. Notwithstanding any law to the contrary, and in accordance with
section 4 of the state finance law, the comptroller is hereby authorized
and directed to transfer, upon request of the director of the budget and
upon consultation with the state university chancellor or his or her
designee, on or before March 31, 2023, up to $6,500,000 from the state
S. 8005--A 34 A. 9005--A
university income fund general revenue account (22653) to the state
general fund for debt service costs related to campus supported capital
project costs for the NY-SUNY 2020 challenge grant program at the
University at Albany.
§ 8. Notwithstanding any law to the contrary, the state university
chancellor or his or her designee is authorized and directed to transfer
estimated tuition revenue balances from the state university collection
fund (61000) to the state university income fund, state university
general revenue offset account (22655) on or before March 31, 2023.
§ 9. Notwithstanding any law to the contrary, and in accordance with
section 4 of the state finance law, the comptroller is hereby authorized
and directed to transfer, upon request of the director of the budget, up
to $1,100,384,416 from the general fund to the state university income
fund, state university general revenue offset account (22655) during the
period of July 1, 2022 through June 30, 2023 to support operations at
the state university.
§ 10. Notwithstanding any law to the contrary, and in accordance with
section 4 of the state finance law, the comptroller is hereby authorized
and directed to transfer, upon request of the director of the budget, up
to $48,834,000 from the general fund to the state university income
fund, state university general revenue offset account (22655) during the
period of July 1, 2022 to June 30, 2023 for general fund operating
support pursuant to subparagraph (4-b) of paragraph h of subdivision 2
of section three hundred fifty-five of the education law.
§ 11. Notwithstanding any law to the contrary, and in accordance with
section 4 of the state finance law, the comptroller is hereby authorized
and directed to transfer, upon request of the director of the budget, up
to $20,000,000 from the general fund to the state university income
fund, state university general revenue offset account (22655) during the
period of July 1, 2022 to June 30, 2023 to support operations at the
state university in accordance with the maintenance of effort pursuant
to subparagraph (4) of paragraph h of subdivision 2 of section 355 of
the education law.
§ 12. Notwithstanding any law to the contrary, and in accordance with
section 4 of the state finance law, the comptroller is hereby authorized
and directed to transfer, upon request of the state university chancel-
lor or his or her designee, up to $55,000,000 from the state university
income fund, state university hospitals income reimbursable account
(22656), for services and expenses of hospital operations and capital
expenditures at the state university hospitals; and the state university
income fund, Long Island veterans' home account (22652) to the state
university capital projects fund (32400) on or before June 30, 2023.
§ 13. Notwithstanding any law to the contrary, and in accordance with
section 4 of the state finance law, the comptroller, after consultation
with the state university chancellor or his or her designee, is hereby
authorized and directed to transfer moneys, in the first instance, from
the state university collection fund, Stony Brook hospital collection
account (61006), Brooklyn hospital collection account (61007), and Syra-
cuse hospital collection account (61008) to the state university income
fund, state university hospitals income reimbursable account (22656) in
the event insufficient funds are available in the state university
income fund, state university hospitals income reimbursable account
(22656) to permit the full transfer of moneys authorized for transfer,
to the general fund for payment of debt service related to the SUNY
hospitals. Notwithstanding any law to the contrary, the comptroller is
also hereby authorized and directed, after consultation with the state
S. 8005--A 35 A. 9005--A
university chancellor or his or her designee, to transfer moneys from
the state university income fund to the state university income fund,
state university hospitals income reimbursable account (22656) in the
event insufficient funds are available in the state university income
fund, state university hospitals income reimbursable account (22656) to
pay hospital operating costs or to permit the full transfer of moneys
authorized for transfer, to the general fund for payment of debt service
related to the SUNY hospitals on or before March 31, 2023.
§ 14. Notwithstanding any law to the contrary, upon the direction of
the director of the budget and the chancellor of the state university of
New York or his or her designee, and in accordance with section 4 of the
state finance law, the comptroller is hereby authorized and directed to
transfer monies from the state university dormitory income fund (40350)
to the state university residence hall rehabilitation fund (30100), and
from the state university residence hall rehabilitation fund (30100) to
the state university dormitory income fund (40350), in an amount not to
exceed $100 million from each fund.
§ 15. Notwithstanding any law to the contrary, and in accordance with
section 4 of the state finance law, the comptroller is hereby authorized
and directed to transfer, at the request of the director of the budget,
up to $700 million from the unencumbered balance of any special revenue
fund or account, agency fund or account, internal service fund or
account, enterprise fund or account, or any combination of such funds
and accounts, to the general fund. The amounts transferred pursuant to
this authorization shall be in addition to any other transfers expressly
authorized in the 2022-23 budget. Transfers from federal funds, debt
service funds, capital projects funds, the community projects fund, or
funds that would result in the loss of eligibility for federal benefits
or federal funds pursuant to federal law, rule, or regulation as assent-
ed to in chapter 683 of the laws of 1938 and chapter 700 of the laws of
1951 are not permitted pursuant to this authorization.
§ 16. Notwithstanding any law to the contrary, and in accordance with
section 4 of the state finance law, the comptroller is hereby authorized
and directed to transfer, at the request of the director of the budget,
up to $100 million from any non-general fund or account, or combination
of funds and accounts, to the miscellaneous special revenue fund, tech-
nology financing account (22207), the miscellaneous capital projects
fund, the federal capital projects account (31350), information technol-
ogy capital financing account (32215), or the centralized technology
services account (55069), for the purpose of consolidating technology
procurement and services. The amounts transferred to the miscellaneous
special revenue fund, technology financing account (22207) pursuant to
this authorization shall be equal to or less than the amount of such
monies intended to support information technology costs which are
attributable, according to a plan, to such account made in pursuance to
an appropriation by law. Transfers to the technology financing account
shall be completed from amounts collected by non-general funds or
accounts pursuant to a fund deposit schedule or permanent statute, and
shall be transferred to the technology financing account pursuant to a
schedule agreed upon by the affected agency commissioner. Transfers from
funds that would result in the loss of eligibility for federal benefits
or federal funds pursuant to federal law, rule, or regulation as assent-
ed to in chapter 683 of the laws of 1938 and chapter 700 of the laws of
1951 are not permitted pursuant to this authorization.
§ 17. Notwithstanding any law to the contrary, and in accordance with
section 4 of the state finance law, the comptroller is hereby authorized
S. 8005--A 36 A. 9005--A
and directed to transfer, at the request of the director of the budget,
up to $400 million from any non-general fund or account, or combination
of funds and accounts, to the general fund for the purpose of consol-
idating technology procurement and services. The amounts transferred
pursuant to this authorization shall be equal to or less than the amount
of such monies intended to support information technology costs which
are attributable, according to a plan, to such account made in pursuance
to an appropriation by law. Transfers to the general fund shall be
completed from amounts collected by non-general funds or accounts pursu-
ant to a fund deposit schedule. Transfers from funds that would result
in the loss of eligibility for federal benefits or federal funds pursu-
ant to federal law, rule, or regulation as assented to in chapter 683 of
the laws of 1938 and chapter 700 of the laws of 1951 are not permitted
pursuant to this authorization.
§ 18. Notwithstanding any provision of law to the contrary, as deemed
feasible and advisable by its trustees, the power authority of the state
of New York is authorized and directed to transfer to the state treasury
to the credit of the general fund up to $20,000,000 for the state fiscal
year commencing April 1, 2022, the proceeds of which will be utilized to
support energy-related state activities.
§ 19. Notwithstanding any provision of law, rule or regulation to the
contrary, the New York state energy research and development authority
is authorized and directed to make the following contributions to the
state treasury to the credit of the general fund on or before March 31,
2023: (a) $913,000; and (b) $23,000,000 from proceeds collected by the
authority from the auction or sale of carbon dioxide emission allowances
allocated by the department of environmental conservation.
§ 20. Notwithstanding any provision of law, rule or regulation to the
contrary, the New York state energy research and development authority
is authorized and directed to transfer five million dollars to the cred-
it of the Environmental Protection Fund on or before March 31, 2023 from
proceeds collected by the authority from the auction or sale of carbon
dioxide emission allowances allocated by the department of environmental
conservation.
§ 21. Subdivision 5 of section 97-rrr of the state finance law, as
amended by section 20 of part JJJ of chapter 59 of the laws of 2021, is
amended to read as follows:
5. Notwithstanding the provisions of section one hundred seventy-one-a
of the tax law, as separately amended by chapters four hundred eighty-
one and four hundred eighty-four of the laws of nineteen hundred eight-
y-one, and notwithstanding the provisions of chapter ninety-four of the
laws of two thousand eleven, or any other provisions of law to the
contrary, during the fiscal year beginning April first, two thousand
[twenty-one] TWENTY-TWO, the state comptroller is hereby authorized and
directed to deposit to the fund created pursuant to this section from
amounts collected pursuant to article twenty-two of the tax law and
pursuant to a schedule submitted by the director of the budget, up to
[$1,979,457,000] $1,830,985,000, as may be certified in such schedule as
necessary to meet the purposes of such fund for the fiscal year begin-
ning April first, two thousand [twenty-one] TWENTY-TWO.
§ 22. Notwithstanding any law to the contrary, the comptroller is
hereby authorized and directed to transfer, upon request of the director
of the budget, on or before March 31, 2023, the following amounts from
the following special revenue accounts to the capital projects fund
(30000), for the purposes of reimbursement to such fund for expenses
related to the maintenance and preservation of state assets:
S. 8005--A 37 A. 9005--A
1. $43,000 from the miscellaneous special revenue fund, administrative
program account (21982).
2. $1,478,000 from the miscellaneous special revenue fund, helen hayes
hospital account (22140).
3. $456,000 from the miscellaneous special revenue fund, New York city
veterans' home account (22141).
4. $570,000 from the miscellaneous special revenue fund, New York
state home for veterans' and their dependents at oxford account (22142).
5. $170,000 from the miscellaneous special revenue fund, western New
York veterans' home account (22143).
6. $323,000 from the miscellaneous special revenue fund, New York
state for veterans in the lower-hudson valley account (22144).
7. $2,550,000 from the miscellaneous special revenue fund, patron
services account (22163).
8. $7,502,241 from the miscellaneous special revenue fund, state
university general income reimbursable account (22653).
9. $135,656,957 from the miscellaneous special revenue fund, state
university revenue offset account (22655).
10. $49,329,802 from the state university dormitory income fund, state
university dormitory income fund (40350).
11. $1,000,000 from the miscellaneous special revenue fund, litigation
settlement and civil recovery account (22117).
§ 23. Subdivision 8 of section 53 of the state finance law, as amended
by chapter 58 of the laws of 1982, is amended to read as follows:
8. Notwithstanding the foregoing provisions of this section, in addi-
tion to the restrictions set forth therein, the governor may authorize a
transfer to the general fund, to a capital projects fund, or to a fund
established to account for revenues from the federal government only
after the approval of:
(1) the temporary president of the senate or the [chairman] CHAIR of
the senate finance committee (THE "SENATE"); and
(2) the speaker of the assembly or the [chairman] CHAIR of the assem-
bly ways and means committee (THE "ASSEMBLY").
PROVIDED HOWEVER, IF EITHER THE SENATE OR THE ASSEMBLY FAILS TO AFFIR-
MATIVELY DENY OR APPROVE SUCH TRANSFER WITHIN TEN DAYS FROM THE DATE ON
WHICH THE GOVERNOR PROVIDES NOTIFICATION OF SUCH TRANSFER, THEN THE
TRANSFER SHALL BE DEEMED APPROVED BY BOTH THE SENATE AND THE ASSEMBLY.
§ 24. Subdivision 6 of section 4 of the state finance law, as amended
by section 25 of part JJ of chapter 56 of the laws of 2020, is amended
to read as follows:
6. Notwithstanding any law to the contrary, at the beginning of the
state fiscal year, the state comptroller is hereby authorized and
directed to receive for deposit to the credit of a fund and/or an
account such monies as are identified by the director of the budget as
having been intended for such deposit to support disbursements from such
fund and/or account made in pursuance of an appropriation by law. As
soon as practicable upon enactment of the budget, the director of the
budget shall, but not less than three days following preliminary
submission to the chairs of the senate finance committee and the assem-
bly ways and means committee, file with the state comptroller an iden-
tification of specific monies to be so deposited. Any subsequent change
regarding the monies to be so deposited shall be filed by the director
of the budget, as soon as practicable, but not less than three days
following preliminary submission to the chairs of the senate finance
committee and the assembly ways and means committee.
S. 8005--A 38 A. 9005--A
All monies identified by the director of the budget to be deposited to
the credit of a fund and/or account shall be consistent with the intent
of the budget for the then current state fiscal year as enacted by the
legislature.
[The provisions of this subdivision shall expire on March thirty-
first, two thousand twenty-two.]
§ 25. Subdivision 4 of section 40 of the state finance law, as amended
by section 26 of part JJ of chapter 56 of the laws of 2020, is amended
to read as follows:
4. Every appropriation made from a fund or account to a department or
agency shall be available for the payment of prior years' liabilities in
such fund or account for fringe benefits, indirect costs, and telecommu-
nications expenses and expenses for other centralized services fund
programs without limit. Every appropriation shall also be available for
the payment of prior years' liabilities other than those indicated
above, but only to the extent of one-half of one percent of the total
amount appropriated to a department or agency in such fund or account.
[The provisions of this subdivision shall expire March thirty-first,
two thousand twenty-two.]
§ 26. Subdivision 2 of section 92-cc of the state finance law, as
amended by section 12-a of part I of chapter 60 of the laws of 2015, is
amended to read as follows:
2. Such fund shall have a maximum balance not to exceed [five] FIFTEEN
per centum of the aggregate amount projected to be disbursed from the
[general fund] STATE OPERATING FUNDS during the fiscal year immediately
following the then-current fiscal year. At the request of the director
of the budget, the state comptroller shall transfer monies to the rainy
day reserve fund up to and including an amount equivalent to [seventy-
five one-hundredths of one] THREE per centum of the aggregate amount
projected to be disbursed from the [general fund] STATE OPERATING FUNDS
during the then-current fiscal year, unless such transfer would increase
the rainy day reserve fund to an amount in excess of [five] FIFTEEN per
centum of the aggregate amount projected to be disbursed from the
[general fund] STATE OPERATING FUNDS during the fiscal year immediately
following the then-current fiscal year, in which event such transfer
shall be limited to such amount as will increase the rainy day reserve
fund to such [five] FIFTEEN per centum limitation.
§ 27. Paragraph (c) of subdivision 4 of section 99-aa of the state
finance law, as added by section 22-d of part XXX of chapter 59 of the
laws of 2017, is amended to read as follows:
(c) At the request of the director of the budget, the state comp-
troller shall transfer monies from the general fund to the trust fund up
to and including an amount equivalent to ONE AND fifty one-hundredths of
one per centum of the total actuarial accrued liability included in the
state of New York comprehensive annual financial report.
§ 28. Subdivision 4 of section 89-h of the state finance law, as
amended by chapter 92 of the laws of 2021, is amended to read as
follows:
4. The moneys of the medical cannabis trust fund, following appropri-
ation by the legislature, shall be allocated upon a certificate of
approval of availability by the director of the budget as follows: (a)
Twenty-two and five-tenths percent of the monies shall be transferred to
the counties in New York state in which the medical cannabis was manu-
factured and allocated in proportion to the gross sales originating from
medical cannabis manufactured in each such county; (b) twenty-two and
five-tenths percent of the moneys shall be transferred to the counties
S. 8005--A 39 A. 9005--A
in New York state in which the medical cannabis was dispensed and allo-
cated in proportion to the gross sales occurring in each such county;
(c) five percent of the monies shall be transferred to the office of
addiction services and supports, which shall use that revenue for addi-
tional drug abuse prevention, counseling and treatment services; (d)
five percent of the revenue received by the department shall be trans-
ferred to the division of criminal justice services, which shall use
that revenue for a program of discretionary grants to state and local
law enforcement agencies that demonstrate a need relating to article
three of the cannabis law; said grants could be used for personnel costs
of state and local law enforcement agencies; and (e) forty-five percent
of the monies shall be [transferred] DEPOSITED to the New York state
cannabis revenue fund. For purposes of this subdivision, the city of New
York shall be deemed to be a county.
§ 29. Notwithstanding any other law, rule, or regulation to the
contrary, the state comptroller is hereby authorized and directed to use
any balance remaining in the mental health services fund debt service
appropriation, after payment by the state comptroller of all obligations
required pursuant to any lease, sublease, or other financing arrangement
between the dormitory authority of the state of New York as successor to
the New York state medical care facilities finance agency, and the
facilities development corporation pursuant to chapter 83 of the laws of
1995 and the department of mental hygiene for the purpose of making
payments to the dormitory authority of the state of New York for the
amount of the earnings for the investment of monies deposited in the
mental health services fund that such agency determines will or may have
to be rebated to the federal government pursuant to the provisions of
the internal revenue code of 1986, as amended, in order to enable such
agency to maintain the exemption from federal income taxation on the
interest paid to the holders of such agency's mental services facilities
improvement revenue bonds. Annually on or before each June 30th, such
agency shall certify to the state comptroller its determination of the
amounts received in the mental health services fund as a result of the
investment of monies deposited therein that will or may have to be
rebated to the federal government pursuant to the provisions of the
internal revenue code of 1986, as amended.
§ 30. Subdivision 1 of section 16 of part D of chapter 389 of the laws
of 1997, relating to the financing of the correctional facilities
improvement fund and the youth facility improvement fund, as amended by
section 25 of part JJJ of chapter 59 of the laws of 2021, is amended to
read as follows:
1. Subject to the provisions of chapter 59 of the laws of 2000, but
notwithstanding the provisions of section 18 of section 1 of chapter 174
of the laws of 1968, the New York state urban development corporation is
hereby authorized to issue bonds, notes and other obligations in an
aggregate principal amount not to exceed [nine billion one hundred thir-
ty-nine million six hundred nineteen thousand dollars $9,139,619,000]
NINE BILLION FIVE HUNDRED TWO MILLION SEVEN HUNDRED THIRTY-NINE THOUSAND
DOLLARS $9,502,739,000, and shall include all bonds, notes and other
obligations issued pursuant to chapter 56 of the laws of 1983, as
amended or supplemented. The proceeds of such bonds, notes or other
obligations shall be paid to the state, for deposit in the correctional
facilities capital improvement fund to pay for all or any portion of the
amount or amounts paid by the state from appropriations or reappropri-
ations made to the department of corrections and community supervision
from the correctional facilities capital improvement fund for capital
S. 8005--A 40 A. 9005--A
projects. The aggregate amount of bonds, notes or other obligations
authorized to be issued pursuant to this section shall exclude bonds,
notes or other obligations issued to refund or otherwise repay bonds,
notes or other obligations theretofore issued, the proceeds of which
were paid to the state for all or a portion of the amounts expended by
the state from appropriations or reappropriations made to the department
of corrections and community supervision; provided, however, that upon
any such refunding or repayment the total aggregate principal amount of
outstanding bonds, notes or other obligations may be greater than [nine
billion one hundred thirty-nine million six hundred nineteen thousand
dollars $9,139,619,000] NINE BILLION FIVE HUNDRED TWO MILLION SEVEN
HUNDRED THIRTY-NINE THOUSAND DOLLARS $9,502,739,000, only if the present
value of the aggregate debt service of the refunding or repayment bonds,
notes or other obligations to be issued shall not exceed the present
value of the aggregate debt service of the bonds, notes or other obli-
gations so to be refunded or repaid. For the purposes hereof, the pres-
ent value of the aggregate debt service of the refunding or repayment
bonds, notes or other obligations and of the aggregate debt service of
the bonds, notes or other obligations so refunded or repaid, shall be
calculated by utilizing the effective interest rate of the refunding or
repayment bonds, notes or other obligations, which shall be that rate
arrived at by doubling the semi-annual interest rate (compounded semi-
annually) necessary to discount the debt service payments on the refund-
ing or repayment bonds, notes or other obligations from the payment
dates thereof to the date of issue of the refunding or repayment bonds,
notes or other obligations and to the price bid including estimated
accrued interest or proceeds received by the corporation including esti-
mated accrued interest from the sale thereof.
§ 31. Subdivision (a) of section 27 of part Y of chapter 61 of the
laws of 2005, relating to providing for the administration of certain
funds and accounts related to the 2005-2006 budget, as amended by
section 26 of part JJJ of chapter 59 of the laws of 2021, is amended to
read as follows:
(a) Subject to the provisions of chapter 59 of the laws of 2000, but
notwithstanding any provisions of law to the contrary, the urban devel-
opment corporation is hereby authorized to issue bonds or notes in one
or more series in an aggregate principal amount not to exceed [three
hundred seventy-four million six hundred thousand dollars $374,600,000]
FOUR HUNDRED TWENTY-SIX MILLION ONE HUNDRED THOUSAND DOLLARS
$426,100,000, excluding bonds issued to finance one or more debt service
reserve funds, to pay costs of issuance of such bonds, and bonds or
notes issued to refund or otherwise repay such bonds or notes previously
issued, for the purpose of financing capital projects including IT
initiatives for the division of state police, debt service and leases;
and to reimburse the state general fund for disbursements made therefor.
Such bonds and notes of such authorized issuer shall not be a debt of
the state, and the state shall not be liable thereon, nor shall they be
payable out of any funds other than those appropriated by the state to
such authorized issuer for debt service and related expenses pursuant to
any service contract executed pursuant to subdivision (b) of this
section and such bonds and notes shall contain on the face thereof a
statement to such effect. Except for purposes of complying with the
internal revenue code, any interest income earned on bond proceeds shall
only be used to pay debt service on such bonds.
S. 8005--A 41 A. 9005--A
§ 32. Subdivision 3 of section 1285-p of the public authorities law,
as amended by section 27 of part JJJ of chapter 59 of the laws of 2021,
is amended to read as follows:
3. The maximum amount of bonds that may be issued for the purpose of
financing environmental infrastructure projects authorized by this
section shall be [seven billion one hundred thirty million ten thousand
dollars $7,130,010,000] EIGHT BILLION EIGHTY-NINE MILLION ONE HUNDRED
TEN THOUSAND DOLLARS $8,089,110,000, exclusive of bonds issued to fund
any debt service reserve funds, pay costs of issuance of such bonds, and
bonds or notes issued to refund or otherwise repay bonds or notes previ-
ously issued. Such bonds and notes of the corporation shall not be a
debt of the state, and the state shall not be liable thereon, nor shall
they be payable out of any funds other than those appropriated by the
state to the corporation for debt service and related expenses pursuant
to any service contracts executed pursuant to subdivision one of this
section, and such bonds and notes shall contain on the face thereof a
statement to such effect.
§ 33. Subdivision (a) of section 48 of part K of chapter 81 of the
laws of 2002, relating to providing for the administration of certain
funds and accounts related to the 2002-2003 budget, as amended by
section 28 of part JJJ of chapter 59 of the laws of 2021, is amended to
read as follows:
(a) Subject to the provisions of chapter 59 of the laws of 2000 but
notwithstanding the provisions of section 18 of the urban development
corporation act, the corporation is hereby authorized to issue bonds or
notes in one or more series in an aggregate principal amount not to
exceed [three hundred forty-seven million five hundred thousand dollars
$347,500,000] THREE HUNDRED EIGHTY-THREE MILLION FIVE HUNDRED THOUSAND
DOLLARS $383,500,000, excluding bonds issued to fund one or more debt
service reserve funds, to pay costs of issuance of such bonds, and bonds
or notes issued to refund or otherwise repay such bonds or notes previ-
ously issued, for the purpose of financing capital costs related to
homeland security and training facilities for the division of state
police, the division of military and naval affairs, and any other state
agency, including the reimbursement of any disbursements made from the
state capital projects fund, and is hereby authorized to issue bonds or
notes in one or more series in an aggregate principal amount not to
exceed [one billion three hundred eight million six hundred eighty-six
thousand dollars $1,308,686,000] ONE BILLION FIVE HUNDRED NINETY-ONE
MILLION NINE HUNDRED EIGHTY-SIX THOUSAND DOLLARS $1,591,986,000, exclud-
ing bonds issued to fund one or more debt service reserve funds, to pay
costs of issuance of such bonds, and bonds or notes issued to refund or
otherwise repay such bonds or notes previously issued, for the purpose
of financing improvements to State office buildings and other facilities
located statewide, including the reimbursement of any disbursements made
from the state capital projects fund. Such bonds and notes of the corpo-
ration shall not be a debt of the state, and the state shall not be
liable thereon, nor shall they be payable out of any funds other than
those appropriated by the state to the corporation for debt service and
related expenses pursuant to any service contracts executed pursuant to
subdivision (b) of this section, and such bonds and notes shall contain
on the face thereof a statement to such effect.
§ 34. Paragraph (c) of subdivision 19 of section 1680 of the public
authorities law, as amended by section 29 of part JJJ of chapter 59 of
the laws of 2021, is amended to read as follows:
S. 8005--A 42 A. 9005--A
(c) Subject to the provisions of chapter fifty-nine of the laws of two
thousand, the dormitory authority shall not issue any bonds for state
university educational facilities purposes if the principal amount of
bonds to be issued when added to the aggregate principal amount of bonds
issued by the dormitory authority on and after July first, nineteen
hundred eighty-eight for state university educational facilities will
exceed [fifteen billion five hundred fifty-five million eight hundred
sixty-four thousand dollars $15,555,864,000] SIXTEEN BILLION THREE
HUNDRED SEVENTY-ONE MILLION EIGHT HUNDRED SIXTY-FOUR THOUSAND DOLLARS
$16,371,864,000; provided, however, that bonds issued or to be issued
shall be excluded from such limitation if: (1) such bonds are issued to
refund state university construction bonds and state university
construction notes previously issued by the housing finance agency; or
(2) such bonds are issued to refund bonds of the authority or other
obligations issued for state university educational facilities purposes
and 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; provided, further that upon certification by
the director of the budget that the issuance of refunding bonds or other
obligations issued between April first, nineteen hundred ninety-two and
March thirty-first, nineteen hundred ninety-three will generate long
term economic benefits to the state, as assessed on a present value
basis, such issuance will be deemed to have met the present value test
noted above. For purposes of this subdivision, the present value of the
aggregate debt service of the refunding bonds and the aggregate debt
service of the bonds refunded, shall be calculated by utilizing the true
interest cost of the refunding bonds, which shall be that rate arrived
at by doubling the semi-annual interest rate (compounded semi-annually)
necessary to discount the debt service payments on the refunding bonds
from the payment dates thereof to the date of issue of the refunding
bonds to the purchase price of the refunding bonds, including interest
accrued thereon prior to the issuance thereof. The maturity of such
bonds, other than bonds issued to refund outstanding bonds, shall not
exceed the weighted average economic life, as certified by the state
university construction fund, of the facilities in connection with which
the bonds are issued, and in any case not later than the earlier of
thirty years or the expiration of the term of any lease, sublease or
other agreement relating thereto; provided that no note, including
renewals thereof, shall mature later than five years after the date of
issuance of such note. The legislature reserves the right to amend or
repeal such limit, and the state of New York, the dormitory authority,
the state university of New York, and the state university construction
fund are prohibited from covenanting or making any other agreements with
or for the benefit of bondholders which might in any way affect such
right.
§ 35. Paragraph (c) of subdivision 14 of section 1680 of the public
authorities law, as amended by section 30 of part JJJ of chapter 59 of
the laws of 2021, is amended to read as follows:
(c) Subject to the provisions of chapter fifty-nine of the laws of two
thousand, (i) the dormitory authority shall not deliver a series of
bonds for city university community college facilities, except to refund
or to be substituted for or in lieu of other bonds in relation to city
university community college facilities pursuant to a resolution of the
dormitory authority adopted before July first, nineteen hundred eighty-
five or any resolution supplemental thereto, if the principal amount of
bonds so to be issued when added to all principal amounts of bonds
S. 8005--A 43 A. 9005--A
previously issued by the dormitory authority for city university commu-
nity college facilities, except to refund or to be substituted in lieu
of other bonds in relation to city university community college facili-
ties will exceed the sum of four hundred twenty-five million dollars and
(ii) the dormitory authority shall not deliver a series of bonds issued
for city university facilities, including community college facilities,
pursuant to a resolution of the dormitory authority adopted on or after
July first, nineteen hundred eighty-five, except to refund or to be
substituted for or in lieu of other bonds in relation to city university
facilities and except for bonds issued pursuant to a resolution supple-
mental to a resolution of the dormitory authority adopted prior to July
first, nineteen hundred eighty-five, if the principal amount of bonds so
to be issued when added to the principal amount of bonds previously
issued pursuant to any such resolution, except bonds issued to refund or
to be substituted for or in lieu of other bonds in relation to city
university facilities, will exceed [nine billion six hundred sixty-one
million thirty thousand dollars $9,661,030,000] TEN BILLION NINETY-EIGHT
MILLION SIX HUNDRED TWENTY-SIX THOUSAND DOLLARS $10,098,626,000. The
legislature reserves the right to amend or repeal such limit, and the
state of New York, the dormitory authority, the city university, and the
fund are prohibited from covenanting or making any other agreements with
or for the benefit of bondholders which might in any way affect such
right.
