New York State Codes - EXC - Executive
(As of July 2023)
| NYS - EXC - Executive.docx |
ARTICLE 1 SHORT TITLE
Section 1. Short title.
§ 1. This chapter shall be known as the "Executive Law."
ARTICLE 2 GOVERNOR
Section 2. Office and residence of governor.
3. Acting governor.
4. Secretary and counsel to the governor.
4-a. Chief diversity officer.
4-b. Chief disability officer.
5. Executive records.
6. Examination and inspection by the governor.
7. Limited operation of holiday.
8. Registration of noncitizens.
9. Lease or loan of state property; temporary transfer of personnel.
11. Indian settlement agreements.
12. Tribal-state compact.
§ 2. Office and residence of governor. The office of the governor shall be known as the executive chamber, and his residence, as the executive mansion.
§ 3. Acting governor. Every provision of law relating to the governor shall extend to the lieutenant-governor, to the president of the senate, and to the speaker of the assembly respectively, while acting as governor in pursuance of law.
§ 4. Secretary and counsel to the governor. A secretary to the governor shall be appointed by the governor, and shall receive a salary to be fixed by the governor within the amount appropriated therefor. It shall be the duty of such secretary to assist the governor in matters pertaining to the executive department and perform such duties as the governor may assign to him. The governor may also appoint and at pleasure remove a counsel to the governor who shall receive a salary to be fixed by the governor within the amount appropriated therefor. It shall be the duty of such counsel to advise the governor in regard to the constitutionality, consistency and legal effect of bills presented to the governor for his approval and on matters involving the exercise of executive clemency and such other legal matters as may be referred to him by the governor.
§ 4-a. Chief diversity officer. A chief diversity officer for the state shall be appointed by the governor and shall receive a salary to be fixed by the governor within the amount appropriated therefor. The chief diversity officer's responsibilities shall include the following:
1. Advise and assist the governor in formulating policies relating to workforce diversity and minority and women's business enterprises;
2. Work with the director of the division of minority and women's business development to prepare an annual plan for ensuring full compliance with article fifteen-a of the executive law by state agencies and the use of diversity practices by such agencies;
3. Advise the governor and the agencies regarding any measures necessary to ensure full compliance with article fifteen-a of this chapter and use of diversity practices by state public authorities;
4. Serve as a member of the state procurement council established under section one hundred sixty-one of the state finance law;
5. Serve as the governor's liaison with organizations representing minority and women-owned business enterprises and other organizations related to diversity in the state workforce and in state contracting;
6. Serve as the governor's liaison to the small business advisory council for issues related to the creation of a diverse workforce and state procurement practices relating to minority and women-owned business enterprises;
7. Review and consult with the director of minority and women's business development regarding policies relating to minority and women-owned business enterprise contract specialists at state agencies; and
8. Engage in other actions assigned to him or her by the governor relating to diversity in hiring or promotion of the state workforce and in encouraging diversity practices and compliance with article fifteen-a of this chapter in procurement.
§ 4-b. Chief disability officer. 1. Persons with disabilities comprise a major segment of the state of New York's population and their particular needs and concerns must be considered as an integral part of the planning and implementation of all state programs and services affecting their lives and well-being. The office of the chief disability officer shall advocate on behalf of persons with disabilities and ensure that persons with disabilities are afforded the opportunity to exercise all of the rights and responsibilities accorded to citizens of this state.
2. For purposes of this article:
(a) "Persons with disabilities" shall mean any person who has a disability as defined in subdivision twenty-one of section two hundred ninety-two of this chapter.
(b) "State agency" or "state agencies" shall mean any state department, board, bureau, division, commission, committee, public authority, public corporation, council, office or other governmental entity performing a governmental or proprietary function for the state, except the judiciary or the state legislature.
3. (a) The governor shall appoint a chief disability officer. The chief disability officer shall advise and assist state agencies in developing policies designed to help meet the needs of persons with disabilities. The chief disability officer shall be appointed by the governor and receive a salary to be fixed by the governor within the amounts appropriated therefor.
(b) The chief disability officer shall: (i) be the state's coordinator for the implementation of the Americans with Disabilities Act; (ii) coordinate state activities to ensure that state programs do not discriminate against and are accessible to persons with disabilities; (iii) ensure that such programs provide services to individuals with disabilities in the most integrated setting appropriate to their needs; and (iv) work with state agencies to develop legislation and potential regulatory changes to help effectuate the duties and responsibilities required in this article, and any other changes that may significantly affect the lives of persons with disabilities in the state.
(c) The chief disability officer shall, to the extent practicable, review and report to the governor upon proposed legislation and regulations. The chief disability officer shall submit comments, where appropriate, to the state agency which referred such proposed legislation and regulations evaluating: (i) the impact of the proposed legislation or regulation upon persons with disabilities; (ii) the relationship and impact of such proposed legislation or regulation on existing programs affecting persons with disabilities; and (iii) any modifications that would help persons with disabilities or aid in the implementation of the new proposal. All state agencies shall cooperate with the chief disability officer to ensure that the chief disability officer is able to fulfill the requirements under this section.
§ 5. Executive records. The governor shall cause to be kept in the executive chamber or in the appropriate state office:
1. Journals of the daily transactions of his office.
2. Registers, containing classified statements of such transactions.
3. Separate registers containing classified statements of all applications for pardon, commutation or other executive clemency, and of his action thereon.
4. An account of his official expenses and disbursements, including the incidental expenses of his department.
5. Files of all official records upon which applications for executive clemency are founded; of statements made by judges to him; of sentences to death and of the testimony in capital cases; and of such other papers relating to the transactions of his office as are deemed by him of sufficient value for preservation.
§ 6. Examination and inspection by the governor. The governor is authorized at any time, either in person or by one or more persons appointed by him for the purpose, to examine and investigate the management and affairs of any department, board, bureau or commission of the state. The governor and the persons so appointed by him are empowered to subpoena and enforce the attendance of witnesses, to administer oaths and examine witnesses under oath and to require the production of any books or papers deemed relevant or material. Whenever any person so appointed shall not be regularly in the service of the state his compensation for such services shall be fixed by the governor, and said compensation and all necessary expenses of such examinations and investigations shall be paid from the treasury out of any appropriations made for the purpose upon the order of the governor and the audit and warrant of the comptroller.
Notwithstanding any inconsistent provision of any general, special or local law, charter, administrative code or other statute, service rendered by a person appointed by the governor pursuant to this section shall not constitute or be deemed state service or re-entry into state service under the civil service law, the retirement and social security law or under any charter, administrative code, or other general, special or local law relating to a state or municipal retirement or pension system so as to suspend, impair or otherwise affect or interfere with the pension or retirement status, rights, privileges and benefits of such person under any such system or to interfere with the right of such person or his beneficiary to receive any pension or annuity benefits or death benefits by reason of the selection of any option under any such system.
§ 7. Limited operation of holiday. The governor in issuing any proclamation appointing any day as a holiday or as a day of thanksgiving or fasting and prayer or other religious observance, under section twenty-four of the general construction law is authorized, in his discretion, to limit or restrict the effect and operation of such proclamation to any city or county to be designated by him in such proclamation.
§ 8. Registration of noncitizens. Whenever a state of war exists between the United States and a foreign country, or, in the judgment of the governor public safety or necessity requires such action, the governor may, by proclamation, direct every subject or citizen of such foreign countries as the governor may designate in such proclamation, who are in this state, or who may from time to time come into the state, to appear within twenty-four hours after the date specified in such proclamation or after arrival within the state, before such public authorities as the governor may designate in such proclamation, and personally register his or her name, residence, business, length of stay and such other information as the governor shall prescribe. Such proclamation shall be published in such newspapers as the governor may designate. Every person to whom such proclamation is applicable shall also comply with such rules or personal identification as the governor shall from time to time prescribe. The occupant of every private residence, and the owner, lessee or proprietor, operating or managing every hotel, inn, boarding or rooming house shall, within twenty-four hours after the date specified in such proclamation, notify such public authorities of the presence therein of every subject or citizen of a foreign country to whom such proclamation is applicable, and shall each day thereafter notify such public authorities of the arrival thereat or departure therefrom of every such subject or citizen. A failure to comply with any such proclamation or to perform any act required by this section shall be a misdemeanor, punishable by a fine of not exceeding one thousand dollars, or imprisonment for one year or both.
§ 9. Lease or loan of state property; temporary transfer of personnel. Notwithstanding any inconsistent provisions of law, general, special or local
1. (a) The governor, from time to time, whenever he deems it to be in the public interest, may authorize any department or agency of the state to lease or lend to the army, navy or any branch of the armed forces of the United States, any real or personal property of the state, on such terms and conditions as he may deem necessary to promote the public welfare and protect the interests of the state, making an adequate and appropriate provision to reimburse the state for any cost of maintenance and operation and for depreciation and waste. He may also authorize such department or agency to lease or lend such property to any other agency of the United States of America performing functions occasioned by the war or defense effort, or to any other organization subsidized or authorized directly or indirectly by the United States of America to perform work or render services occasioned by the war or defense effort, provided, however, that such lease or loan of property shall be on terms and conditions which fully compensate the state for its loss or use of such property. Such compensation shall, in addition to the cost of maintenance and operation, include, but not be limited to, depreciation and waste or debt service incidental thereto. Notwithstanding the foregoing provisions, however, the division of military and naval affairs of the executive department may be authorized pursuant to this section to lease or lend armories or other real or personal property under its jurisdiction to the army, navy or any other branch of the armed forces of the United States of America for military purposes without provision for reimbursement to the state for depreciation and waste or debt service. Any renewal of an agreement or lease heretofore made pursuant to the provisions of paragraph (a) of subdivision one of section thirty-six of the New York state war emergency act or to the provisions of chapter two hundred seventy-seven of the laws of nineteen hundred forty-two prior to the repeal of such provisions shall be made in compliance with this paragraph.
(b) The governor, from time to time, whenever he deems it to be in the public interest, is hereby authorized to enter into a contract on behalf of the state for the lease or loan, on such terms and conditions as he may deem necessary to promote the public welfare and protect the interests of the state, of any real or personal property of the state, or the temporary transfer or employment of personnel of the state to any municipal subdivision or other public corporation of the state.
2. (a) The chief executive of any such municipal subdivision or the board, commission or other head of any other public corporation is hereby authorized to enter into a contract and to execute any such lease or to accept any such loan or to employ such personnel, and such municipal subdivision or other public corporation is further authorized to equip, maintain, utilize and operate any such property and to employ necessary personnel therefor in accordance with the purposes for which such contract is executed.
(b) The chief executive of any such municipal subdivision or the board, commission or other head of such other public corporation is empowered to do all things and perform any and all acts which he or it may deem necessary to effectuate the purposes for which such contract was entered into.
§ 11. Indian settlement agreements. 1. Oneida settlement agreement. Notwithstanding any other provision of law, upon filing with the secretary of state, the settlement agreement executed between the governor, the counties of Oneida and Madison, and the Oneida Nation of New York dated the sixteenth day of May, two thousand thirteen, to be known as the Oneida Settlement Agreement, including, without limitation, the provisions contained therein relating to arbitration and judicial review in state or federal courts and, for the sole purpose thereof, a limited waiver of the state's Eleventh Amendment sovereign immunity from suit, shall upon its effective date be deemed approved, ratified, validated and confirmed by the legislature. It is the intention of the legislature in enacting this section to ensure that the settlement agreement shall be fully enforceable in all respects as to the rights, benefits, responsibilities and privileges of all parties thereto.
§ 12. Tribal-state compact. (a) Notwithstanding any other law, the state, through the governor, may execute a tribal-state compact with the Seneca Nation of Indians pursuant to the Indian Gaming Regulatory Act of 1988 (P.L. 100-497; 25 U.S.C. §§ 2701-2721 and 18 U.S.C. §§ 1166-1168) consistent with a memorandum of understanding between the governor and the president of the Seneca Nation of Indians executed on June twentieth, two thousand one and filed with the department of state on June twenty-first, two thousand one. Such tribal-state compact shall be deemed ratified by the legislature upon the governor's certification to the temporary president of the senate, the speaker of the assembly, and the secretary of state, that such compact, through its terms, by a memorandum of understanding or other agreement between the state and Nation, by a Nation's ordinance or resolution, by statute, by executive order, or by the terms of any other agreement entered into by or on behalf of the Nation, provides: (i) assurances that the Nation will provide (1) reasonable access to the gaming and related facilities to labor union organizers for purposes of a campaign to solicit employee support for labor union representation; (2) permission for labor union organizers to distribute labor union authorization cards on site for the purpose of soliciting employee support for labor union representation; and (3) recognition of labor unions as the exclusive collective bargaining representatives of employees in appropriate bargaining units based upon a demonstration of majority employee support of such labor unions by union authorization card check as verified, if necessary, by an independent arbitrator appointed by the Public Employment Relations Board in consultation with the Nation and the labor union; (ii) assurances that the Nation has an adequate civil recovery system which guarantees fundamental due process to visitors and guests of the facility and related facilities; and (iii) assurances that the Nation will maintain during the term of the compact sufficient liability insurance to assure that visitors and guests will be compensated for their injuries.
(b) Notwithstanding any other law, the state, through the governor, may execute tribal-state compacts pursuant to the Indian Gaming Regulatory Act of 1988 (P.L. 100-497; 25 U.S.C. §§ 2701-2721 and 18 U.S.C. §§ 1166-1168) authorizing up to three Class III gaming facilities in the counties of Sullivan and Ulster. Such tribal-state compact shall be deemed ratified by the legislature upon the governor's certification to the temporary president of the senate, the speaker of the assembly and the secretary of state, that such compact, through its terms, by a memorandum of understanding or other agreement between the state and Nation, by a Nation's ordinance or resolution, by statute, by executive order, or by the terms of any other agreement entered into by or on behalf of the Nation, provides: (i) assurances that the Nation will provide (1) reasonable access to the gaming and related facilities to labor union organizers for purposes of a campaign to solicit employee support for labor union representation; (2) permission for labor union organizers to distribute labor union authorization cards on site for the purpose of soliciting employee support for labor union representation; (3) provision of employees' names and addresses to labor union representatives and tribal/employer/management neutrality in labor union organizing campaigns; (4) recognition of labor unions as the exclusive collective bargaining representatives of employees in appropriate bargaining units based upon a demonstration of majority employee support of such labor unions by union authorization card check as verified, if necessary, by an independent arbitrator appointed by the Public Employment Relations Board in consultation with the Nation and the labor union; and (5) final and binding arbitration of organized labor matters or disputes including negotiations for collective bargaining agreements with arbitrators' awards enforceable in a state or federal court of competent jurisdiction; (ii) assurances that the Nation has an adequate civil recovery system which guarantees fundamental due process to visitors and guests of the facility and related facilities; and (iii) assurances that the Nation will maintain during the term of the compact sufficient liability insurance to assure that visitors and guests will be compensated for their injuries.
(c) Except as otherwise specifically provided in the compact, the state specifically reserves all its rights, as attributes of its inherent sovereignty, recognized by the tenth and eleventh amendments to the United States Constitution. Nothing in this section shall be construed to affect the existing authority of the governor under the constitution and laws of this state to execute tribal-state compacts.
ARTICLE 2-A REPRIEVES, COMMUTATIONS AND PARDONS
Section 15. Power of governor to grant reprieves, commutations and pardons.
16. His power; in respect to convictions for treason; duty of the legislature, in such cases.
17. Governor to communicate annually to legislature, reprieves, commutations and pardons.
18. Conditional pardon; procedure on violation of.
19. Setting aside judgment of conviction and dismissing indictment, information or complaint in case of pardon of defendant on ground of innocence.
§ 15. Power of governor to grant reprieves, commutations and pardons. The governor has power to grant reprieves, commutations and pardons, after conviction, for all offenses, except treason and cases of impeachment, upon such conditions, and with such restrictions and limitations, as he may think proper, subject to the regulations provided in this article.
§ 16. His power; in respect to convictions for treason; duty of the legislature, in such cases. He may also suspend the execution of the sentence, upon a conviction for treason, until the case can be reported to the legislature, at its next meeting, when the legislature must either pardon or commute the sentence, direct the execution thereof, or grant a further reprieve.
§ 17. Governor to communicate annually to legislature, reprieves, commutations and pardons. He must annually communicate to the legislature, each case of reprieve, commutation or pardon; stating the name of the convict, the crime of which he was convicted, the sentence and its date, and the date of the commutation, pardon or reprieve.
§ 18. Conditional pardon; procedure on violation of. If any person who has been discharged from imprisonment, by virtue of any parole, conditional pardon, or conditional commutation of his sentence, shall violate such condition or neglect to perform it, his parole, pardon or commutation shall be void and he shall be remanded to the place of his former imprisonment and there confined for the unexpired term for which he had been sentenced. Determination of the violation of such parole, pardon or commutation and reincarceration therefor shall be had in the manner prescribed in the correction law.
§ 19. Setting aside judgment of conviction and dismissing indictment, information or complaint in case of pardon of defendant on ground of innocence. Upon motion duly made therefor, the judgment of conviction must be set aside and the indictment, information or complaint dismissed by the court in which the defendant was convicted, in a case where the defendant shall receive a pardon from the governor stating that such pardon is issued on the ground of innocence of the crime for which he was convicted and further stating that such finding of innocence is based upon evidence discovered after the judgment of conviction was rendered and after the time within which to make a motion for a new trial on newly discovered evidence had expired. Such setting aside of a judgment of conviction and dismissal of an indictment, information or complaint against a defendant shall place the defendant in the same position as if the indictment, information or complaint had been dismissed at the conclusion of the trial by the court because of the failure to establish the defendant's guilt beyond a reasonable doubt.
ARTICLE 2-B STATE AND LOCAL NATURAL AND MAN-MADE DISASTER PREPAREDNESS
Section 20. Natural and man-made disasters; policy; definitions.
21. Disaster preparedness commission established; meetings; powers and duties.
22. State disaster preparedness plans.
23. Local comprehensive emergency management plans.
23-a. County registry of disabled persons; notice.
23-b. Nursing home and assisted living facility plans.
23-c. Consistency among local disaster preparedness plans.
24. Local state of emergency; local emergency orders by chief executive.
25. Use of local government resources in a disaster.
26. Coordination of local disaster preparedness forces and local civil defense forces in disasters.
27. Continuity of local governments.
28. State declaration of disaster emergency.
28-a. Post disaster recovery planning.
29. Direction of state agency assistance in a disaster emergency.
29-a. Suspension of other laws.
29-b. Use of disaster emergency response personnel in disasters.
29-c. Radiological preparedness.
29-d. Reports.
29-e. New York state emergency assistance program.
29-g. Emergency management assistance compact.
29-h. Intrastate mutual aid program.
29-i. Immunity from liability for emergency alerts.
29-j. Acceptance of gifts.
29-k. Quarterly claim reports.
§ 20. Natural and man-made disasters; policy; definitions. 1. It shall be the policy of the state that:
a. local government and emergency service organizations continue their essential role as the first line of defense in times of disaster, and that the state provide appropriate supportive services to the extent necessary;
b. local chief executives take an active and personal role in the development and implementation of disaster preparedness programs and be vested with authority and responsibility in order to insure the success of such programs;
c. state and local natural disaster and emergency response functions be coordinated using recognized practices in incident management in order to bring the fullest protection and benefit to the people;
d. state resources be organized and prepared for immediate effective response to disasters which are beyond the capability of local governments and emergency service organizations; and
e. state and local plans, organizational arrangements, and response capability required to execute the provisions of this article shall at all times be the most effective that current circumstances and existing resources allow.
2. As used in this article the following terms shall have the following meanings:
a. "disaster" means occurrence or imminent, impending or urgent threat of wide spread or severe damage, injury, or loss of life or property resulting from any natural or man-made causes, including, but not limited to, fire, flood, earthquake, hurricane, tornado, high water, landslide, mudslide, wind, storm, wave action, volcanic activity, epidemic, disease outbreak, air contamination, terrorism, cyber event, blight, drought, infestation, explosion, radiological accident, nuclear, chemical, biological, or bacteriological release, water contamination, bridge failure or bridge collapse.
b. "state disaster emergency" means a period beginning with a declaration by the governor that a disaster exists and ending upon the termination thereof.
c. "municipality" means a public corporation as defined in subdivision one of section sixty-six of the general construction law and a special district as defined in subdivision sixteen of section one hundred two of the real property tax law.
d. "commission" means the disaster preparedness commission created pursuant to section twenty-one of this article.
e. "emergency services organization" means a public or private agency, voluntary organization or group organized and functioning for the purpose of providing fire, medical, ambulance, rescue, housing, food or other services directed toward relieving human suffering, injury or loss of life or damage to property as a result of an emergency, including non-profit and governmentally-supported organizations, but excluding governmental agencies.
f. "chief executive" means:
(1) a county executive or manager of a county;
(2) in a county not having a county executive or manager, the chairman or other presiding officer of the county legislative body;
(3) a mayor of a city or village, except where a city or village has a manager, it shall mean such manager; and
(4) a supervisor of a town, except where a town has a manager, it shall mean such manager.
g. "Disaster emergency response personnel" means agencies, public officers, employees, or affiliated volunteers having duties and responsibilities under or pursuant to a comprehensive emergency management plan.
h. "Emergency management director" means the government official responsible for emergency preparedness, response and recovery for a county, city, town, or village.
i. "incident management team" means a state certified team of trained personnel from different departments, organizations, agencies, and jurisdictions within the state, or a region of the state, activated to support and manage major and/or complex incidents requiring a significant number of local, regional, and state resources.
j. "executive level officer" means a state agency officer with the authority to deploy agency assets and resources and make decisions binding a state agency.
k. "third party non-state resources" means any contracted resource that is not owned or controlled by the state or a political subdivision including, but not limited to, ambulances, construction crews, or contractors.
§ 21. Disaster preparedness commission established; meetings; powers and duties. 1. There is hereby created in the executive department a disaster preparedness commission consisting of the commissioners of transportation, health, division of criminal justice services, education, economic development, agriculture and markets, housing and community renewal, general services, labor, environmental conservation, mental health, addiction services and supports, parks, recreation and historic preservation, corrections and community supervision, children and family services, homeland security and emergency services, and people with developmental disabilities, the president of the New York state energy research and development authority, the superintendents of state police and financial services, the secretary of state, the state fire administrator, the chair of the public service commission, the adjutant general, the office of information technology services, and the office of victim services, the chairs of the thruway authority, the office for the aging, the metropolitan transportation authority, the port authority of New York and New Jersey, the chief professional officer of the state coordinating chapter of the American Red Cross, the chief professional officer of 2-1-1 New York state and three additional members, to be appointed by the governor, two of whom shall be chief executives. Each member agency may designate an executive level officer of that agency, with responsibility for disaster preparedness matters, who may represent that agency on the commission. The commissioner of the division of homeland security and emergency services shall serve as chair of the commission, and the governor shall designate the vice chair of the commission. The members of the commission, except those who serve ex officio, shall be allowed their actual and necessary expenses incurred in the performance of their duties under this article but shall receive no additional compensation for services rendered pursuant to this article.
2. The commission, on call of the chairperson, shall meet at least twice each year and at such other times as may be necessary. The agenda and meeting place of all regular meetings shall be made available to the public in advance of such meetings and all such meetings shall be open to the public. The commission shall establish quorum requirements and other rules and procedures regarding conduct of its meetings and other affairs.
3. The commission shall have the following powers and responsibilities:
a. study all aspects of man-made or natural disaster prevention, response and recovery;
b. request and obtain from any state or local officer or agency any information necessary to the commission for the exercise of its responsibilities;
c. prepare and, as appropriate, revise a state comprehensive emergency management plan. The commission shall report all revisions to such plan by March thirty-first of each year to the governor, the legislature and the chief judge of the state, unless a current version of the plan is available to the public on the website of the division of homeland security and emergency services. In preparing such plans, the commission shall consult with federal and local officials, emergency service organizations including both volunteer and commercial emergency response organizations, and the public as it deems appropriate. To the extent such plans impact upon administration of the civil and criminal justice systems of the state, including their operational and fiscal needs in times of disaster emergency, the commission, its staff and any working group, task force, agency or other instrumentality to which it may delegate responsibility to assist it in its duties shall consult with the chief administrator of the courts and coordinate their preparation with him or her or with his or her representatives;
d. prepare, keep current and distribute to chief executives and others an inventory of programs directly relevant to prevention, minimization of damage, readiness, operations during disasters, and recovery following disasters;
e. direct state disaster operations and coordinate state disaster operations with local disaster operations following the declaration of a state disaster emergency;
f. (1) unless it deems it unnecessary, create, following the declaration of a state disaster emergency, a temporary organization in the disaster area to provide for integration and coordination of efforts among the various federal, state, municipal and private agencies involved. The commission, upon a request from a municipality and with the approval of the governor, shall direct the temporary organization to assume direction of the local disaster operations of such municipality, for a specified period of time not to exceed thirty days, and in such cases such temporary organization shall assume direction of such local disaster operations, subject to the supervision of the commission. Upon the expiration of the thirty day period the commission, at the request of the municipality, may extend the temporary organization's direction of such local disaster operations for additional periods not to exceed thirty days. The commission, upon a finding that a municipality is unable to manage local disaster operations, may, with the approval of the governor, direct the temporary organization to assume direction of the local disaster operations of such municipality, for a specified period of time not to exceed thirty days, and in such cases such temporary organization shall assume direction of such local disaster operations, subject to the supervision of the commission. Upon expiration of the thirty day period the commission, after consultation with the municipality, and with the approval of the governor, may extend the temporary organization's direction of such local disaster operations for additional periods not to exceed thirty days. In such event, such temporary organization may utilize such municipality's local resources, provided, however, that the state shall not be liable for any expenses incurred in using such municipality's resources. The state shall not be liable for the expenses incurred in using third party, non-state resources deployed to the affected area by the temporary organization, which are necessary to protect life and safety;
(2) The state incident management team shall have the authority to act as the operational arm of the temporary organization. When called to duty and deployed by the state, members of any state or local incident management team shall be deemed temporary employees of the state and shall have the same privileges and immunities afforded to regular state employees, subject to the rules and regulations promulgated by the president of the state civil service commission pursuant to section one hundred sixty-three of the civil service law;
g. assist in the coordination of federal recovery efforts and coordinate recovery assistance by state and private agencies;
h. provide for periodic briefings, drills, exercises or other means to assure that all state personnel with direct responsibilities in the event of a disaster are fully familiar with response and recovery plans and the manner in which they shall carry out their responsibilities, and coordinate with federal, local or other state personnel. Such activities may take place on a regional or county basis, and local and federal participation shall be invited and encouraged;
i. submit to the governor, the legislature and the chief judge of the state by March thirty-first of each year an annual report which shall include but need not be limited to:
(1) a summary of commission and state agency activities for the year and plans for the ensuing year with respect to the duties and responsibilities of the commission;
(2) recommendations on ways to improve state and local capability to prevent, prepare for, respond to and recover from disasters;
(3) the status of the state and local plans for disaster preparedness and response, including the name of any locality which has failed or refused to develop and implement its own disaster preparedness plan and program; and the extent to which all forms of local emergency response assets have been included, and accounted for in planning and preparation for disaster preparedness and response; and
j. develop public service announcements to be distributed to television and radio stations and other media throughout the state informing the public how to prepare and respond to disasters. Such public service announcements shall be distributed in English and such other languages as such commission deems appropriate.
4. All powers of the state civil defense commission are assigned to the commission.
5. The state office of emergency management within the division of homeland security and emergency services shall serve as the operational arm of the commission and shall be responsible for implementing provisions of this article and the rules and policies adopted by the commission. The director of the state office of emergency management within the division of homeland security and emergency services shall exercise the authority given to the disaster preparedness commission in section twenty-nine of this article, to coordinate and direct state agencies and assets in response to a state disaster emergency, through their respective agency heads, on behalf of the governor and the chair of the disaster preparedness commission, when the governor, the lieutenant governor, and the chair of the disaster preparedness commission are incapacitated or without an available means of reliable communication with the state office of emergency management. If the director of the state office of emergency management is unable to exercise this authority, then the executive deputy commissioner of the division of homeland security and emergency services shall act in this capacity. In the event that the executive deputy commissioner is unable to exercise this authority, then such authority shall be exercised by the official willing and able to do so in the following order: the superintendent of the division of state police; the state fire administrator; or the director of the office of counterterrorism within the division of homeland security and emergency services. Nothing in this subdivision shall be construed to limit the authority of the governor, lieutenant governor, or the chair of the disaster preparedness commission to oversee the director of the state office of emergency management within the division of homeland security and emergency services or any official exercising authority given to the disaster preparedness commission in section twenty-nine of this article.
§ 22. State disaster preparedness plans. 1. The commission shall prepare a state disaster preparedness plan and submit such plan to the governor for approval no later than one year following the effective date of this act. The governor shall act upon such plan by July first of that year. The commission shall review such plans annually.
2. The purpose of such plans shall be to minimize the effects of disasters by: (i) identifying appropriate measures to prevent disasters, (ii) developing mechanisms to coordinate the use of resources and manpower for service during and after disaster emergencies and the delivery of services to aid citizens and reduce human suffering resulting from a disaster, and (iii) provide for recovery and redevelopment after disaster emergencies.
3. Such plans shall be prepared with such assistance from other agencies as the commission deems necessary, and shall include, but not be limited to:
a. Disaster prevention and mitigation. Plans to prevent and minimize the effects of disasters shall include, but not be limited to:
(1) identification of hazards and assessment of risk;
(2) recommended disaster prevention and mitigation projects, policies, priorities and programs, with suggested implementation schedules, which outline federal, state and local roles;
(3) suggested revisions and additions to building and safety codes, and zoning and other land use programs;
(4) suggested ways in which state agencies can provide technical assistance to municipalities in the development of local disaster prevention and mitigation plans and programs;
(5) such other measures as reasonably can be taken to protect lives, prevent disasters, and reduce the impact of disasters.
b. Disaster response. Plans to coordinate the use of resources and manpower for service during and after disaster emergencies and to deliver services to aid citizens and reduce human suffering resulting from a disaster emergency shall include, but not be limited to:
(1) coordination of resources, manpower and services, using recognized practices in incident management and utilizing existing organizations and lines of authority and centralized direction of requests for assistance;
(2) the location, procurement, construction, processing, transportation, storing, maintenance, renovation, distribution, disposal or use of materials, including those donated, and facilities and services;
(3) a system for warning populations who are or may be endangered;
(4) arrangements for activating state, municipal and volunteer forces, through normal chains of command so far as possible and for continued communication and reporting;
(5) a specific plan for rapid and efficient communication, and for the integration of state communication facilities during a state disaster emergency, including the assignment of responsibilities and the establishment of communication priorities, and liaison with municipal, private and federal communication facilities;
(6) a plan for coordinated evacuation procedures, including the establishment of temporary housing and other necessary facilities;
(7) criteria for establishing priorities with respect to the restoration of vital services and debris removal;
(8) plans for the continued effective operation of the civil and criminal justice systems;
(9) provisions for training state and local government personnel and volunteers in disaster response operations;
(10) providing information to the public, including coordination with any state recognized information and referral services;
(11) care for the injured and needy and identification and disposition of the dead;
(12) utilization and coordination of programs to assist victims of disasters, with particular attention to the needs of the poor, the elderly, individuals with disabilities and other groups which may be especially affected;
(13) control of ingress and egress to and from a disaster area, including but not limited to, exempting from travel bans those essential private and public personnel, as determined by the commission, who are summoned by their employers to assist in emergency services, such as utility and other workers who need to reach declared emergency areas in order to perform tasks related to the restoration and/or maintenance of energy and communications infrastructure;
(14) a plan for the delivery of medical supplies and medications to pharmacies, hospitals and nursing homes located within the area declared to be experiencing a disaster emergency.
(15) arrangements to administer federal disaster assistance;
(16) a system for obtaining and coordinating situational awareness including the centralized assessment of disaster effects and resultant needs; and
(17) utilization and coordination of programs to assist individuals with household pets and service animals following a disaster, with particular attention to means of evacuation, shelter and transportation options.
c. Recovery. Plans to provide for recovery and redevelopment after disaster emergencies shall include, but not be limited to:
(1) measures to coordinate state agency assistance in recovery efforts;
(2) arrangements to administer federal recovery assistance; and
(3) such other measures as reasonably can be taken to assist in the development and implementation of local disaster recovery plans.
§ 23. Local comprehensive emergency management plans. 1. Each county, except those contained within the city of New York, and each city with a population of one million or more, shall prepare a comprehensive emergency management plan. Each city with a population of less than one million, town and village is authorized to prepare a comprehensive emergency management plan. The disaster preparedness commission shall provide assistance and advice for the development of such plans. Each city with a population of less than one million, town and village plan shall be coordinated with the county plan.
2. The purpose of such plans shall be to minimize the effect of disasters by (i) identifying appropriate local measures to prevent disasters, (ii) developing mechanisms to coordinate the use of local resources and manpower for service during and after disasters and the delivery of services to aid citizens and reduce human suffering resulting from a disaster, and (iii) providing for recovery and redevelopment after disasters.
3. Plans for coordination of resources, manpower and services shall provide for a centralized coordination and direction of requests for assistance.
4. Plans for coordination of assistance shall provide for utilization of existing organizations and lines of authority.
5. In preparing such plans, cooperation, advice and assistance shall be sought from local government officials, regional and local planning agencies, police agencies, fire departments and fire companies, local emergency management agencies, commercial and volunteer ambulance services, health and social services officials, community action agencies, the chief administrator of the courts, organizations for the elderly and the handicapped, agencies and organizations that provide home health care services, agencies and organizations that provide hospice services, other interested groups and the general public. Such advice and assistance may be obtained through public hearings held on public notice, or through other appropriate and practical methods, through which such aforementioned groups may offer their input for consideration on issues that support the effective preparation and execution of the plan. In addition, in the case of home care and hospice, such input may address procedures by which such providers may be granted essential access to care for such patients during an emergency.
6. All plans for comprehensive emergency management developed by local governments or any revisions thereto shall be submitted to the commission by December thirty-first of each year to facilitate state coordination of disaster operations.
7. Such plans shall include, but not be limited to:
a. Disaster prevention and mitigation. Plans to prevent and minimize the effects of disasters shall include, but not be limited to:
(1) identification of hazards and assessment of risk;
(2) recommended disaster prevention and mitigation projects, policies, priorities and programs, with suggested implementation schedules, which outline federal, state and local roles;
(3) suggested revisions and additions to building and safety codes and zoning and other land use programs;
(4) such other measures as reasonably can be taken to protect lives, prevent disasters, and reduce their impact.
b. Disaster response. Plans to coordinate the use of resources and manpower for service during and after disasters and to deliver services to aid citizens and reduce human suffering resulting from a disaster shall include, but not be limited to:
(1) coordination of resources, manpower and services, using recognized practices in incident management, utilizing existing organizations and lines of authority and centralized direction of requests for assistance;
(2) the location, procurement, construction, processing, transportation, storing, maintenance, renovation, distribution, disposal or use of materials, including those donated, and facilities and services which may be required in time of disaster;
(3) a system for warning populations who are or may be endangered;
(4) arrangements for activating municipal and volunteer forces, through normal chains of command so far as possible, and for continued communication and reporting;
(5) a specific plan for rapid and efficient communication and for the integration of local communication facilities during a disaster including the assignment of responsibilities and the establishment of communication priorities and liaison with municipal, private, state and federal communication facilities;
(6) a plan for coordination evacuation procedures including the establishment of temporary housing and other necessary facilities;
(7) criteria for establishing priorities with respect to the restoration of vital services and debris removal;
(8) plans for the continued effective operation of the civil and criminal justice systems;
(9) provisions for training local government personnel and volunteers in disaster response operations;
(10) providing information to the public;
(11) care for the injured and needy and identification and disposition of the dead;
(12) utilization and coordination of programs to assist victims of disasters, with particular attention to the needs of the poor, the elderly, individuals with disabilities and other groups which may be especially affected;
(13) control of ingress and egress to and from a disaster area, including but not limited to, exempting from travel bans those essential private and public personnel, as determined by the commission, who are summoned by their employers to assist in emergency services, such as utility and other workers who need to reach declared emergency areas in order to perform tasks related to the restoration and/or maintenance of energy and communications infrastructure;
(14) arrangements to administer state and federal disaster assistance;
(15) procedures under which the county, city, town, village or other political subdivision and emergency organization personnel and resources will be used in the event of a disaster;
(16) a system for obtaining and coordinating disaster information including the centralized assessment of local disaster effects and resultant needs;
(17) continued operation of governments of political subdivisions; and
(18) utilization and coordination of programs to assist individuals with household pets and service animals following a disaster, with particular attention to means of evacuation, shelter and transportation options.
c. Recovery. Local plans to provide for recovery and redevelopment after disasters shall include, but not be limited to:
(1) recommendations for replacement, reconstruction, removal or relocation of damaged or destroyed public or private facilities, proposed new or amendments to zoning, subdivision, building, sanitary or fire prevention regulations and recommendations for economic development and community development in order to minimize the impact of any potential future disasters on the community.
(2) provision for cooperation with state and federal agencies in recovery efforts.
(3) provisions for training and educating local disaster officials or organizations in the preparation of applications for federal and state disaster recovery assistance.
§ 23-a. County registry of disabled persons; notice. 1. In each county having a local disaster preparedness plan pursuant to section twenty-three of this article, in order to meet the special needs of persons who would need assistance during evacuations and sheltering because of physical or mental handicaps, it is recommended that each chief executive maintain a registry of disabled persons located within the county. The registration shall identify those persons in need of assistance and plan for resource allocation to meet those identified needs. To assist the chief executive in identifying such persons, the county department of health, or such other county department or agency as designated by the chief executive, shall provide voluntary registration information to all of its special needs clients and to all incoming clients as part of the intake process. The registry shall be updated annually. The registration program shall give disabled persons the option of pre-authorizing emergency response personnel to enter their homes during search and rescue operations if necessary to assure their safety and welfare during disasters.
2. Upon the establishment of a voluntary registry of disabled persons as provided in subdivision one of this section, the chief executive shall make such registry available to the appropriate county, state and federal agencies for their use in delivering services in the event of a local or state disaster. The chief executive shall, upon the request of the state emergency management office, provide such registry information to such office. The chief executive may, at his discretion, use the registry information for local disaster preparedness only in coordination with other political subdivisions of the state.
3. Upon the establishment of a voluntary registry of disabled persons as provided in subdivision one of this section, at least semi-annually, each chief executive shall cause to be published in a newspaper of general circulation within the county a notice of the availability of the voluntary registration program.
4. All records, data, information, correspondence and communications relating to the registration of disabled persons as provided in subdivision one of this section are confidential, except that such information shall be available to other county chief executives for local disaster preparedness only as the chief executive of the county maintaining such registry deems necessary. Provided, however, the individual file of a person having registered with the registry of disabled persons shall be made available to that person upon request.
5. All community-based services providers, including home health care providers, shall assist the chief executive by collecting registration information for people with special needs as part of program intake processes, establishing programs to increase the awareness of the registration process, and educating clients about the procedures that may be necessary for their safety during disasters.
6. A county shall not be liable for any claim based upon the good faith exercise or performance or the good faith failure to exercise or perform a function or duty on the part of any officer or employee in carrying out a local disaster preparedness plan.
§ 23-b. Nursing home and assisted living facility plans. 1. After consultation with the commissioner of health, the director of the office for the aging, and the director of the state office of homeland security, the commission shall establish standards for nursing homes, adult homes, enriched housing programs and assisted living residences regarding disaster preparedness.
2. Each such facility shall be assisted in the establishment of a disaster preparedness plan. The plan shall include, but not be limited to, the following:
(a) Maintaining a supply of food, water and to the extent deemed necessary and feasible in the reasonable judgment of the operator of the facility, medication in reserve in the event that obtaining such items should become difficult or impossible.
(b) In the reasonable judgment of the facility, having access to a generator or generators sufficient to supply electrical power to the facility.
(c) Establishing an evacuation plan for residents including an alternative site suitable for temporary use.
(d) Establishing staffing plans during a disaster.
3. Such plans shall be made available to the county emergency management office.
4. Nothing in this section shall be deemed to modify or override any requirements in regulations duly promulgated by a state agency, or to limit any lawful authority of a state agency to promulgate regulations, with respect to disaster preparedness of such facilities, the contents of their disaster preparedness plans or the process for approval of those plans.
§ 23-c. Consistency among local disaster preparedness plans. 1. The local disaster preparedness plans for each county, city, town, or village shall be so developed that no part of the local disaster preparedness plan of any county or any city, town, or village within such county conflicts with any part of the local disaster preparedness plan of any of the other said entities within such county or such county itself. In the event of any such conflict, such conflict shall be resolved by such county. The provisions of this subdivision shall not apply to a city wholly containing more than one county or to any county wholly contained within any such city.
2. In the event that any part of the local disaster preparedness plan of any county or any city, town, or village within such county conflicts with any part of the local disaster preparedness plan of any other county or any city, town, or village within any such other county, such conflict shall be resolved by the state emergency management office, as defined in paragraph (e) of subdivision one of section twenty-nine-e of this article. The provisions of this subdivision shall not apply to any county wholly contained within a city wholly containing more than one county. Any city wholly containing more than one county shall be subject to the provisions of this subdivision as if it were a county.
3. Said state emergency management office is hereby authorized and directed to promulgate any rules or regulations or take any other measures necessary to effectuate the provisions of this section.
§ 24. Local state of emergency; local emergency orders by chief executive. 1. Notwithstanding any inconsistent provision of law, general or special, in the event of a disaster, rioting, catastrophe, or similar public emergency within the territorial limits of any county, city, town or village, or in the event of reasonable apprehension of immediate danger thereof, and upon a finding by the chief executive thereof that the public safety is imperiled thereby, such chief executive may proclaim a local state of emergency within any part or all of the territorial limits of such local government; provided, however, that in the event of a radiological accident as defined in section twenty-nine-c of this article, such chief executive may request of the governor a declaration of disaster emergency. Such proclamation shall remain in effect for a period not to exceed thirty days or until rescinded by the chief executive, whichever occurs first. The chief executive may issue additional proclamations to extend the state of emergency for additional periods not to exceed thirty days. Following such proclamation and during the continuance of such local state of emergency, the chief executive may promulgate local emergency orders to protect life and property or to bring the emergency situation under control. As illustration, such orders may, within any part or all of the territorial limits of such local government, provide for:
a. the establishment of a curfew and the prohibition and control of pedestrian and vehicular traffic, except essential emergency vehicles and personnel;
b. the designation of specific zones within which the occupancy and use of buildings and the ingress and egress of vehicles and persons may be prohibited or regulated;
c. the regulation and closing of places of amusement and assembly;
d. the suspension or limitation of the sale, dispensing, use or transportation of alcoholic beverages, firearms, explosives, and flammable materials and liquids;
e. the prohibition and control of the presence of persons on public streets and places;
f. the establishment or designation of emergency shelters, emergency medical shelters, and in consultation with the state commissioner of health, community based care centers;
g. the suspension within any part or all of its territorial limits of any of its local laws, ordinances or regulations, or parts thereof subject to federal and state constitutional, statutory and regulatory limitations, which may prevent, hinder, or delay necessary action in coping with a disaster or recovery therefrom whenever (1) a request has been made pursuant to subdivision seven of this section, or (2) whenever the governor has declared a state disaster emergency pursuant to section twenty-eight of this article. Suspension of any local law, ordinance or regulation pursuant to this paragraph shall be subject to the following standards and limits:
(i) no suspension shall be made for a period in excess of five days, provided, however, that upon reconsideration of all the relevant facts and circumstances, a suspension may be extended for additional periods not to exceed five days each during the pendency of the state of emergency;
(ii) no suspension shall be made which does not safeguard the health and welfare of the public and which is not reasonably necessary to the disaster effort;
(iii) any such suspension order shall specify the local law, ordinance or regulation, or part thereof suspended and the terms and conditions of the suspension;
(iv) the order may provide for such suspension only under particular circumstances, and may provide for the alteration or modification of the requirements of such local law, ordinance or regulation suspended, and may include other terms and conditions;
(v) any such suspension order shall provide for the minimum deviation from the requirements of the local law, ordinance or regulation suspended consistent with the disaster action deemed necessary; and
(vi) when practicable, specialists shall be assigned to assist with the related emergency actions to avoid adverse effects resulting from such suspension.
2. A local emergency order shall be effective from the time and in the manner prescribed in the order and shall be published as soon as practicable in a newspaper of general circulation in the area affected by such order and transmitted to the radio and television media for publication and broadcast. Such orders may be amended, modified and rescinded by the chief executive during the pendency or existence of the state of emergency. Such orders shall cease to be in effect five days after promulgation or upon declaration by the chief executive that the state of emergency no longer exists, whichever occurs sooner. The chief executive nevertheless, may extend such orders for additional periods not to exceed five days each during the pendency of the local state of emergency.
3. The proclamation of a local state of emergency and local emergency orders of a chief executive of a county shall be executed in quadruplicate and shall be filed within seventy-two hours or as soon thereafter as practicable in the office of the clerk of the governing board of the county, the office of the county clerk, the office of the secretary of state and the state office of emergency management within the division of homeland security and emergency services. The proclamation of a local state of emergency and local emergency orders of a chief executive of a city, town or village shall be executed in quadruplicate and shall be filed within seventy-two hours or as soon thereafter as practicable in the office of the clerk of such municipal corporation, the office of the county clerk, the office of the secretary of state and the state office of emergency management within the division of homeland security and emergency services.
4. Nothing in this section shall be deemed to limit the power of any local government to confer upon its chief executive any additional duties or responsibilities deemed appropriate.
5. Any person who knowingly violates any local emergency order of a chief executive promulgated pursuant to this section is guilty of a class B misdemeanor.
6. Whenever a local state of emergency is declared by the chief executive of a local government pursuant to this section, the chief executive of the county in which such local state of emergency is declared, or where a county is wholly contained within a city, the mayor of such city, may request the governor to remove all or any number of sentenced incarcerated individuals from institutions maintained by such county in accordance with section ninety-three of the correction law.
7. Whenever a local state of emergency has been declared pursuant to this section, the chief executive of the county in which the local state of emergency has been declared, or where a county is wholly contained within a city, the chief executive of the city, may request the governor to provide assistance under this chapter, provided that such chief executive determines that the disaster is beyond the capacity of local government to meet adequately and state assistance is necessary to supplement local efforts to save lives and to protect property, public health and safety, or to avert or lessen the threat of a disaster.
8. The legislature may terminate by concurrent resolution, such emergency orders at any time.
* 9. a. Whenever a local state of emergency is declared pursuant to this section and upon receipt of notification by an electric corporation or the service provider, pursuant to section seventy-three-a of the public service law or section one thousand twenty-mm of the public authorities law, the chief executive shall coordinate with affected police departments, fire departments, ambulance services and advanced life support first response services prewired with an appropriate transfer switch for using an alternate generated power source for the emergency deployment of alternate generated power sources.
b. For the purposes of this section, "alternate generated power source" shall mean electric generating equipment that is of the capacity that is capable of providing adequate electricity to operate all life safety systems and the basic operations of a police department, fire department, ambulance service or advanced life support first response service.
* NB Effective December 22, 2023
§ 25. Use of local government resources in a disaster. 1. Upon the threat or occurrence of a disaster, the chief executive of any political subdivision is hereby authorized and empowered to and shall use any and all facilities, equipment, supplies, personnel and other resources of his political subdivision in such manner as may be necessary or appropriate to cope with the disaster or any emergency resulting therefrom.
2. Upon the threat or occurrence of a disaster, a chief executive may request and accept assistance which is coordinated and directed by the county chief executive as provided in section twenty-six of this article.
3. A chief executive may also request and accept assistance from any other political subdivision and may receive therefrom and utilize any real or personal property or the service of any personnel thereof on such terms and conditions as may be mutually agreed to by the chief executives of the requesting and assisting political subdivisions.
4. Upon the receipt of a request for assistance made pursuant to subdivision two or three of this section, the chief executive of any political subdivision may give, lend or lease, on such terms and conditions as he may deem necessary to promote the public welfare and protect the interests of such political subdivision, any services, equipment, facilities, supplies or other resources of his political subdivision. Any lease or loan of real or personal property pursuant to this subdivision, or any transfer of personnel pursuant hereto, shall be only for the purpose of assisting a political subdivision in emergency relief, reconstruction, or rehabilitation made necessary by the disaster.
5. A political subdivision shall not be liable for any claim based upon the exercise or performance or the failure to exercise or perform a discretionary function or duty on the part of any officer or employee in carrying out the provisions of this section.
6. The chief executive, when requesting assistance pursuant to this section may request assistance from the civil defense and disaster preparedness forces of any other political subdivision, but only if the civil defense and disaster preparedness forces of the type being requested have already been activated within the political subdivisions requesting assistance. The chief executive of any political subdivision receiving such a request is hereby authorized and empowered, subject to the provisions of section twenty-six of this article, to respond thereto.
7. Any power or authority conferred upon any political subdivision by this section shall be in addition to and not in substitution for or limitation of any powers or authority otherwise vested in such subdivision or any officer thereof.
§ 26. Coordination of local disaster preparedness forces and local civil defense forces in disasters. 1. Upon the threat or occurrence of a disaster, the chief executive of a county may coordinate responses for requests for assistance made by the chief executive of any political subdivision within the county.
2. Coordination of assistance shall utilize existing organizations and lines of authority and shall utilize any comprehensive emergency management plans prepared by the affected municipality.
3. A chief executive or any elected or appointed county, city, town or village official shall not be held responsible for acts or omissions of municipal employees, disaster preparedness forces or civil defense forces when performing disaster assistance pursuant to a declared disaster emergency or when exercising comprehensive emergency management plans.
§ 27. Continuity of local governments. 1. Every county, except those wholly contained within a city, every city, every town and every village shall have power to provide by local law, and every other public corporation, district corporation or public benefit corporation shall have power to provide by resolution, for its continuity and that of its elective and appointive officers, including members of its legislative or governing body when, in the event of a disaster and the emergency conditions caused thereby, any of such officers is unable to discharge the powers and duties of his office or is absent from the political subdivision. In any such local law or resolution, provision may be made that the removal of a disability or the termination of an absence from the political subdivision of an officer higher on a list or order of succession provided therein to an office shall not terminate the service in such office of an individual lower on such list or order of succession who is temporarily filling such office. Notwithstanding the provisions of any general or special law or city or village charter, a local law or resolution adopted pursuant to this section may be made effective without approval at a mandatory or permissive referendum but in no case shall such local law or resolution become effective until one certified copy thereof has been filed with the clerk of the political subdivision or other appropriate official designated for such purpose by the respective legislative or governing body, one certified copy thereof has been filed in the office of the state comptroller and three certified copies thereof have been filed in the office of the secretary of state.
No provision of this subdivision shall be construed or interpreted as affecting the validity of any ordinance, local law or resolution enacted prior to April first, nineteen hundred seventy-nine or actions taken thereunder by the government of any county, city, town or village.
2. The provisions of this section shall not be applicable in any case where the continuity of the government of a political subdivision or that of any of its elective or appointive officers is otherwise provided for by or pursuant to law.
3. This section shall be construed liberally. The powers herein granted shall be in addition to and not in substitution of any power granted, procedure provided or provision made in any other law.
§ 28. State declaration of disaster emergency. 1. Whenever the governor, on his own initiative or pursuant to a request from one or more chief executives, finds that a disaster has occurred or may be imminent for which local governments are unable to respond adequately, he shall declare a disaster emergency by executive order.
2. Upon declaration of a disaster arising from a radiological accident, the governor or his designee, shall direct one or more chief executives and emergency services organizations to:
(a) notify the public that an emergency exists; and
(b) take appropriate protective actions pursuant to the radiological emergency preparedness plan approved pursuant to sections twenty-two and twenty-three of this article. The governor, or his designee, shall also have authority to direct that other actions be taken by such chief executives pursuant to their authority under section twenty-four of this article.
3. The executive order shall include a description of the disaster, and the affected area. Such order or orders shall remain in effect for a period not to exceed six months or until rescinded by the governor, whichever occurs first. The governor may issue additional orders to extend the state disaster emergency for additional periods not to exceed six months.
4. Whenever the governor shall find that a disaster is of such severity and magnitude that effective response is beyond the capabilities of the state and the affected jurisdictions, he shall make an appropriate request for federal assistance available under federal law, and may make available out of any funds provided under the governmental emergency fund or such other funds as may be available, sufficient funds to provide the required state share of grants made under any federal program for meeting disaster related expenses including those available to individuals and families.
5. The legislature may terminate at any time a state disaster emergency issued under this section by concurrent resolution.
§ 28-a. Post disaster recovery planning. 1. Whenever a state disaster emergency has been declared any county, city, town or village included in such disaster area shall prepare a local recovery and redevelopment plan, unless the legislative body of the municipality shall determine such plan to be unnecessary or impractical. Prior to making such determination, the municipality shall notify the commission of its intent to forego preparation and provide an opportunity to comment to the commission. Within fifteen days after the declaration of a state disaster, any county, city, town or village included in such disaster area shall report to the commission whether the preparation of a recovery and redevelopment plan has been commenced, and if not, the reasons for not preparing such plan. Within sixty days after the declaration of a state disaster, the commission shall report to the governor and the legislature the status of local recovery and redevelopment plans, including the name of any municipality which has failed or refused to commence the development of a recovery and redevelopment plan.
2. The commission shall provide technical assistance in the development of such plans upon the request of such county, city, town or village.
3. A local recovery and redevelopment plan shall include, but need not be limited to: plans for replacement, reconstruction, removal or relocation of damaged or destroyed facilities; proposed new or amended regulations such as zoning, subdivision, building or sanitary ordinances and codes; and plans for economic recovery and community development. Such plans shall take into account and to the extent practicable incorporate relevant existing plans and policies and such plans shall take into account the need to minimize the potential impact of any future disasters on the community.
4. Proposed plans shall be presented at a public hearing upon five days notice published in a newspaper of general circulation in the area affected and transmitted to the radio and television media for publication and broadcast. Such notice shall state the time and place of the hearing and indicate where copies of the proposed plan may be inspected or obtained. Any county, city, town, or village preparing a recovery and redevelopment plan pursuant to this subdivision may, upon mutual agreement with any other such county, city, town or village, hold a joint hearing to consider such recovery and redevelopment plan.
5. Such plans shall be prepared within forty-five days after the declaration of a state disaster and shall be transmitted to the commission. The commission shall provide its comments on the plan within ten days after receiving such plan.
6. A plan shall be adopted by such county, city, town or village within ten days after receiving the comments of the commission. The adopted plan may be amended at any time in the same manner as originally prepared, revised and adopted.
7. The adopted plan shall be the official policy for recovery and redevelopment within the municipality.
8. Nothing in this section shall preclude any municipality from applying for or accepting and receiving any federal funds.
§ 29. Direction of state agency assistance in a disaster emergency. Upon the declaration of a state disaster emergency the governor may direct any and all agencies of the state government to provide assistance under the coordination of the disaster preparedness commission. Such state assistance may include: (1) utilizing, lending, or giving to political subdivisions, with or without compensation therefor, equipment, supplies, facilities, services of state personnel, and other resources, other than the extension of credit; (2) distributing medicine, medical supplies, food and other consumable supplies through any public or private agency authorized to distribute the same; (3) performing on public or private lands temporary emergency work essential for the protection of public health and safety, clearing debris and wreckage, making emergency repairs to and temporary replacements of public facilities of political subdivisions damaged or destroyed as a result of such disaster; and (4) making such other use of their facilities, equipment, supplies and personnel as may be necessary to assist in coping with the disaster or any emergency resulting therefrom.
§ 29-a. Suspension of other laws. 1. Subject to the state constitution, the federal constitution and federal statutes and regulations, the governor may by executive order temporarily suspend specific provisions of any statute, local law, ordinance, or orders, rules or regulations, or parts thereof, of any agency during a state disaster emergency, if compliance with such provisions would prevent, hinder, or delay action necessary to cope with the disaster.
2. Suspensions pursuant to subdivision one of this section shall be subject to the following standards and limits:
a. no suspension shall be made for a period in excess of thirty days, provided, however, that upon reconsideration of all of the relevant facts and circumstances, the governor may extend the suspension for additional periods not to exceed thirty days each;
b. no suspension shall be made which does not safeguard the health and welfare of the public and which is not reasonably necessary to the disaster effort;
c. any such suspension order shall specify the statute, local law, ordinance, order, rule or regulation or part thereof to be suspended and the terms and conditions of the suspension;
d. the order may provide for such suspension only under particular circumstances, and may provide for the alteration or modification of the requirements of such statute, local law, ordinance, order, rule or regulation suspended, and may include other terms and conditions;
e. any such suspension order shall provide for the minimum deviation from the requirements of the statute, local law, ordinance, order, rule or regulation suspended consistent with the disaster action deemed necessary; and
f. when practicable, specialists shall be assigned to assist with the related emergency actions to avoid needless adverse effects resulting from such suspension.
3. Such suspensions shall be effective from the time and in the manner prescribed in such orders and shall be published as soon as practicable in the state bulletin.
4. The legislature may terminate by concurrent resolution executive orders issued under this section at any time.
§ 29-b. Use of disaster emergency response personnel in disasters. 1. The governor may, in his or her discretion, direct the state disaster preparedness commission to conduct an emergency exercise or drill, under its direction, in which all or any of the personnel and resources of the agencies of the commission of the state may be utilized to perform the duties assigned to them in a disaster, for the purpose of protecting and preserving human life or property in a disaster. During a disaster or such drill or exercise, disaster emergency response personnel in the state shall operate under the direction and command of the chair of such commission, and shall possess the same powers, duties, rights, privileges and immunities as are applicable in a civil defense drill held at the direction of the state civil defense commission under the provisions of the New York state defense emergency act.
2. Local use of disaster emergency response personnel. a. Upon the threat or occurrence of a disaster, and during and immediately following the same, and except as otherwise provided in paragraph d of this subdivision, the county chief executive may direct the emergency management director of a county to assist in the protection and preservation of human life or property by calling upon disaster emergency response personnel employed by or supporting that county, as specified in the county comprehensive emergency management plan, to perform the emergency response duties assigned to them.
b. The disaster emergency response personnel of the county shall be regarded as a reserve disaster force to be activated, in whole or in part, by the county emergency management director upon the direction of the county chief executive when the county chief executive, in his or her discretion, is convinced that the personnel and resources of local municipal and private agencies normally available for disaster assistance are insufficient adequately to cope with the disaster.
c. Except as provided in paragraph d of this subdivision, the county chief executive may exercise the power conferred upon him in paragraph a of this subdivision, or may deactivate the disaster emergency response personnel of the county in whole or in part, on his own motion or upon the request of the chief executive officer of a village, town or city located within the county of which he is an officer.
d. Where the local office of public safety or emergency management in a city is independent of the county office of public safety or emergency management and is not consolidated therewith, the county chief executive may direct the emergency management director of the county to render assistance within such city only when the chief executive officer of such city has certified to him that the disaster emergency response personnel of the city have been activated pursuant to the provisions of subdivision three of this section and that all resources available locally are insufficient adequately to cope with the disaster.
e. When performing disaster assistance pursuant to this section, county disaster emergency response personnel shall operate under the direction and command of the county emergency management director and his or her duly authorized deputies, and shall possess the same powers, duties, rights, privileges and immunities they would possess when performing their duties in a locally sponsored civil defense drill or training exercise in the civil or political subdivision in which they are enrolled, employed or assigned emergency response responsibilities.
f. The chief executive officer of a city shall be responsible for the conduct of disaster operations within the city, including the operations directed by the county emergency management director when rendering disaster assistance within a city pursuant to this section.
g. Outside of a city, the sheriff of the county, and in Nassau county the commissioner of police of the county of Nassau, shall supervise the operations of the emergency management director when rendering peace officer duties incident to disaster assistance. The sheriff and such commissioner may delegate such supervisory power to an elected or appointed town or village official in the area affected.
h. Neither the chief executive officer of a city, nor the county chief executive, nor any elected or appointed town or village official to whom the county chief executive has delegated supervisory power as aforesaid shall be held responsible for acts or omissions of disaster emergency response personnel when performing disaster assistance.
3. City use of disaster emergency response personnel. a. Upon the threat or occurrence of a disaster, and during and immediately following the same, and except as otherwise provided in paragraph d of this subdivision, the chief executive of a city may direct the emergency management director of the city to assist in the protection and preservation of human life or property by calling upon city disaster emergency response personnel to perform the emergency response duties assigned to them.
b. The disaster emergency response personnel of the city shall be regarded as a reserve disaster force to be activated, in whole or in part, by the city emergency management director upon the direction of the chief executive officer of the city when the latter, in his or her discretion, is convinced that the personnel and resources of local municipal and private agencies normally available for disaster assistance are insufficient adequately to cope with the disaster.
c. Except as provided in paragraph d of this subdivision, the chief executive officer of a city may exercise the power conferred upon him in paragraph a of this subdivision, or may deactivate the disaster emergency response personnel of the city in whole or in part, on his own motion or upon the request of the head of the city police force.
d. Where the local office of emergency management in a city is under the jurisdiction of a consolidated county office of civil defense as provided in the New York state defense emergency act, the chief executive officer of such city seeking the assistance of disaster emergency response personnel in the protection and preservation of human life or property within such city because of such disaster, must request the same from the county chief executive in which such city is located, in the same manner as provided for assistance to towns and villages in subdivision two of this section.
e. When performing disaster assistance pursuant to this subdivision, disaster emergency response personnel shall operate under the direction and command of the city emergency management director and his or her duly authorized deputies, and shall possess the same powers, duties, rights, privileges, and immunities they would possess when performing their duties in a locally sponsored civil defense drill or training exercise in the city in which they are enrolled, employed or assigned emergency response responsibilities.
f. Where the city disaster emergency response personnel have been directed to assist in local disaster operations pursuant to paragraph a of this subdivision, and the chief executive officer of the city is convinced that the personnel and resources of local municipal and private agencies normally available for disaster assistance, including local disaster emergency response personnel, are insufficient adequately to cope with the disaster, he or she may certify the fact to the county chief executive and request the county chief executive to direct the county emergency management director to render assistance in the city, as provided in subdivision two of this section.
g. The chief executive officer of a city shall be responsible for the conduct of disaster operations within the city, including the operations directed by the county emergency management director, when rendering disaster assistance within a city pursuant to this subdivision.
h. Neither the chief executive officer of a city, nor the county chief executive, shall be held responsible for acts or omissions of disaster emergency response personnel when performing disaster assistance.
§ 29-c. Radiological preparedness. 1. The commission:
(a) may monitor directly and record the off-site presence of radioactive material in the vicinity of nuclear electric generating facilities located in the state of New York;
(b) shall obtain from the licensees, United States nuclear regulatory commission-required high range radiation, temperature and pressure levels in the containment buildings and in the containment building vents of nuclear electric generating facilities located in the state of New York; and,
(c) shall obtain, subject to the approval of the United States nuclear regulatory commission, any reactor data provided by the licensee to the United States nuclear regulatory commission, which the disaster preparedness commission determines, as a result of the report issued pursuant to section twenty-nine-d of this article, to be a reliable indicator of a possible radiological accident.
Upon the occurrence of a radiological accident, the commission shall promptly provide appropriate and available radioactivity monitoring data to any chief executive who requests it. For the purposes of this section, the term "radiological accident" shall be limited to a radiological accident occurring at a nuclear electric generating facility.
2. (a) Any licensee of the United States nuclear regulatory commission for a nuclear electric generating facility shall be liable for an annual fee to support state and local governmental responsibilities under accepted radiological emergency preparedness plans related to the facility operated by such licensee.
(b) The amount of such fee shall be one million dollars. Such fee, which shall be payable to the commission on or before December first, shall be expended or distributed only by appropriation.
3. Such fees shall be expended by the commission for purposes of supporting state and local government responsibilities under accepted radiological emergency preparedness plans, including:
(a) purchase, installation, maintenance and operation of equipment used by the commission and local governments to monitor and record the potential and actual presence of radioactive materials within the appropriate planning radius from a nuclear electric generating facility;
(b) purchase, storage and distribution by the commission of equipment, drugs or other material for the purpose of protecting public health and safety;
(c) personal service, administrative costs and contractual services;
(d) emergency services personnel training and the plans, development, implementation, testing and revisions; and,
(e) the state or local share when applying for matching funds.
3-a. (a) Notwithstanding the provisions of subdivision three of this section, the New York state emergency management office (SEMO) and the coalition of nuclear counties, which constitutes the counties of Monroe, Wayne, Oswego, Orange, Putnam, Rockland and Westchester, shall each receive an equal one-half portion of the total amount of proceeds resulting from the total assessments and contributions made pursuant to this section.
(b) The one-half portion of the proceeds resulting from the total assessments and contributions made pursuant to this section received by the coalition of nuclear counties shall be distributed pursuant to the following formula:
Monroe county 12.3%
Orange county 10%
Oswego county 12.5%
Putnam county 9.8%
Rockland county 18%
Wayne county 12.4%
Westchester county 25%
§ 29-d. Reports. In order to assess the present preparedness in the state for any radiological accident and to determine the need for, and appropriateness of, any additional specific steps by state government, the commission shall report to the governor and the legislature by January first, nineteen hundred eighty-two, its findings, recommendations and proposed legislation where appropriate concerning:
1. The need for and appropriateness of additional specific state activities or programs beyond those required by the accepted radiological emergency preparedness plans or provided for under existing law, including but not limited to:
(a) radiological monitoring equipment;
(b) warning systems and equipment;
(c) medical technologies and equipment;
(d) plume transport and dose assessment models; and
(e) nuclear fuel cycle and materials licensees other than electric generating facilities.
2. Any such recommendations shall be developed in consultation with all concerned public and private parties and shall:
(a) take into account proven safety effectiveness;
(b) outline any proposed costs and the means for meeting such costs;
(c) consider related activities of the United States nuclear regulatory commission or others; and
(d) when appropriate, discuss alternatives and various implementation stages.
§ 29-e. New York state emergency assistance program. 1. For purposes of this section the following terms shall have the following meanings:
(a) "Infrastructure" shall mean and include publicly owned storm and sanitary sewers, water supply systems, drainage systems, transportation systems, roads and bridges.
(b) "Municipality" shall mean any county, city, village, or town of the state.
(c) "Public facilities" shall mean and include publicly owned buildings, including traditional government buildings, such as courthouses, firehouses, police stations, parks, recreational facilities, and correctional facilities.
(d) "Fund" shall mean the state's contingency reserve fund established by law.
(e) "The office of emergency management" shall mean the office within the division of homeland security and emergency services.
2. The governor may, upon a finding that a municipality in the state has suffered substantial damage by an unanticipated natural disaster which has resulted in significant economic distress within such municipality, issue a declaration of significant economic distress in accordance with the provisions herein. In determining whether such significant economic distress exists, the governor shall consider whether the following criteria have been met:
(a) the municipality suffered a substantial loss of assessed value;
(b) substantial damage has occurred to municipal buildings, facilities and infrastructure;
(c) the cost incurred by the municipality for clean-up operations is significant;
(d) businesses within the municipality have experienced significant economic loss due to the inability to conduct normal business due to the disaster;
(e) a significant increase in unemployment claims filed by persons employed within the municipality has occurred; and
(f) the county or the county within which the municipality is located has been declared eligible by the United States small business administration for physical disaster and economic injury disaster loans. In addition, the governor shall also consider the extent that other financial resources, including federal assistance and insurance, are available to assist the municipality to repair damage caused by the disaster.
3. (a) Upon the issuance of a declaration of significant economic distress due to unanticipated natural disaster by the governor, a municipality recognized by the governor as being affected by such disaster which occurred on or after December first, nineteen hundred ninety-two, may apply to the division of homeland security and emergency services on a form prescribed by such office, for reimbursement from the state's contingency reserve fund for reimbursement of extraordinary and unanticipated costs associated with the reconstruction or repair of public buildings, facilities or infrastructure.
(b) Where the municipality applying for assistance authorized pursuant to this section is a city, and such application pertains to a county wholly contained within such city, such city may submit separate applications for such assistance for each such county.
(c) Such municipality shall be granted the assistance provided pursuant to this section, within the amounts made available by appropriation from the fund, upon approval of such application, provided that such municipality agrees to have a local disaster preparedness plan pursuant to section twenty-three of this article in effect by December thirty-first, nineteen hundred ninety-three. On or after December thirty-first, nineteen hundred ninety-three, no municipality shall be eligible for reimbursement of such expenses unless such plan is in effect.
(d) Municipalities which have received assistance pursuant to this section shall, as soon thereafter as may be possible, amend their respective local disaster preparedness plans to include corrective measures that must be taken in order to avoid, to the extent possible, similar emergencies in the future.
(e) Municipalities applying for assistance pursuant to this section shall accurately describe the emergency conditions which necessitate the expenditure of funds for which reimbursement is being sought pursuant to this section.
(f) In providing assistance pursuant to this section, the division of homeland security and emergency services may give preference to applicants which demonstrate the greatest need or which document that such assistance will be utilized to bring the applicant into compliance with federal or state law.
(g) In the event that amounts appropriated are insufficient to provide for full reimbursement of all extraordinary and unanticipated costs incurred by such municipality approved for reimbursement pursuant to this section, the division of homeland security and emergency services is authorized to provide a pro rata share of the appropriations, appropriated herein, to such municipality.
4. (a) The commissioner of the division of homeland security and emergency services as defined in article twenty-six of this chapter with the advice and consent of the disaster preparedness commission created pursuant to this article, shall have the power to make such rules and regulations as may be necessary and proper to effectuate the purposes of this section.
(b) The commissioner of the division of homeland security and emergency services shall by March fifteenth of each year report to the governor and the legislature describing the activities and operation of the program authorized by this section. Such report shall set forth the number of reimbursement applications received and approved; the identities of the counties, cities, towns and villages receiving reimbursement together with the amount and purpose of the reimbursement.
§ 29-g. Emergency management assistance compact. 1. The emergency management assistance compact is made and entered into by and between the participating member states which enact this compact, hereinafter called party states. For the purposes of this agreement, the term "states" is taken to mean the several states, the commonwealth of Puerto Rico, the District of Columbia, and all United States territorial possessions.
The purpose of this compact is to provide for mutual assistance between the states entering into this compact in managing any emergency or disaster that is duly declared by the governor of the affected state or states, whether arising from natural disaster, technological hazard, man-made disaster, civil emergency aspects of resource shortages, community disorders, insurgency or enemy attack.
This compact shall also provide for mutual cooperation in emergency-related exercises, testing or other training activities using equipment and personnel simulating performance of any aspect of the giving and receiving of aid by party states or subdivisions of party states during emergencies, such actions occurring outside actual declared emergency periods. Mutual assistance in this compact may include the use of the states' national guard forces, either in accordance with the national guard mutual assistance compact or by mutual agreement between states.
2. Each party state entering into this compact recognizes that many emergencies transcend political jurisdictional boundaries and that intergovernmental coordination is essential in managing these and other emergencies under this compact. Each state further recognizes that there will be emergencies which require immediate access and present procedures to apply outside resources to make a prompt and effective response to such an emergency. This is because few, if any, individual states have all the resources they may need in all types of emergencies or the capability of delivering resources to areas where emergencies exist.
The prompt, full and effective utilization of resources of the participating states, including any resources on hand or available from the federal government or any other source, that are essential to the safety, care and welfare of the people in the event of any emergency or disaster declared by a party state, shall be the underlying principle on which all provisions of this compact shall be understood.
On behalf of the governor of each state participating in the compact, the legally designated state official who is assigned responsibility for emergency management will be responsible for formulation of the appropriate interstate mutual aid plans and procedures necessary to implement this compact.
3. (a) It shall be the responsibility of each party state to formulate procedural plans and programs for interstate cooperation in the performance of the responsibilities listed in this section. In formulating such plans, and in carrying them out, the party states, insofar as practical, shall:
(1) Review individual state hazard analysis and, to the extent reasonably possible, determine all those potential emergencies the party states might jointly suffer, whether due to natural disaster, technological hazard, man-made disaster, emergency aspects or resource shortages, civil disorders, insurgency or enemy attack.
(2) Review party states' individual emergency plans and develop a plan which will determine the mechanism for the interstate management and provision of assistance concerning any potential emergency.
(3) Develop interstate procedures to fill any identified gaps and to resolve any identified inconsistencies or overlaps in existing or developed plans.
(4) Assist in warning communities adjacent to or crossing the state boundaries.
(5) Protect and assure uninterrupted delivery of services, medicines, water, food, energy and fuel, search and rescue and critical lifeline equipment, services and resources, both human and material.
(6) Inventory and set procedures for the interstate loan and delivery of human material resources, together with procedures for reimbursement or forgiveness.
(7) Provide, to the extent authorized by law, for temporary suspension of any statutes or ordinances that restrict the implementation of the above responsibilities.
(b) The authorized representative of a party state may request assistance of another party state by contacting the authorized representative of that state. The provisions of this agreement shall only apply to requests for assistance made by and to authorized representatives. Requests may be verbal or in writing. If verbal, the request shall be confirmed in writing within thirty days of the verbal request. Requests shall provide the following information:
(1) A description of the emergency service function for which assistance is needed, such as, but not limited to, fire services, law enforcement, emergency medical, transportation, communications, public works and engineering, building inspection, planning and information assistance, mass care, resource support, health and medical services, and search and rescue.