§ 36. Subdivision 10-a of section 1680 of the public authorities law,
as amended by section 31 of part JJJ of chapter 59 of the laws of 2021,
is amended to read as follows:
10-a. Subject to the provisions of chapter fifty-nine of the laws of
two thousand, but notwithstanding any other provision of the law to the
contrary, the maximum amount of bonds and notes to be issued after March
thirty-first, two thousand two, on behalf of the state, in relation to
any locally sponsored community college, shall be [one billion sixty-six
million two hundred fifty-seven thousand dollars $1,066,257,000] ONE
BILLION ONE HUNDRED TWENTY-THREE MILLION ONE HUNDRED FORTY THOUSAND
DOLLARS $1,123,140,000. Such amount shall be exclusive of bonds and
notes issued to fund any reserve fund or funds, costs of issuance and to
refund any outstanding bonds and notes, issued on behalf of the state,
relating to a locally sponsored community college.
§ 37. Subdivision 1 of section 17 of part D of chapter 389 of the laws
of 1997, relating to the financing of the correctional facilities
improvement fund and the youth facility improvement fund, as amended by
section 32 of part JJJ of chapter 59 of the laws of 2021, is amended to
read as follows:
1. Subject to the provisions of chapter 59 of the laws of 2000, but
notwithstanding the provisions of section 18 of section 1 of chapter 174
of the laws of 1968, the New York state urban development corporation is
hereby authorized to issue bonds, notes and other obligations in an
aggregate principal amount not to exceed [eight hundred seventy-six
million fifteen thousand dollars $876,015,000] NINE HUNDRED ELEVEN
MILLION SEVEN HUNDRED FIFTEEN THOUSAND DOLLARS $911,715,000, which
authorization increases the aggregate principal amount of bonds, notes
and other obligations authorized by section 40 of chapter 309 of the
laws of 1996, and shall include all bonds, notes and other obligations
issued pursuant to chapter 211 of the laws of 1990, as amended or
supplemented. The proceeds of such bonds, notes or other obligations
shall be paid to the state, for deposit in the youth facilities improve-
ment fund, to pay for all or any portion of the amount or amounts paid
S. 8005--A 44 A. 9005--A
by the state from appropriations or reappropriations made to the office
of children and family services from the youth facilities improvement
fund for capital projects. The aggregate amount of bonds, notes and
other obligations authorized to be issued pursuant to this section shall
exclude bonds, notes or other obligations issued to refund or otherwise
repay bonds, notes or other obligations theretofore issued, the proceeds
of which were paid to the state for all or a portion of the amounts
expended by the state from appropriations or reappropriations made to
the office of children and family services; provided, however, that upon
any such refunding or repayment the total aggregate principal amount of
outstanding bonds, notes or other obligations may be greater than [eight
hundred seventy-six million fifteen thousand dollars $876,015,000] NINE
HUNDRED ELEVEN MILLION SEVEN HUNDRED FIFTEEN THOUSAND DOLLARS
$911,715,000, only if the present value of the aggregate debt service of
the refunding or repayment bonds, notes or other obligations to be
issued shall not exceed the present value of the aggregate debt service
of the bonds, notes or other obligations so to be refunded or repaid.
For the purposes hereof, the present value of the aggregate debt service
of the refunding or repayment bonds, notes or other obligations and of
the aggregate debt service of the bonds, notes or other obligations so
refunded or repaid, shall be calculated by utilizing the effective
interest rate of the refunding or repayment bonds, notes or other obli-
gations, which shall be that rate arrived at by doubling the semi-annual
interest rate (compounded semi-annually) necessary to discount the debt
service payments on the refunding or repayment bonds, notes or other
obligations from the payment dates thereof to the date of issue of the
refunding or repayment bonds, notes or other obligations and to the
price bid including estimated accrued interest or proceeds received by
the corporation including estimated accrued interest from the sale ther-
eof.
§ 38. Paragraph b of subdivision 2 of section 9-a of section 1 of
chapter 392 of the laws of 1973, constituting the New York state medical
care facilities finance agency act, as amended by section 33 of part JJJ
of chapter 59 of the laws of 2021, is amended to read as follows:
b. The agency shall have power and is hereby authorized from time to
time to issue negotiable bonds and notes in conformity with applicable
provisions of the uniform commercial code in such principal amount as,
in the opinion of the agency, shall be necessary, after taking into
account other moneys which may be available for the purpose, to provide
sufficient funds to the facilities development corporation, or any
successor agency, for the financing or refinancing of or for the design,
construction, acquisition, reconstruction, rehabilitation or improvement
of mental health services facilities pursuant to paragraph a of this
subdivision, the payment of interest on mental health services improve-
ment bonds and mental health services improvement notes issued for such
purposes, the establishment of reserves to secure such bonds and notes,
the cost or premium of bond insurance or the costs of any financial
mechanisms which may be used to reduce the debt service that would be
payable by the agency on its mental health services facilities improve-
ment bonds and notes and all other expenditures of the agency incident
to and necessary or convenient to providing the facilities development
corporation, or any successor agency, with funds for the financing or
refinancing of or for any such design, construction, acquisition, recon-
struction, rehabilitation or improvement and for the refunding of mental
hygiene improvement bonds issued pursuant to section 47-b of the private
housing finance law; provided, however, that the agency shall not issue
S. 8005--A 45 A. 9005--A
mental health services facilities improvement bonds and mental health
services facilities improvement notes in an aggregate principal amount
exceeding [ten billion four hundred seventy-six million seven hundred
seventy-three thousand dollars $10,476,773,000] TEN BILLION NINE HUNDRED
THIRTY-TWO MILLION SIX HUNDRED THIRTY-THREE THOUSAND DOLLARS
$10,932,633,000, excluding mental health services facilities improvement
bonds and mental health services facilities improvement notes issued to
refund outstanding mental health services facilities improvement bonds
and mental health services facilities improvement notes; provided,
however, that upon any such refunding or repayment of mental health
services facilities improvement bonds and/or mental health services
facilities improvement notes the total aggregate principal amount of
outstanding mental health services facilities improvement bonds and
mental health facilities improvement notes may be greater than [ten
billion four hundred seventy-six million seven hundred seventy-three
thousand dollars $10,476,773,000] TEN BILLION NINE HUNDRED THIRTY-TWO
MILLION SIX HUNDRED THIRTY-THREE THOUSAND DOLLARS $10,932,633,000, only
if, except as hereinafter provided with respect to mental health
services facilities bonds and mental health services facilities notes
issued to refund mental hygiene improvement bonds authorized to be
issued pursuant to the provisions of section 47-b of the private housing
finance law, the present value of the aggregate debt service of the
refunding or repayment bonds to be issued shall not exceed the present
value of the aggregate debt service of the bonds to be refunded or
repaid. For purposes hereof, the present values of the aggregate debt
service of the refunding or repayment bonds, notes or other obligations
and of the aggregate debt service of the bonds, notes or other obli-
gations so refunded or repaid, shall be calculated by utilizing the
effective interest rate of the refunding or repayment bonds, notes or
other obligations, which shall be that rate arrived at by doubling the
semi-annual interest rate (compounded semi-annually) necessary to
discount the debt service payments on the refunding or repayment bonds,
notes or other obligations from the payment dates thereof to the date of
issue of the refunding or repayment bonds, notes or other obligations
and to the price bid including estimated accrued interest or proceeds
received by the authority including estimated accrued interest from the
sale thereof. Such bonds, other than bonds issued to refund outstanding
bonds, shall be scheduled to mature over a term not to exceed the aver-
age useful life, as certified by the facilities development corporation,
of the projects for which the bonds are issued, and in any case shall
not exceed thirty years and the maximum maturity of notes or any
renewals thereof shall not exceed five years from the date of the
original issue of such notes. Notwithstanding the provisions of this
section, the agency shall have the power and is hereby authorized to
issue mental health services facilities improvement bonds and/or mental
health services facilities improvement notes to refund outstanding
mental hygiene improvement bonds authorized to be issued pursuant to the
provisions of section 47-b of the private housing finance law and the
amount of bonds issued or outstanding for such purposes shall not be
included for purposes of determining the amount of bonds issued pursuant
to this section. The director of the budget shall allocate the aggregate
principal authorized to be issued by the agency among the office of
mental health, office for people with developmental disabilities, and
the office of addiction services and supports, in consultation with
their respective commissioners to finance bondable appropriations previ-
ously approved by the legislature.
S. 8005--A 46 A. 9005--A
§ 39. Subdivision (a) of section 28 of part Y of chapter 61 of the
laws of 2005, relating to providing for the administration of certain
funds and accounts related to the 2005-2006 budget, as amended by
section 34 of part JJJ of chapter 59 of the laws of 2021, is amended to
read as follows:
(a) Subject to the provisions of chapter 59 of the laws of 2000, but
notwithstanding any provisions of law to the contrary, one or more
authorized issuers as defined by section 68-a of the state finance law
are hereby authorized to issue bonds or notes in one or more series in
an aggregate principal amount not to exceed [one hundred seventy-two
million dollars $172,000,000] ONE HUNDRED NINETY-SEVEN MILLION DOLLARS
$197,000,000, excluding bonds issued to finance one or more debt service
reserve funds, to pay costs of issuance of such bonds, and bonds or
notes issued to refund or otherwise repay such bonds or notes previously
issued, for the purpose of financing capital projects for public
protection facilities in the Division of Military and Naval Affairs,
debt service and leases; and to reimburse the state general fund for
disbursements made therefor. Such bonds and notes of such authorized
issuer shall not be a debt of the state, and the state shall not be
liable thereon, nor shall they be payable out of any funds other than
those appropriated by the state to such authorized issuer for debt
service and related expenses pursuant to any service contract executed
pursuant to subdivision (b) of this section and such bonds and notes
shall contain on the face thereof a statement to such effect. Except for
purposes of complying with the internal revenue code, any interest
income earned on bond proceeds shall only be used to pay debt service on
such bonds.
§ 40. Section 53 of section 1 of chapter 174 of the laws of 1968,
constituting the New York state urban development corporation act, as
amended by section 35 of part JJJ of chapter 59 of the laws of 2021, is
amended to read as follows:
§ 53. 1. Notwithstanding the provisions of any other law to the
contrary, the dormitory authority and the urban development corporation
are hereby authorized to issue bonds or notes in one or more series for
the purpose of funding project costs for the acquisition of equipment,
including but not limited to the creation or modernization of informa-
tion technology systems and related research and development equipment,
health and safety equipment, heavy equipment and machinery, the creation
or improvement of security systems, and laboratory equipment and other
state costs associated with such capital projects. The aggregate princi-
pal amount of bonds authorized to be issued pursuant to this section
shall not exceed [two hundred ninety-three million dollars $293,000,000]
THREE HUNDRED NINETY-THREE MILLION DOLLARS $393,000,000, excluding bonds
issued to fund one or more debt service reserve funds, to pay costs of
issuance of such bonds, and bonds or notes issued to refund or otherwise
repay such bonds or notes previously issued. Such bonds and notes of the
dormitory authority and the urban development corporation shall not be a
debt of the state, and the state shall not be liable thereon, nor shall
they be payable out of any funds other than those appropriated by the
state to the dormitory authority and the urban development corporation
for principal, interest, and related expenses pursuant to a service
contract and such bonds and notes shall contain on the face thereof a
statement to such effect. Except for purposes of complying with the
internal revenue code, any interest income earned on bond proceeds shall
only be used to pay debt service on such bonds.
S. 8005--A 47 A. 9005--A
2. Notwithstanding any other provision of law to the contrary, in
order to assist the dormitory authority and the urban development corpo-
ration in undertaking the financing for project costs for the acquisi-
tion of equipment, including but not limited to the creation or modern-
ization of information technology systems and related research and
development equipment, health and safety equipment, heavy equipment and
machinery, the creation or improvement of security systems, and labora-
tory equipment and other state costs associated with such capital
projects, the director of the budget is hereby authorized to enter into
one or more service contracts with the dormitory authority and the urban
development corporation, none of which shall exceed thirty years in
duration, upon such terms and conditions as the director of the budget
and the dormitory authority and the urban development corporation agree,
so as to annually provide to the dormitory authority and the urban
development corporation, in the aggregate, a sum not to exceed the prin-
cipal, interest, and related expenses required for such bonds and notes.
Any service contract entered into pursuant to this section shall provide
that the obligation of the state to pay the amount therein provided
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 monies available and that no liability shall be
incurred by the state beyond the monies available for such purpose,
subject to annual appropriation by the legislature. Any such contract or
any payments made or to be made thereunder may be assigned and pledged
by the dormitory authority and the urban development corporation as
security for its bonds and notes, as authorized by this section.
§ 41. Subdivision (b) of section 11 of chapter 329 of the laws of
1991, amending the state finance law and other laws relating to the
establishment of the dedicated highway and bridge trust fund, as amended
by section 36 of part JJJ of chapter 59 of the laws of 2021, is amended
to read as follows:
(b) Any service contract or contracts for projects authorized pursuant
to sections 10-c, 10-f, 10-g and 80-b of the highway law and section
14-k of the transportation law, and entered into pursuant to subdivision
(a) of this section, shall provide for state commitments to provide
annually to the thruway authority a sum or sums, upon such terms and
conditions as shall be deemed appropriate by the director of the budget,
to fund, or fund the debt service requirements of any bonds or any obli-
gations of the thruway authority issued to fund or to reimburse the
state for funding such projects having a cost not in excess of [twelve
billion two hundred sixty million five hundred twenty-eight thousand
dollars $12,260,528,000] THIRTEEN BILLION FIFTY-THREE MILLION EIGHT
HUNDRED EIGHTY-ONE THOUSAND DOLLARS $13,053,881,000 cumulatively by the
end of fiscal year [2021-22] 2022-23. FOR PURPOSES OF THIS SUBDIVISION,
SUCH PROJECTS SHALL BE DEEMED TO INCLUDE CAPITAL GRANTS TO CITIES, TOWNS
AND VILLAGES FOR THE REIMBURSEMENT OF ELIGIBLE CAPITAL COSTS OF LOCAL
HIGHWAY AND BRIDGE PROJECTS WITHIN SUCH MUNICIPALITY, WHERE ALLOCATIONS
TO CITIES, TOWNS AND VILLAGES ARE BASED ON THE TOTAL NUMBER OF NEW YORK
OR UNITED STATES OR INTERSTATE SIGNED TOURING ROUTE MILES FOR WHICH SUCH
MUNICIPALITY HAS CAPITAL MAINTENANCE RESPONSIBILITY, AND WHERE SUCH
ELIGIBLE CAPITAL COSTS INCLUDE THE COSTS OF CONSTRUCTION AND REPAIR OF
HIGHWAYS, BRIDGES, HIGHWAY-RAILROAD CROSSINGS, AND OTHER TRANSPORTATION
FACILITIES FOR PROJECTS WITH A SERVICE LIFE OF TEN YEARS OR MORE.
§ 42. Subdivision 1 of section 1689-i of the public authorities law,
as amended by section 37 of part JJJ of chapter 59 of the laws of 2021,
is amended to read as follows:
S. 8005--A 48 A. 9005--A
1. The dormitory authority is authorized to issue bonds, at the
request of the commissioner of education, to finance eligible library
construction projects pursuant to section two hundred seventy-three-a of
the education law, in amounts certified by such commissioner not to
exceed a total principal amount of [two hundred ninety-nine million
dollars $299,000,000] THREE HUNDRED THIRTEEN MILLION DOLLARS
$313,000,000.
§ 43. Section 44 of section 1 of chapter 174 of the laws of 1968,
constituting the New York state urban development corporation act, as
amended by section 38 of part JJJ of chapter 59 of the laws of 2021, is
amended to read as follows:
§ 44. Issuance of certain bonds or notes. 1. Notwithstanding the
provisions of any other law to the contrary, the dormitory authority and
the corporation are hereby authorized to issue bonds or notes in one or
more series for the purpose of funding project costs for the regional
economic development council initiative, the economic transformation
program, state university of New York college for nanoscale and science
engineering, projects within the city of Buffalo or surrounding envi-
rons, the New York works economic development fund, projects for the
retention of professional football in western New York, the empire state
economic development fund, the clarkson-trudeau partnership, the New
York genome center, the cornell university college of veterinary medi-
cine, the olympic regional development authority, projects at nano
Utica, onondaga county revitalization projects, Binghamton university
school of pharmacy, New York power electronics manufacturing consortium,
regional infrastructure projects, high tech innovation and economic
development infrastructure program, high technology manufacturing
projects in Chautauqua and Erie county, an industrial scale research and
development facility in Clinton county, upstate revitalization initi-
ative projects, downstate revitalization initiative, market New York
projects, fairground buildings, equipment or facilities used to house
and promote agriculture, the state fair, the empire state trail, the
moynihan station development project, the Kingsbridge armory project,
strategic economic development projects, the cultural, arts and public
spaces fund, water infrastructure in the city of Auburn and town of
Owasco, a life sciences laboratory public health initiative, not-for-
profit pounds, shelters and humane societies, arts and cultural facili-
ties improvement program, restore New York's communities initiative,
heavy equipment, economic development and infrastructure projects,
Roosevelt Island operating corporation capital projects, Lake Ontario
regional projects, Pennsylvania station and other transit projects and
other state costs associated with such projects. The aggregate principal
amount of bonds authorized to be issued pursuant to this section shall
not exceed [eleven billion two hundred seventy-nine million two hundred
two thousand dollars $11,279,202,000] THIRTEEN BILLION NINE HUNDRED
THIRTY-EIGHT MILLION FOUR HUNDRED TWO THOUSAND DOLLARS $13,938,402,000,
excluding bonds issued to fund one or more debt service reserve funds,
to pay costs of issuance of such bonds, and bonds or notes issued to
refund or otherwise repay such bonds or notes previously issued. Such
bonds and notes of the dormitory authority and the corporation shall not
be a debt of the state, and the state shall not be liable thereon, nor
shall they be payable out of any funds other than those appropriated by
the state to the dormitory authority and the corporation for principal,
interest, and related expenses pursuant to a service contract and such
bonds and notes shall contain on the face thereof a statement to such
effect. Except for purposes of complying with the internal revenue code,
S. 8005--A 49 A. 9005--A
any interest income earned on bond proceeds shall only be used to pay
debt service on such bonds.
2. Notwithstanding any other provision of law to the contrary, in
order to assist the dormitory authority and the corporation in undertak-
ing the financing for project costs for the regional economic develop-
ment council initiative, the economic transformation program, state
university of New York college for nanoscale and science engineering,
projects within the city of Buffalo or surrounding environs, the New
York works economic development fund, projects for the retention of
professional football in western New York, the empire state economic
development fund, the clarkson-trudeau partnership, the New York genome
center, the cornell university college of veterinary medicine, the olym-
pic regional development authority, projects at nano Utica, onondaga
county revitalization projects, Binghamton university school of pharma-
cy, New York power electronics manufacturing consortium, regional
infrastructure projects, New York State Capital Assistance Program for
Transportation, infrastructure, and economic development, high tech
innovation and economic development infrastructure program, high tech-
nology manufacturing projects in Chautauqua and Erie county, an indus-
trial scale research and development facility in Clinton county, upstate
revitalization initiative projects, downstate revitalization initiative,
market New York projects, fairground buildings, equipment or facilities
used to house and promote agriculture, the state fair, the empire state
trail, the moynihan station development project, the Kingsbridge armory
project, strategic economic development projects, the cultural, arts and
public spaces fund, water infrastructure in the city of Auburn and town
of Owasco, a life sciences laboratory public health initiative, not-for-
profit pounds, shelters and humane societies, arts and cultural facili-
ties improvement program, restore New York's communities initiative,
heavy equipment, economic development and infrastructure projects,
Roosevelt Island operating corporation capital projects, Lake Ontario
regional projects, Pennsylvania station and other transit projects and
other state costs associated with such projects the director of the
budget is hereby authorized to enter into one or more service contracts
with the dormitory authority and the corporation, none of which shall
exceed thirty years in duration, upon such terms and conditions as the
director of the budget and the dormitory authority and the corporation
agree, so as to annually provide to the dormitory authority and the
corporation, in the aggregate, a sum not to exceed the principal, inter-
est, and related expenses required for such bonds and notes. Any service
contract entered into pursuant to this section shall provide that the
obligation of the state to pay the amount therein provided 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 monies available and that no liability shall be incurred by the state
beyond the monies available for such purpose, subject to annual appro-
priation by the legislature. Any such contract or any payments made or
to be made thereunder may be assigned and pledged by the dormitory
authority and the corporation as security for its bonds and notes, as
authorized by this section.
§ 44. Subdivision 1 of section 386-b of the public authorities law, as
amended by section 39 of part JJJ of chapter 59 of the laws of 2021, is
amended to read as follows:
1. Notwithstanding any other provision of law to the contrary, the
authority, the dormitory authority and the urban development corporation
are hereby authorized to issue bonds or notes in one or more series for
S. 8005--A 50 A. 9005--A
the purpose of financing peace bridge projects and capital costs of
state and local highways, parkways, bridges, the New York state thruway,
Indian reservation roads, and facilities, and transportation infrastruc-
ture projects including aviation projects, non-MTA mass transit
projects, and rail service preservation projects, including work appur-
tenant and ancillary thereto. The aggregate principal amount of bonds
authorized to be issued pursuant to this section shall not exceed [eight
billion eight hundred thirty-nine million nine hundred sixty-three thou-
sand dollars $8,839,963,000] TEN BILLION ONE HUNDRED FORTY-SEVEN MILLION
EIGHT HUNDRED SIXTY-THREE THOUSAND DOLLARS $10,147,863,000, excluding
bonds issued to fund one or more debt service reserve funds, to pay
costs of issuance of such bonds, and to refund or otherwise repay such
bonds or notes previously issued. Such bonds and notes of the authori-
ty, the dormitory authority and the urban development corporation shall
not be a debt of the state, and the state shall not be liable thereon,
nor shall they be payable out of any funds other than those appropriated
by the state to the authority, the dormitory authority and the urban
development corporation for principal, interest, and related expenses
pursuant to a service contract and such bonds and notes shall contain on
the face thereof a statement to such effect. Except for purposes of
complying with the internal revenue code, any interest income earned on
bond proceeds shall only be used to pay debt service on such bonds.
§ 45. Paragraph (a) of subdivision 2 of section 47-e of the private
housing finance law, as amended by section 40 of part JJJ of chapter 59
of the laws of 2021, is amended to read as follows:
(a) Subject to the provisions of chapter fifty-nine of the laws of two
thousand, in order to enhance and encourage the promotion of housing
programs and thereby achieve the stated purposes and objectives of such
housing programs, the agency shall have the power and is hereby author-
ized from time to time to issue negotiable housing program bonds and
notes in such principal amount as shall be necessary to provide suffi-
cient funds for the repayment of amounts disbursed (and not previously
reimbursed) pursuant to law or any prior year making capital appropri-
ations or reappropriations for the purposes of the housing program;
provided, however, that the agency may issue such bonds and notes in an
aggregate principal amount not exceeding [seven billion five hundred
forty-five million one hundred seven thousand dollars $7,545,107,000]
TWELVE BILLION FOUR HUNDRED FIFTY-ONE MILLION FIVE HUNDRED ELEVEN THOU-
SAND DOLLARS $12,451,511,000, plus a principal amount of bonds issued to
fund the debt service reserve fund in accordance with the debt service
reserve fund requirement established by the agency and to fund any other
reserves that the agency reasonably deems necessary for the security or
marketability of such bonds and to provide for the payment of fees and
other charges and expenses, including underwriters' discount, trustee
and rating agency fees, bond insurance, credit enhancement and liquidity
enhancement related to the issuance of such bonds and notes. No reserve
fund securing the housing program bonds shall be entitled or eligible to
receive state funds apportioned or appropriated to maintain or restore
such reserve fund at or to a particular level, except to the extent of
any deficiency resulting directly or indirectly from a failure of the
state to appropriate or pay the agreed amount under any of the contracts
provided for in subdivision four of this section.
§ 46. Subdivision 1 of section 50 of section 1 of chapter 174 of the
laws of 1968, constituting the New York state urban development corpo-
ration act, as amended by section 41 of part JJJ of chapter 59 of the
laws of 2021, is amended to read as follows:
S. 8005--A 51 A. 9005--A
1. Notwithstanding the provisions of any other law to the contrary,
the dormitory authority and the urban development corporation are hereby
authorized to issue bonds or notes in one or more series for the purpose
of funding project costs undertaken by or on behalf of the state educa-
tion department, special act school districts, state-supported schools
for the blind and deaf, approved private special education schools,
non-public schools, community centers, day care facilities, residential
camps, day camps, NATIVE AMERICAN INDIAN NATION SCHOOLS, and other state
costs associated with such capital projects. The aggregate principal
amount of bonds authorized to be issued pursuant to this section shall
not exceed [two hundred thirty-six million dollars $236,000,000] THREE
HUNDRED ONE MILLION SEVEN HUNDRED THOUSAND DOLLARS $301,700,000, exclud-
ing bonds issued to fund one or more debt service reserve funds, to pay
costs of issuance of such bonds, and bonds or notes issued to refund or
otherwise repay such bonds or notes previously issued. Such bonds and
notes of the dormitory authority and the urban development corporation
shall not be a debt of the state, and the state shall not be liable
thereon, nor shall they be payable out of any funds other than those
appropriated by the state to the dormitory authority and the urban
development corporation for principal, interest, and related expenses
pursuant to a service contract and such bonds and notes shall contain on
the face thereof a statement to such effect. Except for purposes of
complying with the internal revenue code, any interest income earned on
bond proceeds shall only be used to pay debt service on such bonds.
§ 47. Subdivision 1 of section 47 of section 1 of chapter 174 of the
laws of 1968, constituting the New York state urban development corpo-
ration act, as amended by section 42 of part JJJ of chapter 59 of the
laws of 2021, is amended to read as follows:
1. Notwithstanding the provisions of any other law to the contrary,
the dormitory authority and the corporation are hereby authorized to
issue bonds or notes in one or more series for the purpose of funding
project costs for the office of information technology services, depart-
ment of law, and other state costs associated with such capital
projects. The aggregate principal amount of bonds authorized to be
issued pursuant to this section shall not exceed [nine hundred seventy-
four million two hundred fifty-four thousand dollars $974,254,000] ONE
BILLION ONE HUNDRED TWENTY-FIVE MILLION SIXTY-SIX THOUSAND DOLLARS
$1,125,066,000 excluding bonds issued to fund one or more debt service
reserve funds, to pay costs of issuance of such bonds, and bonds or
notes issued to refund or otherwise repay such bonds or notes previously
issued. Such bonds and notes of the dormitory authority and the corpo-
ration shall not be a debt of the state, and the state shall not be
liable thereon, nor shall they be payable out of any funds other than
those appropriated by the state to the dormitory authority and the
corporation for principal, interest, and related expenses pursuant to a
service contract and such bonds and notes shall contain on the face
thereof a statement to such effect. Except for purposes of complying
with the internal revenue code, any interest income earned on bond
proceeds shall only be used to pay debt service on such bonds.
§ 48. Paragraph (b) of subdivision 1 of section 385 of the public
authorities law, as amended by section 43 of part JJJ of chapter 59 of
the laws of 2021, is amended to read as follows:
(b) The authority is hereby authorized, as additional corporate
purposes thereof solely upon the request of the director of the budget:
(i) to issue special emergency highway and bridge trust fund bonds and
notes for a term not to exceed thirty years and to incur obligations
S. 8005--A 52 A. 9005--A
secured by the moneys appropriated from the dedicated highway and bridge
trust fund established in section eighty-nine-b of the state finance
law; (ii) to make available the proceeds in accordance with instructions
provided by the director of the budget from the sale of such special
emergency highway and bridge trust fund bonds, notes or other obli-
gations, net of all costs to the authority in connection therewith, for
the purposes of financing all or a portion of the costs of activities
for which moneys in the dedicated highway and bridge trust fund estab-
lished in section eighty-nine-b of the state finance law are authorized
to be utilized or for the financing of disbursements made by the state
for the activities authorized pursuant to section eighty-nine-b of the
state finance law; and (iii) to enter into agreements with the commis-
sioner of transportation pursuant to section ten-e of the highway law
with respect to financing for any activities authorized pursuant to
section eighty-nine-b of the state finance law, or agreements with the
commissioner of transportation pursuant to sections ten-f and ten-g of
the highway law in connection with activities on state highways pursuant
to these sections, and (iv) to enter into service contracts, contracts,
agreements, deeds and leases with the director of the budget or the
commissioner of transportation and project sponsors and others to
provide for the financing by the authority of activities authorized
pursuant to section eighty-nine-b of the state finance law, and each of
the director of the budget and the commissioner of transportation are
hereby authorized to enter into service contracts, contracts, agree-
ments, deeds and leases with the authority, project sponsors or others
to provide for such financing. The authority shall not issue any bonds
or notes in an amount in excess of [eighteen billion one hundred fifty
million dollars $18,150,000,000] NINETEEN BILLION SEVEN HUNDRED SEVEN-
TY-SIX MILLION NINE HUNDRED TWENTY THOUSAND DOLLARS $19,776,920,000,
plus a principal amount of bonds or notes: (A) to fund capital reserve
funds; (B) to provide capitalized interest; and, (C) to fund other costs
of issuance. In computing for the purposes of this subdivision, the
aggregate amount of indebtedness evidenced by bonds and notes of the
authority issued pursuant to this section, as amended by a chapter of
the laws of nineteen hundred ninety-six, there shall be excluded the
amount of bonds or notes issued that would constitute interest under the
United States Internal Revenue Code of 1986, as amended, and the amount
of indebtedness issued to refund or otherwise repay bonds or notes.