(2) The amount and type of personnel, equipment, materials and supplies needed, and a reasonable estimate of the length of time that they will be needed.
(3) The specific place and time for staging of the assisting party's response and a point of contact at that location.
(c) There shall be frequent consultation between state officials who have assigned emergency management responsibilities and other appropriate representatives of the party states with affected jurisdictions and the United States government, with free exchange of information, plans and resource records relating to emergency capabilities.
4. Any party state requested to render mutual aid or conduct exercises and training for mutual aid shall take such action as is necessary to provide and make available the resources covered by this compact in accordance with the terms hereof provided, that it is understood that the state rendering aid may withhold resources to the extent necessary to provide reasonable protection for such state.
Each party state shall afford to the emergency forces of any party state, while operating within its state limits under the terms and conditions of this compact, the same powers (except that of arrest unless specifically authorized by the receiving state), duties, rights and privileges as are afforded forces of the state in which they are performing emergency services. Emergency forces will continue under the command and control of their regular leaders, but the organizational units will come under the operational control of the emergency services authorities of the state receiving assistance. These conditions may be activated, as needed, only subsequent to a declaration of a state of emergency or disaster by the governor of the party state that is to receive assistance or commencement of exercises or training for mutual aid and shall continue so long as the exercises or training for mutual aid are in progress, the state, or states, of emergency or disaster remains in effect or loaned resources remain in the receiving states, whichever is longer.
5. Whenever any person holds a license, certificate or other permit issued by any state party to the compact evidencing the meeting of qualifications for professional, mechanical or other skills, and when such assistance is requested by the receiving party state, such person shall be deemed licensed, certified, or permitted by the state requesting assistance to render aid involving such skill to meet a declared emergency or disaster, subject to such limitations and conditions as the governor of the requesting state may prescribe by executive order or otherwise.
6. Officers or employees of a party state rendering aid in another state pursuant to this compact shall be considered agents of the requesting state for tort liability and immunity purposes and no party state or its officers or employees rendering aid in another state pursuant to this compact shall be liable on account or any act or omission in good faith on the part of such forces while so engaged or on account of the maintenance or use of any equipment or supplies in connection therewith. Good faith shall not include willful misconduct, gross negligence or recklessness.
7. Inasmuch as it is probable that the pattern and detail of the machinery for mutual aid among two or more states may differ from that among the states that are parties hereto, this instrument contains elements of a broad base common to all states, and nothing contained herein shall preclude any state from entering into supplementary agreements with another state or affect any other agreements already in force between states. Supplementary agreements may comprehend, but shall not be limited to, provisions for evacuation and reception of injured and other persons and the exchange of medical, fire, police, public utility, reconnaissance, welfare, transportation and communications personnel, and equipment and supplies.
8. Each party state shall provide for the payment of compensation and death benefits to injured members of the emergency forces of that state and representatives of deceased members of such forces in case such members sustain injuries or are killed while rendering aid pursuant to this compact, in the same manner and on the same terms as if the injury or death were sustained within their own state.
9. Any party state rendering aid in another state pursuant to this compact shall be reimbursed by the party state receiving such aid for any loss or damage to or expense incurred in the operation of any equipment and the provision of any service in answering a request for aid and for the costs incurred in connection with such requests provided, that any aiding party state may assume, in whole or in part, such loss, damage, expense or other cost, or may loan such equipment or donate such services to the receiving party state without charge or cost provided, however, that any two or more party states may enter into supplementary agreements establishing a different allocation of costs among those states. Expenses under subdivision eight of this section shall not be reimbursable under this provision.
10. Plans for the orderly evacuation and interstate reception of portions of the civilian population as the result of any emergency or disaster of sufficient proportions to so warrant, shall be worked out and maintained between the party states and the emergency management/services directors of the various jurisdictions where any type of incident requiring evacuations might occur. Such plans shall be put into effect by request of the state from which evacuees come and shall include the manner of transporting such evacuees, the number of evacuees to be received in different areas, the manner in which food, clothing, housing and medical care will be provided, the registration of the evacuees, the providing of facilities for the notification of relatives or friends, and the forwarding of such evacuees to other areas or the bringing in of additional materials, supplies and all other relevant factors. Such plans shall provide that the party state receiving evacuees and the party state from which the evacuees come shall mutually agree as to reimbursement of out-of-pocket expenses incurred in receiving and caring for such evacuees, for expenditures for transportation, food, clothing, medicines and medical care, and like items. Such expenditures shall be reimbursed as agreed by the party state from which the evacuees come. After the termination of the emergency or disaster, the party state from which the evacuees come shall assume the responsibility for the ultimate support of repatriation of such evacuees.
11. (a) This compact shall become operative immediately upon its enactment into law by any two states; thereafter, this compact shall become effective as to any other state upon its enactment by such state.
(b) Any party state may withdraw from this compact by enacting a statute repealing the same, but no such withdrawal shall take effect until thirty days after the governor of the withdrawing state has given notice in writing of such withdrawal to the governors of all other party states. Such action shall not relieve the withdrawing state from obligations assumed hereunder prior to the effective date of withdrawal.
(c) Duly authenticated copies of this compact and of such supplementary agreements as may be entered into shall, at the time of their approval be deposited with each of the party states and with the federal emergency management agency and other appropriate agencies of the United States government.
12. This compact shall be construed to effectuate the purposes stated in subdivision one of this section. If any provision of this compact is declared unconstitutional, or the applicability thereof to any person or circumstances is held invalid, the constitutionality of the remainder of this compact and the applicability thereof to other persons and circumstances shall not be affected thereby.
13. Nothing in this compact shall authorize or permit the use of military forces by the National Guard of a state at any place outside the state in any emergency for which the president is authorized by law to call into federal service the militia, or for any purposes for which the use of the army or the air force would in the absence of express statutory authorization be prohibited under section 1385 of title 18, United States code.
14. The legally designated state official who is assigned responsibility for emergency management shall not offer resources to, or request resources from, another compact member state, without prior discussion with and concurrence from the state agency, department, office, division, board, bureau, commission or authority that may be asked to provide resources or that may utilize resources from another compact member state.
15. The director of the state emergency management office shall, on or before the first day of January, two thousand two, provide to the legislature and the governor copies of all mutual aid plans and procedures promulgated, developed or entered into after the effective date of this section. The director of the state emergency management office shall annually hereafter provide the legislature and governor with copies of all new or amended mutual aid plans and procedures on or before the first day of January of each year.
§ 29-h. Intrastate mutual aid program. 1. Creation. There is hereby created the intrastate mutual aid program to complement existing mutual aid agreements in the event of a disaster that results in a formal declaration of an emergency by a participating local government. All local governments within the state, excepting those which affirmatively choose not to participate in accordance with subdivision four of this section, are deemed to be participants in the program; provided, however, with respect to school districts and boards of cooperative educational services, such participation shall be limited to the sharing of facilities management and administrative personnel and equipment.
2. Definitions. As used in this section, the following terms shall have the following meanings:
a. "Employee" means any person holding a position by election, appointment, or employment by a local government;
b. "Local government" means any county, city, town, village, school district or board of cooperative educational services of the state;
c. "Local emergency management director" means the local government official responsible for emergency preparedness, response and recovery;
d. "Requesting local government" means the local government that asks another local government for assistance during a declared emergency, or for the purposes of conducting training, or undertaking a drill or exercise;
e. "Assisting local government" means one or more local governments that provide assistance pursuant to a request for assistance from a requesting local government during a declared emergency, or for the purposes of conducting training, or undertaking a drill or exercise;
f. "Disaster" shall have the same meaning as in section twenty of this article;
g. "School district" shall have the same meaning as in title two of the education law, including any public school district and any special act school district as defined in section four thousand one of the education law; and
h. "Board of cooperative educational services" shall have the same meaning as in section nineteen hundred fifty of the education law.
3. Intrastate mutual aid program committee established; meetings; powers and duties. a. There is hereby created within the disaster preparedness commission an intrastate mutual aid program committee, for purposes of this section to be referred to as the committee, which shall be chaired by the commissioner of the division of homeland security and emergency services, and shall include the state fire administrator, the commissioner of health, the commissioner of education and the commissioner of agriculture and markets, provided that each such official may appoint a designee to serve in his or her place on the committee. The committee shall also include five representatives from local public safety or emergency response agencies and one representative from a school district or board of cooperative educational services. Such representatives, who shall serve a maximum two-year term, shall be appointed by the commissioner of the division of homeland security and emergency services, with regard to a balance of geographic representation and discipline expertise.
b. The committee, on the call of the chairperson, shall meet at least twice each year and at such other times as may be necessary. The agenda and meeting place of all regular meetings shall be made available to the public in advance of such meetings and all such meetings shall be open to the public.
c. The committee shall have the following powers and responsibilities:
(1) to promulgate rules and regulations, acting through the division of homeland security and emergency services, to implement the intrastate mutual aid program as described in this section;
(2) to develop policies, procedures and guidelines associated with the program, including a process for the reimbursement of assisting local governments by requesting local governments;
(3) to evaluate the use of the intrastate mutual aid program;
(4) to examine issues facing participating local governments regarding the implementation of the intrastate mutual aid program; and
(5) to prepare reports to the disaster preparedness commission discussing the effectiveness of mutual aid in the state and making recommendations for improving the efficacy of the system, if appropriate.
4. Local government participation in the intrastate mutual aid program. a. A local government may elect not to participate in the intrastate mutual aid program, or to withdraw from the program, by its governing body enacting a resolution declaring that it elects not to participate in the program and providing such resolution to the division of homeland security and emergency services. Participation in the program will continue until a copy of such resolution is received and confirmed by the division of homeland security and emergency services.
b. A local government that has declined to participate in the program may, acting by resolution through its governing body and providing a copy of the resolution to the division of homeland security and emergency services, elect to participate in the program.
c. Nothing in this section shall preclude a local government from entering into mutual aid agreements with other local governments or other entities with terms that supplement or differ from the provisions of this section.
d. Nothing in this section shall affect any other agreement to which a local government may currently be a party, or later enter into, including, but not limited to, the state fire mobilization and mutual aid plan.
5. Fire related resources. Notwithstanding the authority vested pursuant to this section, all fire related resources shall be administered pursuant to section two hundred nine-e of the general municipal law.
6. Requesting assistance under the intrastate mutual aid program. a. Subject to the restrictions on school districts and boards of cooperative educational services set forth in subdivision one of this section, the state or a participating local government may request assistance of other participating local governments in preventing, mitigating, responding to and recovering from disasters that result in the declaration of a state disaster emergency or locally-declared emergencies, or for the purpose of conducting multi-jurisdictional or regional training, drills or exercises. Requests for assistance may be made verbally or in writing; verbal requests shall be memorialized in writing as soon thereafter as is practicable. Notwithstanding the provisions of section twenty-five of this article, the local emergency management director shall have the authority to request and accept assistance and deploy the local resources of his or her jurisdiction under the intrastate mutual aid program. The director of the state office of emergency management is authorized to request and accept assistance pursuant to this section.
b. Once an emergency is declared at the county level, all requests and offers for assistance, to the extent practical, shall be made through the county emergency management office, or in the case of the city of New York, through the city emergency management office. All requests for assistance should include:
(1) a description of the disaster;
(2) a description of the assistance needed;
(3) a description of the mission for which assistance is requested;
(4) an estimate of the length of time the assistance will be needed;
(5) the specific place and time for staging of the assistance and a point of contact at that location; and
(6) any other information that will enable an assisting local government to respond appropriately to the request.
c. Assisting local governments shall submit to the state or requesting local government an inventory of the resources being deployed.
d. The written request for assistance and all inventories of resources being deployed shall be submitted to the division of homeland security and emergency services within three calendar days of the request for or deployment of such resources.
7. Division of homeland security and emergency services responsibilities under the intrastate mutual aid program. The division of homeland security and emergency services shall provide notification by mail to each local government with a comprehensive description of the intrastate mutual aid program, including a statement that all local governments are participants of the program unless they expressly opt out pursuant to subdivision four of this section; maintain a current list of participating local governments with their authorized representatives and contact information, and provide a copy of the list to each of the participating local governments on an annual basis during the second quarter of each calendar year; monitor and report to the intrastate mutual aid program committee on the use of the intrastate mutual aid program; coordinate the provision of mutual aid resources in accordance with the comprehensive emergency management plan and supporting protocols; identify mutual aid best practices; when practical, provide the committee with statistical information related to the use of mutual aid during recent regional disaster responses; and assist with the development, implementation and management of a state-wide resource typing system.
8. Reimbursement of assisting local government by the state or requesting local government; resolving disputes regarding reimbursement. a. Any assisting local government requesting reimbursement under this program for loss, damage or expenses incurred in connection with the provision of assistance that seeks reimbursement by the state or requesting local government shall make such request in accordance with procedures developed by the intrastate mutual aid committee.
b. Notwithstanding the provisions of section twenty-five of this article or any inconsistent provision of law to the contrary, the state or any requesting local government requesting assistance under this program shall be liable and responsible to the assisting local government for any loss or damage to equipment or supplies and shall bear and pay the expense incurred in the operation and maintenance of any equipment and the cost of materials and supplies used in rendering assistance under this section.
c. The assisting local government shall be liable for salaries or other compensation for its employees deployed to the state or a requesting local government during the time they are not rendering assistance pursuant to such request, and shall defray the actual traveling and maintenance expense of its employees and equipment while they are rendering assistance under this section. The state or requesting local government shall reimburse the assisting local government for any moneys paid for such salaries or other compensation and traveling and maintenance expenses incurred from activities performed while rendering assistance under this program.
d. Notwithstanding paragraph c of this subdivision, any voluntary ambulance service rendered pursuant to a request for assistance under this program that affects a volunteer ambulance workers service award or supplemental service award from a service award program or a supplemental service award program established pursuant to article eleven-aa, article eleven-aaa, or article eleven-aaaa of the general municipal law shall be the responsibility of the political subdivision which adopted the service award program or supplemental service award program and not the responsibility of the state or requesting local government.
e. Where a dispute arises between an assisting local government and the state or a requesting local government regarding reimbursement for loss, damages or expenses incurred in connection with the provision of aid, the parties will make every effort to resolve the dispute within thirty business days of written notice of the dispute by the party asserting noncompliance.
9. Performance of services. a. (1) Employees of an assisting local government shall continue under the administrative control of their home jurisdiction. However, in all other cases where not prohibited by general, special or local law, rule or regulation, employees of an assisting local government shall be under the direction and control of the director of the state office of emergency management, local emergency management director or other official charged with performing emergency management functions for the state or requesting local government;
(2) Performance by employees of an assisting local government of services for the state or a requesting local government pursuant to this section shall have no impact upon whether negotiating unit employees represented by an employee organization, recognized or certified pursuant to section two hundred six or two hundred seven of the civil service law, exclusively perform such services, as that phrase is used by the public employment relations board, on behalf of the state or requesting local government;
b. Assets and equipment of an assisting local government shall continue under the ownership of the assisting local government, but shall be under the direction and control of the director of the state office of emergency management, local emergency management director or other official charged with performing emergency management functions for the state or requesting local government.
10. Liability. a. Each local government is responsible for procuring and maintaining insurance or other coverage as it deems appropriate.
b. While rendering assistance under the intrastate mutual aid program, employees of the assisting local government shall have the same immunities and privileges as if such duties were performed within their home jurisdiction. An assisting local government providing assistance pursuant to the intrastate mutual aid program shall be liable for the negligence of its employees, which occurs in the performance of their duties in the same manner and to the same extent as if such negligence occurred in the performance of their duties in their home jurisdiction.
c. Employees of an assisting local government responding to or rendering assistance pursuant to a request for assistance who sustain injury or death in the course of, and arising out of, their response are entitled to all applicable benefits as if they were responding in their home jurisdiction. The assisting local government shall be liable for all costs or payments for such benefits as required by law.
d. Nothing in this section shall be construed to prevent the assisting and requesting local governments from agreeing to other terms related to liability and compensation. Local governments may choose to enter into an agreement, at any time, to alter these terms as they deem necessary.
e. Nothing in this section shall be construed to provide any protection against liability, or to create any liability, for an individual who responds to a state of emergency where aid has not been requested, or where aid has not been authorized by the individual's home jurisdiction.
11. Obligation of insurers. Nothing in this section shall impair, alter, limit or modify the rights or obligations of any insurer under any policy of insurance.
12. License, certificate and permit portability. a. State certified emergency medical services providers who respond outside of their normal jurisdiction pursuant to a request for assistance under this program shall follow their normal operating protocols as if they were responding and rendering services in their home jurisdiction.
b. Any other individual authorized and deployed by a participating local government when responding pursuant to a request for assistance under this program shall have the same powers and duties as if they were responding in their home jurisdiction.
§ 29-i. Immunity from liability for emergency alerts. Any provider of mobile services, as defined in 47 U.S.C. 153, including its officers, directors, employees, affiliates, vendors and agents, acting on behalf of the state, and any third-party intermediary transmission service provider, including such third-party intermediary transmission service provider's affiliates, officers, directors, employees, vendors and agents, acting directly or indirectly on behalf of the state or on behalf of any such provider of mobile services, that transmits emergency alerts similar to those described in 47 CFR 10.10 and 10.400, or that transmits any other type or form of emergency alert messages, shall not be liable for any act or omission related to or any harm resulting from the transmission of, or failure to transmit, an emergency alert, provided that such provider, officer, director, employee, affiliate, vendor or agent acted reasonably and in good faith.
§ 29-j. Acceptance of gifts. 1. The state office of emergency management within the division of homeland security and emergency services may accept any assistance, including but not limited to gifts or grants of real or personal property, but not including money, from any public or private source for the purpose of preparing for, responding to, or recovering from a state disaster emergency. Such assistance may be used to support state and local disaster operations or distributed to disaster response organizations supporting local disaster response operations. To the extent practicable, the office of emergency management shall distribute such assistance in consultation with local governments, not-for-profit organizations, and other disaster response organizations that have experience responding to state disaster emergencies.
2. The state office of emergency management shall maintain a database of all assistance accepted during the state disaster emergency and shall make such information available to the public on its website. The database shall include, but is not limited to, the name of the donor, type of assistance provided, value of the assistance, recipient of the assistance (if available), date of the donation and date of distribution.
3. The director of the office of emergency management, in consultation with the commissioner of the division of homeland security and emergency services, may promulgate rules and regulations necessary to implement this section.
* § 29-k. Quarterly claim reports. The governor's office of storm recovery, shall produce a quarterly report, which shall provide the number of all active single family housing applicants by county that have received partial or full payments; the number of all eligible, active single family housing applicants by county who have not yet received any payments; the number of active single family housing applicants by county who have not received payment and are pending an eligibility review; the number of all active single family housing applicants by county whose application status has not been closed out; the number of all single family housing applicants by county that have been closed out; the number of all single family housing applicants by county that have not received payment because they have been determined to have no unmet need or have been determined ineligible to receive assistance; the number of all active small business applicants by county that have received partial or full payments; the number of all eligible, active small business applicants by county who have not yet received any payments; the number of active small business applicants by county who have not received payment and are pending an eligibility review; the number of all active small business applicants by county whose application status has not been closed out; the number of all small business applicants by county that have been closed out; the number of all small business applicants by county that have not received payment because they have been determined to have no unmet need or have been determined ineligible to receive assistance; the total number of subrecipient agreements by county for the New York rising community reconstruction program, and the status of all community reconstruction projects by county that are in the design or construction phases. The report shall provide the same information cumulatively for the previous reporting periods. The first report required under this subdivision shall be delivered by February fifteenth, two thousand sixteen, with new, updated reports being delivered on each first day of every third month thereafter. The report shall be provided to the temporary president of the senate, and the speaker of the assembly and shall be posted on the governor's office of storm recovery's public website.
* NB Repealed December 2, 2023
ARTICLE 3 EXECUTIVE DEPARTMENT
Section 30. Executive department.
31. Divisions.
32. Authority not to renew.
§ 30. Executive department. There shall continue to be in the state government an executive department. The head of the executive department shall be the governor. The governor may appoint such subordinates and employees as may be necessary for the exercise of his powers and the performance of his duties as head of the executive department, and may prescribe their duties and fix their compensation within the amounts appropriated therefor.
§ 31. Divisions. There shall be in the executive department the following divisions:
1. The division of the budget.
2. The division of military and naval affairs.
3. The office of general services.
4. The division of state police.
5. The division of housing.
6. The division of alcoholic beverage control.
7. The division of human rights.
8. The division of homeland security and emergency services.
9. Office of information technology services.
The governor may establish, consolidate, or abolish additional divisions and bureaus.
§ 32. Authority not to renew. 1. For the purposes of this section, "state agency" shall mean any state department, board, bureau, division, commission, committee, public authority, public benefit corporation, council, office, or other governmental entity performing a governmental or proprietary function for the state.
2. Notwithstanding any other provision of law, when a state agency levies fees or assesses civil fines or penalties for licensing or regulatory matters, such state agency shall, following consultation with the state department of law and after such appropriate due process as required by the provisions of law applicable to such state agency and to such licensing or regulatory matters, not be required to renew any license, permit, or certificate of qualification, authority, or operation, of any business, individual, or other entity, which is not a state agency, municipal corporation or district corporation, if such business, individual or other entity has failed to pay or enter into a written agreement to settle outstanding fees, civil penalties or fines assessed by such state agency.
ARTICLE 4 DEPARTMENT OF AUDIT AND CONTROL
Section 40. Department of audit and control; comptroller.
41. Deputies and assistants; undertakings.
41-a. Deputy comptroller for the city of New York.
42. Supervision of money paid into court.
43. Examiners.
44. Records and data in aid of audit; destruction of certain papers.
45. Authority to represent the state as owner of abutting property.
46. Office of welfare inspector general.
47. Organization of offices; officers and employees.
48. General functions, powers and duties of office of welfare inspector general.
49. Cooperation and assistance of other agencies.
50. Referral of evidence.
§ 40. Department of audit and control; comptroller. There shall continue to be in the state government a department of audit and control.
1. The head of the department of audit and control shall be the comptroller. He shall be paid an annual salary of one hundred fifty-one thousand five hundred dollars.
2. The organization of the department of audit and control is continued until changed by or pursuant to law. The comptroller may establish such divisions, bureaus, sections and units in the department as he may deem necessary and may consolidate, alter or abolish any of them.
3. The functions of the comptroller, and his powers and duties pertaining thereto, shall be exercised and performed in the department of audit and control by the comptroller and by such divisions, bureaus, sections, units and officers in the department as he may designate.
§ 41. Deputies and assistants; undertakings. 1. The comptroller shall appoint eight deputies, one of whom shall be the first deputy comptroller. Such deputies shall receive annual salaries to be fixed by the comptroller within amounts appropriated therefor. Each of such deputies may perform any of the powers or duties of the comptroller.
2. The comptroller also may appoint such other officers, assistants and employees as he may deem necessary for the exercise and performance of his powers and duties and those of the department. Such officers, assistants and employees shall receive such compensation as may be fixed by the comptroller within the amounts appropriated therefor.
§ 41-a. Deputy comptroller for the city of New York. In addition to the deputies otherwise authorized by law, the comptroller shall, by and with the advice and consent of the senate, appoint a deputy comptroller for the city of New York. Such deputy may be removed or replaced by the comptroller and shall receive an annual salary to be fixed by the comptroller within the amounts appropriated therefor. Such deputy may perform any of the powers or duties of the comptroller and he shall assist the New York state financial control board created pursuant to section five of the New York state financial emergency act for the city of New York in carrying out and exercising the responsibilities assigned and powers granted to such board.
§ 42. Supervision of money paid into court. The comptroller shall have power, at any time, to examine the books, papers, records and accounts of any public office or officer of the state, or of any subdivision of the state in anywise relating to moneys or securities paid into court or ordered by any court of record or required by statute to be so paid.
§ 43. Examiners. 1. Whenever the comptroller may deem it necessary to enable him to perform the duties imposed upon him by law with regard to the inspection, examination and audit of the fiscal affairs of the state or of the several officers, departments, institutions, public corporations or political subdivisions thereof, he may assign the work of such inspection, audit and examination to any examiner or examiners appointed by him pursuant to law.
2. The comptroller is authorized to employ such examiners as he may deem necessary to carry out the provisions of law in relation to his duty as to money paid into court.
§ 44. Records and data in aid of audit; destruction of certain papers. 1. Where powers and duties of the comptroller relate to moneys, funds or securities of the state, or to state appropriations, or to funds and securities administered under state supervision, or to obligations of the state or of state agencies, the comptroller, except as provided in subdivision two of this section, shall preserve all data and records pertaining to his acts and proceedings in the exercise and performance of such powers and duties, and of his transactions with other public officers, and with corporations and individuals, in connection therewith, to the end that the necessary information acquired by him through such acts, proceedings and transactions may be at all times available as an aid to the comptroller and his successors in exercising the functions of audit of vouchers, official accounts, accrual and collection of revenues and receipts, and of prescribed methods of accounting.
2. Notwithstanding any other provision of this article, the comptroller may destroy any of the following described papers now or hereafter in the custody of the department of audit and control after they have been in such custody six years or more:
a. Estimates and requisitions of state departments, commissions, boards, bodies, officers and institutions;
b. Working papers;
c. Unsuccessful bids;
d. Any other papers which, in the judgment of the comptroller, are not and will not be of use in connection with audits, accounts and accountings, accrual and collection of revenues and receipts or payments of moneys from the state treasury or from any fund or funds in his custody.
The comptroller shall not destroy any papers which in his judgment might be of historic value without first submitting a description thereof to the commissioner of education and obtaining his consent to their destruction. This subdivision shall not authorize the destruction of any papers the preservation or production of which shall have been directed by a court or judge for the purposes of an action or proceeding.
§ 45. Authority to represent the state as owner of abutting property. Whenever by law owners of property abutting upon a street or highway, or any number or percentage thereof, are authorized to petition or otherwise initiate any proceeding respecting the use, occupation or improvement of such street or highway, or the consent of such owners or of any number or percentage thereof is a prerequisite to the use, occupation or improvement of a street or highway, the comptroller in behalf of the state, upon the approval of the attorney-general, is authorized to join in any petition, take any action or consent to the use, occupation or improvement of such a street or highway, affecting the property of the state abutting upon such street or highway, with the same force and effect, and subject to the same limitations and conditions, as the owners of other property abutting upon such street or highway.
§ 46. Office of welfare inspector general. 1. There is hereby created in the department of audit and control an office of welfare inspector general. The head of the office shall be the welfare inspector general, who shall be appointed by the comptroller, by and with the advice and consent of the senate.
2. The comptroller shall fix the compensation of the welfare inspector general within the amounts appropriated therefor.
§ 47. Organization of offices; officers and employees. 1. Notwithstanding any inconsistent provision of law, the welfare inspector general may, from time to time, subject to the approval of the state comptroller, create, abolish, transfer and consolidate divisions, bureaus and other units within the office as he may determine necessary for the efficient operation of the office.
2. The welfare inspector general may, subject to the approval of the state comptroller, appoint such deputies, directors, assistants and other officers and employees as may be needed for the performance of his duties and may prescribe their powers and fix their compensation within the amounts appropriated therefor.
§ 48. General functions, powers and duties of office of welfare inspector general. The office of welfare inspector general, by and through the welfare inspector general, or his duly authorized deputy, director, assistant, officer or employee, shall have the following functions, powers and duties notwithstanding section one hundred thirty-six of the social services law:
1. To receive and investigate complaints from the public or any other source concerning alleged abuses, suspected frauds, and other violations of the welfare system which shall be deemed to include medical assistance. As used in this article, the term "medical assistance" shall have the same meaning contained in section three hundred sixty-five-a of the social services law.
2. To receive complaints of alleged failures to prosecute frauds against the welfare system which shall be deemed to include medical assistance and to investigate the same.
3. To receive complaints of alleged failures to enforce the state's laws regarding the employment of welfare recipients in available employment, and to investigate the same.
4. To receive complaints of alleged failures of local officials and employees to comply with state laws and regulations regarding welfare administration which shall be deemed to include medical assistance, and to investigate the same.
5. On the initiative of the office and at the direction of the welfare inspector general, to conduct any investigation: of the operations of the state social services department and local social services districts, the state health department and local health departments, and the state department of mental hygiene and community mental health boards in order to insure proper expenditure of welfare funds; of violations of the welfare system; of failure to prosecute welfare frauds; of failure to enforce the state's laws regarding the employment of welfare recipients in available employment; of failure of local officials and employees to comply with state law, rules, and regulations regarding welfare administration which shall be deemed to include medical assistance, and other matters relating thereto.
6. To exercise and perform such other functions, powers and duties as may from time to time be conferred or imposed by law.
7. To make an annual report to the governor, the comptroller and the legislature concerning its work during the preceding year, and to make such further interim reports to them as they or any of them shall deem advisable or require.
8. To conduct any inquiry pertinent or material to the discharge of the functions, powers and duties imposed by law; and through designated members of the staff, to subpoena witnesses, administer oaths, take testimony and compel the production of such books, papers, records and documents as may be relevant to any such inquiry and investigation.
9. To do all things necessary or convenient to carry out the functions, powers and duties set forth in this article, to the extent they conform with applicable federal requirements, if any.
10. To make, amend or repeal such rules and regulations as may be necessary with the approval of the state comptroller, for the performance of the duties imposed hereunder.
§ 49. Cooperation and assistance of other agencies. The office of welfare inspector general may request from any department, board, bureau, commission or other agency of the state and its political subdivisions, and the same are authorized and directed to provide, such cooperation and assistance, services and data as will enable the office properly to carry out its functions, powers and duties. As an incident to rendering such cooperation and assistance, all governmental agencies shall be required to submit a written response to the office of welfare inspector general respecting its reports and findings when so requested by said office. Section one hundred thirty-six of the social services law shall in no way be construed to restrict any person or governmental body from cooperating and assisting the welfare inspector general hereunder. Section six hundred ninety-seven or any other provision of the tax law shall in no way be construed to restrict the office of welfare inspector general from obtaining the name, address, social security number, employment history and number of dependents claimed for any individual certified by the welfare inspector general, or his designee, to be a welfare recipient and suspected of abusing, defrauding or otherwise violating the welfare system.
§ 50. Referral of evidence. 1. Upon the discovery of evidence of the commission of a crime by any person, the welfare inspector general shall refer such evidence to the district attorney of the county in which the alleged crime occurred, for the appropriate action of such district attorney.
2. Upon the discovery of evidence of a violation by a social services official or employee of the laws, rules or regulations of the state regarding welfare administration, the welfare inspector general shall refer such evidence to the state commissioner of social services for appropriate action of such commissioner.
ARTICLE 4-A OFFICE OF THE STATE INSPECTOR GENERAL
Section 51. Jurisdiction.
52. Establishment and organization.
53. Functions and duties.
54. Powers.
55. Responsibilities of covered agencies, state officers and employees.
§ 51. Jurisdiction. This article shall, subject to the limitations contained herein, confer upon the office of the state inspector general, jurisdiction over all covered agencies. For the purposes of this article "covered agency" shall include all executive branch agencies, departments, divisions, officers, boards and commissions, public authorities (other than multi-state or multi-national authorities), and public benefit corporations, the heads of which are appointed by the governor and which do not have their own inspector general by statute. Wherever a covered agency is a board, commission, a public authority or public benefit corporation, the head of the agency is the chairperson thereof.
§ 52. Establishment and organization. 1. There is hereby established the office of the state inspector general in the executive department. The head of the office shall be the state inspector general who shall be appointed by the governor.
2. The state inspector general shall hold office until the end of the term of the governor by whom he or she was appointed and until his or her successor is appointed and has qualified.
3. The state inspector general shall report to the secretary to the governor.
4. The state inspector general may appoint one or more deputy inspectors general to serve at his or her pleasure, who shall be responsible for conducting investigations in the agencies to which they are designated and in which they are deemed employed.
5. The salary of the inspector general shall be established by the governor within the limit of funds available therefore; provided, however, such salary shall be no less than the salaries of certain state officers holding the positions indicated in paragraph (a) of subdivision one of section one hundred sixty-nine of the executive law.
§ 53. Functions and duties. The state inspector general shall have the following duties and responsibilities:
1. receive and investigate complaints from any source, or upon his or her own initiative, concerning allegations of corruption, fraud, criminal activity, conflicts of interest or abuse in any covered agency;
1-a. receive and investigate complaints from any source, or upon his or her own initiative, concerning allegations of corruption, fraud, use of excessive force, criminal activity, conflicts of interest or abuse by any police officer in a covered agency and promptly inform the division of criminal justice services, in the form and manner as prescribed by the division, of such allegations and the progress of investigations related thereto unless special circumstances require confidentiality. Nothing in this subdivision shall require the division of criminal justice services to participate in the investigation of such allegations or take action or prevent the division of criminal justice services from taking action authorized pursuant to subdivision three of section eight hundred forty-five of this chapter in the time and manner determined by the commissioner of the division of criminal justice services.
2. inform the heads of covered agencies of such allegations and the progress of investigations related thereto, unless special circumstances require confidentiality;
3. determine with respect to such allegations whether disciplinary action, civil or criminal prosecution, or further investigation by an appropriate federal, state or local agency is warranted, and to assist in such investigations;
4. prepare and release to the public written reports of such investigations, as appropriate and to the extent permitted by law, subject to redaction to protect the confidentiality of witnesses. The release of all or portions of such reports may be deferred to protect the confidentiality of ongoing investigations;
5. review and examine periodically the policies and procedures of covered agencies with regard to the prevention and detection of corruption, fraud, criminal activity, conflicts of interest or abuse;
6. recommend remedial action to prevent or eliminate corruption, fraud, criminal activity, conflicts of interest or abuse in covered agencies;
7. establish programs for training state officers and employees regarding the prevention and elimination of corruption, fraud, criminal activity, conflicts of interest or abuse in covered agencies.
§ 54. Powers. The state inspector general shall have the power to:
1. subpoena and enforce the attendance of witnesses;
2. administer oaths or affirmations and examine witnesses under oath;
3. require the production of any books and papers deemed relevant or material to any investigation, examination or review;
4. notwithstanding any law to the contrary, examine and copy or remove documents or records of any kind prepared, maintained or held by any covered agency;
5. require any officer or employee in a covered agency to answer questions concerning any matter related to the performance of his or her official duties. No statement or other evidence derived therefrom may be used against such officer or employee in any subsequent criminal prosecution other than for perjury or contempt arising from such testimony. The refusal of any officer or employee to answer questions shall be cause for removal from office or employment or other appropriate penalty;
6. monitor the implementation by covered agencies of any recommendations made by state inspector general;
7. perform any other functions that are necessary or appropriate to fulfill the duties and responsibilities of office.
* 8. Appoint an independent monitor to provide guidance and technical assistance related to the policies, practices, programs and decisions of the Orange county industrial development agency, as authorized in subdivisions two, three, four and five of section nine hundred twelve of the general municipal law.
* NB Repealed May 3, 2026
§ 55. Responsibilities of covered agencies, state officers and employees. 1. Every state officer or employee in a covered agency shall report promptly to the state inspector general any information concerning corruption, fraud, criminal activity, conflicts of interest or abuse by another state officer or employee relating to his or her office or employment, or by a person having business dealings with a covered agency relating to those dealings. The knowing failure of any officer or employee to so report shall be cause for removal from office or employment or other appropriate penalty. Any officer or employee who acts pursuant to this subdivision by reporting to the state inspector general improper governmental action as defined in section seventy-five-b of the civil service law shall not be subject to dismissal, discipline or other adverse personnel action.
2. The head of any covered agency shall advise the governor within ninety days of the issuance of a report by the state inspector general as to the remedial action that the agency has taken in response to any recommendation for such action contained in such report.
ARTICLE 4-B OFFICE OF THE INSPECTOR GENERAL OF NEW YORK FOR TRANSPORTATION
Section 56. Jurisdiction.
57. Establishment and organization.
58. Functions and duties.
§ 56. Jurisdiction. 1. This article shall, subject to the limitations contained herein, confer upon the office of the inspector general of New York for transportation investigative and prosecutorial power over criminal and unethical conduct involving individuals serving at a senior level in operations, financing or management of a transportation entity located in a city of a population of one million or more where such action or actions occurred within the state; and investigative and prosecutorial power of criminal and unethical conduct involving managerial appointees or managerial employees of any transportation entity where such action or actions occurred within the state.
2. For the purposes of this article: (a) "transportation entity" shall mean any public entity located within a city of one million or more involved in the transportation of persons, goods or other items within or to and from the state of New York where at least one individual involved at a senior level in operations, financing or management of such entity is appointed by the governor;
(b) "individuals involved at a senior level in operations, financing or management" shall mean individuals that exert full or partial control over formal actions taken by a transportation entity or on behalf of such entity, or exert independent judgment in the fulfillment of their duties and obligations, but shall not include individuals whose actions are of a routine or clerical nature; and
(c) "managerial appointee" or "managerial employee" shall mean any individual who (i) participates directly or as part of a team in formulating policy; (ii) may reasonably be required to assist directly in the preparation for and conduct of negotiations concerning major fiscal matters, procurements or expenditures in excess of one hundred thousand dollars provided that such role is not of a routine or clerical nature and requires the exercise of independent judgment; or (iii) has a major role in the administration of personnel agreements or in personnel administration, provided that such role is not of a routine or clerical nature and requires the exercise of independent judgment.
3. Nothing contained in this section shall replace or diminish the jurisdiction of the attorney general or any district attorney, or the inspector general of any transportation entity.
4. The inspector general shall be authorized to:
(a) receive, investigate and prosecute complaints regarding any individuals involved at a senior level in operations, financing or management or managerial appointee or managerial employee of any transportation entity concerning corruption, conflicts of interest, fraud, waste and abuse, recusals or failure to recuse, or criminal activity in any case where such conduct, action or failure occurred before or after the effective date of the chapter of the laws of two thousand seventeen that added this article and where such conduct, action or failure occurred in New York;
(b) represent the state in any administrative hearing or administrative proceeding involving any criminal or unethical conduct of individuals involved at a senior level in operations, financing or management or a managerial appointee or managerial employee of a transportation entity where such conduct occurred in New York; and
(c) represent the state in civil actions involving any criminal or unethical conduct of individuals involved at a senior level in operations, financing or management or a managerial appointee or managerial employee of a transportation entity where such conduct occurred in New York.
§ 57. Establishment and organization. 1. There shall be an office of the inspector general of New York for transportation in the executive department. The head of the office shall be the inspector general of New York for transportation.
2. The inspector general shall be appointed by the governor and shall hold office until the end of the term of the governor by whom he or she is appointed and until his or her successor is appointed.
3. The inspector general may appoint a deputy inspector general to serve at his or her pleasure, who shall be responsible for conducting investigations and prosecuting violations of law. The inspector general shall identify a process for a coordinated approach with prosecutors to avoid duplication and provide for a timely response to alleged violations.
4. The salary of the inspector general shall be established by the governor within the limit of funds available therefore.
§ 58. Functions and duties. The inspector general of New York for transportation shall have the following duties and responsibilities:
1. receive, investigate, and prosecute complaints from any source, or upon his or her own initiative, concerning allegations of corruption, conflicts of interest, fraud, waste and abuse, recusals or failure to recuse, or criminal activity regarding any transportation entity, conduct or activity or failure to act by any individuals involved at a senior level in operations, financing or management or managerial appointee or managerial employee of a transportation entity occurring before or after the effective date of the chapter of the laws of two thousand seventeen that added this article, in violation of New York law and occurring in New York;
2. inform the transportation entity of such allegations and the progress of investigations related thereto, unless special circumstances require confidentiality, provided that the inspector general shall maintain a written record that specifies the reason confidentiality is necessary under this paragraph;
3. issue a subpoena or subpoenas requiring a person or persons to appear before the grand jury, trial court, produce documents, provide a sworn statement under oath and be examined in reference to any matter within the jurisdiction of the inspector general. A subpoena issued under this section shall be governed by article twenty-three of the civil practice law and rules or articles one hundred ninety or six hundred ten of the criminal procedure law. The inspector general or his or her deputy or any person designated in writing by them may administer an oath to a witness in any such investigation or prosecution and may seek to confer immunity for compelled testimony pursuant to article fifty of the criminal procedure law;
4. determine with respect to such allegations whether to initiate civil or criminal prosecution, or make a referral for further investigation by an appropriate federal, state or local agency or any other office of inspector general as is warranted, and to assist in such investigations; and
5. prepare and release to the public written reports of such investigations, as appropriate and to the extent permitted by law, subject to redaction to protect the confidentiality of witnesses. The release of all or portions of such reports may be deferred to protect the confidentiality of ongoing investigations, provided that the inspector general shall maintain a written record that specifies the reason confidentiality is necessary under this subdivision.
ARTICLE 5 DEPARTMENT OF LAW
Section 60. Department of law.
61. Solicitor general.
62. Assistants.
63. General duties.
63-a. Action by attorney-general for forfeiture of public office.
63-b. Action by attorney-general against usurper of office or franchise.
63-c. Action by the people for illegal receipt or disposition of public funds or other property.
63-d. Attorney-general; death penalty prosecutions.
64. Costs recovered.
65. Register.
66. Destruction of certain records, books and other data by the attorney-general.
67. Additional counsel.
70. Deputy attorney-general to act as special district attorney.
70-a. Statewide organized crime task force.
70-b. Office of special investigation.
70-c. Task force on social media and violent extremism.
71. Attorney-general authorized to appear in cases involving the constitutionality of an act of the legislature, or a rule or regulation adopted pursuant thereto.
72. When costs payable to relator.
73. Power to administer oaths and take acknowledgements.
74. Welfare inspector general.
75. Law enforcement misconduct investigative office.
§ 60. Department of law. There shall continue to be in the state government a department of law. The head of the department of law shall be the attorney-general who shall receive an annual salary of one hundred fifty-one thousand five hundred dollars.
§ 61. Solicitor general. There shall be in the department of law a solicitor general who shall be appointed by the attorney-general and who shall perform such duties in the place and stead of the attorney-general as may lawfully be assigned to him. The attorney-general shall fix his compensation within the amounts appropriated therefor.
§ 62. Assistants. 1. The attorney-general may appoint such assistant attorneys-general, deputy assistant attorneys-general and attorneys as he may deem necessary and fix their compensation within the amounts appropriated therefor. Whenever deputy or deputy attorney-general is referred to or designated in any law, contract or document such references or designations shall be deemed to refer to and include assistant attorneys-general, deputy assistant attorneys-general or attorneys appointed by the attorney-general.
§ 63. General duties. The attorney-general shall:
1. Prosecute and defend all actions and proceedings in which the state is interested, and have charge and control of all the legal business of the departments and bureaus of the state, or of any office thereof which requires the services of attorney or counsel, in order to protect the interest of the state, but this section shall not apply to any of the military department bureaus or military offices of the state. No action or proceeding affecting the property or interests of the state shall be instituted, defended or conducted by any department, bureau, board, council, officer, agency or instrumentality of the state, without a notice to the attorney-general apprising him of the said action or proceeding, the nature and purpose thereof, so that he may participate or join therein if in his opinion the interests of the state so warrant.
2. Whenever required by the governor, attend in person, or by one of his deputies, any term of the supreme court or appear before the grand jury thereof for the purpose of managing and conducting in such court or before such jury criminal actions or proceedings as shall be specified in such requirement; in which case the attorney-general or his deputy so attending shall exercise all the powers and perform all the duties in respect of such actions or proceedings, which the district attorney would otherwise be authorized or required to exercise or perform; and in any of such actions or proceedings the district attorney shall only exercise such powers and perform such duties as are required of him by the attorney-general or the deputy attorney-general so attending. In all such cases all expenses incurred by the attorney-general, including the salary or other compensation of all deputies employed, shall be a county charge.
3. Upon request of the governor, comptroller, secretary of state, commissioner of transportation, superintendent of financial services, commissioner of taxation and finance, commissioner of motor vehicles, or the state inspector general, or the head of any other department, authority, division or agency of the state, investigate the alleged commission of any indictable offense or offenses in violation of the law which the officer making the request is especially required to execute or in relation to any matters connected with such department, and to prosecute the person or persons believed to have committed the same and any crime or offense arising out of such investigation or prosecution or both, including but not limited to appearing before and presenting all such matters to a grand jury.
4. Cause all persons indicted for corrupting or attempting to corrupt any member or member-elect of the legislature, or the commissioner of general services, to be brought to trial.
5. When required by the comptroller or the superintendent of public works, prepare proper drafts for contracts, obligations and other instruments for the use of the state.
6. Upon receipt thereof, pay into the treasury all moneys received by him for debts due or penalties forfeited to the people of the state.
7. He may, on behalf of the state, agree upon a case containing a statement of the facts and submit a controversy for decision to a court of record which would have jurisdiction of an action brought on the same case. He may agree that a referee, to be appointed in an action to which the state is a party, shall receive such compensation at such rate per day as the court in the order of reference may specify. He may with the approval of the governor retain counsel to recover moneys or property belonging to the state, or to the possession of which the state is entitled, upon an agreement that such counsel shall receive reasonable compensation, to be fixed by the attorney-general, out of the property recovered, and not otherwise.
8. Whenever in his judgment the public interest requires it, the attorney-general may, with the approval of the governor, and when directed by the governor, shall, inquire into matters concerning the public peace, public safety and public justice. For such purpose he may, in his discretion, and without civil service examination, appoint and employ, and at pleasure remove, such deputies, officers and other persons as he deems necessary, determine their duties and, with the approval of the governor, fix their compensation. All appointments made pursuant to this subdivision shall be immediately reported to the governor, and shall not be reported to any other state officer or department. Payments of salaries and compensation of officers and employees and of the expenses of the inquiry shall be made out of funds provided by the legislature for such purposes, which shall be deposited in a bank or trust company in the names of the governor and the attorney-general, payable only on the draft or check of the attorney-general, countersigned by the governor, and such disbursements shall be subject to no audit except by the governor and the attorney-general. The attorney-general, his deputy, or other officer, designated by him, is empowered to subpoena witnesses, compel their attendance, examine them under oath before himself or a magistrate and require that any books, records, documents or papers relevant or material to the inquiry be turned over to him for inspection, examination or audit, pursuant to the civil practice law and rules. If a person subpoenaed to attend upon such inquiry fails to obey the command of a subpoena without reasonable cause, or if a person in attendance upon such inquiry shall, without reasonable cause, refuse to be sworn or to be examined or to answer a question or to produce a book or paper, when ordered so to do by the officer conducting such inquiry, he shall be guilty of a misdemeanor. It shall be the duty of all public officers, their deputies, assistants and subordinates, clerks and employees, and all other persons, to render and furnish to the attorney-general, his deputy or other designated officer, when requested, all information and assistance in their possession and within their power. Each deputy or other officer appointed or designated to conduct such inquiry shall make a weekly report in detail to the attorney-general, in form to be approved by the governor and the attorney-general, which report shall be in duplicate, one copy of which shall be forthwith, upon its receipt by the attorney-general, transmitted by him to the governor. Any officer participating in such inquiry and any person examined as a witness upon such inquiry who shall disclose to any person other than the governor or the attorney-general the name of any witness examined or any information obtained upon such inquiry, except as directed by the governor or the attorney-general, shall be guilty of a misdemeanor.
9. Bring and prosecute or defend upon request of the commissioner of labor or the state division of human rights, any civil action or proceeding, the institution or defense of which in his judgment is necessary for effective enforcement of the laws of this state against discrimination by reason of age, race, sex, creed, color, national origin, sexual orientation, gender identity or expression, military status, disability, predisposing genetic characteristics, familial status, marital status, citizenship or immigration status, or domestic violence victim status, or for enforcement of any order or determination of such commissioner or division made pursuant to such laws.
10. Prosecute every person charged with the commission of a criminal offense in violation of any of the laws of this state against discrimination because of age, race, sex, creed, color, national origin, sexual orientation, gender identity or expression, military status, disability, predisposing genetic characteristics, familial status, marital status, citizenship or immigration status, or domestic violence victim status, in any case where in his judgment, because of the extent of the offense, such prosecution cannot be effectively carried on by the district attorney of the county wherein the offense or a portion thereof is alleged to have been committed, or where in his judgment the district attorney has erroneously failed or refused to prosecute. In all such proceedings, the attorney-general may appear in person or by his deputy or assistant before any court or any grand jury and exercise all the powers and perform all the duties in respect of such actions or proceedings which the district attorney would otherwise be authorized or required to exercise or perform.
11. Prosecute and defend all actions and proceedings in connection with safeguarding and enforcing the state's remainder interest in any trust which meets the requirements of subparagraph two of paragraph (b) of subdivision two of section three hundred sixty-six of the social services law.
12. Whenever any person shall engage in repeated fraudulent or illegal acts or otherwise demonstrate persistent fraud or illegality in the carrying on, conducting or transaction of business, the attorney general may apply, in the name of the people of the state of New York, to the supreme court of the state of New York, on notice of five days, for an order enjoining the continuance of such business activity or of any fraudulent or illegal acts, directing restitution and damages and, in an appropriate case, cancelling any certificate filed under and by virtue of the provisions of section four hundred forty of the former penal law or section one hundred thirty of the general business law, and the court may award the relief applied for or so much thereof as it may deem proper. The word "fraud" or "fraudulent" as used herein shall include any device, scheme or artifice to defraud and any deception, misrepresentation, concealment, suppression, false pretense, false promise or unconscionable contractual provisions. The term "persistent fraud" or "illegality" as used herein shall include continuance or carrying on of any fraudulent or illegal act or conduct. The term "repeated" as used herein shall include repetition of any separate and distinct fraudulent or illegal act, or conduct which affects more than one person. Notwithstanding any law to the contrary, all monies recovered or obtained under this subdivision by a state agency or state official or employee acting in their official capacity shall be subject to subdivision eleven of section four of the state finance law.
In connection with any such application, the attorney general is authorized to take proof and make a determination of the relevant facts and to issue subpoenas in accordance with the civil practice law and rules. Such authorization shall not abate or terminate by reason of any action or proceeding brought by the attorney general under this section.
13. Prosecute any person for perjury committed during the course of any investigation conducted by the attorney-general pursuant to statute. In all such proceedings, the attorney-general may appear in person or by his deputy or assistant before any court or any grand jury and exercise all the powers and perform all the duties necessary or required to be exercised or performed in prosecuting any such person for such offense.
15. In any case where the attorney general has authority to institute a civil action or proceeding in connection with the enforcement of a law of this state, in lieu thereof he may accept an assurance of discontinuance of any act or practice in violation of such law from any person engaged or who has engaged in such act or practice. Such assurance may include a stipulation for the voluntary payment by the alleged violator of the reasonable costs and disbursements incurred by the attorney general during the course of his investigation. Evidence of a violation of such assurance shall constitute prima facie proof of violation of the applicable law in any civil action or proceeding thereafter commenced by the attorney general.
16. (a) Notwithstanding any other law to the contrary, in resolving, by agreed judgment, stipulation, decree, agreement to settle, assurance of discontinuance or otherwise, any claim or cause of action, whether filed or unfiled, actual or potential, and whether arising under common law, equity, or any provision of law, a state agency or a state official or employee acting in their official capacity shall not have the authority to include or agree to include in such resolution any term or condition that would provide the state agency, official, or employee, their agent or designee, the settling party, or any third party with control or discretion over how any moneys to be paid by the settling party would be used, spent, or allocated.
(b) Paragraph (a) of this subdivision shall not apply to any provision in the resolution of a claim or cause of action providing (1) moneys to be distributed to the federal government, to a local government, or to any holder of a bond or other debt instrument issued by the state, any public authority, or any public benefit corporation; (2) moneys to be distributed solely or exclusively as a payment of damages or restitution to individuals or entities that were specifically injured or harmed by the defendant's or settling party's conduct and that are identified in, or can be identified by the terms of, the relevant judgment, stipulation, decree, agreement to settle, assurance of discontinuance, or relevant instrument resolving the claim or cause of action; (3) moneys recovered or obtained by the attorney general where application of paragraph (a) of this subdivision is prohibited by federal law, rule, or regulation, or would result in the reduction or loss of federal funds or eligibility for federal benefits pursuant to federal law, rule, or regulation; (4) moneys recovered or obtained by or on behalf of a public authority, a public benefit corporation, the department of taxation and finance, the workers' compensation board, the New York state higher education services corporation, the tobacco settlement financing corporation, a state or local retirement system, an employee health benefit program administered by the New York state department of civil service, the Title IV-D child support fund, the lottery prize fund, the abandoned property fund, or an endowment of the state university of New York or any unit thereof or any state agency, provided that all of the moneys received or recovered are immediately transferred to the relevant public authority, public benefit corporation, department, fund, program, or endowment; (5) moneys to be refunded to an individual or entity as (i) an overpayment of a tax, fine, penalty, fee, insurance premium, loan payment, charge or surcharge; (ii) a return of seized assets; or (iii) a payment made in error; (6) moneys to be used to prevent, abate, restore, mitigate or control any identifiable instance of prior or ongoing water, land or air pollution; and/or (7) state moneys received as part of any statewide opioid settlement agreements as defined in section 25.18 of the mental hygiene law, to be spent on eligible expenditures as defined in section 25.18 of the mental hygiene law.
(c) Where an agreed judgment, stipulation, decree, agreement to settle, assurance of discontinuance or other legal instrument resolves (1) any claim or any cause of action asserted by a state agency or a state official or employee acting in their official capacity and (2) any claim or cause of action asserted by one or more foreign jurisdictions or third parties, paragraph (a) of this subdivision shall only apply to the resolution of the claim or cause of action asserted by the state agency, official, or employee.
§ 63-a. Action by attorney-general for forfeiture of public office. The attorney-general may maintain an action, upon his own information or upon the complaint of a private person, against a public officer, civil or military, who has done or suffered an act which by law works a forfeiture of his office.
§ 63-b. Action by attorney-general against usurper of office or franchise. 1. The attorney-general may maintain an action, upon his own information or upon the complaint of a private person, against a person who usurps, intrudes into, or unlawfully holds or exercises within the state a franchise or a public office, civil or military, or an office in a domestic corporation. The attorney-general may set forth in the complaint, in his discretion, the name of the person rightfully entitled to the office and facts showing his right thereto. Judgment may be rendered upon the right of the defendant and of the party so alleged to be entitled, or only upon the right of the defendant, as justice requires. Where two or more persons claim to be entitled to the same office or franchise, the attorney-general may bring the action against all to determine their respective rights thereto.
2. If the complaint sets forth the name of the person rightfully entitled to the office and the facts showing his right thereto, a provisional order to arrest the defendant may be granted by the court if the defendant by means of his usurpation or intrusion has received any fees or emoluments belonging to the office.
3. Where a defendant is adjudged to be guilty of usurping or intruding into or unlawfully holding or exercising an office, franchise or privilege, final judgment shall be rendered, ousting and excluding him therefrom, and in favor of the state or the relator, as the case requires, for the costs of the action. As a part of the final judgment in an action for usurping or intruding into or unlawfully holding or exercising an office, franchise or privilege, the court, in its discretion, also may award that the defendant, or, where there are two or more defendants, that one or more of them, pay to the state a fine not exceeding two thousand dollars. The judgment for the fine may be docketed and execution may be issued thereupon in favor of the state, as if it had been rendered in an action to recover the fine.
4. Where final judgment has been rendered upon the right and in favor of the person alleged in the complaint to be entitled to an office, he may recover, by action against the defendant, the damages which he has sustained in consequence of the defendant's usurpation, intrusion into, unlawful holding or exercise of the office.
§ 63-c. Action by the people for illegal receipt or disposition of public funds or other property. 1. Where any money, funds, credits, or other property, held or owned by the state, or held or owned officially or otherwise for or in behalf of a governmental or other public interest, by a domestic, municipal, or other public corporation, or by a board, officer, custodian, agency, or agent of the state, or of a city, county, town, village or other division, subdivision, department, or portion of the state, has heretofore been, or is hereafter, without right obtained, received, converted, or disposed of, an action to recover the same, or to recover damages or other compensation for so obtaining, receiving, paying, converting, or disposing of the same, or both, may be maintained by the state in any court of the state, or before any court or tribunal of the United States, or of any other state, or of any territory of the United States, or of any foreign country, having jurisdiction thereof, although a right of action for the same cause exists by law in some other public authority, and whether an action therefor in favor of the latter is or is not pending when the action in favor of the state is commenced. The attorney-general shall commence an action, suit or other judicial proceeding, as prescribed in this section, whenever he deems it for the interests of the state so to do; or whenever he is so directed, in writing, by the governor.
2. Upon the commencement by the state of any action, suit or other judicial proceeding, as prescribed in this section, the entire cause of action, including the title to the money, funds, credits, or other property, with respect to which the suit or action is brought, and to the damages or other compensation recoverable for the obtaining, receipt, payment, conversion or disposition thereof, if not previously so vested, is transferred to and becomes absolutely vested in the state.
3. Any court of the state in which an action is brought by the state, as prescribed in this section, may direct, by the final judgment therein, or by a subsequent order, that any money, funds, damages, credits, or other property, recovered by or awarded to the plaintiff therein, which, if that action had not been brought, would not have vested in the state, be disposed of, as justice requires, in such a manner as to reinstate the lawful custody thereof, or to apply the same or the proceeds thereof to the objects and purposes for which they were authorized to be raised or procured; after paying into the state treasury out of the proceeds of the recovery all expenses incurred by the state in the action.
4. Any corporation, board, officer, custodian, agency, or agent, in behalf of any city, county, town, village, or other division, subdivision, department, or portion of the state, which was not a party to an action, brought as prescribed in this section, and which claims to be entitled to the custody or disposition of any of the money, funds, damages, credits, or other property, recovered by, or awarded to the plaintiff, by the final judgment in the action, or any of the proceeds thereof, and not disposed of as prescribed in subdivision three, may bring a special proceeding against the attorney-general at any time after the actual collection of the money and its payment into the state treasury, or the actual receipt of the property by the state, in the supreme court, county of Albany, seeking disposition of the money or other property.
5. Notwithstanding any other law to the contrary, including without limitation; section sixty-four of this article; the education law; the retirement and social security law and the administrative code of the city of New York, the portion of all money received by the attorney general in connection with the settlement of an action arising out of the management, operation, investments of or otherwise in connection with a retirement or other fund established pursuant to the education law, the retirement and social security law or the administrative code of the city of New York attributable to the harm suffered by such fund shall be deposited into such fund.
§ 63-d. Attorney-general; death penalty prosecutions. 1. The attorney-general shall, whenever required by the governor or his designee after a request of the governor by a district attorney, direct that the resources and personnel of the department of law be used to provide assistance relating to the prosecution or appeal of any case where the defendant may be subject to the penalty of death. Such assistance shall include the use of any department resource or services, which the attorney-general deems proper, and may be performed or provided by the attorney-general or any employee of the department of law. Assistance pursuant to this section may only be provided with respect to proceedings where:
(i) the defendant is represented by counsel appointed pursuant to the provisions of section thirty-five-b of the judiciary law or the defendant is receiving expert, investigative or other services pursuant to such section, or
(ii) the defendant, through counsel retained privately by the defendant through his or her own means or through the means of a person other than the defendant, or through representation by pro bono counsel, is able to marshal substantially greater legal and investigatory resources than those reasonably available to the district attorney.
2. A request of the governor made by a district attorney for assistance in a death penalty case shall be accompanied by a certificate of need stating that as a result of cases where the defendant may be subject to the penalty of death additional resources or personnel are needed to supplement the district attorney's staff and available resources in order to fulfill such district attorney's responsibilities.
§ 64. Costs recovered. Costs recovered by the attorney-general may be applied by him in payment of the expenses incurred by him in the action or proceeding in which they are received, or of any expenditure which he is authorized to incur not otherwise provided for. He shall, at the close of each fiscal year, render to the comptroller an account of such costs received, with vouchers of such expenditures. During the fiscal year, the comptroller is authorized to transfer any amount available within the account dedicated for this purpose to the general fund, upon the request of the director of the budget. In the event insufficient cash remains in such account to meet expenditures against available appropriations from such account, the comptroller is authorized to transfer the amounts necessary to meet such expenditures from the general fund; provided however that in no event shall the cumulative value of any such transfers from the general fund made to such account within a single fiscal year exceed ten percent of the value of the appropriations made in such fiscal year from such account or the cumulative balance of transfers from the account to the general fund. The comptroller shall establish such accounts and records as are necessary to provide an accurate accounting and reporting of the transfers to or from the general fund.
§ 65. Register. The attorney-general shall keep a register of all actions and proceedings prosecuted or defended by him, and of all proceedings in relation thereto, and shall deliver the same to his successor.
§ 66. Destruction of certain records, books and other data by the attorney-general. In any action or proceeding or by other process of law, in which a money judgment or award shall have been procured in favor of the people of the state of New York, any department of the state of New York, or duly constituted division, bureau or board thereof, and which judgment or award has been duly paid and satisfied, the department of law, with the consent of the commissioner of education as provided by section one hundred forty-seven of the education law, may after the expiration of six years from the time of payment of said judgment or award destroy all statistics, documents and papers filed with or used by the department of law in procuring said judgment or award.
§ 67. Additional counsel. The governor or attorney-general may designate and employ such additional attorneys or counsel as may be necessary to assist in the transaction of any of the legal business mentioned in section sixty-three of this chapter and such attorneys or counsel shall be paid a reasonable fee upon the certificate of the governor and attorney-general, the amount thereof to be audited and allowed by them or to be paid by the attorney-general out of costs, penalties and judgments collected by him, prior to the payment thereof into the state treasury as required by section one hundred twenty-one of the state finance law.
§ 70. Deputy attorney-general to act as special district attorney.
Whenever the governor shall advise the attorney-general that he has reason to doubt whether in any county the law relating to crimes against the elective franchise is properly enforced, the attorney-general shall require from the district attorney of such county, and it shall be the duty of such district attorney forthwith to make to the attorney-general a report of all prosecutions and complaints within his county during the year then last past for offenses under the election law and of the action had thereon.
The attorney-general shall assign one or more of his deputies to take charge of prosecutions under the election law. Such deputy shall represent the people of this state in all such prosecutions before all magistrates and in all courts and before any grand jury having cognizance thereof. The deputies so assigned shall be appointed pursuant to section sixty-two of this chapter. They may be especially appointed thereunder for the purpose of such assignment and for the performance of the duties herein described.
Whenever the attorney-general shall advise the governor that there is occasion for an extraordinary term in any such county to inquire into and try cases arising under article sixteen of the election law, the governor may appoint an extraordinary term of the supreme court to be constituted and held for the trial of criminal cases in such county, pursuant to section one hundred forty-nine of the judiciary law. Grand and petit juries shall be drawn and summoned for said term in the manner provided by law, and such cases shall be brought before such inquest and court as the attorney-general shall direct. All the provisions of sections sixty-three and sixty-seven of this chapter shall apply to such extraordinary term.
It shall be the duty of the district attorney of the county, and of the assistants, clerks and employees in his office, and of all police authorities, officers and men within any such county, to render to the attorney-general and his deputy whenever requested, all aid and assistance within their power in such prosecutions and in the conduct of such cases. The jurisdiction conferred upon the attorney-general herein to prosecute crimes, is concurrent in each county with that of the district attorney; but whichever of such officers shall first assume jurisdiction of a particular offense shall have exclusive jurisdiction to prosecute for the same unless or until the governor shall, by written order filed with both such officers, give such jurisdiction to the other.
§ 70-a. Statewide organized crime task force. 1. There shall be established within the department of law a statewide organized crime task force which, pursuant to the provisions of this section, shall have the duty and power:
(a) To conduct investigations and prosecutions of organized crime activities carried on either between two or more counties of this state or between this state and another jurisdiction;
(b) To cooperate with and assist district attorneys and other local law enforcement officials in their efforts against organized crime.
2. Notwithstanding any other provision of law, the governor and the attorney general may, and without civil service examination, jointly appoint and employ, fix his compensation, and at pleasure remove, a deputy attorney general in charge of the organized crime task force. The attorney general may, and without civil service examination, appoint and employ, and at pleasure remove, such assistant deputies, accountants and other persons as he deems necessary, determine their duties and, with the approval of the governor, fix their compensation. The payments of salaries and compensation of such officers and employees shall be in the same manner as is prescribed in subdivision eight of section sixty-three of this chapter.
3. The deputy attorney general in charge of the organized crime task force may request and shall receive from the division of state police, the state department of taxation and finance, the state department of labor, the temporary state commission of investigation, and from every department, division, board, bureau, commission or other agency of the state, or of any political subdivision thereof, cooperation and assistance in the performance of his duties. Such deputy attorney general may provide technical and other assistance to any district attorney or other local law enforcement official requesting such assistance in the investigation or prosecution of organized crime cases.
4. The deputy attorney general in charge of the organized crime task force is empowered to conduct hearings at any place within the state, to administer oaths or affirmations, subpoena witnesses, compel their attendance, examine them under oath or affirmation, and require the production of any books, records, documents or other evidence he may deem relevant or material to an investigation. He is empowered to apply for search warrants pursuant to article six hundred ninety of the criminal procedure law, and, except in exigent circumstances, shall give prior notice of the application to the district attorney of the county in which such a warrant is to be executed, and in such circumstances, shall give such notice as soon thereafter as practicable; provided, however, that the failure to give notice of a search warrant application to a district attorney shall not be a ground to suppress the evidence seized in executing the warrant. He may designate an assistant to exercise any such powers. Every witness attending before such deputy attorney general or his assistant shall be examined privately and the particulars of such examination shall not be made public. If a person subpoenaed to attend upon such inquiry fails to obey the command of a subpoena without reasonable cause, or if a person in attendance upon such inquiry shall, without reasonable cause, refuse to be sworn or to be examined or to answer a question or to produce a book or paper, when ordered so to do by the officer conducting such inquiry, he shall be guilty of a class A misdemeanor.
5. Upon the application of the deputy attorney general in charge of the organized crime task force, the supreme court or a justice thereof may impound any exhibit marked in evidence in any hearing held in connection with an investigation conducted by such deputy attorney general, and may order such exhibit to be retained by, or delivered to and placed in the custody of, such deputy. When so impounded, such exhibit shall not be taken from the custody of such deputy except upon further order of the court or a justice thereof made upon five days notice to such deputy, or upon his application or with his consent.
6. In any hearing held in connection with an investigation conducted by the deputy attorney general in charge of the organized crime task force, the attorney general may confer immunity in accordance with the provisions of section 50.20 of the criminal procedure law, but only after affording the appropriate district attorney the opportunity to be heard in respect to any objections which he may have to the granting of such immunity.
7. With the approval of the governor and with the approval or upon the request of the appropriate district attorney, the deputy attorney general in charge of the organized crime task force, or one of his assistants, may attend in person any term of the county court or supreme court having appropriate jurisdiction, including an extraordinary special or trial term of the supreme court when one is appointed pursuant to section one hundred forty-nine of the judiciary law, or appear before the grand jury thereof, for the purpose of managing and conducting in such court or before such jury a criminal action or proceeding concerned with an offense where any conduct constituting or requisite to the completion of or in any other manner related to such offense occurred either in two or more counties of this state, or both within and outside this state. In such case, such deputy attorney general or his assistant so attending shall exercise all the powers and perform all the duties in respect of such actions or proceedings, which the district attorney would otherwise be authorized or required to exercise or perform. In any of such actions or proceedings the district attorney shall only exercise such powers and perform such duties as are required of him by such deputy attorney general.
§ 70-b. Office of special investigation. 1. There shall be established within the office of the attorney general an office of special investigation. Notwithstanding any other provision of law, the office of special investigation shall investigate and, if warranted, prosecute any alleged criminal offense or offenses committed by a person, whether or not formally on duty, who is a police officer, as defined in subdivision thirty-four of section 1.20 of the criminal procedure law, or a peace officer as defined in section 2.10 of the criminal procedure law, provided that such peace officer is employed or contracted by an education, public health, social service, parks, housing or corrections agency, or is a peace officer as defined in subdivision twenty-five of section 2.10 of the criminal procedure law, concerning any incident in which the death of a person, whether in custody or not, is caused by an act or omission of such police officer or peace officer or in which the attorney general determines there is a question as to whether the death was in fact caused by an act or omission of such police officer or peace officer.
2. The attorney general has investigative authority and criminal jurisdiction under this section at the time of the death of the person and the attorney general retains investigative authority and criminal jurisdiction over the incident unless the attorney general determines that such incident does not meet the requirements of this section. If the attorney general determines the incident does not meet the requirements for the attorney general to have investigative authority and criminal jurisdiction pursuant to this section, the attorney general shall, as soon as practicable, provide written notice of such determination to the district attorney for the county in which the incident occurred.
3. In connection with any particular incident encompassed by this section, the attorney general shall conduct a full, reasoned and independent investigation, including but not limited to: (a) gathering and analyzing evidence; (b) conducting witness interviews; (c) reviewing and commissioning any necessary investigative and scientific reports; and (d) reviewing audio and video-recordings. The attorney general shall be empowered to subpoena witnesses, compel their attendance, examine them under oath before himself or herself or a magistrate and require that any books, records, documents or papers relevant or material to the inquiry be turned over to him or her for inspection, examination or audit, pursuant to the civil practice law and rules, in connection with such incident.
4. The attorney general shall have criminal jurisdiction over any criminal conduct arising from any incident herein, and shall exercise all of the powers and perform all of the duties with respect to such actions or proceedings that a district attorney would otherwise be authorized or required to exercise or perform, including all the powers necessary to prosecute acts and omissions and alleged acts and omissions to obstruct, hinder or interfere with any inquiry, prosecution, trial or judgment arising from the incident. The criminal jurisdiction of the office of special investigation shall displace and supersede the jurisdiction of the district attorney where the incident occurred; and such district attorney shall only have the powers and duties reserved to him or her in writing by the attorney general.
5. The attorney general shall designate a deputy attorney general for special investigation to exercise the powers and duties of the office of special investigation, who shall be in the exempt class of the civil service. The deputy attorney general may designate deputies or assistants, who shall be in the exempt class of the civil service, as necessary and appropriate. The other employees of the office of special investigation within the department of law, who are not otherwise exempt, shall all be in the competitive class of the civil service and shall be considered for purposes of article fourteen of the civil service law to be public employees in the civil service of the state, and shall be assigned to the appropriate collective bargaining unit. Employees serving in positions in newly created titles shall be assigned to the same collective bargaining units as they would have been assigned to were such titles created prior to the establishment of the office of special investigation within the department of law by this chapter. The deputy attorney general for special investigation may appear and conduct proceedings in person or by his or her deputy or assistant before any court or grand jury in connection with proceedings under this section.
6. (a) For any incident under this section, the office of special investigation shall issue a public report and post the report on its website whenever the office of special investigation initiates an investigation and (i) the office of special investigation declines to present evidence to a grand jury or (ii) the office of special investigation does present evidence to a grand jury but the grand jury declines to return indictment on any charges. The report will include, to the extent possible and lawful, the results of the investigation of the incident.
(b) The report shall also include: (i) with respect to subparagraph (i) of paragraph (a) of this subdivision, an explanation as to why the office of special investigation declined to present evidence to a grand jury; and (ii) any recommendations for systemic or other reforms arising from the investigation.
7. Six months after this subdivision takes effect, and annually on such date thereafter, the office of special investigation shall issue a report, which shall be made available to the public and posted on the website of the department of law, which shall provide information on the matters investigated by such office during such reporting period. The information presented shall include, but not be limited to: the county and geographic location of each matter investigated; a description of the circumstances of each case; racial, ethnic, age, gender and other demographic information concerning the persons involved or alleged to be involved; information concerning whether a criminal charge or charges were filed against any person involved or alleged to be involved in such matter; the nature of such charges; and the status or, where applicable, outcome with respect to all such criminal charges. Such report shall also include recommendations for any systemic or other reforms recommended as a result of such investigations.
§ 70-c. Task force on social media and violent extremism. 1. Establishment and organization. (a) There is hereby established a task force on social media and violent extremism within the department of law.
(b) The attorney general may appoint or assign a deputy attorney general and/or one or more assistants to serve on the task force.
(c) The mission of the task force on social media and violent extremism shall be to study, investigate, and make recommendations relating to the use, operations, policies, programs, and practices of online social media companies and any role they may have in promoting, facilitating, and providing platforms for individuals and groups to plan and promote acts of violence, including but not limited to, the use of such platforms to: initiate threats against public safety or against a specific group of individuals based on an actual or perceived classification or characteristic; communicate or plan for criminal activity, including but not limited to, hate crimes, acts of domestic terrorism, or acts of domestic terrorism motivated by hate; spread extremist content; and aid in the radicalization and mobilization of extremist individuals or groups.