§ 49. Subdivision 1 of section 386-a of the public authorities law, as
amended by section 44 of part JJJ of chapter 59 of the laws of 2021, is
amended to read as follows:
1. Notwithstanding any other provision of law to the contrary, the
authority, the dormitory authority and the urban development corporation
are hereby authorized to issue bonds or notes in one or more series for
the purpose of assisting the metropolitan transportation authority in
the financing of transportation facilities as defined in subdivision
seventeen of section twelve hundred sixty-one of this chapter or other
capital projects. The aggregate principal amount of bonds authorized to
be issued pursuant to this section shall not exceed twelve billion five
hundred fifteen million eight hundred fifty-six thousand dollars
$12,515,856,000, excluding bonds issued to fund one or more debt service
reserve funds, to pay costs of issuance of such bonds, and to refund or
otherwise repay such bonds or notes previously issued. Such bonds and
notes of the authority, the dormitory authority and the urban develop-
ment corporation shall not be a debt of the state, and the state shall
not be liable thereon, nor shall they be payable out of any funds other
S. 8005--A 53 A. 9005--A
than those appropriated by the state to the authority, the dormitory
authority and the urban development corporation for principal, interest,
and related expenses pursuant to a service contract and such bonds and
notes shall contain on the face thereof a statement to such effect.
Except for purposes of complying with the internal revenue code, any
interest income earned on bond proceeds shall only be used to pay debt
service on such bonds. Notwithstanding any other provision of law to the
contrary, including the limitations contained in subdivision four of
section sixty-seven-b of the state finance law, (A) any bonds and notes
issued prior to April first, two thousand [twenty-two] TWENTY-THREE
pursuant to this section may be issued with a maximum maturity of fifty
years, and (B) any bonds issued to refund such bonds and notes may be
issued with a maximum maturity of fifty years from the respective date
of original issuance of such bonds and notes.
§ 50. Subdivision 1 of section 1680-r of the public authorities law,
as amended by section 47 of part JJJ of chapter 59 of the laws of 2021,
is amended to read as follows:
1. Notwithstanding the provisions of any other law to the contrary,
the dormitory authority and the urban development corporation are hereby
authorized to issue bonds or notes in one or more series for the purpose
of funding project costs for the capital restructuring financing program
for health care and related facilities licensed pursuant to the public
health law or the mental hygiene law and other state costs associated
with such capital projects, the health care facility transformation
programs, the essential health care provider program, and other health
care capital project costs. The aggregate principal amount of bonds
authorized to be issued pursuant to this section shall not exceed [three
billion fifty-three million dollars $3,053,000,000] FOUR BILLION SIX
HUNDRED FIFTY-THREE MILLION DOLLARS $4,653,000,000, excluding bonds
issued to fund one or more debt service reserve funds, to pay costs of
issuance of such bonds, and bonds or notes issued to refund or otherwise
repay such bonds or notes previously issued. Such bonds and notes of the
dormitory authority and the urban development corporation shall not be a
debt of the state, and the state shall not be liable thereon, nor shall
they be payable out of any funds other than those appropriated by the
state to the dormitory authority and the urban development corporation
for principal, interest, and related expenses pursuant to a service
contract and such bonds and notes shall contain on the face thereof a
statement to such effect. Except for purposes of complying with the
internal revenue code, any interest income earned on bond proceeds shall
only be used to pay debt service on such bonds.
§ 51. Subdivision 1 of section 1680-k of the public authorities law,
as amended by section 62 of part BBB of chapter 59 of the laws of 2018,
is amended to read as follows:
1. Subject to the provisions of chapter fifty-nine of the laws of two
thousand, but notwithstanding any provisions of law to the contrary, the
dormitory authority is hereby authorized to issue bonds or notes in one
or more series in an aggregate principal amount not to exceed forty
million [seven hundred fifteen thousand dollars] EIGHT HUNDRED THIRTY
THOUSAND DOLLARS ($40,830,000) excluding bonds issued to finance one or
more debt service reserve funds, to pay costs of issuance of such bonds,
and bonds or notes issued to refund or otherwise repay such bonds or
notes previously issued, for the purpose of financing the construction
of the New York state agriculture and markets food laboratory. Eligible
project costs may include, but not be limited to the cost of design,
financing, site investigations, site acquisition and preparation, demo-
S. 8005--A 54 A. 9005--A
lition, construction, rehabilitation, acquisition of machinery and
equipment, and infrastructure improvements. Such bonds and notes of such
authorized issuers shall not be a debt of the state, and the state shall
not be liable thereon, nor shall they be payable out of any funds other
than those appropriated by the state to such authorized issuers for debt
service and related expenses pursuant to any service contract executed
pursuant to subdivision two of this section and such bonds and notes
shall contain on the face thereof a statement to such effect. Except for
purposes of complying with the internal revenue code, any interest
income earned on bond proceeds shall only be used to pay debt service on
such bonds.
§ 52. Paragraph (b) of subdivision 3 and clause (B) of subparagraph
(iii) of paragraph (j) of subdivision 4 of section 1 of part D of chap-
ter 63 of the laws of 2005 relating to the composition and responsibil-
ities of the New York state higher education capital matching grant
board, as amended by section 7 of part K of chapter 39 of the laws of
2019, are amended to read as follows:
(b) Within amounts appropriated therefor, the board is hereby author-
ized and directed to award matching capital grants totaling [three
hundred million dollars, $300,000,000] THREE HUNDRED THIRTY MILLION
DOLLARS, $330,000,000. Each college shall be eligible for a grant award
amount as determined by the calculations pursuant to subdivision five of
this section. In addition, such colleges shall be eligible to compete
for additional funds pursuant to paragraph (h) of subdivision four of
this section.
(B) The dormitory authority shall not issue any bonds or notes in an
amount in excess of [three hundred million dollars, $300,000,000] THREE
HUNDRED THIRTY MILLION DOLLARS, $330,000,000 for the purposes of this
section; excluding bonds or notes issued to fund one or more debt
service reserve funds, to pay costs of issuance of such bonds, and bonds
or notes issued to refund or otherwise repay such bonds or notes previ-
ously issued. Except for purposes of complying with the internal revenue
code, any interest on bond proceeds shall only be used to pay debt
service on such bonds.
§ 53. Subdivision 1 of section 51 of section 1 of chapter 174 of the
laws of 1968, constituting the New York state urban development corpo-
ration act, as amended by section 42-c of part XXX of chapter 59 of the
laws of 2017, is amended to read as follows:
1. Notwithstanding the provisions of any other law to the contrary,
the dormitory authority and the urban development corporation are hereby
authorized to issue bonds or notes in one or more series for the purpose
of funding project costs for the nonprofit infrastructure capital
investment program and other state costs associated with such capital
projects. The aggregate principal amount of bonds authorized to be
issued pursuant to this section shall not exceed [one hundred twenty
million dollars] ONE HUNDRED SEVENTY MILLION DOLLARS $170,000,000,
excluding bonds issued to fund one or more debt service reserve funds,
to pay costs of issuance of such bonds, and bonds or notes issued to
refund or otherwise repay such bonds or notes previously issued. Such
bonds and notes of the dormitory authority and the urban development
corporation shall not be a debt of the state, and the state shall not be
liable thereon, nor shall they be payable out of any funds other than
those appropriated by the state to the dormitory authority and the urban
development corporation for principal, interest, and related expenses
pursuant to a service contract and such bonds and notes shall contain on
the face thereof a statement to such effect. Except for purposes of
S. 8005--A 55 A. 9005--A
complying with the internal revenue code, any interest income earned on
bond proceeds shall only be used to pay debt service on such bonds.
§ 54. 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 54-b to read as follows:
§ 54-B. PERSONAL INCOME TAX NOTES. 1. FINDINGS AND DECLARATION OF
NEED. (A) THE STATE OF NEW YORK FINDS AND DETERMINES THAT SHORTFALLS IN
THE STATE'S FINANCIAL PLAN ARISING FROM ADVERSE ECONOMIC AND FISCAL
EVENTS AND RISKS, DISASTERS AND EMERGENCIES, INCLUDING BUT NOT LIMITED
TO, PUBLIC HEALTH EMERGENCIES, MAY OCCUR OR DEVELOP, AND THAT THE FINAN-
CIAL IMPACT OF SUCH EVENTS, RISKS, DISASTERS AND EMERGENCIES COULD BE
PRUDENTLY MITIGATED BY CERTAIN FISCAL MANAGEMENT AUTHORIZATION MEASURES
BEING LEGISLATIVELY AUTHORIZED AND ESTABLISHED.
(B) NOTWITHSTANDING ANY OTHER PROVISION OF LAW TO THE CONTRARY,
INCLUDING, SPECIFICALLY, THE PROVISIONS OF CHAPTER 59 OF THE LAWS OF
2000 AND SECTION SIXTY-SEVEN-B OF THE STATE FINANCE LAW, THE DORMITORY
AUTHORITY OF THE STATE OF NEW YORK AND THE CORPORATION ARE HEREBY
AUTHORIZED TO ISSUE PERSONAL INCOME TAX REVENUE ANTICIPATION NOTES WITH
A MATURITY NO LATER THAN MARCH 31, 2023, IN ONE OR MORE SERIES IN AN
AGGREGATE PRINCIPAL AMOUNT FOR EACH FISCAL YEAR NOT TO EXCEED THREE
BILLION DOLLARS, AND TO PAY COSTS OF ISSUANCE OF SUCH NOTES, FOR THE
PURPOSE OF TEMPORARILY FINANCING BUDGETARY NEEDS OF THE STATE. SUCH
PURPOSE SHALL CONSTITUTE AN AUTHORIZED PURPOSE UNDER SUBDIVISION TWO OF
SECTION SIXTY-EIGHT-A OF THE STATE FINANCE LAW FOR ALL PURPOSES OF ARTI-
CLE FIVE-C OF THE STATE FINANCE LAW WITH RESPECT TO THE NOTES AUTHORIZED
BY THIS PARAGRAPH. SUCH NOTES SHALL NOT BE RENEWED, EXTENDED OR
REFUNDED. FOR SO LONG AS ANY NOTES AUTHORIZED BY THIS PARAGRAPH SHALL BE
OUTSTANDING, THE RESTRICTIONS, LIMITATIONS AND REQUIREMENTS CONTAINED IN
ARTICLE FIVE-B OF THE STATE FINANCE LAW SHALL NOT APPLY.
(C) SUCH NOTES OF THE DORMITORY AUTHORITY AND THE CORPORATION SHALL
NOT BE A DEBT OF THE STATE, AND THE STATE SHALL NOT BE LIABLE THEREON,
NOR SHALL THEY BE PAYABLE OUT OF ANY FUNDS OTHER THAN THOSE APPROPRIATED
BY THE STATE TO THE DORMITORY AUTHORITY AND THE CORPORATION FOR DEBT
SERVICE AND RELATED EXPENSES PURSUANT TO ANY FINANCING AGREEMENT
DESCRIBED IN PARAGRAPH (D) OF THIS SUBDIVISION, AND SUCH NOTES SHALL
CONTAIN ON THE FACE THEREOF A STATEMENT TO SUCH EFFECT. SUCH NOTES SHALL
BE ISSUED ON A SUBORDINATE BASIS AND SHALL BE SECURED BY SUBORDINATE
PAYMENTS FROM THE REVENUE BOND TAX FUND ESTABLISHED PURSUANT TO SECTION
NINETY-TWO-Z OF THE STATE FINANCE LAW. EXCEPT FOR PURPOSES OF COMPLYING
WITH THE INTERNAL REVENUE CODE, ANY INTEREST INCOME EARNED ON NOTE
PROCEEDS SHALL ONLY BE USED TO PAY DEBT SERVICE ON SUCH NOTES. ALL OF
THE PROVISIONS OF THE STATE FINANCE LAW, THE DORMITORY AUTHORITY ACT AND
THIS ACT RELATING TO NOTES AND BONDS WHICH ARE NOT INCONSISTENT WITH THE
PROVISIONS OF THIS SECTION SHALL APPLY TO NOTES AUTHORIZED BY PARAGRAPH
(B) OF THIS SUBDIVISION, INCLUDING BUT NOT LIMITED TO THE POWER TO
ESTABLISH ADEQUATE RESERVES THEREFOR, SUBJECT TO THE FINAL MATURITY
LIMITATION FOR SUCH NOTES SET FORTH IN PARAGRAPH (B) OF THIS SUBDIVI-
SION. THE ISSUANCE OF ANY NOTES AUTHORIZED BY PARAGRAPH (B) OF THIS
SUBDIVISION SHALL FURTHER BE SUBJECT TO THE APPROVAL OF THE DIRECTOR OF
THE DIVISION OF THE BUDGET.
(D) NOTWITHSTANDING ANY OTHER LAW, RULE OR REGULATION TO THE CONTRARY
BUT SUBJECT TO THE LIMITATIONS CONTAINED IN PARAGRAPH (B) OF THIS SUBDI-
VISION, IN ORDER TO ASSIST THE DORMITORY AUTHORITY AND THE CORPORATION
IN UNDERTAKING THE ADMINISTRATION AND FINANCING OF SUCH NOTES, THE
DIRECTOR OF THE BUDGET IS HEREBY AUTHORIZED TO SUPPLEMENT ANY EXISTING
FINANCING AGREEMENT WITH THE DORMITORY AUTHORITY AND/OR THE CORPORATION,
S. 8005--A 56 A. 9005--A
OR TO ENTER INTO A NEW FINANCING AGREEMENT WITH THE DORMITORY AUTHORITY
AND/OR THE CORPORATION, UPON SUCH TERMS AND CONDITIONS AS THE DIRECTOR
OF THE BUDGET AND THE DORMITORY AUTHORITY AND THE CORPORATION SHALL
AGREE, SO AS TO PROVIDE TO THE DORMITORY AUTHORITY AND THE CORPORATION,
A SUM NOT TO EXCEED THE DEBT SERVICE PAYMENTS AND RELATED EXPENSES
REQUIRED FOR ANY NOTES ISSUED PURSUANT TO PARAGRAPH (B) OF THIS SUBDIVI-
SION. ANY FINANCING AGREEMENT SUPPLEMENTED OR ENTERED INTO PURSUANT TO
THIS SECTION SHALL PROVIDE THAT THE OBLIGATION OF THE STATE TO PAY THE
AMOUNT THEREIN PROVIDED 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 MONIES AVAILABLE AND THAT NO
LIABILITY SHALL BE INCURRED BY THE STATE BEYOND THE MONIES AVAILABLE FOR
SUCH PURPOSES, SUBJECT TO ANNUAL APPROPRIATION BY THE LEGISLATURE. ANY
SUCH FINANCING AGREEMENT OR ANY PAYMENTS MADE OR TO BE MADE THEREUNDER
MAY BE ASSIGNED OR PLEDGED BY THE DORMITORY AUTHORITY AND THE CORPO-
RATION AS SECURITY FOR THE NOTES AUTHORIZED BY PARAGRAPH (B) OF THIS
SUBDIVISION.
(E) NOTWITHSTANDING ANY OTHER PROVISION OF LAW TO THE CONTRARY,
INCLUDING SPECIFICALLY THE PROVISIONS OF SUBDIVISION 3 OF SECTION 67-B
OF THE STATE FINANCE LAW, NO CAPITAL WORK OR PURPOSE SHALL BE REQUIRED
FOR ANY ISSUANCE OF PERSONAL INCOME TAX REVENUE ANTICIPATION NOTES
ISSUED BY THE DORMITORY AUTHORITY AND THE CORPORATION PURSUANT TO PARA-
GRAPH (B) OF THIS SUBDIVISION.
(F) NOTWITHSTANDING ANY OTHER LAW, RULE, OR REGULATION TO THE CONTRA-
RY, THE COMPTROLLER IS HEREBY AUTHORIZED AND DIRECTED TO DEPOSIT TO THE
CREDIT OF THE GENERAL FUND, ALL PROCEEDS OF PERSONAL INCOME TAX REVENUE
ANTICIPATION NOTES ISSUED BY THE DORMITORY AUTHORITY AND THE NEW YORK
STATE URBAN DEVELOPMENT CORPORATION PURSUANT TO PARAGRAPH (B) OF THIS
SUBDIVISION.
2. EFFECT OF INCONSISTENT PROVISIONS. INSOFAR AS THE PROVISIONS OF
THIS SECTION ARE INCONSISTENT WITH THE PROVISIONS OF ANY OTHER LAW,
GENERAL, SPECIAL, OR LOCAL, THE PROVISIONS OF THIS SECTION SHALL BE
CONTROLLING.
3. SEVERABILITY; CONSTRUCTION. THE PROVISIONS OF THIS SECTION SHALL BE
SEVERABLE, AND IF THE APPLICATION OF ANY CLAUSE, SENTENCE, PARAGRAPH,
SUBDIVISION, SECTION OR PART OF THIS SECTION TO ANY PERSON OR CIRCUM-
STANCE SHALL BE ADJUDGED BY ANY COURT OF COMPETENT JURISDICTION TO BE
INVALID, SUCH JUDGMENT SHALL NOT NECESSARILY AFFECT, IMPAIR OR INVALI-
DATE THE APPLICATION OF ANY SUCH CLAUSE, SENTENCE, PARAGRAPH, SUBDIVI-
SION, SECTION, PART OF THIS SECTION OR REMAINDER THEREOF, AS THE CASE
MAY BE, TO ANY OTHER PERSON OR CIRCUMSTANCE, 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.
§ 55. 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 55-b to read as follows:
§ 55-B. LINE OF CREDIT FACILITIES. 1. FINDINGS AND DECLARATION OF
NEED. (A) THE STATE OF NEW YORK FINDS AND DETERMINES THAT SHORTFALLS IN
THE STATE'S FINANCIAL PLAN ARISING FROM ADVERSE ECONOMIC AND FISCAL
EVENTS AND RISKS, DISASTERS AND EMERGENCIES, INCLUDING BUT NOT LIMITED
TO, PUBLIC HEALTH EMERGENCIES, MAY OCCUR OR DEVELOP, AND THAT THE FINAN-
CIAL IMPACT OF SUCH EVENTS, RISKS, DISASTERS AND EMERGENCIES COULD BE
PRUDENTLY MITIGATED BY CERTAIN FISCAL MANAGEMENT AUTHORIZATION MEASURES
BEING LEGISLATIVELY AUTHORIZED AND ESTABLISHED.
(B) DEFINITIONS. WHEN USED IN THIS SUBDIVISION:
S. 8005--A 57 A. 9005--A
(I) "LINE OF CREDIT FACILITY" SHALL MEAN ONE OR MORE REVOLVING CREDIT
COMMITMENT ARRANGEMENTS BETWEEN THE DORMITORY AUTHORITY OF THE STATE OF
NEW YORK AND/OR THE URBAN DEVELOPMENT CORPORATION WITH AN INDIVIDUAL
FINANCIAL INSTITUTION OR A CONSORTIUM OF FINANCIAL INSTITUTIONS FOR THE
PURPOSE OF ASSISTING THE STATE TO TEMPORARILY FINANCE ITS BUDGETARY
NEEDS.
(II) "RELATED EXPENSES AND FEES" SHALL MEAN INTEREST COSTS, COMMITMENT
FEES AND OTHER COSTS, EXPENSES AND FEES INCURRED IN CONNECTION WITH A
LINE OF CREDIT FACILITY AND/OR A SERVICE CONTRACT OR OTHER AGREEMENT OF
THE STATE SECURING SUCH LINE OF CREDIT FACILITY THAT CONTRACTUALLY OBLI-
GATES THE STATE TO PAY DEBT SERVICE SUBJECT TO AN APPROPRIATION.
(C) NOTWITHSTANDING ANY OTHER PROVISION OF LAW TO THE CONTRARY,
INCLUDING, SPECIFICALLY, THE PROVISIONS OF CHAPTER 59 OF THE LAWS OF
2000 AND SECTION 67-B OF THE STATE FINANCE LAW, THE DORMITORY AUTHORITY
OF THE STATE OF NEW YORK AND THE URBAN DEVELOPMENT CORPORATION ARE
AUTHORIZED UNTIL MARCH 31, 2023 TO: (I) ENTER INTO ONE OR MORE LINE OF
CREDIT FACILITIES NOT IN EXCESS OF TWO BILLION DOLLARS IN AGGREGATE
PRINCIPAL AMOUNT; (II) DRAW, AT ONE OR MORE TIMES AT THE DIRECTION OF
THE DIRECTOR OF THE BUDGET, UPON SUCH LINE OF CREDIT FACILITIES AND
PROVIDE TO THE STATE THE AMOUNTS SO DRAWN FOR THE PURPOSE OF ASSISTING
THE STATE TO TEMPORARILY FINANCE ITS BUDGETARY NEEDS; PROVIDED, HOWEVER,
THAT THE TOTAL PRINCIPAL AMOUNTS OF SUCH DRAWS FOR EACH FISCAL YEAR
SHALL NOT EXCEED TWO BILLION DOLLARS; AND (III) SECURE REPAYMENT OF ALL
DRAWS UNDER SUCH LINE OF CREDIT FACILITIES AND THE PAYMENT OF RELATED
EXPENSES AND FEES, WHICH REPAYMENT AND PAYMENT OBLIGATIONS 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
MONEYS ARE AVAILABLE AND THAT NO LIABILITY SHALL BE INCURRED BY THE
STATE BEYOND THE MONEYS AVAILABLE FOR SUCH PURPOSE, AND THAT SUCH
PAYMENT OBLIGATION IS SUBJECT TO ANNUAL APPROPRIATION BY THE LEGISLA-
TURE. ANY LINE OF CREDIT FACILITY AGREEMENTS ENTERED INTO BY THE DORMI-
TORY AUTHORITY OF THE STATE OF NEW YORK AND/OR THE URBAN DEVELOPMENT
CORPORATION WITH FINANCIAL INSTITUTIONS PURSUANT TO THIS SECTION MAY
CONTAIN SUCH PROVISIONS THAT THE DORMITORY AUTHORITY OF THE STATE OF NEW
YORK AND/OR THE URBAN DEVELOPMENT CORPORATION DEEM NECESSARY OR DESIRA-
BLE FOR THE ESTABLISHMENT OF SUCH CREDIT FACILITIES. THE MAXIMUM TERM OF
ANY LINE OF CREDIT FACILITY SHALL BE ONE YEAR FROM THE DATE OF INCUR-
RENCE; PROVIDED HOWEVER THAT NO DRAW ON ANY SUCH LINE OF CREDIT FACILITY
SHALL OCCUR AFTER MARCH 31, 2023, AND PROVIDED FURTHER THAT ANY SUCH
LINE OF CREDIT FACILITY WHOSE TERM EXTENDS BEYOND MARCH 31, 2023 SHALL
BE SUPPORTED BY SUFFICIENT APPROPRIATION AUTHORITY ENACTED BY THE LEGIS-
LATURE THAT PROVIDES FOR THE REPAYMENT OF ALL AMOUNTS DRAWN AND REMAIN-
ING UNPAID AS OF MARCH 31, 2023, AS WELL AS THE PAYMENT OF RELATED
EXPENSES AND FEES INCURRED AND TO BECOME DUE AND PAYABLE BY THE DORMITO-
RY AUTHORITY OF THE STATE OF NEW YORK AND/OR THE URBAN DEVELOPMENT
CORPORATION.
(D) NOTWITHSTANDING ANY OTHER LAW, RULE, OR REGULATION TO THE CONTRA-
RY, THE COMPTROLLER IS HEREBY AUTHORIZED AND DIRECTED TO DEPOSIT TO THE
CREDIT OF THE GENERAL FUND, ALL AMOUNTS PROVIDED BY THE DORMITORY
AUTHORITY OF THE STATE OF NEW YORK AND/OR THE URBAN DEVELOPMENT CORPO-
RATION TO THE STATE FROM DRAWS MADE ON ANY LINE OF CREDIT FACILITY
AUTHORIZED BY PARAGRAPH (C) OF THIS SUBDIVISION.
(E) NOTWITHSTANDING ANY OTHER PROVISION OF LAW TO THE CONTRARY, FOR SO
LONG AS ANY AMOUNTS UNDER A LINE OF CREDIT FACILITY AUTHORIZED BY PARA-
GRAPH (C) OF THIS SUBDIVISION ARE DUE AND PAYABLE, SUCH AMOUNTS SHALL
NOT CONSTITUTE NOR BE TREATED AS STATE-SUPPORTED DEBT FOR PURPOSES OF
S. 8005--A 58 A. 9005--A
ARTICLE 5-B OF THE STATE FINANCE LAW. AS APPLICABLE, ALL OF THE
PROVISIONS OF THE STATE FINANCE LAW, THE DORMITORY AUTHORITY ACT AND THE
NEW YORK STATE URBAN DEVELOPMENT CORPORATION ACT RELATING TO NOTES AND
BONDS WHICH ARE NOT INCONSISTENT WITH THE PROVISIONS OF THIS SECTION
SHALL APPLY TO ANY LINE OF CREDIT FACILITY ESTABLISHED IN ACCORDANCE
WITH THE AUTHORIZATION CONTAINED IN PARAGRAPH (C) OF THIS SUBDIVISION.
(F) EACH DRAW ON A LINE OF CREDIT FACILITY AUTHORIZED BY PARAGRAPH (C)
OF THIS SUBDIVISION SHALL ONLY BE MADE IF THE SERVICE CONTRACT OR OTHER
AGREEMENT ENTERED INTO IN CONNECTION WITH SUCH LINE OF CREDIT FACILITY
IS SUPPORTED BY SUFFICIENT APPROPRIATION AUTHORITY ENACTED BY THE LEGIS-
LATURE TO REPAY THE AMOUNT OF THE DRAW AND TO PAY THE RELATED EXPENSES
AND FEES TO BECOME DUE AND PAYABLE. AMOUNTS REPAID UNDER A LINE OF CRED-
IT FACILITY MAY BE RE-BORROWED UNDER THE SAME OR ANOTHER LINE OF CREDIT
FACILITY AUTHORIZED BY PARAGRAPH (C) OF THIS SUBDIVISION PROVIDED THAT
THE LEGISLATURE HAS ENACTED SUFFICIENT APPROPRIATION AUTHORITY THAT
PROVIDES FOR THE REPAYMENT OF ANY SUCH RE-BORROWED AMOUNTS AND THE
PAYMENT OF THE RELATED EXPENSES AND FEES TO BECOME DUE AND PAYABLE.
NEITHER THE DORMITORY AUTHORITY OF THE STATE OF NEW YORK NOR THE URBAN
DEVELOPMENT CORPORATION SHALL HAVE ANY FINANCIAL LIABILITY FOR THE
REPAYMENT OF DRAWS UNDER ANY LINE OF CREDIT FACILITY AUTHORIZED BY PARA-
GRAPH (C) OF THIS SUBDIVISION AND THE PAYMENT OF THE RELATED EXPENSES
AND FEES BEYOND THE MONEYS RECEIVED FOR SUCH PURPOSE UNDER ANY SERVICE
CONTRACT OR OTHER AGREEMENT AUTHORIZED BY PARAGRAPH (G) OF THIS SUBDIVI-
SION.
(G) THE DIRECTOR OF THE BUDGET IS AUTHORIZED TO ENTER INTO ONE OR MORE
SERVICE CONTRACTS OR OTHER AGREEMENTS, NONE OF WHICH SHALL EXCEED ONE
YEAR IN DURATION, WITH THE DORMITORY AUTHORITY OF THE STATE OF NEW YORK
AND/OR THE URBAN DEVELOPMENT CORPORATION, UPON SUCH TERMS AND CONDITIONS
AS THE DIRECTOR OF THE BUDGET AND DORMITORY AUTHORITY OF THE STATE OF
NEW YORK AND/OR THE URBAN DEVELOPMENT CORPORATION SHALL AGREE. ANY
SERVICE CONTRACT OR OTHER AGREEMENT ENTERED INTO PURSUANT TO THIS PARA-
GRAPH SHALL PROVIDE FOR STATE COMMITMENTS TO PROVIDE ANNUALLY TO THE
DORMITORY AUTHORITY OF THE STATE OF NEW YORK AND/OR THE URBAN DEVELOP-
MENT CORPORATION A SUM OR SUMS, UPON SUCH TERMS AND CONDITIONS AS SHALL
BE DEEMED APPROPRIATE BY THE DIRECTOR OF THE BUDGET AND THE DORMITORY
AUTHORITY OF THE STATE OF NEW YORK AND/OR THE URBAN DEVELOPMENT CORPO-
RATION, TO FUND THE PAYMENT OF ALL AMOUNTS TO BECOME DUE AND PAYABLE
UNDER ANY LINE OF CREDIT FACILITY. ANY SUCH SERVICE CONTRACT OR OTHER
AGREEMENT SHALL PROVIDE THAT THE OBLIGATION OF THE DIRECTOR OF THE BUDG-
ET OR 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 MONEYS ARE AVAILABLE 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 LEGISLA-
TURE.
(H) ANY SERVICE CONTRACT OR OTHER AGREEMENT ENTERED INTO PURSUANT TO
PARAGRAPH (G) OF THIS SUBDIVISION OR ANY PAYMENTS MADE OR TO BE MADE
THEREUNDER MAY BE ASSIGNED AND PLEDGED BY THE DORMITORY AUTHORITY OF THE
STATE OF NEW YORK AND/OR THE URBAN DEVELOPMENT CORPORATION AS SECURITY
FOR ANY RELATED PAYMENT OBLIGATION IT MAY HAVE WITH ONE OR MORE FINAN-
CIAL INSTITUTIONS IN CONNECTION WITH A LINE OF CREDIT FACILITY AUTHOR-
IZED BY PARAGRAPH (C) OF THIS SUBDIVISION.