2. Functions and duties. Subject to appropriations made available therefor, the task force shall have the following duties and responsibilities:
(a) to receive and investigate complaints from any source, or upon its own initiative, allegations involving the use and role of social media platforms in broadcasting, streaming, promoting, or otherwise facilitating acts of violence as described in paragraph (c) of subdivision one of this section;
(b) to determine, with respect to such allegations, whether social media companies may be civilly or criminally liable for their role in promoting, facilitating, or providing a platform for individuals and groups to plan and promote acts of violence as described in paragraph (c) of subdivision one of this section, or whether further investigation by the department of law is warranted or whether a referral to an appropriate federal, state or local law enforcement agency is necessary, and to assist in such investigations, if requested by a federal, state, or local law enforcement agency;
(c) to prepare and make public reports regarding the work of the task force, provided, however that such reports shall not include confidential or other protected information or any information that pertains to or may interfere with ongoing or future investigations;
(d) to review and examine periodically the use, operations, policies, programs, and practices of social media companies and any role they may have in promoting, facilitating, and providing platforms for individuals and groups to plan and promote acts of violence as described in paragraph (c) of subdivision one of this section;
(e) to cooperate with and assist the division of homeland security and emergency services or any other state or local agency as may be appropriate in their efforts to counter acts of violence as described in paragraph (c) of subdivision one of this section;
(f) to review the final report of the domestic terrorism task force established pursuant to section six of part R of chapter fifty-five of the laws of two thousand twenty, setting forth the findings, conclusions, recommendations, and activities of the task force, to examine and evaluate how to prevent mass shootings by domestic terrorists in New York state in furtherance of the goals of the task force on social media and violent extremism;
(g) to recommend remedial action to prevent the use of social media platforms by individuals and groups to plan and promote acts of violence as described in paragraph (c) of subdivision one of this section;
(h) on an annual basis, to submit to the governor, the temporary president of the senate, the speaker of the assembly, the minority leader of the senate and the minority leader of the assembly, no later than December thirty-first, a report summarizing the activities of the task force and recommending specific changes to state law to further the mission of the task force on social media and violent extremism; and
(i) to perform any other functions and duties that are necessary or appropriate to fulfill the duties and responsibilities of the task force.
3. Powers. In executing its duties under subdivision two of this section, the task force shall have the power to:
(a) subpoena and enforce the attendance of witnesses;
(b) administer oaths or affirmations and examine witnesses under oath;
(c) request and receive from the division of homeland security and emergency services, the division of state police, the division of criminal justice services, and from every department, division, board, bureau, commission or other agency of the state, or of any political subdivision thereof, cooperation and assistance in the performance of its duties;
(d) provide technical and other assistance to any district attorney or other local law enforcement official requesting such assistance in the investigation or prosecution of cases involving the role of social media platforms in broadcasting, streaming, promoting, or otherwise facilitating acts of violence as described in paragraph (c) of subdivision one of this section; and
(e) conduct hearings at any place within the state and require the production of any books, records, documents or other evidence he or she may deem relevant or material to an investigation.
§ 71. Attorney-general authorized to appear in cases involving the constitutionality of an act of the legislature, or a rule or regulation adopted pursuant thereto. 1. Whenever the constitutionality of a statute, or a rule or regulation adopted pursuant thereto is brought into question upon the trial, hearing or appeal of any action or proceeding, civil or criminal, in any court of record of original or appellate jurisdiction, and proof of the notice of such constitutional challenge, as required by paragraph one of subdivision (b) of section one thousand twelve of the civil practice law and rules, has not been filed, the court or justice before whom such action or proceeding is pending, shall make an order, directing the party desiring to raise such question, to serve notice thereof on the attorney-general, and providing that the attorney-general be permitted to appear at any such trial or hearing in support of the constitutionality of such statute, or rule or regulation adopted pursuant thereto. The court or justice before whom any such action or proceeding is pending may also make such order upon the application of any party thereto, and the court shall make such order in any such action or proceeding upon motion of the attorney-general. When such order has been made in any manner mentioned in this section and notice pursuant to such order has been given, the attorney-general shall be permitted to appear in such action or proceeding in support of the constitutionality of such statute, or a rule or regulation adopted pursuant thereto.
2. In the event the constitutionality of a statute, or rule or regulation adopted pursuant thereto is brought into question and the party questioning such constitutionality, or any other party to the action or proceeding serves the attorney-general pursuant to paragraph one of subdivision (b) of section one thousand twelve of the civil practice law and rules, proof of such service upon the attorney-general shall be accepted by the court in satisfaction of the provisions of subdivision one of this section.
3. The court having jurisdiction in an action or proceeding in which the constitutionality of a statute, rule or regulation is challenged, shall not consider any challenge to the constitutionality of such statute, rule or regulation unless proof of service of the notice required by this section or required by subdivision (b) of section one thousand twelve of the civil practice law and rules is filed with such court.
§ 72. When costs payable to relator. Where security is given by relator in an action brought by the attorney-general on the relation or information of a person having an interest, all costs and disbursements taxed in favor of the plaintiff shall be payable to the relator.
§ 73. Power to administer oaths and take acknowledgments. The attorney-general of the state of New York and all deputies and assistants appointed by him pursuant to section sixty-two of the executive law, who have duly qualified, shall have the power, while acting as such, to administer oaths and take affidavits and acknowledgments and proofs of written instruments to be read in evidence, anywhere within the state of New York, except such instruments as now are required by law to be recorded to create constructive notice thereof.
§ 74. Welfare inspector general. 1. Definitions. For the purposes of this section, the following definitions shall apply:
a. "Inspector" means the welfare inspector general created by this section.
b. "Investigation" means, investigations of fraud, abuse, or illegal acts perpetrated within the department of social services or local social services districts, or by contractees or recipients of public assistance services as provided by the department of social services.
c. "Office" means the office of the welfare inspector general created by this section.
2. a. There is hereby created in the department of law within the office of the deputy attorney general for medicaid fraud control an office of welfare inspector general. The head of the office shall be the welfare inspector general, who shall be appointed by the governor, by and with the advice and consent of the senate.
b. The inspector shall serve for a term of five years unless removed by the governor for neglect or malfeasance in office, and may also be removed for neglect or malfeasance by the senate upon a vote of two-thirds of its members. An inspector removed from office may not be reappointed to such office.
c. The inspector may not be employed with the department of social services during his employment with the office or within two years after terminating employment with the office.
3. Functions, duties and responsibilities. The inspector shall have the following functions, duties and responsibilities:
a. to appoint such deputies, directors, assistants and other officers and employees as may be needed for the performance of his duties and may prescribe their powers and fix their compensation within the amounts appropriated therefor;
b. to conduct and supervise investigations relating to the programs of the department of social services and, to the greatest extent possible, to coordinate such activities with the deputy attorney general for medicaid fraud control, the commissioner of social services, the commissioner of health, the commissioner of education, the fiscal agent employed to operate the medicaid management information system, and the state comptroller;
c. to keep the governor, attorney general, state comptroller, president pro tem and minority leader of the senate, the speaker and the minority and majority leaders of the assembly, apprised of fraud and abuse;
d. to prosecute fraud, abuse or illegal acts perpetrated within the department of social services or local social services districts, or by contractees or recipients of public assistance services;
e. to make information and evidence relating to criminal acts which he may obtain in carrying out his duties available to appropriate law enforcement officials and to consult with the deputy attorney general for medicaid fraud control and local district attorneys to coordinate investigations and criminal prosecutions;
f. to subpoena witnesses, administer oaths or affirmations, take testimony and compel the production of such books, papers, records and documents as he may deem to be relevant to an investigation undertaken pursuant to this section;
g. to monitor the implementation by the relevant office of his recommendations and those of other investigative agencies;
h. to recommend policies relating to the prevention and detection of fraud and abuse or the identification and prosecution of participants in such fraud or abuse; and
i. to receive complaints of alleged failures of state and local officials to prevent, detect and prosecute fraud and abuse.
4. Cooperation of agency officials and employees. a. In addition to the authority otherwise provided by this section, the inspector, in carrying out the provisions of this section, is authorized:
(i) to have full and unrestricted access to all records, reports, audits, reviews, documents, papers, recommendations or other material available to the department of social services and local social services districts relating to programs and operations with respect to which the inspector has responsibilities under this section;
(ii) to make such investigations relating to the administration of the programs and operations of the department of social services as are, in the judgment of the inspector, necessary or desirable; and
(iii) to request such information, assistance and cooperation from any federal, state or local governmental department, board, bureau, commission, or other agency or unit thereof as may be necessary for carrying out the duties and responsibilities enjoined upon him by this section. State and local agencies or units thereof are hereby authorized and directed to provide such information, assistance and cooperation.
b. Notwithstanding any other provision of law, rule or regulation to the contrary, no person shall prevent, seek to prevent, interfere with, obstruct or otherwise hinder any investigation being conducted pursuant to this section. Section one hundred thirty-six of the social services law shall in no way be construed to restrict any person or governmental body from cooperating and assisting the inspector or his employees in carrying out their duties under this section. Any violation of this paragraph shall constitute cause for suspension or removal from office or employment.
5. Establishment period. The governor shall nominate the initial inspector as soon as is practicable but in no event later than sixty days after the effective date of this section.
6. Reports required of the inspector. The inspector shall, no later than February first of each year submit to the governor, the state comptroller, the attorney general and the legislature a report summarizing the activities of the office during the preceding calendar year.
7. Disclosure of information. a. The inspector shall not publicly disclose information which is:
(i) a part of any ongoing investigation; or
(ii) specifically prohibited from disclosure by any other provision of law.
b. Notwithstanding paragraph a of this subdivision, any report under this section may be disclosed to the public in a form which includes information with respect to a part of an ongoing criminal investigation if such information has been included in a public record.
§ 75. Law enforcement misconduct investigative office. 1. Jurisdiction. This section shall, subject to the limitations contained in this section, confer upon the law enforcement misconduct investigative office jurisdiction over all covered agencies. For the purposes of this section "covered agency" means an agency of any political subdivision within the state maintaining a police force or police forces of individuals defined as police officers in section 1.20 of the criminal procedure law, provided however, covered agency does not include any agency, public authority, or other entity under the jurisdiction of the state inspector general pursuant to article four-A of the executive law, the metropolitan transportation authority inspector general pursuant to section one thousand two hundred seventy-nine of the public authorities law, or the port authority inspector general pursuant to chapter one hundred fifty-four of the laws of nineteen twenty-one.
2. Establishment and organization. (a) There is hereby established the law enforcement misconduct investigative office in the department of law. The head of the office shall be a deputy attorney general who shall be appointed by the attorney general.
(b) Such deputy attorney general may appoint one or more assistants to serve at his or her pleasure.
(c) The salary for the head of such office shall be established within the limit of funds available therefore; provided, however, such salary shall be no less than the salaries of certain state officers holding the positions indicated in paragraph (a) of subdivision one of section one hundred sixty-nine of this chapter.
(d) The mission of the law enforcement misconduct investigative office shall be to review, study, audit and make recommendations relating to the operations, policies, programs and practices, including ongoing partnerships with other law enforcement agencies, of state and local law enforcement agencies with the goal of enhancing the effectiveness of law enforcement, increasing public safety, protecting civil liberties and civil rights, ensuring compliance with constitutional protections and local, state and federal laws, and increasing the public's confidence in law enforcement.
3. Functions and duties. The deputy attorney general shall have the following duties and responsibilities:
(a) receive and investigate complaints from any source, or upon his or her own initiative, concerning allegations of corruption, fraud, use of excessive force, criminal activity, conflicts of interest or abuse in any covered agency;
(b) inform the heads of covered agencies of such allegations and the progress of investigations related thereto, unless special circumstances require confidentiality;
(b-1) promptly inform the division of criminal justice services, in the form and manner prescribed by the division, of such allegations and the progress of investigations related thereto unless special circumstances require confidentiality. Nothing in this paragraph shall require the division of criminal justice services to participate in the investigation of such allegations or take action or prevent the division of criminal justice services from taking action authorized pursuant to subdivision three of section eight hundred forty-five of this chapter in the time and manner determined by the commissioner of the division of criminal justice services;
(c) determine with respect to such allegations whether disciplinary action, civil or criminal prosecution, or further investigation by an appropriate federal, state or local agency is warranted, and to assist in such investigations, if requested by such federal, state, or local agency;
(d) prepare and release to the public written reports of investigations, as appropriate and to the extent permitted by law, subject to redaction to protect the confidentiality of witnesses and other information that would be exempt from disclosure under article six of the public officers law. The release of all or portions of such reports may be temporarily deferred to protect the confidentiality of ongoing investigations;
(e) review and examine periodically the policies and procedures of covered agencies with regard to the prevention and detection of corruption, fraud, use of excessive force, criminal activity, conflicts of interest and abuse;
(f) recommend remedial action to prevent or eliminate corruption, fraud, use of excessive force, criminal activity, conflicts of interest and abuse in covered agencies; and
(g) investigate patterns, practices, systemic issues, or trends identified by analyzing actions, claims, complaints, and investigations, including, but not limited to, any patterns or trends regarding departments, precincts, and commands; and
(h) on an annual basis, submit to the governor, the attorney general, the temporary president of the senate, the speaker of the assembly, the minority leader of the senate and the minority leader of the assembly, no later than December thirty-first, a report summarizing the activities of the office and recommending specific changes to state law to further the mission of the law enforcement misconduct investigative office.
4. Powers. The deputy attorney general shall have the power to:
(a) subpoena and enforce the attendance of witnesses;
(b) administer oaths or affirmations and examine witnesses under oath;
(c) require the production of any books and papers deemed relevant or material to any investigation, examination or review;
(d) notwithstanding any law to the contrary, examine and copy or remove documents or records of any kind prepared, maintained or held by any covered agency;
(e) require any officer or employee in a covered agency to answer questions concerning any matter related to the performance of his or her official duties. No statement or other evidence derived therefrom may be used against such officer or employee in any subsequent criminal prosecution other than for perjury or contempt arising from such testimony. The refusal of any officer or employee to answer questions shall be cause for removal from office or employment or other appropriate penalty;
(f) monitor the implementation by covered agencies of any recommendations made by the law enforcement misconduct investigative office; and
(g) perform any other functions that are necessary or appropriate to fulfill the duties and responsibilities of office.
5. Responsibilities of covered agencies, officers and employees. (a) Every officer or employee in a covered agency shall report promptly to the law enforcement misconduct investigative office any information concerning corruption, fraud, use of excessive force, criminal activity, conflicts of interest or abuse by another officer or employee relating to his or her office or employment, or by a person having business dealings with a covered agency relating to those dealings. The knowing failure of any officer or employee to so report shall be cause for removal from office or employment or other appropriate penalty. Any officer or employee who acts pursuant to this subdivision by reporting to the law enforcement misconduct investigative office shall not be subject to dismissal, discipline or other adverse personnel action.
(b) Upon receiving at least five complaints from five or more individuals relating to at least five separate incidents involving a certain officer or employee within two years, the head of any covered agency shall refer such complaints to the law enforcement misconduct investigative office for review. The law enforcement misconduct investigative office shall investigate such complaints to determine whether the subject officer or employee has engaged in a pattern or practice of misconduct, use of excessive force, or acts of dishonesty. The referral and investigation pursuant to this subdivision shall be in addition to and shall not supersede any civil, criminal, administrative or other action or proceeding relating to such complaints or the subject officer or employee.
(c) The head of any covered agency shall advise the governor, the temporary president of the senate, the speaker of the assembly, the minority leader of the senate, the minority leader of the assembly and the division of criminal justice services within ninety days of the issuance of a report by the law enforcement misconduct investigative office as to the remedial action that the agency has taken in response to any recommendation for such action contained in such report.
(d) Nothing in this section shall be construed to impede, infringe, or diminish the rights, privileges, benefits or remedies that accrue to any employee pursuant to any agreement entered into pursuant to article fourteen of the civil service law.
ARTICLE 6 DEPARTMENT OF STATE
Section 90. Department of state; secretary of state.
91. Rules.
92. Deputies.
93. Custody of records.
93-a. Examination of reports.
94. Commission on ethics and lobbying in government.
94-a. Consumer protection division.
94-b. Office for new Americans.
94-c. Major renewable energy development program.
95. Legislative manual.
96. Fees and refunds.
96-a. Fees for services rendered pursuant to the uniform commercial code.
97. Completing unfinished papers.
97-a. Affirmation in lieu of oath.
98. Copies of amendments to rules for admission of attorneys.
99. Central state registry of security guards.
100. Central state registry of armored car guards.
101. Accessibility, rules and regulations.
101-a. Legislative notification of the proposed adoption, amendment, suspension or repeal of agency rules.
101-b. Application by municipal corporations for the suspension of certain rules.
102. Filing and publication of codes, rules and regulations.
103. Future editions and supplements of official compilations.
104. Departmental cooperation.
104-a. Departmental cooperation regarding water quality.
105. Changes in codes, rules or regulations.
106. Proof of codes, rules and regulations.
106-a. Internet access to the New York code, rules and regulations.
107. Intergovernmental agreements.
108. Address confidentiality program.
109. Registration of certain service providers.
130. Appointment of notaries public.
131. Procedure of appointment; fees and commissions; fee payment methods.
132. Certificates of official character of notaries public.
133. Certification of notarial signatures.
134. Signature and seal of county clerk.
135. Powers and duties; in general; of notaries public who are attorneys at law.
135-a. Notary public or commissioner of deeds; acting without appointment; fraud in office.
135-b. Advertising by notaries public.
135-c. Electronic notarization.
136. Notarial fees.
137. Statement as to authority of notaries public.
138. Powers of notaries public or other officers who are stockholders, directors, officers or employees of a corporation.
139. Commissioners of deeds within the state.
140. Commissioners of deeds in the city of New York.
141. Commissioners of deeds in other states, territories and foreign countries.
142. Powers of such commissioners.
142-a. Validity of act of notaries public and commissioners of deeds notwithstanding certain defects.
143. Fees of such commissioners.
144. Saving clause.
144-a. Eligible professions for the purchase, sale, and use of body armor.
§ 90. Department of state; secretary of state. There shall be in the state government a department of state. The head of the department shall be the secretary of state who shall be appointed by the governor by and with the advice and consent of the senate and hold office until the end of the term of the governor by whom he was appointed and until his successor is appointed and has qualified. The secretary of state shall receive an annual salary within the amount appropriated therefor and his reasonable expenses when necessarily absent on public business pertaining to the duties of his office.
In addition to those divisions created and continued within the Department of State by other statutes, the secretary of state may establish such other divisions and bureaus in the department of state as he may deem necessary. He may prescribe the duties and powers of such divisions and bureaus which shall be exercised and performed under his supervision.
§ 91. Rules. Subject to and in conformity with the provisions of the constitution and laws of the state, the secretary of state may adopt and promulgate such rules which shall regulate and control the exercise of the powers of the department of state and the performance of the duties of officers, agents and other employees thereof.
§ 92. Deputies. The secretary of state shall appoint a deputy, who may perform all the duties of the secretary of state. Any such deputy shall receive an annual salary to be fixed by the secretary of state within the amount appropriated therefor. The secretary of state may also appoint and fix the compensation of such other deputies, assistants and employees as he shall deem necessary within the amount appropriated therefor and prescribe their powers and duties.
§ 93. Custody of records. 1. The secretary of state shall have the custody of all laws and concurrent resolutions of the legislature, all documents issued under the great seal, all books, records, deeds, parchments, maps and papers deposited or kept in his or her office, and shall properly arrange and preserve them.
2. The records in the custody of the secretary of state need not be retained in the form in which the record is received so long as the technology used to retain such record results in a permanent record which may be accurately reproduced during the period for which the record is required to be retained. The secretary of state may promulgate rules and regulations relating to the use by the department of state of automatic data processing, telecommunications and other information technologies for the processing of records for retention by the department of state.
§ 93-a. Examination of reports. The secretary of state shall examine all reports required to be filed with the department of state pursuant to article seven-A of this chapter in order to determine the nature and extent of the in-kind support provided by any covered entity to one or more recipient entities, as such terms are defined in section one hundred seventy-two-e of this chapter, and the nature and extent of covered communications by any covered entity, as such terms are defined in section one hundred seventy-two-f of this chapter. Notwithstanding any inconsistent provision of law, whenever the secretary of state, in consultation with the department of taxation and finance or the department of law, determines that the nature and extent of a covered entity's in-kind support to other entities or the nature and extent of a covered entity's spending on covered communications is inconsistent with the charitable purposes of such covered entity, the secretary shall cause the reports required by article seven-A of this chapter filed by such entity to be published on the website of the department of state upon such finding. Provided, however, that such publishing shall not include the names and addresses of individual donors to covered entities nor shall such publishing include the covered entity's Internal Revenue Service Form 990 Schedule B. The secretary shall report to the governor, the temporary president of the senate and the speaker of the assembly, by December thirty-first, two thousand twenty-two, and annually thereafter, on topics including but not limited to: the nature and extent of in-kind support provided by covered entities to recipient entities, as such terms are defined in section one hundred seventy-two-e of this chapter and the nature and extent of expenditures for covered communications. The secretary may request the assistance of the department of taxation and finance or the department of law in order to complete this report. Provided however that such report shall not include the names and addresses of individual donors to covered entities nor shall such report include the covered entity's Internal Revenue Service Form 990 Schedule B.
§ 94. Commission on ethics and lobbying in government. 1. (a) Commission established. There is hereby established within the department of state, a commission on ethics and lobbying in government, an 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 sections seventy-three, seventy-three-a, and seventy-four of the public officers law, candidates for statewide elected office and for the senate or assembly, and the political party chair as is defined in section seventy-three of the public officers law, lobbyists and the clients of lobbyists as defined in section one-c of the legislative law, and individuals 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.
(b) The commission shall provide for the transfer, assumption or other disposition of the records, property, and personnel affected by this section, and it is further provided, should any employees be transferred from the joint commission on public ethics ("JCOPE"), the predecessor ethics agency, to the commission, that such transfer will be without further examination or qualification and such employees shall retain their respective civil service classifications, status and collective bargaining agreements.
(c) The commission shall review any pending inquiries or matters affected by this section and shall establish policies to address them.
(d) The commission shall undertake a comprehensive review of all regulations in effect upon the effective date of this section; and review of all advisory opinions of predecessor ethics agencies, including JCOPE, the legislative ethics commission, the commission on public integrity, the state ethics commission, and the temporary lobbying commission, which will address the consistency of such regulations and advisory opinions among each other and with the new statutory language, and of the effectiveness of the existing laws, regulations, guidance and ethics enforcement structure.
(e) 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 possible, to administer and enforce the laws under its jurisdiction.
(f) The annual budget submitted by the governor shall separately state the recommended appropriations for the commission on ethics and lobbying in government. Upon enactment, these separately stated appropriations for the commission on ethics and lobbying in government shall not be decreased by interchange with any other appropriation, notwithstanding section fifty-one of the state finance law.
2. Definitions. For the purposes of this section, the following terms shall have the following meanings:
(a) "commission" means the commission on ethics and lobbying in government established pursuant to subdivision one of this section.
(b) "selection members" means the governor, speaker of the assembly, temporary president of the senate, minority leader of the senate, minority leader of the assembly, comptroller, and the attorney general.
(c) "independent review committee" means the committee of the American Bar Association accredited New York state law school deans or interim deans, or their designee who is an associate dean of their respective law school, tasked with reviewing, approving, or denying the members of the commission as nominated by the selection members and other tasks pursuant to this section.
(d) "respondent" means the individual or individuals or organization or organizations subject to an inquiry, investigation, or enforcement action.
(e) "victim" means any individual that has suffered or alleged to have suffered direct harm from any violation of law that is subject to investigation under the jurisdiction of the commission.
3. Nomination and appointment of the commission. (a) The commission shall consist of eleven members, to be nominated by the selection members as follows: three members by the governor; two members by the temporary president of the senate; one member by the minority leader of the senate; two members by the speaker of the assembly; one member by the minority leader of the assembly; one member by the attorney general; and one member by the comptroller.
(b) The independent review committee shall within thirty days review the qualifications of the nominated candidates and approve or deny each candidate nominated by their respective selection member.
(c) The independent review committee shall publish on its website a procedure by which it will review the qualifications of the nominated candidate and approve or deny each candidate.
(d) Those candidates that the independent review committee deems to meet the qualifications necessary for the services required based on their background and expertise that relate to the candidate's potential service on the commission shall be appointed as a commission member. The nominating selection member shall nominate a new candidate for those that are denied by the independent review committee.
(e) No individual shall be eligible for nomination and 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 or employee 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 chair, as defined in section seventy-three of the public officers law; or
(iv) been a state officer or employee as defined in section seventy-three of the public officers law.
(f) The independent review committee shall convene as needed or as requested by the selection members. The chair of the independent review committee shall be elected from the members of the independent review committee.
(g) Appropriate staffing and other resources shall be provided for in the commission's budget for the independent review committee to carry out its powers, functions, and duties. The independent review committee shall publish on the commission's website a procedure by which it will review and select the commission members and other processes to effectuate its responsibilities under this section.
(h) The majority of the independent review committee shall constitute a quorum to hold a meeting and conduct official business.
(i) During the pendency of the review and approval or denial of the candidates, the independent review committee shall be subject to and maintain confidentiality in all independent review committee processes, reviews, analyses, approvals, and denials. A member of the independent review committee may be removed by majority vote of the committee for substantial neglect of duty, misconduct, violation of the confidentiality restrictions set forth in this section, inability to discharge the powers or duties of the committee or violation of this section, after written notice and opportunity for a reply.
(j) Upon the receipt of the selection members' appointments, members of the independent review committee shall disclose to the independent review committee any personal, professional, financial, or other direct or indirect relationships a member of the independent review committee may have with an appointee. If the independent review committee determines a conflict of interest exists, such independent review committee member shall, in writing, notify the other members of the independent review committee of the possible conflict. The member may recuse themself from all subsequent involvement in the consideration of and action upon the appointment. If, after disclosure, the member does not recuse themself from the matter, the independent review committee, by majority vote finding the disclosed information creates a substantial conflict of interest, may remove the conflicted member from further consideration of and action upon the appointment.
(k) Notwithstanding the provisions of article seven of the public officers law, no meeting or proceeding of the independent review committee shall be open to the public, except the applicable records pertaining to the review and selection process for a member's seat shall be subject to disclosure pursuant to article six of the public officers law only after an individual member is appointed to the commission. Requests for such records shall be made to, and processed by, the commission's records access officer.
(l) The independent review committee shall neither be public officers nor be subject to the requirements of the public officers law.
(m) Notwithstanding subdivision (l) of this section, the independent review committee members shall be entitled to representation, indemnification, and to be held harmless to the same extent as any other person employed in service of the state and entitled to such coverage under sections seventeen and nineteen of the public officers law, provided however, that any independent review committee member removed due to a violation of paragraph (i) of this subdivision shall not qualify for such entitlements.
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, the governor's first appointee shall serve an initial term of four years, their second appointee shall serve an initial term of two years, and their third appointee shall serve an initial term of one year; the attorney general's appointee shall serve an initial term of four years; the comptroller's appointee shall serve an initial term of four years; the temporary president of the senate's first appointee shall serve an initial term of four years and their second appointee shall serve a term of two years; the minority leader of the senate's appointee shall serve an initial term of four years; the speaker of the assembly's first appointee shall serve initial terms of four years and their second appointee shall serve a term of two years; and the minority leader of the assembly's appointee shall serve a term of four years. 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 only 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 no more than two terms for such office.
(c) Members of the commission may be removed by majority vote of the commission 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 initially selected to complete the vacant term.
(e) During the period of a member's service as a member of the commission, the member shall refrain from making, or soliciting from other persons, any contributions to candidates, political action committees, political parties or committees, newsletter funds, or political advertisements 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 performance of the member's duties under this section, and, in addition thereto, shall be reimbursed for all reasonable expenses actually and necessarily 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) The commission shall meet at least quarterly and additionally as called by the chairperson, or upon the call of a majority of the members of the commission. The commission shall be subject to articles six and seven of the public officers law.
(h) A majority of the 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.
(i) 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 disclosure 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 shall adopt and post on its website guidance documents detailing the processes and procedures of an investigation, including the stages of an investigation; timelines, including the reasons for any potential delays in an investigation; the hearing and adjudication process; outcomes of an investigation; and, anything else the commission deems necessary to inform the public as well as relevant parties to an investigation including complainants, respondents, victims, if any, and witnesses as to such processes and procedures. The guidance documents shall delineate the processes and procedures that apply to the relevant parties, including, where applicable, the due process and any other rights or remedies that the relevant party may have under the commission's procedures or any other area of law. The guidance documents shall be provided to the relevant party of an investigation upon such party's involvement in such investigation.
(c) 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 through a majority vote of the members of the commission, 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 meet the qualifications necessary for the services required based on their background and expertise that relate to the candidate's potential service to the commission. 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 or employee 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 chair, as defined in section seventy-three of the public officers law.
(ii) The appointment and removal of the executive director shall be made by a majority vote of the commission.
(iii) 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.
(iv) 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) The commission may delegate authority to the executive director to act in the name of the commission between meetings of the commission provided such delegation 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) The commission, through the executive director, shall establish units within the commission to carry out it duties, including, but not limited to, (i) an advice and guidance unit, (ii) a training unit, (iii) a financial disclosure unit, (iv) a lobbying unit, and (v) an investigations and enforcement unit.
(d) The commission, through the executive director, shall 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) In addition to meeting the qualifications necessary for the services required for the position, the deputy director for investigations and enforcement shall have completed substantial training and have experience in trauma-informed approaches to investigations and enforcement. The deputy director for investigations and enforcement shall complete a minimum of four hours of training annually in trauma-informed approaches to investigations and enforcement. Such trainings may include, but not be limited to, the impact of trauma, first impression matters, victim interviews, investigative strategies, and alcohol and drug facilitated cases.
(f) The commission, through the executive director, shall 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.
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, except with respect to members of the legislature and legislative staff, who shall seek advice from the legislative ethics commission in the first instance.
(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 confidential, 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. 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:
(a) The commission shall develop and administer a comprehensive and interactive live-in person 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 question-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, seventy-three-a, and seventy-four of the public officers law, and the political party chair as is defined in section seventy-three 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 subsequently.
(b) 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, regulation, or policy or in the interpretation thereof, and practical application of the material covered. Unless the commission grants an extension or waiver for good cause shown, such individuals shall take such refresher course once every year after having completed the live course under paragraph (a) of this subdivision.
(c) The commission shall develop and administer an online live question and answer course for agency ethics officers.
(d) The commission shall develop and administer training courses for lobbyists and clients of lobbyists.
(e) 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.
(f) 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 seventy-three-a of the public officers law.
(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, deficiencies and conflicts.
(d) The commission shall review on a random basis the financial disclosure statements for filers who are not statewide elected officials and members of the legislature.
(e) 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 requirements 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.
(f) 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 employee or a political party chair or while a candidate for statewide office, 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 for two years notwithstanding that the reporting person separates from state service, or ceases to hold public or political 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.
(g) 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 justifiable cause or undue hardship.
(h) 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.
(i) 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 information 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 individual'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 commission's determination, pursuant to article seventy-eight of the civil practice law and rules.
(j) 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 subparagraph (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 investigation or prosecution by law enforcement authorities, bankruptcy, or domestic relations matters. In addition, clients or customers receiving medical or dental services, mental health services, residential real estate brokering services, or insurance brokering 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 period 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 information shall not be made public and shall be expunged in its entirety.
(k) The commission shall permit any person who has not been determined by the person's appointing authority to hold a policy-making position, but who is otherwise required to file a financial disclosure 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 and section five-b of the legislative law, or section one hundred seven of the civil service law.
(b) Upon the receipt of a complaint, referral, or the commencement of an investigation, members of the commission shall disclose to the commission any personal, professional, financial, or other direct or indirect relationships a member of the commission may have with a complainant or respondent. If any commissioner determines a conflict of interest may exist, the commissioner shall, in writing, notify the other members of the commission setting forth the possible conflict of interest. The commissioner may recuse themself from all subsequent involvement in the consideration and determination of the matter. If, after the disclosure, the commissioner does not recuse themself from the matter, the commission, by a majority vote finding that the disclosed information creates a substantial conflict of interest, shall remove the conflicted commissioner from all subsequent involvement in the consideration and determination of the matter, provided the reason for the decision is clearly stated in the determination of the commission.
(c) 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. The commission may, by a majority vote and pursuant to regulations adopted pursuant to the state administrative procedure act, delegate to the executive director the authority to issue subpoenas, provided that the executive director first notify the chair of the commission.
(d) 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.
(e) The commission shall notify the complainant, if any, that the commission has received their complaint.
(f) If, following a preliminary review of any complaint or referral, the commission or commission staff decides to elevate such preliminary review into an investigation, written notice shall be provided to the respondent setting forth, to the extent the commission is able to, the possible or alleged violation or violations of such law and a description of the allegations against the respondent and the evidence, if any, already gathered pertaining to such allegations, provided however that any information that may, in the judgment of the commission or staff, either be prejudicial to the complainant or compromise the investigation shall be redacted. The respondent shall have fifteen days from receipt of the written notice to provide any preliminary response or information the respondent determines may benefit the commission or commission staff in its work. After the review and investigation, the staff shall prepare a report to the commission setting forth the allegation or allegations made, the evidence gathered in the review and investigation tending to support and disprove, if any, the allegation or allegations, the relevant law, and a recommendation for the closing of the matter as unfounded or unsubstantiated, for settlement, for guidance, or moving the matter to a confidential due process hearing. The commission shall, by majority vote, return the matter to the staff for further investigation or accept or reject the staff recommendation.
(g) In an investigation involving a victim the commission shall ensure that any interview of such victim is upon such victim's consent and that the investigator or investigators interviewing such victim have adequate trauma informed and victim centered investigative training. If a victim is requested to testify at a hearing, the commission shall provide sufficient notice to the victim of such request. Regardless of whether a victim is requested to or testifies at a hearing, the victim shall be informed as to how any statements made or information provided will be used in an investigation.
(h) Upon the conclusion of an investigation, if the commission, after consideration of a staff report, determines by majority vote that 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 rules regarding the conduct of adjudicatory proceedings and appeals and the other due process procedural mechanisms available to the respondent. If after a hearing the complaint is unsubstantiated or unfounded, the commission shall provide written notice to the respondent, complainant, if any, and victim, if any, provided that such notice shall not include any personally identifying information or information tending to identify any party involved in an investigation.
(i) 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.
(j) 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 confidential guidance or educational letter.
(k) 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 legislative 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.
(l) If the commission's vote to proceed to a due process hearing after the completion of an investigation does not carry, the commission shall provide written notice of the decision to the respondent, complainant, if any, and victim, if any, provided that such notice shall not include any personally identifying information or information tending to identify any party involved in an investigation.
(m) If the commission determines a complaint or referral lacks specific and credible evidence of a violation of the laws under its jurisdiction, or a matter is closed due to the allegations being unsubstantiated prior to a vote by the commission, such records and all related material shall be exempt from public disclosure under article six of the public officers law, except the commission's vote shall be publicly disclosed in accordance with articles six and seven of the public officers law. The commission shall provide written notice of such closure to the respondent, complainant, if any, or victim, if any, provided that such notice shall not include any personally identifying information or information tending to identify any party involved in an investigation.
(n) (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 individual 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 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 or section one hundred seven of the civil service law, except that the commission may recommend that the individual in violation of such subdivision or section be disciplined.
(o) The commission shall 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 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 mechanisms substantially similar to those set forth in article three of the state administrative procedure act but such mechanisms need not be identical in terms or scope.
(p) (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 or section one hundred seven of the civil service law. If, after investigation 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, by a majority vote, a substantial basis to conclude that the individual or entity has violated the public officers law, section one hundred seven of the civil service law, or the legislative law, the commission shall determine whether, in addition to or in lieu of any fine authorized by this article, the matter 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 complainant and respondent. The commission shall publish such report on its website within twenty days of its delivery to the complainant and 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, or when necessary to inform the complainant or respondent of the alleged violation of law, if any, of the status of an investigation, 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 paragraph, "matter" shall mean any complaint, review, inquiry, or investigation 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 general, 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 information 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 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 on the number of investigations pending and nature of such investigations;
(iii) where a matter has been resolved, the date and nature of the disposition and any sanction imposed; provided, however, that such annual 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 April for the preceding year.
13. Website. (a) Within one hundred twenty days of the effective date of this section, the commission shall update JCOPE's publicly accessible website which shall set forth the procedure for filing a complaint with the commission, the filing of financial disclosure 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 commission 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 officers law except information deleted pursuant to paragraph (g) of subdivision nine of this section of statewide elected officials and members of the legislature;
(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;
(v) those required to be held or maintained publicly available pursuant 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 administer 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.
§ 94-a. Consumer protection division. 1. Legislative declaration. The legislature hereby finds and declares that the consumption of goods and services is an economic activity that affects the life of every citizen. The legislature further finds that unscrupulous and questionable business practices are detrimental to the economic well-being of the citizens of this state. In order to protect the people of New York state from economic harm the legislature finds that it is appropriate that the responsibilities of the consumer protection board be consolidated into a new consumer protection division under the supervision of the secretary.
2. Consumer protection division. (a) The secretary shall establish a consumer protection division in the department.
(b) The secretary is authorized to establish within the consumer protection division one or more units and assign appropriate functions to any such unit and may appoint such staff as necessary and prescribe their duties and fix their compensation within the appropriation provided by law.
(c) The secretary shall establish a public education and outreach campaign to publicize the consumer protection division so as to maximize public awareness of, and the services provided by, such division.
3. Powers of the consumer protection division. (a) The division shall have the power and duty to:
(1) receive complaints of consumers, attempt to mediate such complaints where appropriate, and refer complaints to the appropriate unit of the department, or federal, state or local agency authorized by law for appropriate action on such complaints;
(2) coordinate the activities of all state agencies performing consumer protection functions;
(3) initiate and encourage consumer education programs;
(4) conduct investigations, research, studies and analyses of matters affecting the interests of consumers;
(5) cooperate with and assist the attorney general and the department of financial services in the carrying out of legal enforcement responsibilities for the protection of consumers;
(6) implement other powers and duties by regulation and otherwise as prescribed by any provision of law;
(7) (i) advise and make recommendations to the governor on matters affecting the consumers of the state and promote and encourage the protection of the legitimate interests of consumers within the state;
(ii) study the operation of consumer protection laws and recommend to the governor new laws and amendments of laws for consumer protection;
(8) represent the interests of consumers of the state before federal, state and local administrative and regulatory agencies;
(9) establish a process by which victims of identity theft will receive assistance and information to resolve complaints. To implement the process the secretary shall have the authority to:
(i) promulgate rules and regulations to administer the identity theft prevention and mitigation program; and
(ii) act as a liaison between the victim and any state agency, public authority, or any municipal department or agency, the division of state police, and county or municipal police departments, and any non-governmental entity, including but not limited to, consumer credit reporting agencies, to facilitate the victim obtaining such assistance and data as will enable the program to carry out its duties to help consumers resolve the problems that have resulted from the identity theft. Trade secrets and proprietary business information contained in the documents or records that may be received by the division shall be exempt from disclosure to the extent allowed by article six of the public officers law;
(10) undertake activities to encourage business and industry to maintain high standards of honesty, fair business practices, and public responsibility in the production, promotion and sale of consumer goods and services;
(11) conduct product research and testing and, where appropriate, contract with private agencies and firms for the performance of such services;
(12) cooperate with and assist local governments in the development of consumer protection activities;
(13) establish advisory councils to assist in policy formulation on specific consumer problems;
(14) cooperate with and assist consumers in class actions in proper cases;
(15) create an internet website or webpage pursuant to section three hundred ninety-c of the general business law, as added by chapter five hundred nine of the laws of two thousand seven; and
(16) exercise such powers and duties granted to the secretary by article sixteen of the energy law as the secretary may direct, including, but not limited to: consult with such president of the New York state energy research and development authority in connection with investigations conducted by such president pursuant to article sixteen of the energy law; make determinations relating to compliance by products with the standards adopted pursuant to article sixteen of the energy law; order the immediate cessation of any distribution, sale or offer for sale, import, or installation of any product that does not meet such standards; and impose civil penalties as contemplated by article sixteen of the energy law.
4. Utility intervention unit. (a) There is established within the division a state utility intervention unit.
(b) The utility intervention unit shall have the power and duty to:
(i) on behalf of the secretary, initiate, intervene in, or participate in any proceedings before the public service commission or the department of public service, to the extent authorized by sections three-b, twenty-four-a, seventy-one, eighty-four or ninety-six of the public service law or any other applicable provision of law, where he or she deems such initiation, intervention or participation to be necessary or appropriate;
(ii) represent the interests of consumers of the state before federal, state and local administrative and regulatory agencies engaged in the regulation of energy services;
(iii) accept and investigate complaints of any kind from Long Island power authority consumers, attempt to mediate such complaints where appropriate directly with such authority and refer complaints to the appropriate state or local agency authorized by law to take action with respect to such complaints; and
(iv) hold regular forums in each of the service territories of the combination gas and electric corporations, as defined under section two of the public service law, and the Long Island power authority to educate consumers about utility-related matters and the regulatory process, opportunities to lower energy costs, including through energy efficiency and distributed generation, and other matters affecting consumers.
5. Reports. (a) No later than March fifteenth of each year, beginning in two thousand twelve, the secretary shall furnish to the governor, the speaker of the assembly and the temporary president of the senate a report describing the activities of the consumer protection division. The secretary shall prepare quarterly a report to the governor, the speaker of the assembly and the temporary president of the senate of the category and number of complaints received by the division during the previous quarter in sufficient detail to assist the recipients in determining the need for additional laws for the protection of the consumer. Additionally, all such complaints received by the division shall be maintained on a category by category basis.
(b) No later than January first, two thousand twelve, the secretary shall furnish to the governor, the speaker of the assembly and the temporary president of the senate a report describing the activities of the consumer protection division regarding the public education and outreach campaign required pursuant to paragraph (c) of subdivision two of this section.
§ 94-b. Office for new Americans. 1. Legislative intent. The legislature hereby finds and declares that, according to the 2010 census, approximately twenty-two percent of New Yorkers were not born in the United States, nine percent above the national average. For years immigrants have come to the United States to make a better life for themselves. It is of utmost importance to the state that these new Americans be given the tools to assist them in making a better life for themselves, particularly through programs that help develop and leverage their skills and strengthen their connections with their communities and through programs to reduce exploitation of vulnerable immigrant populations.
2. Definitions. For the purposes of this section, the terms "new American" and "immigrant" shall refer to non-citizen domicilaries of New York state whose country of origin is other than the United States.
3. Office for new Americans; director. There is hereby created within the department of state the office for new Americans. The secretary shall appoint a director of the office to accomplish the responsibilities set forth in this section. Such director shall receive an annual salary within amounts appropriated and shall serve at the pleasure of the secretary.
4. Organization of the office for new Americans. The secretary shall have the power to establish, consolidate, reorganize, or abolish any organizational units within the office as he or she determines to be necessary for efficient operation thereof. The secretary shall assign functions to any such unit and may appoint staff, agents, and consultants, prescribe their duties, and fix their compensation within amounts appropriated.
5. Powers and duties of the office for new Americans. The office for new Americans shall have the power and responsibility to:
(a) Create a network of neighborhood-based opportunity centers;
(b) Increase access to English-for-speakers-of-other-languages (ESOL) training, including by engaging not-for-profit organizations and other qualified providers of ESOL training services;
(c) Assist immigrants in matters relating to immigration status, including but not limited to assisting with the naturalization process and applications for deferred action for childhood arrivals;
(d) Connect immigrants to business resources that harness their skills, employment referral programs, and other workforce development programs;
(e) Develop and leverage the skills of immigrants to benefit their communities and the state;
(f) Strengthen the connections between immigrants and their communities through civic engagement;
(g) Reduce exploitation of immigrants;
(h) Establish a toll-free multi-lingual hotline and a website for purposes including but not limited to dissemination of information about the programs and services offered by the office for new Americans, referral for services, and receipt of complaints relating to fraud and other related crimes against immigrants;
(i) Ensure that individuals referred by the office are directed to service providers who are in compliance with article twenty-eight-C of the general business law or providers certified by the bureau of immigration appeals;
(j) Using information developed by the office through the hotline, assist law enforcement in combatting crimes against immigrants;
(k) Advise the governor and secretary concerning matters affecting immigrants in the state in order to promote and encourage the full participation of immigrants in the state's civic and economic life;
(l) Coordinate with other state agencies and otherwise marshal the resources of the state to serve the needs of immigrants;
(m) Encourage and assist local governments in the development of activities to enhance civic engagement among immigrants and in immigrant communities; and
(n) Beginning in two thousand fifteen, by June fifteenth of each year, produce a report to the governor, the speaker of the assembly, and the temporary president of the senate describing the activities of the office, including but not limited to, summarizing calls received through the hotline and website, information on ESOL training services provided by the office, the number of immigrants assisted through the opportunity centers, or an estimation thereof, the status of any workforce development programs, and any other relevant information.
* § 94-c. Major renewable energy development program. 1. Purpose. It is the purpose of this section to consolidate the environmental review and permitting of major renewable energy facilities in this state and to provide a single forum in which the office of renewable energy siting created by this section may undertake a coordinated and timely review of proposed major renewable energy facilities to meet the state's renewable energy goals while ensuring the protection of the environment and consideration of all pertinent social, economic and environmental factors in the decision to permit such facilities as more specifically provided in this section.
2. Definitions. (a) "Executive director" or "director" shall mean the executive director of the office of renewable energy siting.
(b) "CLCPA targets" shall mean the public policies established in the climate leadership and community protection act enacted in chapter one hundred six of the laws of two thousand nineteen, including the requirement that a minimum of seventy percent of the statewide electric generation be produced by renewable energy systems by two thousand thirty, that by the year two thousand forty the statewide electrical demand system will generate zero emissions and the procurement of at least nine gigawatts of offshore wind electricity generation by two thousand thirty-five, six gigawatts of photovoltaic solar generation by two thousand twenty-five and to support three gigawatts of statewide energy storage capacity by two thousand thirty.
(c) "Local agency account" or "account" shall mean the account established by the office pursuant to subdivision seven of this section.
(d) "Local agency" means any local agency, board, district, commission or governing body, including any city, county, and other political subdivision of the state.
(e) "Municipality" shall mean a county, city, town, or village.
(f) "Office" shall mean the office of renewable energy siting established pursuant to this section.
(g) "Department" shall mean the department of state.
(h) "Major renewable energy facility" means any renewable energy system, as such term is defined in section sixty-six-p of the public service law as added by chapter one hundred six of the laws of two thousand nineteen, with a nameplate generating capacity of twenty-five thousand kilowatts or more, and any co-located system storing energy generated from such a renewable energy system prior to delivering it to the bulk transmission system, including all associated appurtenances to electric plants as defined under section two of the public service law, including electric transmission facilities less than ten miles in length in order to provide access to load and to integrate such facilities into the state's bulk electric transmission system.
(i) "Siting permit" shall mean the major renewable energy facility siting permit established pursuant to this section and the rules and regulations promulgated by the office.
(j) "Dormant electric generating site" shall mean a site at which one or more electric generating facilities produced electricity but has permanently ceased operating.
3. Office of renewable energy siting; responsibilities. (a) There is hereby established within the department an office of renewable energy siting which is charged with accepting applications and evaluating, issuing, amending, approving the assignment and/or transfer of siting permits. The office shall exercise its authority by and through the executive director.
(b) The office shall within one year of the effective date of this section establish a set of uniform standards and conditions for the siting, design, construction and operation of each type of major renewable energy facility relevant to issues that are common for particular classes and categories of major renewable energy facilities, in consultation with the New York state energy research and development authority, the department of environmental conservation, the department of public service, the department of agriculture and markets, and other relevant state agencies and authorities with subject matter expertise. Prior to adoption of uniform standards and conditions, the office shall hold four public hearings in different regions of the state to solicit comment from municipal, or political subdivisions, and the public on proposed uniform standards and conditions to avoid, minimize or mitigate potential adverse environmental impacts from the siting, design, construction and operation of a major renewable energy facility.
(c) The uniform standards and conditions established pursuant to this section shall be designed to avoid or minimize, to the maximum extent practicable, any potential significant adverse environmental impacts related to the siting, design, construction and operation of a major renewable energy facility. Such uniform standards and conditions shall apply to those environmental impacts the office determines are common to each type of major renewable energy facility.
(d) In its review of an application for a permit to develop a major renewable energy facility, the office, in consultation with the department of environmental conservation, shall identify those site-specific environmental impacts, if any, that may be caused or contributed to by a specific proposed major renewable energy facility and are unable to be addressed by the uniform standards and conditions. The office shall draft in consultation with the department of environmental conservation site specific permit terms and conditions for such impacts, including provisions for the avoidance or mitigation thereof, taking into account the CLCPA targets and the environmental benefits of the proposed major renewable energy facility, provided, however, that the office shall require that the application of uniform standards and conditions and site-specific conditions shall achieve a net conservation benefit to any impacted endangered and threatened species.
(e) To the extent that environmental impacts are not completely addressed by uniform standards and conditions and site-specific permit conditions proposed by the office, and the office determines that mitigation of such impacts may be achieved by off-site mitigation, the office may require payment of a fee by the applicant to achieve such off-site mitigation. If the office determines, in consultation with the department of environmental conservation, that mitigation of impacts to endangered or threatened species that achieves a net conservation benefit can be achieved by off-site mitigation, the amount to be paid for such off-site mitigation shall be set forth in the final siting permit. The office may require payment of funds sufficient to implement such off-site mitigation into the endangered and threatened species mitigation fund established pursuant to section ninety-nine-hh of the state finance law.
(f) The office, by and through the executive director, shall be authorized to conduct hearings and dispute resolution proceedings, issue permits, and adopt such rules, regulations and procedures as may be necessary, convenient, or desirable to effectuate the purposes of this section.
(g) The office shall within one year of the effective date of this section promulgate rules and regulations with respect to all necessary requirements to implement the siting permit program established in this section and promulgate modifications to such rules and regulations as it deems necessary; provided that the office shall promulgate regulations requiring the service of applications on affected municipalities and political subdivisions simultaneously with submission of the application to the office.
(h) At the request of the office, all other state agencies and authorities are hereby authorized to provide support and render services to the office within their respective functions.
(i) Notwithstanding any other provision of law, rule, or regulation to the contrary and consistent with appropriations therefor, employees of any state agency who are necessary to the functions of the office and who may be substantially engaged in the performance of its functions shall be transferred to the office in accordance with the provisions of section seventy of the civil service law. Employees transferred pursuant to this section shall be transferred without further examination or qualification and shall retain their respective civil service classifications. Nothing set forth in this subdivision shall be construed to impede, infringe, or diminish the rights and benefits that accrue to employees through collective bargaining agreements, impact or change an employee's membership in a bargaining unit, or otherwise diminish the integrity of the collective bargaining relationship.
4. Applicability. (a) On and after the effective date of this section, no person shall commence the preparation of a site for, or begin the construction of, a major renewable energy facility in the state, or increase the capacity of an existing major renewable energy facility, without having first obtained a siting permit pursuant to this section. Any such major renewable energy facility with respect to which a siting permit is issued shall not thereafter be built, maintained, or operated except in conformity with such siting permit and any terms, limitations, or conditions contained therein, provided that nothing in this subdivision shall exempt such major renewable energy facility from compliance with federal laws and regulations.
(b) A siting permit issued by the office may be transferred or assigned, subject to the prior written approval of the office, to a person that agrees to comply with the terms, limitations and conditions contained in such siting permit.
(c) The office or a permittee may initiate an amendment to a siting permit under this section. An amendment initiated by the office or permittee that is likely to result in any material increase in any environmental impact or involves a substantial change to the terms or conditions of a siting permit shall comply with the public notice and hearing requirements of this section.
(d) Any hearings or dispute resolution proceedings initiated under this section or pursuant to rules or regulations promulgated pursuant to this section may be conducted by the executive director or any person to whom the executive director shall delegate the power and authority to conduct such hearings or proceedings in the name of the office at any time and place.
(e) This section shall not apply:
(i) to a major renewable energy facility, or any portion thereof, over which any agency or department of the federal government has exclusive siting jurisdiction, or has siting jurisdiction concurrent with that of the state and has exercised such jurisdiction to the exclusion of regulation of the facility by the state; provided, however, nothing herein shall be construed to expand federal jurisdiction;
(ii) to normal repairs, maintenance, replacements, non-material modifications and improvements of a major renewable energy facility, whenever built, which are performed in the ordinary course of business and which do not constitute a violation of any applicable existing permit;
(iii) to a major renewable energy facility if, on or before the effective date of this section, an application has been made or granted for a license, permit, certificate, consent or approval from any federal, state or local commission, agency, board or regulatory body, including the submission of a pre-application public involvement program plan under article ten of the public service law and its implementing regulations, in which application the location of the major renewable energy facility has been designated by the applicant, except in the case of a person who elects to be subject to this section as authorized by paragraph e of subdivision four of section one hundred sixty-two of the public service law.
(f) Any person intending to construct a major renewable energy facility excluded from this section pursuant to paragraph (ii) or (iii) of paragraph (e) of this subdivision may elect to become subject to the provisions of this section by filing an application for a siting permit. This section shall thereafter apply to each major renewable energy facility identified in such notice from the date of its receipt by the office. With respect to such major renewable energy facilities, the rules and regulations promulgated pursuant to this section shall set forth an expedited permitting process to account for matters and issues already presented and resolved in relevant alternative permitting proceedings.
(i) With respect to a major renewable energy facility for which an application was previously reviewed pursuant to article ten of the public service law, and for which a completeness determination had already been issued at the time an application was filed pursuant to this section, such application shall be considered complete pursuant to this section upon filing.
(ii) With respect to a major renewable energy facility for which an application was previously reviewed pursuant to article ten of the public service law, and for which a completeness determination had not been issued at the time the application was filed pursuant to this section, the sixty-day time period provided in paragraph (b) of subdivision five of this section shall commence upon filing.
(g) Any person intending to construct a facility that is a renewable energy system, as such term is defined in section sixty-six-p of the public service law as added by chapter one hundred six of the laws of two thousand nineteen, with a nameplate capacity of at least twenty thousand but less than twenty-five thousand kilowatts, may apply to become subject to the provisions of this section by filing an application for a siting permit. Upon submission of such application, the subject renewable energy facility shall be treated as a "major renewable energy facility" exclusively for purposes of permitting under this section.
5. Application, municipal notice and review. (a) Until the office establishes uniform standards and conditions required by subdivision three of this section and promulgates regulations specifying the content of an application for a siting permit, an application for a siting permit submitted to the office shall conform substantially to the form and content of an application required by section one hundred sixty-four of the public service law.
(b) Notwithstanding any law to the contrary, the office shall, within sixty days of its receipt of an application for a siting permit determine whether the application is complete and notify the applicant of its determination. If the office does not deem the application complete, the office shall set forth in writing delivered to the applicant the reasons why it has determined the application to be incomplete. If the office fails to make a determination within the foregoing sixty-day time period, the application shall be deemed complete; provided, however, that the applicant may consent to an extension of the sixty-day time period for determining application completeness. Provided, further, that no application may be complete without proof of consultation with the municipality or political subdivision where the project is proposed to be located, or an agency thereof, prior to submission of an application to the office, related to procedural and substantive requirements of local law.
(c) (i) No later than sixty days following the date upon which an application has been deemed complete, and following consultation with any relevant state agency or authority, the office shall publish for public comment draft permit conditions prepared by the office, which comment period shall be for a minimum of sixty days from public notice thereof. Such public notice shall include, at a minimum, written notice to the municipality or political subdivision in which the major renewable energy facility is proposed to be located; publication in a newspaper or in electronic form, having general circulation in such municipality or political subdivision; and posted on the office's website.
(ii) For any municipality, political subdivision or an agency thereof that has received notice of the filing of an application, pursuant to regulations promulgated in accordance with this section, the municipality or political subdivision or agency thereof shall within the timeframes established by this subdivision submit a statement to the office indicating whether the proposed facility is designed to be sited, constructed and operated in compliance with applicable local laws and regulations, if any, concerning the environment, or public health and safety. In the event that a municipality, political subdivision or an agency thereof submits a statement to the office that the proposed facility is not designed to be sited, constructed or operated in compliance with local laws and regulations and the office determines not to hold an adjudicatory hearing on the application, the department shall hold non-adjudicatory public hearing in the affected municipality or political subdivision.
(d) If public comment on a draft permit condition published by the office pursuant to this subdivision, including comments provided by a municipality or political subdivision or agency thereof, or members of the public raises a substantive and significant issue, as defined in regulations adopted pursuant to this section, that requires adjudication, the office shall promptly fix a date for an adjudicatory hearing to hear arguments and consider evidence with respect thereto.
(e) Following the expiration of the public comment period set forth in this subdivision, or following the conclusion of a hearing undertaken pursuant to this subdivision, the office shall, in the case of a public comment period, issue a written summary of public comment and an assessment of comments received, and in the case of an adjudicatory hearing, the executive officer or any person to whom the executive director has delegated such authority, shall issue a final written hearing report. A final siting permit may only be issued if the office makes a finding that the proposed project, together with any applicable uniform and site-specific standards and conditions would comply with applicable laws and regulations. In making this determination, the office may elect not to apply, in whole or in part, any local law or ordinance which would otherwise be applicable if it makes a finding that, as applied to the proposed major renewable energy facility, it is unreasonably burdensome in view of the CLCPA targets and the environmental benefits of the proposed major renewable energy facility.
(f) Notwithstanding any other deadline made applicable by this section, the office shall make a final decision on a siting permit for any major renewable energy project within one year from the date the application was deemed complete, or within six months from the date the application was deemed complete if the major renewable energy facility is proposed to be sited on an existing or abandoned commercial use, including without limitation, brownfields, landfills, former commercial or industrial sites, dormant electric generating sites, and abandoned or otherwise underutilized sites, as further defined by the regulations promulgated by this section. Unless the office and the applicant have agreed to an extension, with such extension limited to thirty days, and if a final siting permit decision has not been made by the office within such time period, then such siting permit shall be deemed to have been automatically granted for all purposes set forth in this section and all uniform conditions or site specific permit conditions issued for public comment shall constitute enforceable provisions of the siting permit. The final siting permit shall include a provision requiring the permittee to provide a host community benefit, which may be a host community benefit as determined by the public service commission pursuant to section eight of the chapter of the laws of two thousand twenty that added this section or such other project as determined by the office or as subsequently agreed to between the applicant and the host community.
(g) Any party aggrieved by the issuance or denial of a permit under this section may seek judicial review of such decision as provided in this paragraph. (i) A judicial proceeding shall be brought in the appellate division of the supreme court of the state of New York in the judicial department embracing the county wherein the facility is to be located or, if the application is denied, the county wherein the applicant has proposed to locate the facility. Such proceeding shall be initiated by the filing of a petition in such court within ninety days after the issuance of a final decision by the office together with proof of service of a demand on the office to file with said court a copy of a written transcript of the record of the proceeding and a copy of the office's decision and opinion. The office's copy of said transcript, decision and opinion, shall be available at all reasonable times to all parties for examination without cost. Upon receipt of such petition and demand the office shall forthwith deliver to the court a copy of the record and a copy of the office's decision and opinion. Thereupon, the court shall have jurisdiction of the proceeding and shall have the power to grant such relief as it deems just and proper, and to make and enter an order enforcing, modifying and enforcing as so modified, remanding for further specific evidence or findings or setting aside in whole or in part such decision. The appeal shall be heard on the record, without requirement of reproduction, and upon briefs to the court. The findings of fact on which such decision is based shall be conclusive if supported by substantial evidence on the record considered as a whole and matters of judicial notice set forth in the opinion. The jurisdiction of the appellate division of the supreme court shall be exclusive and its judgment and order shall be final, subject to review by the court of appeals in the same manner and form and with the same effect as provided for appeals in a special proceeding. All such proceedings shall be heard and determined by the appellate division of the supreme court and by the court of appeals as expeditiously as possible and with lawful precedence over all other matters.
(ii) The grounds for and scope of review of the court shall be limited to whether the decision and opinion of the office are:
(A) In conformity with the constitution, laws and regulations of the state and the United States;
(B) Supported by substantial evidence in the record and matters of judicial notice properly considered and applied in the opinion;
(C) Within the office's statutory jurisdiction or authority;
(D) Made in accordance with procedures set forth in this section or established by rule or regulation pursuant to this section;
(E) Arbitrary, capricious or an abuse of discretion; or
(F) Made pursuant to a process that afforded meaningful involvement of citizens affected by the facility regardless of age, race, color, national origin and income.
(iii) Except as herein provided article seventy-eight of the civil practice law and rules shall apply to appeals taken hereunder.
6. Powers of municipalities and state agencies and authorities; scope of section. (a) Notwithstanding any other provision of law, including without limitation article eight of the environmental conservation law and article seven of the public service law, no other state agency, department or authority, or any municipality or political subdivision or any agency thereof may, except as expressly authorized under this section or the rules and regulations promulgated under this section, require any approval, consent, permit, certificate, contract, agreement, or other condition for the development, design, construction, operation, or decommissioning of a major renewable energy facility with respect to which an application for a siting permit has been filed, provided in the case of a municipality, political subdivision or an agency thereof, such entity has received notice of the filing of the application therefor. Notwithstanding the foregoing, the department of environmental conservation shall be the permitting agency for permits issued pursuant to federally delegated or federally approved programs.
(b) This section shall not impair or abrogate any federal, state or local labor laws or any otherwise applicable state law for the protection of employees engaged in the construction and operation of a major renewable energy facility.
(c) The department of public service or the public service commission shall monitor, enforce and administer compliance with any terms and conditions set forth in a permit issued pursuant to this section and in doing so may use and rely on authority otherwise available under the public service law.
7. Fees; local agency account. (a) Each application for a siting permit shall be accompanied by a fee in an amount equal to one thousand dollars for each thousand kilowatts of capacity of the proposed major renewable energy facility, to be deposited in an account to be known as the local agency account established for the benefit of local agencies and community intervenors by the New York state energy research and development authority and maintained in a segregated account in the custody of the commissioner of taxation and finance. The office may update the fee periodically solely to account for inflation. The proceeds of such account shall be disbursed by the office, in accordance with eligibility and procedures established by the rules and regulations promulgated by the office pursuant to this section, for the participation of local agencies and community intervenors in public comment periods or hearing procedures established by this section, including the rules and regulations promulgated hereto; provided that fees must be disbursed for municipalities, political subdivisions or an agency thereof, to determine whether a proposed facility is designed to be sited, constructed and operated in compliance with the applicable local laws and regulations.
(b) All funds so held by the New York state energy research and development authority shall be subject to an annual independent audit as part of such authority's audited financial statements, and such authority shall prepare an annual report summarizing account balances and activities for each fiscal year ending March thirty-first and provide such report to the office no later than ninety days after commencement of such fiscal year and post on the authority's website.
(c) With respect to a person who has filed an application for a siting permit pursuant to subdivision four of this section, any amounts held in an intervenor account established pursuant to articles seven and ten of the public service law shall be applied to the intervenor account established by this subdivision.
(d) In addition to the fees established pursuant to paragraph (a) of this subdivision, the office, pursuant to regulations adopted pursuant to this section, may assess a fee for the purpose of recovering costs the office incurs.
8. Farmland protection working group. (a) There is hereby created in the executive department a farmland protection working group consisting of appropriate stakeholders, including but not limited to:
(i) the commissioner of the department of agriculture and markets;
(ii) the commissioner of the department of environmental conservation;
(iii) the executive director of the office;
(iv) the commissioner of the department of public service;
(v) the president of the New York state energy research and development authority;
(vi) local government officials or representatives from municipal organizations representing towns, villages, and counties;
(vii) representatives from at least two county agricultural and farmland protection boards.
(b) The working group shall, no later than one year after the effective date of this subdivision, recommend strategies to encourage and facilitate input from municipalities in the siting process and to develop recommendations that include approaches to recognize the value of viable agricultural land and methods to minimize adverse impacts to any such land resulting from the siting of major renewable energy facilities.
(c) The working group, on call of the commissioner of the department of agriculture and markets, shall meet at least three times each year and at such other times as may be necessary.
* NB Repealed December 31, 2030
§ 95. Legislative manual. The secretary of state, at the expense of the state, may in each odd-numbered year prepare and publish the legislative manual. The manual shall contain the constitution of the United States and of the state of New York, diagrams of the senate and assembly chambers, and such other information of the nature heretofore published therein, as the secretary may consider useful, and shall be printed and bound in substantially the same style as heretofore. As soon as printed, the secretary shall deliver a copy of the manual to each member and officer of the legislature, and to each state officer entitled to the session laws.
§ 96. Fees and refunds. Except as otherwise provided by section ninety-six-a of this chapter, the department of state shall collect the following fees:
1. For searching the records of the department for the availability of a corporate, limited partnership or limited liability company name, five dollars for each name submitted.
2. For searching the records of the department other than as set forth in subdivision one hereof, five dollars for each name in excess of five submitted by or on behalf of an applicant for a search.
3. For a copy of any paper or record not required to be certified or otherwise authenticated, fifty cents per page; except that the fee for a copy of any paper or record not required to be certified or otherwise authenticated which is furnished by the bureau of corporations of the department of state, shall be five dollars, regardless of the number of pages.
4. For a certified or exemplified copy of any law, record or paper, except a photostatic copy furnished by the department of state, one dollar per page; for a certified or exemplified copy of any law, record or paper reproduced by photostat by the department of state, fifty cents per page and in either case five dollars additional for the certificate under the official seal of the department of state, affixed thereto; except that the fee for a certified or exemplified copy of any record or paper which is furnished by the bureau of corporations of the department of state, shall be ten dollars, regardless of the number of pages or regardless of whether such document is reproduced by photostat.
5. For a certificate or authentication under the great seal of the state, ten dollars.
6. For a certificate as to the official character of a commissioner of deeds residing in another state or foreign country, one dollar.
7. For every other certificate under the official seal of the department of state, twenty-five dollars.
8. For registering and recording a notice of a mining claim as required by section eighty-two of the public lands law, fifty dollars.
9. (a) For filing under the general associations law or any corporation law, except the business corporation law and not-for-profit corporation law: a certificate of incorporation, one hundred twenty-five dollars; a certificate or report of voluntary dissolution, including the issuance of duplicate certificates by the secretary of state, and a certified copy of an order or judgment of dissolution, sixty dollars; the statement and designation of a foreign corporation, including the issuance of a certificate of authority, two hundred twenty-five dollars; a certificate of designation or change of address or any certificate of change of mailing address or office of a foreign corporation, other than a moneyed corporation, thirty dollars; any other certificate or instrument, sixty dollars.
(b) For filing under the business corporation law and the not-for-profit corporation law as set forth in those chapters.
10. For service of process on the secretary of state, acting as agent for a third party pursuant to law, except as otherwise specifically provided by law, forty dollars. No fee shall be collected for process served on behalf of a county, city, town or village or other political subdivision of the state. The fees paid the secretary of state shall be a taxable disbursement.
11. (a) For the special handling of requests made to the division of corporations of the department of state for any service for which a fee is collected as prescribed by law, twenty-five dollars. For the purposes of this section the term "special handling" shall mean the completion of the request within twenty-four hours of receipt of the request, except in those cases where the twenty-four hour period shall end on a Saturday, Sunday, holiday or day on which the division of corporations of the department of state is not open for business, in which case the twenty-four hour period shall be extended to the appropriate hour of the next succeeding business day on which such division is open for business.
(b) For the same day expedited handling of requests made to the division of corporations of the department of state for any service for which a fee is collected as prescribed by law, seventy-five dollars. For the purposes of this section the term "same day expedited handling" shall mean the completion of the request on the same day as the day of request.
(c) For the two hour priority handling of requests made to the division of corporations of the department of state for any service for which a fee is collected as prescribed by law, one hundred fifty dollars. For the purposes of this section the term "two hour priority handling" shall mean the completion of the request within two hours on the same day as the day of the request.
(d) For handling of non-expedited requests made to the division of corporations of the department of state for any service for which a fee is collected as prescribed by law, the completion of such request shall be accomplished within seven business days.
12. For the filing, recording or registering of any certificate, notice or other paper required to be filed, recorded or registered, the fee for which is not otherwise prescribed by law, twenty-five dollars.
13. Except as otherwise specifically provided by law, the department of state may refund, within three years from the date of payment and upon audit of the state comptroller, any fee or portion of a fee paid pursuant to any of the statutes which the department is charged by law to administer, in any case in which:
a. the license, permit, or certificate applied for is not issued, or does not take effect, or
b. the filing or certification requested is not made, or
c. the service requested is not rendered, or
d. the payment made is in excess of the amount prescribed by such statute, or
e. the licensee has entered the active armed services of the United States in which event the refund shall be such proportion of the license fee paid as the number of full months remaining unexpired of the license period bears to the total number of months in such period.
14. No fee shall be collected for copies of records furnished to state officers as defined in the public officers law, section two, for use in their official capacity.
15. The department of state shall on or before the tenth day of each month, out of the moneys collected during the preceding month pursuant to subdivision nine of this section, pay over to each county clerk in whose office a certified copy of a corporation certificate or other instrument relating to a domestic or foreign corporation shall have been filed by the department during the preceding month pursuant to law the sum of six dollars for each such copy of a corporation certificate or other instrument for which the department shall have collected a filing fee of thirty dollars or more, and the sum of one dollar for each such copy of a corporation certificate or other instrument for which the department shall have collected a sum of less than thirty dollars, and such payment shall be received by the county clerk in full satisfaction of all fees for filing such copy, any other general or special law to the contrary notwithstanding. All such moneys remaining after such payments to the county clerks shall be paid pursuant to section one hundred twenty-one of the state finance law.
16. Consistent with the provisions of the corporate laws of the state of New York, the department of state shall produce or reproduce the content of any informational systems maintained pursuant to such laws. The secretary of state shall establish the type and amount of the reasonable fees to be collected by the department of state for such informational systems. Such fees shall be subject to approval of the director of the budget and shall be promulgated in the official rules and regulations of the department of state in accordance with the provisions of the state administrative procedure act.
§ 96-a. Fees for services rendered pursuant to the uniform commercial code. 1. In case of conflict between this section and any other provision of law, this section shall control.
2. The secretary of state shall determine the type and amount of all fees to be collected by the department of state and other filing offices for services rendered by said department or office pursuant to the provisions of the uniform commercial code and article ten-A of the lien law. Such fees, referred to as processing fees, shall be non-refundable fees paid to the department of state or office at the time that documents are presented to the department of state or office for filing, and will be paid whether or not the documents are accepted for filing. Such fees shall be subject to the approval of the director of the budget and shall be promulgated in the official rules and regulations of the department of state in accordance with the provisions of the state administrative procedure act. Nothing contained in this subdivision shall preclude the secretary of state from periodically changing such fees, subject to the approval of the director of the budget, and from periodically amending the official rules and regulations of the department of state in accordance with the provisions of the state administrative procedure act.
3. Consistent with the provisions of article nine of the uniform commercial code and article ten-A of the lien law, the department of state and other filing offices shall produce or reproduce the content of any informational systems maintained pursuant to such laws. The secretary of state and other filing offices shall establish reasonable fees for information so produced or reproduced. Notwithstanding any other provisions of law, the availability of such information shall be determined solely by the provisions of the uniform commercial code.
§ 97. Completing unfinished papers. The secretary of state shall have power to complete and sign and certify in his own name, adding to his signature the date of so doing, all records of incorporation papers and other papers left incomplete or unsigned by any of his predecessors, with the same force and effect as though said records had been duly signed by such predecessors.
§ 97-a. Affirmation in lieu of oath. Any application for a license or registration required by law to be filed with the department of state may, in lieu of being acknowledged or sworn under oath, be subscribed by the applicant and affirmed by him or her as true under penalties of perjury.
§ 98. Copies of amendments to rules for admission of attorneys. The secretary of state must cause to be published in the next ensuing volume of the session laws each amendment of the rules established by the court of appeals for the admission of attorneys and counselors, filed with him pursuant to the judiciary law.
§ 99. Central state registry of security guards. 1. The department shall collect information and maintain, on a current basis, a registry of all security guards and applicants for registration cards in the state. Such registry shall include, but not be limited to, with respect to each security guard or applicant as the case may be, his or her name, address, date of birth, whether a registration card has been issued, denied, suspended or revoked or has expired, and the security guard company or companies by whom he or she is or has been employed and such other information as may in the discretion of the secretary be appropriate; provided, however, that in no case shall such registry include criminal history information.
2. Each security guard company as defined in subdivision five of section eighty-nine-f of the general business law which employs security guards shall transmit to the department, no later than the fifteenth day of January in the year next succeeding the year in which the provisions of this section become effective, a list which shall include but not be limited to the name of every security guard employed by such security guard company indicating with respect to each security guard his or her name, address, date of birth and such other information as may in the discretion of the secretary be appropriate; provided, however, that in no case shall such registry include criminal history information. Each such security guard company shall thereafter, submit to the department the name of each security guard employed or who has retired or resigned or whose employment as a security guard is terminated for any reason, no later than the fifteenth calendar day following such employment, retirement, resignation or termination, and, in the instance of newly appointed security guards, shall include all the information required to be furnished in the initial listing required by this subdivision. The information required to be submitted pursuant to this subdivision which is required by law to be kept confidential shall be kept confidential and all other information shall be released only pursuant to this section.
3. The department shall establish rules and regulations to provide for a permanent system of identification for each security guard or applicant as the case may be, which will ensure the security and privacy of information contained in the registry and to ensure that such information is made available only to qualified agencies defined in subdivision nine of section eight hundred thirty-five of this chapter and to security guard companies only for the purposes enumerated in subdivision four of this section.
4. Notwithstanding any other provision of law, security guard companies, as defined in subdivision five of section eighty-nine-f of the general business law, shall, upon such terms and conditions as the department shall by rules and regulations prescribe, have timely access to information contained in the registry, with respect to security guards as defined in subdivision six of section eighty-nine-f of the general business law or applicants as defined in subdivision nine of section eighty-nine-f of the general business law, who as certified by such security guard companies making such inquiries are presently employed by or who have applied for employment by such security guard companies as security guards. Such information shall include but not be limited to employment history and such other information as may in the discretion of the secretary be appropriate and relevant to the employment of a security guard.
5. In the event of failure or refusal to comply with the requirements of subdivision two of this section, the secretary may apply to the supreme court for an order directed to the person responsible requiring compliance. Upon such application the court may issue such order as may be just, and a failure to comply with the order of the court shall be a contempt of court and punishable as such.
6. Whenever an applicant for or holder of a security guard registration card has been charged with a serious offense as defined by subdivision thirteen of section eighty-nine-f of the general business law or of a misdemeanor, the division shall notify the department and the department shall notify the security guard company which employs such applicant or which has filed the application on behalf of such applicant of such serious offense or a misdemeanor as provided for in paragraph a of subdivision three of section eighty-nine-g of this article.
7. In the event that a registration card is not issued within six months following application therefor, or is not reissued within six months following the expiration thereof, unless the registration card has been suspended or revoked, the department shall so notify the division which shall thereupon destroy the set of fingerprints received with the application.
8. The department shall continue to maintain in the registry the information required to be kept pursuant to this article for security guards and applicants for a period of not less than five years following their termination, revocation, resignation, retirement or failure to be hired or renewed at which time the department shall purge from the registry such information.
9. Saving clause. In case it be judicially determined that any of the provisions of this section is unconstitutional or otherwise invalid, such determination shall not affect the validity or effect of the remaining provisions of this section.
§ 100. Central state registry of armored car guards. 1. The secretary of state shall maintain a computerized registry of all individuals who apply for a registration card or have been issued a registration card as an armored car guard pursuant to the provisions of article eight-C of the general business law. An armored car carrier, as that term is defined in subdivision six of section eighty-nine-bbb of the general business law, shall obtain only the name, address and armored car guard registration status of an employee or potential employee listed in such registry.
2. The secretary of state shall maintain all records collected for applicants pursuant to the armored car guard act for a period of five years after the applicant's termination as an armored car guard, retirement, resignation, death, failure to be rehired, or non-renewal of the applicant's registration card. Every armored car carrier shall file with the secretary, on a monthly basis, a report, stating all armored car guards in their employ who have retired, resigned, died, been terminated, have not been rehired, or have otherwise been removed from active duty, in such form and on such media as approved for such purpose by the secretary.
§ 100-a. Information on state agencies pertaining to persons subjected to section seventy-three-a of the public officers law and who hold policy-making positions. 1. As used in this section "agency" means:
(a) any state department, board, bureau, division, council, committee, commission, or office;
(b) any other similar state public organization established pursuant to state statutes, executive order, or other executive action for the exercise of any function of state government and to which members are appointed or elected; and
(c) any public authority or public benefit corporation a majority of whose members are appointed by the governor or serve as members by virtue of holding state offices to which they were appointed by the governor, or any combination thereof.
2. "Agency" does not include:
(a) any informal advisory organization established exclusively by a state agency to advise a commissioner, secretary, or other director of that agency on an informal basis;
(b) the state legislature; and
(c) any local government or subdivision or entity thereof.
3. The secretary of state shall maintain a compilation of persons subjected to section seventy-three-a of the public officers law and who hold policy-making positions at all state agencies, including state agencies established after the effective date of this section. Such compilation shall identify by agency the persons subjected to section seventy-three-a of the public officers law and who hold policy-making positions, the length of time such positions have been held, and a representation of policy-making positions at such agency held by women compared to policy-making positions held by men. The secretary of state shall keep such inventory in a public record available for inspection, and updated annually on the department of state website.
4. Each agency shall annually on or before January first, submit to the secretary of state all information required pursuant to this section in a manner specified by the secretary of state to facilitate the publication requirements of this section.
5. For the purposes of this section, "persons subjected to section seventy-three-a of the public officers law and who hold policy-making decisions" shall include, but not be limited to, a commissioner, a superintendent, an executive director, and other chief executive officers, positions appointed by the governor, as well as the appointments of the aforementioned whose function is essential to the policy-making processes of such agency, and any other position whose function is essential to the policy-making processes of such agency.
§ 101. Accessibility, rules and regulations. 1. The secretary of state, in consultation with any other state agency he or she deems necessary, shall promulgate any rules and regulations necessary to remove the word "handicapped" from any signs or other means of communication where such word appears.
2. The secretary of state, in consultation with any other state agency he or she deems necessary, shall promulgate rules and regulations necessary to require that wherever the current universal symbol of access of a figure in a wheelchair appears, such symbol shall instead depict a logo with a dynamic character leaning forward with a sense of movement. Such logo shall be readily identifiable, simply designed with no secondary meaning, and provide for equivalent facilitation and accessibility as the current universal symbol of access. The provisions of this subdivision shall only apply to any new signs being installed or replaced on and after the effective date of this section.
§ 101-a. Legislative notification of the proposed adoption, amendment, suspension or repeal of agency rules.
1. Definitions. As used in this section,
a. "Agency" means any state board, bureau, commission, department, authority, division, or officer authorized by law to make rules.
b. "Rule" means the whole or part of each agency statement of general applicability or regulation or code that implements or applies law, or prescribes the procedure or practice requirements of any agency, including the amendment, suspension or repeal thereof, except such as relates to the organization or internal management of the agency.
2. Except as provided in subdivision three of this section, at least sixty days prior to either the adoption of any rule, or, if a public hearing is required by statute, at least sixty days prior to the first public hearing on a proposed rule, the agency proposing to take such action shall send in writing or may transmit electronically in accordance with article three of the state technology law, a notification of such proposed action to the temporary president of the senate and the speaker of the assembly. This notification shall: (a) refer to the statutory authority under which the action is proposed, (b) give the time and place of any public hearing that may be scheduled concerning the proposed action, or state the manner in which data, views or arguments may be submitted to the agency concerning the proposed action, (c) contain a copy of the complete text of the proposed rule, and (d) contain a fiscal statement setting forth the fiscal consequences of the proposed action on the state and its local governments.
3. If the agency finds that it is necessary for the preservation of the public health, safety or general welfare to dispense with the requirements of subdivision two of this section, the agency may dispense with such requirements and adopt the rule, as an emergency measure. Within five days of the filing of such emergency measure in the office of the department of state, the agency taking such action shall send or transmit, as the case may be, the temporary president of the senate and the speaker of the assembly a notification containing the information required by subdivision two of this section; provided, however, such notification shall also: (a) include a brief statement setting forth the reasons why the agency finds that it is necessary for the preservation of the public health, safety or general welfare to dispense with the requirements of subdivision two of this section and adopt the rule as an emergency measure, and (b) provide the date the emergency measure will terminate if the agency does not intend to adopt such measure as a permanent rule, or indicate that the agency intends to adopt such measure as a permanent rule, in which case compliance with the notification requirements of this section shall be deemed satisfied. The effectiveness of any such emergency measure, unless adopted as a permanent rule in the manner prescribed by law, shall not exceed ninety days after the filing of such measure in the office of the department of state, provided, however, if such emergency measure is readopted prior to the expiration of such ninety day period such readoption and any subsequent readoptions shall remain in effect for no longer than sixty days.
4. The legislature in the joint rules of the senate and assembly may exempt from the requirements of this section certain rules which have or would have no significant fiscal implications.
5. This section does not relieve any agency from compliance with any statute requiring that its rules be filed with or approved by designated persons or bodies before they become effective.
6. A proceeding to invalidate any rule on the ground of noncompliance with the procedural requirements of this section must be commenced by the temporary president of the senate or the speaker of the assembly within four months from the effective date of the rule. No rule shall be valid unless adopted in substantial compliance with this section; provided, however, that the inadvertent failure to give notice as provided in this section shall not invalidate any rule.
§ 101-b. Application by municipal corporations for the suspension of certain rules.
1. Definitions. As used in this section,
a. "Agency" means any state board, bureau, commission, department, division or officer authorized by law to adopt rules.
b. "Rule" means the whole or part of each agency statement of general applicability or regulation or code that implements or applies law, including the amendment, suspension or repeal thereof.
c. "Municipal corporation" means a county outside the city of New York, a city, a town, a village or a school district.
d. "Governing body" means:
(1) In a county, a board of supervisors, county legislature or other body vested by its charter, other law or other valid enactment with jurisdiction to enact local laws;
(2) In a city, the board of aldermen, a common council, commission or other body vested by its charter or other law with jurisdiction to enact ordinances or local laws;
(3) In a town, the town board;
(4) In a village, the board of trustees; and
(5) In a school district, the board of education, board of trustees or sole trustee.
2. A municipal corporation may, by resolution adopted by its governing body, apply to the agency which has adopted a rule for the mandatory suspension of such rule for the balance of the municipal corporation's current fiscal year, provided the rule was filed in the office of the secretary of state after the commencement of the municipal corporation's current fiscal year.
3. Upon the receipt of such an application, the agency which adopted the rule shall forthwith by order suspend its applicability to the petitioning municipal corporation for the balance of such corporation's current fiscal year, unless the agency determines by order, within thirty days of receipt of such application, that the immediate implementation of the rule is necessary for public health, safety or welfare, or that its postponement would be contrary to express provision of law. A copy of any order issued pursuant to this section shall be sent to the temporary president of the senate, the speaker of the assembly and the administrative regulations review commission.
4. This section shall not relieve a municipal corporation from complying with a rule until such time that the agency which has adopted the rule shall issue an order pursuant to this section suspending its applicability to such corporation.
§ 102. Filing and publication of codes, rules and regulations. 1. a. No code, rule or regulation shall become effective until it is filed with the secretary of state, unless a later date is required by statute or is specified by such code, rule or regulation.
b. Each department, board, bureau, officer, authority, commission or other agency of the state, authorized by statute to adopt codes, rules or regulations shall transmit to the secretary of state a certified copy of every such code, rule and regulation except such as relate solely to the organization or internal management of such department, board, bureau, authority, commission or other agency of the state in force at the time of such transmittal or to become effective thereafter, certified by the head of such department, board, bureau, authority, commission or other agency of the state, or if such head is a board or commission, by the chairman or secretary thereof, together with a citation of the statutory authority pursuant to which each such code, rule or regulation was adopted.
c. Any code, rule or regulation which includes in the text thereof any United States statute, or code, rule or regulation previously published in the code of federal regulations or in the federal register, or any previously published data, criteria, standards, specifications, techniques, illustrations or other information reasonably available to regulated parties, shall have set forth in its text a precise identification of such material, including but not limited to: applicable titles, dates, editions, page numbers, section numbers, and authors, the names and addresses of the publisher from whom a copy may be obtained, and the designated office or offices of the adopting agency at which such material is available for public inspection and copying.
d. No amendment to any material identified pursuant to paragraph c of this subdivision shall be effective unless adopted in compliance with the applicable provisions of law and filed with the secretary of state pursuant to this section.
e. The secretary of state shall promulgate rules establishing procedure, forms, style and font for submission of every such code, rule and regulation required to be submitted by this section.
2. Immediately upon adopting any new code, rule or regulation including any rule as defined in the state administrative procedure act, or any amendment to or repeal thereof, except such as relate solely to the organization or internal management of a department, board, bureau, authority, commission or other agency of the state, the original thereof shall be filed in the office of the department of state. Attached thereto shall be a certificate, in a form prescribed by the secretary of state, citing the statutory authority including particular sections and subdivisions pursuant to which each such change or new code, rule or regulation was adopted, the date of adoption, and the date of publication in the state register of the notice required under the provisions of the state administrative procedure act as well as the date and manner of publication of any additional prior notice required under any other statute. If the action taken shall be exempt from the provisions of the state administrative procedure act and if no other statutory notice requirement shall be applicable the certificate shall so state. Such certificate shall be signed by the head of the department, board, bureau, authority, commission, or other agency of the state, or if such head is a board or commission, by the chairman or secretary thereof, or, in lieu of such signatures, it may be signed by a person designated by such head or chairman aforementioned, provided such designation is made in writing, contains therein the signature of the person designated, and is filed with the department of state. The secretary of state shall reject any rule submitted for filing in the event that either the notice required by subdivision five or six of section two hundred two of the state administrative procedure act, or the attached certificate, reveals that the rule was not adopted in substantial compliance with section two hundred two of such act.
3. It shall be the duty of the secretary of state to prepare a master compilation of all such codes, rules and regulations in such form and order as he may determine. He shall not, however, change the language of any existing code, rule or regulation except a title or explanatory caption; but he shall recommend any such change as he may deem advisable to the department, board, bureau, officer, authority, commission or other agency of the state authorized to adopt such code, rule or regulation. Such master compilation shall include all codes, rules and regulations except such as relate solely to the organization or internal management of a department, board, bureau, authority, commission or other agency of the state, in effect on the first day of January, nineteen hundred forty-five, and which he shall certify as a true copy of the master compilation prepared by him.
4. Publication of all such codes, rules and regulations filed with the secretary of state pursuant to this section shall be provided in the following manner:
a. the secretary of state shall make readily available in his office, for public inspection and copying, the full text of the master compilation;
b. each agency shall make readily available at a designated office or offices of the agency, for public inspection and copying, the full text of all codes, rules and regulations adopted by the agency;
c. at the same time material identified pursuant to paragraph c of subdivision one of this section is filed with the secretary of state, an agency shall transmit a copy of all such material except material that is: (i) a United States statute or a code, rule or regulation published in the Code of Federal Regulations or in the Federal Register; or (ii) readily available without charge on the internet to the legislative library and, within each judicial department of the state, one court law library designated by the chief administrator of the courts; provided that for materials readily available on the internet, the agency shall identify the address at which such materials can be accessed;
d. notwithstanding any provisions of law to the contrary, photocopies of any codes, rules and regulations shall be available to the public upon payment of a fee not to exceed twenty-five cents per page; and
e. the secretary of state shall cause such compilation to be printed; however, he may exclude from such printed compilation any previously published portion of a rule which is precisely identified in the text thereof pursuant to paragraph c of subdivision one of this section.
5. The compilation printed pursuant to paragraph e of subdivision four of this section shall be known as the "official compilation of codes, rules and regulations of the state of New York" and shall presumptively establish the codes, rules and regulations of the state of New York, except such as relate solely to the organization or internal management of a department, board, bureau, authority, commission or other agency of the state, in force and effect on the first day of January, nineteen hundred forty-five. The official supplements to such compilation published as hereinafter provided shall presumptively establish any changes in such codes, rules and regulations and any new codes, rules or regulations except such as relate solely to the organization or internal management of a department, board, bureau, authority, commission or other agency of the state, affected by addition, amendment or repeal, or adopted during the period ending on the thirty-first day of December in any year immediately preceding the publication of such supplement. Nothing in such official compilation or any new edition thereof or official supplement thereto shall be construed as repealing or amending any code, rule or regulation adopted by any department, board, bureau, authority, commission or other agency of the state, and in case of any inconsistency arising through omission or otherwise between the official compilation and such codes, rules and regulations as filed in the office of the secretary of state, the latter shall prevail.
§ 103. Future editions and supplements of official compilations. 1. In any year the secretary of state may, whenever he shall believe that the public interest will be served thereby, cause a new edition of such official compilation or any volume thereof to be published, which compilation shall be published as soon as practicable, and shall set forth the codes, rules and regulations except such as relate solely to the organization or internal management of a department, board, bureau, authority, commission or other agency of the state on file in the office of the department of state on the date as of which such new edition is published.
2. The secretary of state may, whenever he deems it to be necessary, cause to be published an official supplement to the official compilation, showing all new and all changes in existing codes, rules and regulations adopted since the effective date of the codes, rules and regulations embraced in the latest edition of the official compilation or since the end of the period covered by the preceding supplement.
3. Any new edition of such compilation published as heretofore provided, and any supplementation thereof or thereto, shall presumptively establish that the codes, rules and regulations contained therein are on file in the department of state, and are effective, unless otherwise stated, on the date as of which such new edition, or any volume thereof, or a supplementation thereto, is published.
4. Any code, rule or regulation contained in any new edition of the official compilation, or any volume thereof, or any supplementation thereto, shall not be printed in any official supplement published for any period prior to the date as of which such new edition, volume, or supplementation is published.
§ 104. Departmental cooperation. The secretary of state may advise with the several departments, boards, bureaus, officers, authorities, commissions and other agencies of the state which are authorized by statute to issue codes, rules or regulations, to the end that the same may, so far as possible, be uniform in style and form, be properly numbered and captioned and be free from matter which is obsolete.
§ 104-a. Departmental cooperation regarding water quality. The secretary of state shall cooperate with the environmental facilities corporation to establish methods to facilitate loans to eligible borrowers and to develop educational materials for eligible borrowers about the low-interest loans available through the water pollution control linked deposit program, established by article sixteen of the state finance law, and to develop an application form to be provided to lenders for linked deposit loan requests. For residential and small business on-site wastewater treatment systems projects, the department shall require owners of such systems to submit the results of inspections of such systems at the time of an application for financial assistance pursuant to article sixteen of the state finance law. The department may promulgate rules and regulations necessary and reasonable for the operation of the program, including but not limited to standards for the inspection of residential and small business on-site wastewater treatment systems.
§ 105. Changes in codes, rules or regulations. Changes in any code, rule or regulation except such as relates solely to the organization or internal management of a department, board, bureau, authority, commission or other agency of the state shall be made by a department, board, bureau, officer, authority, commission or other agency of the state only by addition, amendment or repeal. Every resolution or order affecting such an addition, amendment or repeal shall refer to the appropriate title and to the appropriate section or paragraph as published in the official compilation or supplement thereto. In the case of a proposed new code, rule or regulation except such as relates solely to the organization or internal management of a department, board, bureau, authority, commission or other agency of the state for which there is no appropriate title, the head of such department, board, bureau, authority, commission or other agency of the state shall confer with the secretary of state and shall, prior to the adoption of any resolution establishing such code, rule or regulation, have his approval in writing of the proposed title, captions and numbers of such code, rule or regulation and any parts, paragraphs or sections thereof.
§ 106. Proof of codes, rules and regulations. Any code, rule or regulation of the state of New York may be read in evidence from the official compilation or supplement thereto. To entitle any copy of a code, rule or regulation published, other than those published in such official compilation or supplement thereto, to be read in evidence there shall be contained in the same book or pamphlet a printed certificate of the secretary of state that such copy is a correct transcript of the text of the code, rule or regulation as published in such official compilation or supplement thereto. For such a certificate the secretary of state shall collect such a fee as he shall deem just and reasonable.
§ 106-a. Internet access to the New York code, rules and regulations. The department of state shall post or maintain a link on its website to an unofficial version of the New York codes, rules, and regulations, which shall be provided at no cost to the end users. All state agencies which have adopted rules and regulations shall maintain a link to the department of state website which contains such link.
§ 107. Intergovernmental agreements. 1. The secretary of state shall compile and keep current a list of all interstate compacts and other intergovernmental agreements between or among states, subdivisions of this state and other states, or between this state or any subdivision thereof and the federal government having the force of law to which this state or any subdivision thereof is party. Such list shall contain the citations to the statutes or other official documents of this state containing the text of any such compact or agreement together with a listing of all other jurisdictions party to the compact or agreement, the date on which each such jurisdiction entered into participation in such compact or agreement with this state or subdivision thereof; the status of each such compact or agreement in respect of withdrawals therefrom and the citations to any act or resolution of the congress of the United States, if any, consenting to such compact or agreement. The list required to be kept pursuant to this subdivision also shall include compacts and agreements adopted by this state or any subdivision thereof but not in effect by reason of the absence of such other parties thereto as may be necessary to make the compact or agreement effective and binding.
2. In any case where the statutes of this state do not contain the full text of a compact or agreement to which subdivision one of this section applies, the secretary of state shall receive a true copy of the compact or agreement and keep the same on file.
3. Any amendment, supplementary agreement or administrative rule or regulation having the force of law implementing, adding to or modifying any such compact or agreement to which this state or a subdivision thereof is party shall be listed or filed in the same manner as the compact or agreement itself.
4. The secretary of state shall make the list maintained by him pursuant to this act and any information contained therein available to any person upon request, but shall not be required to furnish copies of any compact or agreement, unless so required by a provision of law or administrative rule other than this section.
5. The listing and filing requirements of this section shall be in addition to and not in substitution for any requirements for listing or filing, publication or distribution contained in particular compacts or agreements to which this state is or may be a party.
6. Upon receipt by the governor of a formal notice from another state of such state's withdrawal from an interstate compact to which New York is party, the governor shall transmit such notice or a copy thereof to the secretary of state. Any agency or subdivision of this state administering, participating in or entering into any compact or agreement shall furnish the secretary of state with all information necessary to permit such secretary to perform his duties and responsibilities pursuant to this section.
§ 108. Address confidentiality program. There is created in the office of the secretary of state a program to be known as the "address confidentiality program" to protect victims of domestic violence, victims of human trafficking, victims of kidnapping, victims of a sexual offense, victims of stalking, and reproductive health care services providers, employees, volunteers, patients, or immediate family members of reproductive health care services providers by authorizing the use of designated addresses for such victims and their minor children. The program shall be administered by the secretary of state.
1. Definitions. For the purposes of this section the following words shall, unless the context requires otherwise, have the following meanings:
(a) "Victim of domestic violence" shall have the same meaning as is ascribed to such term by section four hundred fifty-nine-a of the social services law.
(b) "Actual address" means the residential street address, school address or work address of an individual, as specified on his or her application to be a program participant under this section.
(c) "Program participant" means a person certified as a program participant under this section.
(d) "Mail" means first class letters delivered via the United States Postal Service, including priority, express and certified mail, and excluding packages, parcels, periodicals and catalogues, unless they are clearly identifiable as pharmaceuticals or clearly indicate that they are sent by a government agency.
(e) "Substitute address" means the secretary's designated address for the address confidentiality program.
(f) "Secretary" means the secretary of state.
(g) "Public record" means any information kept, held, filed, produced or reproduced by, with or for an agency, in any physical form whatsoever including, but not limited to, reports, statements, examinations, memoranda, opinions, folders, files, books, manuals, pamphlets, forms, papers, designs, drawings, maps, photos, letters, microfilms, computer tapes or discs, rules, regulations or codes.
(h) "Process" means judicial process and all orders, demands, notices or other papers required or permitted by law to be served on a program participant.
(i) "Victim of a sexual offense" means a victim of any act constituting an offense as defined under article one hundred thirty, and/or sections 255.25, 255.26, and 255.27 of the penal law, including threats or attempts to commit such offenses.
(j) "Victim of stalking" means a victim of any act constituting an offense as defined under sections 120.45, 120.50, 120.55 and 120.60 of the penal law.
(k) "Victim of human trafficking" means a victim of any act constituting an offense as defined under section 135.35, 135.37, 230.34, or 230.34-a of the penal law.
* (l) "Reproductive health care services provider, employee, volunteer, or patient" means a person who obtains, provides, or assists, at the request of another person, in obtaining or providing reproductive health care services, or a person who owns or operates a reproductive health care services facility.
* NB There are 2 par (l)'s
* (l) "Victim of kidnapping" means a victim of any act constituting an offense as defined under sections 135.20 and 135.25 of the penal law.
* NB There are 2 par (l)'s
(m) "Reproductive health care services facility" includes a hospital, an office operated by a licensed physician and surgeon, a licensed clinic, or other licensed health care facility that provides reproductive health care services and includes only the building or structure in which the reproductive health care services are actually provided.
(n) "Immediate family member" shall have the same meaning as defined in subdivision eight of section two hundred thirty-eight of the public health law.
2. Address confidentiality program; application; certification. (a) An adult person, a parent or legal guardian acting on behalf of a minor, or a legal guardian acting on behalf of an incapacitated person, may apply to the secretary to have an address designated by the secretary to serve as the person's address or address of the minor or incapacitated person in lieu of the person's actual address. The secretary shall approve an application if it is filed in the manner and on the form prescribed by the secretary, and if it includes:
(i) a signed written statement affirmed by the applicant that:
(A) the applicant, or the minor or incapacitated person on whose behalf the application is made, is a victim of domestic violence, victim of human trafficking, victim of kidnapping, victim of a sexual offense, victim of stalking, or a reproductive health care services provider, employee, volunteer, patient, or an immediate family member of a reproductive health care services provider;
(B) the applicant, or the minor or incapacitated person on whose behalf the application is made, has left his or her residence because of such violence or acts, provided, however, this clause shall not apply if the applicant is a reproductive health care services provider, employee, volunteer, patient, or an immediate family member of a reproductive health care services provider;
(C) the applicant fears for his or her safety or his or her children's safety, or the safety of the minor or incapacitated person on whose behalf the application is made, or, in the case of a reproductive health care services provider, employee, volunteer, or patient, the applicant fears for his or her safety or the safety of an immediate family member; and
(D) the parent or legal guardian applying on behalf of a minor or incapacitated person has legal authority to act on the person's behalf;
(ii) a designation of the secretary as agent for purposes of service of process and for the purpose of receipt of mail;
(iii) the mailing address where the applicant can be contacted by the secretary and the telephone number or numbers where the applicant can be called by the secretary;
(iv) the actual address or addresses that the applicant requests not be disclosed because of the increased risk of domestic violence, a sexual offense, stalking, physical injury or in the case of reproductive health care services provider, employee, volunteer, patient, or an immediate family member of a reproductive health care services provider, other threats of violence; and
(v) the name of any person who resides with the applicant who also needs to be a program participant in order to ensure the safety of the applicant and, if the person named in the application is eighteen years of age or older, the consent of such person to be a program participant and designation by such person of the secretary as agent for purposes of service of process and for the purpose of receipt of mail; and
(vi) the signature of the applicant and the name and signature of any individual or representative of any office designated by the secretary under subdivision three of this section who assisted in the preparation of the application, and the date on which the applicant signed the application.
(b) The secretary shall establish, distribute and make available a form for the purpose of making applications pursuant to this section.
(c) Applications shall be filed with the office of the secretary.
(d) Upon receipt of a properly completed application, the secretary shall certify the applicant as a program participant and shall serve as the participant's agent for service of process and receipt of mail for the duration of the term of certification.
(e) Participants shall be certified for four years following the date of filing, unless the certification is withdrawn or cancelled before that date. The secretary shall promulgate rules and regulations for renewal of applications pursuant to this section.
3. Designation of agencies to assist applicants. The secretary shall designate state, local or nonprofit agencies that provide counseling, referral, shelter or other specialized services to victims of domestic violence, victims of human trafficking, victims of kidnapping, victims of a sexual offense, victims of stalking, and reproductive health care services providers, employees, volunteers, patients, or immediate family members of reproductive health care services providers to assist persons applying to be program participants. Such persons providing assistance shall be trained by the secretary. Any assistance and counseling rendered by an officer of the secretary or his or her designees to applicants shall in no way be construed as legal advice.
4. Use and acceptance of substitute address; mail forwarding. (a) A program participant may request that state and local agencies use the substitute address. When creating, modifying or maintaining a public record, state and local agencies shall accept the substitute address upon demonstration by a program participant of his or her certification in the program, unless the secretary waives this requirement after determining that:
(i) the agency has a bona fide statutory or administrative requirement for the use of the participant's actual address which would otherwise be confidential under this section; and
(ii) the agency has explained how its acceptance of the substitute address will prevent the agency from meeting its obligations under the law and why it cannot meet its statutory or administrative obligation by a change in its internal procedures.
(b) Any agency receiving a waiver shall maintain the confidentiality of the program participant's address by redacting the actual address when the record is released to any person and shall not make the program participant's actual address available for inspection or copying, except under the following circumstances:
(i) there is a bona fide statutory or administrative requirement for the communication of an actual address to another agency that has received a waiver from the secretary, provided that each waiver specifically authorizes such communication with the specified agency; or
(ii) if directed by a court order to a person identified in the order.
(c) Upon receipt by the secretary of a process or mail for a participant, the office of the secretary shall immediately forward all such process or mail to the appropriate program participants at the address specified by the participant for that purpose, and shall record the date of such forwarding. Service of process on a program participant, a program participant's minor child, incapacitated person or other adult member of the program participant's household shall be complete when the secretary receives such process by mail or otherwise.
(d) A program participant may use the substitute address as his or her work address.
(e) The secretary or any member of the department of state who reasonably and in good faith handles any process or mail on behalf of a participant in accordance with this section shall be immune from any civil liability which might otherwise result by reason of such actions.
5. Cancellation of certification. (a) The secretary may cancel a program participant's certification if, after the passage of fourteen days:
(i) from the date of changing his or her name, the program participant does not notify the secretary that he or she has obtained a name change; however, the program participant may reapply under his or her new name;
(ii) from the date of changing his or her actual address, the program participant fails to notify the secretary of the change of such address; or
(iii) from the date the secretary first receives mail, forwarded to the program participant's address, returned as non-deliverable.
(b) The secretary shall cancel certification of a program participant who applies using false information.
(c) The secretary shall cancel certification of a program participant if the participant's certification term has expired and certification renewal has not been completed.
(d) The secretary shall send notice of cancellation to the program participant. Notice of cancellation shall set out the reasons for cancellation. The program participant shall have thirty days to appeal the cancellation decision under procedures developed by the secretary.
(e) Program participants may withdraw from the program by giving the secretary written notice of their withdrawal and his or her current identification card. The secretary shall establish, by rule, a secure procedure for ensuring that the request for withdrawal is legitimate.
(f) Any records or documents pertaining to a program participant shall not be a public record and shall be retained and held confidential for a period of three years after termination of certification and then destroyed.
6. Disclosure of participant information prohibited; exceptions. (a) The secretary shall not make a program participant's information, other than the substitute address, available for inspection or copying, except under any of the following circumstances:
(i) if requested by a law enforcement agency for a legitimate law enforcement purpose as determined by the law enforcement agency; or
(ii) to a person identified in a court order, upon the secretary's receipt of that court order which specifically orders the disclosure of a particular program participant's address and the reasons stated therefor.
(b) The secretary may verify the participation of a specific program participant, in which case the secretary may only confirm information supplied by the requester.
7. Rules and regulations. The secretary shall promulgate rules and regulations necessary to implement the provisions of this section.
8. Report to the legislature. The secretary shall submit to the legislature, no later than February first of each year, a report that includes for each county, the total number of applications received, the total number of persons participating in the program established by this section during the previous calendar year and the total number of pieces of mail forwarded to program participants during the previous calendar year.
§ 109. Registration of certain service providers. 1. For purposes of this section:
(a) "Client" shall mean a person or entity who in the preceding calendar year retained or hired the political consultant relating to matters before any state or local government agency, authority or official, including services, advice or consultation relating to any state or local government contract for real property, goods or services, an appearance in a ratemaking proceeding, an appearance in a regulatory matter, or an appearance in a legislative matter other than matters described in subparagraph (E) of the second undesignated paragraph of subdivision (c) of section one-c of the legislative law.
(b) "Political consulting services" shall mean services provided by a political consultant to or on behalf of an elected public official in New York state or to or on behalf of a candidate for elected office in New York state, or to or on behalf of a person nominated for elected public office which services: (1) assist or are intended to assist in a campaign for nomination for election or election to office in New York state, including fundraising activities, voter outreach, composition and distribution of promotional literature, advertisements, or other similar communications, as set forth in section 14-106 of the election law, or (2) consist of political advice to an elected public official or candidate for elected public office in New York state or person nominated for elected public office; provided, however, that political consulting services shall not include bona fide legal work directly related to litigation or legal advice with regard to securing a place on the ballot, the petitioning process, the conduct of an election, or which involves the election law.
(c) "Political consultant" shall mean a person who holds himself or herself out to persons in this state as a person who performs political consulting services in a professional capacity and who is usually compensated, excluding reimbursement for expenses, for such services.
2. The secretary of state shall promulgate rules and regulations prescribing a registration form to be used by any political consultant who provides political consulting services to a sitting elected public official, candidate for elected public office or person nominated for elected public office and who has also been retained by a client for such services.
3. Such registration form shall identify:
(a) the name, address, and telephone number of the political consultant;
(b) the name, address, and telephone number of each sitting elected public official, candidate for elected public office, and person nominated for elected public office who the political consultant provided political consulting services to;
(c) the name, address, and telephone number of each client who retains or hires a political consultant in the preceding calendar year provided, that in the event the client is an entity, at least one natural person who has a controlling interest in such entity shall be identified; and
(d) a brief description of the nature of the political consulting services provided to each identified client.
4. Such registration shall be filed with the department of state and shall cover a six month reporting period. The reporting period shall mean the six month period within a calendar year starting January first and ending June thirtieth or the six month period within a calendar year starting July first and ending December thirty-first.
5. The secretary of state shall post the completed forms on the department of state's website within thirty days of the close of each reporting period.
6. The department of state may impose a civil penalty of up to seven hundred fifty dollars upon any political consultant who fails to file a registration required by this section provided, however, that the secretary shall provide such political consultant a reasonable opportunity to cure such a failure.
7. The department of state shall adopt, amend and rescind rules and regulations defining the degree and extent of political consulting services necessary to require the reporting pursuant to this section.
§ 130. Appointment of notaries public. 1. The secretary of state may appoint and commission as many notaries public for the state of New York as in his or her judgment may be deemed best, whose jurisdiction shall be co-extensive with the boundaries of the state. The appointment of a notary public shall be for a term of four years. An application for an appointment as notary public shall be in form and set forth such matters as the secretary of state shall prescribe. Every person appointed as notary public must, at the time of his or her appointment, be a resident of the state of New York or have an office or place of business in New York state. A notary public who is a resident of the state and who moves out of the state but still maintains a place of business or an office in New York state does not vacate his or her office as a notary public. A notary public who is a nonresident and who ceases to have an office or place of business in this state, vacates his or her office as a notary public. A notary public who is a resident of New York state and moves out of the state and who does not retain an office or place of business in this state shall vacate his or her office as a notary public. A non-resident who accepts the office of notary public in this state thereby appoints the secretary of state as the person upon whom process can be served on his or her behalf. Before issuing to any applicant a commission as notary public, unless he or she be an attorney and counsellor at law duly admitted to practice in this state or a court clerk of the unified court system who has been appointed to such position after taking a civil service promotional examination in the court clerk series of titles, the secretary of state shall satisfy himself or herself that the applicant is of good moral character, has the equivalent of a common school education and is familiar with the duties and responsibilities of a notary public; provided, however, that where a notary public applies, before the expiration of his or her term, for reappointment with the county clerk or where a person whose term as notary public shall have expired applies within six months thereafter for reappointment as a notary public with the county clerk, such qualifying requirements may be waived by the secretary of state, and further, where an application for reappointment is filed with the county clerk after the expiration of the aforementioned renewal period by a person who failed or was unable to re-apply by reason of his or her induction or enlistment in the armed forces of the United States, such qualifying requirements may also be waived by the secretary of state, provided such application for reappointment is made within a period of one year after the military discharge of the applicant under conditions other than dishonorable, or if the applicant has a qualifying condition, as defined in section one of the veterans' services law, within a period of one year after the applicant has received a discharge other than bad conduct or dishonorable from such service, or if the applicant is a discharged LGBT veteran, as defined in section one of the veterans' services law, within a period of one year after the applicant has received a discharge other than bad conduct or dishonorable from such service. In any case, the appointment or reappointment of any applicant is in the discretion of the secretary of state. The secretary of state may suspend or remove from office, for misconduct, any notary public appointed by him or her but no such removal shall be made unless the person who is sought to be removed shall have been served with a copy of the charges against him or her and have an opportunity of being heard. No person shall be appointed as a notary public under this article who has been convicted, in this state or any other state or territory, of a crime, unless the secretary makes a finding in conformance with all applicable statutory requirements, including those contained in article twenty-three-A of the correction law, that such convictions do not constitute a bar to appointment.
2. A person regularly admitted to practice as an attorney and counsellor in the courts of record of this state, whose office for the practice of law is within the state, may be appointed a notary public and retain his office as such notary public although he resides in or removes to an adjoining state. For the purpose of this and the following sections of this article such person shall be deemed a resident of the county where he maintains such office.
§ 131. Procedure of appointment; fees and commissions; fee payment methods. 1. New appointment. (a) Applicants for a notary public commission shall submit to the secretary of state with their application, the oath of office, duly executed before any person authorized to administer an oath, together with their signature.
(b) Upon being satisfied of the competency and good character of applicants for appointment as notaries public, the secretary of state shall issue a commission to such persons; and the official signature of the applicants and the oath of office filed with such applications shall take effect.
(c) The secretary of state shall receive a non-refundable application fee of sixty dollars from applicants for appointment, which fee shall be submitted together with the application. No further fee shall be paid for the issuance of the commission.
(d) A notary public identification card indicating the appointee's name, address, county and commission term shall be transmitted to the appointee.
(e) The commission, duly dated, and a certified copy or the original of the oath of office and the official signature, and twenty dollars apportioned from the application fee shall be transmitted by the secretary of state to the county clerk of the county in which the appointee resides by the tenth day of the following month. Transmission may be accomplished by electronic means that results in a submission of such records and fees by the secretary of state to the county clerk. For purposes of this section, "electronic" shall have the same meaning as set forth in section three hundred two of the state technology law.
(f) The county clerk shall make a proper index of commissions and official signatures transmitted to that office by the secretary of state pursuant to the provisions of this section.
2. Reappointment. (a) Applicants for reappointment of a notary public commission shall submit to the secretary of state with their application the oath of office, duly executed before any person authorized to administer an oath, together with their signature.
(b) Upon being satisfied of the completeness of the application for reappointment, the secretary of state shall issue a commission to such persons; and the official signature of the applicants and the oath of office filed with such applications shall take effect.
(c) The secretary of state shall receive a non-refundable application fee of sixty dollars from each applicant for reappointment, which fee shall be submitted together with the application. No further fee shall be paid for the issuance of the commission.
(d) The commission, duly dated, and a certified or original copy of the oath of office and the official signature, and twenty dollars apportioned from the application fee plus interest as may be required by statute shall be transmitted by the secretary of state to the county clerk of the county in which the appointee resides by the tenth day of the following month. Transmission may be accomplished by electronic means that results in a submission of such records and fees by the secretary of state to the county clerk.
(e) The county clerk shall make a proper record of commissions transmitted to that office by the secretary of state pursuant to the provisions of this section.
3. Electronic notarization. (a) After registration of the capability to perform electronic notarial acts pursuant to section one hundred thirty-five-c of this article, the secretary of state shall transmit to the county clerk the exemplar of the notary public's electronic signature and any change in commission number or expiration date of the notary public's commission. Transmission may be accomplished by electronic means.
(b) Registration of the capability to perform electronic notarizations shall be treated as a new appointment by the secretary of state.
4. Fees. (a) Except for changes made in an application for reappointment, the secretary of state shall receive a non-refundable fee of ten dollars for changing the name or address of a notary public.
(b) The secretary of state may issue a duplicate identification card to a notary public for one lost, destroyed or damaged upon application therefor on a form prescribed by the secretary of state and upon payment of a non-refundable fee of ten dollars. Each such duplicate identification card shall have the word "duplicate" stamped across the face thereof, and shall bear the same number as the one it replaces.
(c) The secretary of state shall accept payment for any fee relating to appointment or reappointment as a notary in the form of cash, money order, certified check, company check, bank check or personal check. The secretary of state may provide for accepting payment of any such fee due by credit or debit card, which may include payment through the internet.
§ 132. Certificates of official character of notaries public. The secretary of state or the county clerk of the county in which the commission of a notary public is filed may certify to the official character of such notary public and any notary public may file their autograph signature and a certificate of official character in the office of any county clerk of any county in the state and in any register's office in any county having a register and thereafter such county clerk may certify as to the official character of such notary public. The secretary of state shall collect for each certificate of official character issued the sum of one dollar. The county clerk and register of any county with whom a certificate of official character has been filed shall collect for filing the same the sum of ten dollars. For each certificate of official character issued, with seal attached, by any county clerk, the sum of five dollars shall be collected.
§ 133. Certification of notarial signatures. The county clerk of a county in whose office any notary public has qualified or has filed their autograph signature and a certificate of official character, shall, when so requested and upon payment of a fee of three dollars, affix to any certificate of proof or acknowledgment or oath signed by such notary anywhere in the state of New York, a certificate under their hand and seal, stating that a commission or a certificate of official character of such notary with their autograph signature has been filed in the county clerk's office, and that the county clerk was at the time of taking such proof or acknowledgment or oath duly authorized to take the same; that the county clerk is well acquainted with the handwriting of such notary public or has compared the signature on the certificate of proof or acknowledgment or oath with the autograph signature deposited in their office by such notary public and believes that the signature is genuine. An instrument with such certificate of authentication of the county clerk affixed thereto shall be entitled to be read in evidence or to be recorded in any of the counties of this state in respect to which a certificate of a county clerk may be necessary for either purpose. In addition to the foregoing powers, a county clerk of a county in whose office a notary public has qualified may certify the signature of an electronic notary public, registered with the secretary of state pursuant to section one hundred thirty-five-c of this article, provided such county clerk has received from the secretary of state, an exemplar of the notary public's registered electronic signature.
§ 134. Signature and seal of county clerk. The signature and seal of a county clerk, upon a certificate of official character of a notary public or the signature of a county clerk upon a certificate of authentication of the signature and acts of a notary public or commissioner of deeds, may be a facsimile, printed, stamped, photographed or engraved thereon.
§ 135. Powers and duties; in general; of notaries public who are attorneys at law. Every notary public duly qualified is hereby authorized and empowered within and throughout the state to administer oaths and affirmations, to take affidavits and depositions, to receive and certify acknowledgments or proof of deeds, mortgages and powers of attorney and other instruments in writing; to demand acceptance or payment of foreign and inland bills of exchange, promissory notes and obligations in writing, and to protest the same for non-acceptance or non-payment, as the case may require, and, for use in another jurisdiction, to exercise such other powers and duties as by the laws of nations and according to commercial usage, or by the laws of any other government or country may be exercised and performed by notaries public, provided that when exercising such powers he shall set forth the name of such other jurisdiction.
A notary public who is an attorney at law regularly admitted to practice in this state may, in his discretion, administer an oath or affirmation to or take the affidavit or acknowledgment of his client in respect of any matter, claim, action or proceeding.
For any misconduct by a notary public in the performance of any of his powers such notary public shall be liable to the parties injured for all damages sustained by them. A notary public shall not, directly or indirectly, demand or receive for the protest for the non-payment of any note, or for the non-acceptance or non-payment of any bill of exchange, check or draft and giving the requisite notices and certificates of such protest, including his notarial seal, if affixed thereto, any greater fee or reward than seventy-five cents for such protest, and ten cents for each notice, not exceeding five, on any bill or note. Every notary public having a seal shall, except as otherwise provided, and when requested, affix his seal to such protest free of expense.
§ 135-a. Notary public or commissioner of deeds; acting without appointment; fraud in office. 1. Any person who holds himself out to the public as being entitled to act as a notary public or commissioner of deeds, or who assumes, uses or advertises the title of notary public or commissioner of deeds, or equivalent terms in any language, in such a manner as to convey the impression that he is a notary public or commissioner of deeds without having first been appointed as notary public or commissioner of deeds, or
2. A notary public or commissioner of deeds, who in the exercise of the powers, or in the performance of the duties of such office shall practice any fraud or deceit, the punishment for which is not otherwise provided for by this act, shall be guilty of a misdemeanor.
§ 135-b. Advertising by notaries public. 1. The provisions of this section shall not apply to attorneys-at-law, admitted to practice in the state of New York.
2. A notary public who advertises his or her services as a notary public in a language other than English shall post with such advertisement a notice in such other language the following statement: "I am not an attorney licensed to practice law and may not give legal advice about immigration or any other legal matter or accept fees for legal advice."
3. A notary public shall not use terms in a foreign language in any advertisement for his or her services as a notary public that mean or imply that the notary public is an attorney licensed to practice in the state of New York or in any jurisdiction of the United States. The secretary shall designate by rule or regulation the terms in a foreign language that shall be deemed to mean or imply that a notary public is licensed to practice law in the state of New York and the use of which shall be prohibited by notary publics who are subject to this section.
4. For purposes of this section, "advertisement" shall mean and include material designed to give notice of or to promote or describe the services offered by a notary public for profit and shall include business cards, brochures, and notices, whether in print or electronic form.
5. Any person who violates any provision of this section or any rule or regulation promulgated by the secretary may be liable for civil penalty of up to one thousand dollars. The secretary of state may suspend a notary public upon a second violation of any of the provisions of this section and may remove from office a notary public upon a third violation of any of the provisions of this section, provided that the notary public shall have been served with a copy of the charges against him or her and been given an opportunity to be heard. The civil penalty provided for by this subdivision shall be recoverable in an action instituted by the attorney general on his or her own initiative or at the request of the secretary.
6. The secretary may promulgate rules and regulations governing the provisions of this section, including the size and type of statements that a notary public is required by this section to post.
§ 135-c. Electronic notarization. 1. Definitions. (a) "Communication technology" means an electronic device or process that: (i) allows a notary public and a remotely located individual to communicate with each other simultaneously by sight and sound; and (ii) when necessary and consistent with other applicable law, facilitates communication with a remotely located individual who has a vision, hearing, or speech impairment.
(b) "Electronic" shall have the same meaning as set forth in subdivision one of section three hundred two of the state technology law.
(c) "Electronic record" means information that is created, generated, sent, communicated, received or stored by electronic means.
(d) "Electronic notarial act" means an official act by a notary public, physically present in the state of New York, on or involving an electronic record and using means authorized by the secretary of state.
(e) "Electronic notary public" or "electronic notary" means a notary public who has registered with the secretary of state the capability of performing electronic notarial acts.
(f) "Electronic signature" shall have the same meaning as set forth in subdivision three of section three hundred two of the state technology law.
(g) "Principal" means an individual:
(i) whose signature is reflected on a record that is notarized;
(ii) who has taken an oath or affirmation administered by a notary public; or
(iii) whose signature is reflected on a record that is notarized after the individual has taken an oath or affirmation administered by a notary public.
(h) "Record" means information that is inscribed on a tangible medium or that is stored in an electronic or other medium and is retrievable in perceivable form.
2. Any notary public qualified under this article is hereby authorized to perform an electronic notarial act by utilizing audio-video communication technology that allows the notary public to interact with a principal, provided that all conditions of this section are met.
(a) The methods for identifying document signers for an electronic notarization shall be the same as the methods required for a paper-based notarization; provided, however, an electronic notarial act conducted utilizing communication technology shall meet the standards which have been approved through regulation by the secretary of state as acceptable. Such regulations shall include, but not be limited to:
(i) that the signal transmission shall be secure from interception through lawful means by anyone other than the persons communicating;
(ii) that the communication technology shall permit the notary public to communicate with the principal live, in real time;
(iii) that the communication technology shall permit the notary to communicate with and identify the remotely located individual at the time of the notarial act; and
(iv) a standard that requires two or more different processes for authenticating the identity of a remotely located individual utilizing technology to detect and deter fraud, but which may allow a notary public's personal knowledge of a document signer to satisfy such requirement.
(b) If video and audio conference technology has been used to ascertain a document signer's identity, the electronic notary shall keep a copy of the recording of the video and audio conference and a notation of the type of any other identification used. The recording shall be maintained for a period of at least ten years from the date of transaction.
3. Registration requirements. (a) Before performing any electronic notarial act or acts, a notary public shall register the capability to notarize electronically with the secretary of state on a form prescribed by the secretary of state and upon payment of a fee which shall be set by regulation.
(b) In registering the capability to perform electronic notarial acts, the notary public shall provide the following information to the secretary of state, notary processing unit:
(i) the applicant's name as currently commissioned and complete mailing address;
(ii) the expiration date of the notary public's commission and signature of the commissioned notary public;
(iii) the applicant's e-mail address;
(iv) the description of the electronic technology or technologies to be used in attaching the notary public's electronic signature to the electronic record; and
(v) an exemplar of the notary public's electronic signature, which shall contain the notary public's name and any necessary instructions or techniques that allow the notary public's electronic signature to be read.
4. Types of electronic notarial acts. (a) Any notarial act authorized by section one hundred thirty-five of this article may be performed electronically as prescribed by this section if: (i) for execution of any instrument in writing, under applicable law that document may be signed with an electronic signature and the notary public is reasonably able to confirm that such instrument is the same instrument in which the principal made a statement or on which the principal executed a signature; and (ii) the electronic notary public is located within the state of New York at the time of the performance of an electronic notarial act using communication technology, regardless of the location of the document signer. If the principal is outside the United States, the record or subject of the notarial act:
(1) is to be filed with or relates to a matter before a public official or court, governmental entity, or other entity subject to the jurisdiction of the United States; or
(2) shall involve property located in the territorial jurisdiction of the United States or shall involve a transaction substantially connected with the United States.
(b) An electronic notarial act performed using communication technology pursuant to this section satisfies any requirement of law of this state that a document signer personally appear before, be in the presence of, or be in a single time and place with a notary public at the time of the performance of the notarial act.
5. Form and manner of performing the electronic notarial act. (a) When performing an electronic notarial act relating to execution of instruments in writing, a notary public shall apply an electronic signature, which shall be attached to the electronic record such that removal or alteration of such electronic signature is detectable and will render evidence of alteration of the document containing the notary signature which may invalidate the electronic notarial act.
(b) The notary public's electronic signature is deemed to be reliable if the standards which have been approved through regulation by the secretary of state have been met. Such regulations shall include, but not be limited to, the requirements that such electronic signature be:
(i) unique to the notary public;
(ii) capable of independent verification;
(iii) retained under the notary public's sole control;
(iv) attached to the electronic record; and
(v) linked to the data in such a manner that any subsequent alterations to the underlying document are detectable and may invalidate the electronic notarial act.
(c) The notary public's electronic signature shall be used only for the purpose of performing electronic notarial acts.
(d) The remote online notarial certificate for an electronic notarial act shall state that the person making the acknowledgement or making the oath appeared through use of communication technology.
(e) The secretary shall adopt rules necessary to establish standards, procedures, practices, forms, and records relating to a notary public's electronic signature. The notary public's electronic signature shall conform to any standards adopted by the secretary.
6. Recording of an electronic record. (a) If otherwise required by law as a condition for recording that a document be an original document, printed on paper or another tangible medium, or be in writing, the requirement is satisfied by paper copy of an electronic record that complies with the requirements of this section.
(b) If otherwise required by law as a condition for recording, that a document be signed, the requirement may be satisfied by an electronic signature.
(c) A requirement that a document or a signature associated with a document be notarized, acknowledged, verified, witnessed, or made under oath is satisfied if the electronic signature of the person authorized to perform that act, and all other information required to be included, is attached to or logically associated with the document or signature. A physical or electronic image of a stamp, impression, or seal need not accompany an electronic signature if the notary has attached an electronic notarial certificate that meets the requirements of this section.
(d) (i) A notary public may certify that a tangible copy of the signature page and document type of an electronic record notarized by such notary public is an accurate copy of such electronic record. Such certification must (1) be dated and signed by the notary public in the same manner as the official signature of the notary public provided to the secretary of state pursuant to section one hundred thirty-one of this article, and (2) comply with section one hundred thirty-seven of this article.
(ii) A county clerk, city registrar, or other recording officer where applicable shall accept for recording a tangible copy of an electronic record and that is otherwise eligible to be recorded under the laws of this state if the record has been certified by a notary public or other individual authorized to perform a notarial act.
(iii) A certification in substantially the following form is sufficient for the purposes of this subdivision:
CERTIFICATE OF AUTHENTICITY State of New York )
) ss.: County of ...............) On this ...... day of ...... in the year ....., I certify that the signature page of the attached record (entitled ......) (dated ......) is a true and correct copy of the signatures affixed to an electronic record printed by me or under my supervision. I further certify that, at the time of printing, no security features present on the electronic record indicated any changes or errors in an electronic signature in the electronic record after its creation or execution.
(Signature and title of notary public)
(official stamp or registration number, with the expiration date of the notary public's commission)
7. Change of e-mail address. Within five days after the change of an electronic notary public's e-mail address, the notary public shall electronically transmit to the secretary of state a notice of the change, signed with the notary public's official electronic signature.
8. No notary public or business employing the services of a notary public operating in the state of New York shall exclusively require notarial transactions to utilize electronic notarization.
9. Nothing in this section shall be construed as requiring any notary public to perform a notarial act using electronic communication technology. A notary public may refuse to perform such a notarial act if the notary public is not satisfied that (a) the principal is competent or has the capacity to execute a record, or (b) the principal's signature is knowingly and voluntarily made.
10. Notwithstanding article nine of the real property law or any other law to the contrary, any act performed in conformity with this section shall satisfy any requirements at law that a principal personally appear before, be in the presence of, or be in a single time and place with a notary public at the time of the performance of the notarial act, unless a law expressly excludes the authorization provided for in this section.
§ 136. Notarial fees. A notary public shall be entitled to the following fees:
1. For administering an oath or affirmation, and certifying the same when required, except where another fee is specifically prescribed by statute, two dollars.
2. For taking and certifying the acknowledgment or proof of execution of a written instrument, by one person, two dollars, and by each additional person, two dollars, for swearing each witness thereto, two dollars.
3. For electronic notarial services, established in section one hundred thirty-five-c of this chapter, a fee set through regulation by the secretary of state.
§ 137. Statement as to authority of notaries public. In exercising powers pursuant to this article, a notary public, in addition to the venue of the act and signature of such notary public, shall print, typewrite, stamp, or affix by electronic means where performing an electronic notarial act in conformity with section one hundred thirty-five-c of the executive law, beneath their signature in black ink, the notary public's name, the words "Notary Public State of New York," the name of the county in which such notary public originally qualified, and the expiration date of such notary public's commission and, in addition, wherever required, a notary public shall also include the name of any county in which such notary public's certificate of official character is filed, using the words "Certificate filed .......... County." A notary public who is duly licensed as an attorney and counsellor at law in this state may substitute the words "Attorney and Counsellor at Law" for the words "Notary Public." A notary public who has qualified or who has filed a certificate of official character in the office of the clerk in a county or counties within the city of New York must also affix to each instrument such notary public's official number or numbers in black ink, as assigned by the clerk or clerks of such county or counties at the time such notary qualified in such county or counties and, if the instrument is to be recorded in an office of the register of the city of New York in any county within such city and the notary has been given a number or numbers by such register or his predecessors in any county or counties, when the notary public's autographed signature and certificate are filed in such office or offices pursuant to this chapter, the notary public shall also affix such number or numbers. No official act of such notary public shall be held invalid on account of the failure to comply with these provisions. If any notary public shall willfully fail to comply with any of the provisions of this section, the notary public shall be subject to disciplinary action by the secretary of state. In all the courts within this state the certificate of a notary public, over the signature of the notary public, shall be received as presumptive evidence of the facts contained in such certificate; provided, that any person interested as a party to a suit may contradict, by other evidence, the certificate of a notary public.
§ 138. Powers of notaries public or other officers who are stockholders, directors, officers or employees of a corporation. A notary public, justice of the supreme court, a judge, clerk, deputy clerk, or special deputy clerk of a court, an official examiner of title, or the mayor or recorder of a city, a justice of the peace, surrogate, special surrogate, special county judge, or commissioner of deeds, who is a stockholder, director, officer or employee of a corporation may take the acknowledgment or proof of any party to a written instrument executed to or by such corporation, or administer an oath to any other stockholder, director, officer, employee or agent of such corporation, and such notary public may protest for non-acceptance or non-payment, bills of exchange, drafts, checks, notes and other negotiable instruments owned or held for collection by such corporation; but none of the officers above named shall take the acknowledgment or proof of a written instrument by or to a corporation of which he is a stockholder, director, officer or employee, if such officer taking such acknowledgment or proof be a party executing such instrument, either individually or as representative of such corporation, nor shall a notary public protest any negotiable instruments owned or held for collection by such corporation, if such notary public be individually a party to such instrument, or have a financial interest in the subject of same. All such acknowledgments or proofs of deeds, mortgages or other written instruments, relating to real property heretofore taken before any of the officers aforesaid are confirmed. This act shall not affect any action or legal proceeding now pending.
§ 139. Commissioners of deeds within the state. 1. Commissioners of deeds in the cities of this state shall be appointed by the common councils of such cities respectively, and shall hold office for the term of two years from the date of their appointment, and until others are appointed in their places. A vacancy occurring during the term for which any commissioner shall be appointed, shall be filled by the common council. The common council of the several cities of this state, except in cities of this state situate in a county which has a population of not less than one hundred and eighty thousand, and not more than six hundred and fifty thousand, according to the last state or federal enumeration, shall at the end of every even numbered year, by resolution of the board, determine the number of commissioners of deeds to be appointed for such cities respectively.
2. The term of office of each commissioner of deeds appointed by the common council in cities of this state situate in a county which has a population of not less than one hundred and eighty thousand, and not more than six hundred and fifty thousand, according to the last state or federal enumeration, shall expire on the thirty-first of December of the even numbered year next after he shall be appointed. The common council of any such city shall in the month of November in every even numbered year, by resolution, determine the number of commissioners of deeds to be appointed in such cities, respectively, for the next succeeding two years.
3. Any person who resides in or maintains an office or other place of business in any such city and who resides in the county in which said city is situated shall be eligible to appointment. Such commissioners of deeds may be appointed by the common council by resolution, and the city clerk shall immediately after such appointment, file a certificate thereof with the county clerk of the county in which such city is situate, specifying the term for which the said commissioners of deeds shall have been appointed; the county clerk shall thereupon notify such persons of their appointment, and such persons so appointed shall qualify by filing with him his oath of office, duly executed before such county clerk or before any person authorized to administer an oath, together with his official signature, within thirty days from the date of such notice.
4. The county clerk shall make a proper index of certificates of appointment and official signatures filed with him. For filing and indexing the certificate of appointment and official signature, the county clerk shall be paid a fee of one dollar by the appointee, which fee shall include the administration of the oath by the county clerk, should he administer the same.
5. If a person appointed commissioner of deeds shall not file his oath of office as such commissioner of deeds, in the office of the clerk of the county of his residence, within thirty days after the notice of his appointment as above provided, his appointment is deemed revoked and the fee filed with his application forfeited.
6. A commissioner of deeds may file his autograph signature and certificate of appointment in the office of any county clerk, and the county clerk of the county in which such city is located, upon request of any commissioner appointed under the provisions of this section and upon payment of twenty-five cents for each certificate, must make and deliver to such commissioner such number of certificates as may be required. Such certificates shall be issued under the hand and seal of the county clerk of the county in which such city is located, showing the appointment and term of office of such commissioner and stating the county in which he resides. Such a certificate may be filed in the office of any county clerk upon the payment of one dollar for such filing in each office. The clerks of the counties outside the city of New York, shall each keep a book or card index file in which shall be registered the signature of the commissioners so filing such certificates.
7. The county clerk of the county in which said city is located shall, upon demand and upon payment of the sum of fifty cents, authenticate a certificate of acknowledgment or proof of oath taken before such commissioner of deeds within such city, by subjoining or attaching to the original certificate of acknowledgment or proof of oath a certificate under his hand and official seal specifying that at the time of taking the acknowledgment or proof of oath the officer taking it was duly authorized to take the same; that the authenticating officer is acquainted with the former's handwriting, or has compared the signature on the certificate of acknowledgment or proof of oath with the autograph signature deposited in his office by such officer, and that he verily believes the signature is genuine.
8. Any instrument or paper sworn to, proved or acknowledged before a commissioner of deeds within a city and authenticated as hereinbefore provided by the clerk of a county within which such city is located shall be recorded and read in evidence in any county in this state without further proof; provided, however, that a county clerk's certificate of authentication shall not be necessary to entitle any deed or other instrument or paper so proved or acknowledged to be recorded in any office where such commissioner has filed his autograph signature and certificate of appointment or to be read in evidence in any county in which such commissioner has filed with the county clerk his autograph signature and certificate of appointment, as herein provided.
9. The foregoing provisions of this section shall not apply in the city of New York.
§ 140. Commissioners of deeds in the city of New York. 1. The council of the city of New York is hereby authorized and is empowered to appoint commissioners of deeds in such city from time to time, who shall hold their offices for two years from the date of their appointment.
2. No person shall be appointed a commissioner of deeds except an attorney-at-law unless such person shall have submitted with his application proof of his ability to perform the duties of the office. Applicants serving clerkships in the offices of attorneys, and whose clerkship certificate is on file with the proper officials, shall submit an affidavit to that effect. Other employees of attorneys shall submit an affidavit sworn to by a member of the firm of such attorneys that the applicant is a proper and competent person to perform the duties of a commissioner of deeds. Every other applicant shall furnish a certificate of the city clerk of such city stating that he has examined the applicant and believes such applicant to be competent to perform the duties of a commissioner of deeds; provided, however, that where a commissioner of deeds applies, before the expiration of his term, for a reappointment or where a person whose term as commissioner of deeds shall have expired applies within six months after such expiration for appointment as a commissioner of deeds, such examination shall not be required. Upon any such application for such renewal the city clerk shall furnish the applicant with a certificate stating that the applicant has theretofore qualified for appointment and indicate the date of the applicant's original appointment thereon. The fee for issuing each such certificate shall be fifty cents.
3. Such appointment shall not require the approval of the mayor, and hereafter, at the time of subscribing or filing the oath of office, the city clerk shall collect from each person appointed a commissioner of deeds the sum of twenty-five dollars, and he shall not administer or file such oath unless such fee has been paid.
4. The city clerk shall designate a commissioner of deeds clerk, whose duties shall be to enter the names of commissioners of deeds appointed in a book kept for that purpose, make out certificates of appointment and discharge such other duties as the city clerk may designate.
5. Any person hereafter appointed to the office of commissioner of deeds in and for the city of New York by the council, before entering upon the discharge of the duties of such office and within thirty days after such appointment, shall take and subscribe before the commissioner of deeds clerk in the office of the city clerk or before any person authorized to administer oaths the following oath of office: that the applicant is a citizen of the United States, and a resident of the state of New York, the city of New York and the county of (naming the county); that he will support the constitution of the United States and the constitution of the state of New York and faithfully discharge the duties of the office of commissioner of deeds. A person regularly admitted to practice as an attorney and counsellor in the courts of record of this state, whose office for the practice of law is within the city of New York, may be appointed a commissioner of deeds in and for the city of New York and may retain his office as such commissioner of deeds although he resides in or removes to another city in this state or to an adjoining state. For the purposes of this and the following sections of this article such person shall be deemed a resident of the county where he maintains such office.
5-a. A person regularly admitted to practice as an attorney and counsellor in the courts of record of this state, whose office for the practice of law is within the city of New York, may be appointed a commissioner of deeds in and for the city of New York and may retain his office as such commissioner of deeds although he resides in or removes to any other county in this state or to an adjoining state. For the purposes of this article such person shall be deemed a resident of the county where he maintains such office.
6. Any commissioner of deeds who may remove from the city of New York during his term of office vacates his office and is hereby required to notify the city clerk of such removal, and immediately upon the receipt of such notice of removal the city clerk shall cause the name of such commissioner to be stricken from the roll of commissioners of deeds of the city.
7. Any person appointed to the office of commissioner of deeds under the provisions of this section, upon qualifying as above provided, may administer oaths and take acknowledgments or proofs of deeds and other instruments in any part of the city of New York.
8. A commissioner of deeds may file his autograph signature and certificate of appointment in the office of any county clerk in the city; and the city clerk, upon request of any commissioner appointed under the provisions of this section and upon payment of twenty-five cents for each certificate, must make and deliver to such commissioner such number of certificates as such commissioner may require. Such certificates shall be issued under the hand and official seal of the city clerk, showing the appointment and term of office of such commissioner and stating the county in which he resides, which certificates may be filed in the office of the several county clerks in the city upon payment of one dollar in each office for filing.
9. The clerks of the counties of New York, Kings, Queens, Richmond and Bronx shall each keep a book or card index file in which shall be registered the signature of the commissioners so filing such certificates; and the county clerk of any county in the city with whom such commissioner has filed a certificate of appointment shall, upon demand and upon payment of the sum of fifty cents, authenticate a certificate of acknowledgment or proof of oath taken before such commissioner of deeds, without regard to the county in the city in which such acknowlgment or proof was taken or oath administered, by subjoining or attaching to the original certificate of acknowledgment or proof or oath a certificate under his hand and official seal specifying that at the time of taking the acknowledgment or proof or oath the officer taking it was duly authorized to take the same; that the authenticating officer is acquainted with the former's handwriting, or has compared the signature on the certificate of acknowledgment, proof or oath with the autograph signature deposited in his office by such officer, and that he verily believes the signature is genuine.
10. Any instrument or paper sworn to, proved or acknowledged before a commissioner of deeds within the city of New York and authenticated as hereinbefore provided by the clerk of any county within the city with whom such commissioner has filed his autograph signature and certificate of appointment shall be recorded and read in evidence in any county in this state without further proof; provided, however, that a county clerk's certificate of authentication shall not be necessary to entitle any deed or other instrument or paper so proved or acknowledged to be recorded or read in evidence in any office of the county clerks within the city of New York or the office of the register of the city of New York.
11. A commissioner of deeds must affix, in black ink, to each instrument sworn to, acknowledged or proved, in addition to his signature, the date when his term expires and his official number as given to him by the city clerk, and must print, typewrite or stamp his name in black ink beneath his signature.
12. The mayor of the city of New York may remove any commissioner of deeds appointed under the provisions of this section for cause shown; but no such commissioner shall be removed until charges have been duly made against him to the mayor and the commissioner shall have had an opportunity to answer the same. At any proceedings held before the mayor for the removal of such commissioner of deeds the mayor shall have power to subpoena witnesses and to compel the attendance of the same, and to administer oaths, and to compel the production of books and papers, and upon the termination of such proceedings shall make his decision thereon in writing, and cause the same to be filed in the office of the city clerk of the city of New York, provided, however, that the mayor may, whenever a hearing is granted by him on complaint against a commissioner of deeds, designate an assistant corporation counsel to preside who shall have power to subpoena witnesses and to compel the attendance of the same, administer oaths, compel the production of books and papers and receive exhibits; such assistant shall, upon the termination of such proceedings, certify a copy of the stenographer's minutes of such hearing and such exhibits as may be received in evidence, together with his recommendations on the issues presented, whereupon the mayor shall render a decision on all matters presented on such hearing.
13. In case such commissioner shall be removed from office the city clerk, immediately upon the receipt by him of the order of removal signed by the mayor, shall cause the name of such commissioner so removed to be stricken from the roll of commissioners of deeds of the city.
14. No person who has been removed from office as a commissioner of deeds for the city of New York, as hereinbefore provided, shall thereafter be eligible again to be appointed as such commissioner nor, shall he be eligible thereafter to appointment to the office of notary public.
15. Any person who has been removed from office as aforesaid, who shall, after knowledge of such removal, sign or execute any instrument as a commissioner of deeds or notary public shall be deemed guilty of a misdemeanor.
16. In case of the removal for cause, or removal from the city or resignation of a commissioner of deeds, the city clerk shall immediately notify each county clerk and the register of the city of New York of such removal or resignation.
§ 141. Commissioners of deeds in other states, territories and foreign countries. The secretary of state may, in his discretion, appoint and commission in any other state, territory or dependency, or in any foreign country, such number of commissioners of deeds as he may think proper, each of whom shall be a resident of or have his place of business in the city, county, municipality or other political subdivision from which chosen, and shall hold office for the term of four years, unless such appointment shall be sooner revoked by the secretary of state, who shall have power to revoke the same. A person applying for appointment as a commissioner of deeds shall state in his application the city, county, municipality or other political subdivision for which he desires to be appointed, and shall enclose with his application the sum of twenty-five dollars, which sum, if a commission shall be granted, shall be paid by the secretary of state into the state treasury, and if such commission shall not be granted, then the same shall be returned to the person making the application. Each commissioner, before performing any of the duties or exercising any of the powers of his office, shall take the constitutional oath of office, if appointed for a city or county within the United States, before a justice of the peace or some other magistrate in such city or county; and if for a territory or dependency, before a judge of a court of record in such territory or dependency; and if for a city, municipality or other political subdivision in a foreign country, before a person authorized by the laws of this state to administer an oath in such country, or before a clerk or judge of a court of record in such foreign country; and shall cause to be prepared an official seal on which shall be designated his name, the words, "commissioner of deeds for the state of New York," and the name of the city or county, and the state, country, municipality or other political subdivision from which appointed, and shall file a clear impression of such seal, his written signature and his oath certified by the officer before whom it was taken, in the office of the department of state. The secretary of state upon receipt of such impression, signature and oath, shall forward to such commissioner instructions and forms, and a copy of the appropriate sections of this chapter.
§ 142. Powers of such commissioners. Every such commissioner shall have authority, within the city, county, municipality or other political subdivision for which he is appointed, and in the manner in which such acts are performed by authorized officers within the state:
1. To take the acknowledgment or proof of the execution of a written instrument, except a bill of exchange, promissory note or will, to be read in evidence or recorded in this state.
2. To administer oaths.
3. If such commissioner is also an attorney at law regularly admitted to practice in this state, in his discretion, to the extent authorized by this section, to administer an oath to or take the acknowledgment of or proof of the execution of an instrument by his client with respect to any matter, claim, action or proceeding.
4. If appointed for a foreign country, to certify to the existence of a patent, record or other document recorded in a public office or under official custody in such foreign country, and to the correctness of a copy of such patent, record or document, or to the correctness of a copy of a certified copy of such patent, record or other document, which has been certified according to the form in use in such foreign country.
5. A written instrument acknowledged or proved, an oath administered, or a copy or a copy of a certified copy of a patent, record or other document certified, as heretofore provided in this section, may be read in evidence or recorded within this state, the same as if taken, administered or certified within the state before an officer authorized to take the acknowledgment or proof of a written instrument, to administer oaths, or to certify to the correctness of a public record, if there shall be annexed or subjoined thereto, or indorsed thereon a certificate of the commissioner before whom such acknowledgment or proof was taken, by whom the oath was administered, or by whom the correctness of such copy is certified, under his hand and official seal. Such certificate shall specify the day on which, and the city or other political subdivision, and the state or country or other place in which, the acknowledgment or proof was taken, or the oath administered, without which specification the certificate shall be void. Except as provided in subdivision five of this section, such certificate shall be authenticated by the certificate of the secretary of state annexed or subjoined to the certificate of such commissioner, that such commissioner was, at the time of taking such acknowledgment or proof, of administering such oath, or of certifying to such patent record or document, or copy thereof, duly authorized therefor, that he is acquainted with the handwriting of such commissioner, or has compared the signature upon the certificate with the signature of such commissioner deposited in his office, that he has compared the impression of the seal affixed to such certificate with the impression of the seal of such commissioner deposited in his office, and that he believes the signature and the impression of the seal upon such certificate to be genuine. The certificate of a commissioner as to the correctness of a copy of a certified copy of a patent, record or other document, as provided by this section, shall be presumptive evidence that it was certified according to the form in use in such foreign country.
6. A commissioner of deeds appointed pursuant to the preceding section may during his term of office procure from the secretary of state, on payment to him of a fee of two dollars, a certificate of his appointment, prescribed by the secretary of state, stating among other things, the date of his appointment, the date of expiration thereof and the city, county, municipality or other political subdivision for which he is appointed, and containing the signature of the commissioner in his own handwriting and his official seal, and certifying that he has compared the signature on such certificate with the signature of such commissioner deposited in his office, that he has compared the impression of the seal affixed to such certificate with the impression of the seal of such commissioner deposited in his office and that he believes the signature and the impression of the seal upon such certificate to be genuine. Such a certificate may be filed by such commissioner in the office of any county clerk or register in the state upon the payment to such county clerk or register of a fee of two dollars. Upon the filing of such certificate in the office of a county clerk or register in this state, a written instrument acknowledged or proved, an oath administered, or a copy or copy of a certified copy of a patent, record or other document certified, by a commissioner pursuant to this section, shall be entitled to be read in evidence and shall be accepted for filing or recording and filed or recorded, as the case may be, in the office of such county clerk or register, on tender or payment of the lawful fees therefor, without having annexed or subjoined to the certificate of such commissioner contained thereon the authenticating certificate of the secretary of state as required by subdivision five of this section or by subdivision one of section three hundred eleven of the real property law or by any other provision of law.
§ 142-a. Validity of acts of notaries public and commissioners of deeds notwithstanding certain defects. 1. Except as provided in subdivision three of this section, the official certificates and other acts heretofore or hereafter made or performed of notaries public and commissioners of deeds heretofore or hereafter and prior to the time of their acts appointed or commissioned as such shall not be deemed invalid, impaired or in any manner defective, so far as they may be affected, impaired or questioned by reason of defects described in subdivision two of this section.