(I) IN ADDITION TO THE FOREGOING, THE DIRECTOR OF THE BUDGET, THE
DORMITORY AUTHORITY OF THE STATE OF NEW YORK AND THE URBAN DEVELOPMENT
CORPORATION SHALL EACH BE AUTHORIZED TO ENTER INTO SUCH OTHER AGREEMENTS
S. 8005--A 59 A. 9005--A
AND TO TAKE OR CAUSE TO BE TAKEN SUCH ADDITIONAL ACTIONS AS ARE NECES-
SARY OR DESIRABLE TO EFFECTUATE THE PURPOSES OF THE TRANSACTIONS CONTEM-
PLATED BY A LINE OF CREDIT FACILITY AND THE RELATED SERVICE CONTRACT OR
OTHER AGREEMENT, SUBJECT TO THE LIMITATIONS AND RESTRICTIONS SET FORTH
IN THIS SUBDIVISION.
(J) NO LATER THAN SEVEN DAYS AFTER A DRAW OCCURS ON A LINE OF CREDIT
FACILITY, THE DIRECTOR OF THE BUDGET SHALL PROVIDE NOTIFICATION OF SUCH
DRAW TO THE PRESIDENT PRO TEMPORE OF THE SENATE AND THE SPEAKER OF THE
ASSEMBLY.
2. EFFECT OF INCONSISTENT PROVISIONS. INSOFAR AS THE PROVISIONS OF
THIS SECTION ARE INCONSISTENT WITH THE PROVISIONS OF ANY OTHER LAW,
GENERAL, SPECIAL, OR LOCAL, THE PROVISIONS OF THIS ACT SHALL BE CONTROL-
LING.
3. SEVERABILITY; CONSTRUCTION. THE PROVISIONS OF THIS SECTION SHALL BE
SEVERABLE, AND IF THE APPLICATION OF ANY CLAUSE, SENTENCE, PARAGRAPH,
SUBDIVISION, SECTION OR PART OF THIS SECTION TO ANY PERSON OR CIRCUM-
STANCE SHALL BE ADJUDGED BY ANY COURT OF COMPETENT JURISDICTION TO BE
INVALID, SUCH JUDGMENT SHALL NOT NECESSARILY AFFECT, IMPAIR OR INVALI-
DATE THE APPLICATION OF ANY SUCH CLAUSE, SENTENCE, PARAGRAPH, SUBDIVI-
SION, SECTION, PART OF THIS SECTION OR REMAINDER THEREOF, AS THE CASE
MAY BE, TO ANY OTHER PERSON OR CIRCUMSTANCE, 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.
§ 56. 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 58 to read as follows:
§ 58. GATEWAY PROJECT. 1. FINDINGS AND DECLARATION OF NEED. THE STATE
OF NEW YORK FINDS AND DETERMINES THAT PROVIDING FUNDING FOR THE PASSEN-
GER RAIL TRANSPORTATION PROJECT COMMONLY KNOWN AS THE GATEWAY PROJECT,
IS NEEDED TO PRESERVE AND IMPROVE THE FUNCTIONALITY AND STRENGTHEN THE
RESILIENCY OF LONG-DISTANCE AND COMMUTER RAIL INFRASTRUCTURE BETWEEN THE
STATE OF NEW YORK AND THE STATE OF NEW JERSEY.
2. DEFINITIONS. WHEN USED IN THIS SECTION:
"COMMISSION" SHALL MEAN THE GATEWAY DEVELOPMENT COMMISSION, A BI-STATE
COMMISSION AND A BODY CORPORATE AND POLITIC ESTABLISHED BY THE STATE OF
NEW JERSEY AND THE STATE OF NEW YORK, ACTING IN THE PUBLIC INTEREST AND
EXERCISING ESSENTIAL GOVERNMENTAL FUNCTIONS IN ACCORDANCE WITH THE GATE-
WAY DEVELOPMENT COMMISSION ACT, AND ANY SUCCESSOR THERETO.
"FEDERAL TRANSPORTATION LOAN" SHALL MEAN ONE OR MORE LOANS MADE TO THE
COMMISSION TO FINANCE THE HUDSON TUNNEL PROJECT UNDER OR PURSUANT TO ANY
U.S. DEPARTMENT OF TRANSPORTATION PROGRAM OR ACT, INCLUDING BUT NOT
LIMITED TO THE RAILROAD REHABILITATION & IMPROVEMENT FINANCING PROGRAM
OR THE TRANSPORTATION INFRASTRUCTURE FINANCE AND INNOVATION ACT, WHICH
LOAN OR LOANS ARE RELATED TO THE STATE CAPITAL COMMITMENT.
"GATEWAY DEVELOPMENT COMMISSION ACT" SHALL MEAN CHAPTER 108 OF THE
LAWS OF NEW YORK, 2019, AS AMENDED.
"GATEWAY PROJECT" SHALL MEAN THE PASSENGER RAIL AND RELATED INFRAS-
TRUCTURE PROJECTS UNDERTAKEN BY THE COMMISSION, INCLUDING THE HUDSON
TUNNEL PROJECT.
"HUDSON TUNNEL PROJECT" SHALL MEAN THE PROJECT CONSISTING OF
CONSTRUCTION OF A TUNNEL CONNECTING THE STATES OF NEW YORK AND NEW
JERSEY AND THE COMPLETION OF CERTAIN ANCILLARY FACILITIES INCLUDING
CONSTRUCTION OF CONCRETE CASING AT HUDSON YARDS IN MANHATTAN, NEW YORK
AND THE REHABILITATION OF THE EXISTING NORTH RIVER TUNNELS.
S. 8005--A 60 A. 9005--A
"STATE CAPITAL COMMITMENT" SHALL MEAN AN AGGREGATE PRINCIPAL AMOUNT
NOT TO EXCEED $2,350,000,000, PLUS ANY INTEREST COSTS, INCLUDING CAPI-
TALIZED INTEREST, AND RELATED EXPENSES AND FEES PAYABLE BY THE STATE OF
NEW YORK TO THE COMMISSION UNDER ONE OR MORE SERVICE CONTRACTS OR OTHER
AGREEMENTS PURSUANT TO THIS SECTION, AS WELL AS ANY EXPENSES OF THE
STATE INCURRED IN CONNECTION THEREWITH.
"RELATED EXPENSES AND FEES" SHALL MEAN COMMITMENT FEES AND OTHER
ANCILLARY COSTS, EXPENSES AND FEES INCURRED, AND TO BECOME DUE AND PAYA-
BLE, BY THE COMMISSION IN CONNECTION WITH THE FEDERAL TRANSPORTATION
LOAN.
3. NOTWITHSTANDING ANY OTHER PROVISION OF LAW TO THE CONTRARY, IN
ORDER TO PROVIDE FOR THE PAYMENT FOR THE STATE CAPITAL COMMITMENT, THE
DIRECTOR OF THE BUDGET IS HEREBY AUTHORIZED TO ENTER INTO ONE OR MORE
SERVICE CONTRACTS OR OTHER AGREEMENTS WITH THE COMMISSION, NONE OF WHICH
SHALL EXCEED THE MAXIMUM DURATION OF THE FEDERAL TRANSPORTATION LOAN,
UPON SUCH TERMS AND CONDITIONS AS THE DIRECTOR OF THE BUDGET AND COMMIS-
SION AGREE, SO AS TO PROVIDE TO THE COMMISSION, FOR EACH STATE FISCAL
YEAR, A SUM NOT TO EXCEED THE AMOUNT REQUIRED FOR THE PAYMENT OF THE
STATE CAPITAL COMMITMENT FOR SUCH FISCAL YEAR. ANY SUCH SERVICE CONTRACT
OR OTHER AGREEMENT SHALL PROVIDE THAT THE OBLIGATION OF THE STATE TO PAY
THE AMOUNT THEREIN PROVIDED 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 MONIES AVAILABLE, THAT
NO LIABILITY SHALL BE INCURRED BY THE STATE BEYOND THE MONIES AVAILABLE
FOR SUCH PURPOSE, AND THAT SUCH OBLIGATION IS SUBJECT TO ANNUAL APPRO-
PRIATION BY THE LEGISLATURE. ANY SUCH SERVICE CONTRACT OR OTHER AGREE-
MENT AND ANY PAYMENTS MADE OR TO BE MADE THEREUNDER MAY BE ASSIGNED AND
PLEDGED BY THE COMMISSION AS SECURITY FOR THE REPAYMENT BY THE COMMIS-
SION OF THE FEDERAL TRANSPORTATION LOAN.
4. THE DIRECTOR OF THE BUDGET IS ALSO AUTHORIZED TO ENTER INTO SUCH
OTHER AGREEMENTS AND TO TAKE OR CAUSE TO BE TAKEN SUCH ADDITIONAL
ACTIONS AS ARE NECESSARY OR DESIRABLE TO EFFECTUATE THE PURPOSES OF THE
TRANSACTIONS CONTEMPLATED BY THE STATE CAPITAL COMMITMENT PROVIDED FOR
HEREIN AND THE SERVICE CONTRACT OR OTHER AGREEMENT AUTHORIZED BY SUBDI-
VISION 3 OF THIS SECTION.
§ 57. Subdivisions 4 and 5 of section 16 of part T of chapter 57 of
the laws of 2007, relating to providing for the administration of
certain funds and accounts related to the 2007-2008 budget, are
REPEALED.
§ 58. This act shall take effect immediately and shall be deemed to
have been in full force and effect on and after April 1, 2022; provided,
however, that the provisions of sections one, one-a, two, three, four,
five, six, seven, eight, thirteen, fourteen, fifteen, sixteen, seven-
teen, eighteen, nineteen, twenty, twenty-two, and twenty-three of this
act shall expire March 31, 2023 when upon such date the provisions of
such sections shall be deemed repealed; provided, further, that the
amendments to section 89-h of the state finance law made by section
twenty-eight of this act shall not affect the repeal of such section and
shall be deemed repealed therewith.
PART Z
Section 1. This act shall be known and may be cited as the "independ-
ent ethics commission reform act of 2022".
§ 2. Section 94 of the executive law is REPEALED and a new section 94
is added to read as follows:
S. 8005--A 61 A. 9005--A
§ 94. INDEPENDENT COMMISSION ON ETHICS AND LOBBYING IN GOVERNMENT. 1.
COMMISSION ESTABLISHED. THERE IS HEREBY ESTABLISHED WITHIN THE DEPART-
MENT OF STATE, THE "INDEPENDENT COMMISSION ON ETHICS AND LOBBYING IN
GOVERNMENT", AN INDEPENDENT AGENCY RESPONSIBLE FOR ADMINISTERING,
ENFORCING, AND INTERPRETING NEW YORK STATE'S ETHICS AND LOBBYING LAWS.
THE COMMISSION SHALL HAVE AND EXERCISE THE POWERS AND DUTIES SET FORTH
IN THIS SECTION WITH RESPECT TO STATEWIDE ELECTED OFFICIALS, MEMBERS OF
THE LEGISLATURE AND EMPLOYEES OF THE LEGISLATURE, AND STATE OFFICERS AND
EMPLOYEES AS DEFINED IN SECTION SEVENTY-THREE OF THE PUBLIC OFFICERS
LAW, CANDIDATES FOR STATEWIDE ELECTED OFFICE AND FOR THE SENATE OR
ASSEMBLY, AND THE POLITICAL PARTY CHAIRMAN AS IS DEFINED IN SECTION
SEVENTY-THREE-A OF THE PUBLIC OFFICERS LAW, LOBBYISTS AND THE CLIENTS OF
LOBBYISTS AS DEFINED IN SECTION ONE-C OF THE LEGISLATIVE LAW, AND INDI-
VIDUALS WHO HAVE FORMERLY HELD SUCH POSITIONS, WERE LOBBYISTS OR CLIENTS
OF LOBBYISTS AS DEFINED IN SECTION ONE-C OF THE LEGISLATIVE LAW, OR WHO
HAVE FORMERLY BEEN SUCH CANDIDATES. THIS SECTION SHALL NOT BE DEEMED TO
HAVE REVOKED OR RESCINDED ANY REGULATIONS OR ADVISORY OPINIONS IN EFFECT
ON THE EFFECTIVE DATE OF THIS SECTION THAT WERE ISSUED BY PREDECESSOR
ETHICS AND LOBBYING BODIES. THE COMMISSION SHALL COOPERATE, CONSULT, AND
COORDINATE WITH THE LEGISLATIVE ETHICS COMMISSION, TO THE EXTENT POSSI-
BLE, TO ADMINISTER AND ENFORCE THE LAWS UNDER ITS JURISDICTION.
2. DEFINITIONS. FOR THE PURPOSES OF THIS SECTION, THE FOLLOWING TERMS
SHALL HAVE THE FOLLOWING MEANINGS:
(A) "COMMISSION" MEANS THE INDEPENDENT COMMISSION ON ETHICS AND
LOBBYING IN GOVERNMENT ESTABLISHED PURSUANT TO SUBDIVISION ONE OF THIS
SECTION.
(B) "SELECTION COMMITTEE" MEANS THE COMMITTEE OF THE AMERICAN BAR
ASSOCIATION ACCREDITED NEW YORK STATE-LAW SCHOOL DEANS OR INTERIM DEANS
TASKED WITH SELECTING THE MEMBERS OF THE COMMISSION PURSUANT TO SUBDIVI-
SION THREE OF THIS SECTION.
(C) "RESPONDENT" MEANS THE INDIVIDUAL OR INDIVIDUALS OR ORGANIZATION
OR ORGANIZATIONS SUBJECT TO AN INQUIRY, INVESTIGATION, OR ENFORCEMENT
ACTION.
3. SELECTION COMMITTEE. (A) THE SELECTION COMMITTEE SHALL SELECT FIVE
COMMISSION MEMBERS.
(B) THE SELECTION COMMITTEE SHALL PUBLISH A PROCEDURE BY WHICH IT WILL
SOLICIT AND RECEIVE APPLICATIONS FROM MEMBERS OF THE PUBLIC, REVIEW
QUALIFICATIONS, AND SELECT COMMISSION MEMBERSHIP AND REAPPOINTMENT IN
ACCORDANCE WITH THIS SECTION. THE CHAIR OF THE SELECTION COMMITTEE
SHALL ROTATE ANNUALLY AMONG THE DEANS IN ALPHABETICAL ORDER BY THE NAMES
OF THEIR RESPECTIVE LAW SCHOOLS. APPROPRIATE STAFFING AND OTHER
RESOURCES SHALL BE PROVIDED FOR IN THE COMMISSION'S BUDGET FOR THE
SELECTION COMMITTEE TO CARRY OUT ITS POWERS, FUNCTIONS, AND DUTIES.
(C) THE MAJORITY OF THE SELECTION COMMITTEE SHALL CONSTITUTE A QUORUM
TO HOLD A MEETING.
(D) NOTWITHSTANDING THE PROVISIONS OF ARTICLE SEVEN OF THE PUBLIC
OFFICERS LAW, NO MEETING OR PROCEEDING OF THE SELECTION COMMITTEE SHALL
BE OPEN TO THE PUBLIC, EXCEPT THE APPLICABLE RECORDS PERTAINING TO THE
SELECTION PROCESS FOR A MEMBER'S SEAT SHALL BE SUBJECT TO DISCLOSURE
PURSUANT TO ARTICLE SIX OF THE PUBLIC OFFICERS LAW ONLY AFTER AN INDI-
VIDUAL MEMBER IS APPOINTED TO THE COMMISSION. REQUESTS FOR SUCH RECORDS
SHALL BE MADE TO, AND PROCESSED BY, THE COMMISSION'S RECORDS ACCESS
OFFICER.
(E) IN THE SELECTION OF THE COMMISSION MEMBERS, THE SELECTION COMMIT-
TEE SHALL TAKE ALL APPROPRIATE STEPS TO RECRUIT AND PRIORITIZE THE
SELECTION OF MEMBERS WHO WILL BRING DIVERSITY OF LIVED EXPERIENCE,
S. 8005--A 62 A. 9005--A
DIVERSITY OF GEOGRAPHIC LOCATION, AND PROFESSIONAL EXPERTISE AND SKILL-
SETS, SUCH AS, BUT NOT LIMITED TO, ETHICS, FAMILIARITY WITH THE LOBBYING
INDUSTRY, PUBLIC ADMINISTRATION, COMPLIANCE, OR EDUCATION, TO REFLECT
THE MISSION OF THE COMMISSION.
(F) NO INDIVIDUAL SHALL BE ELIGIBLE FOR APPOINTMENT AS A MEMBER OF THE
COMMISSION WHO IS CURRENTLY, OR HAS WITHIN THE LAST TWO YEARS:
(I) BEEN REGISTERED AS A LOBBYIST IN NEW YORK STATE;
(II) BEEN A MEMBER OF THE NEW YORK STATE LEGISLATURE, A STATEWIDE
ELECTED OFFICIAL, OR A COMMISSIONER OF AN EXECUTIVE AGENCY APPOINTED
BY THE GOVERNOR;
(III) BEEN A POLITICAL PARTY CHAIRMAN, AS DEFINED IN SECTION SEVEN-
TY-THREE OF THE PUBLIC OFFICERS LAW; OR
(IV) BEEN A STATE OFFICER OR EMPLOYEE OR LEGISLATIVE EMPLOYEE AS
DEFINED IN SECTION SEVENTY-THREE OF THE PUBLIC OFFICERS LAW.
4. COMMISSION. (A) THE FIRST CLASS OF MEMBERS OF THE COMMISSION SHALL
SERVE STAGGERED TERMS TO ENSURE CONTINUITY. FOR THE FIRST CLASS OF THE
COMMISSION, TWO MEMBERS SHALL SERVE A TERM OF FOUR YEARS, TWO MEMBERS
SHALL SERVE A TERM OF TWO YEARS, AND ONE MEMBER SHALL SERVE A TERM OF
ONE YEAR. ALL SUBSEQUENT MEMBERS SHALL SERVE A TERM OF FOUR YEARS. NO
MEMBER SHALL BE SELECTED TO THE COMMISSION FOR MORE THAN TWO FULL
CONSECUTIVE TERMS, EXCEPT, THAT A MEMBER WHO HAS HELD THE POSITION BY
FILLING A VACANCY, CAN BE SELECTED TO THE COMMISSION FOR AN ADDITIONAL
TWO FULL CONSECUTIVE TERMS.
(B) THE COMMISSION BY MAJORITY VOTE SHALL ELECT A CHAIRPERSON FROM
AMONG ITS MEMBERS FOR A TERM OF TWO YEARS. A CHAIRPERSON MAY BE ELECTED
TO MORE THAN ONE TERM FOR SUCH OFFICE.
(C) MEMBERS OF THE COMMISSION MAY BE REMOVED BY MAJORITY VOTE OF THE
COMMISSION SOLELY FOR SUBSTANTIAL NEGLECT OF DUTY, MISCONDUCT IN OFFICE,
VIOLATION OF THE CONFIDENTIALITY RESTRICTIONS SET FORTH IN THIS
SECTION, INABILITY TO DISCHARGE THE POWERS OR DUTIES OF OFFICE OR
VIOLATION OF THIS SECTION, AFTER WRITTEN NOTICE AND OPPORTUNITY FOR A
REPLY.
(D) ANY VACANCY OCCURRING ON THE COMMISSION SHALL BE FILLED WITHIN
THIRTY DAYS OF ITS OCCURRENCE IN THE SAME MANNER AS A MEMBER IS INITIAL-
LY SELECTED TO COMPLETE THE VACANT TERM.
(E) DURING THE PERIOD OF A MEMBER'S SERVICE AS A MEMBER OF THE COMMIS-
SION, THE MEMBER SHALL REFRAIN FROM MAKING, OR SOLICITING FROM OTHER
PERSONS, ANY CONTRIBUTIONS TO CANDIDATES FOR ELECTION TO THE OFFICES OF
GOVERNOR, LIEUTENANT GOVERNOR, MEMBER OF THE ASSEMBLY OR THE SENATE,
ATTORNEY GENERAL OR STATE COMPTROLLER.
(F) MEMBERS OF THE COMMISSION SHALL RECEIVE A PER DIEM ALLOWANCE EQUAL
TO THE SALARY OF A JUSTICE OF THE SUPREME COURT DIVIDED BY TWO HUNDRED
TWENTY FOR EACH DAY OR EACH PRO-RATED DAY ACTUALLY SPENT IN THE PERFORM-
ANCE OF THE MEMBER'S DUTIES UNDER THIS SECTION, AND, IN ADDITION THERE-
TO, SHALL BE REIMBURSED FOR ALL REASONABLE EXPENSES ACTUALLY AND NECES-
SARILY INCURRED BY THE MEMBER IN THE PERFORMANCE OF THE MEMBER'S DUTIES
UNDER THIS SECTION. FOR THE PURPOSES OF THIS SUBDIVISION, A DAY SHALL
CONSIST OF AT LEAST SEVEN AND ONE-HALF HOURS SPENT IN THE PERFORMANCE OF
THE MEMBER'S DUTIES UNDER THIS SECTION.
(G) A MEETING MAY BE CALLED BY THE CHAIRPERSON OR THREE MEMBERS OF THE
COMMISSION. THE COMMISSION SHALL BE SUBJECT TO ARTICLES SIX AND SEVEN
OF THE PUBLIC OFFICERS LAW.
(H) THREE MEMBERS OF THE COMMISSION SHALL CONSTITUTE A QUORUM, AND THE
COMMISSION SHALL HAVE THE POWER TO ACT BY MAJORITY VOTE OF THE TOTAL
NUMBER OF MEMBERS OF THE COMMISSION WITHOUT VACANCY.
S. 8005--A 63 A. 9005--A
(I) THE COMMISSION SHALL MEET AT LEAST ONCE PER MONTH FOR AT LEAST TEN
MONTHS IN A CALENDAR YEAR. THE COMMISSION SHALL HOLD A PUBLIC HEARING
AT LEAST ONCE EACH CALENDAR YEAR TO TAKE TESTIMONY REGARDING THE
OPERATION OF THE COMMISSION AND SOLICIT PUBLIC INPUT REGARDING POTENTIAL
OR PROPOSED CHANGES IN THE LAWS UNDER ITS JURISDICTION.
5. POWERS. (A) THE COMMISSION HAS THE AUTHORITY TO: (I) ADOPT, AMEND,
AND RESCIND ANY RULES AND REGULATIONS PERTAINING TO SECTION SEVENTY-
THREE, SEVENTY-THREE-A OR SEVENTY-FOUR OF THE PUBLIC OFFICERS LAW,
ARTICLE ONE-A OF THE LEGISLATIVE LAW, OR SECTION ONE HUNDRED SEVEN OF
THE CIVIL SERVICE LAW; (II) ADOPT, AMEND, AND RESCIND ANY PROCEDURES OF
THE COMMISSION, INCLUDING BUT NOT LIMITED TO, PROCEDURES FOR ADVICE AND
GUIDANCE, TRAINING, FILING, REVIEW, AND ENFORCEMENT OF FINANCIAL DISCLO-
SURE STATEMENTS, INVESTIGATIONS, ENFORCEMENT, AND DUE PROCESS HEARINGS;
AND (III) DEVELOP AND PROMULGATE ANY PROGRAMS FOR REVIEWS, TRAINING, AND
GUIDANCE TO CARRY OUT THE COMMISSION'S MISSION.
(B) THE COMMISSION HAS THE AUTHORITY TO COMPEL THE TESTIMONY OF
WITNESSES, AND MAY ADMINISTER OATHS OR AFFIRMATIONS, SUBPOENA WITNESSES,
COMPEL THEIR ATTENDANCE AND REQUIRE THE PRODUCTION OF ANY BOOKS OR
RECORDS WHICH IT MAY DEEM RELEVANT OR MATERIAL.
6. EXECUTIVE DIRECTOR AND COMMISSION STAFF. THE COMMISSION SHALL:
(A) (I) APPOINT AN EXECUTIVE DIRECTOR WHO SHALL ACT IN ACCORDANCE WITH
THE POLICIES OF THE COMMISSION. THE EXECUTIVE DIRECTOR SHALL BE
APPOINTED WITHOUT REGARD TO POLITICAL AFFILIATION AND SOLELY ON THE
BASIS OF FITNESS TO PERFORM THE DUTIES ASSIGNED BY THIS SECTION, AND
SHALL BE A QUALIFIED, INDEPENDENT PROFESSIONAL. NO INDIVIDUAL SHALL BE
ELIGIBLE TO BE APPOINTED AS AN EXECUTIVE DIRECTOR IF THE INDIVIDUAL IS
CURRENTLY, OR WITHIN THE LAST TWO YEARS HAS BEEN:
(1) REGISTERED AS A LOBBYIST IN NEW YORK STATE;
(2) A MEMBER OF THE NEW YORK STATE LEGISLATURE OR A STATEWIDE ELECTED
OFFICIAL OR A COMMISSIONER OF AN EXECUTIVE AGENCY APPOINTED BY THE
GOVERNOR; OR
(3) A POLITICAL PARTY CHAIRMAN, AS DEFINED IN SECTION SEVENTY-THREE OF
THE PUBLIC OFFICERS LAW.
(II) NOTWITHSTANDING THE PROVISIONS OF THIS SUBDIVISION, THE EXECUTIVE
DIRECTOR MAY BE A CURRENT OR FORMER NEW YORK STATE GOVERNMENT EMPLOYEE.
THE EXECUTIVE DIRECTOR SHALL, PRIOR TO THE INDIVIDUAL'S APPOINTMENT,
HAVE HAD AT LEAST TEN YEARS OF EXPERIENCE IN THE MANAGEMENT OF AUDITING,
INVESTIGATION, AND ENFORCEMENT OF GOVERNMENTAL OPERATIONS, OR MANAGEMENT
OF COMPLEX COMPLIANCE PROGRAMS RELATING TO ETHICS AND LOBBYING.
(III) THE APPOINTMENT AND REMOVAL OF THE EXECUTIVE DIRECTOR SHALL BE
MADE SOLELY BY A MAJORITY VOTE OF THE COMMISSION.
(IV) THE TERM OF OFFICE OF THE EXECUTIVE DIRECTOR SHALL BE FOUR YEARS
FROM THE DATE OF APPOINTMENT. THE SALARY OF THE EXECUTIVE DIRECTOR SHALL
BE DETERMINED BY THE MEMBERS OF THE COMMISSION BASED ON EXPERIENCE.
(V) THE COMMISSION MAY REMOVE THE EXECUTIVE DIRECTOR FOR NEGLECT OF
DUTY, MISCONDUCT IN OFFICE, VIOLATION OF THE CONFIDENTIALITY
RESTRICTIONS IN THIS SECTION, OR INABILITY OR FAILURE TO DISCHARGE THE
POWERS OR DUTIES OF OFFICE, INCLUDING THE FAILURE TO FOLLOW THE LAWFUL
INSTRUCTIONS OF THE COMMISSION.
(B) DELEGATE AUTHORITY TO THE EXECUTIVE DIRECTOR TO ACT IN THE NAME OF
THE COMMISSION BETWEEN MEETINGS OF THE COMMISSION PROVIDED SUCH DELEG-
ATION IS IN WRITING, THE SPECIFIC POWERS TO BE DELEGATED ARE ENUMERATED,
AND THE COMMISSION SHALL NOT DELEGATE ANY DECISIONS SPECIFIED IN THIS
SECTION THAT REQUIRE A VOTE OF THE COMMISSION.
(C) ESTABLISH UNITS WITHIN THE COMMISSION TO CARRY OUT IT DUTIES,
INCLUDING, BUT NOT LIMITED TO, (I) AN ADVICE AND GUIDANCE UNIT, (II) A
S. 8005--A 64 A. 9005--A
TRAINING UNIT, (III) A FINANCIAL DISCLOSURE UNIT, (IV) A LOBBYING UNIT,
AND (V) AN INVESTIGATIONS AND ENFORCEMENT UNIT.
(D) APPOINT SUCH OTHER STAFF AS ARE NECESSARY TO CARRY OUT ITS DUTIES
UNDER THIS SECTION, INCLUDING, BUT NOT LIMITED TO, A DEPUTY DIRECTOR OF
AN ADVICE AND GUIDANCE UNIT TO PROVIDE TIMELY CONFIDENTIAL ADVICE TO
PERSONS SUBJECT TO THE COMMISSION'S JURISDICTION, A DEPUTY DIRECTOR FOR
TRAINING, A DEPUTY DIRECTOR FOR INVESTIGATIONS AND ENFORCEMENT, AND A
DEPUTY DIRECTOR FOR LOBBYING.
(E) REVIEW AND APPROVE A STAFFING PLAN PROVIDED AND PREPARED BY THE
EXECUTIVE DIRECTOR WHICH SHALL CONTAIN, AT A MINIMUM, A LIST OF THE
VARIOUS UNITS AND DIVISIONS AS WELL AS THE NUMBER OF POSITIONS IN EACH
UNIT, TITLES AND THEIR DUTIES, AND SALARIES, AS WELL AS THE VARIOUS
QUALIFICATIONS FOR EACH POSITION INCLUDING, BUT NOT LIMITED TO, EDUCA-
TION AND PRIOR EXPERIENCE FOR EACH POSITION.
7. ADVICE AND GUIDANCE. (A) THE COMMISSION SHALL ESTABLISH A UNIT OR
UNITS SOLELY FOR ETHICS AND LOBBYING GUIDANCE, AND GIVE SUCH PROMPT,
INFORMAL ADVICE TO PERSONS WHOSE CONDUCT IT OVERSEES.
(B) PERSONS RECEIVING SUCH INFORMAL ADVICE MAY RELY ON THAT ADVICE
ABSENT MISREPRESENTATION OR OMISSION OF MATERIAL FACTS TO THE COMMISSION
AND SUCH COMMUNICATIONS WITH THE COMMISSION SHALL BE TREATED AS CONFI-
DENTIAL, EXCEPT AS DISCLOSURE IS NEEDED TO PREVENT OR RECTIFY A
CRIME OR FRAUD, OR PREVENT A SUBSTANTIAL THREAT TO PUBLIC HEALTH OR
SAFETY OR IF REQUIRED BY COURT ORDER.