2. This section shall apply to the following defects:
(a) ineligibility of the notary public or commissioner of deeds to be appointed or commissioned as such;
(b) misnomer or misspelling of name or other error made in his appointment or commission;
(c) omission of the notary public or commissioner of deeds to take or file his official oath or otherwise qualify;
(d) expiration of his term, commission or appointment;
(e) vacating of his office by change of his residence, by acceptance of another public office, or by other action on his part;
(f) the fact that the action was taken outside the jurisdiction where the notary public or commissioner of deeds was authorized to act.
3. No person shall be entitled to assert the effect of this section to overcome a defect described in subdivision two if he knew of the defect or if the defect was apparent on the face of the certificate of the notary public or commissioner of deeds; provided however, that this subdivision shall not apply after the expiration of six months from the date of the act of the notary public or commissioner of deeds.
4. After the expiration of six months from the date of the official certificate or other act of the commissioner of deeds, subdivision one of this section shall be applicable to a defect consisting in omission of the certificate of a commissioner of deeds to state the date on which and the place in which an act was done, or consisting of an error in such statement.
5. This section does not relieve any notary public or commissioner of deeds from criminal liability imposed by reason of his act, or enlarge the actual authority of any such officer, nor limit any other statute or rule of law by reason of which the act of a notary public or commissioner of deeds, or the record thereof, is valid or is deemed valid in any case.
§ 143. Fees of such commissioners. The fees of such commissioners shall be as follows:
1. If appointed for another state, territory or dependency, not to exceed four times the amount allowed by the laws of such state, territory or dependency for like services, and not to exceed in any case one dollar for taking the proof or acknowledgment of a written instrument, or administering an oath;
2. If appointed for Great Britain or Ireland, for administering or certifying an oath, one shilling sterling, and for taking the proof or acknowledgment of a written instrument, or for certifying to the existence or correctness of a copy of a patent, record or document, four shillings sterling;
3. If appointed for France or any other foreign country, for administering and certifying an oath, one franc and twenty-five centimes, and for taking the proof or acknowledgment of a written instrument, or for certifying to the existence or correctness of a copy of a patent, record or document, five francs.
§ 144. Saving clause. In case it be judicially determined that any phrase, clause, part, paragraph or section of any of the provisions of sections one hundred thirty, one hundred thirty-one, one hundred thirty-two, one hundred thirty-three, one hundred thirty-five, one hundred thirty-six, one hundred thirty-seven and one hundred thirty-eight is unconstitutional or otherwise invalid, such determination shall not affect the validity or effect of the remaining provisions of the aforementioned sections. All persons heretofore appointed and still holding office as notaries public shall continue in such office after the effective date of this article, with the same powers and duties as herein provided until the expiration of the term for which they were appointed.
§ 144-a. Eligible professions for the purchase, sale, and use of body armor. The secretary of state in consultation with the division of criminal justice services, the division of homeland security and emergency services, the department of corrections and community supervision, the division of the state police, and the office of general services shall promulgate rules and regulations to establish criteria for eligible professions requiring the use of body armor, as such term is defined in subdivision two of section 270.20 of the penal law. Such professions shall include those in which the duties may expose the individual to serious physical injury that may be prevented or mitigated by the wearing of body armor. Such rules and regulations shall also include a process by which an individual or entity may request that the profession in which they engage be added to the list of eligible professions, a process by which the department shall approve such professions, and a process by which individuals and entities may present proof of engagement in eligible professions when purchasing body armor.
ARTICLE 6-A STATE REGISTER
Section 145. Definitions.
146. Publication of certain public notices.
147. Schedule of publication.
148. Distribution and fees.
149. Format of state register.
§ 145. Definitions. As used in this article, unless another meaning is clearly apparent in the language or context:
1. The term "agency" shall mean any department, board, bureau, commission, division, office, council, committee or officer of the state, a public benefit corporation or public authority at least one of whose members is appointed by the governor.
2. The term "public corporation" shall mean and include a municipal corporation, a district corporation, or public benefit corporation except a public benefit corporation at least one of whose members is appointed by the governor.
3. The term "person" shall mean any individual, partnership, corporation, association, or public or private organization of any character, other than an agency or public corporation.
§ 146. Publication of certain public notices. 1. The department of state shall publish, pursuant to the schedule in section one hundred forty-seven of this article, and post on its internet website a publication to be known as the state register, in which shall be published and posted from time to time as received by such department:
(a) rules, orders, designations, and notices submitted by the chief administrator of the courts;
(b) notices and advertisements required by state statute or federal law, rule or regulation to be published by an agency in a newspaper;
(c) notices required by statute to be published in newspapers in actions against foreign corporations;
(d) notices and job impact statements required by the state administrative procedure act to be published in the state register; and
(e) any other matter required by statute to be published in the state register.
2. The secretary of state may, at his or her discretion, publish and post in the state register any notice or information which is not otherwise required by statute to be submitted to him or her by an agency or public corporation for publication in the state register, in instances where such publication and posting will serve the public interest.
3. With regard to rule making notices required to be published and posted in the state register pursuant to article two of the state administrative procedure act, the secretary of state may, at his or her discretion, publish and post the complete text of a proposed or adopted rule, which is not otherwise required to be published and posted in the state register, in instances where such publication and posting will serve the public interest. The secretary of state shall accept from a state agency all rulemaking notices, statements and analyses as required by the state administrative procedure act, data, rules, and regulations as provided for by article three of the state technology law.
4. With regard to a notice of adoption published in the state register pursuant to article two of the state administrative procedure act, for which the corresponding notice of proposed rule making published and posted in the state register included the complete text of the rule, the secretary of state may, at his or her discretion, include only the changes in such text in the notice of adoption.
4-a. Notice of the availability of any state or federal funding which is to be distributed by any agency upon application by any municipality, school board, school district, not-for-profit organization or any other individual or organization entitled to apply for such funding pursuant to any law, rule or regulation governing the distribution of such funds shall be published and posted in the state register. Such notice shall appear in the register no later than forty-five days prior to the last day for receipt of applications for such funding. Such notice shall not be required: (i) whenever a notice has been published in the procurement opportunities newsletter pursuant to article four-C of the economic development law; (ii) for state or federal transportation funding; and (iii) in those instances where an entity has been specifically designated by law or legislative resolution to receive funding. Failure to publish the notice in a timely manner shall not be a basis for setting aside an award or challenging a contract or other legal claim.
5. The publication and posting of notices and advertisements in the state register shall be additional to their publication in newspapers, whenever publication in newspapers is required by statute.
6. The secretary of state shall promulgate rules establishing procedure, forms, font and style for submission of material by any person, agency or public corporation for publication and posting in the state register.
§ 147. Schedule of publication. 1. The department of state shall publish a regular issue of the state register at least once a week and special issues as directed by statute or as deemed appropriate by the secretary of state.
2. The department of state may publish special issues which shall include information and notices required to be published pursuant to section fourteen hundred two of the abandoned property law, at times specified by such section.
3. The department of state shall publish, quarterly, a special issue which shall:
(a) contain an index of all notices published in the state register pursuant to article two of the state administrative procedure act between January first of the year of publication and the state register issue immediately preceding publication of this special issue;
(b) cite each notice in the index by the identification number described in subdivision three of section one hundred forty-nine of this article and for each such notice cited, the index shall include a description of the subject and purpose of the rule, the date of publication of the notice, and a symbol denoting whether the notice was for (i) a proposed rule making, (ii) an adoption, (iii) an emergency adoption, (iv) an expiration, (v) a revised rule making or (vi) a withdrawal; and
(c) arrange notice citations by agency in alphabetical order and present consecutively all such citations relating to a single rule making.
§ 148. Distribution and fees. 1. a. The department of state shall mail or otherwise deliver a copy of each issue of the state register to the office of the clerk of every county, to every library designated by the commissioner of education, and upon written request, to the office of the clerk of any city, town or village. Such copies shall be made available for public inspection by such offices and libraries for not less than one year.
b. On or before September first, nineteen hundred eighty-three, and annually thereafter, the commissioner of education shall designate a sufficient number of libraries, not to exceed three hundred, to provide a uniform, statewide distribution of copies of each issue of the state register, and shall provide the department of state with a list of such designated libraries.
2. The department of state shall mail or otherwise deliver a copy of each regular issue and the quarterly index required by subdivision three of section one hundred forty-seven of this article to each agency and every state legislator, unless the agency or state legislator has requested that the department discontinue such delivery, and shall provide notice and indicate the availability upon request of any special issue published pursuant to subdivision two of section one hundred forty-seven of this article by placing said notice in the regular issue appearing two weeks prior to the publication date of any such special issue. Such special issues shall be available to each agency and state legislator at no charge.
3. Subscriptions to the state register shall be made available to the public by either first or second class mail, or in electronic form at the election of the subscriber. A reasonable rate for a subscription to printed copies of the regular issue and quarterly index required by subdivision three of section one hundred forty-seven of this article, to be not more than eighty dollars per year for first class mail delivery and not more than forty dollars per year for second class mail delivery, shall be set by the secretary of state. The secretary of state may charge no more than one dollar and fifty cents per single copy of a printed regular issue or quarterly index of the state register. Rates shall not be set at such a level that the anticipated total subscription revenues exceed the total cost of producing, printing and distributing the state register.
4. Special issues published pursuant to subdivision two of section one hundred forty-seven of this article shall be made available to the public at prices set by the secretary of state to reflect the cost of producing, printing and distributing the special issues. The notice provided in subdivision two of this section shall indicate the prices of the special issues.
4-a. In addition to the state register, the department of state shall make available at no cost an online version of the weekly state register, quarterly index and any special issues as directed by statute or deemed appropriate by the secretary of state.
5. The secretary of state shall be entitled to charge and receive a reasonable sum from any person required by state statute to cause a notice to be published in the state register.
6. All fees set by the secretary of state pursuant to this section are subject to the approval of the director of the budget.
§ 149. Format of state register. 1. The printed version of the state register shall be an eight and one-half by eleven inch booklet with three holes punched in the left hand margin to make such register suitable for storage in an eight and one-half by eleven inch loose-leaf binder.
2. Each regular issue of the state register shall contain:
(a) a table of contents;
(b) a table which includes a general description of the identification number system, the alphanumeric abbreviation assigned to each agency and the symbol to denote the various types of notices pursuant to article two of the state administrative procedure act;
(c) a complete list of all public hearings to be conducted for which a notice of proposed rule making has been published therein or in any previous issue of the state register. Such list shall include (i) the agency which will conduct the public hearing; (ii) the date, time, place and subject of such public hearing; and (iii) the identification number for the proposed rule making which is the subject of such public hearing;
(d) a presentation of notices, required by article two of the state administrative procedure act and not already published in the state register, in a sequence that provides by agency (i) notices of emergency adoption, (ii) notices of adoption, (iii) notices of expiration, (iv) notices of withdrawal, (v) notices of proposed rule making for which a public hearing is scheduled, (vi) notices of proposed rule making for which no hearing is scheduled and (vii) notices of revised rule making;
(e) an action pending index, in tabular form, by agency in alphabetical order, which shall identify all previously noticed proposed rules for which the secretary of state has not published a notice of expiration, of adoption or of withdrawal, and, with respect to a rule defined in subparagraph (ii) of paragraph (a) of subdivision two of section one hundred two of the state administrative procedure act, for which the secretary of state has not published a notice of adoption or withdrawal for one year after the publication of the proposed rule making notice or two years if such notice has been renewed by the agency. Such action pending index shall include a description of the subject and purpose of the proposed rule and the identification number described in paragraph (a) of subdivision three of this section.
3. With respect to notices published in the state register pursuant to article two of the state administrative procedure act: (a) each notice of proposed rule making shall be identified in the state register by an identification number which shall include a separate alphanumeric abbreviation to identify the agency, the issue number and year of publication of the state register, a consecutive number assigned by the secretary of state to such notice, and a symbol denoting that the notice is for a proposed rule making;
(b) each notice of expiration, revised rule making, withdrawal, adoption or emergency adoption shall be identified by the identification number assigned to the notice of proposed rule making to which it corresponds, followed by a symbol denoting that such notice is for an expiration, withdrawal, adoption or emergency adoption;
(c) if a notice of emergency adoption does not correspond to a prior notice of proposed rule making, such notice of emergency adoption shall be assigned an identification number in accordance with paragraph (a) of this subdivision, except that the symbol shall denote that the notice is for an emergency adoption.
4. To the extent practicable, every version of the state register transmitted by electronic means shall substantially comply with the provisions of this section.
ARTICLE 6-B SERVICES TO LOCALITIES
Section 150. Legislative findings.
151. Definitions.
152. General functions, powers and duties.
153. Specific powers, functions and duties.
§ 150. Legislative findings. The legislature hereby finds and declares that:
1. Strong local government has been a major positive factor in the political, economic and social development of the state;
2. The future welfare of the state depends in large measure on the effectiveness of local government and of its relationships to state government;
3. Population shifts and other economic and social trends have brought new problems to local government;
4. The state has the responsibility toward local government to coordinate state services and information for the benefit of local government, to assist in the solution of its problems, and otherwise to help local government in making itself as strong and effective as possible;
5. The need for a more rational planning process requires a high degree of local, state and interstate cooperation;
6. The need for a single state agency to review and comment on local planning efforts of statewide significance, state agency planning and interstate planning commission programs is recognized;
7. A common data base developed by the official state planning agency in conjunction with planning efforts at all levels of government is essential to effective planning; and
8. State planning and development policies should promote planning programs among state agencies and between levels of government that maximize environmental and economic benefits to the localities.
§ 151. Definitions. As used in this article, the term "municipalities" shall include public corporations as defined in subdivision one of section sixty-six of the general construction law and special districts as defined in subdivision sixteen of section one hundred two of the real property tax law.
§ 152. General functions, powers and duties. The department of state, by and through the secretary of state or duly authorized officers or employees, shall have the following functions, powers and duties:
1. To assist the governor in coordinating the activities and services of those departments and agencies of the state having relationships with municipalities to the end of providing more effective services to such municipalities.
2. To keep the governor informed as to the problems of municipalities and to advise and assist in formulating policies with respect thereto and utilizing the resources of the state government for the benefit of municipalities.
3. To serve as a clearinghouse, for the benefit of municipalities, regarding information relating to their common problems and to the state and federal services available to assist in the solution of those problems.
4. To refer municipalities to the appropriate departments and agencies of the state and federal governments for advice, assistance and available services in connection with particular problems
5. To advise and assist municipalities in the solution of particular problems.
6. To conduct studies and analyses of the problems of municipalities and to make the results thereof available as the secretary may deem appropriate.
7. To encourage and assist cooperative efforts among municipalities in developing among themselves solutions of their common problems.
8. To encourage expansion and improvement of training made available to municipal officials, in cooperation with municipalities and the organizations representing them.
9. To consult with and cooperate with municipalities and officers, organizations, groups and individuals representing them, to the end of more effectively carrying out the functions, powers and duties of the department.
10. To encourage and facilitate cooperation and collaboration among agencies and levels of government, and between government and the private sector, for the protection and development of human, natural and man-made resources.
11. To advise and assist municipalities in the performance of their planning and development activities.
12. To aid and assist, in the provision and coordination of state technical assistance and services in connection with the planning and development activities of municipalities.
13. To provide assistance and guidance to municipalities and, as appropriate, to the private sector, through the compilation, formulation and dissemination of necessary information, projections and techniques relating to development of resources.
14. To undertake any studies, inquiries, surveys or analyses necessary for performance of the functions, powers and duties of the department through the personnel of the department or consultants, or in cooperation with any public or private agencies.
15. To adopt, amend or rescind such rules, regulations and orders as may be necessary or convenient for the performance of its functions, powers and duties under this article.
16. To enter into contracts with any persons, firm, corporation or governmental agency, and to do all other things necessary or convenient to carry out the functions, powers and duties expressly set forth in this article.
17. To effectuate the purposes of this article, and to enable the department properly to carry out its functions, powers and duties, the secretary of state may request from any state department or agency or from any municipality, and the same are hereby authorized to provide, appropriate assistance, services and data.
22. To prepare and recommend to the legislature and the governor legislative proposals relating to municipalities.
23. With the approval of the governor, to accept and administer as agent of the state any gift, grant, devise or bequest, whether conditional or unconditional, including federal grants, for any of the purposes of this article. Any moneys so received may be expended subject to the same limitations as to approval of expenditures and audits as are prescribed for state moneys.
§ 153. Specific powers, functions and duties. The department of state shall have the following specific powers, functions and duties:
1. (a) To act as the official state planning agency for all of the purposes of sections seven hundred one and seven hundred three of the federal housing act of nineteen hundred fifty-four, as heretofore and hereafter amended, except as otherwise provided by law.
(b) To act as agent for, and enter into contracts and otherwise cooperate with, the federal government in connection with the authority referred to in paragraph (a) of this subdivision, and as such agent to administer any grant or advance of funds for the assistance of any such activities to the state, or through the state to the governing bodies of municipalities, legally constituted metropolitan or regional planning agencies, and tribal councils or other legally constituted tribal bodies for planning for an Indian reservation located within the territorial jurisdiction of the state of New York, complying with the provisions of such grants or advances.
(c) To present any claim, other than claims required by law to be presented by the commissioner of transportation, to the federal government or any agency or official thereof with respect to the funds made available for the purposes specified in paragraphs (a) and (b) of this subdivision.
(d) To enter into a contract or contracts with any municipality, legally constituted metropolitan or regional planning agency, or tribal council or other legally constituted tribal body for planning for an Indian reservation located within the territorial jurisdiction of the state of New York, in connection with the authority provided in paragraph (a) of this subdivision for grants to be made to such municipality, planning agency or tribal council or other legally constituted tribal body by the state, within amounts appropriated therefor, for planning projects approved by the secretary, which contracts shall provide that the approved cost of a planning project, over and above the amount which may be received from federal grants therefor, shall be borne in an amount not to exceed one-half thereof by the state pursuant to such contracts and the remainder thereof out of local funds appropriated therefor by such municipality, planning agency or tribal council or other legally constituted tribal body.
2. To act as the official agent of the state for the purpose of administering, carrying out and otherwise cooperating with the federal government in connection with the provisions of the federal Appalachian regional development act of nineteen hundred sixty-five as heretofore and hereafter amended; to apply for, accept, and expend funds made available by the federal government pursuant to such federal acts and enter into any necessary contracts or compacts in connection therewith; and to take any further action which may be required under the terms of any such federal act.
3. To act as the official agent of the state for the purpose of administering, carrying out and otherwise cooperating with the federal government in connection with the provisions of the federal public works and economic development act of nineteen hundred sixty-five, as heretofore and hereafter amended; to apply for, accept, and expend funds made available by the federal government pursuant to such federal acts and enter into any necessary contracts or compacts in connection therewith; to review and approve overall economic development programs prepared under the provisions of such federal acts as to the qualifications of the area or district organization and the adequacy and reasonableness of such programs, and every political subdivision of the state, or private or public non-profit organization or association submitting an overall economic development program to the federal government must submit such overall economic development program for review by the department of state; to act on behalf of the political subdivisions of the state in connection with making findings that projects for which financial assistance is sought under the provisions of such federal acts are consistent with an overall program for the economic development of the area; and to take any further action which may be required under the terms of any such federal acts, including but not limited to delineating economic development districts and economic development regions and providing for the administration of such districts and regions in any manner deemed appropriate by the department, except that with regard to section three hundred two of such act, the governor shall designate the official agent of the state for the purpose of administering, carrying out and otherwise cooperating with the federal government in connection with the provisions of such section.
5. (a) To make or contract to make, within appropriations therefor, state grants to municipalities to cover fifty per centum of the costs to municipalities of preparing applications to the federal government for federal assistance for the planning of comprehensive city demonstration programs as authorized under title one of the demonstration cities and metropolitan development act of nineteen hundred sixty-six as modified by the provisions of title I of the housing and community development act of nineteen hundred seventy-four, and any federal laws as heretofore and hereafter amended, as such costs shall be certified by the municipality and approved by the secretary of state.
(b) In the case of municipalities which have contracted with the federal government for a federal grant to assist in financing the costs of planning comprehensive city demonstration programs under the authority referred to in paragraph (a) of this subdivision, to make or contract to make, within appropriations therefor, state grants to such municipalities to cover fifty per centum of the net cost to the municipality of undertaking and completing such planning, exclusive of any federal assistance, as such net cost shall be certified by the municipality and approved by the secretary of state, but in no event shall such state grants exceed one-eighth of the federal grant.
(c) In the case of municipalities which have had applications approved by the federal government for federal assistance for the planning of comprehensive city demonstration programs under the authority referred to in paragraph (a) of this subdivision, but for which federal funds are not then available, to make or contract to make, within appropriations therefor, state grants to such municipalities in an amount not to exceed ninety per centum of the reasonably anticipated costs of undertaking and completing such planning, as such costs shall be certified by the municipality and approved by the secretary of state; provided, however, that no such grant shall be made unless the municipality agrees to repay such grant out of federal funds made available to the municipality for such planning, when and to the extent such federal funds are made available.
(d) In carrying out the functions, powers and duties prescribed in paragraphs (a), (b) and (c) of this subdivision and in developing plans and applications under title one of the housing and community development act of nineteen hundred seventy-four, to provide such technical assistance to the municipalities as the secretary of state determines to be appropriate.
6. The department of taxation and finance is hereby designated to accept and receive all grants and advances from the federal government pursuant to the provisions of sections seven hundred one and seven hundred three of the federal housing act of nineteen hundred fifty-four and the provisions of the federal Appalachian regional development act of nineteen hundred sixty-five and the federal public works and economic development act of nineteen hundred sixty-five and the federal fire prevention and control act of nineteen hundred seventy-four, as such acts may be amended from time to time, which are provided for the purposes specified in subdivisions one, two, three, four and five of this section and all moneys so accepted and received shall be deposited by the department of taxation and finance in special funds for use exclusively for the purposes for which such grants or advances were made. Payment from such special funds shall be made upon audit and warrant of the comptroller upon vouchers approved by the secretary.
7. Nothing contained in this section shall be deemed to derogate or detract in any way from the functions, powers and duties prescribed by law of any state department or agency or any municipality, nor to interrupt or preclude the direct relationships of any such department or agency with any such municipality for the carrying out of such functions, powers and duties.
ARTICLE 6-C OFFICE OF FIRE PREVENTION AND CONTROL
Section 155. Office of fire prevention and control; creation; state fire administrator; employees.
155-a. Definitions.
156. Functions, powers and duties of the office.
156-a. Establishment of a specialized hazardous materials emergency response training program.
156-b. Permanent marking indicating location of fire hydrants.
156-c. Fire safety standards for cigarettes.
156-d. Thermal imaging camera grant program.
156-e. College fire safety.
156-f. Evacuation drills.
156-g. Establishment of teams for urban search and rescue, specialty rescue and incident support.
156-h. Registration and fees for manufacturers, distributors, wholesalers, and retailers of sparkling devices.
157. Granting authority.
158. Firefighting training.
159. Advisory council for fire prevention and control.
159-a. Inclusion on the fallen firefighters memorial.
159-c-1. Training; live fire conditions.
159-d. Training for fire chiefs.
§ 155. Office of fire prevention and control; creation; state fire administrator; employees. There is hereby created in the division of homeland security and emergency services an office of fire prevention and control. The head of such office shall be the state fire administrator, who shall be appointed by the governor and shall hold office during the pleasure of the governor. He shall receive an annual salary to be fixed by the commissioner of the division of homeland security and emergency services within the amount available by appropriation. He shall also be entitled to receive reimbursement for expenses actually and necessarily incurred by him in the performance of his duties within the amount available by appropriation.
§ 155-a. Definitions. When used in this article:
1. "Districts" shall mean fire districts created pursuant to article eleven of the town law.
2. "Fire companies" shall mean fire companies governed by the not-for-profit corporation law.
3. "Municipal corporations" shall mean a county, city, town and village.
4. "Municipalities" shall mean municipal corporations.
5. "Sprinkler system" shall mean a system of piping and appurtenances designed and installed in accordance with generally accepted standards so that heat from a fire will automatically cause water to be discharged over the fire area to extinguish it or prevent its further spread.
§ 156. Functions, powers and duties of the office. The office of fire prevention and control, by and through the state fire administrator or his duly authorized officer or employee, shall be empowered to:
1. Advise and assist in coordinating and strengthening the activities, programs and services, and rules and regulations of those departments and agencies of the state which have functions, powers and duties relating to (a) arson suppression, detection, investigation and prosecution, (b) fire prevention and control, and (c) fire service-related problems, to the end of providing more effective services to the public and strengthening governmental programs relating to such matters.
1-a. Advise and assist the state education department in the development of a specialized course of study for teachers of fire and arson prevention.
2. Advise and assist fire companies, municipal corporations and districts, including agencies and departments thereof in developing measures for more effective fire and arson prevention and control; to assist and encourage cooperative efforts to solve common problems relating to fire and arson prevention and control and to serve as a clearinghouse of information about fire and arson prevention and control, about reported cases of burn injuries or wounds sustained, and about state and federal services available to assist in solving such problems.
3. Employ or contract with individuals, agencies or corporations to assist fire companies, municipal corporations and districts in the development of an arson investigation program or in the investigation of cases of suspected arson or cases of burn injuries or wounds sustained upon the request of such an entity. However, nothing in this provision shall be construed to remove the primary responsibility for arson investigations from appropriate local jurisdictions or agencies.
4. Improve arson evidence analysis and testing at existing facilities and periodically recommend to the governor and the legislature methods to improve such services.
5. Collect, compile and disseminate information relating to fire and arson prevention and control, reported cases of burn injuries or wounds sustained, the use of sprinkler systems, and to operate a state fire reporting system. The state fire reporting system shall include a procedure for the identification of patterns of suspicious or criminal fires and for alerting appropriate state and local authorities. The fire reporting system shall also include fire incident data supplied by local fire agencies in a manner and on forms prescribed by the state fire administrator. To the extent practicable, the data shall be collected and maintained in a form compatible with information collected by other states and the federal government. The state fire administrator shall cooperate with the division of state police, division of criminal justice services, department of financial services, local police and fire agencies, the insurance industry and other appropriate organizations in maintaining such system. The provisions of section three hundred eighteen of the insurance law shall apply to any organization supplying information pursuant to this subdivision.
6. Plan, coordinate and provide training for firefighters, both paid and volunteer, and related governmental officers and employees, relating to fire and arson prevention and control, and encourage expansion and improvement of local training facilities in cooperation with fire companies, municipal corporations and districts. Such training shall be made available by video or computer to the maximum extent possible. The office shall adopt rules and regulations relating to such training, including but not limited to training standards used and the process by which training hours are allocated to counties as well as a uniform procedure for requesting and providing additional training hours.
7. Operate the New York state academy of fire science.
8. Consult with and cooperate with state departments and agencies, and universities, colleges and institutions in the state for the development of specialized courses of study for public officers and employees, including paid and volunteer firefighters, in fire science and administration. As part of the development of a training program for firefighters, the office shall collect, compile, and disseminate information regarding training needs based on the data provided pursuant to section seventy-two-g of the general municipal law. Such information shall be compiled annually and, once compiled, a copy of such information shall be submitted to the governor, the temporary president of the senate, and the speaker of the assembly.
9. Coordinate and support arson training programs conducted by the division of criminal justice services and the division of state police.
10. Provide such public education and information programs, studies and reports as the state fire administrator may determine in furtherance of the provisions of this article and to coordinate and assist other state agencies, municipal corporations and districts and fire companies in such matters.
11. Provide management advice and technical assistance to municipal corporations and districts and fire companies relating to fire and arson prevention and control, including recommendations relating to organizations and structure of fire companies, municipal corporations and districts, allocations of powers and functions, cooperation and intergovernmental organizational and fiscal relationships, federal and state aid programs; to provide legal advice and technical services to state and local officials and agencies with respect to powers, duties and functions of municipal corporations and districts and fire companies relating to fire and arson prevention and control.
12. Prepare and recommend revisions, consolidations or compilations of statutes relating to arson, fire prevention and control.
13. Upon request of the appropriate state agency, provide for the fire safety inspection of state or state-regulated facilities with the cooperation and assistance of local fire inspection personnel. The completed fire inspection form shall be filed with the requesting agency and contain recommendations as may be appropriate and a copy filed with the office of fire prevention and control.
14. Act as the official agent of the state for the purpose of administering, carrying out and otherwise cooperating with the federal government in connection with the provisions of the federal fire prevention and control act of nineteen hundred seventy-four and any federal laws amendatory or supplemental to such act heretofore or hereafter enacted; to apply for, accept, and expend funds made available by the federal government pursuant to such act; and to enter into any necessary contracts or compacts pursuant to such federal acts in connection therewith and to take any further action which may be required under the terms of any such federal act.
15. Enter into contracts with any person, firm, corporation or governmental agency to do all things necessary and convenient to carry out the functions, powers and duties expressly set forth in this article.
16. Accept and administer as agent of the state any gift, grant, devise or bequest, including federal grants for any of the purposes of this article. Any moneys so received may be expended subject to the same limitations as to approval of expenditures and audits as are prescribed for state moneys.
17. Issue a written report to the governor and legislature, on or before February fifteenth of each year, on firefighter training activities. Such report shall include at least the following information: the minimum training hours allocated on a county-by-county basis, the training hours requested by each county, any unfulfilled training hour requests, and the number of hours used by each county on a county-by-county basis.
18. Establish rules and regulations as to the location and design of a delineator used to mark the location of fire hydrants.
19. Issue permits and enforce the provisions of article four hundred five of the penal law for the public displays of fireworks and indoor pyrotechnics on or within state property, unless such authority has been delegated pursuant to the rules and regulations promulgated by the office of fire prevention and control.
20. Register the manufacturers, distributors, wholesalers, retailers and seasonal retailers of sparkling devices who wish to do business within the state.
* 21. Adopt, amend or rescind such rules, regulations or orders as may be necessary or convenient to the performance of the functions, powers and duties set forth in this article.
* NB There are 2 sb 21's
* 21. Provide written materials to consumers and builders which detail the benefits of and include the factors that can affect costs associated with the installation and maintenance of an automatic fire sprinkler system for a one- or two-family residential dwelling.
* NB Repealed upon provisions set forth in § 3 of chapter 201 of 2014
* NB There are 2 sb 21's
22. In coordination with the commissioner of the office for people with developmental disabilities, provide the training program relating to handling emergency situations involving individuals with autism spectrum disorder and other developmental disabilities and associated training materials pursuant to section 13.43 of the mental hygiene law to all firefighters, both paid and volunteer. The office shall adopt all necessary rules and regulations relating to such training, including the process by which training hours are allocated to counties as well as a uniform procedure for requesting and providing additional training hours.
§ 156-a. Establishment of a specialized hazardous materials emergency response training program. 1. The state fire administrator shall establish a specialized hazardous materials emergency response training program for individuals responsible for providing emergency response recovery following incidents involving hazardous materials as such term is defined in regulations promulgated by the commissioner of transportation pursuant to section fourteen-f of the transportation law. The state fire administrator shall inform all fire companies, municipal corporations and districts, including agencies and departments thereof and all firefighters, both paid and volunteer, and related officers and employees and police officers of the implementation and availability of the hazardous materials emergency response training program and shall, subject to the availability of an appropriation, conduct such training with sufficient frequency to assure adequate response to incidents involving hazardous materials and protection of responders in all geographic areas of the state.
2. The state fire administrator shall prescribe the curriculum of the hazardous materials emergency response training program, which shall include, but shall not be limited to:
(a) hands-on training, including information in regard to leak and spill control, product neutralization, pickup and disposal, fire control, decontamination procedures and use and application of foam agents;
(b) hazard assessment with emphasis on incident scene decision-making, including: potential threat to public safety and need for evacuation, calculation of the effect of weather on certain chemicals and evaluation of the result of chemical exposures to air, water, soil, vegetation, lives and property and impact on the personal safety of those working in the accident area;
(c) calibration and use of emergency equipment;
(d) chemical and biological properties of various classes of chemicals, for example, flammables, oxidizers, corrosives, poisons; and
(e) weapons of mass destruction and response to terrorism.
3. The state fire administrator is hereby directed to issue a report to the governor, speaker of the assembly, temporary president of the senate, chairman of the assembly transportation committee and the chairman of the senate transportation committee by February fifteenth of each year on the operations of the program set forth in this section.
4. The state fire administrator shall promulgate such rules and regulations as are necessary to carry out the provisions of this section.
§ 156-b. Permanent marking indicating location of fire hydrants. A municipality or fire district may mark the location of any fire hydrant within its jurisdiction by means of a reflective delineator of a uniform type and color approved by the office of fire prevention and control.
§ 156-c. Fire safety standards for cigarettes. 1. a. When used in this section, the word "cigarette" shall mean any roll for smoking made wholly or in part of tobacco or of any other substance, irrespective of size or shape and whether or not such tobacco or substance is flavored, adulterated or mixed with any other ingredient, the wrapper or cover of which is made of paper or any other substance or material except tobacco.
b. When used in this section, the word "sell" shall mean to sell, or to offer or agree to do the same.
2. a. Within two years after this section takes effect, the office of fire prevention and control shall promulgate fire safety standards for cigarettes sold or offered for sale in this state. Such standards shall take effect as provided in subdivision four of this section and shall insure either:
(1) That such cigarettes, if ignited, will stop burning within a time period specified by the standards if the cigarettes are not smoked during that period; or
(2) That such cigarettes meet performance standards prescribed by the office of fire prevention and control to limit the risk that such cigarettes will ignite upholstered furniture, mattresses or other household furnishings.
b. In promulgating fire safety standards for cigarettes pursuant to this section, the office of fire prevention and control, in consultation with the department of health, shall consider whether cigarettes manufactured in accordance with such standards may reasonably result in increased health risks to consumers.
c. The office of fire prevention and control shall be responsible for administering the provisions of this section.
d. The office of fire prevention and control shall report to the governor and the legislature no later than eighteen months after this section takes effect on the status of its work in promulgating the fire safety standards required by this subdivision.
e. When a cigarette is suspected of having ignited a fire, and the office of fire prevention and control receives information regarding the brand and style of such cigarette pursuant to section two hundred four-d or ninety-one-a of the general municipal law, and where such brand and style had been previously certified pursuant to subdivision three of this section and the package has been marked as required by subdivision six of this section, the office of fire prevention and control shall conduct random testing on cigarettes of the same brand and style in order to determine whether such cigarettes meet the fire safety standards mandated by this section; provided however that such testing shall not be required if the office of fire prevention and control has tested such brand and style within the preceding three months.
3. On and after the date the fire safety standards take effect in accordance with subdivision four of this section, no cigarettes shall be sold or offered for sale in this state unless the manufacturer thereof has certified in writing to the office of fire prevention and control that such cigarettes meet the performance standards prescribed by the office of fire prevention and control pursuant to subdivision two of this section.
(a) Such certifications must be based upon testing conducted by a laboratory that has been accredited pursuant to Standard ISO/IEC 17025 of the international organization for standardization, or such other comparable accreditation standard as the office of fire prevention and control shall require by regulation.
(b) Such certification shall be signed by an officer of the manufacturer and shall contain for each cigarette brand style such information as shall be deemed necessary by the office of fire prevention and control, including but not limited to: (i) the brand and style; (ii) length in millimeters; (iii) circumference in millimeters; (iv) flavor, if applicable; (v) filter or non-filter; (vi) package description; (vii) the name, address and telephone number of the laboratory, if different than the manufacturer that conducted the test; (viii) the date that the testing occurred; and (ix) a notarized statement from an officer or director of the laboratory certifying that the cigarette meets the performance standards prescribed by the office of fire prevention and control.
(c) If a manufacturer has certified a cigarette pursuant to this subdivision, and thereafter makes any change to such cigarette that is likely to alter its compliance with the fire safety standards mandated by this section, then before such cigarette may be sold or offered for sale in this state such manufacturer shall retest such cigarette in accordance with the testing standards prescribed by the office of fire prevention and control and maintain records of such retesting as required by subdivision seven of this section. Any such altered cigarette which does not meet the performance standard prescribed by the office of fire prevention and control may not be sold in the state. Copies of such written certifications shall be provided by the certifying manufacturer to all wholesale dealers, as defined in subdivision eight of section four hundred seventy of the tax law, and all agents, as defined in subdivision eleven of section four hundred seventy of the tax law. The office of fire prevention and control shall prescribe procedures by which stamping agents, wholesale dealers or retail dealers are notified of which cigarettes have been certified by manufacturers as meeting the performance standards prescribed by the office of fire prevention and control, which may include the maintenance of a website listing certified cigarette brands and styles.
4. The fire safety standards required pursuant to subdivision two of this section shall take effect on such date as the office of fire prevention and control shall specify in promulgating such standards and such date shall be the earliest practicable date by which manufacturers of cigarettes can comply with such standards; provided, however, that such date shall not be later than one hundred eighty days after such standards are promulgated. On and after such date, no person or entity shall sell in this state cigarettes that have not been certified by the manufacturer in accordance with subdivision three of this section or that have not been marked in the manner required by subdivision six of this section; provided, however, that nothing in this subdivision shall be construed to prohibit any person or entity from selling or offering for sale cigarettes that have not been certified by the manufacturer in accordance with subdivision three of this section and have not been marked in the manner required by subdivision six of this section if such cigarettes are or will be stamped for sale in another state or are packaged for sale outside the United States.
5. a. Any wholesale dealer, as defined in subdivision eight of section four hundred seventy of the tax law, or any agent, as defined in subdivision eleven of section four hundred seventy of the tax law, or any other person or entity who knowingly sells or offers to sell cigarettes in violation of subdivision four of this section shall be subject to a civil penalty not to exceed one hundred dollars for each pack of such cigarettes sold or offered for sale provided that in no case shall the penalty against any wholesale dealer exceed one hundred thousand dollars for sales or offers to sell during any thirty day period. Any retail dealer, as defined in subdivision nine of section four hundred seventy of the tax law, who knowingly sells or offers to sell cigarettes in violation of subdivision four of this section shall be subject to a civil penalty not to exceed one hundred dollars for each pack of such cigarettes sold or offered for sale, provided that in no case shall the penalty against any retail dealer exceed twenty-five thousand dollars for sales or offers to sell during any thirty day period. Any person engaged in the business of selling cigarettes in or for shipment into New York who possesses cigarettes that have not been certified or marked in accordance with the requirements of this section shall be deemed to be offering such cigarettes for sale in New York. An agent licensed in more than one state may rebut such presumption by establishing: (i) that such cigarettes have been physically segregated from cigarettes offered for sale in New York; and (ii) no New York tax stamps have been placed on any cigarettes that have not been certified or marked in accordance with this section. In addition to any penalties imposed by this section the commissioner of taxation and finance, after an opportunity for a hearing has been afforded pursuant to subdivision five of section four hundred eighty of the tax law, shall suspend for six months the license of any agent issued pursuant to section four hundred seventy-two of the tax law, the license of any wholesale dealer issued pursuant to section four hundred eighty of the tax law, or the registration of any retail dealer issued pursuant to section four hundred eighty-a of the tax law, when such agent, wholesale dealer or retail dealer violates this section three or more times within a three year period, provided such violations occurred on at least three separate calendar days.
b. In addition to any penalty prescribed by law, any corporation, partnership, sole proprietor, limited partnership, association or any other business entity engaged in the manufacture of cigarettes that knowingly makes a false certification pursuant to subdivision three of this section shall be subject to a civil penalty of at least seventy-five thousand dollars and not to exceed two hundred fifty thousand dollars for each such false certification, and any entity that fails to pay a civil penalty imposed pursuant to this paragraph within thirty days after such penalty is imposed, shall be subject to a bar from selling cigarettes covered by that false certification in this state until the state receives full payment of such penalty.
c. There is hereby established in the custody of the state comptroller a special fund to be known as the "Cigarette Fire Safety Act Fund". Such fund shall consist of all moneys recovered from the assessment of civil penalties authorized by this subdivision. Such monies shall be deposited to the credit of the fund and shall, in addition to any other moneys made available for such purpose, be available to the office of fire prevention and control for the purpose of fire safety and prevention programs. All payments from the cigarette fire safety act fund shall be made on the audit and warrant of the state comptroller on vouchers certified and submitted by the state fire administrator.
6. No cigarettes shall be distributed, sold or offered for sale in this state unless the manufacturer has placed on each individual package the letters "FSC" which signifies Fire Standards Compliant. Such letters shall appear in eight point type and be permanently printed, stamped, engraved or embossed on the package at or near the UPC Code, if present. Any package containing such symbol is deemed to be in compliance with the office of fire prevention and control regulations set forth in 19 NYCRR 429.8.
7. a. Each manufacturer shall maintain copies of the reports of all tests conducted on all cigarettes for a period of three years, and shall make copies of such reports available to the office of fire prevention and control and the attorney general upon written request; provided, however, that any manufacturer that fails to make copies of such reports available within sixty days of receiving such a written request shall be subject to a civil penalty not to exceed ten thousand dollars for each day after the sixtieth day that such manufacturer does not make such copies available and shall be subject to a bar from selling or offering to sell cigarettes in New York until such copies are made available.
b. Testing performed or sponsored by the office of fire prevention and control in order to determine a cigarette's compliance with the fire safety standards mandated by this section shall be conducted (i) in accordance with the requirements applicable to manufacturers pursuant to the regulations of the office of fire prevention and control, and (ii) by a laboratory that has been accredited pursuant to Standard ISO/IEC 17025 of the international organization for standardization or such other comparable accreditation standard as the office of fire prevention and control shall require by regulation.
8. a. To enforce the provisions of this section, the commissioner of taxation and finance and the state fire administrator may take administrative action imposing the civil penalties and suspensions authorized by subdivision five of this section. In addition, the attorney general may bring an action on behalf of the people of the state of New York to enjoin acts in violation of this section and to recover any civil penalties unless civil penalties have been previously recovered in such administrative proceedings.
b. Any enforcement officer as defined in section thirteen hundred ninety-nine-t of the public health law shall have the power to impose upon any retail dealer the civil penalties authorized by subdivision five of this section, following a hearing conducted in the same manner as hearings conducted under article thirteen-E of the public health law.
c. To enforce the provisions of this section, the commissioner of taxation and finance and the state fire administrator, or their duly authorized representatives, are hereby authorized to examine the books, papers, invoices and other records of any person in possession, control or occupancy of any premises where cigarettes are placed, stored, sold or offered for sale, as well as the stock of cigarettes in any such premises. Every person in the possession, control or occupancy of any premises where cigarettes are placed, sold or offered for sale, is hereby directed and required to give the commissioner of taxation and finance and the state fire administrator, and their duly authorized representatives, the means, facilities and opportunity for such examinations as are herein provided for and required.
d. Whenever any police officer designated in section 1.20 of the criminal procedure law or a peace officer designated in subdivision four and subdivision seventy-nine pertaining to the Office of Fire Prevention and Control, of section 2.10 of such law, acting pursuant to his or her special duties, shall discover any cigarettes which have not been marked in the manner required by subdivision six of this section, such officer is hereby authorized and empowered to seize and take possession of such cigarettes. Such seized cigarettes shall be turned over to the commissioner of taxation and finance, and shall be forfeited to the state. Cigarettes seized pursuant to this section shall be destroyed.
e. The commissioner of the division of homeland security and emergency services, in consultation with the state fire administrator, and the commissioner of taxation and finance are hereby authorized to promulgate such regulations as are deemed necessary to implement the provisions of this section.
§ 156-d. Thermal imaging camera grant program. 1. Subject to available appropriation, there is hereby established in the office of fire prevention and control a thermal imaging camera grant program, under which grants shall be made available to fire organizations for the purchase of one thermal imaging camera each or for reimbursement to such fire organizations for public funds, other than state or federal funds, that have been expended by such fire organizations on or after April first, two thousand for the purchase of a thermal imaging camera, provided, however, no reimbursement, when combined with any required match, shall exceed the office of general services contract price per camera. Such grants shall be made available upon application by such fire organizations. Fire organizations that are without a thermal imaging camera shall receive priority from the office of fire prevention and control for grants made pursuant to this section. The office of fire prevention and control may require, pursuant to such uniform standards as such office may prescribe, that applicants for such grants or reimbursement provide matching funds of up to, but not more than, the amount awarded; provided, however, that a fire organization having an annual operating budget of one hundred fifty thousand dollars or less shall not be required to provide matching funds. The office of fire prevention and control shall promulgate such rules and regulations as are necessary to advance the purposes of this section. Such regulations shall establish, among other things, training requirements for the use of thermal imaging cameras by fire organizations.
2. As used in this section, "fire organizations" means a board of fire commissioners, which operates a fire department pursuant to the town law, a fire department established pursuant to the village law or general city law or a fire company located within a fire protection district pursuant to the town law.
§ 156-e. College fire safety. 1. Notwithstanding the provisions of any law to the contrary, the office of fire prevention and control of the division of homeland security and emergency services, by and through the state fire administrator or their duly authorized officers and employees, shall have the responsibility to annually inspect buildings under the jurisdiction of public colleges and independent colleges, as these terms are defined in section eight hundred seven-b of the education law, for compliance with and violations of the uniform fire prevention and building code; or any other applicable code, rule or regulation pertaining to fire safety. Buildings subject to inspection are all buildings under the jurisdiction of such colleges used for classroom, dormitory, fraternity, sorority, laboratory, physical education, dining, recreational or other purposes.
2. a. The office of fire prevention and control shall have the power to issue a notice of violation and orders requiring the remedying of any condition found to exist in, on or about any such building which violates the uniform fire prevention and building code, or any other code, rule or regulation pertaining to fire safety, fire safety equipment and fire safety devices. Such office is further authorized to promulgate regulations regarding the issuance of violations, compliance with orders, and providing for time for compliance, reinspection procedures, and issuance of certificates of conformance.
b. Where any college authority in general charge of the operation of any public or independent college buildings is served personally or by registered or certified mail with an order of the office of fire prevention and control to remedy any violation and fails to comply with such order immediately or within such other time as specified in the order, the office of fire prevention and control may avail itself of any or all of the following remedies: (1) assess a civil penalty of up to five hundred dollars per day until the violation is corrected; (2) order immediate closure of the building, buildings or parts thereof where a violation exists that poses an imminent threat to public health and safety; (3) refer violations to the appropriate local government authorities for enforcement pursuant to article eighteen of this chapter.
c. The office of fire prevention and control is authorized to commence necessary proceedings in a court of competent jurisdiction seeking enforcement of any of its orders and payment of assessed penalties.
3. a. Except as provided herein, any county, city, town or village, pursuant to resolution of their respective legislative bodies, may apply to the office of fire prevention and control for delegation of all or part of the duties, rights and powers conferred upon the office of fire prevention and control by this section and section eight hundred seven-b of the education law. Upon acceptable demonstration of adequate capability, resources and commitment on the part of the applicant local government, the office of fire prevention and control may make such delegation, in which case the local government shall also have all of the rights, duties and powers provided to local governments in article eighteen of this chapter and in any city charter or code. The authority granted in this section to assess civil penalties and order closure of buildings shall not be delegated to the local government. Such powers shall continue in the office of fire prevention and control which may exercise them in the case of violations, on its own volition or at the request of the delegee local government. The delegation shall expire after three years, and may be renewed at the discretion of the office of fire prevention and control. All inspection reports conducted pursuant to a delegation of authority shall be promptly filed with the office of fire prevention and control. In the event any such report is not filed or reasonable grounds exist to believe that inspections or enforcement are inadequate or ineffective, the office of fire prevention and control may revoke the delegation or continue it subject to terms and conditions specified by the office of fire prevention and control.
b. The authorities in a city having a population of one million or more shall exercise all of the rights, powers and duties pertaining to inspection of independent and public college buildings and enforcement provided in this section and section eight hundred seven-b of the education law, without impairing any existing authority of such city. A copy of all inspection reports shall be filed with the office of fire prevention and control by the authorities conducting inspections.
§ 156-f. Evacuation drills. Except as may be otherwise provided in rules and regulations promulgated by the department of state pursuant to article eighteen of this chapter, in any building owned or leased in whole by the state or any agency thereof, an evacuation drill shall be conducted at least twice each year in which all of the occupants of the buildings shall participate simultaneously and which shall conduct all such occupants to a place of safety. In New York city, the state fire administrator shall make rules, regulations and special orders necessary and suitable to each situation, as appropriate.
§ 156-g. Establishment of teams for urban search and rescue, specialty rescue and incident support. 1. Authorization to establish urban search and rescue task force teams, specialty rescue teams, and incident support teams. The commissioner of the division of homeland security and emergency services after consultation with the state fire administrator shall have the authority to establish, organize, administer, support, train, and fund urban search and rescue task force teams, specialty rescue teams, and incident support teams created pursuant to this section.
2. Definitions. For the purposes of this section, the following terms shall have the following meanings:
(a) "urban search and rescue task force team" shall mean a specialized team or group of teams, formed pursuant to this section, organized with capabilities equivalent to urban search and rescue task force teams established under the federal emergency management agency in order to assist in the removal of trapped victims in emergency situations including, but not limited to, collapsed structures, trench excavations, elevated locations, and other technical rescue situations.
(b) "specialty rescue team" shall mean a specialized team, formed pursuant to this section, organized to provide technical rescue assistance to first responders including, but not limited to, canine search and rescue/disaster response, cave search and rescue, collapse search and rescue, mine and tunnel search and rescue, and swift water/flood search and rescue teams. Such teams shall be aligned with one or more of the search and rescue categories within the federal emergency management agency's national resource typing system.
(c) "incident support team" shall mean a team of trained response personnel, formed pursuant to this section, organized to provide coordination with governmental agencies and non-governmental organizations as well as technical, and logistical support to urban search and rescue task force teams and specialty rescue teams.
3. Appointment and training of team members; equipment. (a) The commissioner of the division of homeland security and emergency services is hereby authorized to appoint members to any team created pursuant to this section. Team membership shall consist of local emergency response personnel, state agency personnel and specialty personnel as required.
(b) The commissioner of the division of homeland security and emergency services shall be responsible for training and equipping the teams established pursuant to this section and for training such other teams located within the state for response to man-made or natural disasters to the extent appropriations are provided. The commissioner of the division of homeland security and emergency services shall support the capabilities of each team established pursuant to this section with the necessary training and equipment to ensure mobilization and deployment for rapid response to emergencies and disasters to the extent appropriations are provided.
4. Accreditation of teams. The commissioner of the division of homeland security and emergency services shall have the authority to establish an accreditation program to review and evaluate new and existing local and regional technical rescue capabilities, and provide recommendations for capability enhancement in accordance with the national incident management system, the national response plan, and nationally recognized standards.
5. Defense, indemnification and insurance coverage of team members. Members of the teams formed pursuant to this section who are volunteer firefighters, volunteer ambulance workers, municipal or state employees, or employees of a non-governmental entity shall be provided coverage by their respective municipalities, organizations, and entities for purposes of sections seventeen and eighteen of the public officers law and/or other defense and indemnification coverage and workers' compensation coverage pursuant to applicable provisions of the workers' compensation law or benefits pursuant to applicable provisions of the volunteer firefighters' benefit law or the volunteer ambulance workers' benefit law. Individuals appointed to an urban search and rescue task force team, a specialty rescue team or an incident support team, for which such coverage is not available, shall be deemed volunteer state employees for purposes of section seventeen of the public officers law and section three of the workers' compensation law.
6. Rules and regulations. The commissioner of the division of homeland security and emergency services after consultation with the state fire administrator shall have the authority to promulgate rules and regulations as deemed necessary relating to the accreditation of urban search and rescue task force teams, specialty rescue teams, and incident support teams and to the formation and operation of all teams established pursuant to this section.
7. Funding. The division of homeland security and emergency services shall expend the necessary monies for training, equipment, and other items necessary to support the operations of urban search and rescue task force teams, specialty rescue teams and incident support teams within appropriations provided. The division of homeland security and emergency services also may, pursuant to applicable rules and regulations approved by the director of the division of the budget, approve grants of funds from monies allocated and appropriated for any or all such teams.
§ 156-h. Registration and fees for manufacturers, distributors, wholesalers, and retailers of sparkling devices. 1. Definitions. As used in this section, the term:
(a) "Distributor" means any person or entity engaged in the business of selling sparkling devices to wholesalers, specialty retailers, permanent retailers or temporary seasonal retailers for resale.
(b) "Manufacturer" means any person or entity engaged in the manufacture or construction of sparkling devices.
(c) "Specialty retailer" means any person or entity who, at a fixed place of business, is engaged solely in selling sparkling devices at retail. For purposes of this section, a person or entity is engaged solely in selling sparkling devices if fifty-one percent or more of such person's or entity's annual gross sales are from the sale of sparkling devices.
(d) "Permanent retailer" means any person or entity who, at a fixed place of business, is engaged in selling sparkling devices at retail.
(e) "Sparkling devices" means any item defined in subparagraph (vi) of paragraph (a) of subdivision one of section 270.00 of the penal law.
(f) "Temporary seasonal retailer" means any person or entity who, at a temporary stand or tent, is engaged in selling sparkling devices from June twentieth through July fifth or from December tenth through January second of each year at retail.
(g) "Wholesaler" means any person or entity engaged in the business of selling sparkling devices to specialty retailers, permanent retailers or temporary seasonal retailers at wholesale.
2. Registration requirements. Any manufacturer, distributor, wholesaler, specialty retailer, permanent retailer or temporary seasonal retailer of sparkling devices who wishes to do business in this state or to otherwise sell, ship, or assign for sale its products in this state must register annually with the office of fire prevention and control on forms prescribed by such office. Any specialty retailer, permanent retailer or temporary seasonal retailer that sells sparkling devices at more than one retail location may submit one registration form for all such locations but must provide the address of each location with the registration form; however, any retailer may submit multiple registration forms.
3. Registration form. The registration form filed with the office of fire prevention and control must be notarized and must include the following information: business name; address; telephone number; officers, if the business is a corporation; and an individual designated as a contact person.
4. Fees. (a) Each manufacturer, distributor or wholesaler must pay an annual registration fee to be set by the office of fire prevention and control not to exceed five thousand dollars. Each specialty retailer must pay an annual registration fee to be set by such office not to exceed two thousand five hundred dollars. Each permanent retailer shall pay an annual registration fee to be set by such office not to exceed two hundred dollars for each retail location registered. Each temporary seasonal retailer must pay a registration fee to be set by such office not to exceed two hundred fifty dollars per season. Each certificate-holder wishing to have a duplicate certificate issued for one which is lost or to reflect a change of address shall request such duplicate in writing and shall pay a fee of five dollars.
(b) Revenue from registration fee payments shall be used for the purposes of implementing firefighter safety and training programs as well as registration and testing provisions of this chapter.
(c) No city, municipality or other local jurisdiction shall charge any fee or require any permit whatsoever for the sale and use of sparkling devices.
5. Record and reports. Each manufacturer, distributor and wholesaler shall maintain and make available to the state fire administrator, upon the state fire administrator's reasonable request, full and complete, true, and accurate records showing the name and quantity of any sparkling device produced in, imported to, exported from, or sold in this state.
6. Rules. The state fire administrator shall promulgate rules prescribing registration forms required by this section.
§ 157. Granting authority. The division of homeland security and emergency services by and through the commissioner of the division of homeland security and emergency services or his duly authorized officers and employees, shall administer, carry out and approve grants of funds from moneys allocated and appropriated therefor, for authorized arson, fire prevention and control expenditures as defined herein, that are conducted by municipal corporations. "Authorized arson, fire prevention and control expenditures" shall mean those expenditures utilized by a municipal corporation for fire or arson prevention, fire or arson investigation and arson prosecution. No expenditure which has not been specifically designated by the local legislative body for arson, fire prevention and control and approved by the office of fire prevention and control pursuant to rules and regulations promulgated thereby shall be considered an "authorized arson, fire prevention and control expenditure." The division of homeland security and emergency services shall adopt, amend and rescind such rules, regulations and guidelines as may be necessary for the performance of its functions, powers and duties under this section. The division of homeland security and emergency services shall allocate grants under this article among the municipalities whose applications have been approved in such a manner as will most nearly provide an equitable distribution of the grants among municipalities, taking into consideration such factors as the level of suspected arson activity, population and population density, the need for state funding to carry out local programs, and the potential of the municipalities to effectively employ such grants.
§ 158. Firefighting training. 1. For the purpose of this section, the term fire fighter shall mean a member of a fire department whose duties include fire service as defined in paragraph d of subdivision eleven of section three hundred two of the retirement and social security law.
2. In addition to the functions, powers and duties otherwise provided by this article, the state fire administrator may promulgate rules and regulations with respect to:
(a) The approval, or revocation thereof, of fire training programs for fire fighters;
(b) Minimum courses of study, attendance requirements, and equipment and facilities to be required for approved fire training programs for fire fighters;
(c) Minimum qualifications for instructors for approved fire training programs for fire fighters;
(d) The requirements of minimum basic training which fire fighters appointed to probationary terms shall complete before being eligible for permanent appointment, and the time within which such basic training must be completed following such appointment to a probationary term;
(e) The requirements of minimum basic training which fire fighters not appointed for probationary terms but appointed on other than a permanent basis shall complete in order to be eligible for continued employment or permanent appointment, and the time within which such basic training must be completed following such appointment on a non-permanent basis;
(f) The requirements for in-service training programs designed to assist fire fighters in maintaining skills and being informed of technological advances;
(g) Categories or classifications of advanced in-service training programs and minimum courses of study and attendance requirements with respect to such categories or classifications;
(h) Exemptions from particular provisions of this article in the case of any county, city, town, village or fire district, if in the opinion of the state fire administrator the standards of fire training established and maintained by such county, city, town, village or fire district are equal to or higher than those established pursuant to this article; or revocation in whole or in part of such exemption, if in his or her opinion the standards of fire training established and maintained by such county, city, town, village or fire district are lower than those established pursuant to this article; and
(i) Education, health and physical fitness requirements for eligibility of persons for provisional or permanent appointment in the competitive class of the civil service as fire fighters as it deems necessary and proper for the efficient performance of such duties;
3. In furtherance of his or her functions, powers and duties as set forth in this section, the state fire administrator may:
(a) Recommend studies, surveys and reports to be made by the state fire administrator regarding the carrying out of the objectives and purposes of this section;
(b) Visit and inspect any fire training programs approved by the state fire administrator or for which application for such approval has been made; and
(c) Recommend standards for promotion to supervisory positions.
4. In addition to the functions, powers and duties otherwise provided by this section, the state fire administrator shall:
(a) Approve fire training programs for fire fighters and issue certificates of approval to such programs, and revoke such approval or certificate;
(b) Certify, as qualified, instructors for approved fire training programs for fire fighters and issue appropriate certificates to such instructors;
(c) Certify fire fighters who have satisfactorily completed basic training programs and in-service training programs, and issue appropriate certificates to such fire fighters and revoke such certificates;
(d) Cause studies and surveys to be made relating to the establishment, operation, effectiveness and approval of fire training programs;
(e) Cause studies and surveys to be made relating to the completion or partial completion of training programs by video or computer to the maximum extent practicable; and
(f) Consult with and cooperate with the state university of New York and private universities, colleges and institutes in the state for the development of specialized courses of study for fire fighters in fire science and fire administration.
§ 159. Advisory council for fire prevention and control. 1. There is hereby created within the division of homeland security and emergency services an advisory council for fire prevention and control for the purpose of advising the commissioner and the state fire administrator with regard to: (a) execution of the functions, powers and duties of the office with respect to fire and arson prevention and control services, policies and programs; (b) recommendations on courses of instruction and standards for training of firefighters of fire departments, fire companies, municipal corporations, districts, and private industry of the state; (c) recommendations on federal and state legislation and programs relating to fire and arson prevention services, policies and programs; and (d) recommendations upon such other matters as the commissioner and the state fire administrator may request.
2. The council shall be composed of the state fire administrator, as chair, or his or her designee, and twelve other members appointed as follows: six members appointed by the governor; two members appointed by the temporary president of the senate; one member appointed by the minority leader of the senate; two members appointed by the speaker of the assembly; one member appointed by the minority leader of the assembly.
3. Membership of such council shall consist of representatives from the volunteer and career fire service, at least half of which shall serve at the municipal level.
4. Members of the council, other than the state fire administrator, shall serve for terms of three years, with such terms to commence on April first and expire on March thirty-first.
5. No member of the council shall be disqualified from holding any other public office or employment, nor shall he or she forfeit any such office or employment by reason of the appointment hereunder, notwithstanding the provisions of any general, special or local law, ordinance or city charter.
6. The council shall meet at least twice a year. Special meetings may be called by the chairperson. The agenda and meeting place of all regular or special meetings shall be made available to the public in advance of such meeting.
7. Members of the council shall serve without salary or per diem allowance, but shall be entitled to reimbursement for actual and necessary expenses incurred in the performance of official duties under this section, provided, however, that such members are not, at the time such expenses are incurred, public employees otherwise entitled to such reimbursement.
8. The chairperson may create subcommittees as he or she may from time to time deem appropriate to provide the council with advice and recommendations. Members of such subcommittees shall be entitled to reimbursement for actual and necessary expenses incurred in the performance of official duties under this section, provided, however, that such members are not, at the time such expenses are incurred, public employees otherwise entitled to such reimbursement.
§ 159-a. Inclusion on the fallen firefighters memorial. In the case of a death of a firefighter, regardless of whether such death occurred before, on, or after the effective date of this section, that results from services performed in the line of duty, as determined by an authoritative agency including, but not limited to, the workers' compensation board, the federal Department of Justice, or the office of fire prevention and control, the name of that firefighter shall be inscribed upon the New York state fallen firefighters memorial on the Capitol Mall in Albany. The fallen firefighters memorial selection committee shall amend its election criteria so that it is not in conflict with the provisions of this section.
§ 159-c-1. Training; live fire conditions. 1. In the training of firefighters under live fire conditions no person or persons shall play the role of a victim.
2. For purposes of this section, a live fire condition is any unconfined open flame or device that can propagate fire to a building, a training tower, an acquired structure or other combustible material.
3. A violation of this section shall be punishable by a civil penalty not to exceed one thousand dollars paid for by the fire department conducting such training.
§ 159-d. Training for fire chiefs. The state fire administrator may conduct the training and education required for fire chiefs pursuant to subdivision seven of section fifty-eight-a of the civil service law and section two hundred four-dd of the general municipal law with sufficient frequency to enable individuals to satisfy the necessary qualifications for a fire chief pursuant to such section. To the extent practicable, such training and education may be made available in all geographic regions of the state. Such regions may be determined by the state fire administrator.
ARTICLE 6-D COMMUNITY SERVICES BLOCK GRANT PROGRAM
Section 159-e. Definitions.
159-f. Functions, powers and duties of the secretary.
159-g. Rules and regulations.
159-h. Limitation of administrative costs.
159-i. Distribution of funds.
159-k. Monitoring and evaluation.
159-l. Decertification and reduction of entity shares.
159-m. Designation and redesignation of eligible entities in unserved areas.
159-n. Report of the secretary.
§ 159-e. Definitions. When used in this article:
1. "Eligible entity" shall mean any organization
(a) officially designated as a community action agency or a community action program under the provisions of section two hundred ten of the economic opportunity act of 1964 for fiscal year 1981, unless such community action agency or a community action program lost its designation under section two hundred ten of such act as a result of a failure to comply with the provisions of such act; or
(b) designated by the process described in section one hundred fifty-nine-m of this article (including an organization serving migrant or seasonal farmworkers that is so described or designated).
Such eligible entity shall have a tripartite board as its governing board which fully participates in the development, planning, implementation, and evaluation of the program to serve low-income communities and through which the entity shall administer the community services block grant program. However, such eligible entities which are public organizations shall have either a tripartite board or another mechanism specified by the state to assure decision making and participation by low-income individuals in the development, planning, implementation, and evaluation of programs funded under this article.
2. "Tripartite board" shall mean
(a) the governing board of a private nonprofit entity selected by the entity and composed so as to assure that
(1) one-third of the members of the board are elected public officials, holding office on the date of selection, or their representatives, except that if the number of such elected officials reasonably available and willing to serve on the board is less than one-third of the membership of the board, membership on the board of appointive public officials or their representatives may be counted in meeting such one-third requirement;
(2) (A) not fewer than one-third of the members are persons chosen in accordance with democratic selection procedures adequate to assure that these members are representative of low-income individuals and families in the neighborhood served; and
(B) each representative of low-income individuals and families selected to represent a specific neighborhood within a community under clause (A) of this subparagraph resides in the neighborhood represented by the member; and
(3) the remainder of the members are officials or members of business, industry, labor, religious, law enforcement, education, or other major groups and interests in the community served; or
(b) the governing board of a public organization, which shall have members selected by the organization and shall be composed so as to assure that not fewer than one-third of the members are persons chosen in accordance with democratic selection procedures adequate to assure that these members
(1) are representative of low-income individuals and families in the neighborhood served;
(2) reside in the neighborhood served; and
(3) are able to participate actively in the development, planning, implementation, and evaluation of programs funded under this article.
3. "Indian tribes" and "tribal organizations" shall mean those tribes, bands or other organized groups of Indians recognized in the state or considered by the federal secretary of the interior to be an Indian tribe or an Indian organization for any purpose.
4. "Community based organization" shall mean any organization incorporated for the purpose of providing services or other assistance to economically or socially disadvantaged persons within its designated community. Such organization must have a board of directors of which more than half of the members reside in such designated community.
5. "Department" shall mean the department of state.
6. "Secretary" shall mean the secretary of state.
§ 159-f. Functions, powers and duties of the secretary. The secretary or his duly authorized officers or employees, shall have the following functions, powers and duties:
1. To act as the official agent of the state for the purpose of administering, carrying out and otherwise cooperating with the federal government in connection with the federal community services block grant act of 1981, as amended;
2. To allocate federal community services block grant funds pursuant to contracts with recipients of such funds in the manner required by federal law and regulation;
3. To assist the governor in applying for the state's allocation under the federal community services block grant act, including the fulfillment of any planning requirements;
4. To cooperate with the legislature in conducting hearings required by the federal community services block grant act; and
5. To monitor and evaluate the use of funds received by the state pursuant to the federal community services block grant act.
§ 159-g. Rules and regulations. The secretary shall promulgate rules and regulations necessary to carry out the provisions of this article.
§ 159-h. Limitation of administrative costs. Not more than five percent of the community services block grant funds received by the state shall be retained for administration at the state level.
§ 159-i. Distribution of funds. At least ninety percent of the community services block grant funds received by the state shall be distributed pursuant to a contract by the secretary to eligible entities as defined in subdivision one of section one hundred fifty-nine-e of this article. Each such eligible entity shall receive the same proportion of community services block grant funds as was the proportion of funds received in the immediately preceding federal fiscal year under the federal community services block grant program as compared to the total amount received by all eligible entities in the state, under the federal community services block grant program.
The secretary shall, pursuant to section one hundred fifty-nine-h of this article, retain not more than five percent of the community services block grant funds for administration at the state level.
The remainder of the community services block grant funds received by the state shall be distributed pursuant to a contract by the secretary in the following order of preference: a sum of up to one-half of one percent of the community services block grant funds received by the state to Indian tribes and tribal organizations as defined in this article, on the basis of need; and to community based organizations. Such remainder funds received by eligible entities will not be included in determining the proportion of funds received by any such entity in the immediately preceding federal fiscal year under the federal community services block grant program.
§ 159-k. Monitoring and evaluation. 1. The secretary shall monitor and evaluate the use of community services block grant funds made available pursuant to this article by the recipients of such funds in order to evaluate the performance of such recipients. Evaluations shall include, but not be limited to:
(a) determining the effectiveness of recipients' administrative operations, organizational structure, planning and programming, self evaluation, and general decision making; and
(b) reviewing the recipients' compliance with federal and state law and regulation.
2. For purposes of evaluations conducted under this section, recipients shall make available to the secretary, or any duly authorized officer or employee of the department, appropriate books, documents, papers and records for examination, copying or mechanical reproduction on or off the premises of the recipient upon a reasonable request therefor.
§ 159-l. Decertification and reduction of entity shares. 1. Any eligible entity that received funding in the previous federal fiscal year through a community services block grant made under this article shall not have its funding terminated under this article or reduced below the proportional share of funding the entity received in the immediately preceding federal fiscal year, as determined pursuant to section one hundred fifty-nine-i of this article, unless, after providing notice and an opportunity for a hearing on the record, the state determines that cause exists for such termination or such reduction, subject to review by the secretary of the United States department of health and human services. For purposes of making a determination that cause exists for:
(a) a funding reduction, the term "cause" shall include
(1) a statewide redistribution of funds provided through a community services block grant under this article to respond to
(A) the results of the most recently available census or other appropriate data;
(B) the designation of a new eligible entity; or
(C) severe economic dislocation; and
(2) the failure of an eligible entity to comply with the terms of an agreement or a state plan, or to meet a state requirement, as described in this section; or
(b) a termination, the term "cause" includes the failure of an eligible entity to comply with the terms of an agreement or a state plan, or to meet a state requirement, as described in this section.
2. If the state determines, on the basis of a final decision in a review pursuant to this article, that an eligible entity fails to comply with the terms of an agreement or the state plan to provide services under this article or to meet appropriate standards, goals, and other requirements established by the state (including performance objectives), the state shall:
(a) inform the entity of the deficiency to be corrected;
(b) require the entity to correct the deficiency;
(c) (1) offer training and technical assistance, if appropriate, to help correct the deficiency, and prepare and submit to the secretary of the United States department of health and human services a report stating the reasons for the determination; or
(2) if the state determines that such training and technical assistance are not appropriate, it shall prepare and submit to the secretary of the United States department of health and human services a report stating the reasons for the determination;
(d) (1) at the discretion of the state (taking into account the seriousness of the deficiency and the time reasonably required to correct the deficiency), allow the entity to develop and implement and submit to the state, within sixty days after being informed of the deficiency, a quality improvement plan to correct such deficiency within a reasonable period of time, as determined by the state; and
(2) not later than thirty days after receiving from an eligible entity a proposed quality improvement plan pursuant to subparagraph one of this paragraph, either approve such proposed plan or specify the reasons why the proposed plan cannot be approved; and
(e) after providing adequate notice and an opportunity for a hearing, initiate proceedings to terminate the designation of or reduce the funding under this article of the eligible entity unless the entity corrects the deficiency.
3. A determination to terminate the designation or reduce the funding of an eligible entity pursuant to subdivision two of this section is reviewable by the secretary of the United States department of health and human services, pursuant to the processes set forth in the federal community services block grant act of 1981, as amended.
§ 159-m. Designation and redesignation of eligible entities in unserved areas. 1. Qualified organization in or near area. (a) In general. If any geographic area of the state is not, or ceases to be, served by an eligible entity under this article, and if the governor decides to serve such area, the governor may solicit applications from, and designate as an eligible entity
(1) a private nonprofit organization (which may include an eligible entity) that is geographically located in the unserved area, that is capable of providing a broad range of services designed to eliminate poverty and foster self-sufficiency, and that meets the requirements of this article; and
(2) a private nonprofit eligible entity that is geographically located in an area contiguous to or within reasonable proximity of the unserved area and that is already providing related services in the unserved area.
(b) Requirement. In order to serve as the eligible entity for the area, an entity described in subparagraph two of paragraph (a) of this subdivision shall agree to add additional members to the board of the entity to ensure adequate representation
(1) in each of the three required categories described in paragraph (a) of subdivision two of section one hundred fifty-nine-e of this article, by members that reside in the community comprised by the unserved area; and
(2) in the category described in subparagraph two of paragraph (a) of subdivision two of section one hundred fifty-nine-e of this article, by members that reside in the neighborhood to be served.
2. Special consideration. In designating an eligible entity under subdivision one of this section, the governor shall grant the designation to an organization of demonstrated effectiveness in meeting the goals and purposes of this article and may give priority, in granting the designation, to eligible entities that are providing related services in the unserved area, consistent with the needs identified by a community-needs assessment.
3. No qualified organization in or near area. If no private, nonprofit organization is identified or determined to be qualified under subdivision one of this section to serve the unserved area as an eligible entity the governor may designate an appropriate political subdivision of the state to serve as an eligible entity for the area. In order to serve as the eligible entity for that area, the political subdivision shall have a tripartite board or other mechanism as required in section one hundred fifty-nine-e of this article.
§ 159-n. Report of the secretary. The secretary of state shall report to the governor and the legislature by March fifteenth of each year on the administration of the community services block grant program. The report shall include, but not be limited to, the results of the monitoring and evaluation of recipients of funds under the program and any recommendation for changes which the secretary of state deems necessary for the effective administration of the program.
ARTICLE 6-E STATE CERTIFIED AND LICENSED REAL ESTATE APPRAISERS
Section 160. Application.
160-a. Definitions.
160-b. Use of the title "state certified real estate appraiser" or "state licensed real estate appraiser" or "state licensed real estate appraiser assistant".
160-c. State board of real estate appraisal.
160-d. Powers of the board.
160-e. Powers of the department.
160-f. Fees.
160-g. Certification and licensing process.
160-h. License and classes of certification.
160-i. Examination requirement.
160-j. Examination prerequisites.
160-k. Experience requirement.
160-l. Terms of registration.
160-m. Nonresident certification and licensing.
160-n. Nonresident certification and licensing by reciprocity.
160-o. Renewal certificate or license.
160-p. Basis for denial.
160-q. Principal place of business.