(C) THE COMMISSION MAY ALSO RENDER, ON WRITTEN REQUEST OR ON ITS OWN
INITIATIVE, ADVISORY OPINIONS, AND MAY ALLOW FOR PUBLIC COMMENT BEFORE
ISSUANCE OF AN ADVISORY OPINION. SUCH AN OPINION RENDERED BY THE
COMMISSION SHALL BE RELIED ON BY THOSE SUBJECT TO THE COMMISSION'S
JURISDICTION AND UNTIL, OR UNLESS, AMENDED, SUPERSEDED, OR REVOKED.
SUCH OPINION MAY ALSO BE RELIED UPON BY ANY SUCH PERSON, AND MAY BE
INTRODUCED AND SHALL BE A DEFENSE, IN ANY CRIMINAL OR CIVIL ACTION.
8. TRAINING. (A) THE COMMISSION SHALL ESTABLISH A TRAINING UNIT AND
SHALL DEVELOP AND ADMINISTER AN ON-GOING PROGRAM FOR THE EDUCATION AND
TRAINING IN ETHICS AND LOBBYING FOR THOSE SUBJECT TO THE PROVISIONS OF
THIS SECTION, AS FOLLOWS:
(I) THE COMMISSION SHALL DEVELOP AND ADMINISTER A COMPREHENSIVE LIVE
OR LIVE-ONLINE ETHICS TRAINING COURSE AND SHALL DESIGNATE AND TRAIN
INSTRUCTORS TO CONDUCT SUCH TRAINING. SUCH LIVE COURSE SHALL BE DESIGNED
TO INCLUDE PRACTICAL APPLICATION OF THE MATERIAL COVERED AND A QUES-
TION-AND-ANSWER PARTICIPATORY SEGMENT. UNLESS THE COMMISSION GRANTS AN
EXTENSION OR WAIVER FOR GOOD CAUSE SHOWN, STATEWIDE ELECTED OFFICIALS,
MEMBERS OF THE LEGISLATURE AND EMPLOYEES OF THE LEGISLATURE, AND STATE
OFFICERS AND EMPLOYEES AS DEFINED IN SECTIONS SEVENTY-THREE AND SEVEN-
TY-THREE-A OF THE PUBLIC OFFICERS LAW, AND THE POLITICAL PARTY CHAIRMAN
AS IS DEFINED IN SECTION SEVENTY-THREE-A OF THE PUBLIC OFFICERS LAW,
SHALL COMPLETE THE LIVE COURSE WITHIN NINETY DAYS OF APPOINTMENT OR
EMPLOYMENT AND SHALL COMPLETE THE LIVE COURSE EVERY TWO YEARS SUBSE-
QUENTLY.
(II) THE COMMISSION SHALL DEVELOP AND ADMINISTER AN ONLINE ETHICS
REFRESHER COURSE FOR ALL INDIVIDUALS LISTED UNDER SUBPARAGRAPH (I) OF
THIS PARAGRAPH WHO HAVE PREVIOUSLY COMPLETED THE LIVE COURSE. SUCH
REFRESHER COURSE SHALL BE DESIGNED TO INCLUDE ANY CHANGES IN LAW, REGU-
LATION, OR POLICY OR IN THE INTERPRETATION THEREOF, AND PRACTICAL APPLI-
CATION OF THE MATERIAL COVERED. UNLESS THE COMMISSION GRANTS AN EXTEN-
SION OR WAIVER FOR GOOD CAUSE SHOWN, SUCH INDIVIDUALS SHALL TAKE SUCH
REFRESHER COURSE ONCE EVERY YEAR AFTER HAVING COMPLETED THE LIVE COURSE
UNDER SUBPARAGRAPH (I) OF THIS PARAGRAPH.
S. 8005--A 65 A. 9005--A
(III) THE COMMISSION SHALL DEVELOP AND ADMINISTER AN ONLINE LIVE QUES-
TION AND ANSWER COURSE FOR AGENCY ETHICS OFFICERS.
(IV) THE COMMISSION SHALL DEVELOP AND ADMINISTER TRAINING COURSES FOR
LOBBYISTS AND CLIENTS OF LOBBYISTS.
(V) THE PROVISIONS OF THIS SUBDIVISION SHALL BE APPLICABLE TO THE
LEGISLATURE EXCEPT TO THE EXTENT THAT AN ETHICS TRAINING PROGRAM IS
OTHERWISE ESTABLISHED BY THE ASSEMBLY AND/OR SENATE FOR THEIR RESPECTIVE
MEMBERS AND EMPLOYEES AND SUCH PROGRAM MEETS OR EXCEEDS EACH OF THE
REQUIREMENTS SET FORTH IN THIS SUBDIVISION.
(VI) ON AN ANNUAL BASIS, THE COMMISSION, IN COORDINATION WITH THE
LEGISLATIVE ETHICS COMMISSION, SHALL DETERMINE THE STATUS OF COMPLIANCE
WITH THE TRAINING REQUIREMENTS UNDER THIS SUBDIVISION BY EACH STATE
AGENCY AND BY THE SENATE AND THE ASSEMBLY. SUCH DETERMINATION SHALL
INCLUDE AGGREGATE STATISTICS REGARDING PARTICIPATION IN SUCH TRAINING
AND SHALL BE REPORTED ON A QUARTERLY BASIS TO THE GOVERNOR AND THE
LEGISLATURE IN WRITING.
9. FINANCIAL DISCLOSURE STATEMENTS. (A) THE COMMISSION MAY DELEGATE
ALL OR PART OF REVIEW, INQUIRY AND ADVICE IN THIS SECTION TO THE STAFF
UNDER THE SUPERVISION OF THE EXECUTIVE DIRECTOR.
(B) THE COMMISSION SHALL MAKE AVAILABLE FORMS FOR ANNUAL STATEMENTS OF
FINANCIAL DISCLOSURE REQUIRED TO BE FILED PURSUANT TO SECTION SEVEN-
TY-THREE-A OF THE PUBLIC OFFICERS LAW; AND THE COMMISSION SHALL UPDATE
THE FINANCIAL DISCLOSURE FORM TO INCLUDE THE TERM "DOMESTIC PARTNER" ON
THE FORM.
(C) THE COMMISSION SHALL REVIEW THE FINANCIAL DISCLOSURE STATEMENTS OF
THE STATEWIDE ELECTED OFFICIALS AND MEMBERS OF THE LEGISLATURE WITHIN
SIXTY DAYS OF THEIR FILINGS TO DETERMINE, AMONG OTHER THINGS, DEFICIEN-
CIES AND CONFLICTS.
(D) THE COMMISSION SHALL REVIEW FINANCIAL DISCLOSURE STATEMENTS FILED
IN ACCORDANCE WITH THE PROVISIONS OF THIS SECTION AND (I) INQUIRE
INTO ANY DISCLOSED CONFLICT TO RECOMMEND HOW BEST TO ADDRESS SUCH
CONFLICT; AND
(II) ASCERTAIN WHETHER ANY PERSON SUBJECT TO THE REPORTING REQUIRE-
MENTS OF SECTION SEVENTY-THREE-A OF THE PUBLIC OFFICERS LAW HAS FAILED
TO FILE SUCH A STATEMENT, HAS FILED A DEFICIENT STATEMENT OR HAS FILED A
STATEMENT WHICH REVEALS A POSSIBLE VIOLATION OF SECTION SEVENTY-THREE,
SEVENTY-THREE-A OR SEVENTY-FOUR OF THE PUBLIC OFFICERS LAW.
(E) IF A PERSON REQUIRED TO FILE A FINANCIAL DISCLOSURE STATEMENT WITH
THE COMMISSION HAS FAILED TO FILE A DISCLOSURE STATEMENT OR HAS FILED A
DEFICIENT STATEMENT, THE COMMISSION SHALL NOTIFY THE REPORTING PERSON IN
WRITING, STATE THE FAILURE TO FILE OR DETAIL THE DEFICIENCY, PROVIDE THE
PERSON WITH A FIFTEEN-DAY PERIOD TO CURE THE DEFICIENCY, AND ADVISE THE
PERSON OF THE PENALTIES FOR FAILURE TO COMPLY WITH THE REPORTING
REQUIREMENTS. THIS FIRST NOTICE OF DEFICIENCY SHALL BE CONFIDENTIAL. IF
THE PERSON FAILS TO MAKE SUCH FILING OR FAILS TO CURE THE DEFICIENCY
WITHIN THE SPECIFIED TIME PERIOD, THE COMMISSION SHALL SEND A NOTICE OF
DELINQUENCY (I) TO THE REPORTING PERSON; (II) IN THE CASE OF A STATEWIDE
ELECTED OFFICIAL, TO THE CHIEF OF STAFF OR COUNSEL TO THE STATEWIDE
ELECTED OFFICIAL; (III) IN THE CASE OF A MEMBER OF THE LEGISLATURE OR A
LEGISLATIVE EMPLOYEE, TO THE TEMPORARY PRESIDENT OF THE SENATE AND THE
SPEAKER OF THE ASSEMBLY; AND (IV) IN THE CASE OF A STATE OFFICER,
EMPLOYEE OR BOARD MEMBER, TO THE APPOINTING AUTHORITY FOR SUCH PERSON.
SUCH NOTICE OF DELINQUENCY MAY BE SENT AT ANY TIME DURING THE REPORTING
PERSON'S SERVICE AS A STATEWIDE ELECTED OFFICIAL, STATE OFFICER OR
EMPLOYEE, MEMBER OF THE ASSEMBLY OR THE SENATE, OR A LEGISLATIVE EMPLOY-
EE OR A POLITICAL PARTY CHAIR OR WHILE A CANDIDATE FOR STATEWIDE OFFICE,
S. 8005--A 66 A. 9005--A
OR WITHIN ONE YEAR AFTER TERMINATION OF SUCH SERVICE OR CANDIDACY. A
COPY OF ANY NOTICE OF DELINQUENCY OR REPORT SHALL BE INCLUDED IN THE
REPORTING PERSON'S FILE AND BE AVAILABLE FOR PUBLIC INSPECTION AND
COPYING PURSUANT TO THE PROVISIONS OF THIS SECTION. THE JURISDICTION OF
THE COMMISSION, WHEN ACTING PURSUANT TO THIS SUBDIVISION WITH RESPECT TO
FINANCIAL DISCLOSURE, SHALL CONTINUE NOTWITHSTANDING THAT THE REPORTING
PERSON SEPARATES FROM STATE SERVICE, OR CEASES TO HOLD PUBLIC OR POLI-
TICAL PARTY OFFICE, OR CEASES TO BE A CANDIDATE, PROVIDED THE COMMISSION
NOTIFIES SUCH PERSON OF THE ALLEGED FAILURE TO FILE OR DEFICIENT FILING
PURSUANT TO THIS SUBDIVISION.
(F) THE COMMISSION SHALL ADOPT A PROCEDURE WHEREBY A PERSON WHO IS
REQUIRED TO FILE AN ANNUAL FINANCIAL DISCLOSURE STATEMENT WITH THE
COMMISSION MAY REQUEST AN ADDITIONAL PERIOD OF TIME WITHIN WHICH TO
FILE SUCH STATEMENT, OTHER THAN MEMBERS OF THE LEGISLATURE, CANDIDATES
FOR MEMBERS OF THE LEGISLATURE AND LEGISLATIVE EMPLOYEES, DUE TO JUSTI-
FIABLE CAUSE OR UNDUE HARDSHIP.
(G) THE COMMISSION MAY PERMIT ANY PERSON WHO IS REQUIRED TO FILE A
FINANCIAL DISCLOSURE STATEMENT WITH THE COMMISSION TO REQUEST THAT THE
COMMISSION DELETE FROM THE COPY THEREOF MADE AVAILABLE FOR PUBLIC
INSPECTION AND COPYING ONE OR MORE ITEMS OF INFORMATION WHICH MAY BE
DELETED BY THE COMMISSION UPON A FINDING BY THE COMMISSION THAT THE
INFORMATION WHICH WOULD OTHERWISE BE REQUIRED TO BE MADE AVAILABLE
FOR PUBLIC INSPECTION AND COPYING WILL HAVE NO MATERIAL BEARING ON THE
DISCHARGE OF THE REPORTING PERSON'S OFFICIAL DUTIES. IF SUCH REQUEST
FOR DELETION IS DENIED, THE COMMISSION, IN ITS NOTIFICATION OF DENIAL,
SHALL INFORM THE PERSON OF THEIR RIGHT TO APPEAL THE COMMISSION'S
DETERMINATION IN A PROCEEDING COMMENCED AGAINST THE COMMISSION, PURSUANT
TO ARTICLE SEVENTY-EIGHT OF THE CIVIL PRACTICE LAW AND RULES.
(H) THE COMMISSION MAY PERMIT ANY PERSON WHO IS REQUIRED TO FILE A
FINANCIAL DISCLOSURE STATEMENT WITH THE COMMISSION TO REQUEST AN
EXEMPTION FROM ANY REQUIREMENT TO REPORT ONE OR MORE ITEMS OF INFOR-
MATION WHICH PERTAIN TO SUCH PERSON'S SPOUSE, DOMESTIC PARTNER, OR
UNEMANCIPATED CHILDREN WHICH ITEM OR ITEMS MAY BE EXEMPTED BY THE
COMMISSION UPON A FINDING BY THE COMMISSION THAT THE REPORTING INDIVID-
UAL'S SPOUSE, DOMESTIC PARTNER, ON THEIR OWN BEHALF, OR ON BEHALF OF AN
UNEMANCIPATED CHILD, OBJECTS TO PROVIDING THE INFORMATION NECESSARY TO
MAKE SUCH DISCLOSURE AND THAT THE INFORMATION WHICH WOULD OTHERWISE
BE REQUIRED TO BE REPORTED SHALL HAVE NO MATERIAL BEARING ON THE
DISCHARGE OF THE REPORTING PERSON'S OFFICIAL DUTIES. IF SUCH
REQUEST FOR EXEMPTION IS DENIED, THE COMMISSION, IN ITS NOTIFICATION OF
DENIAL, SHALL INFORM THE PERSON OF THEIR RIGHT TO APPEAL THE COMMIS-
SION'S DETERMINATION, PURSUANT TO ARTICLE SEVENTY-EIGHT OF THE CIVIL
PRACTICE LAW AND RULES.
(I) THE COMMISSION MAY PERMIT ANY PERSON REQUIRED TO FILE A FINANCIAL
DISCLOSURE STATEMENT TO REQUEST AN EXEMPTION FROM ANY REQUIREMENT TO
REPORT THE IDENTITY OF A CLIENT PURSUANT TO THE QUESTION UNDER SUBPARA-
GRAPH (B) OF PARAGRAPH EIGHT OF SUBDIVISION THREE OF SECTION SEVENTY-
THREE-A OF THE PUBLIC OFFICERS LAW IN SUCH STATEMENT BASED UPON AN
EXEMPTION SET FORTH IN SUCH QUESTION. THE REPORTING INDIVIDUAL NEED NOT
SEEK AN EXEMPTION TO REFRAIN FROM DISCLOSING THE IDENTITY OF ANY
CLIENT WITH RESPECT TO ANY MATTER WHERE THEY OR THEIR FIRM PROVIDED
LEGAL REPRESENTATION TO THE CLIENT IN CONNECTION WITH AN INVESTI-
GATION OR PROSECUTION BY LAW ENFORCEMENT AUTHORITIES, BANKRUPTCY, OR
DOMESTIC RELATIONS MATTERS. IN ADDITION, CLIENTS OR CUSTOMERS
RECEIVING MEDICAL OR DENTAL SERVICES, MENTAL HEALTH SERVICES, RESIDEN-
TIAL REAL ESTATE BROKERING SERVICES, OR INSURANCE BROKERING
S. 8005--A 67 A. 9005--A
SERVICES NEED NOT BE DISCLOSED. PENDING ANY APPLICATION FOR DELETION OR
EXEMPTION TO THE COMMISSION RELATING TO THE FILING OF A FINANCIAL
DISCLOSURE STATEMENT, ALL INFORMATION WHICH IS THE SUBJECT OR PART OF
THE APPLICATION SHALL REMAIN CONFIDENTIAL. UPON AN ADVERSE DETERMINATION
BY THE COMMISSION, THE REPORTING INDIVIDUAL MAY REQUEST, AND UPON
SUCH REQUEST THE COMMISSION SHALL PROVIDE, THAT ANY INFORMATION THAT IS
THE SUBJECT OR PART OF THE APPLICATION REMAIN CONFIDENTIAL FOR A PERI-
OD OF THIRTY DAYS FOLLOWING NOTICE OF SUCH DETERMINATION. IN THE EVENT
THAT THE REPORTING INDIVIDUAL RESIGNS THEIR OFFICE AND HOLDS NO
OTHER OFFICE SUBJECT TO THE JURISDICTION OF THE COMMISSION, THE INFORMA-
TION SHALL NOT BE MADE PUBLIC AND SHALL BE EXPUNGED IN ITS ENTIRETY.
(J) THE COMMISSION SHALL PERMIT ANY PERSON WHO HAS NOT BEEN DETERMINED
BY THE PERSON'S APPOINTING AUTHORITY TO HOLD A POLICY-MAKING POSI-
TION, BUT WHO IS OTHERWISE REQUIRED TO FILE A FINANCIAL DISCLO-
SURE STATEMENT TO REQUEST AN EXEMPTION FROM SUCH REQUIREMENT IN
ACCORDANCE WITH RULES AND REGULATIONS GOVERNING SUCH EXEMPTIONS. SUCH
RULES AND REGULATIONS SHALL PROVIDE FOR EXEMPTIONS TO BE GRANTED EITHER
ON THE APPLICATION OF AN INDIVIDUAL OR ON BEHALF OF PERSONS WHO SHARE
THE SAME JOB TITLE OR EMPLOYMENT CLASSIFICATION WHICH THE COMMISSION
DEEMS TO BE COMPARABLE FOR PURPOSES OF THIS SECTION. SUCH RULES
AND REGULATIONS MAY PERMIT THE GRANTING OF AN EXEMPTION WHERE, IN THE
DISCRETION OF THE COMMISSION, THE PUBLIC INTEREST DOES NOT REQUIRE
DISCLOSURE AND THE APPLICANT'S DUTIES DO NOT INVOLVE THE NEGOTIATION,
AUTHORIZATION OR APPROVAL OF:
(I) CONTRACTS, LEASES, FRANCHISES, REVOCABLE CONSENTS, CONCESSIONS,
VARIANCES, SPECIAL PERMITS, OR LICENSES AS SUCH TERMS ARE DEFINED IN
SECTION SEVENTY-THREE OF THE PUBLIC OFFICERS LAW;
(II) THE PURCHASE, SALE, RENTAL OR LEASE OF REAL PROPERTY, GOODS OR
SERVICES, OR A CONTRACT THEREFOR;
(III) THE OBTAINING OF GRANTS OF MONEY OR LOANS; OR
(IV) THE ADOPTION OR REPEAL OF ANY RULE OR REGULATION HAVING THE FORCE
AND EFFECT OF LAW.
10. INVESTIGATION AND ENFORCEMENT. (A) THE COMMISSION SHALL RECEIVE
COMPLAINTS AND REFERRALS ALLEGING VIOLATIONS OF SECTION SEVENTY-THREE,
SEVENTY-THREE-A OR SEVENTY-FOUR OF THE PUBLIC OFFICERS LAW, ARTICLE
ONE-A OF THE LEGISLATIVE LAW, OR SECTION ONE HUNDRED SEVEN OF THE CIVIL
SERVICE LAW.
(B) THE COMMISSION SHALL CONDUCT ANY INVESTIGATION NECESSARY TO CARRY
OUT THE PROVISIONS OF THIS SECTION. PURSUANT TO THIS POWER AND DUTY, THE
COMMISSION MAY ADMINISTER OATHS OR AFFIRMATIONS, SUBPOENA WITNESSES,
COMPEL THEIR ATTENDANCE AND TESTIMONY, AND REQUIRE THE PRODUCTION OF ANY
BOOKS OR RECORDS WHICH IT MAY DEEM RELEVANT OR MATERIAL.
(C) THE COMMISSION STAFF SHALL REVIEW AND INVESTIGATE, AS APPROPRIATE,
ANY INFORMATION IN THE NATURE OF A COMPLAINT OR REFERRAL RECEIVED BY THE
COMMISSION OR INITIATED BY THE COMMISSION, INCLUDING THROUGH ITS REVIEW
OF MEDIA REPORTS AND OTHER INFORMATION, WHERE THERE IS SPECIFIC AND
CREDIBLE EVIDENCE THAT A VIOLATION OF SECTION SEVENTY-THREE, SEVENTY-
THREE-A, OR SEVENTY-FOUR OF THE PUBLIC OFFICERS LAW, SECTION ONE HUNDRED
SEVEN OF THE CIVIL SERVICE LAW OR ARTICLE ONE-A OF THE LEGISLATIVE LAW
BY A PERSON OR ENTITY SUBJECT TO THE JURISDICTION OF THE COMMISSION
INCLUDING MEMBERS OF THE LEGISLATURE AND LEGISLATIVE EMPLOYEES AND
CANDIDATES FOR MEMBERS OF THE LEGISLATURE.
(D) UPON THE CONCLUSION OF AN INVESTIGATION, IF THE COMMISSION DETER-
MINES THERE IS CREDIBLE EVIDENCE OF A VIOLATION OF THE LAWS UNDER ITS
JURISDICTION, IT SHALL PROVIDE THE RESPONDENT TIMELY NOTICE FOR A DUE
PROCESS HEARING. THE COMMISSION SHALL ALSO INFORM THE RESPONDENT OF ITS
S. 8005--A 68 A. 9005--A
RULES REGARDING THE CONDUCT OF ADJUDICATORY PROCEEDINGS AND APPEALS AND
THE OTHER DUE PROCESS PROCEDURAL MECHANISMS AVAILABLE TO THE RESPONDENT.
(E) THE HEARING SHALL BE CONDUCTED BEFORE AN INDEPENDENT ARBITRATOR.
SUCH HEARING SHALL AFFORD THE RESPONDENT WITH A REASONABLE OPPORTUNITY
TO APPEAR IN PERSON, AND BY ATTORNEY, GIVE SWORN TESTIMONY, PRESENT
EVIDENCE, AND CROSS-EXAMINE WITNESSES.
(F) THE COMMISSION MAY, AT ANY TIME, DEVELOP PROCEDURES AND RULES FOR
RESOLUTION OF DE MINIMUS OR MINOR VIOLATIONS THAT CAN BE RESOLVED
OUTSIDE OF THE ENFORCEMENT PROCESS, INCLUDING THE SENDING OF A CONFIDEN-
TIAL GUIDANCE OR EDUCATIONAL LETTER.
(G) THE JURISDICTION OF THE COMMISSION WHEN ACTING PURSUANT TO THIS
SECTION SHALL CONTINUE NOTWITHSTANDING THAT A STATEWIDE ELECTED OFFICIAL
OR A STATE OFFICER OR EMPLOYEE OR MEMBER OF THE LEGISLATURE OR LEGISLA-
TIVE EMPLOYEE SEPARATES FROM STATE SERVICE, OR A POLITICAL PARTY CHAIR
CEASES TO HOLD SUCH OFFICE, OR A CANDIDATE CEASES TO BE A CANDIDATE, OR
A LOBBYIST OR CLIENT OF A LOBBYIST CEASES TO ACT AS SUCH, PROVIDED THAT
THE COMMISSION NOTIFIES SUCH INDIVIDUAL OR ENTITY OF THE ALLEGED
VIOLATION OF LAW WITHIN TWO YEARS FROM THE INDIVIDUAL'S SEPARATION FROM
STATE SERVICE OR TERMINATION OF PARTY SERVICE OR CANDIDACY, OR FROM THE
LAST REPORT FILED PURSUANT TO ARTICLE ONE-A OF THE LEGISLATIVE LAW.
NOTHING IN THIS SECTION SHALL SERVE TO LIMIT THE JURISDICTION OF THE
COMMISSION IN ENFORCEMENT OF SUBDIVISION EIGHT OF SECTION SEVENTY-THREE
OF THE PUBLIC OFFICERS LAW.
(I) AN INDIVIDUAL SUBJECT TO THE JURISDICTION OF THE COMMISSION WHO
KNOWINGLY AND INTENTIONALLY VIOLATES THE PROVISIONS OF SUBDIVISIONS TWO
THROUGH FIVE-A, SEVEN, EIGHT, TWELVE OR FOURTEEN THROUGH SEVENTEEN OF
SECTION SEVENTY-THREE OF THE PUBLIC OFFICERS LAW, SECTION ONE HUNDRED
SEVEN OF THE CIVIL SERVICE LAW, OR A REPORTING INDIVIDUAL WHO KNOWINGLY
AND WILLFULLY FAILS TO FILE AN ANNUAL STATEMENT OF FINANCIAL DISCLOSURE
OR WHO KNOWINGLY AND WILLFULLY WITH INTENT TO DECEIVE MAKES A FALSE
STATEMENT OR FRAUDULENT OMISSION OR GIVES INFORMATION WHICH SUCH INDI-
VIDUAL KNOWS TO BE FALSE ON SUCH STATEMENT OF FINANCIAL DISCLOSURE FILED
PURSUANT TO SECTION SEVENTY-THREE-A OF THE PUBLIC OFFICERS LAW, SHALL BE
SUBJECT TO A CIVIL PENALTY IN AN AMOUNT NOT TO EXCEED FORTY THOUSAND
DOLLARS AND THE VALUE OF ANY GIFT, COMPENSATION OR BENEFIT RECEIVED AS A
RESULT OF SUCH VIOLATION.
(II) AN INDIVIDUAL WHO KNOWINGLY AND INTENTIONALLY VIOLATES THE
PROVISIONS OF PARAGRAPH A, B, C, D, E, G, OR I OF SUBDIVISION THREE OF
SECTION SEVENTY-FOUR OF THE PUBLIC OFFICERS LAW, SHALL BE SUBJECT TO A
CIVIL PENALTY IN AN AMOUNT NOT TO EXCEED TEN THOUSAND DOLLARS AND THE
VALUE OF ANY GIFT, COMPENSATION OR BENEFIT RECEIVED AS A RESULT OF SUCH
VIOLATION.
(III) AN INDIVIDUAL SUBJECT TO THE JURISDICTION OF THE COMMISSION WHO
KNOWINGLY AND WILLFULLY VIOLATES ARTICLE ONE-A OF THE LEGISLATIVE LAW
SHALL BE SUBJECT TO CIVIL PENALTY AS PROVIDED FOR IN THAT ARTICLE.
(IV) WITH RESPECT TO A POTENTIAL VIOLATION OF ANY CRIMINAL LAW WHERE
THE COMMISSION FINDS SUFFICIENT CAUSE BY A MAJORITY VOTE, IT SHALL REFER
SUCH MATTER TO THE APPROPRIATE LAW ENFORCEMENT AUTHORITY FOR FURTHER
INVESTIGATION.
(V) IN ASSESSING THE AMOUNT OF THE CIVIL PENALTIES TO BE IMPOSED, THE
COMMISSION SHALL CONSIDER THE SERIOUSNESS OF THE VIOLATION, THE AMOUNT
OF GAIN TO THE INDIVIDUAL AND WHETHER THE INDIVIDUAL PREVIOUSLY HAD ANY
CIVIL OR CRIMINAL PENALTIES IMPOSED PURSUANT TO THIS SECTION, AND ANY
OTHER FACTORS THE COMMISSION DEEMS APPROPRIATE.
(VI) A CIVIL PENALTY FOR FALSE FILING SHALL NOT BE IMPOSED UNDER THIS
SUBDIVISION IN THE EVENT A CATEGORY OF "VALUE" OR "AMOUNT" REPORTED
S. 8005--A 69 A. 9005--A
HEREUNDER IS INCORRECT UNLESS SUCH REPORTED INFORMATION IS FALSELY
UNDERSTATED.
(VII) NOTWITHSTANDING ANY OTHER PROVISION OF LAW TO THE CONTRARY, NO
OTHER PENALTY, CIVIL OR CRIMINAL MAY BE IMPOSED FOR A FAILURE TO FILE,
OR FOR A FALSE FILING, OF SUCH STATEMENT, OR A VIOLATION OF SUBDIVISION
SIX OF SECTION SEVENTY-THREE OF THE PUBLIC OFFICERS LAW, EXCEPT THAT THE
COMMISSION MAY RECOMMEND THAT THE INDIVIDUAL IN VIOLATION OF SUCH SUBDI-
VISION OR SECTION BE DISCIPLINED.
(VIII) THE COMMISSION SHALL BE DEEMED TO BE AN AGENCY WITHIN THE MEAN-
ING OF ARTICLE THREE OF THE STATE ADMINISTRATIVE PROCEDURE ACT AND SHALL
ADOPT RULES GOVERNING THE CONDUCT OF ADJUDICATORY PROCEEDINGS AND
APPEALS TAKEN PURSUANT TO A PROCEEDING COMMENCED UNDER ARTICLE SEVENTY-
EIGHT OF THE CIVIL PRACTICE LAW AND RULES RELATING TO THE ASSESSMENT OF
THE CIVIL PENALTIES OR THE RECOMMENDATION OF EMPLOYEE DISCIPLINE HEREIN
AUTHORIZED. SUCH RULE SHALL PROVIDE FOR DUE PROCESS PROCEDURAL MECH-
ANISMS SUBSTANTIALLY SIMILAR TO THOSE SET FORTH IN ARTICLE THREE OF THE
STATE ADMINISTRATIVE PROCEDURE ACT BUT SUCH MECHANISMS NEED NOT BE IDEN-
TICAL IN TERMS OR SCOPE.
(H) (I) THE COMMISSION SHALL HAVE JURISDICTION TO INVESTIGATE, BUT
SHALL HAVE NO JURISDICTION TO IMPOSE PENALTIES OR DISCIPLINE UPON
MEMBERS OF OR CANDIDATES FOR MEMBER OF THE LEGISLATURE OR LEGISLATIVE
EMPLOYEES FOR ANY VIOLATION OF THE PUBLIC OFFICERS LAW. IF, AFTER INVES-
TIGATION AND A DUE PROCESS HEARING, THE COMMISSION HAS FOUND, BY A
MAJORITY VOTE, A SUBSTANTIAL BASIS TO CONCLUDE THAT A MEMBER OF THE
LEGISLATURE OR A LEGISLATIVE EMPLOYEE OR CANDIDATE FOR MEMBER OF THE
LEGISLATURE HAS VIOLATED ANY PROVISIONS OF SUCH LAWS, IT SHALL PREPARE A
WRITTEN REPORT OF ITS FINDINGS AND PROVIDE A COPY OF THAT REPORT TO THE
LEGISLATIVE ETHICS COMMISSION, AND TO SUCH INDIVIDUAL IN VIOLATION OF
SUCH LAW. THE COMMISSION SHALL PROVIDE TO THE LEGISLATIVE ETHICS
COMMISSION COPIES OF THE FULL INVESTIGATIVE FILE AND HEARING RECORD.
(II) WITH RESPECT TO THE INVESTIGATION OF ANY INDIVIDUAL WHO IS NOT A
MEMBER OF THE LEGISLATURE OR A LEGISLATIVE EMPLOYEE OR CANDIDATE FOR
MEMBER OF THE LEGISLATURE, IF AFTER ITS INVESTIGATION AND DUE PROCESS
HEARING, THE COMMISSION HAS FOUND A SUBSTANTIAL BASIS TO CONCLUDE THAT
THE INDIVIDUAL HAS VIOLATED THE PUBLIC OFFICERS LAW OR THE LEGISLATIVE
LAW, THE COMMISSION SHALL DETERMINE WHETHER, IN ADDITION TO OR IN LIEU
OF ANY FINE AUTHORIZED BY THIS ARTICLE, THE RESPONDENT SHOULD BE
REFERRED TO THEIR EMPLOYER FOR DISCIPLINE WITH A WARNING, ADMONITION,
CENSURE, SUSPENSION OR TERMINATION OR OTHER APPROPRIATE DISCIPLINE. WITH
REGARD TO STATEWIDE ELECTED OFFICIALS, THE COMMISSION MAY NOT ORDER
SUSPENSION OR TERMINATION BUT MAY RECOMMEND IMPEACHMENT. THE COMMISSION
SHALL THEN ISSUE A REPORT CONTAINING ITS DETERMINATIONS INCLUDING ITS
FINDINGS OF FACT AND CONCLUSIONS OF LAW TO THE RESPONDENT. THE COMMIS-
SION SHALL PUBLISH SUCH REPORT ON ITS WEBSITE WITHIN TWENTY DAYS OF ITS
DELIVERY TO THE RESPONDENT.
11. CONFIDENTIALITY. (A) WHEN AN INDIVIDUAL BECOMES A COMMISSIONER OR
STAFF OF THE COMMISSION, SUCH INDIVIDUAL SHALL BE REQUIRED TO SIGN A
NON-DISCLOSURE STATEMENT.
(B) EXCEPT AS OTHERWISE REQUIRED OR PROVIDED BY LAW, TESTIMONY
RECEIVED, OR ANY OTHER INFORMATION OBTAINED BY A COMMISSIONER OR STAFF
OF THE COMMISSION, SHALL NOT BE DISCLOSED BY ANY SUCH INDIVIDUAL TO ANY
PERSON OR ENTITY OUTSIDE OF THE COMMISSION DURING THE PENDENCY OF ANY
MATTER. ANY CONFIDENTIAL COMMUNICATION TO ANY PERSON OR ENTITY OUTSIDE
THE COMMISSION RELATED TO THE MATTERS BEFORE THE COMMISSION SHALL OCCUR
ONLY AS AUTHORIZED BY THE COMMISSION. FOR THE PURPOSES OF THIS PARA-
S. 8005--A 70 A. 9005--A
GRAPH, "MATTER" SHALL MEAN ANY COMPLAINT, REVIEW, INQUIRY, OR INVESTI-
GATION INTO ALLEGED VIOLATIONS OF THIS CHAPTER.
(C) THE COMMISSION SHALL ESTABLISH PROCEDURES NECESSARY TO PREVENT THE
UNAUTHORIZED DISCLOSURE OF ANY INFORMATION RECEIVED BY ANY MEMBER OF THE
COMMISSION OR STAFF OF THE COMMISSION. ANY BREACHES OF CONFIDENTIALITY
MAY BE INVESTIGATED BY THE NEW YORK STATE OFFICE OF THE INSPECTOR GENER-
AL, ATTORNEY GENERAL, OR OTHER APPROPRIATE LAW ENFORCEMENT AUTHORITY
UPON A MAJORITY VOTE OF THE COMMISSION TO REFER, AND APPROPRIATE ACTION
SHALL BE TAKEN.
(D) ANY COMMISSION MEMBER OR PERSON EMPLOYED BY THE COMMISSION WHO
INTENTIONALLY AND WITHOUT AUTHORIZATION RELEASES CONFIDENTIAL INFORMA-
TION RECEIVED OR GENERATED BY THE COMMISSION SHALL BE GUILTY OF A CLASS
A MISDEMEANOR.
12. ANNUAL REPORT. (A) THE COMMISSION SHALL MAKE AN ANNUAL PUBLIC
REPORT PRIORITIZING TRANSPARENCY AND SUMMARIZING THE ACTIVITIES OF THE
COMMISSION DURING THE PREVIOUS YEAR AND RECOMMENDING ANY CHANGES IN THE
LAWS GOVERNING THE CONDUCT OF PERSONS SUBJECT TO THE JURISDICTION OF THE
COMMISSION, OR THE RULES, REGULATIONS AND PROCEDURES GOVERNING THE
COMMISSION'S CONDUCT. SUCH REPORT SHALL INCLUDE, BUT IS NOT LIMITED TO:
(I) INFORMATION ON THE NUMBER AND TYPE OF COMPLAINTS RECEIVED BY THE
COMMISSION AND THE STATUS OF SUCH COMPLAINTS;
(II) INFORMATION RELATING TO THE INVESTIGATION OR INVESTIGATIONS
OPENED BY THE COMMISSION, INCLUDING THE CURRENT STATUS OF EACH SUCH
INVESTIGATION;
(III) WHERE A MATTER HAS BEEN RESOLVED, THE DATE AND NATURE OF THE
DISPOSITION AND ANY SANCTION IMPOSED; PROVIDED, HOWEVER, THAT SUCH ANNU-
AL REPORT SHALL NOT CONTAIN ANY INFORMATION FOR WHICH DISCLOSURE IS NOT
PERMITTED PURSUANT TO THIS SECTION OR OTHER LAWS;
(IV) INFORMATION REGARDING FINANCIAL DISCLOSURE COMPLIANCE FOR THE
PRECEDING YEAR; AND
(V) INFORMATION REGARDING LOBBYING LAW FILING COMPLIANCE FOR THE
PRECEDING YEAR.
(B) SUCH A REPORT SHALL BE FILED IN THE OFFICE OF THE GOVERNOR AND
WITH THE LEGISLATURE ON OR BEFORE THE FIRST DAY OF FEBRUARY FOR THE
PRECEDING YEAR.
13. WEBSITE. (A) WITHIN ONE HUNDRED TWENTY DAYS OF THE EFFECTIVE DATE
OF THIS SECTION, THE COMMISSION SHALL CREATE AND THEREAFTER MAINTAIN A
PUBLICLY ACCESSIBLE WEBSITE WHICH SHALL SET FORTH THE PROCEDURE FOR
FILING A COMPLAINT WITH THE COMMISSION, THE FILING OF FINANCIAL DISCLO-
SURE STATEMENTS FILED BY STATE OFFICERS OR EMPLOYEES OR LEGISLATIVE
EMPLOYEES, THE FILING OF STATEMENTS REQUIRED BY ARTICLE ONE-A OF THE
LEGISLATIVE LAW, AND ANY OTHER RECORDS OR INFORMATION WHICH THE COMMIS-
SION DETERMINES TO BE APPROPRIATE.
(B) THE COMMISSION SHALL POST ON ITS WEBSITE THE FOLLOWING DOCUMENTS:
(I) THE INFORMATION SET FORTH IN AN ANNUAL STATEMENT OF FINANCIAL
DISCLOSURE FILED PURSUANT TO SECTION SEVENTY-THREE-A OF THE PUBLIC OFFI-
CERS LAW EXCEPT INFORMATION DELETED PURSUANT TO PARAGRAPH (G) OF SUBDI-
VISION NINE OF THIS SECTION;
(II) NOTICES OF DELINQUENCY SENT UNDER SUBDIVISION NINE OF THIS
SECTION;
(III) NOTICES OF CIVIL ASSESSMENTS IMPOSED UNDER THIS SECTION WHICH
SHALL INCLUDE A DESCRIPTION OF THE NATURE OF THE ALLEGED WRONGDOING, THE
PROCEDURAL HISTORY OF THE COMPLAINT, THE FINDINGS AND DETERMINATIONS
MADE BY THE COMMISSION, AND ANY SANCTION IMPOSED;
(IV) THE TERMS OF ANY SETTLEMENT OR COMPROMISE OF A COMPLAINT OR
REFERRAL WHICH INCLUDES A FINE, PENALTY OR OTHER REMEDY;
S. 8005--A 71 A. 9005--A
(V) THOSE REQUIRED TO BE HELD OR MAINTAINED PUBLICLY AVAILABLE PURSU-
ANT TO ARTICLE ONE-A OF THE LEGISLATIVE LAW; AND
(VI) REPORTS ISSUED BY THE COMMISSION PURSUANT TO THIS SECTION.
14. ADDITIONAL POWERS. IN ADDITION TO ANY OTHER POWERS AND DUTIES
SPECIFIED BY LAW, THE COMMISSION SHALL HAVE THE POWER AND DUTY TO ADMIN-
ISTER AND ENFORCE ALL THE PROVISIONS OF THIS SECTION.
15. SEVERABILITY. IF ANY PART OR PROVISION OF THIS SECTION OR THE
APPLICATION THEREOF TO ANY PERSON OR ORGANIZATION IS ADJUDGED BY A COURT
OF COMPETENT JURISDICTION TO BE UNCONSTITUTIONAL OR OTHERWISE INVALID,
SUCH JUDGMENT SHALL NOT AFFECT OR IMPAIR ANY OTHER PART OR PROVISION OR
THE APPLICATION THEREOF TO ANY OTHER PERSON OR ORGANIZATION, BUT SHALL
BE CONFINED IN ITS OPERATION TO SUCH PART OR PROVISION.
§ 3. Subdivision (f) of section 1-c of the legislative law, as amended
by chapter 14 of the laws of 2007, is amended to read as follows:
(f) The term "commission" shall mean the INDEPENDENT commission on
[public integrity] ETHICS AND LOBBYING IN GOVERNMENT created by section
ninety-four of the executive law.
§ 4. Subdivisions 7, 9, 10, 12 and 13 of section 80 of the legislative
law, as amended by section 9 of part A of chapter 399 of the laws of
2011, are amended to read as follows:
7. The commission shall:
a. Appoint an executive director who shall act in accordance with the
policies of the commission, provided that the commission may remove the
executive director for neglect of duty, misconduct in office, or inabil-
ity or failure to discharge the powers or duties of office;
b. Appoint such other staff as are necessary to assist it to carry out
its duties under this section;
c. Adopt, amend, and rescind policies, rules and regulations consist-
ent with this section to govern procedures of the commission which shall
not be subject to the promulgation and hearing requirements of the state
administrative procedure act;
d. Administer the provisions of this section;
e. Specify the procedures whereby a person who is required to file an
annual financial disclosure statement with the commission may request an
additional period of time within which to file such statement, due to
justifiable cause or undue hardship; such rules or regulations shall
provide for a date beyond which in all cases of justifiable cause or
undue hardship no further extension of time will be granted;
f. Promulgate guidelines to assist appointing authorities in determin-
ing which persons hold policy-making positions for purposes of section
seventy-three-a of the public officers law and may promulgate guidelines
to assist firms, associations and corporations in separating affected
persons from net revenues for purposes of subdivision ten of section
seventy-three of the public officers law, and promulgate guidelines to
assist any firm, association or corporation in which any present or
former statewide elected official, state officer or employee, member of
the legislature or legislative employee, or political party chairman is
a member, associate, retired member, of counsel or shareholder, in
complying with the provisions of subdivision ten of section seventy-
three of the public officers law with respect to the separation of such
present or former statewide elected official, state officer or employee,
member of the legislature or legislative employee, or political party
chairman from the net revenues of the firm, association or corporation.
Such firm, association or corporation shall not be required to adopt the
procedures contained in the guidelines to establish compliance with
subdivision ten of section seventy-three of the public officers law, but
S. 8005--A 72 A. 9005--A
if such firm, association or corporation does adopt such procedures, it
shall be deemed to be in compliance with such subdivision ten;
g. Make available forms for financial disclosure statements required
to be filed pursuant to subdivision six of section seventy-three and
section seventy-three-a of the public officers law as provided by the
[joint] INDEPENDENT commission on [public] ethics AND LOBBYING IN
GOVERNMENT;
h. Review financial disclosure statements in accordance with the
provisions of this section, provided however, that the commission may
delegate all or part of the review function relating to financial
disclosure statements filed by legislative employees pursuant to
sections seventy-three and seventy-three-a of the public officers law to
the executive director who shall be responsible for completing staff
review of such statements in a manner consistent with the terms of the
commission's delegation;
i. Upon written request from any person who is subject to the juris-
diction of the commission and the requirements of sections seventy-
three, seventy-three-a and seventy-four of the public officers law,
render formal advisory opinions on the requirements of said provisions.
A formal written opinion rendered by the commission, until and unless
amended or revoked, shall be binding on the legislative ethics commis-
sion in any subsequent proceeding concerning the person who requested
the opinion and who acted in good faith, unless material facts were
omitted or misstated by the person in the request for an opinion. Such
opinion may also be relied upon by such person, and may be introduced
and shall be a defense in any criminal or civil action. The [joint]
INDEPENDENT commission on [public] ethics AND LOBBYING IN GOVERNMENT
shall not investigate an individual for potential violations of law
based upon conduct approved and covered in its entirety by such an opin-
ion, except that such opinion shall not prevent or preclude an investi-
gation of and report to the legislative ethics commission concerning the
conduct of the person who obtained it by the [joint] INDEPENDENT commis-
sion on [public] ethics AND LOBBYING IN GOVERNMENT for violations of
section seventy-three, seventy-three-a or seventy-four of the public
officers law to determine whether the person accurately and fully
represented to the legislative ethics commission the facts relevant to
the formal advisory opinion and whether the person's conduct conformed
to those factual representations. The [joint] INDEPENDENT commission ON
ETHICS AND LOBBYING IN GOVERNMENT shall be authorized and shall have
jurisdiction to investigate potential violations of the law arising from
conduct outside of the scope of the terms of the advisory opinion; and
j. Issue and publish generic advisory opinions covering questions
frequently posed to the commission, or questions common to a class or
defined category of persons, or that will tend to prevent undue repe-
tition of requests or undue complication, and which are intended to
provide general guidance and information to persons subject to the
commission's jurisdiction;
k. Develop educational materials and training with regard to legisla-
tive ethics for members of the legislature and legislative employees
including an online ethics orientation course for newly-hired employees
and, as requested by the senate or the assembly, materials and training
in relation to a comprehensive ethics training program; and
l. Prepare an annual report to the governor and legislature summariz-
ing the activities of the commission during the previous year and recom-
mending any changes in the laws governing the conduct of persons subject
to the jurisdiction of the commission, or the rules, regulations and
S. 8005--A 73 A. 9005--A
procedures governing the commission's conduct. Such report shall
include: (i) a listing by assigned number of each complaint and report
received from the [joint] INDEPENDENT commission on [public] ethics AND
LOBBYING IN GOVERNMENT which alleged a possible violation within its
jurisdiction, including the current status of each complaint, and (ii)
where a matter has been resolved, the date and nature of the disposition
and any sanction imposed, subject to the confidentiality requirements of
this section. Such annual report shall not contain any information for
which disclosure is not permitted pursuant to subdivision twelve of this
section.
9. (a) An individual subject to the jurisdiction of the commission
with respect to the imposition of penalties who knowingly and inten-
tionally violates the provisions of subdivisions two through five-a,
seven, eight, twelve, fourteen or fifteen of section seventy-three of
the public officers law or a reporting individual who knowingly and
wilfully fails to file an annual statement of financial disclosure or
who knowingly and wilfully with intent to deceive makes a false state-
ment or gives information which such individual knows to be false on
such statement of financial disclosure filed pursuant to section seven-
ty-three-a of the public officers law shall be subject to a civil penal-
ty in an amount not to exceed forty thousand dollars and the value of
any gift, compensation or benefit received as a result of such
violation. Any such individual who knowingly and intentionally violates
the provisions of paragraph a, b, c, d, e, g, or i of subdivision three
of section seventy-four of the public officers law shall be subject to a
civil penalty in an amount not to exceed ten thousand dollars and the
value of any gift, compensation or benefit received as a result of such
violation. Assessment of a civil penalty hereunder shall be made by the
commission with respect to persons subject to its jurisdiction. In
assessing the amount of the civil penalties to be imposed, the commis-
sion shall consider the seriousness of the violation, the amount of gain
to the individual and whether the individual previously had any civil or
criminal penalties imposed pursuant to this section, and any other
factors the commission deems appropriate. For a violation of this
section, other than for conduct which constitutes a violation of subdi-
vision twelve, fourteen or fifteen of section seventy-three or section
seventy-four of the public officers law, the legislative ethics commis-
sion may, in lieu of or in addition to a civil penalty, refer a
violation to the appropriate prosecutor and upon such conviction, but
only after such referral, such violation shall be punishable as a class
A misdemeanor. Where the commission finds sufficient cause, it shall
refer such matter to the appropriate prosecutor. A civil penalty for
false filing may not be imposed hereunder in the event a category of
"value" or "amount" reported hereunder is incorrect unless such reported
information is falsely understated. Notwithstanding any other provision
of law to the contrary, no other penalty, civil or criminal may be
imposed for a failure to file, or for a false filing, of such statement,
or a violation of subdivision six of section seventy-three of the public
officers law, except that the appointing authority may impose discipli-
nary action as otherwise provided by law. The legislative ethics commis-
sion shall be deemed to be an agency within the meaning of article three
of the state administrative procedure act and shall adopt rules govern-
ing the conduct of adjudicatory proceedings and appeals taken pursuant
to a proceeding commenced under article seventy-eight of the civil prac-
tice law and rules relating to the assessment of the civil penalties
herein authorized. Such rules, which shall not be subject to the promul-
S. 8005--A 74 A. 9005--A
gation and hearing requirements of the state administrative procedure
act, shall provide for due process procedural mechanisms substantially
similar to those set forth in such article three but such mechanisms
need not be identical in terms or scope. Assessment of a civil penalty
shall be final unless modified, suspended or vacated within thirty days
of imposition, with respect to the assessment of such penalty, or unless
such denial of request is reversed within such time period, and upon
becoming final shall be subject to review at the instance of the
affected reporting individuals in a proceeding commenced against the
legislative ethics commission, pursuant to article seventy-eight of the
civil practice law and rules.
(b) Not later than forty-five calendar days after receipt from the
[joint] INDEPENDENT commission on [public] ethics AND LOBBYING IN
GOVERNMENT of a written substantial basis investigation report and any
supporting documentation or other materials regarding a matter before
the commission pursuant to [subdivision fourteen-a of] section ninety-
four of the executive law, unless requested by a law enforcement agency
to suspend the commission's action because of an ongoing criminal inves-
tigation, the legislative ethics commission shall make public such
report in its entirety; provided, however, that the commission may with-
hold such information for not more than one additional period of the
same duration or refer the matter back to the [joint] INDEPENDENT
commission on [public] ethics AND LOBBYING IN GOVERNMENT once for addi-
tional investigation, in which case the legislative ethics commission
shall, upon the termination of such additional period or upon receipt of
a new report by the [joint] INDEPENDENT commission on [public] ethics
AND LOBBYING IN GOVERNMENT after such additional investigation, make
public the written report and publish it on the commission's website. If
the legislative ethics commission fails to make public the written
report received from the [joint] INDEPENDENT commission ON ETHICS AND
LOBBYING IN GOVERNMENT in accordance with this paragraph, the [joint]
INDEPENDENT commission ON ETHICS AND LOBBYING IN GOVERNMENT shall
release such report publicly promptly and in any event no later than ten
days after the legislative ethics commission is required to release such
report. The legislative ethics commission shall not refer the matter
back to the [joint] INDEPENDENT commission on [public] ethics AND LOBBY-
ING IN GOVERNMENT for additional investigation more than once. If the
commission refers the matter back to the [joint] INDEPENDENT commission
ON ETHICS AND LOBBYING IN GOVERNMENT for additional fact-finding, the
[joint commission's] INDEPENDENT COMMISSION ON ETHICS AND LOBBYING IN
GOVERNMENT'S original report shall remain confidential.
10. Upon receipt of a written report from the [joint] INDEPENDENT
commission on [public] ethics AND LOBBYING IN GOVERNMENT pursuant to
subdivision fourteen-a of section seventy-three of the public officers
law, the legislative ethics commission shall commence its review of the
matter addressed in such report. No later than ninety days after receipt
of such report, the legislative ethics commission shall dispose of the
matter by making one or more of the following determinations:
a. whether the legislative ethics commission concurs with the [joint
commission's] INDEPENDENT COMMISSION ON ETHICS AND LOBBYING IN GOVERN-
MENT'S conclusions of law and the reasons therefor;
b. whether and which penalties have been assessed pursuant to applica-
ble law or rule and the reasons therefor; and
c. whether further actions have been taken by the commission to punish
or deter the misconduct at issue and the reasons therefor.
S. 8005--A 75 A. 9005--A
The commission's disposition shall be reported in writing and
published on its website no later than ten days after such disposition
unless requested by a law enforcement agency to suspend the commission's
action because of an ongoing criminal investigation.
12. a. Notwithstanding the provisions of article six of the public
officers law, the only records of the commission which shall be avail-
able for public inspection and copying are:
(1) the terms of any settlement or compromise of a complaint or refer-
ral or report which includes a fine, penalty or other remedy reached
after the commission has received a report from the [joint] INDEPENDENT
commission on [public] ethics AND LOBBYING IN GOVERNMENT pursuant to
[subdivision fourteen-a of] section ninety-four of the executive law;
(2) generic advisory opinions;
(3) all reports required by this section; and
(4) all reports received from the [joint] INDEPENDENT commission on
[public] ethics AND LOBBYING IN GOVERNMENT pursuant to [subdivision
fourteen-a of] section ninety-four of the executive law and in conform-
ance with paragraph (b) of subdivision [nine-b] NINE of this section.
b. Notwithstanding the provisions of article seven of the public offi-
cers law, no meeting or proceeding of the commission shall be open to
the public, except if expressly provided otherwise by this section or
the commission.
13. Within one hundred twenty days of the effective date of this
subdivision, the commission shall create and thereafter maintain a
publicly accessible website which shall set forth the procedure for
filing a complaint with the [joint] INDEPENDENT commission on [public]
ethics AND LOBBYING IN GOVERNMENT, and which shall contain any other
records or information which the commission determines to be appropri-
ate.
§ 5. Paragraphs (c), (d) and (d-1) of subdivision 1 of section73-a of
the public officers law, paragraphs (c) and (d) as amended and paragraph
(d-1) as added by section 5 of part A of chapter 399 of the laws of
2011, are amended to read as follows:
(c) The term "state officer or employee" shall mean:
(i) heads of state departments and their deputies and assistants;
(ii) officers and employees of statewide elected officials, officers
and employees of state departments, boards, bureaus, divisions, commis-
sions, councils or other state agencies, who receive annual compensation
in excess of the filing rate established by paragraph (l) of this subdi-
vision or who hold policy-making positions, as annually determined by
the appointing authority and set forth in a written instrument which
shall be filed with the [joint] INDEPENDENT commission on [public]
ethics AND LOBBYING IN GOVERNMENT established by section ninety-four of
the executive law during the month of February, provided, however, that
the appointing authority shall amend such written instrument after such
date within thirty days after the undertaking of policy-making responsi-
bilities by a new employee or any other employee whose name did not
appear on the most recent written instrument; and
(iii) members or directors of public authorities, other than multi-
state authorities, public benefit corporations and commissions at least
one of whose members is appointed by the governor, and employees of such
authorities, corporations and commissions who receive annual compen-
sation in excess of the filing rate established by paragraph (l) of this
subdivision or who hold policy-making positions, as determined annually
by the appointing authority and set forth in a written instrument which
shall be filed with the [joint] INDEPENDENT commission on [public]
S. 8005--A 76 A. 9005--A
ethics AND LOBBYING IN GOVERNMENT established by section ninety-four of
the executive law during the month of February, provided, however, that
the appointing authority shall amend such written instrument after such
date within thirty days after the undertaking of policy-making responsi-
bilities by a new employee or any other employee whose name did not
appear on the most recent written instrument.
(d) The term "legislative employee" shall mean any officer or employee
of the legislature who receives annual compensation in excess of the
filing rate established by paragraph (l) below or who is determined to
hold a policy-making position by the appointing authority as set forth
in a written instrument which shall be filed with the legislative ethics
commission and the [joint] INDEPENDENT commission on [public] ethics AND
LOBBYING IN GOVERNMENT.
(d-1) A financial disclosure statement required pursuant to section
seventy-three of this article and this section shall be deemed "filed"
with the [joint] INDEPENDENT commission on [public] ethics AND LOBBYING
IN GOVERNMENT upon its filing, in accordance with this section, with the
legislative ethics commission for all purposes including, but not limit-
ed to, [subdivision fourteen of] section ninety-four of the executive
law, subdivision nine of section eighty of the legislative law and
subdivision four of this section.
§ 6. Subdivision 2 of section 73-a of the public officers law, as
amended by section 5 of part A of chapter 399 of the laws of 2011, is
amended to read as follows:
2. (a) Every statewide elected official, state officer or employee,
member of the legislature, legislative employee and political party
chairman and every candidate for statewide elected office or for member
of the legislature shall file an annual statement of financial disclo-
sure containing the information and in the form set forth in subdivision
three of this section. On or before the fifteenth day of May with
respect to the preceding calendar year: (1) every member of the legisla-
ture, every candidate for member of the legislature and legislative
employee shall file such statement with the legislative ethics commis-
sion which shall provide such statement along with any requests for
exemptions or deletions to the [joint] INDEPENDENT commission on
[public] ethics AND LOBBYING IN GOVERNMENT for filing and rulings with
respect to such requests for exemptions or deletions, on or before the
thirtieth day of June; and (2) all other individuals required to file
such statement shall file it with the [joint] INDEPENDENT commission on
[public] ethics AND LOBBYING IN GOVERNMENT, except that:
(i) a person who is subject to the reporting requirements of this
subdivision and who timely filed with the internal revenue service an
application for automatic extension of time in which to file his or her
individual income tax return for the immediately preceding calendar or
fiscal year shall be required to file such financial disclosure state-
ment on or before May fifteenth but may, without being subjected to any
civil penalty on account of a deficient statement, indicate with respect
to any item of the disclosure statement that information with respect
thereto is lacking but will be supplied in a supplementary statement of
financial disclosure, which shall be filed on or before the seventh day
after the expiration of the period of such automatic extension of time
within which to file such individual income tax return, provided that
failure to file or to timely file such supplementary statement of finan-
cial disclosure or the filing of an incomplete or deficient supplementa-
ry statement of financial disclosure shall be subject to the notice and
penalty provisions of this section respecting annual statements of
S. 8005--A 77 A. 9005--A
financial disclosure as if such supplementary statement were an annual
statement;
(ii) a person who is required to file an annual financial disclosure
statement with the [joint] INDEPENDENT commission on [public] ethics AND
LOBBYING IN GOVERNMENT, and who is granted an additional period of time
within which to file such statement due to justifiable cause or undue
hardship, in accordance with required rules and regulations [on the
subject] adopted pursuant to [paragraph c of subdivision nine of]
section ninety-four of the executive law shall file such statement with-
in the additional period of time granted; and the legislative ethics
commission shall notify the [joint] INDEPENDENT commission on [public]
ethics AND LOBBYING IN GOVERNMENT of any extension granted pursuant to
this paragraph;
(iii) candidates for statewide office who receive a party designation
for nomination by a state committee pursuant to section 6-104 of the
election law shall file such statement within ten days after the date of
the meeting at which they are so designated;
(iv) candidates for statewide office who receive twenty-five percent
or more of the vote cast at the meeting of the state committee held
pursuant to section 6-104 of the election law and who demand to have
their names placed on the primary ballot and who do not withdraw within
fourteen days after such meeting shall file such statement within ten
days after the last day to withdraw their names in accordance with the
provisions of such section of the election law;
(v) candidates for statewide office and candidates for member of the
legislature who file party designating petitions for nomination at a
primary election shall file such statement within ten days after the
last day allowed by law for the filing of party designating petitions
naming them as candidates for the next succeeding primary election;
(vi) candidates for independent nomination who have not been desig-
nated by a party to receive a nomination shall file such statement with-
in ten days after the last day allowed by law for the filing of inde-
pendent nominating petitions naming them as candidates in the next
succeeding general or special election;
(vii) candidates who receive the nomination of a party for a special
election shall file such statement within ten days after the date of the
meeting of the party committee at which they are nominated;
(viii) a candidate substituted for another candidate, who fills a
vacancy in a party designation or in an independent nomination, caused
by declination, shall file such statement within ten days after the last
day allowed by law to file a certificate to fill a vacancy in such party
designation or independent nomination;
(ix) with respect to all candidates for member of the legislature, the
legislative ethics commission shall within five days of receipt provide
the [joint] INDEPENDENT commission on [public] ethics AND LOBBYING IN
GOVERNMENT the statement filed pursuant to subparagraphs (v), (vi),
(vii) and (viii) of this paragraph.