160-r. Certificate or license.
160-s. Use of term.
160-t. Continuing education.
160-u. Disciplinary proceedings.
160-v. Due process.
160-w. Hearing and judicial review.
160-x. Classification of services.
160-y. Contingent fees.
160-z. Retention of records.
160-aa. Transitional licensing.
160-bb. Severability.
§ 160. Application. This article applies to the profession of real estate appraisers and the use of the titles "state certified real estate appraiser" and "state licensed real estate appraiser".
§ 160-a. Definitions. As used in this article the following terms shall mean:
1. "Analysis" is a study of real estate or real property other than estimating value.
2. "Appraisal" or "real estate appraisal" means an analysis, opinion or conclusion relating to the nature, quality, value or utility of specified interests in, or aspects of, identified real estate. An appraisal may be classified by subject matter into either a valuation or an analysis.
3. "Appraisal report" means any written communication of an appraisal.
4. "Board" means the state board of real estate appraisal established pursuant to the provisions of section one hundred sixty-c of this article.
5. (a) "Certified appraisal" or "certified appraisal report" means an appraisal or appraisal report given or signed and certified as such by a certified real estate appraiser. When identifying an appraisal or appraisal report as "certified", the state certified real estate appraiser must indicate which type of certification is held. A certified appraisal or appraisal report represents to the public that it meets the appraisal standards defined in this article.
(b) "Licensed appraisal" or "licensed appraisal report" means an appraisal or appraisal report given or signed and authenticated as such by a licensed real estate appraiser. A licensing appraisal or appraisal report represents to the public that it meets the appraisal standards as prescribed by the board.
6. (a) "State certified real estate appraiser" means a person who develops and communicates real estate appraisal and who holds a current, valid certificate issued to him or her for either general or residential real estate under the provisions of this article.
(b) "State licensed real estate appraiser" means a person who develops and communicates real property appraisals and who holds a current valid license issued to him or her for residential real property under the provisions of this article.
(c) "State licensed real estate appraiser assistant" means a person who assists and is supervised by a state certified real estate appraiser and who holds a current valid license issued to him or her under the provisions of this article.
7. "Department" shall mean the department of state.
8."Real estate" means an identified parcel or tract of land, including improvements, if any.
9. "Real property" means one or more defined interests, benefits and rights inherent in the ownership of real estate.
10. "Valuation" is an estimate of the value of real estate or real property.
§ 160-b. Use of the title "state certified real estate appraiser" or "state licensed real estate appraiser" or "state licensed real estate appraiser assistant". 1. Only a person certified under this article shall use the title "state certified real estate appraiser" or licensed under this article shall use the title "state licensed real estate appraiser" or "state licensed real estate appraiser assistant" or assume that title or any title, designation or abbreviation likely to create the impression of certification or license by this state as a real estate appraiser or real estate appraiser assistant. After December thirty-first, nineteen hundred ninety-one, only a person who is certified or licensed pursuant to this article shall describe or refer to any appraisal or other evaluation of real estate located in this state by the term "certified" or "licensed".
2. Nothing in this article shall preclude a person who is not a state certified or licensed real estate appraiser or a licensed real estate appraiser assistant from appraising real estate for compensation.
§ 160-c. State board of real estate appraisal. 1. There is hereby established within the department of state a state board of real estate appraisal which shall consist of nine members, three of whom shall be public members and six of whom shall be real estate appraisers, who shall have and exercise the powers of the board as set forth in section one hundred sixty-d of this article.
2. Three members shall be appointed by the governor, one of whom shall be a public member; two members shall be appointed by the temporary president of the senate, one of whom shall be a real estate appraiser and one of whom shall be a public member; two members shall be appointed by the speaker of the assembly, one of whom shall be a real estate appraiser and one of whom shall be a public member; one member shall be appointed by the minority leader of the senate; one member shall be appointed by the minority leader of the assembly. The term of each member shall be five years.
3. Notwithstanding the foregoing, the members of the first board who are real estate appraisers, need not be certified or licensed under this article prior to their appointment to the board. The board shall appoint an executive secretary who shall be a real estate appraiser.
4. The executive secretary and real estate appraiser members first appointed to the board shall be certified designated members in good standing of a nationally recognized real estate appraisal organization that as of June first, nineteen hundred eighty-nine, required appraisal experience, education and testing in order to become a designated member, in addition to adherence to standards of professional practice in order to retain such designation. Each real estate appraiser member of the board appointed after January first, nineteen hundred ninety-six, must be a state certified real estate appraiser. At least one-half of the appraiser members appointed after January first, nineteen hundred ninety-six, shall hold the general appraisal certificate. Any vacancy occurring on the board shall be filled within sixty days of its occurrence, in the same manner as the member whose vacancy is being filled was appointed. A person appointed to fill a vacancy occurring other than by expiration of a term shall be appointed for the unexpired term of the member he succeeds. No person shall serve as a member of the board for more than two consecutive terms. The public members of the board shall not be engaged in the practice of real estate appraising.
§ 160-d. Powers of the board. 1. The board shall adopt rules and regulations in aid or furtherance of this article and shall have the following powers and duties:
a. To define, with respect to each category of state certified real estate appraisers, state licensed real estate appraisers, and state licensed real estate appraiser assistants, the type of educational experience, appraisal experience and equivalent experience that will meet the statutory requirements of this article, provided, however, that in no event shall the experience, education and examination requirements adopted by the board be less than the minimum criteria established by the Appraisal Subcommittee of the Federal Financial Institutions Examination Council or by the Appraiser Qualification Board of the Appraisal Foundation as referred to in title XI of the Financial Institutions Reform, Recovery and Enforcement Act of 1989;
b. To establish examination specifications consistent with the standards of the Appraisal Qualifications Board of the Appraisal Foundation for state licensed real estate appraiser assistants, state licensed real estate appraisers and each category of state certified real estate appraisers, to provide or procure appropriate examination questions and answers and to establish procedures for grading examinations;
c. To define, with respect to state licensed real estate appraiser assistants, state licensed real estate appraisers and each category of state certified real estate appraisers, the continuing education requirements for the renewal of a license or a certification that will meet the statutory requirements provided in this article;
d. To review the standards for the development and communication of real estate appraisals provided in this article and to adopt regulations explaining and interpreting such standards, provided, however, that such standards must, at a minimum, conform to the uniform standards of professional appraisal as promulgated by the Appraisal Standards Board of the Appraisal Foundation; and
e. To prescribe the scope of practice for state licensed real estate appraiser assistants, state licensed real estate appraisers and each category of state certified real estate appraisers, provided, however, that in no event shall the scope of practice prescribed by the board be less than the scope of practice established by the Appraisal Subcommittee of the Federal Financial Institutions Examination Council or by the Appraiser Qualification Board of the Appraisal Foundation as referred to in title XI of the Financial Institutions Reform, Recovery and Enforcement Act of 1989;
f. To perform such other functions and duties as may be necessary in carrying out the provisions of this article.
2. The board shall promulgate rules and regulations prescribing the form and content of each appraisal report. Such rules and regulations shall include but are not limited to the following requirements:
a. Each appraisal report shall clearly and accurately disclose any extraordinary assumption or limited condition that directly affects an appraisal.
b. Each written appraisal report shall comply with the following specific reporting guidelines:
(1) Identify and describe the real estate being appraised;
(2) Identify the real property being appraised;
(3) Define the opinion that is the purpose of the appraisal and describe the scope of the appraisal;
(4) Set forth the effective date of the opinion and the date of the appraisal report;
(5) Set forth the appraiser's opinion of the highest and best use of the real estate being appraised when such an opinion is necessary and appropriate;
(6) Set forth the appraisal procedure followed, the data considered and the reasoning that supports the analyses, opinions and conclusions;
(7) Set forth all assumptions and limiting conditions that affect the analyses, opinions and conclusions in the appraisal report; and
(8) Set forth any additional information that may be appropriate to show compliance with, and identify permitted departures from, the requirements for the development of appraisals as provided in this article or as established by the board.
3. The board shall establish standards of developing an appraisal. Such standards shall, among other things, state the following guidelines:
a. All state certified or licensed real estate appraisers conducting certified or licensed appraisals, performing appraisal service or issuing an appraisal shall:
(1) Be aware of, understand and correctly employ those recognized appraisal methods and techniques that are necessary to produce a credible analysis, opinion or conclusion;
(2) Not commit a substantial error or omission of commission which results from a significant departure from the recognized appraisal methods and techniques;
(3) Not commit a substantial error or omission of commission that significantly affects an analysis, opinion or conclusion;
(4) Identify the real estate and real property under consideration, define the opinion that is the purpose of the appraisal, consider the scope of the appraisal service and identify the effective date of the opinion;
(5) Identify and consider the appropriate procedures and market data required to perform the appraisal service, where appropriate;
(6) Consider the effect on use and value of the following factors: existing land use regulations, reasonably probable modifications of land use regulations, economic demand, the physical adaptability of the property, neighborhood trends and the highest and best use of the property;
(7) Consider the effect on the property being appraised of anticipated public or private improvements, located on or off the site, to the extent that market actions reflect the anticipated improvements as of the effective appraisal date;
(8) Recognize that land may be appraised as though vacant and avail- able for development and that the appraisal of improvements is based on their actual contributions to the site;
(9) Appraise proposed improvements only after examining and having available for future examination plans, specifications or other documentation sufficient to identify the scope and character of the proposed improvements, evidence indicating the probable time of completion of the proposed improvements, and reasonably clear and appropriate evidence supporting development costs, anticipated earnings, occupancy projections and the anticipated competition at the time of completion; and
(10) Base estimates of anticipated future rent and expenses for the real estate and real property being appraised on reasonably clear and appropriate evidence.
b. In addition to the foregoing, an appraiser shall define the value being considered. If the value estimate is a statement or estimate of market value, he or she shall clearly indicate whether the statement or estimate is the most probable price in terms of cash or financial arrangements equivalent to cash or other terms as may be precisely defined. If an estimate of value is based on submarket financing or financing with unusual conditions or incentives, the terms of such a typical financing shall be clearly set forth, their contributions to, or negative influence on value shall be described and estimated, and the market data supporting the valuation estimate shall be described and explained.
c. For each real property appraisal analysis, opinion or conclusion that contains an estimate of value, a state certified or licensed real estate appraiser shall observe all of the following specific real property appraisal guidelines:
(1) Consider whether an appraised fractional interest, physical segment or partial holding contributes pro rata to the value of the whole;
(2) Identify any personal property or other items that are not real estate but are included with or considered in connection with real estate being appraised and contribute to the total value estimate or conclusion;
(3) Consider and analyze any current agreement of sale, option or listing of the real estate and real property being appraised, if the information is available to the person in the normal course of business;
(4) Consider and analyze any prior sales of the property being appraised that occurred within one year;
(5) When estimating the value of a leased fee estate or a leasehold estate, analyze and consider the effect on value, if any, of the terms and conditions of the lease; and
(6) Give careful consideration to the effect on value, if any, of the assemblage of the various estates or component parts of an estate and refrain from estimating the value of the whole solely by adding together the individual values of its various estates or component parts.
d. In developing a review appraisal, a state certified or licensed real estate appraiser shall observe all of the following specific appraisal guidelines:
(1) Identify the appraisal report being reviewed, the real estate being appraised, the real property being appraised, the effective date of the opinion in the original report, the date of the original report and the date of the review;
(2) Identify the scope of the review process to be conducted, including a determination of whether or not it is appropriate or essential to inspect the appraised property and the data presented;
(3) Form an opinion as to the adequacy and relevance of the data used and the propriety of any adjustment made;
(4) Form an opinion as to whether or not the appraisal methods and techniques used were appropriate and, if not, the reasons for the person's disagreement with the original appraisal; and
(5) Form an opinion as to whether or not the analyses, opinions or conclusions in the report being reviewed are correct or appropriate and, if not, state his or her analyses, opinions or conclusions and his or her reasons for disagreement with the original appraisal.
e. In developing an appraisal for an employer or a client, a state certified or licensed real estate appraiser shall carefully consider and determine whether the appraisal service to be performed is intended to result in an analysis, opinion or conclusion of a disinterested third party and therefore would be classified as an appraisal assignment as defined in subdivision two of section one hundred sixty-x of this article. If the appraisal service to be performed is not intended to result in an analysis, opinion or conclusion of a disinterested third party, the person shall then carefully consider whether or not he or she would be perceived by third parties or the public as acting as a disinterested third party.
f. Prior to entering into an agreement to perform a real property appraisal service, a state certified or licensed real estate appraiser shall carefully consider the knowledge and experience that will be required to complete the appraisal service competently and either:
(1) Have the knowledge and experience necessary to complete the appraisal service competently; or
(2) Immediately disclose the lack of knowledge or experience to the client and take all steps necessary to complete the appraisal service competently.
g. A state certified or licensed real estate appraiser may enter into an agreement to perform a real property appraisal service that calls for something less than, or different from, the work that would otherwise be required by the specific appraisal guidelines, provided that prior to entering into the agreement, he or she has done all of the following:
(1) The state certified or licensed real estate appraiser has determined that the appraisal service to be performed is not so limited in scope that the resulting analysis, opinion or conclusion concerning real estate or real property would tend to mislead or confuse the client, the users of the appraisal report or the public; and
(2) The state certified or licensed real estate appraiser has advised the client that the appraisal service calls for something less than, or different from, the work required by the specific appraisal guidelines, and therefore the appraisal report will include a qualification that reflects the limited or differing scope of the appraisal service.
§ 160-e. Powers of the department. The department shall have the following powers and duties:
1. To receive applications for certification and licensing;
2. To establish the administrative procedures for processing applications for certification and licensing;
3. To approve or disapprove applications for certification or license and issue certificates or licenses;
4. To maintain a registry of the names and addresses of people certified or licensed under this article;
5. To retain records and all application materials submitted to it;
6. To approve courses and seminars for original certification or licensing and continuing education to ensure that the same are consistent with the standards established by the board, or equivalent to those required by such standards;
7. To assist the board in such other manner as the board may request;
8. To establish administrative procedures for disciplinary proceedings conducted pursuant to the provisions of this article; and
9. To suspend and revoke certificates or licenses pursuant to the disciplinary proceedings provided for in this article.
§ 160-f. Fees. 1. The department shall charge and collect fees not in excess of the following:
a. An application fee for certification and licensing of two hundred fifty dollars.
b. An examination fee of fifty dollars.
c. A reexamination fee of fifty dollars.
d. A fee for recertification or renewal of license of two hundred fifty dollars.
e. A delinquent renewal fee of two hundred dollars.
2. Notwithstanding any other law, the department may transmit an annual registry fee as set by the federal appraisal subcommittee in accordance with 12 U.S.C. 3338 (a)(4)(A) from such individuals who perform or seek to perform appraisals in federally related transactions and to transmit a roster of such individuals to the Appraisal Subcommittee of the Federal Financial Institutions Examination Council as required by Title XI of the Financial Institutions Reform, Recovery, and Enforcement Act of 1989.
3. All fees collected under this section shall be paid into the business and licensing services account established pursuant to section ninety-seven-y of the state finance law.
§ 160-g. Certification and licensing process. 1. Applications for original certification and recertification, original license and renewal of license, and examinations shall be made in writing to the department on forms approved by the board.
2. The fees, as fixed by the department pursuant to section one hundred sixty-f of this article, must accompany all applications for original certification and recertification, original license and renewal of license, and examination.
3. At the time of filing an application for certification or license, each applicant shall sign a pledge to comply with the standards set forth in this article and state that he or she understands the types of misconduct for which disciplinary proceedings may be initiated against a state certified real estate appraiser, or a state licensed real estate appraiser, as set forth in this article.
§ 160-h. Licenses and certifications. 1. There shall be one class of license for state licensed real estate appraiser assistants, one class of license for state licensed real estate appraisers and two classes of certification for state certified real estate appraisers. The classes of certification shall be state certified residential real estate appraiser and state certified general real estate appraiser. The board shall prescribe the scope of practice for each license and both classes of certification, provided, however, that in no event shall the scope of practice prescribed by the board be less than the minimum criteria established by the Appraisal Subcommittee of the Federal Financial Institutions Examination Council or by the Appraiser Qualification Board of the Appraisal Foundation as referred to in title XI of the Financial Institutions Reform, Recovery and Enforcement Act of 1989.
2. The application for original certification and recertification or original license and renewal of license, and examination shall specify whether it is for a license or certification being applied for and previously granted. If the application is for a license or renewal, it shall specify for what class of license the application is being made. If the application is for a certification or recertification, it shall specify for what class of certification the application is being made.
§ 160-i. Examination requirement. An original certification as a state certified real estate appraiser or an original license as a state licensed real estate appraiser shall not be issued to any person who has not demonstrated through a written examination process that he or she possesses the following:
1. Appropriate knowledge of technical terms commonly used in or related to real estate appraising, appraisals, report writing and economic concepts applicable to real estate;
2. Understanding of the principles of land economics, real estate appraisal processes, and of problems likely to be encountered in gathering, interpreting and processing of data in carrying out appraisal disciplines;
3. Understanding of the standards for the development and communication of real estate appraisals as provided in this article;
4. Knowledge of theories of depreciation, cost estimating, methods of capitalization, and the mathematics of real estate appraisal that are appropriate for the classification of certificate applied for;
5. Knowledge of other principles and procedures as may be appropriate for the respective classifications;
6. Basic understanding of real estate law; and
7. Understanding of the types of misconduct for which disciplinary proceedings may be initiated against a state certified real estate appraiser or a state licensed real estate appraiser, as set forth in this article.
§ 160-j. Examination prerequisites. 1. Certified general classification. As a prerequisite to taking the examination for certification as a state certified general real estate appraiser, an applicant shall present evidence satisfactory to the board that he or she has fulfilled the minimum education and experience requirements for such certification examination as established by the board, which shall not be less than the minimum criteria established by the Appraiser Qualification Board pursuant to Title XI of the Financial Institution Reform, Recovery and Enforcement Act of 1989.
2. Certified residential classification. As a prerequisite to taking the examination for certification as a state certified residential real estate appraiser, an applicant shall present evidence satisfactory to the board that he or she has fulfilled the minimum education and experience requirements for such certification examination as established by the board, which shall not be less than the minimum criteria established by the Appraiser Qualification Board pursuant to Title XI of the Financial Institution Reform, Recovery and Enforcement Act of 1989.
3. Licensed classification. As a prerequisite to taking the examination for licensing as a state licensed real estate appraiser, an applicant shall present evidence satisfactory to the board that he or she has fulfilled the minimum education and experience requirements for such certification examination as established by the board, which shall not be less than the minimum criteria established by the Appraiser Qualification Board pursuant to Title XI of the Financial Institution Reform, Recovery and Enforcement Act of 1989.
§ 160-k. Experience requirement. 1. An original certification of a state certified real estate appraiser, or an original license of a state licensed real estate appraiser, shall not be issued to any person who does not possess the equivalent of two years of appraisal experience in real property appraisal as defined by the board supported by adequate written reports. Such experience may include fee and staff appraisal, ad valorem tax appraisal, review appraisal, appraisal analysis, highest and best use analysis, feasibility analysis or study, and teaching of appraisal courses at a university, college, or junior college when such courses have a duration of not less than ten weeks.
2. A person who is not a state certified real estate appraiser under this article may assist a state certified real estate appraiser in the preparation of an appraisal, provided that he or she is actively and personally supervised by the state certified real estate appraiser and provided that any appraisal report is reviewed and signed by the supervising state certified appraiser.
3. Each applicant for certification or license shall furnish under oath a detailed listing of the real estate appraisal reports for each year for which experience is claimed by the applicant. Upon request, the applicant shall make available to the department for examination, a sample of appraisal reports which the applicant has prepared in the course of his or her appraisal practice.
4. No state certified real estate appraiser shall supervise more than three licensed real estate appraiser assistants.
§ 160-l. Terms of registration. The term of a certificate or license issued under the authority of this article shall be two years from the date of issuance. The expiration date of the certificate or license shall appear on the certificate or license and no other notice of its expiration need be given to its holder.
§ 160-m. Nonresident certification and licensing. 1. Every applicant for certification or licensing under this article who is not a resident of this state shall submit, with the application for certification or license, an irrevocable consent that service of process upon him or her may be made by delivery of the process to the secretary of state if, in an action against the applicant in a court of this state arising out of the applicant's activities as a state certified real estate appraiser, or a state licensed real estate appraiser, the plaintiff cannot, in the exercise of due diligence, effect personal service upon the applicant.
2. When a nonresident of this state, certified or licensed under the laws of his resident state, the certification and licensing process of which has not been disapproved by the appraisal subcommittee of the federal financial institutions examination council, does not maintain an office for providing appraisal services to clients in this state, and has complied with subdivision one of this section, such nonresident may, upon recommendation of the board, pursuant to such temporary licensing rules or regulations as the board may promulgate, provide certified or licensed appraisals. No temporary certificate or license shall be valid for a duration greater than one year after the date of issue. Any person performing, or seeking to perform, federally related appraisals shall be liable for, and pay, all fees, rated proportionately, which would apply to such person were he or she a resident of this state.
3. A nonresident of this state who has complied with subdivision one of this section, but who does not qualify for treatment under subdivision two of this section, may obtain a certificate as a state certified real estate appraiser or a license as a state licensed real estate appraiser by conformity to all the provisions of this article relating to state certified or licensed real estate appraisers.
4. The board shall recognize on a temporary basis the certification or license of an appraiser issued by another state pursuant to section 1122 of Title XI of the Financial Institutions Reform, Recovery, and Enforcement Act of 1989, Pub. Law. No. 101-73, 103 Stat. 183 (1989) (codified at 12 U.S.C. 331 et seq.).
§ 160-n. Nonresident certification and licensing by reciprocity. If, in the determination of the board, the certification or licensing process has not been disapproved by the appraisal subcommittee of the federal financial institutions examination council, an applicant who is certified under the laws of such other state may obtain a certificate as a state certified real estate appraiser or a license as a state licensed real estate appraiser in this state upon such terms and conditions as may be determined by the department.
§ 160-o. Renewal certificate or license. 1. a. To obtain a recertification as a state certified real estate appraiser, or a renewal of license as a state licensed real estate appraiser, the holder of a current, valid certificate or license shall make application and pay the prescribed fee to the department not earlier than one hundred twenty days nor later than thirty days prior to the expiration date of the certificate or license then held. With the application for recertification or renewal of license, the state certified real estate appraiser or state licensed real estate appraiser shall present evidence in the form prescribed by the department of having completed the continuing education requirements, if any, for renewal specified in this article.
b. If the department determines that an applicant has failed to meet the requirements for renewal of certification or licensing through mistake, misunderstanding or circumstances beyond the control of the applicant, the department may extend the term of the certificate or license for a period not to exceed six months, upon payment by the applicant of the prescribed fee for the extension.
c. If the applicant satisfies the requirements for renewal during the extended term of certification or license, the beginning date of the new renewal certificate or license shall be the day following the expiration of the certificate or license previously held by the applicant.
2. If a person fails to renew a certificate as a state certified real estate appraiser, or license as a state licensed real estate appraiser, prior to its expiration or within a period of extension granted by the department pursuant to this article, the person may obtain a recertification or renewal of license by satisfying all of the requirements for renewal and by the payment of a late renewal fee.
3. The license of a state licensed real estate appraiser assistant may be renewed in accordance with the provisions of subdivisions one and two of this section.
§ 160-p. Basis for denial. The department may, in accordance with the provisions of this article relating to hearings, deny the issuance of a certificate as a state certified real estate appraiser, or license as a state licensed real estate appraiser, or license as a state licensed real estate appraiser assistant, to an applicant on any of the grounds enumerated in this article.
§ 160-q. Principal place of business. 1. Each state certified or licensed real estate appraiser and each state licensed real estate appraiser assistant shall advise the department of the address of his or her principal place of business and all other addresses at which he or she is currently engaged in the business of preparing or assisting with the preparation of real property appraisal reports.
2. Change of name or address. Notice in writing in the manner and form prescribed by the department shall be given the department at its offices in Albany within ten days of a change of name or address of the state certified or licensed real estate appraisers or of the state licensed real estate appraiser assistants, except those made on a recertification or renewal application. The fee for filing each change of name or address notice shall be ten dollars.
§ 160-r. Certificate or license. 1. A certificate or license issued under authority of this article shall bear the signature of the executive secretary of the board and a certificate or license number assigned by the department.
2. Each state certified real estate appraiser shall place his or her certificate number, and each licensed real estate appraiser shall place his or her license number adjacent to or immediately below the title "State Certified Residential Real Estate Appraiser", "State Certified General Real Estate Appraiser" or "State Licensed Real Estate Appraiser", respectively, when used in an appraisal report or in a contract or other instrument used by the certificate or license holder in conducting real property appraisal activities.
3. Duplicate licenses or certifications or pocket cards. In the case of loss, destruction, or damage, the secretary of state may, upon submission of a request in such form and manner as the department may prescribe, issue a duplicate license or certification or pocket card upon payment of a fee of ten dollars.
§ 160-s. Use of term. 1. The title "state certified real estate appraiser" may only be used to refer to individuals who hold the certificate, and the title "state licensed real estate appraiser" may only be used to refer to individuals who hold the license, and the title "state licensed real estate appraiser assistant" may only be used to refer to individuals who hold the license, and may not be used following or immediately in conjunction with the name or signature of a firm, partnership, corporation or group; or in such manner that it might be interpreted as referring to a firm, partnership, corporation, group or anyone other than an individual holder of the certificate or license.
2. No certificate or license shall be issued under the provisions of this article to a corporation, partnership, firm or group. This shall not be construed to prevent a state certified or licensed real estate appraiser from signing an appraisal report on behalf of a corporation, partnership, firm or group practice.
§ 160-t. Continuing education. 1. As a prerequisite to recertification or renewal of license, a certified or licensed real estate appraiser shall present evidence satisfactory to the department of having met the continuing education requirements, if any, pursuant to this article.
2. The basic continuing education requirement for recertification or renewal of license shall be the completion by the applicant, during the immediately preceding term of certification or license, of not less than twenty-eight classroom hours of instruction in courses or seminars which have received the approval of the department. Computer based and distance learning courses may be approved by the department so long as providers demonstrate the ability to monitor and verify participation by the real estate appraiser for the specified time periods.
3. In lieu of meeting the requirements of subdivision two of this section an applicant for recertification or renewal of license may satisfy all or part of the requirements by presenting evidence of the following:
a. Completion of an educational program of study determined by the department to be equivalent, for continuing education purposes, to courses approved by the department pursuant to subdivision two of this section; or
b. Participation other than as a student in educational processes and programs approved by the department which relate to real property appraisal theory, practices or techniques, including, but not necessarily limited to, teaching, program development and preparation of textbooks, monographs, articles and other instructional materials.
4. The secretary of state or her duly appointed designee shall adopt regulations upon recommendation by the board for implementations of the provisions of this article to assure that persons renewing their certifications as state certified real estate appraisers or licenses as state licensed real estate appraisers have current knowledge of real property appraisal theories, practices and techniques which will provide a high degree of service and protection to those members of the public with whom they deal in a professional relationship under authority of the certification or license. The regulations shall prescribe the following:
a. Policies and procedures for obtaining departmental approval of courses of instruction pursuant to subdivision two of this section;
b. Standards, policies and procedures to be applied by the department in evaluating applicant's claims of equivalency in accordance with subdivision three of this section;
c. Standards, monitoring methods and systems for recording attendance to be employed by course sponsors as a prerequisite to department approval of courses for credit.
5. In adopting regulations pursuant to paragraph a of subdivision four of this section, the board shall give favorable consideration to courses of instruction, seminars and other real property appraisal educational courses or programs previously or hereafter developed by or under the auspices of professional appraisal organizations and utilized by those associations for purposes of designation or indicating compliance with the continuing education requirements of such organizations.
6. No amendment or repeal of a regulation adopted by the secretary of state or her duly appointed designee pursuant to this section shall operate to deprive a state certified real estate appraiser of credit toward recertification, or a state licensed real estate appraiser of credit toward renewal of license, for any course of instruction completed by the applicant prior to the amendment or repeal of the regulation which would have qualified for continuing education credit under the regulation as it existed prior to the repeal or amendment.
7. A certification as a state certified real estate appraiser, or a license as a state licensed real estate appraiser, that has been revoked as a result of disciplinary action by the department shall not be reinstated unless the applicant presents evidence of completion of the continuing education required by this article. This requirement of evidence of continuing education shall not be imposed upon any applicant for reinstatement who has been required to successfully complete the examination for state certified or licensed real estate appraiser as a condition to reinstatement of certification or license.
8. The board shall prescribe the continuing education requirements for licensed real estate appraiser assistants; provided, however, that in no event shall such requirements be less than the minimum criteria established by the Appraisal Subcommittee of the Federal Financial Institutions Examination Council or by the Appraiser Qualification Board of the Appraisal Foundation as referred to in title XI of the Financial Institutions Reform, Recovery and Enforcement Act of 1989.
§ 160-u. Disciplinary proceedings. 1. The rights of any holder under a state certificate as a state certified real estate appraiser, or a license as a state licensed real estate appraiser, may be revoked or suspended, or the holder of the certification or license may be otherwise disciplined in accordance with the provisions of this article, upon any of the grounds set forth in this section. The department may investigate the actions of a state certified or licensed real estate appraiser, and may revoke or suspend the rights of a certificate or license holder or otherwise discipline a state certified or licensed real estate appraiser for any of the following acts or omissions:
a. Procuring or attempting to procure a certificate or license pursuant to this article by knowingly making a false statement, submitting false information, refusing to provide complete information in response to a question in an application for certification or license or through any form of fraud or misrepresentation;
b. Failing to meet the minimum qualifications established by this article;
c. Paying money other than provided for by this article to any member or employee of the department to procure a certificate or license under this article;
d. A conviction of a felony or a misdemeanor which is substantially related to the qualifications, functions and duties of a person developing real estate appraisals and communicating real estate appraisals to others;
e. An act or omission involving dishonesty, fraud or misrepresentation with the intent to substantially benefit the certificate or license holder or another person or with the intent to substantially injure another person;
f. Violation of any of the standards for the development or communication of real estate appraisals as provided in this article;
g. Failure or refusal without good cause to exercise reasonable diligence in developing an appraisal, preparing an appraisal report or communicating an appraisal;
h. Negligence or incompetence in developing an appraisal, in preparing an appraisal report, or in communicating an appraisal;
i. Willfully disregarding or violating any of the provisions of this article or the regulations of the board for the administration and enforcement of the provisions of this article;
j. Accepting an appraisal assignment as defined in section one hundred sixty-x of this article, when the employment itself is contingent upon the appraiser reporting a predetermined estimate, analysis or opinion, or where the fee to be paid is contingent upon the appraiser reporting a predetermined estimate, analysis or opinion, or where the fee to be paid is contingent upon the opinion, conclusion or valuation reached, or upon the consequences resulting from the appraisal assignment;
k. Violating the confidential nature of governmental records to which he or she gained access through employment or engagement as an appraiser by a governmental agency; or
l. Entry of a final civil judgment against the person on grounds of fraud, misrepresentation or deceit in the making of any appraisal of real property.
2. In a disciplinary proceeding based upon a civil judgment, the certified or licensed real estate appraiser shall be afforded an opportunity to present matters in mitigation and extenuation, but may not collaterally attack the civil judgment.
3. The provisions of subdivisions one and two of this section shall also be applicable to licensed real estate appraiser assistants.
§ 160-v. Due process. 1. Before suspending or revoking any certification or license, the department shall notify the state certified or licensed real estate appraiser or licensed real estate appraiser assistant in writing of any charges made at least twenty days prior to the date set for the hearing and shall afford him or her an opportunity to be heard in person or by counsel.
2. The written notice may be served either personally or sent by certified mail to the last known business address of the appraiser.
3. The department shall have the power to subpoena and issue subpoena duces tecum and to take testimony by deposition, in the same manner as prescribed by law in judicial proceedings in the courts of this state.
§ 160-w. Hearing and judicial review. 1. The hearing on the charges shall be at a time and place prescribed by the department.
2. If the department determined that a state certified or licensed real estate appraiser or licensed real estate appraiser assistant is guilty of a violation of any of the provisions of this article, it shall prepare a finding of fact and recommend that such appraiser be reprimanded or that his or her certification or license be suspended or revoked. The decision and order of the department shall be final.
3. Any final decision or order of the department in certifying or denying certification or in recertification, or in licensing, denying license, or in renewal of a license, under this article or in revoking or suspending such certification or license or imposing any fine or reprimand on the holder of such certification or license shall be subject to review by a proceeding brought under and pursuant to article seventy-eight of the civil practice law and rules at the insistence of the applicant for such certification, the holder of the certificate or license so revoked or suspended or the person fined, reprimanded or otherwise aggrieved.
§ 160-x. Classification of services. 1. A client or employer may retain or employ a state certified or licensed real estate appraiser to act as a disinterested third party in rendering an unbiased estimate of value or analysis. A client or employer may also retain or employ a state certified or licensed real estate appraiser to provide specialized services to facilitate the client's or employer's objectives. In either case, the appraisal and the appraisal report must comply with the provisions of this article.
2. For the purposes of this article, the term "appraisal assignment" means an engagement for which an appraiser is employed or retained to act, or would be perceived by third parties or the public as acting, as a disinterested third party in rendering an unbiased analysis, opinion or conclusion relating to the nature, quality, value or utility of specified interests in, or aspects of, identified real estate.
3. For the purposes of this article, the term "specialized services" means those appraisal services which do not fall within the definition of appraisal assignment. The term "specialized services" may include valuation work and analysis work. Regardless of the intention of the client or employer, if the state certified or licensed real estate appraiser would be perceived by third parties or the public as acting as a disinterested third party in rendering an unbiased analysis, opinion or conclusion, the work is classified as an appraisal assignment and not "specialized services".
§ 160-y. Contingent fees. 1. A state certified or licensed real estate appraiser may not accept a fee for an appraisal assignment as defined in section one hundred sixty-x of this article, that is contingent upon the appraiser reporting a predetermined estimate, analysis, or opinion or is contingent upon the opinion, conclusion or valuation reached, or upon the consequences resulting from the appraisal assignment.
2. A state certified or licensed real estate appraiser who enters into an agreement to perform specialized services, as defined in section one hundred sixty-x of this article, may be paid a fixed fee or a fee that is contingent on the results achieved by the specialized services.
3. If a state certified or licensed real estate appraiser enters into an agreement to perform specialized services for a contingent fee, this fact shall be clearly stated in each written report. In each written report, this fact shall be clearly stated in a prominent location in such report and also in each letter of transmittal and in the certification or authentication of the statements made by the appraiser in such a report.
§ 160-z. Retention of records. 1. A state certified or licensed real estate appraiser shall retain for three years, originals or true copies of all written contracts engaging his or her services for real property appraisal work, and all reports and supporting data assembled and formulated by the appraiser in preparing the reports.
2. Such period for retention of records is applicable to each engagement of the services of the appraiser and shall commence upon the date of the submittal of the appraisal to the client unless, within such three year period, such appraiser is notified that the appraisal or report is involved in litigation, in which event the three year period for the retention of records shall commence upon the date of the final disposition of such litigation.
3. All records required to be maintained under the provisions of this article shall be made available by the state certified or licensed real estate appraiser for inspection and copying by the board on reasonable notice to such appraiser. All such records copied by the board shall be kept confidential, except where disclosure of same is required by law or mandate of a court.
§ 160-aa. Transitional licensing. Consistent with the intent and purpose of this article, and without the disapproval of the appraisal subcommittee of the federal financial institutions examination council, the board may prescribe requirements for transitional licenses which shall expire no later than January first, nineteen hundred ninety-three.
§ 160-bb. Severability. If any clause, sentence, paragraph, section or part of this article 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, section, or part thereof directly involved in the controversy in which such judgment shall have been rendered.
ARTICLE 6-F NEW YORK BLACK CAR OPERATORS' INJURY COMPENSATION FUND, INC.
Section 160-cc. Definitions.
160-dd. New York black car operators' injury compensation fund, inc.
160-ee. Supervision of central dispatch facilities.
160-ff. Management of the fund; board of directors.
160-gg. Plan of operation.
160-hh. Membership in the fund; registration with the department.
160-ii. Securing of compensation.
160-jj. Assessment of fund members; customer surcharges; audit powers of the fund, the board and the fund's insurer.
160-kk. Financial oversight of the fund.
160-ll. Exemption from taxes.
160-mm. Liability insurance.
160-nn. Regulations.
160-oo. Violations; penalties; appeals.
§ 160-cc. Definitions. As used in this article:
1. "Black car operator" means the registered owner of a for-hire vehicle, or a driver designated by such registered owner to operate the registered owner's for-hire vehicle as the registered owner's authorized designee, whose injury arose out of and in the course of providing covered services to a central dispatch facility that is a registered member of the New York black car operators' injury compensation fund, inc.
(a) For the purposes of the administration of this article, a black car operator shall include a TNC driver that is engaged in a TNC prearranged trip. For the purposes of this article, the terms "TNC driver", "TNC prearranged trip" and "digital network" shall have the same meanings as such terms are defined in article forty-four-B of the vehicle and traffic law.
(b) For the purposes of the administration of this article, a black car operator shall include a TNC driver that is logged onto a TNC digital network and is not engaged in a TNC prearranged trip but is engaged in an activity reasonably related to driving as a TNC driver taking into consideration the time, place and manner of such activity.
2. "Board" means the workers' compensation board.
3. "Central dispatch facility" means a central facility, wherever located, including a transportation network company, that (a) dispatches the registered owners of for-hire vehicles, or drivers acting as the designated agent of such registered owners, to both pick-up and discharge passengers in the state, and (b) has certified to the satisfaction of the department of state that more than ninety percent of its for-hire business is on a payment basis other than direct cash payment by a passenger; provided, however, that a central dispatch facility shall not include any such central facility that owns fifty percent or more of the cars it dispatches. For the purposes of administration of this article, central dispatch facility shall include TNC prearranged trip as defined in article forty-four-B of the vehicle and traffic law.
4. "Covered services" means, with respect to dispatches from or by a central dispatch facility located in the state, all dispatches from such central dispatch facility regardless of where the pick-up or discharge occurs, and, with respect to dispatches from or by a central dispatch facility located outside the state, all dispatches involving a pick-up in the state, regardless of where the discharge occurs.
5. "Department" means the department of state.
6. "Fund" means the New York black car operators' injury compensation fund, inc.
7. "Fund liability date" means the earlier of: (a) the date as of which the board first approves the fund's application to self-insure pursuant to subdivision two of section one hundred sixty-ii of this article, or (b) the date on which coverage commences under the initial insurance policy purchased by the fund pursuant to subdivision three of section one hundred sixty-ii of this article.
8. "Local licensing authority" means the governmental agency in the state, if any, that is authorized to license a central dispatch facility.
9. "Secretary" means the secretary of state.
10. "Transportation network company" or "TNC" shall have the same meaning as the term is defined in article forty-four-B of the vehicle and traffic law.
§ 160-dd. New York black car operators' injury compensation fund, inc. There is hereby created a not-for-profit corporation to be known as the New York black car operators' injury compensation fund, inc. To the extent that the provisions of the not-for-profit corporation law do not conflict with the provisions of this article, or with the plan of operation established pursuant to this article, the not-for-profit corporation law shall apply to the fund, which shall be a type C corporation pursuant to such law. If an applicable provision of this article or of the fund's plan of operation relates to a matter embraced in a provision of the not-for-profit corporation law but is not in conflict therewith, both provisions shall apply. The fund shall perform its functions in accordance with its plan of operation established and approved pursuant to section one hundred sixty-gg of this article and shall exercise its powers through a board of directors established pursuant to this article.
§ 160-ee. Supervision of central dispatch facilities. A central dispatch facility shall, with respect to the provisions of this article, be subject to the supervision and oversight of the department and the local licensing authority, if any, as provided in this article.
§ 160-ff. Management of the fund; board of directors. 1. There shall be appointed a board of directors of the fund, consisting of eleven directors, six of whom shall be selected by the black car assistance corporation; four of whom shall be chosen by the governor, including one chosen upon the recommendation of the temporary president of the senate and one chosen upon the recommendation of the speaker of the assembly; one chosen to represent a transportation network company as defined by article forty-four-B of the vehicle and traffic law; and one of whom shall be the secretary, who shall serve ex officio. The governor shall appoint the director chosen to represent a transportation network company no later than December thirty-first, two thousand seventeen. The terms of all directors other than the secretary shall be three years. The board shall have the power to remove for cause any director other than the secretary.
2. The directors shall elect annually from among their number a chair and a vice chair who shall act as chair in the chair's absence.
3. For their attendance at meetings, the directors of the fund shall be entitled to compensation, as authorized by the directors, in an amount not to exceed two hundred dollars per meeting per director and to reimbursement of their actual and necessary expenses.
4. Directors of the fund, except as otherwise provided by law, may engage in private or public employment or in a profession or business.
5. (a) All of the directors shall have equal voting rights and five or more directors shall constitute a quorum. The affirmative vote of five directors shall be necessary for the transaction of any business or the exercise of any power or function of the fund.
(b) The fund may delegate to one or more of its directors, officers, agents or employees such powers and duties as it may deem proper.
(c) A vacancy occurring in a director position for which the governor was the original appointing authority shall be filled by the governor, upon the recommendation of the legislative official, if any, that was authorized to recommend the original appointee pursuant to subdivision one of this section. A vacancy occurring in a director position for which the black car assistance corporation was the original appointing authority shall be filled by the black car assistance corporation. A vacancy in any one or more of the director positions shall not prevent the remaining directors from transacting any business, provided a quorum is present and voting.
(d) At the expiration of a director's term, the authority that appointed such director pursuant to subdivision one of this section or paragraph (c) of this subdivision shall re-appoint such director for an additional term or appoint a new director for such subsequent term, provided however that no individual may serve as director for more than three successive terms.
§ 160-gg. Plan of operation. 1. Within seventy-five days of the effective date of this article, the fund shall file with the department its plan of operation, which shall be designed to assure the fair, reasonable and equitable administration of the fund. The plan of operation and any subsequent amendments thereto shall become effective upon being filed with the department.
2. The plan of operation shall constitute the by-laws of the fund and shall, in addition to the requirements enumerated elsewhere in this article:
(a) establish procedures for collecting and managing the assets of the fund;
(b) establish regular places and times for meetings of the fund's board of directors;
(c) establish the procedure by which the fund shall determine whether to provide the benefits due pursuant to this article by self-insuring or by purchasing insurance;
(d) establish accounting and record-keeping procedures for all financial transactions of the fund, its agents and the board of directors;
(e) establish a procedure for determining and collecting the appropriate amount of surcharges and assessments under this article;
(f) set forth the procedures by which the fund may exercise the audit rights granted to it under this article;
(g) establish procedures to ensure prompt and accurate notification to the fund by its members of all accidents and injuries to black car operators, and provide for full reimbursement of the fund by any central dispatch facility whose failure to provide such notification results in the imposition of a penalty on the fund by the board; and
(h) contain such additional provisions as the board of the fund may deem necessary or proper for the execution of the powers and duties of the fund.
§ 160-hh. Membership in the fund; registration with the department. 1. The membership of the fund shall be composed of all central dispatch facilities. Each central dispatch facility shall be required, as a condition of doing business within this state, to pay the department a two hundred dollar annual fee for the purpose of registering as a member of the fund and receiving a certificate of registration. Such sums shall be used by the department for the administration of this article. The initial registration fee shall be due no later than ninety days after the effective date of this article. The department shall have the power to assess an additional fee against each registrant in the amount necessary to provide it with sufficient funds to cover its expenses in performing its duties pursuant to this article. The department shall provide the fund with an updated list of registrants on a monthly basis.
2. All central dispatch facilities shall be required, as a condition of obtaining or retaining their license from the local licensing authority, if any, to (a) be members of the fund; (b) be registered with the department as members of the fund; and (c) submit to the local licensing authority a copy of its certificate of registration as proof of such membership and registration.
3. Within sixty days of the effective date of this article, the board of the fund shall, on the basis of information from trade papers, local licensing authorities and other sources, identify the central dispatch facilities subject to this article and, on a regular and ongoing basis, confirm that all such entities have registered in accordance with subdivision one of this section.
4. The fund shall, within seventy-five days of the effective date of this article, provide to its members a copy of the proposed plan of operation filed with the department and shall inform its members of their rights and duties pursuant to this article.
§ 160-ii. Securing of compensation. 1. Within two hundred ten days of the effective date of this article, the fund shall secure the payment of workers' compensation to all black car operators entitled thereto pursuant to this chapter by either: (a) self-insuring in accordance with subdivision three of section fifty of the workers' compensation law and the rules promulgated by the board pursuant to such section or (b) purchasing workers' compensation insurance covering, on a blanket basis, all black car operators who are the fund's employees pursuant to section two of the workers' compensation law.
2. If the fund initially seeks to apply to the board for authorization to self-insure pursuant to subdivision three of section fifty of the workers' compensation law, it shall submit its application and accompanying proof to the board within one hundred fifty days of the effective date of this article. The board shall notify the fund and the secretary in writing of any change in the fund's status as a self-insurer or of any additional requirements that the board may deem necessary for continuation of such status.
3. If the fund chooses to secure the payment of workers' compensation pursuant to the workers' compensation law by purchasing an insurance policy from the state insurance fund or a, licensed insurer, it shall file with the department no later than thirty days after the commencement of a new policy year a copy of the policy it has purchased. In such case, the department shall be treated by the insurer as a certificate holder for purposes of receiving notice of cancellation of the policy.
4. No provision of this article shall be construed to alter or affect the liability under the workers' compensation law of any central dispatch facility with respect to black car operators prior to the fund liability date.
* 5. The fund shall have the authority to provide additional health benefits, consistent with its plan of operation, for all black car operators entitled thereto pursuant to this chapter, provided that the fund shall have complied with all applicable statutory and regulatory requirements. The surcharge amount not related to payments of workers' compensation claims and the administration of those claims shall be up to one-half of one percent (0.5%).
* NB Repealed December 20, 2025
§ 160-jj. Assessment of fund members; customer surcharges; audit powers of the fund, the board and the fund's insurer. 1. To pay (a) the costs of the insurance purchased pursuant to subdivision three of section one hundred sixty-ii of this article or (b) the benefits due under the workers' compensation law in the event the fund self-insures pursuant to subdivision two of section one hundred sixty-ii of this article, and to pay (c) its expenses in carrying out its powers and duties under this article and (d) its liabilities, if any, pursuant to section fourteen-a of the workers' compensation law, the fund shall ascertain by reasonable estimate the total funding necessary to carry on its operations.
2. Based upon its estimation of operating costs, the fund shall establish a proposed uniform percentage surcharge to be added to (a) the invoices or billings for covered services sent to the customers of the fund's members by a member or its agent and (b) the credit payments for covered services received by a member or its agent. The proposed surcharge shall become effective thirty days after being filed with the department. Notwithstanding the foregoing, beginning on the first day of the first calendar month that shall commence at least seventy-five days after the effective date of this article, and until the fund shall have filed with the department a different surcharge amount, a three percent surcharge shall be added to every invoice or billing for covered services sent by a member or its agent to, and every credit payment for covered services received by a member or its agent from, the customers of the fund's members. Each member of the fund shall be liable for payment to the fund of an amount equal to the product of (i) the percentages surcharge due pursuant to this article, divided by one hundred and (ii) all payments received by the member or its agent for covered services from the member's customers, as provided in this subdivision, regardless of whether the surcharge was billed or charged.
3. No local licensing authority or the department or the New York state department of motor vehicles shall issue, continue or renew any license or registration certificate, or permit for the operation of any central dispatch facility unless such central dispatch facility, as a condition of maintaining its license and/or registration certificate, adds the surcharge required by this section to every invoice and billing for covered services sent to, and every credit payment for covered services received from, its customers and pays to the fund no later than the fifteenth day of each month the total surcharges due pursuant to this article.
4. Each central dispatch facility shall submit to the fund with its monthly payment a detailed accounting of the charge and surcharge amounts charged to and received from customers for covered services during the previous month. The first such payment and accounting shall be due on the fifteenth day of the month following the imposition of the surcharge pursuant to subdivision two of this section.
5. Should the fund determine that the surcharge amounts that have been paid to it are inadequate to meet its obligations under this article, it shall determine the surcharge rate required to eliminate such deficiency and shall file such revised surcharge rate with the department in accordance with subdivision two of this section. Commencing thirty days after such filing, the members of the fund shall charge the revised surcharge rate and shall pay to the fund the total amount of surcharges in accordance with this article.
6. The fund shall have the power directly or through its agent to conduct financial audits of its members to verify their compliance with the requirements of this article. The fund or its agent shall be afforded convenient access at all reasonable hours to all books, records and other documents of its members that may be relevant to such audits.
7. For the purposes of conducting payroll audits, an insurer providing coverage to the fund pursuant to this article may treat the members of the fund as policyholders. Members of the fund shall be required to do all things required of employers pursuant to section one hundred thirty-one of the workers' compensation law, and shall be required to provide the board access to any and all records and information as otherwise required by the workers' compensation law and the regulations promulgated thereunder, and shall be liable as provided in the workers' compensation law for any failure so to do.
§ 160-kk. Financial oversight of the fund. No later than May first of each year, the fund shall submit to the governor and legislature certified financial statements prepared in accordance with generally accepted accounting principles by a certified public accountant. The members of the fund shall be required on and after January first of each year to afford the certified public accountant convenient access at all reasonable hours to all books, records and other documents, including but not limited to invoices and vouchers, necessary or useful in the preparation of such statements and in the verification of the monthly statements submitted to the fund.
§ 160-ll. Exemption from taxes. The fund shall be exempt from payment of all fees and taxes levied by this state or any of its subdivisions, except taxes levied on real property.
§ 160-mm. Liability insurance. The fund shall purchase such insurance as is necessary to protect the fund and any director, officer, agent or other representative from liability for their administration of the fund, and shall, to the extent permitted by law, indemnify such directors, officers, agents or other representatives and hold them harmless from liability for their administration of the fund.
§ 160-nn. Regulations. The department shall adopt regulations implementing the provisions of this article, including the conduct and notice of hearings held pursuant to section one hundred sixty-oo of this article.
§ 160-oo. Violations; penalties; appeals. 1. (a) If the secretary believes a violation of this article by a fund member may have occurred, the secretary shall notify the local licensing authority of such fact and, upon notice to the fund member, a hearing shall be held by such local licensing authority to determine whether such violation occurred. In the absence of a local licensing authority, or if the local licensing authority chooses not to hold such hearing, the hearing shall be held by the secretary.
(b) If the fund believes that a central dispatch facility has failed to pay the fund the assessments due pursuant to this article, or has failed to pay the reimbursement due pursuant to paragraph (g) of subdivision two of section one hundred sixty-gg of this article, it shall make a referral to the a local licensing authority, or, in the absence of a local licensing authority, to the department. Upon receipt of such a referral, the local licensing authority or the department shall be required to hold a hearing pursuant to paragraph (a) of this subdivision.
2. Except as otherwise provided in this section, a fund member that is found, after a hearing held pursuant to subdivision one of this section, to have violated a provision of this article, or a rule promulgated by the department pursuant to this article, shall be liable for a fine in an amount not to exceed ten thousand dollars per violation. Notwithstanding the foregoing, a fund member that fails to bill or that collects and fails to submit to the fund the required surcharges shall be subject, in addition to payment to the fund of the amount overdue plus interest on such amount as herein provided, to a penalty, at the discretion of the local licensing authority, if any, or, in the absence of such authority, of the department, of (a) up to five thousand dollars for each twenty days the payment is overdue, or (b) revocation of its membership in the fund and of its certificate of registration, or (c) both a monetary penalty and revocation of its membership in the fund and of its certificate of registration. The rate of interest applicable pursuant to this section shall be twelve percent per annum. Any monetary penalty imposed pursuant to this subdivision shall be retained by the department or the local licensing authority and be used to defray the costs of administering this article. The responsible persons, of a central dispatch facility that are found, after a hearing held pursuant to subdivision one of this section, to be in default to the fund for assessments owed pursuant to this article, shall be personally liable for the amount of such assessments determined to be then due and outstanding, including interest on such assessments awarded pursuant to this subdivision, and for all monetary penalties imposed pursuant to this subdivision.
"Responsible persons," for purposes of this subdivision, include: (i) the directors of a central dispatch facility that is a corporation; (ii) the managers of a central dispatch facility that is a limited liability company or its members if management of the central dispatch facility is vested in its members; (iii) the general partner or partners of a central dispatch facility that is a partnership; (iv) all individuals who directly or indirectly own, control or hold the power to vote ten percent or more of the voting interests of any corporation, joint stock company, partnership, association, trust, limited liability company or similar entity that manages a central dispatch facility; and (v) the president, secretary and treasurer of a central dispatch facility, regardless of its form of organization.
Failure of the central dispatch facility, or of its responsible persons to pay any assessments or penalties awarded pursuant to this subdivision within twenty days of issuance of a valid order so to do, or in the event an appeal has been taken from the determination of the department or the local licensing authority, to deposit with the secretary or the local licensing authority within twenty days of the issuance of the determination from which the appeal is taken the total amount of the award as security for its payment, shall entitle the secretary or the local licensing authority to file with the clerk of Albany county a certified copy of the determination of the department or local licensing authority, and thereupon judgment shall be entered in the supreme court by the clerk of Albany county in conformity therewith immediately upon such filing. Such judgment shall be entered in the same manner, have the same effect and be subject to the same proceedings as though rendered in a suit duly heard and determined by the supreme court, except that no appeal may be taken therefrom.
3. Within twenty days after issuance by the department or local licensing authority of a determination adverse to a central dispatch facility following a hearing held pursuant to subdivision one of this section, an appeal may be taken therefrom to the appellate division of the supreme court, third department, by the aggrieved central dispatch facility. The attorney general shall represent the department or the local licensing authority thereon.
ARTICLE 6-G INDEPENDENT LIVERY DRIVER BENEFIT FUND
Section 160-aaa. Definitions.
160-bbb. Independent livery driver benefit fund.
160-ccc. Contributions to the fund.
160-ddd. Use of the fund.
160-eee. Regulations.
160-fff. Membership in the fund.
160-ggg. Plan of operation.
160-hhh. Violations; penalties; appeals.
160-iii. Insurance premiums.
§ 160-aaa. Definitions. For the purposes of this article:
1. "Independent livery driver" means a livery driver that is dispatched by an independent livery base.
2. "Annualized basis" means the product of the number of livery drivers affiliated with a dispatching livery base and the number of months each such driver is affiliated with the livery base, divided by twelve.
3. "Covered services" means all dispatches from a livery base regardless of where the pick-up or discharge occurs.
4. "Fund" means the independent livery driver benefit fund as established in this article.
5. "Independent livery base" has the same meaning as set forth in section eighteen-c of the workers' compensation law.
6. "Livery" means a for-hire vehicle licensed by a local taxi and limousine commission, carrying no more than five passengers or such other limited number as set by a local taxi and limousine commission, which charges for service on the basis of flat rate, time, mileage or zones, and which is dispatched by a livery dispatch facility, but shall not include a vehicle owned or driven by a black car operator, as defined in article six-F of this chapter.
7. "Livery driver" means an individual that drives a livery, is dispatched by a livery base, receives compensation for such driving, and is licensed to do so by a local taxi and limousine commission.
8. "Livery base" means a central facility that manages, organizes or dispatches liveries, and is licensed to do so by a local taxi and limousine commission.
9. "Livery registrant" means a person in whose name a livery is licensed by a local taxi and limousine commission.
10. "Local taxi and limousine commission" means a unit of local government in New York city, Nassau county or Westchester county authorized to license and regulate liveries.
§ 160-bbb. Independent livery driver benefit fund. 1. There is hereby created a not-for-profit corporation to be known as the New York independent livery driver benefit fund. To the extent that the provisions of the not-for-profit corporation law do not conflict with the provisions of this article, or with the plan of operation established pursuant to this article, the not-for-profit corporation law shall apply to the fund, which shall be a type C corporation pursuant to such law. If an applicable provision of this article or of the fund's plan of operation relates to a matter embraced in a provision of the not-for-profit corporation law but is not in conflict therewith, both provisions shall apply. The fund shall perform its functions in accordance with its plan of operation, and shall exercise its powers through a board of directors established pursuant to this article.
2. Within thirty days of the effective date of this article, there shall be appointed a board of directors of the fund, consisting of nine directors appointed by the governor, one of whom shall be chosen upon nomination of the temporary president of the senate; one of whom shall be chosen upon nomination of the speaker of the assembly; one of whom shall be chosen upon nomination of the chair of the workers' compensation board; one of whom shall be chosen on nomination of the superintendent of financial services; one of whom shall be chosen on nomination of the American Federation of Labor-Congress of Industrial Organizations of New York; and four of whom shall be chosen without prior nomination, at least two of which shall be a livery registrant or owner, officer or director of a livery base or livery registrant. The initial terms of directors shall be staggered, the four directors appointed by the governor without prior nomination serving for initial terms of three years from the effective date of this article, the two directors appointed upon nomination of the speaker of the assembly and temporary president of the senate serving for initial terms of two years from the effective date of this article, and the three directors on nomination of the superintendent of financial services, the chair of the workers' compensation board and the American Federation of Labor-Congress of Industrial Organizations of New York serving for initial terms of one year from the effective date of this article. The subsequent terms of all directors shall be three years. The board of directors shall have the power to remove for cause any director. The failure of any nominating authority to appoint a director within the time set by this subdivision shall not bar the fund from operating, so long as at least six directors have been appointed.
3. The directors shall elect annually from among their number a chair and a vice chair who shall act as chair in the chair's absence.
4. For their attendance at meetings, the directors of the fund shall be entitled to compensation, as authorized by the directors, in an amount not to exceed two hundred dollars per meeting per director and to reimbursement of their actual and necessary expenses.
5. Directors of the fund, except as otherwise provided by law, may engage in private or public employment or in a profession or business.
6. (a) All of the directors shall have equal voting rights and five or more directors shall constitute a quorum. The affirmative vote of four directors shall be necessary for the transaction of any business or the exercise of any power or function of the fund.
(b) A vacancy occurring in a director position shall be filled in the same manner as the initial appointment to that position, provided however that no individual may serve as director for more than three successive terms.
(c) The board of directors may:
(i) delegate to one or more of its directors, officers, agents or employees such powers and duties as it may deem proper;
(ii) establish the procedure by which the fund shall determine how to provide the benefits due pursuant to this article;
(iii) establish accounting and record-keeping procedures for all financial transactions of the fund, its agents and the board of directors;
(iv) establish a procedure for determining and collecting the appropriate amount of assessments under and as consistent with this article;
(v) set forth the procedures by which the fund may exercise the audit rights granted to it under this article;
(vi) establish procedures to ensure prompt and accurate notification to the fund by independent livery bases of all deaths of independent livery drivers, and all injuries to livery drivers that resulted from a crime for which there is a police report, and provide for full reimbursement of the fund by any member whose failure to provide such notification results in the imposition of a penalty on the fund by the workers' compensation board;
(vii) recommend changes in the law or regulations governing workers' compensation benefits with livery drivers; and
(viii) engage in such additional actions as the board of directors may deem necessary or proper for the execution of the powers and duties of the fund.
§ 160-ccc. Contributions to the fund. Each independent livery base shall be assessed an annual payment to the fund, to be set by the board of directors no later than January first of each calendar year or such other date as the board of directors may set consistent with, and as necessary to effectuate, this article. The total amount of the payment shall be determined by the fund as sufficient to provide it with total assets equal to one hundred fifty percent of the cost of an insurance policy issued under section one hundred sixty-ddd of this article, and to provide for any administrative expense of the fund. Each independent livery base's own share of such payments shall be determined by a formula set by the board of directors, to be based on the number of liveries affiliated with each livery base at the time the payments are calculated, or such other measure set by the chair of the workers' compensation board. Each independent livery base shall make the payments assessed against it annually within thirty days of assessment. If it is determined by the board of directors that there may be an insufficient amount of money in the fund to purchase the requisite coverage or to pay administrative expenses in a given year, the board of directors may require each independent livery base to make an additional payment to the fund based on the amount of its affiliated drivers on an annualized basis or such other criteria as shall be established by the chair of the workers' compensation board, except that no such payments shall be assessed, such that the fund will have funds greater than necessary to provide compensation under the workers' compensation law, to the extent set forth in section one hundred sixty-ddd of this article for eighteen months.
§ 160-ddd. Use of the fund. Moneys deposited into the fund shall be used to provide benefits under the workers' compensation law, by purchase of a policy from the state insurance fund, or from a carrier licensed to write workers' compensation insurance to the extent permitted by section three thousand four hundred fifty-one of the insurance law, for livery drivers dispatched by independent livery bases, to provide benefits under the workers' compensation law for deaths of livery drivers arising out of and in the course of providing covered services, and all injuries arising out of and in the course of providing covered services either: (1) resulting from a crime against such livery driver as evidenced by a police report or (2) for the following conditions: (a) the amputation or loss of an arm, leg, hand, foot, multiple fingers, index finger, multiple toes, ear, or nose, (b) paraplegia or quadriplegia, or (c) total and permanent blindness or deafness. The provisions of the workers' compensation law shall govern any application for and the receipt of such benefits.
§ 160-eee. Regulations. The chair of the workers' compensation board may promulgate regulations necessary to effectuate the provisions of this article.
§ 160-fff. Membership in the fund. 1. The membership of the fund shall be comprised of all independent livery bases. If the workers' compensation board or local taxi and limousine commission revokes a livery base's authorization to act as an independent livery base, it shall cease to be a member of the fund within thirty days. Such revocation shall not entitle the livery base to the return of any moneys deposited into the fund.
2. Each livery base shall be required, as a condition of obtaining or retaining any license it receives to operate as a livery base from a local taxi and limousine commission either: (a) to be a member of the fund, to submit to the local taxi and limousine commission proof of such membership and to maintain such records as the workers' compensation board, state department of motor vehicles or local taxi and limousine commission may direct in order to carry out the livery base's responsibilities under this article, and as necessary to determine the appropriate cost of compensation the fund must provide under the workers' compensation law; or (b) to present proof to the local taxi and limousine commission that it has secured compensation under the workers' compensation law, to the extent required of employers, for all livery drivers it dispatches.
3. Each local taxi and limousine commission shall supply the fund and the workers' compensation board, at any such time as the fund or workers' compensation board requests, a list of all liveries affiliated with each livery base licensed by the commission.
4. The fund shall, within seventy-five days of the appointment of the fund's board of directors, provide to its members a copy of the proposed plan of operation filed with the workers' compensation board and all local taxi and limousine commissions and shall inform its members of their rights and duties pursuant to this article.
§ 160-ggg. Plan of operation. 1. Within seventy-five days of the appointment of the fund's board of directors, the fund shall file with the workers' compensation board and local taxi and limousine commissions its plan of operation, which shall be designed to assure the fair, reasonable and equitable administration of the fund. The plan of operation and any subsequent amendments thereto shall become effective upon being filed with the workers' compensation board and all taxi and limousine commissions.
2. The plan of operation shall constitute the by-laws of the fund and shall, in addition to the requirements enumerated elsewhere in this article:
(a) establish procedures for collecting and managing the assets of the fund;
(b) establish regular places and times for meetings of the fund's board of directors;
(c) establish accounting and record-keeping procedures for all financial transactions of the fund, its agents and the board of directors;
(d) establish a procedure for determining and collecting the appropriate amount of assessments under this article; and
(e) contain such additional provisions as the board of directors of the fund may deem necessary or proper for the execution of the powers and duties of the fund.
§ 160-hhh. Violations; penalties; appeals. 1. Any person that knowingly submits a materially false statement on the affirmation provided for in section eighteen-c of the workers' compensation law shall be guilty of a class A misdemeanor. Any person that commits a second or subsequent offense under this subdivision shall be guilty of a class E felony.
2. The workers' compensation board or local taxi and limousine commission may, upon its own motion or the application of a local taxi and limousine commission or the independent livery fund, and upon notice to the independent livery base, conduct a hearing as to the validity of any affirmation filed under section eighteen-c of the workers' compensation law, or to determine whether there has been any other violation of this article. Should the workers' compensation board or local taxi and limousine commission determine that the certification contains any materially false statements, the workers' compensation board may:
(a) revoke the livery base's authorization as an independent livery base for a period of up to five years;
(b) impose a civil penalty of up to ten thousand dollars; and/or
(c) refer the independent livery base to the local taxi and limousine commission for such additional sanction as it may impose under its rules and regulations.
3. Any independent livery base which has been found on two separate occasions, under subdivision two of this section, to have made a materially false statement in its certification shall be permanently barred from acting as an independent livery base.
4. If an independent livery base fails to submit to the independent livery driver benefit fund any required charge, the workers' compensation board or local taxi and limousine commission may order that it pay into the fund, upon application of the fund and following notice to the independent livery base (a) the amount overdue plus interest on such amount, and/or (b) a penalty of up to five hundred dollars for each thirty days after notice is given that the payment is overdue. The workers' compensation board or local taxi and limousine commission may suspend or revoke such livery base's authorization to act as an independent livery base for failure to make such payment. The rate of interest applicable to this subdivision shall be twelve percent per annum. Any monetary penalty imposed pursuant to this subdivision shall be retained by the workers' compensation board and be used to defray the costs of administering this article.
5. If the workers' compensation board or local taxi and limousine commission determines that any independent livery base has made any material misrepresentations, or temporarily altered the affiliation of any livery, livery driver or livery registrant, for the purpose of reducing its payments into the fund, the workers' compensation board or local taxi and limousine commission may suspend the livery base's membership in the fund for a period of up to two years, and may impose a penalty of up to five thousand dollars.
6. If the workers' compensation board or local taxi and limousine commission determines that any independent livery base has coerced any livery driver into making false statements or refraining from reporting any violations of this article, the workers' compensation board or local taxi and limousine commission may suspend the livery base's membership in the fund for a period of up to two years, and may impose a penalty of up to five thousand dollars.
7. Except as otherwise provided in this section, a livery base that is found to have violated a provision of this article or a rule promulgated by the workers' compensation board or local taxi and limousine commission pursuant to this article shall be liable for a fine in an amount not to exceed five thousand dollars per violation.
8. If the fund has reason to believe a violation of this article by a fund member may have occurred, the fund shall notify the workers' compensation board. Upon receipt of such a referral, the workers' compensation board shall hold a hearing to determine the validity of the charge, or refer the matter to the local taxi and limousine commission for such determination.
9. The responsible persons of an independent livery base shall be personally liable for the amount of any monetary penalties awarded pursuant to this subdivision. "Responsible persons," for purposes of this subdivision, shall be: (a) the directors of a livery base that is a corporation; (b) the managers of a livery base that is a limited liability company or its members if management of a livery base is vested in its members; (c) the general partner or partners of a livery base that is a partnership; (d) all individuals who directly or indirectly own, control or hold the power to vote ten percent or more of the voting interests of any corporation, joint stock company, partnership, association, trust, limited liability company or similar entity that manages a livery base; and (e) the president, secretary and treasurer of a livery base, regardless of its form of organization.
10. Failure of the independent livery base, or of its responsible persons, to pay any charges or penalties awarded pursuant to this section within twenty days of issuance of a valid order so to do, or in the event an appeal has been taken from the determination of the workers' compensation board, to deposit with the workers' compensation board within twenty days of the issuance of the determination from which the appeal is taken the total amount of the award as security for its payment, shall entitle the workers' compensation board or local taxi and limousine commission to file with the clerk of Albany county or the county where the local taxi and limousine commission is located a certified copy of the determination of the workers' compensation board or the local taxi and limousine commission, and thereupon judgment shall be entered in the supreme court by the clerk of the county where the determination is filed immediately upon such filing. Such judgment shall be entered in the same manner, have the same effect and be subject to the same proceedings as though rendered in a suit duly heard and determined by the supreme court, except that no appeal may be taken therefrom.
11. Within twenty days after issuance by the workers' compensation board of a determination adverse to a livery base pursuant to this section, an appeal may be taken therefrom to the appellate division of the supreme court, third department, by the aggrieved party.
12. If the membership of an independent livery base in the independent livery fund is suspended for failure to pay assessments under this article, the livery base may make application for reinstatement only upon payment of such assessments and such penalties and interest as the local taxi and limousine commission or workers' compensation board has imposed, or upon the agreement by the base and fund to a schedule for such payment.
13. Any sanction imposed under this section shall be after notice to the independent livery base and an opportunity for a hearing.
§ 160-iii. Insurance premiums. Nothing in this article or in the provisions of the workers' compensation law pertaining to coverage of livery drivers under this article shall be construed as limiting the discretion of the state insurance fund, in providing coverage to the New York independent livery driver benefit fund, inc., in choosing a premium basis, rating plan or setting a rate to cover the risk posed by insuring such fund.
ARTICLE 6-H REAL ESTATE APPRAISAL MANAGEMENT COMPANIES
Section 160-aaaa. Definitions.
160-bbbb. Registration required.
160-cccc. Exemptions.
160-dddd. Forms.
160-eeee. Denial of registration.
160-ffff. Expiration of license.
160-gggg. Fees.
160-hhhh. Owner requirements.
160-iiii. Controlling persons.
160-jjjj. Employee requirements.
160-kkkk. Restrictions.
160-llll. Recordkeeping.
160-mmmm. Appraiser independence; unlawful acts.
160-nnnn. Mandatory reporting.
160-oooo. Unprofessional conduct.
160-pppp. Alteration of appraisal reports.
160-qqqq. Enforcement.
160-rrrr. Disciplinary hearings.
160-ssss. Power to suspend a license.
160-tttt. Investigation.
160-uuuu. Rule-making authority.
160-vvvv. Violations.
160-wwww. Severability.
160-xxxx. Judicial review.
§ 160-aaaa. Definitions. As used in this article, the following terms shall have the following meanings:
1. "Appraisal" or "real estate appraisal" means an analysis, opinion or conclusion relating to the nature, quality, value or utility of specified interests in, or aspects of, identified real estate. An appraisal may be classified by subject matter into either a valuation or an analysis.
2. "Appraisal management company" or "AMC" means an individual or business entity that:
(a) provides appraisal management services to creditors or to secondary mortgage market participants, including affiliates;
(b) provides such services in connection with valuing a consumer's real property as security for consumer credit transactions secured by a consumer's principal dwelling; and
(c) within a given year, oversees an appraisal panel of more than fifteen appraisers working in New York state or twenty-five or more appraisers working in two or more states. An AMC shall not include a department or division of an entity that provides appraisal management services only to that entity.
3. "Appraisal management services" means to, directly or indirectly, provide any of the following services on behalf of a lender, financial institution, client, or any other person in connection with valuing a consumer's principal dwelling as security for a consumer credit transaction or incorporating such transactions into securitizations:
(a) administer an appraiser panel;
(b) recruit, retain or select appraisers;
(c) qualify or verify licensing or certification and negotiate fees and service level expectations with persons who are part of an appraiser panel;
(d) contract with appraisers to perform appraisal assignments;
(e) receive an order for an appraisal from one person, and deliver the order for the appraisal to an appraiser that is part of an appraiser panel for completion;
(f) manage the process of having an appraisal performed, including providing administrative duties, such as receiving appraisal orders and reports, submitting completed appraisal reports to creditors and underwriters for services provided, and reimbursing appraisers for services performed;
(g) track and determine the status of orders for appraisals;
(h) conduct quality control of a completed appraisal prior to the delivery of the appraisal to the person that ordered the appraisal;
(i) provide a completed appraisal performed by an appraiser to one or more clients; or
(j) compensate appraisers for services rendered.
An individual who hires an appraiser solely for his or her own purposes, shall not be deemed an appraisal management company.
4. "Appraiser" means a person licensed or certified pursuant to article six-E of this chapter.
5. "Appraiser panel" means a network, list or roster of licensed or certified appraisers approved by the appraisal management company to perform appraisals as independent contractors of the appraisal management company.
6. "Appraisal review" means the act or process of developing and communicating an opinion about the quality of another appraiser's work that was performed as part of an appraisal assignment. Appraisal reviews must be performed by a person who is certified as a real estate appraiser pursuant to article six-E of this chapter.
7. "Board" means the state board of real estate appraisal which shall advise the department, as necessary, on implementation of, and enforcement of this article.
8. "Competent appraiser" means an appraiser that satisfies each provision of the competency rule of the uniform standards of professional appraisal practice for a specific appraisal assignment or valuation service that the appraiser has received, or may receive, from an appraisal management company.
9. "Controlling person" means:
(a) an owner, officer or director of an appraisal management company, or an individual who holds an ownership interest of ten percent or more of such company;
(b) an individual employed, appointed or authorized by an appraisal management company that has the authority to enter into a contractual relationship with other persons for the performance of appraisal management services and has the authority to enter into agreements with appraisers for the performance of appraisals; or
(c) an individual who possesses, directly or indirectly, the power to direct or cause the direction of the management or policies of an appraisal management company.
10. "Department" means the New York state department of state.
11. "Hybrid firm or entity" means an entity that hires both real estate appraisers as employees to perform appraisals of real property, and engage independent contractors to perform such appraisals. A hybrid firm or entity shall be treated as an AMC for purposes of state registration if it oversees more than fifteen real estate appraisers completing valuation services in an individual state or twenty-five or more real estate appraisers in two or more states within a given year. The numerical calculation for a hybrid firm or entity should only include real estate appraisers engaged as independent contractors.
12. "Person" means an individual, partnership, corporation, or any other entity recognized under New York state law.
13. "Real estate" means an identified parcel or tract of land, including improvements, if any.
14. "Real property" means the interest, benefits, and rights inherent in the ownership of real estate.
15. "Uniform standards of professional appraisal practice" or "USPAP" means the appraisal standards promulgated by the appraisal standards board of the appraisal foundation.
16. "Secondary mortgage market participant" means a guarantor or insurer of mortgage-backed securities, or an underwriter or issuer of mortgage-backed securities. Secondary mortgage market participant only includes an individual investor in a mortgage-backed security if that investor also serves in the capacity of a guarantor, insurer, underwriter, or issuer for such mortgage-backed security.
§ 160-bbbb. Registration required. It shall be unlawful for a person to, directly or indirectly, engage or attempt to engage in business as an appraisal management company, or to advertise or hold oneself out as engaging in or conducting business as an appraisal management company without first obtaining a certificate of registration issued by the department under the provisions of this article.
§ 160-cccc. Exemptions. The provisions of this article shall not apply to any person that exclusively employs appraisers for the performance of appraisals or to any appraisal management company that is a wholly-owned subsidiary of a financial institution, which is regulated by the federal financial institution regulatory agency. The registration provisions of this article shall not apply to the state, any state agency or authority, or any political subdivision of the state that employs appraisers.
§ 160-dddd. Forms. An applicant for a certificate of registration as an appraisal management company shall submit an application on such forms as prescribed by the department.
§ 160-eeee. Denial of registration. The department may investigate the good character of applicants for a certificate of registration under this article and may deny the issuance of such certificate of registration based upon lack of good moral character which may include, but is not limited to, any of the grounds enumerated in this article. For the purposes of this article, a non-substantive ground for denial, revocation, or surrender of an appraiser's license should not be construed as an automatic prohibition.
§ 160-ffff. Expiration of license. A certificate of registration granted by the department pursuant to this article shall be valid for a period of two years from the date upon which it is issued.
§ 160-gggg. Fees. 1. The department shall collect a fee of two hundred fifty dollars for a certificate of registration issued or reissued under the provisions of this article. Additionally, the department shall assess twenty-five dollars for each appraiser added to an appraisal management company's appraiser panel.
2. The department shall collect from each appraisal management company seeking to be registered, the amount determined by the appraisal subcommittee to be a national registry fee for each appraiser, that performs appraisal services within New York on the appraiser panel of an appraisal management company pursuant to Section 1109(a)(4) of the federal Financial Institutions Reform, Recovery, and Enforcement Act of 1989 as amended by the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010. The department may transmit the annual registry fee to the appraisal subcommittee. The department shall provide its roster of appraisal management companies to the appraisal subcommittee. These transmittals shall occur at least annually.
3. Except for changes made on a renewal application, appraisal management companies shall provide the department with notice of a change in the appraisal management's principal address. Change of address notifications shall be accompanied by a fee of ten dollars.
4. Except for changes made on a renewal application, the department shall collect a fee of ten dollars for changing a name on a certificate of registration.
5. In lieu of the fee set forth in subdivision one of this section, the department shall collect a fee of three hundred fifty dollars to reissue a certificate of registration under this article which was submitted after the expiration of the immediately preceding registration term.
§ 160-hhhh. Owner requirements. An appraisal management company applying for a certificate of registration shall not be owned in whole or in part, directly or indirectly, by a person who has had a license, registration or certificate to act as a real estate appraiser denied, revoked, or surrendered in lieu of pending discipline in any state or by a person holding ten percent or more of the company where that person has had a license, registration or certificate to act as a real estate appraiser denied, revoked, or surrendered in lieu of possible discipline in any state.
§ 160-iiii. Controlling persons. 1. Each appraisal management company applying for a certificate of registration shall designate one controlling person who shall be the main contact for all communication between the department and the appraisal management company. Such designated controlling person shall never have had a license or certificate to act as an appraiser denied, revoked, or surrendered in lieu of possible discipline in any state and shall be of good moral character, as determined by the department. Applicants shall cooperate with any such background investigation conducted by the department.
2. Each person that owns more than ten percent of an appraisal management company shall be of good moral character, as determined by the department. Applicants shall cooperate with any such background investigation conducted by the department.
3. Each appraisal management company applying for a certificate of registration shall certify to the department that it has reviewed each entity that owns more than ten percent of the appraisal management company and that no entity that owns more than ten percent of the appraisal management company is more than ten percent owned by any person that has had a license or certificate to act as an appraiser denied, revoked, or surrendered in lieu of a pending revocation.
§ 160-jjjj. Employee requirements. 1. An appraisal management company that applies for a certificate of registration shall not knowingly employ, utilize, or engage, for any real estate appraisal, valuation service or appraisal review assignment, a person who has had a license or certificate to act as an appraiser in this state or in any other state denied, revoked, or surrendered in lieu of possible discipline, unless such license has been reinstated.
2. Prior to placing an assignment for an appraisal or valuation service with an appraiser on the appraiser panel of an appraisal management company, the appraisal management company shall verify that the appraiser receiving the assignment is a competent appraiser as defined by the USPAP Competency Rule with regards to geographic area and the type of property being appraised. An appraiser is deemed part of an appraisal management company panel as of the earliest date on which: (a) the appraisal management company accepts the appraiser for consideration for future appraisal assignments in covered transactions or for secondary mortgage market participants in connection with covered transactions; or (b) engages the appraiser to perform one or more appraisals on behalf of a creditor for a covered transaction or secondary mortgage market participant in connection with covered transactions.
3. An appraisal management company may not hire, employ or engage, or in any way contract with or pay a person who is not licensed or certified as a real estate appraiser by the department pursuant to article six-E of this chapter for the purposes of performing an appraisal as defined in this article. Nothing in this section shall prohibit an appraisal management company from hiring, employing, engaging or contracting with or paying a person to perform a property inspection, or property evaluation if they are licensed as an appraiser, a real estate broker including associate real estate brokers and real estate salespersons pursuant to article twelve-A of the real property law or a home inspector pursuant to article twelve-B of the real property law, or a person to perform a broker price opinion if they are licensed as a real estate broker including associate real estate brokers and real estate salespersons pursuant to article twelve-A of the real property law.
4. An appraiser shall be considered part of an appraisal management company's appraiser panel until: (a) the appraisal management company sends a written notice to such appraiser removing such appraiser with an explanation; or (b) receives a written notice from such appraiser asking to be removed or of the death or incapacity of such appraiser.
§ 160-kkkk. Restrictions. An appraisal management company that applies for a certificate of registration shall not knowingly:
1. Employ any person in a position in which the person has the responsibility to order appraisals or valuation services or to review completed appraisals who has had a license, registration or certificate to act as an appraiser in this state or in any other state, denied, revoked, or surrendered in lieu of a pending revocation, unless such license has been reinstated;
2. Enter into any independent contractor arrangement, whether in verbal, written, or by other form, with any person who has had a license, registration or certificate to act as an appraiser in this state or in any other state, denied, revoked, or surrendered in lieu of a pending revocation, unless such license has been reinstated; and
3. Enter into any contract, agreement, or other business relationship, whether in verbal, written, or other form, with any entity that employs, has entered into an independent contract arrangement, or has entered into any contract, agreement, or other business relationship, whether in verbal, written, or any other form, with any person who has ever had a license, registration or certificate to act as an appraiser in this state or in any other state, denied, revoked, or surrendered in lieu of a pending revocation, unless such license has been reinstated.
§ 160-llll. Recordkeeping. Each appraisal management company shall maintain a detailed record of each service request that it receives and the real estate appraiser that performs such appraisal for the appraisal management company. Records shall be maintained for a period of at least five years after such appraisal is completed or two years after final disposition of a judicial proceeding related to such assignment, whichever period expires later. Appraisal management companies shall make records available to the department upon request. Appraisal management companies shall also allow the department to examine the books and records of the appraisal management company and require it to submit reports, information and documents upon request. Appraisal management companies shall also allow the department to verify that the appraisers on such panel hold a valid license or certification.
§ 160-mmmm. Appraiser independence; unlawful acts. Each appraisal management company shall ensure that real estate appraisals are conducted independently and free from inappropriate influence and coercion. Notwithstanding any other provision of this article, it shall be unlawful for any employee, director, officer, or agent of an appraisal management company registered in this state pursuant to this article to:
1. Compensate, coerce, extort, collude, instruct, induce, bribe, or intimidate, or attempt to compensate, coerce, extort, collude, instruct, induce, bribe, or intimidate a person, firm or other entity conducting or involved in an appraisal for the purpose of causing the appraised value assigned under the appraisal or other valuation services to the property to be based on any factor other than the independent judgment of the appraiser;
2. Mischaracterize the appraised value of a property in conjunction with a consumer credit transaction;
3. Seek to influence an appraiser or otherwise to encourage a targeted value in order to facilitate the making or pricing of a consumer credit transaction;
4. Act without just cause to withhold or threaten to withhold timely payment for an appraisal report or for other valuation services rendered with such appraisal report or services provided in accordance with the contract between parties;
5. Act without just cause to withhold or threaten to withhold future business, or to demote or terminate an appraiser without just cause;
6. Expressly or implicitly promise future business, promotions, or increased compensation for an appraiser in exchange for the real estate appraiser inflating or deflating his or her appraised value of real property;
7. Require a real estate appraiser to indemnify an appraisal management company or hold an appraisal management company harmless for any liability, damage, losses, or claims arising out of the services performed by such appraisal management company, and not the services performed by the appraiser;
8. Condition the request for an appraisal or the payment of an earned fee, salary or bonus, on the opinion, conclusion, or valuation to be reached, or on a preliminary estimate or opinion requested from an appraiser;
9. Request that an appraiser provide an estimated, predetermined, or desired valuation in an appraisal report, or provide estimated values or comparable sales at any time prior to the appraiser's completion of an appraisal;
10. Provide to an appraiser an anticipated, estimated, encouraged, or desired value for a subject property or a proposed or target amount to be loaned to the borrower, except that a copy of the sales contract for purchase transactions may be provided; or
11. Provide to an appraiser, or any entity or person related to the appraiser, stock or any other financial or non-financial benefits in exchange for appraising property in a manner other than that which is within the independent opinion of the appraiser.
Nothing in this section shall be construed as prohibiting the appraisal management company from asking an appraiser to consider additional, appropriate property information, including: additional comparable properties to make or support an appraisal; provide further detail, substantiation, or explanation for the appraiser's value conclusion; or correct errors in the appraisal report.
§ 160-nnnn. Mandatory reporting. An appraisal management company that has a reasonable basis to believe an appraiser within the appraisal management company's appraisal panel is failing to comply with the uniform standards of professional appraisal practice, is violating applicable laws, or is otherwise engaging in unethical or unprofessional conduct shall immediately refer such matter to the department.
§ 160-oooo. Unprofessional conduct. 1. Appraisal management companies shall not engage in unprofessional conduct including, but not limited to the following:
(a) Requiring an appraiser to modify any aspect of an appraisal report or valuation service report, unless such modifications are appropriate according to USPAP;
(b) Requiring an appraiser to prepare an appraisal report or valuation service report if such appraiser, in their professional judgment, believes they don't have the necessary expertise for the specific geographic and or specific area type;
(c) Requiring an appraiser to prepare an appraisal report or valuation service under a time frame that such appraiser believes, in their professional judgment, does not afford such appraiser the ability to meet all the relevant legal and professional obligations including USPAP requirements. Notwithstanding the foregoing provisions of this paragraph, all appraisal reports should be completed within a reasonable timeframe and appraisers may not unnecessarily delay completing appraisal assignments;
(d) Prohibiting or inhibiting communication between the appraiser and the lender, a real estate licensee, or any other person from whom such appraiser, in their professional judgment is relevant;
(e) Requiring the appraiser to do anything that does not comply with USPAP, or any assignment conditions and certifications required by the client;
(f) Making any portion of the appraiser's fee or the appraisal management company's fee contingent upon a favorable outcome, including, but not limited to, the closing of a loan, requiring a specific dollar amount be achieved by such appraiser in the appraisal report, making requests for the purpose of facilitating a mortgage loan transaction, setting a broker price opinion, or setting any other real property price or value estimation that does not qualify as an appraisal; or
(g) Each appraisal management company operating in this state shall make payment to an appraiser for the completion of an appraisal or valuation assignment within thirty days of the date on which such appraiser transmits or otherwise provides the completed appraisal or valuation services to the appraisal management company or its assignee;
2. It shall be unlawful for an appraisal management company to:
(a) Knowingly fail to compensate an appraiser at a rate that is reasonable and customary for appraisal or other valuation services being performed in the market area of the property being appraised without the services of an appraisal management company in a manner that is either inconsistent with, or would violate section 1639(e) of the federal Truth in Lending Act (15 USC §1639(e));
(b) Knowingly include any fees for appraisal management services that are performed by the appraisal management company for a lender, client, or other person in the amount that it charges the lender, client, or other person for the actual completion of an appraisal or valuation service by an appraiser that is part of the appraiser panel of the appraisal management company;
(c) Knowingly fail to separate any and all fees charged to a client by the appraisal management company for the actual completion of an appraisal by an appraiser from the fees charged to a lender, client, or any other person by an appraisal management company for appraisal management services;
(d) Knowingly prohibit an appraiser from recording the fee that such appraiser was paid by the appraisal management company for the performance of the appraisal within the appraisal report that is submitted by such appraiser to the appraisal management company;
(e) Knowingly fail to separately state the fees paid to an appraiser for appraisal services and the fees charged by the appraisal management company for services associated with the management of the appraisal process to the client, borrower and any other payer. Appraisal management companies shall provide a copy of the appraiser's invoice with a copy of any appraisal report submitted to a client or a client's representative;
(f) Knowingly allow the removal from rotation of an appraiser from an appraiser panel, without prior written notice to such appraiser with just cause; or
(g) Knowingly obtain, use, or pay for a second or subsequent appraisal or the ordering of an automated valuation model or any other valuation service in connection with a mortgage financing transaction unless there is a reasonable basis to believe that the initial appraisal was flawed or tainted and such basis is clearly and appropriately noted in the loan file, or unless such appraisal or automated valuation model is done pursuant to a bona fide pre- or post-funding appraisal review or quality control process. Nothing in this paragraph shall prohibit an AMC from obtaining additional appraisals if required by a lending program, or if such additional appraisals are required by applicable local, state, or federal law.
§ 160-pppp. Alteration of appraisal reports. An appraisal management company shall not alter, modify, or otherwise change a completed appraisal or valuation service report submitted by an appraiser by removing such appraiser's signature or seal or by adding information to, or removing information from such report with intent to change the valuation conclusion. An appraisal management company shall not require an appraiser to provide such appraisal management company with such appraiser's digital signature or seal.
§ 160-qqqq. Enforcement. The department may revoke or suspend the license of an appraisal management company, or in lieu thereof may impose a fine, per violation, not to exceed twenty-five thousand dollars if the department finds that the licensee has made a material misstatement in the application for such license, or if such licensee has been found guilty of fraud or fraudulent practices, or for dishonest or misleading advertising, or has demonstrated untrustworthiness or incompetency to act as an appraisal management company, or has violated any provision of this article or a regulation promulgated thereunder. The department shall report any such violations by appraisal management companies to the appraisal subcommittee.
§ 160-rrrr. Disciplinary hearings. The department shall, before revoking or suspending any license or imposing any fine or reprimand on the holder thereof, and at least twenty days prior to the date set for the hearing, notify, in writing, the holder of such license of any charges made and shall afford such licensee an opportunity to be heard in person or by counsel in reference thereto. Such written notice may be served by personal delivery to the licensee, or by certified mail to the last known business address of such licensee or unlicensed person, or by any method authorized by the civil practice law and rules. The hearing on such charges shall be at such time and place as the department shall prescribe.
§ 160-ssss. Power to suspend a license. In cases where the health, safety, or welfare of the public is endangered, the department shall have the authority to immediately suspend a license pending a hearing before an administrative law judge.
§ 160-tttt. Investigation. The department shall have the power to enforce the provisions of this article and upon complaint of any person, or on its own initiative, to investigate any violation thereof or to investigate the business, business practices and business methods of an appraisal management company, if in the opinion of the department such investigation is warranted. Each such applicant or licensee shall be obliged, on request of the department, to supply such information as may be required concerning his or its business, business practices or business methods, or proposed business practices or methods.
For the purpose of enforcing the provisions of this article, and in making investigations relating to any violation thereof, and for the purpose of investigating the character, competency and integrity of the applicants or licensees hereunder, and for the purpose of investigating the business, business practices and business methods of any applicant or licensee, or of the officers or agents thereof, the department, acting by such officer or person in the department as the secretary of state may designate, shall have the power to subpoena and bring before the officer or person so designated any person in this state and require the production of any books, records or papers which he deems relevant to the inquiry and administer an oath to and take testimony of any person or cause his or her deposition to be taken, except that any applicant or licensee or officer or agent thereof shall not be entitled to fees and/or mileage. A subpoena issued under this section shall be regulated by the civil practice law and rules.
§ 160-uuuu. Rule-making authority. The department may adopt rules not inconsistent with the provisions of this chapter which may be reasonably necessary to implement, administer, and enforce the provisions of this chapter.
§ 160-vvvv. Violations. 1. Any person or company who fails to obtain a certificate of registration required pursuant to this article shall be guilty of a misdemeanor.
2. Criminal actions for failure to obtain a certificate of registration may also be prosecuted by the attorney general, or his or her deputy, in the name of the people of the state, and in any such prosecution the attorney general, or his or her deputy, may exercise all the powers and perform all the duties the district attorney is otherwise authorized to exercise or to perform therein.
§ 160-wwww. Severability. Should the courts of this state declare any provision of this article unconstitutional, or unauthorized, or in conflict with any other section or provision of this article, such decision shall affect only such section or provision so declared to be unconstitutional or unauthorized and shall not affect any other section or part of this article.
§ 160-xxxx. Judicial review. The actions of the department in granting or refusing to grant or to renew a license under this article or in revoking or suspending such a license or imposing any fine or reprimand on the holder thereof or refusing to revoke or suspend such a license or impose any fine or reprimand shall be subject to review by a proceeding brought under and pursuant to article seventy-eight of the civil practice law and rules at the instance of the applicant for such license, the holder of a license so revoked, suspended, fined, or reprimanded or the person aggrieved.
ARTICLE 7 MISCELLANEOUS PROVISIONS
Section 161. Certain searches, the filing of papers, and certified copies, ordered by state officers to be gratuitous.
162. Contracts for professional services of state and municipal employees.
163. Contracts for services of state agencies.
163-a. Contracts with Green Thumb Environmental Beautification, Incorporated.
164. Reports by and to the department.
164-a. Report and publication economy regulations.
164-b. State aid to rural areas; agency reports.
164-c. Printing cost reduction notices.
164-d. Availability of application forms.
165. Commission on uniform state laws; object; membership; term of office; expenses.
166. Record of appearances.
167. Advertising and publicizing summer camps cited as subversive.
168. Notices to attorneys at law by state bodies or officers.
168-a. Designation of days of commemoration.
169. Salaries of certain state officers.
170. Audit of agencies by the state comptroller; reports of corrective action.
170-a. Celebration of Rosa Parks; bus companies.
170-b. Employee loans.
170-b*2. Racial references contained in state and municipal forms.
170-c. Regulatory penalties for small businesses.
170-d. Disclosure of disabled tenants' rights.
170-e. Disclosure of lawful source of income rights to prospective tenants.
170-e*2. Collection of demographic information.
170-f. Website accessibility; contractors and vendors.
171. Discovery and disposition of human remains and funerary objects.
§ 161. Certain searches, the filing of papers, and certified copies, ordered by state officers to be gratuitous. 1. Each of the following officers, to wit: the secretary of state, the comptroller, the commissioner of taxation and finance, the attorney general, the public service commission, the commissioner of agriculture and markets, the commissioner of transportation, the industrial commissioner, the chairman of the state labor relations board, the chairman of the state liquor authority, the superintendent of financial services, the state commissioner of human rights, the commissioner of general services and the commissioner of housing and community renewal may require search to be made, in the office of any of the others, or of a county clerk or of the clerk of a court of record, for any record, document, or paper, where he or she deems it necessary for the discharge of his or her official duties, and a copy thereof, or extracts therefrom, to be made and officially certified or exemplified, without the payment of any fee or charge.
2. No salaried officer of any city, county, or court, of this state, or any public officer who is required by law to deposit the fees collected in his office into any city or county treasury, shall be entitled to receive from said state officers, or from a division or bureau of said state officers, any fee for entering, filing, docketing, registering or recording any paper, record or document required by law to be filed in the office of any such city, county, court, or public officer, or for a certified copy, transcript or extract of any paper, document or record on file in such office which he deems necessary for the discharge of his official duties, and every such officer must, upon application therefor, furnish to said state officers, or a division or bureau of said state officers, for such official use, a certified copy, extract or transcript of any paper, record or document on file in such office without the payment of the fee prescribed by law therefor; nor shall any court clerk demand or receive from any of said state officers, or from a division or bureau of said state officers, any trial or jury fee upon filing in any court in this state a note of issue or demand for a jury trial.
3. Such salaried officer shall also furnish the services herein specified to any state department or a bureau or agency thereof acting as an agent of the state in the acquisition of real property, without the payment of any fee or charge.
§ 162. Contracts for professional services of state and municipal employees. Notwithstanding any inconsistent provision of law, general, special or local, the state and any municipal subdivision thereof and any department, bureau, board, commission, authority or any other agency or instrumentality of the state or any municipal subdivision thereof, are hereby severally authorized and empowered to enter into any contract or arrangement with the United States of America or any office, department, agency or instrumentality thereof for the performance at cost by engineers, architects, draftsmen and chemists employed by the state or such municipal subdivision, upon such terms and conditions as may be mutually agreed upon, of any project or work authorized by or pursuant to any act of congress or the cost of which has been provided for by an appropriation or contract authorization made by any act of congress which involves or requires the professional services of such employees. The making or performance of any such contract or arrangement shall in no wise be deemed to affect or result in the impairment, diminution or abridgment of the compensation, or any of the civil service, retirement and other rights, privileges and immunities of any employee engaged in the performance of any service thereunder.
§ 163. Contracts for services of state agencies. 1. Notwithstanding any inconsistent provision of law, general, special or local, the state and any department, bureau, board, commission, authority, or any other agency or instrumentality of the state, are hereby severally authorized and empowered, subject to the approval of the governor, to enter into any contract or agreement for the production of any goods, materials, or equipment or the processing, reprocessing, altering or repair thereof, deemed by the governor necessary or desirable to effectuate postwar adjustments or defense effort, upon such terms and conditions as he may approve.
2. Such contract or agreement may be made only with the United States of America, or any office, department, agency or instrumentality thereof, or with any person, firm or corporation engaged in the production or supply of any goods, materials or equipment or the processing, reprocessing, altering or repair thereof, for or for use, directly or indirectly, by the United States of America, or any of its agencies.
3. In the performance of any such contract or agreement any such department, bureau, board, commission, authority, or any other such agency or instrumentality of the state, is hereby authorized and empowered to use any of the real or personal property of the state, under its control and supervision and temporarily to employ or transfer any of its personnel.
4. The making or performance of any such contract or agreement shall in no wise be deemed to affect or result in the impairment, diminution or abridgment of the compensation, or any of the civil service, retirement and other rights, privileges and immunities of any employee engaged in the performance of any service thereunder.
5. Any such contract or agreement shall provide for payment to the state of compensation, price or other consideration which in no wise shall be less than the compensation, price or other consideration generally obtainable by private persons, firms or corporations for the performance of similar contracts or agreements, provided the same is reasonably ascertainable.
6. All moneys received on account of any contracts or agreements made pursuant to this section or pursuant to the provisions of section fifty-two-a of the New York state war emergency act prior to the repeal thereof shall be received by the state and deposited in the special fund provided for in section ninety-seven-a of the state finance law. The moneys in such fund may be expended and used to defray the expenses incidental to such contract or agreement in accordance with the terms and conditions of such contract or agreement and to reimburse the general fund of the state for any expenditures made in the first instance for such purposes. Such moneys shall be paid out of such fund on vouchers approved by the head of the department or agency, to which any moneys may be allocated by the director of the budget, after audit by and upon warrant of the comptroller.
§ 163-a. Contracts with Green Thumb Environmental Beautification, Incorporated. Each state department, agency, board, bureau, commission or other unit performing governmental functions for the state, within amounts appropriated therefor, may contract with Green Thumb Environmental Beautification, Incorporated, a nonprofit organization that is organized for the purpose of environmental beautification and employs persons fifty-five years of age or older whose annual income does not exceed: (1) two hundred fifty percent of the non-farm federal poverty level applicable to a family of one (as defined and updated by the federal department of health and human services) for an individual living alone or in another person's home; or (2) four hundred percent of the non-farm federal poverty level applicable to a family of one (as defined and updated by the federal department of health and human services) for a couple living alone or in another person's home. The contract shall name the organization, the amount and manner of payments for the service to be rendered, nature of such service, the rendering of a verified account of the disbursements with verified or certified vouchers therefor attached, a refund of any unused amount, and such other conditions upon the use thereof as may be deemed proper.
§ 164. Reports by and to the department. Each department, other than the executive department, shall make an annual report to the governor and legislature on or before the fifteenth day of May, for the preceding calendar year. It shall contain such information concerning the department and its several divisions, bureaus, offices, agencies and institutions, and their activities and affairs, and such recommendations, as the head of the department shall deem necessary or proper, and any matters required by express provision of law to be included in such report. A department also shall make such other and special reports as the governor or either house of the legislature may require. From time to time, the head of a department may require from any board, commission or other body in the department or from any subordinate officer or employee, division or bureau of the department, or from any institution subject to the supervision of the department, or from any agency of the department, such reports or information as such head may deem necessary. Unless expressly authorized by the head of the department, there shall be hereafter no separate report, annual or otherwise, directly to the legislature or governor by any such board, commission, body, officer, division, bureau, institution or agency notwithstanding any existing provision of law authorizing or requiring such report.
§ 164-a. Report and publication economy regulations. 1. The commissioner of the office of general services, in consultation with the state comptroller, shall establish regulations providing for cost savings in the printing and distribution of reports and other publications by agencies, departments and authorities of the state. To the extent that such reports and publications do not relate to the marketing or advertising of a service or product of the agency, department or authority, such regulations shall at a minimum provide that such reports and other publications:
(a) be as brief as may be practicable;
(b) utilize uncoated recyclable paper, of a size that will minimize paper use and waste, for printing of text and cover;
(c) make limited use of photographs;
(d) be printed in no more than two colors, unless otherwise specifically permitted by law, rule or regulation of the commissioner;
(e) not use covers unless such covers are necessary and appropriate for the protection of the document;
(f) be distributed pursuant to a distribution list which is reviewed at least annually to eliminate duplicate, excessive, unwanted and obsolete mailings;
(g) be mailed in combination, to the extent practicable and when possible, with mailing of other reports and publications;
(h) be eliminated or combined, to the extent practicable and when possible, with other reports and publications.
2. Each agency or department shall, with its annual report, provide the state comptroller with a list of printing cost estimates from all sources, including in-house facilities, the office of general services central reproduction unit, private printers and such other printing cost information as may be required by the state comptroller.
3. Subdivision one of this section shall be implemented in a manner that is consistent with the provisions of subdivisions five and six of section three hundred fifty-five of the education law.
§ 164-b. State aid to rural areas: agency reports. 1. Legislative intent. The legislature hereby finds, declares and determines that:
(a) enhanced access to financial and technical assistance available from state agencies is of great significance to rural communities;
(b) grants and other forms of state assistance are not always easily attainable by rural areas with the greatest need;
(c) rural areas across the state continue to suffer from high levels of unemployment and poverty, limited access to health care and other human services, individual isolation, shortfalls in family income and educational attainment, as well as the inability to undertake infrastructure investment and business development;
(d) rural communities often lack sufficient expertise and staff to prepare and process applications for aid, as well as address the requirements associated with administration of any proceeds. This, coupled with disproportionate competition with large metropolitan and suburban communities for a diminishing number of grants often places a rural community at a disadvantage when attempting to advance the betterment of its citizens;
(e) improved awareness of the ways state agencies provide financial and technical assistance would enhance opportunities for rural areas to make use of such resources, strengthening their ability to respond to modern challenges.
2. Definitions. For the purposes of this section, the following terms shall have the following meanings:
(a) "Rural area" shall mean those portions of the state so defined by subdivision seven of section four hundred eighty-one of this chapter;
(b) "State agency" shall mean the following: office for the aging, department of agriculture and markets, office of alcoholism and substance abuse services, department of economic development, department of education, department of environmental conservation, environmental facilities corporation, department of health, division of housing and community renewal, job development authority, office of mental health, office of parks, recreation and historic preservation, department of social services, department of state, department of transportation, urban development corporation, and the division for youth;
(c) "Set-aside" shall mean a direct commitment of financial and/or technical assistance by state agencies specifically for rural areas as herein defined;
(d) "Rural program development" means the systematic identification of special service needs of rural areas by a state agency and the utilization of said agency's financial, technical and other available resources to help meet such need;
(e) "Rural advisory committee" means a committee created pursuant to statute or through administrative action by a state agency for the purposes of assisting such agency to develop and implement programs for rural areas;
(f) "Regulatory flexibility" means the conscious consideration of the ability of affected individuals and/or groups in rural areas to respond to state agency rules and regulations and the state agency's attempt to mitigate any negative impacts which may result from such requirements on said individuals and/or groups.
3. Annual reports of state agencies.
(a) In addition to any existing requirements of state agencies for the submission of annual reports, such agencies shall also annually provide:
(i) a listing and description of any set-asides for rural areas in New York state. Such reports shall include the number of applications submitted, the number of applications approved, and the proportionate share of dollars and/or technical assistance rendered to public and/or private sector interests within rural areas of the state;
(ii) a listing and description of the activities and participation of any rural advisory committees which directly serve such agency, or of which the agency is a member;
(iii) a listing and description of existing and/or new rural program development efforts within the agency, or of which the agency is a part;
(iv) a description of existing and/or new rule-making or regulatory flexibility afforded to rural areas of the state; and
(v) recommendations for any statutory change, as well as financial and other resources to improve state agency assistance and responsiveness to rural areas of the state.
(b) In a form prescribed by the governor, all state agencies, as defined in this section, shall report the annual information required in paragraph (a) of this subdivision to the governor, with a copy also submitted to the speaker of the assembly, the temporary president of the senate, the minority leader of the assembly, the minority leader of the senate, and the chairman and vice-chairman of the New York state legislative commission on the development of rural resources established pursuant to chapter four hundred twenty-eight of the laws of nineteen hundred eighty-two. The first such report shall be submitted on or before January first, nineteen hundred ninety-six.
§ 164-c. Printing cost reduction notices. There shall be printed on the cover or cover page of every annual report, report or similar publication issued by any department, division, commission, agency or any other entity of the state, a notice which states the following words or words to the effect of the following: "In an effort to reduce the costs of printing, please notify the producer of this document if you wish your name to be deleted from our mailing list or if your address has changed."
§ 164-d. Availability of application forms. 1. The state and every state agency, department, bureau, board, authority, office, commission, or any other instrumentality of the state shall make the various application forms developed and distributed by such agency or instrumentality for public use that are readily convertible to internet form and are intended to be commonly used by the general public available on the internet.
2. Nothing in this section shall require that an agency or other state entity or instrumentality accept or process application forms submitted through the internet, or post application forms including user-specific data on the internet.
3. The office of information technology services shall promulgate rules and regulations to implement the provisions of this section. Such rules shall at least provide for the prioritization and timing for making application forms available on the internet.
§ 165. Commission on uniform state laws; object; membership; term of office; expenses. The commission on uniform state laws is continued. It shall be the object of the commission to examine various statutes and fields of law and to consult and cooperate with similar commissions in other states with a view to promoting uniform legislation throughout the United States whenever practicable. The commission may recommend such legislation as may accomplish its objective. It shall consist of five members appointed by the governor. The members shall hold office and may be removed at the pleasure of the governor. The commission shall serve without compensation, but each commissioner shall be entitled to receive his actual disbursements for his expenses in performing the duties of his office. The commission may employ such persons and incur such expenses as may be necessary for the performance of its duties within the amounts appropriated therefor. The commission shall report to the legislature whenever the commission deems it necessary and shall report to the legislature upon its request. Such reports shall consist of an account of the transactions of the commission and its advice and recommendations.
§ 166. Record of appearances. Every regulatory agency of the state shall keep a record of appearances before it or its appropriate divisions or bureaus of attorneys, agents and representatives appearing on behalf of any person, firm, corporation or association subject to its regulatory jurisdiction, for which they receive a fee, which record shall be open to public inspection. Each regulatory agency shall file the record with the New York temporary state commission on lobbying on forms prescribed by the commission. The record shall be filed quarterly on the fifteenth day of the month following the end of the quarter. The term "regulatory agency" as used in this section shall mean the department of financial services, department of financial services, state liquor authority, department of agriculture and markets, department of education, department of environmental conservation, department of health, division of housing and community renewal, department of state, other than the division of corporations and state records, department of public service, the industrial board of appeals in the department of labor and the department of law, other than when the attorney general or his agents or employees are performing duties specified in section sixty-three of this chapter.
§ 167. Advertising and publicizing summer camps cited as subversive. Notwithstanding any inconsistent provision of law, general or special, no department, bureau, board, commission, authority, agency or other instrumentality of the state shall knowingly advertise, publicize, assist, support or advise, or in any manner promote in any publication or otherwise, any summer camp cited by the attorney general of the United States, the attorney general of the state of New York, any duly authorized state agency or any legislative investigating body for teaching, advocating or embracing the doctrine that the government of the United States or of any state or any political subdivision thereof shall be overthrown or overturned by force, violence or any unlawful means, or advocating, advising, teaching or embracing the duty, necessity or propriety of adopting any such doctrine.
§ 168. Notices to attorneys at law by state bodies or officers. 1. Whenever a person is involved as a party in a proceeding before any body or officer exercising quasi-judicial or administrative functions, and an attorney at law has filed a notice of appearance in such proceeding on behalf of such person, a copy of all subsequent written communications or notices to such person in such proceeding (other than subpoenas) shall be sent to such attorney at law, and if any such subsequent written communication or notice is sent to the party in the proceeding, a copy of the same shall be sent to the attorney at law at the same time. Every such body or officer is authorized to provide by rule or regulation for the manner in which compliance with the requirements of this section shall be effected, including, but not limited to, the form and content of notices of appearance, the manner in which an attorney at law shall file his notice of appearance in a proceeding, and the manner in which written communications or notices shall be sent to the attorney at law.
2. For the purpose of this section:
(a) "person" shall mean one or more individuals, partnerships, corporations or associations;
(b) "proceeding" shall mean any quasi-judicial or administrative procedure instituted by a written application by a person to a body or officer, by a notice of assessment given by a body or officer to a person, by a written complaint addressed by a body or officer or transmitted by a body or officer to a person, or by a notice of any hearing before a body or officer whether or not such hearing is prescribed by statute.
3. This section shall not apply to preliminary investigations.
§ 168-a. Designation of days of commemoration. 1. A day of commemoration is a calendar day so designated by this section or a calendar day in any one year so designated by a proclamation of the governor or resolution of the Senate and Assembly jointly adopted.
2. A day of commemoration shall not constitute a holiday or half-holiday but shall be a day set aside in recognition and special honor of a person, persons, group ideal or goal.
3. The following days shall be days of commemoration in each year: January sixth, to be known as "Haym Salomon Day", January twenty-seventh, to be known as "Holocaust Remembrance Day", February fourth, to be known as "Rosa Parks Day", February fifteenth, to be known as "Susan B. Anthony Day", February sixteenth, to be known as "Lithuanian Independence Day", February twenty-eighth, to be known as "Gulf War Veterans' Day", March fourth, to be known as "Pulaski Day", March tenth, to be known as "Harriet Tubman Day", March twenty-ninth, to be known as "Vietnam Veterans' Day", April ninth, to be known as "POW Recognition Day", April twenty-seventh, to be known as "Coretta Scott King Day", April twenty-eighth, to be known as "Workers' Memorial Day", the first Tuesday in May to be known as "New York State Teacher Day", May seventeenth, to be known as "Thurgood Marshall Day", the first Sunday in June, to be known as "Children's Day", June second, to be known as "Italian Independence Day", June twelfth, to be known as "Women Veterans Recognition Day", June nineteenth, to be known as "Juneteenth Freedom Day", June twenty-fifth, to be known as "Korean War Veterans' Day", the second Monday in July, to be known as "Abolition Commemoration Day", August twenty-fourth, to be known as "Ukrainian Independence Day", August twenty-sixth, to be known as "Women's Equality Day", September eleventh, to be known as "Battle of Plattsburgh Day" and also to be known as "September 11th Remembrance Day", September thirteenth, to be known as "John Barry Day" and also to be known as "Uncle Sam Day in the State of New York", September seventeenth, to be known as "Friedrich Wilhelm von Steuben Memorial Day", the third Friday in September to be known as "New York State POW/MIA Recognition Day" except if such date of commemoration cannot be observed due to a religious holiday, such observances shall then be conducted on the second Friday of September, the last Saturday in September, to be known as "War of 1812 Day", the fourth Saturday of September, known as "Native-American Day", the last Sunday in September, to be known as "Gold Star Mothers' Day", October fifth, to be known as "Raoul Wallenberg Day", October eleventh, to be known as "New Netherland Day in the State of New York", October eighteenth, to be known as "Disabilities History Day", October twenty-seventh, to be known as "Theodore Roosevelt Day", November ninth, to be known as "Witness for Tolerance Day", November twelfth, to be known as "Elizabeth Cady Stanton Day", the third Tuesday in November to be known as "New York State School-Related Professionals Recognition Day", November thirtieth, to be known as "Shirley Chisholm Day", December third, to be known as "International Day of Persons with Disabilities", December seventh, to be known as "Pearl Harbor Day", December sixteenth, to be known as "Bastogne Day" and that day of the Asian lunar calendar designated as new year to be known as "Asian New Year".
§ 169. Salaries of certain state officers. 1. Salaries of certain state officers holding the positions indicated hereinbelow shall be as set forth in subdivision two of this section:
(a) commissioner of corrections and community supervision, commissioner of education, commissioner of health, commissioner of mental health, commissioner of developmental disabilities, commissioner of children and family services, commissioner of temporary and disability assistance, chancellor of the state university of New York, commissioner of transportation, commissioner of environmental conservation, superintendent of state police, commissioner of general services, commissioner of the division of homeland security and emergency services and the executive director of the state gaming commission;
(b) commissioner of labor, chairman of public service commission, commissioner of taxation and finance, superintendent of financial services, commissioner of criminal justice services, and commissioner of parks, recreation and historic preservation;
(c) commissioner of agriculture and markets, commissioner of alcoholism and substance abuse services, adjutant general, commissioner and president of state civil service commission, commissioner of economic development, chair of the energy research and development authority, president of higher education services corporation, commissioner of motor vehicles, member-chair of board of parole, chair of public employment relations board, secretary of state, commissioner of alcoholism and substance abuse services, executive director of the housing finance agency, commissioner of housing and community renewal, executive director of state insurance fund, commissioner-chair of state liquor authority, chair of the workers' compensation board;
(d) director of office for the aging, commissioner of human rights, commissioners of the department of public service, chairman of state commission on quality of care for the mentally disabled, chairman of commission on alcoholism and substance abuse prevention and education, executive director of the council on the arts and executive director of the board of social welfare;
(e) chairperson of state athletic commission, director of the office of victim services, chairperson of human rights appeal board, chairperson of the industrial board of appeals, chairperson of the state commission of correction, members of the board of parole, member-chairperson of unemployment insurance appeal board, director of veterans' services, and vice-chairperson of the workers' compensation board;
(f) executive director of adirondack park agency, members of state commission of correction, members of unemployment insurance appeal board, and members of the workers' compensation board.
2. (a) Effective January first, nineteen hundred ninety-nine, the annual salaries of the officers holding the positions indicated in subdivision one of this section shall be as follows: for the positions listed in paragraph (a), $136,000; in paragraph (b), $127,000; in paragraph (c), $120,800; in paragraph (d), $109,800; in paragraph (e), $101,600; and in paragraph (f), $90,800.
(b) Notwithstanding any of the foregoing provisions of this section to the contrary, an incumbent in a position (i) listed in former section one hundred sixty-nine of the executive law in effect on the day prior to the effective date of this subdivision, or (ii) listed in this section, or (iii) covered by a provision of law other than such section, shall not receive compensation in an amount less than such person received on the effective date of this section.
3. Notwithstanding any other provision of this section or any other provision of law, the boards of trustees of the state university of New York and the city university of New York shall each establish and implement salary plans for the chancellors, presidents and senior staffs of such state and city universities, respectively. The board of regents shall establish and implement a separate salary plan for the president of the university of the state of New York, setting forth the compensation to be received by the president for performing the duties of that office assigned by the rules of the regents or statute, which shall be in addition to the compensation received by such person pursuant to the provisions of subdivisions one and two of this section. Such salary plans shall be developed after consultation with the governor's office of employee relations and the division of the budget. Any increase in compensation for the positions set forth in this subdivision, not otherwise funded from any appropriation, shall be funded from reallocations of funds within the appropriations specifically identified by the aforementioned boards. Each board of trustees and the board of regents shall file a proposed salary plan report with the chairs of the senate finance committee and the assembly ways and means committee and the director of the budget at least sixty days prior to the effective date of such salary plan. Each salary plan report shall set forth the salary schedule, the dollar value of additional public compensation and other employment benefits that such positions would receive, the specific sources of funding to be reallocated for salary increases, the amount of increase to be provided to each position, the comparison salary data on which the plan is based, and such other information as the boards of trustees and the board of regents deem appropriate.
§ 170. Audit of agencies by the state comptroller; reports of corrective action. Whenever the state comptroller shall conduct an audit of the activities and operations of any department, bureau, board, commission, authority or any other agency or instrumentality, he or she shall submit a tentative copy of a report of such audit to the head of the entity audited. The head of such entity may submit a written response to such tentative report within thirty days of the receipt thereof. The state comptroller shall thereafter submit a final report of such audit which shall contain a complete copy of the response, if any, submitted to the tentative report. If the final report makes recommendations for corrective action, the head of the entity audited shall report within one hundred eighty days after receipt thereof to the governor, the state comptroller, the president, president pro tem and minority leader of the senate, the speaker, majority and minority leaders of the assembly, and the chairman and ranking minority members of the senate finance committee and the assembly ways and means committees of the state legislature what steps were taken to implement such recommendations, and, where recommendations were not implemented, the reasons therefor.
§ 170-a. Celebration of Rosa Parks; bus companies. 1. For purposes of this section, the terms "bus company" and "bus line" shall have the same meanings as set forth in subdivisions two and three of section two of the transportation law.
2. On February fourth, two thousand eight and every February fourth thereafter, a day of commemoration designated as "Rosa Parks Day" pursuant to section one hundred sixty-eight-a of this article, every bus company operating a bus line in this state may reserve and keep empty one seat on each bus placed in service by such bus company in honor of civil rights activist Rosa Parks.
3. Compliance with the provisions of this section shall be voluntary, and no bus company operating a bus line in this state shall be subject to any liability, either civil or criminal, solely for the failure to comply with the provisions of this section.
* § 170-b. Employee loans. 1. No state agency shall make available to employees a loan of any amount of money. Provided, however, that nothing in this section shall be construed to impede any person from receiving any aid for which he or she is eligible pursuant to any state or federal statute or regulation.
2. For purposes of this section, the term "state agency" shall mean any state department, state university of New York, city university of New York, authority, board, bureau, division, commission, committee, council, office or other governmental entity performing a governmental or proprietary function for the state.
* NB There are 2 § 170-b's
* § 170-b. Racial references contained in state and municipal forms. No form or preprinted document utilized by a state agency or public authority or by a municipality shall use the term "oriental" to identify or denote persons of Asian or Pacific Islander heritage. Any form
Section 1. Short title.
§ 1. This chapter shall be known as the "Executive Law."
ARTICLE 2 GOVERNOR
Section 2. Office and residence of governor.
3. Acting governor.
4. Secretary and counsel to the governor.
4-a. Chief diversity officer.
4-b. Chief disability officer.
5. Executive records.
6. Examination and inspection by the governor.
7. Limited operation of holiday.
8. Registration of noncitizens.
9. Lease or loan of state property; temporary transfer of personnel.
11. Indian settlement agreements.
12. Tribal-state compact.
§ 2. Office and residence of governor. The office of the governor shall be known as the executive chamber, and his residence, as the executive mansion.
§ 3. Acting governor. Every provision of law relating to the governor shall extend to the lieutenant-governor, to the president of the senate, and to the speaker of the assembly respectively, while acting as governor in pursuance of law.
§ 4. Secretary and counsel to the governor. A secretary to the governor shall be appointed by the governor, and shall receive a salary to be fixed by the governor within the amount appropriated therefor. It shall be the duty of such secretary to assist the governor in matters pertaining to the executive department and perform such duties as the governor may assign to him. The governor may also appoint and at pleasure remove a counsel to the governor who shall receive a salary to be fixed by the governor within the amount appropriated therefor. It shall be the duty of such counsel to advise the governor in regard to the constitutionality, consistency and legal effect of bills presented to the governor for his approval and on matters involving the exercise of executive clemency and such other legal matters as may be referred to him by the governor.
§ 4-a. Chief diversity officer. A chief diversity officer for the state shall be appointed by the governor and shall receive a salary to be fixed by the governor within the amount appropriated therefor. The chief diversity officer's responsibilities shall include the following:
1. Advise and assist the governor in formulating policies relating to workforce diversity and minority and women's business enterprises;
2. Work with the director of the division of minority and women's business development to prepare an annual plan for ensuring full compliance with article fifteen-a of the executive law by state agencies and the use of diversity practices by such agencies;
3. Advise the governor and the agencies regarding any measures necessary to ensure full compliance with article fifteen-a of this chapter and use of diversity practices by state public authorities;
4. Serve as a member of the state procurement council established under section one hundred sixty-one of the state finance law;
5. Serve as the governor's liaison with organizations representing minority and women-owned business enterprises and other organizations related to diversity in the state workforce and in state contracting;
6. Serve as the governor's liaison to the small business advisory council for issues related to the creation of a diverse workforce and state procurement practices relating to minority and women-owned business enterprises;
7. Review and consult with the director of minority and women's business development regarding policies relating to minority and women-owned business enterprise contract specialists at state agencies; and
8. Engage in other actions assigned to him or her by the governor relating to diversity in hiring or promotion of the state workforce and in encouraging diversity practices and compliance with article fifteen-a of this chapter in procurement.
§ 4-b. Chief disability officer. 1. Persons with disabilities comprise a major segment of the state of New York's population and their particular needs and concerns must be considered as an integral part of the planning and implementation of all state programs and services affecting their lives and well-being. The office of the chief disability officer shall advocate on behalf of persons with disabilities and ensure that persons with disabilities are afforded the opportunity to exercise all of the rights and responsibilities accorded to citizens of this state.
2. For purposes of this article:
(a) "Persons with disabilities" shall mean any person who has a disability as defined in subdivision twenty-one of section two hundred ninety-two of this chapter.
(b) "State agency" or "state agencies" shall mean any state department, board, bureau, division, commission, committee, public authority, public corporation, council, office or other governmental entity performing a governmental or proprietary function for the state, except the judiciary or the state legislature.
3. (a) The governor shall appoint a chief disability officer. The chief disability officer shall advise and assist state agencies in developing policies designed to help meet the needs of persons with disabilities. The chief disability officer shall be appointed by the governor and receive a salary to be fixed by the governor within the amounts appropriated therefor.
(b) The chief disability officer shall: (i) be the state's coordinator for the implementation of the Americans with Disabilities Act; (ii) coordinate state activities to ensure that state programs do not discriminate against and are accessible to persons with disabilities; (iii) ensure that such programs provide services to individuals with disabilities in the most integrated setting appropriate to their needs; and (iv) work with state agencies to develop legislation and potential regulatory changes to help effectuate the duties and responsibilities required in this article, and any other changes that may significantly affect the lives of persons with disabilities in the state.
(c) The chief disability officer shall, to the extent practicable, review and report to the governor upon proposed legislation and regulations. The chief disability officer shall submit comments, where appropriate, to the state agency which referred such proposed legislation and regulations evaluating: (i) the impact of the proposed legislation or regulation upon persons with disabilities; (ii) the relationship and impact of such proposed legislation or regulation on existing programs affecting persons with disabilities; and (iii) any modifications that would help persons with disabilities or aid in the implementation of the new proposal. All state agencies shall cooperate with the chief disability officer to ensure that the chief disability officer is able to fulfill the requirements under this section.
§ 5. Executive records. The governor shall cause to be kept in the executive chamber or in the appropriate state office:
1. Journals of the daily transactions of his office.
2. Registers, containing classified statements of such transactions.
3. Separate registers containing classified statements of all applications for pardon, commutation or other executive clemency, and of his action thereon.
4. An account of his official expenses and disbursements, including the incidental expenses of his department.
5. Files of all official records upon which applications for executive clemency are founded; of statements made by judges to him; of sentences to death and of the testimony in capital cases; and of such other papers relating to the transactions of his office as are deemed by him of sufficient value for preservation.
§ 6. Examination and inspection by the governor. The governor is authorized at any time, either in person or by one or more persons appointed by him for the purpose, to examine and investigate the management and affairs of any department, board, bureau or commission of the state. The governor and the persons so appointed by him are empowered to subpoena and enforce the attendance of witnesses, to administer oaths and examine witnesses under oath and to require the production of any books or papers deemed relevant or material. Whenever any person so appointed shall not be regularly in the service of the state his compensation for such services shall be fixed by the governor, and said compensation and all necessary expenses of such examinations and investigations shall be paid from the treasury out of any appropriations made for the purpose upon the order of the governor and the audit and warrant of the comptroller.
Notwithstanding any inconsistent provision of any general, special or local law, charter, administrative code or other statute, service rendered by a person appointed by the governor pursuant to this section shall not constitute or be deemed state service or re-entry into state service under the civil service law, the retirement and social security law or under any charter, administrative code, or other general, special or local law relating to a state or municipal retirement or pension system so as to suspend, impair or otherwise affect or interfere with the pension or retirement status, rights, privileges and benefits of such person under any such system or to interfere with the right of such person or his beneficiary to receive any pension or annuity benefits or death benefits by reason of the selection of any option under any such system.
§ 7. Limited operation of holiday. The governor in issuing any proclamation appointing any day as a holiday or as a day of thanksgiving or fasting and prayer or other religious observance, under section twenty-four of the general construction law is authorized, in his discretion, to limit or restrict the effect and operation of such proclamation to any city or county to be designated by him in such proclamation.
§ 8. Registration of noncitizens. Whenever a state of war exists between the United States and a foreign country, or, in the judgment of the governor public safety or necessity requires such action, the governor may, by proclamation, direct every subject or citizen of such foreign countries as the governor may designate in such proclamation, who are in this state, or who may from time to time come into the state, to appear within twenty-four hours after the date specified in such proclamation or after arrival within the state, before such public authorities as the governor may designate in such proclamation, and personally register his or her name, residence, business, length of stay and such other information as the governor shall prescribe. Such proclamation shall be published in such newspapers as the governor may designate. Every person to whom such proclamation is applicable shall also comply with such rules or personal identification as the governor shall from time to time prescribe. The occupant of every private residence, and the owner, lessee or proprietor, operating or managing every hotel, inn, boarding or rooming house shall, within twenty-four hours after the date specified in such proclamation, notify such public authorities of the presence therein of every subject or citizen of a foreign country to whom such proclamation is applicable, and shall each day thereafter notify such public authorities of the arrival thereat or departure therefrom of every such subject or citizen. A failure to comply with any such proclamation or to perform any act required by this section shall be a misdemeanor, punishable by a fine of not exceeding one thousand dollars, or imprisonment for one year or both.
§ 9. Lease or loan of state property; temporary transfer of personnel. Notwithstanding any inconsistent provisions of law, general, special or local
1. (a) The governor, from time to time, whenever he deems it to be in the public interest, may authorize any department or agency of the state to lease or lend to the army, navy or any branch of the armed forces of the United States, any real or personal property of the state, on such terms and conditions as he may deem necessary to promote the public welfare and protect the interests of the state, making an adequate and appropriate provision to reimburse the state for any cost of maintenance and operation and for depreciation and waste. He may also authorize such department or agency to lease or lend such property to any other agency of the United States of America performing functions occasioned by the war or defense effort, or to any other organization subsidized or authorized directly or indirectly by the United States of America to perform work or render services occasioned by the war or defense effort, provided, however, that such lease or loan of property shall be on terms and conditions which fully compensate the state for its loss or use of such property. Such compensation shall, in addition to the cost of maintenance and operation, include, but not be limited to, depreciation and waste or debt service incidental thereto. Notwithstanding the foregoing provisions, however, the division of military and naval affairs of the executive department may be authorized pursuant to this section to lease or lend armories or other real or personal property under its jurisdiction to the army, navy or any other branch of the armed forces of the United States of America for military purposes without provision for reimbursement to the state for depreciation and waste or debt service. Any renewal of an agreement or lease heretofore made pursuant to the provisions of paragraph (a) of subdivision one of section thirty-six of the New York state war emergency act or to the provisions of chapter two hundred seventy-seven of the laws of nineteen hundred forty-two prior to the repeal of such provisions shall be made in compliance with this paragraph.
(b) The governor, from time to time, whenever he deems it to be in the public interest, is hereby authorized to enter into a contract on behalf of the state for the lease or loan, on such terms and conditions as he may deem necessary to promote the public welfare and protect the interests of the state, of any real or personal property of the state, or the temporary transfer or employment of personnel of the state to any municipal subdivision or other public corporation of the state.
2. (a) The chief executive of any such municipal subdivision or the board, commission or other head of any other public corporation is hereby authorized to enter into a contract and to execute any such lease or to accept any such loan or to employ such personnel, and such municipal subdivision or other public corporation is further authorized to equip, maintain, utilize and operate any such property and to employ necessary personnel therefor in accordance with the purposes for which such contract is executed.
(b) The chief executive of any such municipal subdivision or the board, commission or other head of such other public corporation is empowered to do all things and perform any and all acts which he or it may deem necessary to effectuate the purposes for which such contract was entered into.
§ 11. Indian settlement agreements. 1. Oneida settlement agreement. Notwithstanding any other provision of law, upon filing with the secretary of state, the settlement agreement executed between the governor, the counties of Oneida and Madison, and the Oneida Nation of New York dated the sixteenth day of May, two thousand thirteen, to be known as the Oneida Settlement Agreement, including, without limitation, the provisions contained therein relating to arbitration and judicial review in state or federal courts and, for the sole purpose thereof, a limited waiver of the state's Eleventh Amendment sovereign immunity from suit, shall upon its effective date be deemed approved, ratified, validated and confirmed by the legislature. It is the intention of the legislature in enacting this section to ensure that the settlement agreement shall be fully enforceable in all respects as to the rights, benefits, responsibilities and privileges of all parties thereto.
§ 12. Tribal-state compact. (a) Notwithstanding any other law, the state, through the governor, may execute a tribal-state compact with the Seneca Nation of Indians pursuant to the Indian Gaming Regulatory Act of 1988 (P.L. 100-497; 25 U.S.C. §§ 2701-2721 and 18 U.S.C. §§ 1166-1168) consistent with a memorandum of understanding between the governor and the president of the Seneca Nation of Indians executed on June twentieth, two thousand one and filed with the department of state on June twenty-first, two thousand one. Such tribal-state compact shall be deemed ratified by the legislature upon the governor's certification to the temporary president of the senate, the speaker of the assembly, and the secretary of state, that such compact, through its terms, by a memorandum of understanding or other agreement between the state and Nation, by a Nation's ordinance or resolution, by statute, by executive order, or by the terms of any other agreement entered into by or on behalf of the Nation, provides: (i) assurances that the Nation will provide (1) reasonable access to the gaming and related facilities to labor union organizers for purposes of a campaign to solicit employee support for labor union representation; (2) permission for labor union organizers to distribute labor union authorization cards on site for the purpose of soliciting employee support for labor union representation; and (3) recognition of labor unions as the exclusive collective bargaining representatives of employees in appropriate bargaining units based upon a demonstration of majority employee support of such labor unions by union authorization card check as verified, if necessary, by an independent arbitrator appointed by the Public Employment Relations Board in consultation with the Nation and the labor union; (ii) assurances that the Nation has an adequate civil recovery system which guarantees fundamental due process to visitors and guests of the facility and related facilities; and (iii) assurances that the Nation will maintain during the term of the compact sufficient liability insurance to assure that visitors and guests will be compensated for their injuries.
(b) Notwithstanding any other law, the state, through the governor, may execute tribal-state compacts pursuant to the Indian Gaming Regulatory Act of 1988 (P.L. 100-497; 25 U.S.C. §§ 2701-2721 and 18 U.S.C. §§ 1166-1168) authorizing up to three Class III gaming facilities in the counties of Sullivan and Ulster. Such tribal-state compact shall be deemed ratified by the legislature upon the governor's certification to the temporary president of the senate, the speaker of the assembly and the secretary of state, that such compact, through its terms, by a memorandum of understanding or other agreement between the state and Nation, by a Nation's ordinance or resolution, by statute, by executive order, or by the terms of any other agreement entered into by or on behalf of the Nation, provides: (i) assurances that the Nation will provide (1) reasonable access to the gaming and related facilities to labor union organizers for purposes of a campaign to solicit employee support for labor union representation; (2) permission for labor union organizers to distribute labor union authorization cards on site for the purpose of soliciting employee support for labor union representation; (3) provision of employees' names and addresses to labor union representatives and tribal/employer/management neutrality in labor union organizing campaigns; (4) recognition of labor unions as the exclusive collective bargaining representatives of employees in appropriate bargaining units based upon a demonstration of majority employee support of such labor unions by union authorization card check as verified, if necessary, by an independent arbitrator appointed by the Public Employment Relations Board in consultation with the Nation and the labor union; and (5) final and binding arbitration of organized labor matters or disputes including negotiations for collective bargaining agreements with arbitrators' awards enforceable in a state or federal court of competent jurisdiction; (ii) assurances that the Nation has an adequate civil recovery system which guarantees fundamental due process to visitors and guests of the facility and related facilities; and (iii) assurances that the Nation will maintain during the term of the compact sufficient liability insurance to assure that visitors and guests will be compensated for their injuries.
(c) Except as otherwise specifically provided in the compact, the state specifically reserves all its rights, as attributes of its inherent sovereignty, recognized by the tenth and eleventh amendments to the United States Constitution. Nothing in this section shall be construed to affect the existing authority of the governor under the constitution and laws of this state to execute tribal-state compacts.
ARTICLE 2-A REPRIEVES, COMMUTATIONS AND PARDONS
Section 15. Power of governor to grant reprieves, commutations and pardons.
16. His power; in respect to convictions for treason; duty of the legislature, in such cases.
17. Governor to communicate annually to legislature, reprieves, commutations and pardons.
18. Conditional pardon; procedure on violation of.
19. Setting aside judgment of conviction and dismissing indictment, information or complaint in case of pardon of defendant on ground of innocence.
§ 15. Power of governor to grant reprieves, commutations and pardons. The governor has power to grant reprieves, commutations and pardons, after conviction, for all offenses, except treason and cases of impeachment, upon such conditions, and with such restrictions and limitations, as he may think proper, subject to the regulations provided in this article.
§ 16. His power; in respect to convictions for treason; duty of the legislature, in such cases. He may also suspend the execution of the sentence, upon a conviction for treason, until the case can be reported to the legislature, at its next meeting, when the legislature must either pardon or commute the sentence, direct the execution thereof, or grant a further reprieve.
§ 17. Governor to communicate annually to legislature, reprieves, commutations and pardons. He must annually communicate to the legislature, each case of reprieve, commutation or pardon; stating the name of the convict, the crime of which he was convicted, the sentence and its date, and the date of the commutation, pardon or reprieve.
§ 18. Conditional pardon; procedure on violation of. If any person who has been discharged from imprisonment, by virtue of any parole, conditional pardon, or conditional commutation of his sentence, shall violate such condition or neglect to perform it, his parole, pardon or commutation shall be void and he shall be remanded to the place of his former imprisonment and there confined for the unexpired term for which he had been sentenced. Determination of the violation of such parole, pardon or commutation and reincarceration therefor shall be had in the manner prescribed in the correction law.
§ 19. Setting aside judgment of conviction and dismissing indictment, information or complaint in case of pardon of defendant on ground of innocence. Upon motion duly made therefor, the judgment of conviction must be set aside and the indictment, information or complaint dismissed by the court in which the defendant was convicted, in a case where the defendant shall receive a pardon from the governor stating that such pardon is issued on the ground of innocence of the crime for which he was convicted and further stating that such finding of innocence is based upon evidence discovered after the judgment of conviction was rendered and after the time within which to make a motion for a new trial on newly discovered evidence had expired. Such setting aside of a judgment of conviction and dismissal of an indictment, information or complaint against a defendant shall place the defendant in the same position as if the indictment, information or complaint had been dismissed at the conclusion of the trial by the court because of the failure to establish the defendant's guilt beyond a reasonable doubt.
ARTICLE 2-B STATE AND LOCAL NATURAL AND MAN-MADE DISASTER PREPAREDNESS
Section 20. Natural and man-made disasters; policy; definitions.
21. Disaster preparedness commission established; meetings; powers and duties.
22. State disaster preparedness plans.
23. Local comprehensive emergency management plans.
23-a. County registry of disabled persons; notice.
23-b. Nursing home and assisted living facility plans.
23-c. Consistency among local disaster preparedness plans.
24. Local state of emergency; local emergency orders by chief executive.
25. Use of local government resources in a disaster.
26. Coordination of local disaster preparedness forces and local civil defense forces in disasters.
27. Continuity of local governments.
28. State declaration of disaster emergency.
28-a. Post disaster recovery planning.
29. Direction of state agency assistance in a disaster emergency.
29-a. Suspension of other laws.
29-b. Use of disaster emergency response personnel in disasters.
29-c. Radiological preparedness.
29-d. Reports.
29-e. New York state emergency assistance program.
29-g. Emergency management assistance compact.
29-h. Intrastate mutual aid program.
29-i. Immunity from liability for emergency alerts.
29-j. Acceptance of gifts.
29-k. Quarterly claim reports.
§ 20. Natural and man-made disasters; policy; definitions. 1. It shall be the policy of the state that:
a. local government and emergency service organizations continue their essential role as the first line of defense in times of disaster, and that the state provide appropriate supportive services to the extent necessary;
b. local chief executives take an active and personal role in the development and implementation of disaster preparedness programs and be vested with authority and responsibility in order to insure the success of such programs;
c. state and local natural disaster and emergency response functions be coordinated using recognized practices in incident management in order to bring the fullest protection and benefit to the people;
d. state resources be organized and prepared for immediate effective response to disasters which are beyond the capability of local governments and emergency service organizations; and
e. state and local plans, organizational arrangements, and response capability required to execute the provisions of this article shall at all times be the most effective that current circumstances and existing resources allow.
2. As used in this article the following terms shall have the following meanings:
a. "disaster" means occurrence or imminent, impending or urgent threat of wide spread or severe damage, injury, or loss of life or property resulting from any natural or man-made causes, including, but not limited to, fire, flood, earthquake, hurricane, tornado, high water, landslide, mudslide, wind, storm, wave action, volcanic activity, epidemic, disease outbreak, air contamination, terrorism, cyber event, blight, drought, infestation, explosion, radiological accident, nuclear, chemical, biological, or bacteriological release, water contamination, bridge failure or bridge collapse.
b. "state disaster emergency" means a period beginning with a declaration by the governor that a disaster exists and ending upon the termination thereof.
c. "municipality" means a public corporation as defined in subdivision one of section sixty-six of the general construction law and a special district as defined in subdivision sixteen of section one hundred two of the real property tax law.
d. "commission" means the disaster preparedness commission created pursuant to section twenty-one of this article.
e. "emergency services organization" means a public or private agency, voluntary organization or group organized and functioning for the purpose of providing fire, medical, ambulance, rescue, housing, food or other services directed toward relieving human suffering, injury or loss of life or damage to property as a result of an emergency, including non-profit and governmentally-supported organizations, but excluding governmental agencies.
f. "chief executive" means:
(1) a county executive or manager of a county;
(2) in a county not having a county executive or manager, the chairman or other presiding officer of the county legislative body;
(3) a mayor of a city or village, except where a city or village has a manager, it shall mean such manager; and
(4) a supervisor of a town, except where a town has a manager, it shall mean such manager.
g. "Disaster emergency response personnel" means agencies, public officers, employees, or affiliated volunteers having duties and responsibilities under or pursuant to a comprehensive emergency management plan.
h. "Emergency management director" means the government official responsible for emergency preparedness, response and recovery for a county, city, town, or village.
i. "incident management team" means a state certified team of trained personnel from different departments, organizations, agencies, and jurisdictions within the state, or a region of the state, activated to support and manage major and/or complex incidents requiring a significant number of local, regional, and state resources.
j. "executive level officer" means a state agency officer with the authority to deploy agency assets and resources and make decisions binding a state agency.
k. "third party non-state resources" means any contracted resource that is not owned or controlled by the state or a political subdivision including, but not limited to, ambulances, construction crews, or contractors.
§ 21. Disaster preparedness commission established; meetings; powers and duties. 1. There is hereby created in the executive department a disaster preparedness commission consisting of the commissioners of transportation, health, division of criminal justice services, education, economic development, agriculture and markets, housing and community renewal, general services, labor, environmental conservation, mental health, addiction services and supports, parks, recreation and historic preservation, corrections and community supervision, children and family services, homeland security and emergency services, and people with developmental disabilities, the president of the New York state energy research and development authority, the superintendents of state police and financial services, the secretary of state, the state fire administrator, the chair of the public service commission, the adjutant general, the office of information technology services, and the office of victim services, the chairs of the thruway authority, the office for the aging, the metropolitan transportation authority, the port authority of New York and New Jersey, the chief professional officer of the state coordinating chapter of the American Red Cross, the chief professional officer of 2-1-1 New York state and three additional members, to be appointed by the governor, two of whom shall be chief executives. Each member agency may designate an executive level officer of that agency, with responsibility for disaster preparedness matters, who may represent that agency on the commission. The commissioner of the division of homeland security and emergency services shall serve as chair of the commission, and the governor shall designate the vice chair of the commission. The members of the commission, except those who serve ex officio, shall be allowed their actual and necessary expenses incurred in the performance of their duties under this article but shall receive no additional compensation for services rendered pursuant to this article.
2. The commission, on call of the chairperson, shall meet at least twice each year and at such other times as may be necessary. The agenda and meeting place of all regular meetings shall be made available to the public in advance of such meetings and all such meetings shall be open to the public. The commission shall establish quorum requirements and other rules and procedures regarding conduct of its meetings and other affairs.
3. The commission shall have the following powers and responsibilities:
a. study all aspects of man-made or natural disaster prevention, response and recovery;
b. request and obtain from any state or local officer or agency any information necessary to the commission for the exercise of its responsibilities;
c. prepare and, as appropriate, revise a state comprehensive emergency management plan. The commission shall report all revisions to such plan by March thirty-first of each year to the governor, the legislature and the chief judge of the state, unless a current version of the plan is available to the public on the website of the division of homeland security and emergency services. In preparing such plans, the commission shall consult with federal and local officials, emergency service organizations including both volunteer and commercial emergency response organizations, and the public as it deems appropriate. To the extent such plans impact upon administration of the civil and criminal justice systems of the state, including their operational and fiscal needs in times of disaster emergency, the commission, its staff and any working group, task force, agency or other instrumentality to which it may delegate responsibility to assist it in its duties shall consult with the chief administrator of the courts and coordinate their preparation with him or her or with his or her representatives;
d. prepare, keep current and distribute to chief executives and others an inventory of programs directly relevant to prevention, minimization of damage, readiness, operations during disasters, and recovery following disasters;
e. direct state disaster operations and coordinate state disaster operations with local disaster operations following the declaration of a state disaster emergency;
f. (1) unless it deems it unnecessary, create, following the declaration of a state disaster emergency, a temporary organization in the disaster area to provide for integration and coordination of efforts among the various federal, state, municipal and private agencies involved. The commission, upon a request from a municipality and with the approval of the governor, shall direct the temporary organization to assume direction of the local disaster operations of such municipality, for a specified period of time not to exceed thirty days, and in such cases such temporary organization shall assume direction of such local disaster operations, subject to the supervision of the commission. Upon the expiration of the thirty day period the commission, at the request of the municipality, may extend the temporary organization's direction of such local disaster operations for additional periods not to exceed thirty days. The commission, upon a finding that a municipality is unable to manage local disaster operations, may, with the approval of the governor, direct the temporary organization to assume direction of the local disaster operations of such municipality, for a specified period of time not to exceed thirty days, and in such cases such temporary organization shall assume direction of such local disaster operations, subject to the supervision of the commission. Upon expiration of the thirty day period the commission, after consultation with the municipality, and with the approval of the governor, may extend the temporary organization's direction of such local disaster operations for additional periods not to exceed thirty days. In such event, such temporary organization may utilize such municipality's local resources, provided, however, that the state shall not be liable for any expenses incurred in using such municipality's resources. The state shall not be liable for the expenses incurred in using third party, non-state resources deployed to the affected area by the temporary organization, which are necessary to protect life and safety;
(2) The state incident management team shall have the authority to act as the operational arm of the temporary organization. When called to duty and deployed by the state, members of any state or local incident management team shall be deemed temporary employees of the state and shall have the same privileges and immunities afforded to regular state employees, subject to the rules and regulations promulgated by the president of the state civil service commission pursuant to section one hundred sixty-three of the civil service law;
g. assist in the coordination of federal recovery efforts and coordinate recovery assistance by state and private agencies;
h. provide for periodic briefings, drills, exercises or other means to assure that all state personnel with direct responsibilities in the event of a disaster are fully familiar with response and recovery plans and the manner in which they shall carry out their responsibilities, and coordinate with federal, local or other state personnel. Such activities may take place on a regional or county basis, and local and federal participation shall be invited and encouraged;
i. submit to the governor, the legislature and the chief judge of the state by March thirty-first of each year an annual report which shall include but need not be limited to:
(1) a summary of commission and state agency activities for the year and plans for the ensuing year with respect to the duties and responsibilities of the commission;
(2) recommendations on ways to improve state and local capability to prevent, prepare for, respond to and recover from disasters;
(3) the status of the state and local plans for disaster preparedness and response, including the name of any locality which has failed or refused to develop and implement its own disaster preparedness plan and program; and the extent to which all forms of local emergency response assets have been included, and accounted for in planning and preparation for disaster preparedness and response; and
j. develop public service announcements to be distributed to television and radio stations and other media throughout the state informing the public how to prepare and respond to disasters. Such public service announcements shall be distributed in English and such other languages as such commission deems appropriate.
4. All powers of the state civil defense commission are assigned to the commission.
5. The state office of emergency management within the division of homeland security and emergency services shall serve as the operational arm of the commission and shall be responsible for implementing provisions of this article and the rules and policies adopted by the commission. The director of the state office of emergency management within the division of homeland security and emergency services shall exercise the authority given to the disaster preparedness commission in section twenty-nine of this article, to coordinate and direct state agencies and assets in response to a state disaster emergency, through their respective agency heads, on behalf of the governor and the chair of the disaster preparedness commission, when the governor, the lieutenant governor, and the chair of the disaster preparedness commission are incapacitated or without an available means of reliable communication with the state office of emergency management. If the director of the state office of emergency management is unable to exercise this authority, then the executive deputy commissioner of the division of homeland security and emergency services shall act in this capacity. In the event that the executive deputy commissioner is unable to exercise this authority, then such authority shall be exercised by the official willing and able to do so in the following order: the superintendent of the division of state police; the state fire administrator; or the director of the office of counterterrorism within the division of homeland security and emergency services. Nothing in this subdivision shall be construed to limit the authority of the governor, lieutenant governor, or the chair of the disaster preparedness commission to oversee the director of the state office of emergency management within the division of homeland security and emergency services or any official exercising authority given to the disaster preparedness commission in section twenty-nine of this article.
§ 22. State disaster preparedness plans. 1. The commission shall prepare a state disaster preparedness plan and submit such plan to the governor for approval no later than one year following the effective date of this act. The governor shall act upon such plan by July first of that year. The commission shall review such plans annually.
2. The purpose of such plans shall be to minimize the effects of disasters by: (i) identifying appropriate measures to prevent disasters, (ii) developing mechanisms to coordinate the use of resources and manpower for service during and after disaster emergencies and the delivery of services to aid citizens and reduce human suffering resulting from a disaster, and (iii) provide for recovery and redevelopment after disaster emergencies.