(b) As used in this subdivision, the terms "party", "committee" (when
used in conjunction with the term "party"), "designation", "primary",
"primary election", "nomination", "independent nomination" and "ballot"
shall have the same meanings as those contained in section 1-104 of the
election law.
(c) If the reporting individual is a senator or member of assembly,
candidate for the senate or member of assembly or a legislative employ-
ee, such statement shall be filed with both the legislative ethics
commission established by section eighty of the legislative law and the
S. 8005--A 78 A. 9005--A
[joint] INDEPENDENT commission on [public] ethics AND LOBBYING IN
GOVERNMENT in accordance with paragraph (d-1) of subdivision one of this
section. If the reporting individual is a statewide elected official,
candidate for statewide elected office, a state officer or employee or a
political party chairman, such statement shall be filed with the [joint]
INDEPENDENT commission on [public] ethics AND LOBBYING IN GOVERNMENT
established by section ninety-four of the executive law.
(d) The [joint] INDEPENDENT commission on [public] ethics AND LOBBYING
IN GOVERNMENT shall obtain from the state board of elections a list of
all candidates for statewide office and for member of the legislature,
and from such list, shall determine and publish a list of those candi-
dates who have not, within ten days after the required date for filing
such statement, filed the statement required by this subdivision.
(e) Any person required to file such statement who commences employ-
ment after May fifteenth of any year and political party chairman shall
file such statement within thirty days after commencing employment or of
taking the position of political party chairman, as the case may be. In
the case of members of the legislature and legislative employees, such
statements shall be filed with the legislative ethics commission within
thirty days after commencing employment, and the legislative ethics
commission shall provide such statements to the [joint] INDEPENDENT
commission on [public] ethics AND LOBBYING IN GOVERNMENT within forty-
five days of receipt.
(f) A person who may otherwise be required to file more than one annu-
al financial disclosure statement with both the [joint] INDEPENDENT
commission on [public] ethics AND LOBBYING IN GOVERNMENT and the legis-
lative ethics commission in any one calendar year may satisfy such
requirement by filing one such statement with either body and by notify-
ing the other body of such compliance.
(g) A person who is employed in more than one employment capacity for
one or more employers certain of whose officers and employees are
subject to filing a financial disclosure statement with the same ethics
commission, as the case may be, and who receives distinctly separate
payments of compensation for such employment shall be subject to the
filing requirements of this section if the aggregate annual compensation
for all such employment capacities is in excess of the filing rate
notwithstanding that such person would not otherwise be required to file
with respect to any one particular employment capacity. A person not
otherwise required to file a financial disclosure statement hereunder
who is employed by an employer certain of whose officers or employees
are subject to filing a financial disclosure statement with the [joint]
INDEPENDENT commission on [public] ethics AND LOBBYING IN GOVERNMENT and
who is also employed by an employer certain of whose officers or employ-
ees are subject to filing a financial disclosure statement with the
legislative ethics commission shall not be subject to filing such state-
ment with either such commission on the basis that his aggregate annual
compensation from all such employers is in excess of the filing rate.
(h) A statewide elected official or member of the legislature, who is
simultaneously a candidate for statewide elected office or member of the
legislature, shall satisfy the filing deadline requirements of this
subdivision by complying only with the deadline applicable to one who
holds a statewide elected office or who holds the office of member of
the legislature.
(i) A candidate whose name will appear on both a party designating
petition and on an independent nominating petition for the same office
or who will be listed on the election ballot for the same office more
S. 8005--A 79 A. 9005--A
than once shall satisfy the filing deadline requirements of this subdi-
vision by complying with the earliest applicable deadline only.
(j) A member of the legislature who is elected to such office at a
special election prior to May fifteenth in any year shall satisfy the
filing requirements of this subdivision in such year by complying with
the earliest applicable deadline only.
(k) The [joint] INDEPENDENT commission on [public] ethics AND LOBBYING
IN GOVERNMENT shall post for at least five years beginning for filings
made on January first, two thousand thirteen the annual statement of
financial disclosure and any amendments filed by each person subject to
the reporting requirements of this subdivision who is an elected offi-
cial on its website for public review within thirty days of its receipt
of such statement or within ten days of its receipt of such amendment
that reflects any corrections of deficiencies identified by the commis-
sion or by the reporting individual after the reporting individual's
initial filing. Except upon an individual determination by the commis-
sion that certain information may be deleted from a reporting individ-
ual's annual statement of financial disclosure, none of the information
in the statement posted on the commission's website shall be otherwise
deleted.
§ 7. Subparagraphs (b), (b-2) and (c) of paragraph 8 of subdivision 3
of section 73-a of the public officers law, as amended by section 6 of
part K of chapter 286 of the laws of 2016, are amended to read as
follows:
(b) APPLICABLE ONLY TO NEW CLIENTS OR CUSTOMERS FOR WHOM SERVICES ARE
PROVIDED ON OR AFTER JULY FIRST, TWO THOUSAND TWELVE AND BEFORE DECEMBER
THIRTY-FIRST, TWO THOUSAND FIFTEEN, OR FOR NEW MATTERS FOR EXISTING
CLIENTS OR CUSTOMERS WITH RESPECT TO THOSE SERVICES THAT ARE PROVIDED ON
OR AFTER JULY FIRST, TWO THOUSAND TWELVE AND BEFORE DECEMBER
THIRTY-FIRST, TWO THOUSAND FIFTEEN:
If the reporting individual personally provides services to any person
or entity, or works as a member or employee of a partnership or corpo-
ration that provides such services (referred to hereinafter as a
"firm"), then identify each client or customer to whom the reporting
individual personally provided services, or who was referred to the firm
by the reporting individual, and from whom the reporting individual or
his or her firm earned fees in excess of $10,000 during the reporting
period for such services rendered in direct connection with:
(i) A contract in an amount totaling $50,000 or more from the state or
any state agency for services, materials, or property;
(ii) A grant of $25,000 or more from the state or any state agency
during the reporting period;
(iii) A grant obtained through a legislative initiative during the
reporting period; or
(iv) A case, proceeding, application or other matter that is not a
ministerial matter before a state agency during the reporting period.
For purposes of this question, "referred to the firm" shall mean:
having intentionally and knowingly taken a specific act or series of
acts to intentionally procure for the reporting individual's firm or
knowingly solicit or direct to the reporting individual's firm in whole
or substantial part, a person or entity that becomes a client of that
firm for the purposes of representation for a matter as defined in
subparagraphs (i) through (iv) of this paragraph, as the result of such
procurement, solicitation or direction of the reporting individual. A
reporting individual need not disclose activities performed while
S. 8005--A 80 A. 9005--A
lawfully acting pursuant to paragraphs (c), (d), (e) and (f) of subdivi-
sion seven of section seventy-three of this article.
The disclosure requirement in this question shall not require disclo-
sure of clients or customers receiving medical or dental services,
mental health services, residential real estate brokering services, or
insurance brokering services from the reporting individual or his or her
firm. The reporting individual need not identify any client to whom he
or she or his or her firm provided legal representation with respect to
investigation or prosecution by law enforcement authorities, bankruptcy,
or domestic relations matters. With respect to clients represented in
other matters, where disclosure of a client's identity is likely to
cause harm, the reporting individual shall request an exemption from the
[joint] INDEPENDENT commission ON ETHICS AND LOBBYING IN GOVERNMENT
pursuant to [paragraph (i-1) of subdivision nine of] section ninety-four
of the executive law, provided, however, that a reporting individual who
first enters public office after July first, two thousand twelve, need
not report clients or customers with respect to matters for which the
reporting individual or his or her firm was retained prior to entering
public office.
Client Nature of Services Provided
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
(b-2) APPLICABLE ONLY TO NEW CLIENTS OR CUSTOMERS FOR WHOM SERVICES
ARE PROVIDED ON OR AFTER DECEMBER THIRTY-FIRST, TWO THOUSAND FIFTEEN, OR
FOR NEW MATTERS FOR EXISTING CLIENTS OR CUSTOMERS WITH RESPECT TO THOSE
SERVICES THAT ARE PROVIDED ON OR AFTER DECEMBER THIRTY-FIRST, TWO THOU-
SAND FIFTEEN (FOR PURPOSES OF THIS QUESTION, "SERVICES" SHALL MEAN
CONSULTATION, REPRESENTATION, ADVICE OR OTHER SERVICES):
(i) With respect to reporting individuals who receive ten thousand
dollars or more from employment or activity reportable under question
8(a), for each client or customer NOT otherwise disclosed or exempted in
question 8 or 13, disclose the name of each client or customer known to
the reporting individual to whom the reporting individual provided
services: (A) who paid the reporting individual in excess of five thou-
sand dollars for such services; or (B) who had been billed with the
knowledge of the reporting individual in excess of five thousand dollars
by the firm or other entity named in question 8(a) for the reporting
individual's services.
Client Services Category of Amount
Actually Provided (in Table I)
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
FOLLOWING IS AN ILLUSTRATIVE, NON-EXCLUSIVE LIST OF EXAMPLES OF
DESCRIPTIONS OF "SERVICES ACTUALLY PROVIDED":
* REVIEWED DOCUMENTS AND CORRESPONDENCE;
* REPRESENTED CLIENT (IDENTIFY CLIENT BY NAME) IN LEGAL PROCEEDING;
* PROVIDED LEGAL ADVICE ON CLIENT MATTER (IDENTIFY CLIENT BY NAME);
S. 8005--A 81 A. 9005--A
* CONSULTED WITH CLIENT OR CONSULTED WITH LAW PARTNERS/ASSOCIATES/MEMBERS
OF FIRM ON CLIENT MATTER (IDENTIFY CLIENT BY NAME);
* PREPARED CERTIFIED FINANCIAL STATEMENT FOR CLIENT (IDENTIFY CLIENT BY
NAME);
* REFERRED INDIVIDUAL OR ENTITY (IDENTIFY CLIENT BY NAME) FOR
REPRESENTATION OR CONSULTATION;
* COMMERCIAL BROKERING SERVICES (IDENTIFY CUSTOMER BY NAME);
* PREPARED CERTIFIED ARCHITECTURAL OR ENGINEERING
RENDERINGS FOR CLIENT (IDENTIFY CUSTOMER BY NAME);
* COURT APPOINTED GUARDIAN OR EVALUATOR (IDENTIFY COURT NOT CLIENT).
(ii) With respect to reporting individuals who disclosed in question
8(a) that the reporting individual did not provide services to a client
but provided services to a firm or business, identify the category of
amount received for providing such services and describe the services
rendered.
Services Actually Provided Category of Amount (Table I)
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
A reporting individual need not disclose activities performed while
lawfully acting in his or her capacity as provided in paragraphs (c),
(d), (e) and (f) of subdivision seven of section seventy-three of this
article.
The disclosure requirement in questions (b-1) and (b-2) shall not
require disclosing clients or customers receiving medical, pharmaceu-
tical or dental services, mental health services, or residential real
estate brokering services from the reporting individual or his or her
firm or if federal law prohibits or limits disclosure. The reporting
individual need not identify any client to whom he or she or his or her
firm provided legal representation with respect to investigation or
prosecution by law enforcement authorities, bankruptcy, family court,
estate planning, or domestic relations matters, nor shall the reporting
individual identify individuals represented pursuant to an insurance
policy but the reporting individual shall in such circumstances only
report the entity that provides compensation to the reporting individ-
ual; with respect to matters in which the client's name is required by
law to be kept confidential (such as matters governed by the family
court act) or in matters in which the reporting individual represents or
provides services to minors, the client's name may be replaced with
initials. To the extent that the reporting individual, or his or her
firm, provided legal representation with respect to an initial public
offering, and professional disciplinary rules, federal law or regu-
lations restrict the disclosure of information relating to such work,
the reporting individual shall (i) disclose the identity of the client
and the services provided relating to the initial public offering to the
office of court administration, who will maintain such information
confidentially in a locked box; and (ii) include in his or her response
to questions (b-1) and (b-2) that pursuant to this paragraph, a disclo-
sure to the office of court administration has been made. Upon such time
that the disclosure of information maintained in the locked box is no
longer restricted by professional disciplinary rules, federal law or
regulation, the reporting individual shall disclose such information in
an amended disclosure statement in response to the disclosure require-
ments in questions (b-1) and (b-2). The office of court administration
shall develop and maintain a secure portal through which information
submitted to it pursuant to this paragraph can be safely and confiden-
S. 8005--A 82 A. 9005--A
tially stored. With respect to clients represented in other matters not
otherwise exempt, the reporting individual may request an exemption to
publicly disclosing the name of that client from the [joint] INDEPENDENT
commission ON ETHICS AND LOBBYING IN GOVERNMENT pursuant to [paragraph
(i-1) of subdivision nine of] section ninety-four of the executive law,
or from the office of court administration. In such application, the
reporting individual shall state the following: "My client is not
currently receiving my services or seeking my services in connection
with:
(i) A proposed bill or resolution in the senate or assembly during the
reporting period;
(ii) A contract in an amount totaling $10,000 or more from the state
or any state agency for services, materials, or property;
(iii) A grant of $10,000 or more from the state or any state agency
during the reporting period;
(iv) A grant obtained through a legislative initiative during the
reporting period; or
(v) A case, proceeding, application or other matter that is not a
ministerial matter before a state agency during the reporting period."
In reviewing the request for an exemption, the [joint] INDEPENDENT
commission ON ETHICS AND LOBBYING IN GOVERNMENT or the office of court
administration may consult with bar or other professional associations
and the legislative ethics commission for individuals subject to its
jurisdiction and may consider the rules of professional conduct. In
making its determination, the [joint] INDEPENDENT commission ON ETHICS
AND LOBBYING IN GOVERNMENT or the office of court administration shall
conduct its own inquiry and shall consider factors including, but not
limited to: (i) the nature and the size of the client; (ii) whether the
client has any business before the state; and if so, how significant the
business is; and whether the client has any particularized interest in
pending legislation and if so how significant the interest is; (iii)
whether disclosure may reveal trade secrets; (iv) whether disclosure
could reasonably result in retaliation against the client; (v) whether
disclosure may cause undue harm to the client; (vi) whether disclosure
may result in undue harm to the attorney-client relationship; and (vii)
whether disclosure may result in an unnecessary invasion of privacy to
the client.
The [joint] INDEPENDENT commission ON ETHICS AND LOBBYING IN GOVERN-
MENT or, as the case may be, the office of court administration shall
promptly make a final determination in response to such request, which
shall include an explanation for its determination. The office of court
administration shall issue its final determination within three days of
receiving the request. Notwithstanding any other provision of law or any
professional disciplinary rule to the contrary, the disclosure of the
identity of any client or customer in response to this question shall
not constitute professional misconduct or a ground for disciplinary
action of any kind, or form the basis for any civil or criminal cause of
action or proceeding. A reporting individual who first enters public
office after January first, two thousand sixteen, need not report
clients or customers with respect to matters for which the reporting
individual or his or her firm was retained prior to entering public
office.
(c) APPLICABLE ONLY TO NEW CLIENTS OR CUSTOMERS FOR WHOM SERVICES ARE
PROVIDED ON OR AFTER DECEMBER THIRTY-FIRST, TWO THOUSAND FIFTEEN, OR FOR
NEW MATTERS FOR EXISTING CLIENTS OR CUSTOMERS WITH RESPECT TO THOSE
S. 8005--A 83 A. 9005--A
SERVICES THAT ARE PROVIDED ON OR AFTER DECEMBER THIRTY-FIRST, TWO THOU-
SAND FIFTEEN:
If the reporting individual receives income of ten thousand dollars or
greater from any employment or activity reportable under question 8(a),
identify each registered lobbyist who has directly referred to such
individual a client who was successfully referred to the reporting indi-
vidual's business and from whom the reporting individual or firm
received a fee for services in excess of five thousand dollars. Report
only those referrals that were made to a reporting individual by direct
communication from a person known to such reporting individual to be a
registered lobbyist at the time the referral is made. With respect to
each such referral, the reporting individual shall identify the client,
the registered lobbyist who has made the referral, the category of value
of the compensation received and a general description of the type of
matter so referred. A reporting individual need not disclose activities
performed while lawfully acting pursuant to paragraphs (c), (d), (e) and
(f) of subdivision seven of section seventy-three of this article. The
disclosure requirements in this question shall not require disclosing
clients or customers receiving medical, pharmaceutical or dental
services, mental health services, or residential real estate brokering
services from the reporting individual or his or her firm or if federal
law prohibits or limits disclosure. The reporting individual need not
identify any client to whom he or she or his or her firm provided legal
representation with respect to investigation or prosecution by law
enforcement authorities, bankruptcy, family court, estate planning, or
domestic relations matters, nor shall the reporting individual identify
individuals represented pursuant to an insurance policy but the report-
ing individual shall in such circumstances only report the entity that
provides compensation to the reporting individual; with respect to
matters in which the client's name is required by law to be kept confi-
dential (such as matters governed by the family court act) or in matters
in which the reporting individual represents or provides services to
minors, the client's name may be replaced with initials. To the extent
that the reporting individual, or his or her firm, provided legal repre-
sentation with respect to an initial public offering, and federal law or
regulations restricts the disclosure of information relating to such
work, the reporting individual shall (i) disclose the identity of the
client and the services provided relating to the initial public offering
to the office of court administration, who will maintain such informa-
tion confidentially in a locked box; and (ii) include in his or her
response a statement that pursuant to this paragraph, a disclosure to
the office of court administration has been made. Upon such time that
the disclosure of information maintained in the locked box is no longer
restricted by federal law or regulation, the reporting individual shall
disclose such information in an amended disclosure statement in response
to the disclosure requirements of this paragraph. The office of court
administration shall develop and maintain a secure portal through which
information submitted to it pursuant to this paragraph can be safely and
confidentially stored. With respect to clients represented in other
matters not otherwise exempt, the reporting individual may request an
exemption to publicly disclosing the name of that client from the
[joint] INDEPENDENT commission ON ETHICS AND LOBBYING IN GOVERNMENT
pursuant to [paragraph (i-1) of subdivision nine of] section ninety-four
of the executive law, or from the office of court administration. In
such application, the reporting individual shall state the following:
S. 8005--A 84 A. 9005--A
"My client is not currently receiving my services or seeking my services
in connection with:
(i) A proposed bill or resolution in the senate or assembly during the
reporting period;
(ii) A contract in an amount totaling $10,000 or more from the state
or any state agency for services, materials, or property;
(iii) A grant of $10,000 or more from the state or any state agency
during the reporting period;
(iv) A grant obtained through a legislative initiative during the
reporting period; or
(v) A case, proceeding, application or other matter that is not a
ministerial matter before a state agency during the reporting period."
In reviewing the request for an exemption, the [joint] INDEPENDENT
commission ON ETHICS AND LOBBYING IN GOVERNMENT or the office of court
administration may consult with bar or other professional associations
and the legislative ethics commission for individuals subject to its
jurisdiction and may consider the rules of professional conduct. In
making its determination, the [joint] INDEPENDENT commission ON ETHICS
AND LOBBYING IN GOVERNMENT or the office of court administration shall
conduct its own inquiry and shall consider factors including, but not
limited to: (i) the nature and the size of the client; (ii) whether the
client has any business before the state; and if so, how significant the
business is; and whether the client has any particularized interest in
pending legislation and if so how significant the interest is; (iii)
whether disclosure may reveal trade secrets; (iv) whether disclosure
could reasonably result in retaliation against the client; (v) whether
disclosure may cause undue harm to the client; (vi) whether disclosure
may result in undue harm to the attorney-client relationship; and (vii)
whether disclosure may result in an unnecessary invasion of privacy to
the client.
The [joint] INDEPENDENT commission ON ETHICS AND LOBBYING IN GOVERN-
MENT or, as the case may be, the office of court administration shall
promptly make a final determination in response to such request, which
shall include an explanation for its determination. The office of court
administration shall issue its final determination within three days of
receiving the request. Notwithstanding any other provision of law or any
professional disciplinary rule to the contrary, the disclosure of the
identity of any client or customer in response to this question shall
not constitute professional misconduct or a ground for disciplinary
action of any kind, or form the basis for any civil or criminal cause of
action or proceeding. A reporting individual who first enters public
office after December thirty-first, two thousand fifteen, need not
report clients or customers with respect to matters for which the
reporting individual or his or her firm was retained prior to entering
public office.
Client Name of Lobbyist Description Category of Amount
of Matter (in Table 1)
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
§ 8. Subdivisions 4 and 7 of section 73-a of the public officers law,
subdivision 4 as amended by section 5 of part A of chapter 399 of the
S. 8005--A 85 A. 9005--A
laws of 2011 and subdivision 7 as added by section 3 of part CC of chap-
ter 56 of the laws of 2015, are amended to read as follows:
4. A reporting individual who knowingly and wilfully fails to file an
annual statement of financial disclosure or who knowingly and wilfully
with intent to deceive makes a false statement or gives information
which such individual knows to be false on such statement of financial
disclosure filed pursuant to this section shall be subject to a civil
penalty in an amount not to exceed forty thousand dollars. Assessment of
a civil penalty hereunder shall be made by the [joint] INDEPENDENT
commission on [public] ethics AND LOBBYING IN GOVERNMENT or by the
legislative ethics commission, as the case may be, with respect to
persons subject to their respective jurisdictions. The [joint] INDE-
PENDENT commission on [public] ethics AND LOBBYING IN GOVERNMENT acting
pursuant to subdivision fourteen of section ninety-four of the executive
law or the legislative ethics commission acting pursuant to subdivision
eleven of section eighty of the legislative law, as the case may be,
may, in lieu of or in addition to a civil penalty, refer a violation to
the appropriate prosecutor and upon such conviction, but only after such
referral, such violation shall be punishable as a class A misdemeanor. A
civil penalty for false filing may not be imposed hereunder in the event
a category of "value" or "amount" reported hereunder is incorrect unless
such reported information is falsely understated. Notwithstanding any
other provision of law to the contrary, no other penalty, civil or crim-
inal may be imposed for a failure to file, or for a false filing, of
such statement, except that the appointing authority may impose disci-
plinary action as otherwise provided by law. The [joint] INDEPENDENT
commission on [public] ethics AND LOBBYING IN GOVERNMENT and the legis-
lative ethics commission shall each be deemed to be an agency within the
meaning of article three of the state administrative procedure act and
shall adopt rules governing the conduct of adjudicatory proceedings and
appeals relating to the assessment of the civil penalties herein author-
ized. Such rules, which shall not be subject to the approval require-
ments of the state administrative procedure act, shall provide for due
process procedural mechanisms substantially similar to those set forth
in such article three but such mechanisms need not be identical in terms
or scope. Assessment of a civil penalty shall be final unless modified,
suspended or vacated within thirty days of imposition and upon becoming
final shall be subject to review at the instance of the affected report-
ing individual in a proceeding commenced against the [joint] INDEPENDENT
commission on [public] ethics AND LOBBYING IN GOVERNMENT or the legisla-
tive ethics commission, pursuant to article seventy-eight of the civil
practice law and rules.
7. With respect to an application to either the [joint] INDEPENDENT
commission ON ETHICS AND LOBBYING IN GOVERNMENT or the office of court
administration for an exemption to disclosing the name of a client or
customer in response to questions 8 (b-1), 8 (b-2) and 8 (c), all infor-
mation which is the subject of or a part of such application shall
remain confidential. The name of the client need not be disclosed by the
reporting individual unless and until the [joint] INDEPENDENT commission
ON ETHICS AND LOBBYING IN GOVERNMENT or the office of court adminis-
tration formally advises the reporting individual that he or she must
disclose such names and the reporting individual agrees to represent the
client. Any commissioner or person employed by the [joint] INDEPENDENT
commission ON ETHICS AND LOBBYING IN GOVERNMENT or any person employed
by the office of court administration who, intentionally and without
authorization from a court of competent jurisdiction releases confiden-
S. 8005--A 86 A. 9005--A
tial information related to a request for an exemption received by the
commission or the office of court administration shall be guilty of a
class A misdemeanor.
§ 9. Paragraph (d) of subdivision 1 of section 172-e of the executive
law, as added by section 1 of part F of chapter 286 of the laws of 2016,
is amended to read as follows:
(d) "Recipient entity" shall mean any corporation or entity that is
qualified as an exempt organization or entity by the United States
Department of the Treasury under I.R.C. 501(c)(4) that is required to
file a source of funding report with the [joint] INDEPENDENT commission
on [public] ethics AND LOBBYING IN GOVERNMENT pursuant to sections one-h
and one-j of the legislative law.
§ 10. The closing paragraph of paragraph four of subdivision (c) of
section 1-h of the legislative law, as added by section 1 of part D of
chapter 286 of the laws of 2016, is amended to read as follows:
The [joint] INDEPENDENT commission on [public] ethics AND LOBBYING IN
GOVERNMENT shall promulgate regulations to implement these requirements.
§ 11. The closing paragraph of paragraph four of subdivision (c) of
section 1-j of the legislative law, as amended by section 2 of part D of
chapter 286 of the laws of 2016, is amended to read as follows:
The [joint] INDEPENDENT commission on [public] ethics AND LOBBYING IN
GOVERNMENT shall promulgate regulations to implement these requirements.
§ 12. Paragraph (a) of subdivision 1 of section 73 of the public offi-
cers law, as amended by section 1 of part A of chapter 399 of the laws
of 2011, is amended to read as follows:
(a) The term "compensation" shall mean any money, thing of value or
financial benefit conferred in return for services rendered or to be
rendered. With regard to matters undertaken by a firm, corporation or
association, compensation shall mean net revenues, as defined in accord-
ance with generally accepted accounting principles as defined by the
[joint] INDEPENDENT commission on [public] ethics AND LOBBYING IN
GOVERNMENT or legislative ethics commission in relation to persons
subject to their respective jurisdictions.
§ 13. Paragraph (a) of subdivision 6 of section 73 of the public offi-
cers law, as amended by section 3 of part K of chapter 286 of the laws
of 2016, is amended to read as follows:
(a) Every legislative employee not subject to the provisions of
section seventy-three-a of this chapter shall, on and after December
fifteenth and before the following January fifteenth, in each year, file
with the [joint] INDEPENDENT commission on [public] ethics AND LOBBYING
IN GOVERNMENT and the legislative ethics commission a financial disclo-
sure statement of
(1) each financial interest, direct or indirect of himself or herself,
his or her spouse and his or her unemancipated children under the age of
eighteen years in any activity which is subject to the jurisdiction of a
regulatory agency or name of the entity in which the interest is had and
whether such interest is over or under five thousand dollars in value.
(2) every office and directorship held by him or her in any corpo-
ration, firm or enterprise which is subject to the jurisdiction of a
regulatory agency, including the name of such corporation, firm or
enterprise.
(3) any other interest or relationship which he or she determines in
his or her discretion might reasonably be expected to be particularly
affected by legislative action or in the public interest should be
disclosed.
S. 8005--A 87 A. 9005--A
§ 14. Paragraph (h) of subdivision 8 of section 73 of the public offi-
cers law, as amended by section 10 of part A of chapter 399 of the laws
of 2011, is amended to read as follows:
(h) Notwithstanding the provisions of subparagraphs (i) and (ii) of
paragraph (a) of this subdivision, a former state officer or employee
may contract individually, or as a member or employee of a firm, corpo-
ration or association, to render services to any state agency when the
agency head certifies in writing to the [joint] INDEPENDENT commission
on [public] ethics AND LOBBYING IN GOVERNMENT that the services of such
former officer or employee are required in connection with the agency's
response to a disaster emergency declared by the governor pursuant to
section twenty-eight of the executive law.
§ 15. Subdivisions 8-a, 8-b and 10 of section 73 of the public offi-
cers law, subdivision 8-a as amended by chapter 357 of the laws of 2001,
the opening paragraph of subdivision 8-a as amended by section 11 and
subdivision 8-b as amended by section 12 of part A of chapter 399 of the
laws of 2011, and subdivision 10 as amended by section 5 of part K of
chapter 286 of the laws of 2016, are amended to read as follows:
8-a. The provisions of subparagraphs (i) and (ii) of paragraph (a) of
subdivision eight of this section shall not apply to any such former
state officer or employee engaged in any of the specific permitted
activities defined in this subdivision that are related to any civil
action or proceeding in any state or federal court, provided that the
attorney general has certified in writing to the [joint] INDEPENDENT
commission on [public] ethics AND LOBBYING IN GOVERNMENT, with a copy to
such former state officer or employee, that the services are rendered on
behalf of the state, a state agency, state officer or employee, or other
person or entity represented by the attorney general, and that such
former state officer or employee has expertise, knowledge or experience
which is unique or outstanding in a field or in a particular matter or
which would otherwise be generally unavailable at a comparable cost to
the state, a state agency, state officer or employee, or other person or
entity represented by the attorney general in such civil action or
proceeding. In those instances where a state agency is not represented
by the attorney general in a civil action or proceeding in state or
federal court, a former state officer or employee may engage in permit-
ted activities provided that the general counsel of the state agency,
after consultation with the [joint] INDEPENDENT commission on [public]
ethics AND LOBBYING IN GOVERNMENT, provides to the [joint] INDEPENDENT
commission on [public] ethics AND LOBBYING IN GOVERNMENT a written
certification which meets the requirements of this subdivision. For
purposes of this subdivision the term "permitted activities" shall mean
generally any activity performed at the request of the attorney general
or the attorney general's designee, or in cases where the state agency
is not represented by the attorney general, the general counsel of such
state agency, including without limitation:
(a) preparing or giving testimony or executing one or more affidavits;
(b) gathering, reviewing or analyzing information, including documen-
tary or oral information concerning facts or opinions, attending deposi-
tions or participating in document review or discovery;
(c) performing investigations, examinations, inspections or tests of
persons, documents or things;
(d) performing audits, appraisals, compilations or computations, or
reporting about them;
(e) identifying information to be sought concerning facts or opinions;
or
S. 8005--A 88 A. 9005--A
(f) otherwise assisting in the preparation for, or conduct of, such
litigation.
Nothing in this subdivision shall apply to the provision of legal
representation by any former state officer or employee.
8-b. Notwithstanding the provisions of subparagraphs (i) and (ii) of
paragraph (a) of subdivision eight of this section, a former state offi-
cer or employee may contract individually, or as a member or employee of
a firm, corporation or association, to render services to any state
agency if, prior to engaging in such service, the agency head certifies
in writing to the [joint] INDEPENDENT commission on [public] ethics AND
LOBBYING IN GOVERNMENT that such former officer or employee has exper-
tise, knowledge or experience with respect to a particular matter which
meets the needs of the agency and is otherwise unavailable at a compara-
ble cost. Where approval of the contract is required under section one
hundred twelve of the state finance law, the comptroller shall review
and consider the reasons for such certification. The [joint] INDEPENDENT
commission on [public] ethics AND LOBBYING IN GOVERNMENT must review and
approve all certifications made pursuant to this subdivision.
10. Nothing contained in this section, the judiciary law, the educa-
tion law or any other law or disciplinary rule shall be construed or
applied to prohibit any firm, association or corporation, in which any
present or former statewide elected official, state officer or employee,
or political party chairman, member of the legislature or legislative
employee is a member, associate, retired member, of counsel or share-
holder, from appearing, practicing, communicating or otherwise rendering
services in relation to any matter before, or transacting business with
a state agency, or a city agency with respect to a political party
chairman in a county wholly included in a city with a population of more
than one million, otherwise proscribed by this section, the judiciary
law, the education law or any other law or disciplinary rule with
respect to such official, member of the legislature or officer or
employee, or political party chairman, where such statewide elected
official, state officer or employee, member of the legislature or legis-
lative employee, or political party chairman does not share in the net
revenues, as defined in accordance with generally accepted accounting
principles by the [joint] INDEPENDENT commission on [public] ethics AND
LOBBYING IN GOVERNMENT or by the legislative ethics commission in
relation to persons subject to their respective jurisdictions, resulting
therefrom, or, acting in good faith, reasonably believed that he or she
would not share in the net revenues as so defined; nor shall anything
contained in this section, the judiciary law, the education law or any
other law or disciplinary rule be construed to prohibit any firm, asso-
ciation or corporation in which any present or former statewide elected
official, member of the legislature, legislative employee, full-time
salaried state officer or employee or state officer or employee who is
subject to the provisions of section seventy-three-a of this article is
a member, associate, retired member, of counsel or shareholder, from
appearing, practicing, communicating or otherwise rendering services in
relation to any matter before, or transacting business with, the court
of claims, where such statewide elected official, member of the legisla-
ture, legislative employee, full-time salaried state officer or employee
or state officer or employee who is subject to the provisions of section
seventy-three-a of this article does not share in the net revenues, as
defined in accordance with generally accepted accounting principles by
the [joint] INDEPENDENT commission on [public] ethics AND LOBBYING IN
GOVERNMENT or by the legislative ethics commission in relation to
S. 8005--A 89 A. 9005--A
persons subject to their respective jurisdictions, resulting therefrom,
or, acting in good faith, reasonably believed that he or she would not
share in the net revenues as so defined.
§ 16. This act shall take effect on the ninetieth day after it shall
have become a law.
PART AA
Section 1. The criminal procedure law is amended by adding a new
section 160.57 to read as follows:
§ 160.57 AUTOMATIC SEALING OF CONVICTIONS.
1. FOR PURPOSES OF THIS SECTION, "EXPIRATION OF SENTENCE" SHALL MEAN
THE MAXIMUM DATE ON WHICH EITHER ANY SENTENCE OF INCARCERATION, WHETHER
IN A LOCAL JAIL OR STATE CORRECTIONAL FACILITY, INCLUDING ANY TERM OF
POST RELEASE SUPERVISION, OR ANY SENTENCE OF PROBATION WOULD EXPIRE IF
SUCH SENTENCE WERE TO RUN FROM THE DATE SUCH SENTENCE WAS IMPOSED BY THE
COURT WITHOUT CONSIDERATION OF ANY CONDITIONAL OR SUPERVISED RELEASE
FROM CUSTODY, CREDITS OR REDUCTIONS A DEFENDANT MAY BE DUE, MAY EARN,
AND/OR MAY HAVE EARNED.
2. CONVICTIONS FOR CERTAIN TRAFFIC INFRACTIONS AND VIOLATIONS OR ANY
CRIME DEFINED IN THE LAWS OF THIS STATE SHALL BE SEALED IN ACCORDANCE
WITH PARAGRAPH (C) OF THIS SUBDIVISION AS FOLLOWS:
(A) CONVICTIONS FOR SUBDIVISION ONE OF SECTION ELEVEN HUNDRED NINETY-
TWO OF THE VEHICLE AND TRAFFIC LAW SHALL BE SEALED THREE YEARS AFTER THE
COMPLETION OF ANY SENTENCE IMPOSED INCLUDING THE PAYMENT OF ANY FINE
IMPOSED.
(B) CONVICTIONS FOR MISDEMEANORS AND FELONIES SHALL BE SEALED UPON
SATISFACTION OF THE FOLLOWING CONDITIONS:
(I) IF THE CONVICTION TO BE SEALED IS A MISDEMEANOR, AT LEAST THREE
YEARS HAVE PASSED FROM THE EXPIRATION OF SUCH SENTENCE AND IF THE
CONVICTION TO BE SEALED IS A FELONY AT LEAST SEVEN YEARS HAVE PASSED
SINCE THE EXPIRATION OF SENTENCE;
(II) THE CONVICTION IS NOT DEFINED AS A SEX OFFENSE UNDER SECTION ONE
HUNDRED SIXTY-EIGHT-A OF THE CORRECTION LAW;
(III) THE DEFENDANT IS NOT CURRENTLY INCARCERATED OR UNDER SUPERVISION
OF ANY PAROLE OR PROBATION DEPARTMENT; AND
(IV) THE DEFENDANT DOES NOT HAVE A PENDING CRIMINAL CASE IN THIS
STATE.
(C) WHERE A CONVICTION IS ELIGIBLE FOR SEALING PURSUANT TO THIS PARA-
GRAPH BEFORE, ON, OR AFTER THE EFFECTIVE DATE OF THIS SECTION, THE
OFFICE OF COURT ADMINISTRATION SHALL IMMEDIATELY NOTIFY THE DIVISION OF
CRIMINAL JUSTICE SERVICES, THE COURT OF CONVICTION, AND THE HEADS OF ALL
APPROPRIATE POLICE AND SHERIFF DEPARTMENTS THAT THE CONVICTION IS
SEALED.
(D) RECORDS OF CONVICTIONS SEALED PURSUANT TO THIS PARAGRAPH SHALL NOT
BE ACCESSED, MADE AVAILABLE TO ANY PERSON OR PUBLIC OR PRIVATE AGENCY,
OR USED BY ANY STATE AGENCY COVERED BY SUBDIVISION THREE OF THIS SECTION
EXCEPT FOR:
(I) THE DEFENDANT AND SUCH DEFENDANT'S ATTORNEY;
(II) ANY COURT OR PROSECUTOR FOR THE PURPOSES OF A PENDING CRIMINAL
ACTION;
(III) QUALIFIED AGENCIES, AS DEFINED IN SUBDIVISION NINE OF SECTION
EIGHT HUNDRED THIRTY-FIVE OF THE EXECUTIVE LAW, AND FEDERAL AND STATE
LAW ENFORCEMENT AGENCIES, WHEN ACTING WITHIN THE SCOPE OF THEIR LAW
ENFORCEMENT DUTIES OR OTHER SPECIFIC STATUTORY AUTHORITY;
S. 8005--A 90 A. 9005--A
(IV) THE COURT, PROSECUTOR, AND DEFENSE COUNSEL IF THE DEFENDANT
BECOMES A WITNESS IN A CRIMINAL PROCEEDING, OR THE CLAIMANT AND RESPOND-
ENT IF THE DEFENDANT BECOMES A WITNESS IN A CIVIL PROCEEDING;
(V) WHEN AN INDIVIDUAL IS A DEFENDANT IN A CRIMINAL ACTION AND THE
SEALED RECORDS OF CONVICTION OF A THIRD-PARTY ARE INTEGRAL TO THEIR
DEFENSE. IN SUCH INSTANCES, USE OF SEALED RECORDS SHALL BE REQUESTED
UPON EX PARTE MOTION IN ANY SUPERIOR COURT, OR IN ANY DISTRICT COURT,
CITY COURT OR THE CRIMINAL COURT OF THE CITY OF NEW YORK PROVIDED THAT
SUCH COURT IS WHERE THE ACTION IS PENDING. THE APPLICANT MUST DEMON-
STRATE TO THE SATISFACTION OF THE COURT THAT THE RECORDS WILL BE USED
FOR THE PURPOSE OF THIS SUBPARAGRAPH;
(VI) ANY PROSPECTIVE EMPLOYER OF A POLICE OFFICER OR PEACE OFFICER AS
THOSE TERMS ARE DEFINED IN SUBDIVISIONS THIRTY-THREE AND THIRTY-FOUR OF
SECTION 1.20 OF THIS CHAPTER, IN RELATION TO AN APPLICATION FOR EMPLOY-
MENT AS A POLICE OFFICER, PROVIDED, HOWEVER, THAT EVERY PERSON WHO IS AN
APPLICANT SHALL BE FURNISHED WITH A COPY OF ALL RECORDS OBTAINED UNDER
THIS PARAGRAPH AND AFFORDED AN OPPORTUNITY TO MAKE AN EXPLANATION THERE-
TO;
(VII) ANY FEDERAL, STATE OR LOCAL OFFICER OR AGENCY WITH RESPONSIBIL-
ITY FOR THE ISSUANCE OF LICENSES TO POSSESS A FIREARM, RIFLE OR SHOTGUN
OR WITH RESPONSIBILITY FOR CONDUCTING BACKGROUND CHECKS BEFORE TRANSFER
OR SALE OF A FIREARM OR EXPLOSIVE, WHEN THE OFFICER OR AGENCY IS ACTING
PURSUANT TO SUCH RESPONSIBILITY. THIS INCLUDES THE CRIMINAL JUSTICE
INFORMATION SERVICES DIVISION OF THE FEDERAL BUREAU OF INVESTIGATION,
FOR THE PURPOSES OF RESPONDING TO QUERIES TO THE NATIONAL INSTANT BACK-
GROUND CHECK SYSTEM REGARDING ATTEMPTS TO PURCHASE OR OTHERWISE TAKE
POSSESSION OF FIREARMS, RIFLES OR SHOTGUNS, AS DEFINED IN 18 U.S.C. §
921 (A)(3);
(VIII) FOR THE PURPOSES OF CIVILIAN INVESTIGATION OR EVALUATION OF A
CIVILIAN COMPLAINT OR CIVIL ACTION CONCERNING LAW ENFORCEMENT OR PROSE-
CUTION ACTIONS, UPON EX PARTE MOTION IN ANY SUPERIOR COURT, OR IN ANY
DISTRICT COURT, CITY COURT OR THE CRIMINAL COURT OF THE CITY OF NEW YORK
PROVIDED THAT SUCH COURT SEALED THE RECORD; THE APPLICANT MUST DEMON-
STRATE TO THE SATISFACTION OF THE COURT THAT THE RECORDS WILL BE USED
FOR THE PURPOSES OF THIS SUBPARAGRAPH; AND
(IX) FOR INFORMATION PROVIDED TO AN INDIVIDUAL OR ENTITY PURSUANT TO
PARAGRAPH (E) OF SUBDIVISION FOUR OF SECTION EIGHT HUNDRED THIRTY-SEVEN
OF THE EXECUTIVE LAW OR FOR BONA FIDE RESEARCH PURPOSES PROVIDED ALL
IDENTIFYING INFORMATION IS REMOVED.
(E) WHERE THE SEALING REQUIRED BY THIS PARAGRAPH HAS NOT TAKEN PLACE,
OR WHERE SUPPORTING COURT RECORDS CANNOT BE LOCATED OR HAVE BEEN
DESTROYED, AND A DEFENDANT OR THEIR ATTORNEY SUBMITS NOTIFICATION OF
SUCH FACT TO THE OFFICE OF THE COURT ADMINISTRATION, THE CONVICTION
SHALL BE SEALED AS SET FORTH IN THIS SUBDIVISION.
3. WHERE A CONVICTION IS ELIGIBLE FOR SEALING PURSUANT TO THIS SECTION
THE OFFICE OF COURT ADMINISTRATION SHALL IMMEDIATELY NOTIFY THE DIVISION
OF CRIMINAL JUSTICE SERVICES, THE COURT OF CONVICTION AND THE HEADS OF
ALL APPROPRIATE POLICE DEPARTMENTS, PROSECUTORS' OFFICES AND LAW
ENFORCEMENT AGENCIES THAT THE CONVICTION IS SEALED. UPON RECEIPT OF SUCH
NOTIFICATION, RECORDS OF OR RELATING TO SUCH CONVICTION, INCLUDING EVERY
PHOTOGRAPH OF SUCH DEFENDANT AND PHOTOGRAPHIC PLATES OR PROOF, AND ALL
PALMPRINTS, FINGERPRINTS AND RETINA SCANS TAKEN OR MADE OF SUCH INDIVID-
UAL PURSUANT TO THE PROVISIONS OF THIS ARTICLE IN REGARD TO THE ELIGIBLE
CONVICTION, AND ALL DUPLICATES, REPRODUCTIONS, AND COPIES THEREOF, SHALL
BE SEALED AND SHALL NOT BE RELEASED EXCEPT AS PROVIDED BY PARAGRAPH (D)
OF SUBDIVISION TWO OF THIS SECTION. EVERY OFFICIAL RECORD AND PAPER AND
S. 8005--A 91 A. 9005--A
DUPLICATES AND COPIES THEREOF, INCLUDING, BUT NOT LIMITED TO, JUDGMENTS
AND ORDERS OF A COURT BUT NOT INCLUDING PUBLISHED COURT DECISIONS OR
OPINIONS OR RECORDS AND BRIEFS ON APPEAL, RELATING TO THE CONVICTION, ON
FILE WITH THE AGENCY SHALL BE MARKED AS SEALED BY CONSPICUOUSLY INDICAT-
ING ON THE FACE OF THE RECORD OR AT THE BEGINNING OF THE DIGITIZED FILE
OF THE RECORD THAT THE RECORD HAS BEEN DESIGNATED AS SEALED.
4. (A) NOTHING IN THIS SECTION REQUIRES THE DESTRUCTION OF DNA INFOR-
MATION MAINTAINED IN THE NEW YORK STATE DNA DATABASE OF SUCH INDIVIDUAL
PURSUANT TO THE PROVISIONS OF THE EXECUTIVE LAW IN REGARD TO THE ELIGI-
BLE CONVICTION.
(B) NOTHING IN THIS SECTION REQUIRES THE SEALING OR DESTRUCTION OF
RECORDS MAINTAINED BY THE DEPARTMENT OF MOTOR VEHICLES, AND NOTHING IN
THIS SECTION SHALL BE CONSTRUED TO CONTRAVENE THE VEHICLE AND TRAFFIC
LAW, THE FEDERAL DRIVER'S PRIVACY PROTECTION ACT (18 U.S.C 2721 ET.
SEQ.), OR THE COMMERCIAL MOTOR VEHICLE SAFETY ACT OF 1986 (49 U.S.C.
31311).
(C) IN ANY CIVIL ACTION, AN OFFICIAL RECORD OF A CONVICTION THAT HAS
BEEN SEALED PURSUANT TO THIS SECTION MAY NOT BE INTRODUCED AS EVIDENCE
OF NEGLIGENCE AGAINST A PERSON OR ENTITY THAT PROVIDED EMPLOYMENT,
CONTRACT LABOR OR SERVICES, VOLUNTEER WORK, LICENSING, TENANCY, A HOME
PURCHASE, A MORTGAGE, AN EDUCATION, A LOAN, OR INSURANCE IF SUCH RECORD
WAS SEALED AND WAS NOT PROVIDED TO THE PERSON OR ENTITY BY OR ON BEHALF
OF A GOVERNMENTAL ENTITY IN ACCORDANCE WITH THIS SECTION IN RESPONSE TO
SUCH PERSON'S OR ENTITY'S AUTHORIZED AND TIMELY REQUEST FOR CONVICTION
HISTORY INFORMATION.
(D) A PERSON OR ENTITY DESCRIBED IN THIS SUBDIVISION, ACTING REASON-
ABLY AND IN GOOD FAITH, MAY NOT HAVE A DUTY TO INVESTIGATE THE FACT OF A
PRIOR CONVICTION THAT HAS BEEN SEALED PURSUANT TO THIS SECTION.
5. NO DEFENDANT SHALL BE REQUIRED OR PERMITTED TO WAIVE ELIGIBILITY
FOR SEALING PURSUANT TO THIS SECTION AS PART OF A PLEA OF GUILTY,
SENTENCE OR ANY AGREEMENT RELATED TO A CONVICTION FOR A VIOLATION OF THE
LAWS OF THIS STATE. ANY SUCH WAIVER IS VOID AND UNENFORCEABLE.
6. SEALING AS SET FORTH IN SUBDIVISION THREE OF THIS SECTION IS WITH-
OUT PREJUDICE TO A DEFENDANT OR THEIR ATTORNEY SEEKING FURTHER RELIEF
PURSUANT TO SECTION 440.10 OF THIS CHAPTER. NOTHING IN THIS SECTION
SHALL DIMINISH OR ABROGATE ANY RIGHTS OR REMEDIES OTHERWISE AVAILABLE TO
THE DEFENDANT.
7. ALL RECORDS FOR A CONVICTION SUBJECT TO SEALING UNDER THIS SECTION
WHERE THE CONVICTION WAS ENTERED ON OR BEFORE THE EFFECTIVE DATE OF THIS
SECTION SHALL RECEIVE THE APPROPRIATE RELIEF PROMPTLY AND, IN ANY EVENT,
NO LATER THAN TWO YEARS AFTER SUCH EFFECTIVE DATE.
8. A CONVICTION WHICH IS SEALED PURSUANT TO THIS SECTION IS INCLUDED
WITHIN THE DEFINITION OF A CONVICTION FOR THE PURPOSES OF ANY CRIMINAL
PROCEEDING IN WHICH THE FACT OF A PRIOR CONVICTION WOULD ENHANCE A
PENALTY OR IS AN ELEMENT OF THE OFFENSE CHARGED.
§ 2. Section 9 of the correction law, as added by section 2 of part OO
of chapter 56 of the laws of 2010, the section heading as amended by
chapter 322 of the laws of 2021, is amended to read as follows:
§ 9. Access to information of incarcerated individuals via the inter-
net. Notwithstanding any provision of law to the contrary, any informa-
tion relating to the conviction of a person[, except for a person
convicted of an offense that would make such person ineligible for merit
time under section eight hundred three of this chapter or an offense for
which registration as a sex offender is required as set forth in subdi-
vision two or three of section one hundred sixty-eight-a of this chap-
ter,] that is posted on a website maintained by or for the department,
S. 8005--A 92 A. 9005--A
under article six of the public officers law, may be posted on such
website for a period not to exceed five years after the expiration of
such person's sentence of imprisonment and AT THE CONCLUSION OF any
period of parole or post-release supervision[; provided, however, that
in the case of a person who has been committed to the department on more
than one occasion, the department may post conviction information relat-
ing to any prior commitment on such website for a period not to exceed
five years after the expiration of such person's sentence of imprison-
ment and any period of parole or post-release supervision arising from
the most recent commitment to the department].
§ 3. Severability. If any provision of this act or the application
thereof to any person, corporation or circumstances is held invalid,
such invalidity shall not affect other provisions or applications of the
act which can be given effect without the invalid provision or applica-
tion, and to this end the provisions of this act are declared to be
severable.
§ 4. This act shall take effect eighteen months after it shall have
become a law.
PART BB
Section 1. Subdivision 2 of section 170 of the correction law, as
amended by chapter 322 of the laws of 2021, is amended to read as
follows:
2. Notwithstanding any other provision of law, it shall be lawful for
an incarcerated individual of the department to work in an institution
of the department in the manufacture and production of goods, including
but not limited to, license plates, identification plates and insignia
for vehicles, and for the department to sell or otherwise dispose of for
profit such goods to the government of the United States or to any state
of the United States, or political subdivision thereof, or any public
corporation or eleemosynary association or corporation funded in whole
or in part by any federal, state or local funds. IT SHALL ALSO BE LAWFUL
FOR INCARCERATED INDIVIDUALS TO BE EMPLOYED BY AND BE PAID FAIR AND JUST
COMPENSATION BY A PRIVATE SECTOR ENTITY OR TO BE PAID AS PART OF A PRIS-
ON INDUSTRIES CERTIFICATION PROGRAM AUTHORIZED BY SECTION ONE HUNDRED
SEVENTY-TWO OF THIS ARTICLE AND CERTIFIED BY THE UNITED STATES DEPART-
MENT OF JUSTICE IN ACCORDANCE WITH 18 U.S.C. § 1761.
§ 2. Subdivisions 1 and 2 of section 171 of the correction law, subdi-
vision 1 as amended by chapter 322 of the laws of 2021 and subdivision 2
as amended by chapter 364 of the laws of 1983, are amended to read as
follows:
1. The commissioner and the superintendents [and officials of all
penitentiaries in the state] may cause incarcerated individuals in the
state correctional facilities [and such penitentiaries] who are phys-
ically capable thereof to be employed for not to exceed eight hours of
each day other than Sundays and public holidays. Notwithstanding any
other provision of this section, however, the commissioner and super-
intendents [of state correctional facilities] may employ incarcerated
individuals on a volunteer basis on Sundays and public holidays in
specialized areas of the facility, including kitchen areas, vehicular
garages, rubbish pickup and grounds maintenance, providing, however,
that incarcerated individuals so employed shall be allowed an alterna-
tive free day within the normal work week.
2. Such labor shall be either for the purpose of the production of
supplies for said institutions, or for the state, or any political
S. 8005--A 93 A. 9005--A
subdivision thereof, or for any public institution owned or managed and
controlled by the state, or any political subdivision thereof; or for
the purpose of industrial training and instruction, or partly for one,
and partly for the other of such purposes. IT SHALL ALSO BE LAWFUL FOR
INCARCERATED INDIVIDUALS TO BE EMPLOYED BY AND BE PAID FAIR AND JUST
COMPENSATION BY A PRIVATE SECTOR ENTITY, OR BE PAID AS PART OF A PRISON
INDUSTRIES CERTIFICATION PROGRAM AUTHORIZED BY SECTION ONE HUNDRED
SEVENTY-TWO OF THIS ARTICLE AND CERTIFIED BY THE UNITED STATES DEPART-
MENT OF JUSTICE IN ACCORDANCE WITH 18 U.S.C. § 1761.
§ 3. The correction law is amended by adding a new section 172 to read
as follows:
§ 172. EMPLOYMENT BY PRIVATE SECTOR ENTITIES; PRISON INDUSTRIES
CERTIFICATION PROGRAM. 1. THE COMMISSIONER MAY ENTER INTO CONTRACTS
WITH PRIVATE SECTOR INDIVIDUALS, PARTNERSHIPS, CORPORATIONS, OR OTHER
BUSINESS ENTITIES WHEREBY AN AREA WITHIN A CORRECTIONAL FACILITY MAY BE
MADE AVAILABLE TO SUCH ENTITY FOR USE AS A WORK SITE AT WHICH INCARCER-
ATED INDIVIDUALS WHO VOLUNTEER MAY BE EMPLOYED BY SUCH ENTITIES. EXCEPT
FOR THE PERMISSIBLE OFFSETS AGAINST WAGES, THE LAWS OF THE STATE WITH
RESPECT TO EMPLOYMENT CONDITIONS SHALL APPLY TO INCARCERATED INDIVIDUALS
PARTICIPATING IN EMPLOYMENT THROUGH PRIVATE SECTOR ENTITIES OR THROUGH A
PRISON INDUSTRIES CERTIFICATION PROGRAM.
2. THE COMMISSIONER IS HEREBY AUTHORIZED AND EMPOWERED TO ESTABLISH
AND IMPLEMENT A PRISON INDUSTRIES CERTIFICATION PROGRAM IN ONE OR MORE
CORRECTIONAL FACILITIES OF THE DEPARTMENT AS PROVIDED FOR IN 18 U.S.C. §
1761. THE COMMISSIONER SHALL PROMULGATE RULES AND REGULATIONS CONSISTENT
WITH SUCH FEDERAL AND STATE LAWS WHICH SHALL INCLUDE, BUT NOT BE LIMITED
TO, PROVISIONS DEFINING INCARCERATED INDIVIDUAL ELIGIBILITY AND ENSURING
INCARCERATED INDIVIDUALS ARE COMPENSATED AT WAGES WHICH ARE COMPARABLE
TO THE WAGES PAID FOR WORK OF SIMILAR NATURE IN THE LOCALITY IN WHICH
THE WORK IS PERFORMED, AND PROVISIONS PROVIDING FOR THE GROSS WAGES OF
INCARCERATED INDIVIDUALS TO BE OFFSET IN AN AGGREGATE AMOUNT NOT TO
EXCEED FIFTY PERCENT FOR TAXES, SUPPORT OF FAMILY, RESTITUTION FOR CRIME
VICTIMS, AND OTHER LAWFUL OBLIGATIONS.
§ 4. Section 177 of the correction law is amended by adding a new
subdivision 8 to read as follows:
8. NOTWITHSTANDING ANY OTHER PROVISION OF LAW TO THE CONTRARY, THE
COMMISSIONER MAY ENTER INTO A CONTRACT OR CONTRACTS WITH PRIVATE SECTOR
INDIVIDUALS, PARTNERSHIPS, CORPORATIONS OR OTHER BUSINESS ENTITIES
WHEREBY AN AREA WITHIN A CORRECTIONAL FACILITY MAY BE MADE AVAILABLE TO
SUCH ENTITY FOR USE AS A WORK SITE AT WHICH INCARCERATED INDIVIDUALS WHO
VOLUNTEER MAY BE EMPLOYED BY SUCH ENTITY OR EMPLOYED AS PART OF A PRISON
INDUSTRIES CERTIFICATION PROGRAM ESTABLISHED PURSUANT TO SECTION ONE
HUNDRED SEVENTY-TWO OF THIS ARTICLE.
§ 5. Section 178 of the correction law, as amended by chapter 322 of
the laws of 2021, is amended to read as follows:
§ 178. Participation in work release and other community activities;
EMPLOYMENT BY PRIVATE ENTITIES OR PARTICIPATION IN A PRISON INDUSTRIES
CERTIFICATION PROGRAM. Nothing contained in this article shall be
construed or applied so as to prohibit private employment of incarcerat-
ed individuals in the community under a work release program, or a resi-
dential treatment facility program formulated pursuant to any provision
of this chapter, OR THE EMPLOYMENT OF INCARCERATED INDIVIDUALS BY A
PRIVATE SECTOR ENTITY OR PARTICIPATION IN A PRISON INDUSTRIES PROGRAM
PURSUANT TO SECTION ONE HUNDRED SEVENTY-TWO OF THIS ARTICLE.
§ 6. Section 187 of the correction law is amended by adding a new
subdivision 5 to read as follows:
S. 8005--A 94 A. 9005--A
5. THE COMPENSATION PAID TO INCARCERATED INDIVIDUALS EMPLOYED BY
PRIVATE ENTITIES UNDER SECTION ONE HUNDRED SEVENTY-TWO OF THIS ARTICLE
SHALL BE SET IN ACCORDANCE WITH RULES AND REGULATIONS ADOPTED BY THE
COMMISSIONER. THE COMPENSATION PAID TO INCARCERATED INDIVIDUALS PARTIC-
IPATING IN A PRISON INDUSTRIES PROGRAM SHALL BE SET IN ACCORDANCE WITH
18 U.S.C. § 1761.
§ 7. This act shall take effect on the first of January next succeed-
ing the date upon which the people shall approve and ratify amendments
to section 24 of article 3 of the constitution by a majority of the
electors voting thereon relating to authorizing incarcerated individuals
to be employed by and be paid compensation by a private sector entity as
part of a prison industries certification program authorized by the laws
of the United States.
§ 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.
§ 3. This act shall take effect immediately provided, however, that
the applicable effective date of Parts A through BB of this act shall be
as specifically set forth in the last section of such Parts.