3. Such plans shall be prepared with such assistance from other agencies as the commission deems necessary, and shall include, but not be limited to:
a. Disaster prevention and mitigation. Plans to prevent and minimize the effects of disasters shall include, but not be limited to:
(1) identification of hazards and assessment of risk;
(2) recommended disaster prevention and mitigation projects, policies, priorities and programs, with suggested implementation schedules, which outline federal, state and local roles;
(3) suggested revisions and additions to building and safety codes, and zoning and other land use programs;
(4) suggested ways in which state agencies can provide technical assistance to municipalities in the development of local disaster prevention and mitigation plans and programs;
(5) such other measures as reasonably can be taken to protect lives, prevent disasters, and reduce the impact of disasters.
b. Disaster response. Plans to coordinate the use of resources and manpower for service during and after disaster emergencies and to deliver services to aid citizens and reduce human suffering resulting from a disaster emergency shall include, but not be limited to:
(1) coordination of resources, manpower and services, using recognized practices in incident management and utilizing existing organizations and lines of authority and centralized direction of requests for assistance;
(2) the location, procurement, construction, processing, transportation, storing, maintenance, renovation, distribution, disposal or use of materials, including those donated, and facilities and services;
(3) a system for warning populations who are or may be endangered;
(4) arrangements for activating state, municipal and volunteer forces, through normal chains of command so far as possible and for continued communication and reporting;
(5) a specific plan for rapid and efficient communication, and for the integration of state communication facilities during a state disaster emergency, including the assignment of responsibilities and the establishment of communication priorities, and liaison with municipal, private and federal communication facilities;
(6) a plan for coordinated evacuation procedures, including the establishment of temporary housing and other necessary facilities;
(7) criteria for establishing priorities with respect to the restoration of vital services and debris removal;
(8) plans for the continued effective operation of the civil and criminal justice systems;
(9) provisions for training state and local government personnel and volunteers in disaster response operations;
(10) providing information to the public, including coordination with any state recognized information and referral services;
(11) care for the injured and needy and identification and disposition of the dead;
(12) utilization and coordination of programs to assist victims of disasters, with particular attention to the needs of the poor, the elderly, individuals with disabilities and other groups which may be especially affected;
(13) control of ingress and egress to and from a disaster area, including but not limited to, exempting from travel bans those essential private and public personnel, as determined by the commission, who are summoned by their employers to assist in emergency services, such as utility and other workers who need to reach declared emergency areas in order to perform tasks related to the restoration and/or maintenance of energy and communications infrastructure;
(14) a plan for the delivery of medical supplies and medications to pharmacies, hospitals and nursing homes located within the area declared to be experiencing a disaster emergency.
(15) arrangements to administer federal disaster assistance;
(16) a system for obtaining and coordinating situational awareness including the centralized assessment of disaster effects and resultant needs; and
(17) utilization and coordination of programs to assist individuals with household pets and service animals following a disaster, with particular attention to means of evacuation, shelter and transportation options.
c. Recovery. Plans to provide for recovery and redevelopment after disaster emergencies shall include, but not be limited to:
(1) measures to coordinate state agency assistance in recovery efforts;
(2) arrangements to administer federal recovery assistance; and
(3) such other measures as reasonably can be taken to assist in the development and implementation of local disaster recovery plans.
§ 23. Local comprehensive emergency management plans. 1. Each county, except those contained within the city of New York, and each city with a population of one million or more, shall prepare a comprehensive emergency management plan. Each city with a population of less than one million, town and village is authorized to prepare a comprehensive emergency management plan. The disaster preparedness commission shall provide assistance and advice for the development of such plans. Each city with a population of less than one million, town and village plan shall be coordinated with the county plan.
2. The purpose of such plans shall be to minimize the effect of disasters by (i) identifying appropriate local measures to prevent disasters, (ii) developing mechanisms to coordinate the use of local resources and manpower for service during and after disasters and the delivery of services to aid citizens and reduce human suffering resulting from a disaster, and (iii) providing for recovery and redevelopment after disasters.
3. Plans for coordination of resources, manpower and services shall provide for a centralized coordination and direction of requests for assistance.
4. Plans for coordination of assistance shall provide for utilization of existing organizations and lines of authority.
5. In preparing such plans, cooperation, advice and assistance shall be sought from local government officials, regional and local planning agencies, police agencies, fire departments and fire companies, local emergency management agencies, commercial and volunteer ambulance services, health and social services officials, community action agencies, the chief administrator of the courts, organizations for the elderly and the handicapped, agencies and organizations that provide home health care services, agencies and organizations that provide hospice services, other interested groups and the general public. Such advice and assistance may be obtained through public hearings held on public notice, or through other appropriate and practical methods, through which such aforementioned groups may offer their input for consideration on issues that support the effective preparation and execution of the plan. In addition, in the case of home care and hospice, such input may address procedures by which such providers may be granted essential access to care for such patients during an emergency.
6. All plans for comprehensive emergency management developed by local governments or any revisions thereto shall be submitted to the commission by December thirty-first of each year to facilitate state coordination of disaster operations.
7. Such plans shall include, but not be limited to:
a. Disaster prevention and mitigation. Plans to prevent and minimize the effects of disasters shall include, but not be limited to:
(1) identification of hazards and assessment of risk;
(2) recommended disaster prevention and mitigation projects, policies, priorities and programs, with suggested implementation schedules, which outline federal, state and local roles;
(3) suggested revisions and additions to building and safety codes and zoning and other land use programs;
(4) such other measures as reasonably can be taken to protect lives, prevent disasters, and reduce their impact.
b. Disaster response. Plans to coordinate the use of resources and manpower for service during and after disasters and to deliver services to aid citizens and reduce human suffering resulting from a disaster shall include, but not be limited to:
(1) coordination of resources, manpower and services, using recognized practices in incident management, utilizing existing organizations and lines of authority and centralized direction of requests for assistance;
(2) the location, procurement, construction, processing, transportation, storing, maintenance, renovation, distribution, disposal or use of materials, including those donated, and facilities and services which may be required in time of disaster;
(3) a system for warning populations who are or may be endangered;
(4) arrangements for activating municipal and volunteer forces, through normal chains of command so far as possible, and for continued communication and reporting;
(5) a specific plan for rapid and efficient communication and for the integration of local communication facilities during a disaster including the assignment of responsibilities and the establishment of communication priorities and liaison with municipal, private, state and federal communication facilities;
(6) a plan for coordination evacuation procedures including the establishment of temporary housing and other necessary facilities;
(7) criteria for establishing priorities with respect to the restoration of vital services and debris removal;
(8) plans for the continued effective operation of the civil and criminal justice systems;
(9) provisions for training local government personnel and volunteers in disaster response operations;
(10) providing information to the public;
(11) care for the injured and needy and identification and disposition of the dead;
(12) utilization and coordination of programs to assist victims of disasters, with particular attention to the needs of the poor, the elderly, individuals with disabilities and other groups which may be especially affected;
(13) control of ingress and egress to and from a disaster area, including but not limited to, exempting from travel bans those essential private and public personnel, as determined by the commission, who are summoned by their employers to assist in emergency services, such as utility and other workers who need to reach declared emergency areas in order to perform tasks related to the restoration and/or maintenance of energy and communications infrastructure;
(14) arrangements to administer state and federal disaster assistance;
(15) procedures under which the county, city, town, village or other political subdivision and emergency organization personnel and resources will be used in the event of a disaster;
(16) a system for obtaining and coordinating disaster information including the centralized assessment of local disaster effects and resultant needs;
(17) continued operation of governments of political subdivisions; and
(18) utilization and coordination of programs to assist individuals with household pets and service animals following a disaster, with particular attention to means of evacuation, shelter and transportation options.
c. Recovery. Local plans to provide for recovery and redevelopment after disasters shall include, but not be limited to:
(1) recommendations for replacement, reconstruction, removal or relocation of damaged or destroyed public or private facilities, proposed new or amendments to zoning, subdivision, building, sanitary or fire prevention regulations and recommendations for economic development and community development in order to minimize the impact of any potential future disasters on the community.
(2) provision for cooperation with state and federal agencies in recovery efforts.
(3) provisions for training and educating local disaster officials or organizations in the preparation of applications for federal and state disaster recovery assistance.
§ 23-a. County registry of disabled persons; notice. 1. In each county having a local disaster preparedness plan pursuant to section twenty-three of this article, in order to meet the special needs of persons who would need assistance during evacuations and sheltering because of physical or mental handicaps, it is recommended that each chief executive maintain a registry of disabled persons located within the county. The registration shall identify those persons in need of assistance and plan for resource allocation to meet those identified needs. To assist the chief executive in identifying such persons, the county department of health, or such other county department or agency as designated by the chief executive, shall provide voluntary registration information to all of its special needs clients and to all incoming clients as part of the intake process. The registry shall be updated annually. The registration program shall give disabled persons the option of pre-authorizing emergency response personnel to enter their homes during search and rescue operations if necessary to assure their safety and welfare during disasters.
2. Upon the establishment of a voluntary registry of disabled persons as provided in subdivision one of this section, the chief executive shall make such registry available to the appropriate county, state and federal agencies for their use in delivering services in the event of a local or state disaster. The chief executive shall, upon the request of the state emergency management office, provide such registry information to such office. The chief executive may, at his discretion, use the registry information for local disaster preparedness only in coordination with other political subdivisions of the state.
3. Upon the establishment of a voluntary registry of disabled persons as provided in subdivision one of this section, at least semi-annually, each chief executive shall cause to be published in a newspaper of general circulation within the county a notice of the availability of the voluntary registration program.
4. All records, data, information, correspondence and communications relating to the registration of disabled persons as provided in subdivision one of this section are confidential, except that such information shall be available to other county chief executives for local disaster preparedness only as the chief executive of the county maintaining such registry deems necessary. Provided, however, the individual file of a person having registered with the registry of disabled persons shall be made available to that person upon request.
5. All community-based services providers, including home health care providers, shall assist the chief executive by collecting registration information for people with special needs as part of program intake processes, establishing programs to increase the awareness of the registration process, and educating clients about the procedures that may be necessary for their safety during disasters.
6. A county shall not be liable for any claim based upon the good faith exercise or performance or the good faith failure to exercise or perform a function or duty on the part of any officer or employee in carrying out a local disaster preparedness plan.
§ 23-b. Nursing home and assisted living facility plans. 1. After consultation with the commissioner of health, the director of the office for the aging, and the director of the state office of homeland security, the commission shall establish standards for nursing homes, adult homes, enriched housing programs and assisted living residences regarding disaster preparedness.
2. Each such facility shall be assisted in the establishment of a disaster preparedness plan. The plan shall include, but not be limited to, the following:
(a) Maintaining a supply of food, water and to the extent deemed necessary and feasible in the reasonable judgment of the operator of the facility, medication in reserve in the event that obtaining such items should become difficult or impossible.
(b) In the reasonable judgment of the facility, having access to a generator or generators sufficient to supply electrical power to the facility.
(c) Establishing an evacuation plan for residents including an alternative site suitable for temporary use.
(d) Establishing staffing plans during a disaster.
3. Such plans shall be made available to the county emergency management office.
4. Nothing in this section shall be deemed to modify or override any requirements in regulations duly promulgated by a state agency, or to limit any lawful authority of a state agency to promulgate regulations, with respect to disaster preparedness of such facilities, the contents of their disaster preparedness plans or the process for approval of those plans.
§ 23-c. Consistency among local disaster preparedness plans. 1. The local disaster preparedness plans for each county, city, town, or village shall be so developed that no part of the local disaster preparedness plan of any county or any city, town, or village within such county conflicts with any part of the local disaster preparedness plan of any of the other said entities within such county or such county itself. In the event of any such conflict, such conflict shall be resolved by such county. The provisions of this subdivision shall not apply to a city wholly containing more than one county or to any county wholly contained within any such city.
2. In the event that any part of the local disaster preparedness plan of any county or any city, town, or village within such county conflicts with any part of the local disaster preparedness plan of any other county or any city, town, or village within any such other county, such conflict shall be resolved by the state emergency management office, as defined in paragraph (e) of subdivision one of section twenty-nine-e of this article. The provisions of this subdivision shall not apply to any county wholly contained within a city wholly containing more than one county. Any city wholly containing more than one county shall be subject to the provisions of this subdivision as if it were a county.
3. Said state emergency management office is hereby authorized and directed to promulgate any rules or regulations or take any other measures necessary to effectuate the provisions of this section.
§ 24. Local state of emergency; local emergency orders by chief executive. 1. Notwithstanding any inconsistent provision of law, general or special, in the event of a disaster, rioting, catastrophe, or similar public emergency within the territorial limits of any county, city, town or village, or in the event of reasonable apprehension of immediate danger thereof, and upon a finding by the chief executive thereof that the public safety is imperiled thereby, such chief executive may proclaim a local state of emergency within any part or all of the territorial limits of such local government; provided, however, that in the event of a radiological accident as defined in section twenty-nine-c of this article, such chief executive may request of the governor a declaration of disaster emergency. Such proclamation shall remain in effect for a period not to exceed thirty days or until rescinded by the chief executive, whichever occurs first. The chief executive may issue additional proclamations to extend the state of emergency for additional periods not to exceed thirty days. Following such proclamation and during the continuance of such local state of emergency, the chief executive may promulgate local emergency orders to protect life and property or to bring the emergency situation under control. As illustration, such orders may, within any part or all of the territorial limits of such local government, provide for:
a. the establishment of a curfew and the prohibition and control of pedestrian and vehicular traffic, except essential emergency vehicles and personnel;
b. the designation of specific zones within which the occupancy and use of buildings and the ingress and egress of vehicles and persons may be prohibited or regulated;
c. the regulation and closing of places of amusement and assembly;
d. the suspension or limitation of the sale, dispensing, use or transportation of alcoholic beverages, firearms, explosives, and flammable materials and liquids;
e. the prohibition and control of the presence of persons on public streets and places;
f. the establishment or designation of emergency shelters, emergency medical shelters, and in consultation with the state commissioner of health, community based care centers;
g. the suspension within any part or all of its territorial limits of any of its local laws, ordinances or regulations, or parts thereof subject to federal and state constitutional, statutory and regulatory limitations, which may prevent, hinder, or delay necessary action in coping with a disaster or recovery therefrom whenever (1) a request has been made pursuant to subdivision seven of this section, or (2) whenever the governor has declared a state disaster emergency pursuant to section twenty-eight of this article. Suspension of any local law, ordinance or regulation pursuant to this paragraph shall be subject to the following standards and limits:
(i) no suspension shall be made for a period in excess of five days, provided, however, that upon reconsideration of all the relevant facts and circumstances, a suspension may be extended for additional periods not to exceed five days each during the pendency of the state of emergency;
(ii) no suspension shall be made which does not safeguard the health and welfare of the public and which is not reasonably necessary to the disaster effort;
(iii) any such suspension order shall specify the local law, ordinance or regulation, or part thereof suspended and the terms and conditions of the suspension;
(iv) the order may provide for such suspension only under particular circumstances, and may provide for the alteration or modification of the requirements of such local law, ordinance or regulation suspended, and may include other terms and conditions;
(v) any such suspension order shall provide for the minimum deviation from the requirements of the local law, ordinance or regulation suspended consistent with the disaster action deemed necessary; and
(vi) when practicable, specialists shall be assigned to assist with the related emergency actions to avoid adverse effects resulting from such suspension.
2. A local emergency order shall be effective from the time and in the manner prescribed in the order and shall be published as soon as practicable in a newspaper of general circulation in the area affected by such order and transmitted to the radio and television media for publication and broadcast. Such orders may be amended, modified and rescinded by the chief executive during the pendency or existence of the state of emergency. Such orders shall cease to be in effect five days after promulgation or upon declaration by the chief executive that the state of emergency no longer exists, whichever occurs sooner. The chief executive nevertheless, may extend such orders for additional periods not to exceed five days each during the pendency of the local state of emergency.
3. The proclamation of a local state of emergency and local emergency orders of a chief executive of a county shall be executed in quadruplicate and shall be filed within seventy-two hours or as soon thereafter as practicable in the office of the clerk of the governing board of the county, the office of the county clerk, the office of the secretary of state and the state office of emergency management within the division of homeland security and emergency services. The proclamation of a local state of emergency and local emergency orders of a chief executive of a city, town or village shall be executed in quadruplicate and shall be filed within seventy-two hours or as soon thereafter as practicable in the office of the clerk of such municipal corporation, the office of the county clerk, the office of the secretary of state and the state office of emergency management within the division of homeland security and emergency services.
4. Nothing in this section shall be deemed to limit the power of any local government to confer upon its chief executive any additional duties or responsibilities deemed appropriate.
5. Any person who knowingly violates any local emergency order of a chief executive promulgated pursuant to this section is guilty of a class B misdemeanor.
6. Whenever a local state of emergency is declared by the chief executive of a local government pursuant to this section, the chief executive of the county in which such local state of emergency is declared, or where a county is wholly contained within a city, the mayor of such city, may request the governor to remove all or any number of sentenced incarcerated individuals from institutions maintained by such county in accordance with section ninety-three of the correction law.
7. Whenever a local state of emergency has been declared pursuant to this section, the chief executive of the county in which the local state of emergency has been declared, or where a county is wholly contained within a city, the chief executive of the city, may request the governor to provide assistance under this chapter, provided that such chief executive determines that the disaster is beyond the capacity of local government to meet adequately and state assistance is necessary to supplement local efforts to save lives and to protect property, public health and safety, or to avert or lessen the threat of a disaster.
8. The legislature may terminate by concurrent resolution, such emergency orders at any time.
* 9. a. Whenever a local state of emergency is declared pursuant to this section and upon receipt of notification by an electric corporation or the service provider, pursuant to section seventy-three-a of the public service law or section one thousand twenty-mm of the public authorities law, the chief executive shall coordinate with affected police departments, fire departments, ambulance services and advanced life support first response services prewired with an appropriate transfer switch for using an alternate generated power source for the emergency deployment of alternate generated power sources.
b. For the purposes of this section, "alternate generated power source" shall mean electric generating equipment that is of the capacity that is capable of providing adequate electricity to operate all life safety systems and the basic operations of a police department, fire department, ambulance service or advanced life support first response service.
* NB Effective December 22, 2023
§ 25. Use of local government resources in a disaster. 1. Upon the threat or occurrence of a disaster, the chief executive of any political subdivision is hereby authorized and empowered to and shall use any and all facilities, equipment, supplies, personnel and other resources of his political subdivision in such manner as may be necessary or appropriate to cope with the disaster or any emergency resulting therefrom.
2. Upon the threat or occurrence of a disaster, a chief executive may request and accept assistance which is coordinated and directed by the county chief executive as provided in section twenty-six of this article.
3. A chief executive may also request and accept assistance from any other political subdivision and may receive therefrom and utilize any real or personal property or the service of any personnel thereof on such terms and conditions as may be mutually agreed to by the chief executives of the requesting and assisting political subdivisions.
4. Upon the receipt of a request for assistance made pursuant to subdivision two or three of this section, the chief executive of any political subdivision may give, lend or lease, on such terms and conditions as he may deem necessary to promote the public welfare and protect the interests of such political subdivision, any services, equipment, facilities, supplies or other resources of his political subdivision. Any lease or loan of real or personal property pursuant to this subdivision, or any transfer of personnel pursuant hereto, shall be only for the purpose of assisting a political subdivision in emergency relief, reconstruction, or rehabilitation made necessary by the disaster.
5. A political subdivision shall not be liable for any claim based upon the exercise or performance or the failure to exercise or perform a discretionary function or duty on the part of any officer or employee in carrying out the provisions of this section.
6. The chief executive, when requesting assistance pursuant to this section may request assistance from the civil defense and disaster preparedness forces of any other political subdivision, but only if the civil defense and disaster preparedness forces of the type being requested have already been activated within the political subdivisions requesting assistance. The chief executive of any political subdivision receiving such a request is hereby authorized and empowered, subject to the provisions of section twenty-six of this article, to respond thereto.
7. Any power or authority conferred upon any political subdivision by this section shall be in addition to and not in substitution for or limitation of any powers or authority otherwise vested in such subdivision or any officer thereof.
§ 26. Coordination of local disaster preparedness forces and local civil defense forces in disasters. 1. Upon the threat or occurrence of a disaster, the chief executive of a county may coordinate responses for requests for assistance made by the chief executive of any political subdivision within the county.
2. Coordination of assistance shall utilize existing organizations and lines of authority and shall utilize any comprehensive emergency management plans prepared by the affected municipality.
3. A chief executive or any elected or appointed county, city, town or village official shall not be held responsible for acts or omissions of municipal employees, disaster preparedness forces or civil defense forces when performing disaster assistance pursuant to a declared disaster emergency or when exercising comprehensive emergency management plans.
§ 27. Continuity of local governments. 1. Every county, except those wholly contained within a city, every city, every town and every village shall have power to provide by local law, and every other public corporation, district corporation or public benefit corporation shall have power to provide by resolution, for its continuity and that of its elective and appointive officers, including members of its legislative or governing body when, in the event of a disaster and the emergency conditions caused thereby, any of such officers is unable to discharge the powers and duties of his office or is absent from the political subdivision. In any such local law or resolution, provision may be made that the removal of a disability or the termination of an absence from the political subdivision of an officer higher on a list or order of succession provided therein to an office shall not terminate the service in such office of an individual lower on such list or order of succession who is temporarily filling such office. Notwithstanding the provisions of any general or special law or city or village charter, a local law or resolution adopted pursuant to this section may be made effective without approval at a mandatory or permissive referendum but in no case shall such local law or resolution become effective until one certified copy thereof has been filed with the clerk of the political subdivision or other appropriate official designated for such purpose by the respective legislative or governing body, one certified copy thereof has been filed in the office of the state comptroller and three certified copies thereof have been filed in the office of the secretary of state.
No provision of this subdivision shall be construed or interpreted as affecting the validity of any ordinance, local law or resolution enacted prior to April first, nineteen hundred seventy-nine or actions taken thereunder by the government of any county, city, town or village.
2. The provisions of this section shall not be applicable in any case where the continuity of the government of a political subdivision or that of any of its elective or appointive officers is otherwise provided for by or pursuant to law.
3. This section shall be construed liberally. The powers herein granted shall be in addition to and not in substitution of any power granted, procedure provided or provision made in any other law.
§ 28. State declaration of disaster emergency. 1. Whenever the governor, on his own initiative or pursuant to a request from one or more chief executives, finds that a disaster has occurred or may be imminent for which local governments are unable to respond adequately, he shall declare a disaster emergency by executive order.
2. Upon declaration of a disaster arising from a radiological accident, the governor or his designee, shall direct one or more chief executives and emergency services organizations to:
(a) notify the public that an emergency exists; and
(b) take appropriate protective actions pursuant to the radiological emergency preparedness plan approved pursuant to sections twenty-two and twenty-three of this article. The governor, or his designee, shall also have authority to direct that other actions be taken by such chief executives pursuant to their authority under section twenty-four of this article.
3. The executive order shall include a description of the disaster, and the affected area. Such order or orders shall remain in effect for a period not to exceed six months or until rescinded by the governor, whichever occurs first. The governor may issue additional orders to extend the state disaster emergency for additional periods not to exceed six months.
4. Whenever the governor shall find that a disaster is of such severity and magnitude that effective response is beyond the capabilities of the state and the affected jurisdictions, he shall make an appropriate request for federal assistance available under federal law, and may make available out of any funds provided under the governmental emergency fund or such other funds as may be available, sufficient funds to provide the required state share of grants made under any federal program for meeting disaster related expenses including those available to individuals and families.
5. The legislature may terminate at any time a state disaster emergency issued under this section by concurrent resolution.
§ 28-a. Post disaster recovery planning. 1. Whenever a state disaster emergency has been declared any county, city, town or village included in such disaster area shall prepare a local recovery and redevelopment plan, unless the legislative body of the municipality shall determine such plan to be unnecessary or impractical. Prior to making such determination, the municipality shall notify the commission of its intent to forego preparation and provide an opportunity to comment to the commission. Within fifteen days after the declaration of a state disaster, any county, city, town or village included in such disaster area shall report to the commission whether the preparation of a recovery and redevelopment plan has been commenced, and if not, the reasons for not preparing such plan. Within sixty days after the declaration of a state disaster, the commission shall report to the governor and the legislature the status of local recovery and redevelopment plans, including the name of any municipality which has failed or refused to commence the development of a recovery and redevelopment plan.
2. The commission shall provide technical assistance in the development of such plans upon the request of such county, city, town or village.
3. A local recovery and redevelopment plan shall include, but need not be limited to: plans for replacement, reconstruction, removal or relocation of damaged or destroyed facilities; proposed new or amended regulations such as zoning, subdivision, building or sanitary ordinances and codes; and plans for economic recovery and community development. Such plans shall take into account and to the extent practicable incorporate relevant existing plans and policies and such plans shall take into account the need to minimize the potential impact of any future disasters on the community.
4. Proposed plans shall be presented at a public hearing upon five days notice published in a newspaper of general circulation in the area affected and transmitted to the radio and television media for publication and broadcast. Such notice shall state the time and place of the hearing and indicate where copies of the proposed plan may be inspected or obtained. Any county, city, town, or village preparing a recovery and redevelopment plan pursuant to this subdivision may, upon mutual agreement with any other such county, city, town or village, hold a joint hearing to consider such recovery and redevelopment plan.
5. Such plans shall be prepared within forty-five days after the declaration of a state disaster and shall be transmitted to the commission. The commission shall provide its comments on the plan within ten days after receiving such plan.
6. A plan shall be adopted by such county, city, town or village within ten days after receiving the comments of the commission. The adopted plan may be amended at any time in the same manner as originally prepared, revised and adopted.
7. The adopted plan shall be the official policy for recovery and redevelopment within the municipality.
8. Nothing in this section shall preclude any municipality from applying for or accepting and receiving any federal funds.
§ 29. Direction of state agency assistance in a disaster emergency. Upon the declaration of a state disaster emergency the governor may direct any and all agencies of the state government to provide assistance under the coordination of the disaster preparedness commission. Such state assistance may include: (1) utilizing, lending, or giving to political subdivisions, with or without compensation therefor, equipment, supplies, facilities, services of state personnel, and other resources, other than the extension of credit; (2) distributing medicine, medical supplies, food and other consumable supplies through any public or private agency authorized to distribute the same; (3) performing on public or private lands temporary emergency work essential for the protection of public health and safety, clearing debris and wreckage, making emergency repairs to and temporary replacements of public facilities of political subdivisions damaged or destroyed as a result of such disaster; and (4) making such other use of their facilities, equipment, supplies and personnel as may be necessary to assist in coping with the disaster or any emergency resulting therefrom.
§ 29-a. Suspension of other laws. 1. Subject to the state constitution, the federal constitution and federal statutes and regulations, the governor may by executive order temporarily suspend specific provisions of any statute, local law, ordinance, or orders, rules or regulations, or parts thereof, of any agency during a state disaster emergency, if compliance with such provisions would prevent, hinder, or delay action necessary to cope with the disaster.
2. Suspensions pursuant to subdivision one of this section shall be subject to the following standards and limits:
a. no suspension shall be made for a period in excess of thirty days, provided, however, that upon reconsideration of all of the relevant facts and circumstances, the governor may extend the suspension for additional periods not to exceed thirty days each;
b. no suspension shall be made which does not safeguard the health and welfare of the public and which is not reasonably necessary to the disaster effort;
c. any such suspension order shall specify the statute, local law, ordinance, order, rule or regulation or part thereof to be suspended and the terms and conditions of the suspension;
d. the order may provide for such suspension only under particular circumstances, and may provide for the alteration or modification of the requirements of such statute, local law, ordinance, order, rule or regulation suspended, and may include other terms and conditions;
e. any such suspension order shall provide for the minimum deviation from the requirements of the statute, local law, ordinance, order, rule or regulation suspended consistent with the disaster action deemed necessary; and
f. when practicable, specialists shall be assigned to assist with the related emergency actions to avoid needless adverse effects resulting from such suspension.
3. Such suspensions shall be effective from the time and in the manner prescribed in such orders and shall be published as soon as practicable in the state bulletin.
4. The legislature may terminate by concurrent resolution executive orders issued under this section at any time.
§ 29-b. Use of disaster emergency response personnel in disasters. 1. The governor may, in his or her discretion, direct the state disaster preparedness commission to conduct an emergency exercise or drill, under its direction, in which all or any of the personnel and resources of the agencies of the commission of the state may be utilized to perform the duties assigned to them in a disaster, for the purpose of protecting and preserving human life or property in a disaster. During a disaster or such drill or exercise, disaster emergency response personnel in the state shall operate under the direction and command of the chair of such commission, and shall possess the same powers, duties, rights, privileges and immunities as are applicable in a civil defense drill held at the direction of the state civil defense commission under the provisions of the New York state defense emergency act.
2. Local use of disaster emergency response personnel. a. Upon the threat or occurrence of a disaster, and during and immediately following the same, and except as otherwise provided in paragraph d of this subdivision, the county chief executive may direct the emergency management director of a county to assist in the protection and preservation of human life or property by calling upon disaster emergency response personnel employed by or supporting that county, as specified in the county comprehensive emergency management plan, to perform the emergency response duties assigned to them.
b. The disaster emergency response personnel of the county shall be regarded as a reserve disaster force to be activated, in whole or in part, by the county emergency management director upon the direction of the county chief executive when the county chief executive, in his or her discretion, is convinced that the personnel and resources of local municipal and private agencies normally available for disaster assistance are insufficient adequately to cope with the disaster.
c. Except as provided in paragraph d of this subdivision, the county chief executive may exercise the power conferred upon him in paragraph a of this subdivision, or may deactivate the disaster emergency response personnel of the county in whole or in part, on his own motion or upon the request of the chief executive officer of a village, town or city located within the county of which he is an officer.
d. Where the local office of public safety or emergency management in a city is independent of the county office of public safety or emergency management and is not consolidated therewith, the county chief executive may direct the emergency management director of the county to render assistance within such city only when the chief executive officer of such city has certified to him that the disaster emergency response personnel of the city have been activated pursuant to the provisions of subdivision three of this section and that all resources available locally are insufficient adequately to cope with the disaster.
e. When performing disaster assistance pursuant to this section, county disaster emergency response personnel shall operate under the direction and command of the county emergency management director and his or her duly authorized deputies, and shall possess the same powers, duties, rights, privileges and immunities they would possess when performing their duties in a locally sponsored civil defense drill or training exercise in the civil or political subdivision in which they are enrolled, employed or assigned emergency response responsibilities.
f. The chief executive officer of a city shall be responsible for the conduct of disaster operations within the city, including the operations directed by the county emergency management director when rendering disaster assistance within a city pursuant to this section.
g. Outside of a city, the sheriff of the county, and in Nassau county the commissioner of police of the county of Nassau, shall supervise the operations of the emergency management director when rendering peace officer duties incident to disaster assistance. The sheriff and such commissioner may delegate such supervisory power to an elected or appointed town or village official in the area affected.
h. Neither the chief executive officer of a city, nor the county chief executive, nor any elected or appointed town or village official to whom the county chief executive has delegated supervisory power as aforesaid shall be held responsible for acts or omissions of disaster emergency response personnel when performing disaster assistance.
3. City use of disaster emergency response personnel. a. Upon the threat or occurrence of a disaster, and during and immediately following the same, and except as otherwise provided in paragraph d of this subdivision, the chief executive of a city may direct the emergency management director of the city to assist in the protection and preservation of human life or property by calling upon city disaster emergency response personnel to perform the emergency response duties assigned to them.
b. The disaster emergency response personnel of the city shall be regarded as a reserve disaster force to be activated, in whole or in part, by the city emergency management director upon the direction of the chief executive officer of the city when the latter, in his or her discretion, is convinced that the personnel and resources of local municipal and private agencies normally available for disaster assistance are insufficient adequately to cope with the disaster.
c. Except as provided in paragraph d of this subdivision, the chief executive officer of a city may exercise the power conferred upon him in paragraph a of this subdivision, or may deactivate the disaster emergency response personnel of the city in whole or in part, on his own motion or upon the request of the head of the city police force.
d. Where the local office of emergency management in a city is under the jurisdiction of a consolidated county office of civil defense as provided in the New York state defense emergency act, the chief executive officer of such city seeking the assistance of disaster emergency response personnel in the protection and preservation of human life or property within such city because of such disaster, must request the same from the county chief executive in which such city is located, in the same manner as provided for assistance to towns and villages in subdivision two of this section.
e. When performing disaster assistance pursuant to this subdivision, disaster emergency response personnel shall operate under the direction and command of the city emergency management director and his or her duly authorized deputies, and shall possess the same powers, duties, rights, privileges, and immunities they would possess when performing their duties in a locally sponsored civil defense drill or training exercise in the city in which they are enrolled, employed or assigned emergency response responsibilities.
f. Where the city disaster emergency response personnel have been directed to assist in local disaster operations pursuant to paragraph a of this subdivision, and the chief executive officer of the city is convinced that the personnel and resources of local municipal and private agencies normally available for disaster assistance, including local disaster emergency response personnel, are insufficient adequately to cope with the disaster, he or she may certify the fact to the county chief executive and request the county chief executive to direct the county emergency management director to render assistance in the city, as provided in subdivision two of this section.
g. The chief executive officer of a city shall be responsible for the conduct of disaster operations within the city, including the operations directed by the county emergency management director, when rendering disaster assistance within a city pursuant to this subdivision.
h. Neither the chief executive officer of a city, nor the county chief executive, shall be held responsible for acts or omissions of disaster emergency response personnel when performing disaster assistance.
§ 29-c. Radiological preparedness. 1. The commission:
(a) may monitor directly and record the off-site presence of radioactive material in the vicinity of nuclear electric generating facilities located in the state of New York;
(b) shall obtain from the licensees, United States nuclear regulatory commission-required high range radiation, temperature and pressure levels in the containment buildings and in the containment building vents of nuclear electric generating facilities located in the state of New York; and,
(c) shall obtain, subject to the approval of the United States nuclear regulatory commission, any reactor data provided by the licensee to the United States nuclear regulatory commission, which the disaster preparedness commission determines, as a result of the report issued pursuant to section twenty-nine-d of this article, to be a reliable indicator of a possible radiological accident.
Upon the occurrence of a radiological accident, the commission shall promptly provide appropriate and available radioactivity monitoring data to any chief executive who requests it. For the purposes of this section, the term "radiological accident" shall be limited to a radiological accident occurring at a nuclear electric generating facility.
2. (a) Any licensee of the United States nuclear regulatory commission for a nuclear electric generating facility shall be liable for an annual fee to support state and local governmental responsibilities under accepted radiological emergency preparedness plans related to the facility operated by such licensee.
(b) The amount of such fee shall be one million dollars. Such fee, which shall be payable to the commission on or before December first, shall be expended or distributed only by appropriation.
3. Such fees shall be expended by the commission for purposes of supporting state and local government responsibilities under accepted radiological emergency preparedness plans, including:
(a) purchase, installation, maintenance and operation of equipment used by the commission and local governments to monitor and record the potential and actual presence of radioactive materials within the appropriate planning radius from a nuclear electric generating facility;
(b) purchase, storage and distribution by the commission of equipment, drugs or other material for the purpose of protecting public health and safety;
(c) personal service, administrative costs and contractual services;
(d) emergency services personnel training and the plans, development, implementation, testing and revisions; and,
(e) the state or local share when applying for matching funds.
3-a. (a) Notwithstanding the provisions of subdivision three of this section, the New York state emergency management office (SEMO) and the coalition of nuclear counties, which constitutes the counties of Monroe, Wayne, Oswego, Orange, Putnam, Rockland and Westchester, shall each receive an equal one-half portion of the total amount of proceeds resulting from the total assessments and contributions made pursuant to this section.
(b) The one-half portion of the proceeds resulting from the total assessments and contributions made pursuant to this section received by the coalition of nuclear counties shall be distributed pursuant to the following formula:
Monroe county 12.3%
Orange county 10%
Oswego county 12.5%
Putnam county 9.8%
Rockland county 18%
Wayne county 12.4%
Westchester county 25%
§ 29-d. Reports. In order to assess the present preparedness in the state for any radiological accident and to determine the need for, and appropriateness of, any additional specific steps by state government, the commission shall report to the governor and the legislature by January first, nineteen hundred eighty-two, its findings, recommendations and proposed legislation where appropriate concerning:
1. The need for and appropriateness of additional specific state activities or programs beyond those required by the accepted radiological emergency preparedness plans or provided for under existing law, including but not limited to:
(a) radiological monitoring equipment;
(b) warning systems and equipment;
(c) medical technologies and equipment;
(d) plume transport and dose assessment models; and
(e) nuclear fuel cycle and materials licensees other than electric generating facilities.
2. Any such recommendations shall be developed in consultation with all concerned public and private parties and shall:
(a) take into account proven safety effectiveness;
(b) outline any proposed costs and the means for meeting such costs;
(c) consider related activities of the United States nuclear regulatory commission or others; and
(d) when appropriate, discuss alternatives and various implementation stages.
§ 29-e. New York state emergency assistance program. 1. For purposes of this section the following terms shall have the following meanings:
(a) "Infrastructure" shall mean and include publicly owned storm and sanitary sewers, water supply systems, drainage systems, transportation systems, roads and bridges.
(b) "Municipality" shall mean any county, city, village, or town of the state.
(c) "Public facilities" shall mean and include publicly owned buildings, including traditional government buildings, such as courthouses, firehouses, police stations, parks, recreational facilities, and correctional facilities.
(d) "Fund" shall mean the state's contingency reserve fund established by law.
(e) "The office of emergency management" shall mean the office within the division of homeland security and emergency services.
2. The governor may, upon a finding that a municipality in the state has suffered substantial damage by an unanticipated natural disaster which has resulted in significant economic distress within such municipality, issue a declaration of significant economic distress in accordance with the provisions herein. In determining whether such significant economic distress exists, the governor shall consider whether the following criteria have been met:
(a) the municipality suffered a substantial loss of assessed value;
(b) substantial damage has occurred to municipal buildings, facilities and infrastructure;
(c) the cost incurred by the municipality for clean-up operations is significant;
(d) businesses within the municipality have experienced significant economic loss due to the inability to conduct normal business due to the disaster;
(e) a significant increase in unemployment claims filed by persons employed within the municipality has occurred; and
(f) the county or the county within which the municipality is located has been declared eligible by the United States small business administration for physical disaster and economic injury disaster loans. In addition, the governor shall also consider the extent that other financial resources, including federal assistance and insurance, are available to assist the municipality to repair damage caused by the disaster.
3. (a) Upon the issuance of a declaration of significant economic distress due to unanticipated natural disaster by the governor, a municipality recognized by the governor as being affected by such disaster which occurred on or after December first, nineteen hundred ninety-two, may apply to the division of homeland security and emergency services on a form prescribed by such office, for reimbursement from the state's contingency reserve fund for reimbursement of extraordinary and unanticipated costs associated with the reconstruction or repair of public buildings, facilities or infrastructure.
(b) Where the municipality applying for assistance authorized pursuant to this section is a city, and such application pertains to a county wholly contained within such city, such city may submit separate applications for such assistance for each such county.
(c) Such municipality shall be granted the assistance provided pursuant to this section, within the amounts made available by appropriation from the fund, upon approval of such application, provided that such municipality agrees to have a local disaster preparedness plan pursuant to section twenty-three of this article in effect by December thirty-first, nineteen hundred ninety-three. On or after December thirty-first, nineteen hundred ninety-three, no municipality shall be eligible for reimbursement of such expenses unless such plan is in effect.
(d) Municipalities which have received assistance pursuant to this section shall, as soon thereafter as may be possible, amend their respective local disaster preparedness plans to include corrective measures that must be taken in order to avoid, to the extent possible, similar emergencies in the future.
(e) Municipalities applying for assistance pursuant to this section shall accurately describe the emergency conditions which necessitate the expenditure of funds for which reimbursement is being sought pursuant to this section.
(f) In providing assistance pursuant to this section, the division of homeland security and emergency services may give preference to applicants which demonstrate the greatest need or which document that such assistance will be utilized to bring the applicant into compliance with federal or state law.
(g) In the event that amounts appropriated are insufficient to provide for full reimbursement of all extraordinary and unanticipated costs incurred by such municipality approved for reimbursement pursuant to this section, the division of homeland security and emergency services is authorized to provide a pro rata share of the appropriations, appropriated herein, to such municipality.
4. (a) The commissioner of the division of homeland security and emergency services as defined in article twenty-six of this chapter with the advice and consent of the disaster preparedness commission created pursuant to this article, shall have the power to make such rules and regulations as may be necessary and proper to effectuate the purposes of this section.
(b) The commissioner of the division of homeland security and emergency services shall by March fifteenth of each year report to the governor and the legislature describing the activities and operation of the program authorized by this section. Such report shall set forth the number of reimbursement applications received and approved; the identities of the counties, cities, towns and villages receiving reimbursement together with the amount and purpose of the reimbursement.
§ 29-g. Emergency management assistance compact. 1. The emergency management assistance compact is made and entered into by and between the participating member states which enact this compact, hereinafter called party states. For the purposes of this agreement, the term "states" is taken to mean the several states, the commonwealth of Puerto Rico, the District of Columbia, and all United States territorial possessions.
The purpose of this compact is to provide for mutual assistance between the states entering into this compact in managing any emergency or disaster that is duly declared by the governor of the affected state or states, whether arising from natural disaster, technological hazard, man-made disaster, civil emergency aspects of resource shortages, community disorders, insurgency or enemy attack.
This compact shall also provide for mutual cooperation in emergency-related exercises, testing or other training activities using equipment and personnel simulating performance of any aspect of the giving and receiving of aid by party states or subdivisions of party states during emergencies, such actions occurring outside actual declared emergency periods. Mutual assistance in this compact may include the use of the states' national guard forces, either in accordance with the national guard mutual assistance compact or by mutual agreement between states.
2. Each party state entering into this compact recognizes that many emergencies transcend political jurisdictional boundaries and that intergovernmental coordination is essential in managing these and other emergencies under this compact. Each state further recognizes that there will be emergencies which require immediate access and present procedures to apply outside resources to make a prompt and effective response to such an emergency. This is because few, if any, individual states have all the resources they may need in all types of emergencies or the capability of delivering resources to areas where emergencies exist.
The prompt, full and effective utilization of resources of the participating states, including any resources on hand or available from the federal government or any other source, that are essential to the safety, care and welfare of the people in the event of any emergency or disaster declared by a party state, shall be the underlying principle on which all provisions of this compact shall be understood.
On behalf of the governor of each state participating in the compact, the legally designated state official who is assigned responsibility for emergency management will be responsible for formulation of the appropriate interstate mutual aid plans and procedures necessary to implement this compact.
3. (a) It shall be the responsibility of each party state to formulate procedural plans and programs for interstate cooperation in the performance of the responsibilities listed in this section. In formulating such plans, and in carrying them out, the party states, insofar as practical, shall:
(1) Review individual state hazard analysis and, to the extent reasonably possible, determine all those potential emergencies the party states might jointly suffer, whether due to natural disaster, technological hazard, man-made disaster, emergency aspects or resource shortages, civil disorders, insurgency or enemy attack.
(2) Review party states' individual emergency plans and develop a plan which will determine the mechanism for the interstate management and provision of assistance concerning any potential emergency.
(3) Develop interstate procedures to fill any identified gaps and to resolve any identified inconsistencies or overlaps in existing or developed plans.
(4) Assist in warning communities adjacent to or crossing the state boundaries.
(5) Protect and assure uninterrupted delivery of services, medicines, water, food, energy and fuel, search and rescue and critical lifeline equipment, services and resources, both human and material.
(6) Inventory and set procedures for the interstate loan and delivery of human material resources, together with procedures for reimbursement or forgiveness.
(7) Provide, to the extent authorized by law, for temporary suspension of any statutes or ordinances that restrict the implementation of the above responsibilities.
(b) The authorized representative of a party state may request assistance of another party state by contacting the authorized representative of that state. The provisions of this agreement shall only apply to requests for assistance made by and to authorized representatives. Requests may be verbal or in writing. If verbal, the request shall be confirmed in writing within thirty days of the verbal request. Requests shall provide the following information:
(1) A description of the emergency service function for which assistance is needed, such as, but not limited to, fire services, law enforcement, emergency medical, transportation, communications, public works and engineering, building inspection, planning and information assistance, mass care, resource support, health and medical services, and search and rescue.
(2) The amount and type of personnel, equipment, materials and supplies needed, and a reasonable estimate of the length of time that they will be needed.
(3) The specific place and time for staging of the assisting party's response and a point of contact at that location.
(c) There shall be frequent consultation between state officials who have assigned emergency management responsibilities and other appropriate representatives of the party states with affected jurisdictions and the United States government, with free exchange of information, plans and resource records relating to emergency capabilities.
4. Any party state requested to render mutual aid or conduct exercises and training for mutual aid shall take such action as is necessary to provide and make available the resources covered by this compact in accordance with the terms hereof provided, that it is understood that the state rendering aid may withhold resources to the extent necessary to provide reasonable protection for such state.
Each party state shall afford to the emergency forces of any party state, while operating within its state limits under the terms and conditions of this compact, the same powers (except that of arrest unless specifically authorized by the receiving state), duties, rights and privileges as are afforded forces of the state in which they are performing emergency services. Emergency forces will continue under the command and control of their regular leaders, but the organizational units will come under the operational control of the emergency services authorities of the state receiving assistance. These conditions may be activated, as needed, only subsequent to a declaration of a state of emergency or disaster by the governor of the party state that is to receive assistance or commencement of exercises or training for mutual aid and shall continue so long as the exercises or training for mutual aid are in progress, the state, or states, of emergency or disaster remains in effect or loaned resources remain in the receiving states, whichever is longer.
5. Whenever any person holds a license, certificate or other permit issued by any state party to the compact evidencing the meeting of qualifications for professional, mechanical or other skills, and when such assistance is requested by the receiving party state, such person shall be deemed licensed, certified, or permitted by the state requesting assistance to render aid involving such skill to meet a declared emergency or disaster, subject to such limitations and conditions as the governor of the requesting state may prescribe by executive order or otherwise.
6. Officers or employees of a party state rendering aid in another state pursuant to this compact shall be considered agents of the requesting state for tort liability and immunity purposes and no party state or its officers or employees rendering aid in another state pursuant to this compact shall be liable on account or any act or omission in good faith on the part of such forces while so engaged or on account of the maintenance or use of any equipment or supplies in connection therewith. Good faith shall not include willful misconduct, gross negligence or recklessness.
7. Inasmuch as it is probable that the pattern and detail of the machinery for mutual aid among two or more states may differ from that among the states that are parties hereto, this instrument contains elements of a broad base common to all states, and nothing contained herein shall preclude any state from entering into supplementary agreements with another state or affect any other agreements already in force between states. Supplementary agreements may comprehend, but shall not be limited to, provisions for evacuation and reception of injured and other persons and the exchange of medical, fire, police, public utility, reconnaissance, welfare, transportation and communications personnel, and equipment and supplies.
8. Each party state shall provide for the payment of compensation and death benefits to injured members of the emergency forces of that state and representatives of deceased members of such forces in case such members sustain injuries or are killed while rendering aid pursuant to this compact, in the same manner and on the same terms as if the injury or death were sustained within their own state.
9. Any party state rendering aid in another state pursuant to this compact shall be reimbursed by the party state receiving such aid for any loss or damage to or expense incurred in the operation of any equipment and the provision of any service in answering a request for aid and for the costs incurred in connection with such requests provided, that any aiding party state may assume, in whole or in part, such loss, damage, expense or other cost, or may loan such equipment or donate such services to the receiving party state without charge or cost provided, however, that any two or more party states may enter into supplementary agreements establishing a different allocation of costs among those states. Expenses under subdivision eight of this section shall not be reimbursable under this provision.
10. Plans for the orderly evacuation and interstate reception of portions of the civilian population as the result of any emergency or disaster of sufficient proportions to so warrant, shall be worked out and maintained between the party states and the emergency management/services directors of the various jurisdictions where any type of incident requiring evacuations might occur. Such plans shall be put into effect by request of the state from which evacuees come and shall include the manner of transporting such evacuees, the number of evacuees to be received in different areas, the manner in which food, clothing, housing and medical care will be provided, the registration of the evacuees, the providing of facilities for the notification of relatives or friends, and the forwarding of such evacuees to other areas or the bringing in of additional materials, supplies and all other relevant factors. Such plans shall provide that the party state receiving evacuees and the party state from which the evacuees come shall mutually agree as to reimbursement of out-of-pocket expenses incurred in receiving and caring for such evacuees, for expenditures for transportation, food, clothing, medicines and medical care, and like items. Such expenditures shall be reimbursed as agreed by the party state from which the evacuees come. After the termination of the emergency or disaster, the party state from which the evacuees come shall assume the responsibility for the ultimate support of repatriation of such evacuees.
11. (a) This compact shall become operative immediately upon its enactment into law by any two states; thereafter, this compact shall become effective as to any other state upon its enactment by such state.
(b) Any party state may withdraw from this compact by enacting a statute repealing the same, but no such withdrawal shall take effect until thirty days after the governor of the withdrawing state has given notice in writing of such withdrawal to the governors of all other party states. Such action shall not relieve the withdrawing state from obligations assumed hereunder prior to the effective date of withdrawal.
(c) Duly authenticated copies of this compact and of such supplementary agreements as may be entered into shall, at the time of their approval be deposited with each of the party states and with the federal emergency management agency and other appropriate agencies of the United States government.
12. This compact shall be construed to effectuate the purposes stated in subdivision one of this section. If any provision of this compact is declared unconstitutional, or the applicability thereof to any person or circumstances is held invalid, the constitutionality of the remainder of this compact and the applicability thereof to other persons and circumstances shall not be affected thereby.
13. Nothing in this compact shall authorize or permit the use of military forces by the National Guard of a state at any place outside the state in any emergency for which the president is authorized by law to call into federal service the militia, or for any purposes for which the use of the army or the air force would in the absence of express statutory authorization be prohibited under section 1385 of title 18, United States code.
14. The legally designated state official who is assigned responsibility for emergency management shall not offer resources to, or request resources from, another compact member state, without prior discussion with and concurrence from the state agency, department, office, division, board, bureau, commission or authority that may be asked to provide resources or that may utilize resources from another compact member state.
15. The director of the state emergency management office shall, on or before the first day of January, two thousand two, provide to the legislature and the governor copies of all mutual aid plans and procedures promulgated, developed or entered into after the effective date of this section. The director of the state emergency management office shall annually hereafter provide the legislature and governor with copies of all new or amended mutual aid plans and procedures on or before the first day of January of each year.
§ 29-h. Intrastate mutual aid program. 1. Creation. There is hereby created the intrastate mutual aid program to complement existing mutual aid agreements in the event of a disaster that results in a formal declaration of an emergency by a participating local government. All local governments within the state, excepting those which affirmatively choose not to participate in accordance with subdivision four of this section, are deemed to be participants in the program; provided, however, with respect to school districts and boards of cooperative educational services, such participation shall be limited to the sharing of facilities management and administrative personnel and equipment.
2. Definitions. As used in this section, the following terms shall have the following meanings:
a. "Employee" means any person holding a position by election, appointment, or employment by a local government;
b. "Local government" means any county, city, town, village, school district or board of cooperative educational services of the state;
c. "Local emergency management director" means the local government official responsible for emergency preparedness, response and recovery;
d. "Requesting local government" means the local government that asks another local government for assistance during a declared emergency, or for the purposes of conducting training, or undertaking a drill or exercise;
e. "Assisting local government" means one or more local governments that provide assistance pursuant to a request for assistance from a requesting local government during a declared emergency, or for the purposes of conducting training, or undertaking a drill or exercise;
f. "Disaster" shall have the same meaning as in section twenty of this article;
g. "School district" shall have the same meaning as in title two of the education law, including any public school district and any special act school district as defined in section four thousand one of the education law; and
h. "Board of cooperative educational services" shall have the same meaning as in section nineteen hundred fifty of the education law.
3. Intrastate mutual aid program committee established; meetings; powers and duties. a. There is hereby created within the disaster preparedness commission an intrastate mutual aid program committee, for purposes of this section to be referred to as the committee, which shall be chaired by the commissioner of the division of homeland security and emergency services, and shall include the state fire administrator, the commissioner of health, the commissioner of education and the commissioner of agriculture and markets, provided that each such official may appoint a designee to serve in his or her place on the committee. The committee shall also include five representatives from local public safety or emergency response agencies and one representative from a school district or board of cooperative educational services. Such representatives, who shall serve a maximum two-year term, shall be appointed by the commissioner of the division of homeland security and emergency services, with regard to a balance of geographic representation and discipline expertise.
b. The committee, on the call of the chairperson, shall meet at least twice each year and at such other times as may be necessary. The agenda and meeting place of all regular meetings shall be made available to the public in advance of such meetings and all such meetings shall be open to the public.
c. The committee shall have the following powers and responsibilities:
(1) to promulgate rules and regulations, acting through the division of homeland security and emergency services, to implement the intrastate mutual aid program as described in this section;
(2) to develop policies, procedures and guidelines associated with the program, including a process for the reimbursement of assisting local governments by requesting local governments;
(3) to evaluate the use of the intrastate mutual aid program;
(4) to examine issues facing participating local governments regarding the implementation of the intrastate mutual aid program; and
(5) to prepare reports to the disaster preparedness commission discussing the effectiveness of mutual aid in the state and making recommendations for improving the efficacy of the system, if appropriate.
4. Local government participation in the intrastate mutual aid program. a. A local government may elect not to participate in the intrastate mutual aid program, or to withdraw from the program, by its governing body enacting a resolution declaring that it elects not to participate in the program and providing such resolution to the division of homeland security and emergency services. Participation in the program will continue until a copy of such resolution is received and confirmed by the division of homeland security and emergency services.
b. A local government that has declined to participate in the program may, acting by resolution through its governing body and providing a copy of the resolution to the division of homeland security and emergency services, elect to participate in the program.
c. Nothing in this section shall preclude a local government from entering into mutual aid agreements with other local governments or other entities with terms that supplement or differ from the provisions of this section.
d. Nothing in this section shall affect any other agreement to which a local government may currently be a party, or later enter into, including, but not limited to, the state fire mobilization and mutual aid plan.
5. Fire related resources. Notwithstanding the authority vested pursuant to this section, all fire related resources shall be administered pursuant to section two hundred nine-e of the general municipal law.
6. Requesting assistance under the intrastate mutual aid program. a. Subject to the restrictions on school districts and boards of cooperative educational services set forth in subdivision one of this section, the state or a participating local government may request assistance of other participating local governments in preventing, mitigating, responding to and recovering from disasters that result in the declaration of a state disaster emergency or locally-declared emergencies, or for the purpose of conducting multi-jurisdictional or regional training, drills or exercises. Requests for assistance may be made verbally or in writing; verbal requests shall be memorialized in writing as soon thereafter as is practicable. Notwithstanding the provisions of section twenty-five of this article, the local emergency management director shall have the authority to request and accept assistance and deploy the local resources of his or her jurisdiction under the intrastate mutual aid program. The director of the state office of emergency management is authorized to request and accept assistance pursuant to this section.
b. Once an emergency is declared at the county level, all requests and offers for assistance, to the extent practical, shall be made through the county emergency management office, or in the case of the city of New York, through the city emergency management office. All requests for assistance should include:
(1) a description of the disaster;
(2) a description of the assistance needed;
(3) a description of the mission for which assistance is requested;
(4) an estimate of the length of time the assistance will be needed;
(5) the specific place and time for staging of the assistance and a point of contact at that location; and
(6) any other information that will enable an assisting local government to respond appropriately to the request.
c. Assisting local governments shall submit to the state or requesting local government an inventory of the resources being deployed.
d. The written request for assistance and all inventories of resources being deployed shall be submitted to the division of homeland security and emergency services within three calendar days of the request for or deployment of such resources.
7. Division of homeland security and emergency services responsibilities under the intrastate mutual aid program. The division of homeland security and emergency services shall provide notification by mail to each local government with a comprehensive description of the intrastate mutual aid program, including a statement that all local governments are participants of the program unless they expressly opt out pursuant to subdivision four of this section; maintain a current list of participating local governments with their authorized representatives and contact information, and provide a copy of the list to each of the participating local governments on an annual basis during the second quarter of each calendar year; monitor and report to the intrastate mutual aid program committee on the use of the intrastate mutual aid program; coordinate the provision of mutual aid resources in accordance with the comprehensive emergency management plan and supporting protocols; identify mutual aid best practices; when practical, provide the committee with statistical information related to the use of mutual aid during recent regional disaster responses; and assist with the development, implementation and management of a state-wide resource typing system.
8. Reimbursement of assisting local government by the state or requesting local government; resolving disputes regarding reimbursement. a. Any assisting local government requesting reimbursement under this program for loss, damage or expenses incurred in connection with the provision of assistance that seeks reimbursement by the state or requesting local government shall make such request in accordance with procedures developed by the intrastate mutual aid committee.
b. Notwithstanding the provisions of section twenty-five of this article or any inconsistent provision of law to the contrary, the state or any requesting local government requesting assistance under this program shall be liable and responsible to the assisting local government for any loss or damage to equipment or supplies and shall bear and pay the expense incurred in the operation and maintenance of any equipment and the cost of materials and supplies used in rendering assistance under this section.
c. The assisting local government shall be liable for salaries or other compensation for its employees deployed to the state or a requesting local government during the time they are not rendering assistance pursuant to such request, and shall defray the actual traveling and maintenance expense of its employees and equipment while they are rendering assistance under this section. The state or requesting local government shall reimburse the assisting local government for any moneys paid for such salaries or other compensation and traveling and maintenance expenses incurred from activities performed while rendering assistance under this program.
d. Notwithstanding paragraph c of this subdivision, any voluntary ambulance service rendered pursuant to a request for assistance under this program that affects a volunteer ambulance workers service award or supplemental service award from a service award program or a supplemental service award program established pursuant to article eleven-aa, article eleven-aaa, or article eleven-aaaa of the general municipal law shall be the responsibility of the political subdivision which adopted the service award program or supplemental service award program and not the responsibility of the state or requesting local government.
e. Where a dispute arises between an assisting local government and the state or a requesting local government regarding reimbursement for loss, damages or expenses incurred in connection with the provision of aid, the parties will make every effort to resolve the dispute within thirty business days of written notice of the dispute by the party asserting noncompliance.
9. Performance of services. a. (1) Employees of an assisting local government shall continue under the administrative control of their home jurisdiction. However, in all other cases where not prohibited by general, special or local law, rule or regulation, employees of an assisting local government shall be under the direction and control of the director of the state office of emergency management, local emergency management director or other official charged with performing emergency management functions for the state or requesting local government;
(2) Performance by employees of an assisting local government of services for the state or a requesting local government pursuant to this section shall have no impact upon whether negotiating unit employees represented by an employee organization, recognized or certified pursuant to section two hundred six or two hundred seven of the civil service law, exclusively perform such services, as that phrase is used by the public employment relations board, on behalf of the state or requesting local government;
b. Assets and equipment of an assisting local government shall continue under the ownership of the assisting local government, but shall be under the direction and control of the director of the state office of emergency management, local emergency management director or other official charged with performing emergency management functions for the state or requesting local government.
10. Liability. a. Each local government is responsible for procuring and maintaining insurance or other coverage as it deems appropriate.
b. While rendering assistance under the intrastate mutual aid program, employees of the assisting local government shall have the same immunities and privileges as if such duties were performed within their home jurisdiction. An assisting local government providing assistance pursuant to the intrastate mutual aid program shall be liable for the negligence of its employees, which occurs in the performance of their duties in the same manner and to the same extent as if such negligence occurred in the performance of their duties in their home jurisdiction.
c. Employees of an assisting local government responding to or rendering assistance pursuant to a request for assistance who sustain injury or death in the course of, and arising out of, their response are entitled to all applicable benefits as if they were responding in their home jurisdiction. The assisting local government shall be liable for all costs or payments for such benefits as required by law.
d. Nothing in this section shall be construed to prevent the assisting and requesting local governments from agreeing to other terms related to liability and compensation. Local governments may choose to enter into an agreement, at any time, to alter these terms as they deem necessary.
e. Nothing in this section shall be construed to provide any protection against liability, or to create any liability, for an individual who responds to a state of emergency where aid has not been requested, or where aid has not been authorized by the individual's home jurisdiction.
11. Obligation of insurers. Nothing in this section shall impair, alter, limit or modify the rights or obligations of any insurer under any policy of insurance.
12. License, certificate and permit portability. a. State certified emergency medical services providers who respond outside of their normal jurisdiction pursuant to a request for assistance under this program shall follow their normal operating protocols as if they were responding and rendering services in their home jurisdiction.
b. Any other individual authorized and deployed by a participating local government when responding pursuant to a request for assistance under this program shall have the same powers and duties as if they were responding in their home jurisdiction.
§ 29-i. Immunity from liability for emergency alerts. Any provider of mobile services, as defined in 47 U.S.C. 153, including its officers, directors, employees, affiliates, vendors and agents, acting on behalf of the state, and any third-party intermediary transmission service provider, including such third-party intermediary transmission service provider's affiliates, officers, directors, employees, vendors and agents, acting directly or indirectly on behalf of the state or on behalf of any such provider of mobile services, that transmits emergency alerts similar to those described in 47 CFR 10.10 and 10.400, or that transmits any other type or form of emergency alert messages, shall not be liable for any act or omission related to or any harm resulting from the transmission of, or failure to transmit, an emergency alert, provided that such provider, officer, director, employee, affiliate, vendor or agent acted reasonably and in good faith.
§ 29-j. Acceptance of gifts. 1. The state office of emergency management within the division of homeland security and emergency services may accept any assistance, including but not limited to gifts or grants of real or personal property, but not including money, from any public or private source for the purpose of preparing for, responding to, or recovering from a state disaster emergency. Such assistance may be used to support state and local disaster operations or distributed to disaster response organizations supporting local disaster response operations. To the extent practicable, the office of emergency management shall distribute such assistance in consultation with local governments, not-for-profit organizations, and other disaster response organizations that have experience responding to state disaster emergencies.
2. The state office of emergency management shall maintain a database of all assistance accepted during the state disaster emergency and shall make such information available to the public on its website. The database shall include, but is not limited to, the name of the donor, type of assistance provided, value of the assistance, recipient of the assistance (if available), date of the donation and date of distribution.
3. The director of the office of emergency management, in consultation with the commissioner of the division of homeland security and emergency services, may promulgate rules and regulations necessary to implement this section.
* § 29-k. Quarterly claim reports. The governor's office of storm recovery, shall produce a quarterly report, which shall provide the number of all active single family housing applicants by county that have received partial or full payments; the number of all eligible, active single family housing applicants by county who have not yet received any payments; the number of active single family housing applicants by county who have not received payment and are pending an eligibility review; the number of all active single family housing applicants by county whose application status has not been closed out; the number of all single family housing applicants by county that have been closed out; the number of all single family housing applicants by county that have not received payment because they have been determined to have no unmet need or have been determined ineligible to receive assistance; the number of all active small business applicants by county that have received partial or full payments; the number of all eligible, active small business applicants by county who have not yet received any payments; the number of active small business applicants by county who have not received payment and are pending an eligibility review; the number of all active small business applicants by county whose application status has not been closed out; the number of all small business applicants by county that have been closed out; the number of all small business applicants by county that have not received payment because they have been determined to have no unmet need or have been determined ineligible to receive assistance; the total number of subrecipient agreements by county for the New York rising community reconstruction program, and the status of all community reconstruction projects by county that are in the design or construction phases. The report shall provide the same information cumulatively for the previous reporting periods. The first report required under this subdivision shall be delivered by February fifteenth, two thousand sixteen, with new, updated reports being delivered on each first day of every third month thereafter. The report shall be provided to the temporary president of the senate, and the speaker of the assembly and shall be posted on the governor's office of storm recovery's public website.
* NB Repealed December 2, 2023
ARTICLE 3 EXECUTIVE DEPARTMENT
Section 30. Executive department.
31. Divisions.
32. Authority not to renew.
§ 30. Executive department. There shall continue to be in the state government an executive department. The head of the executive department shall be the governor. The governor may appoint such subordinates and employees as may be necessary for the exercise of his powers and the performance of his duties as head of the executive department, and may prescribe their duties and fix their compensation within the amounts appropriated therefor.
§ 31. Divisions. There shall be in the executive department the following divisions:
1. The division of the budget.
2. The division of military and naval affairs.
3. The office of general services.
4. The division of state police.
5. The division of housing.
6. The division of alcoholic beverage control.
7. The division of human rights.
8. The division of homeland security and emergency services.
9. Office of information technology services.
The governor may establish, consolidate, or abolish additional divisions and bureaus.
§ 32. Authority not to renew. 1. For the purposes of this section, "state agency" shall mean any state department, board, bureau, division, commission, committee, public authority, public benefit corporation, council, office, or other governmental entity performing a governmental or proprietary function for the state.
2. Notwithstanding any other provision of law, when a state agency levies fees or assesses civil fines or penalties for licensing or regulatory matters, such state agency shall, following consultation with the state department of law and after such appropriate due process as required by the provisions of law applicable to such state agency and to such licensing or regulatory matters, not be required to renew any license, permit, or certificate of qualification, authority, or operation, of any business, individual, or other entity, which is not a state agency, municipal corporation or district corporation, if such business, individual or other entity has failed to pay or enter into a written agreement to settle outstanding fees, civil penalties or fines assessed by such state agency.
ARTICLE 4 DEPARTMENT OF AUDIT AND CONTROL
Section 40. Department of audit and control; comptroller.
41. Deputies and assistants; undertakings.
41-a. Deputy comptroller for the city of New York.
42. Supervision of money paid into court.
43. Examiners.
44. Records and data in aid of audit; destruction of certain papers.
45. Authority to represent the state as owner of abutting property.
46. Office of welfare inspector general.
47. Organization of offices; officers and employees.
48. General functions, powers and duties of office of welfare inspector general.
49. Cooperation and assistance of other agencies.
50. Referral of evidence.
§ 40. Department of audit and control; comptroller. There shall continue to be in the state government a department of audit and control.
1. The head of the department of audit and control shall be the comptroller. He shall be paid an annual salary of one hundred fifty-one thousand five hundred dollars.
2. The organization of the department of audit and control is continued until changed by or pursuant to law. The comptroller may establish such divisions, bureaus, sections and units in the department as he may deem necessary and may consolidate, alter or abolish any of them.
3. The functions of the comptroller, and his powers and duties pertaining thereto, shall be exercised and performed in the department of audit and control by the comptroller and by such divisions, bureaus, sections, units and officers in the department as he may designate.
§ 41. Deputies and assistants; undertakings. 1. The comptroller shall appoint eight deputies, one of whom shall be the first deputy comptroller. Such deputies shall receive annual salaries to be fixed by the comptroller within amounts appropriated therefor. Each of such deputies may perform any of the powers or duties of the comptroller.
2. The comptroller also may appoint such other officers, assistants and employees as he may deem necessary for the exercise and performance of his powers and duties and those of the department. Such officers, assistants and employees shall receive such compensation as may be fixed by the comptroller within the amounts appropriated therefor.
§ 41-a. Deputy comptroller for the city of New York. In addition to the deputies otherwise authorized by law, the comptroller shall, by and with the advice and consent of the senate, appoint a deputy comptroller for the city of New York. Such deputy may be removed or replaced by the comptroller and shall receive an annual salary to be fixed by the comptroller within the amounts appropriated therefor. Such deputy may perform any of the powers or duties of the comptroller and he shall assist the New York state financial control board created pursuant to section five of the New York state financial emergency act for the city of New York in carrying out and exercising the responsibilities assigned and powers granted to such board.
§ 42. Supervision of money paid into court. The comptroller shall have power, at any time, to examine the books, papers, records and accounts of any public office or officer of the state, or of any subdivision of the state in anywise relating to moneys or securities paid into court or ordered by any court of record or required by statute to be so paid.
§ 43. Examiners. 1. Whenever the comptroller may deem it necessary to enable him to perform the duties imposed upon him by law with regard to the inspection, examination and audit of the fiscal affairs of the state or of the several officers, departments, institutions, public corporations or political subdivisions thereof, he may assign the work of such inspection, audit and examination to any examiner or examiners appointed by him pursuant to law.
2. The comptroller is authorized to employ such examiners as he may deem necessary to carry out the provisions of law in relation to his duty as to money paid into court.
§ 44. Records and data in aid of audit; destruction of certain papers. 1. Where powers and duties of the comptroller relate to moneys, funds or securities of the state, or to state appropriations, or to funds and securities administered under state supervision, or to obligations of the state or of state agencies, the comptroller, except as provided in subdivision two of this section, shall preserve all data and records pertaining to his acts and proceedings in the exercise and performance of such powers and duties, and of his transactions with other public officers, and with corporations and individuals, in connection therewith, to the end that the necessary information acquired by him through such acts, proceedings and transactions may be at all times available as an aid to the comptroller and his successors in exercising the functions of audit of vouchers, official accounts, accrual and collection of revenues and receipts, and of prescribed methods of accounting.
2. Notwithstanding any other provision of this article, the comptroller may destroy any of the following described papers now or hereafter in the custody of the department of audit and control after they have been in such custody six years or more:
a. Estimates and requisitions of state departments, commissions, boards, bodies, officers and institutions;
b. Working papers;
c. Unsuccessful bids;
d. Any other papers which, in the judgment of the comptroller, are not and will not be of use in connection with audits, accounts and accountings, accrual and collection of revenues and receipts or payments of moneys from the state treasury or from any fund or funds in his custody.
The comptroller shall not destroy any papers which in his judgment might be of historic value without first submitting a description thereof to the commissioner of education and obtaining his consent to their destruction. This subdivision shall not authorize the destruction of any papers the preservation or production of which shall have been directed by a court or judge for the purposes of an action or proceeding.
§ 45. Authority to represent the state as owner of abutting property. Whenever by law owners of property abutting upon a street or highway, or any number or percentage thereof, are authorized to petition or otherwise initiate any proceeding respecting the use, occupation or improvement of such street or highway, or the consent of such owners or of any number or percentage thereof is a prerequisite to the use, occupation or improvement of a street or highway, the comptroller in behalf of the state, upon the approval of the attorney-general, is authorized to join in any petition, take any action or consent to the use, occupation or improvement of such a street or highway, affecting the property of the state abutting upon such street or highway, with the same force and effect, and subject to the same limitations and conditions, as the owners of other property abutting upon such street or highway.
§ 46. Office of welfare inspector general. 1. There is hereby created in the department of audit and control an office of welfare inspector general. The head of the office shall be the welfare inspector general, who shall be appointed by the comptroller, by and with the advice and consent of the senate.
2. The comptroller shall fix the compensation of the welfare inspector general within the amounts appropriated therefor.
§ 47. Organization of offices; officers and employees. 1. Notwithstanding any inconsistent provision of law, the welfare inspector general may, from time to time, subject to the approval of the state comptroller, create, abolish, transfer and consolidate divisions, bureaus and other units within the office as he may determine necessary for the efficient operation of the office.
2. The welfare inspector general may, subject to the approval of the state comptroller, appoint such deputies, directors, assistants and other officers and employees as may be needed for the performance of his duties and may prescribe their powers and fix their compensation within the amounts appropriated therefor.
§ 48. General functions, powers and duties of office of welfare inspector general. The office of welfare inspector general, by and through the welfare inspector general, or his duly authorized deputy, director, assistant, officer or employee, shall have the following functions, powers and duties notwithstanding section one hundred thirty-six of the social services law:
1. To receive and investigate complaints from the public or any other source concerning alleged abuses, suspected frauds, and other violations of the welfare system which shall be deemed to include medical assistance. As used in this article, the term "medical assistance" shall have the same meaning contained in section three hundred sixty-five-a of the social services law.
2. To receive complaints of alleged failures to prosecute frauds against the welfare system which shall be deemed to include medical assistance and to investigate the same.
3. To receive complaints of alleged failures to enforce the state's laws regarding the employment of welfare recipients in available employment, and to investigate the same.
4. To receive complaints of alleged failures of local officials and employees to comply with state laws and regulations regarding welfare administration which shall be deemed to include medical assistance, and to investigate the same.
5. On the initiative of the office and at the direction of the welfare inspector general, to conduct any investigation: of the operations of the state social services department and local social services districts, the state health department and local health departments, and the state department of mental hygiene and community mental health boards in order to insure proper expenditure of welfare funds; of violations of the welfare system; of failure to prosecute welfare frauds; of failure to enforce the state's laws regarding the employment of welfare recipients in available employment; of failure of local officials and employees to comply with state law, rules, and regulations regarding welfare administration which shall be deemed to include medical assistance, and other matters relating thereto.
6. To exercise and perform such other functions, powers and duties as may from time to time be conferred or imposed by law.
7. To make an annual report to the governor, the comptroller and the legislature concerning its work during the preceding year, and to make such further interim reports to them as they or any of them shall deem advisable or require.
8. To conduct any inquiry pertinent or material to the discharge of the functions, powers and duties imposed by law; and through designated members of the staff, to subpoena witnesses, administer oaths, take testimony and compel the production of such books, papers, records and documents as may be relevant to any such inquiry and investigation.
9. To do all things necessary or convenient to carry out the functions, powers and duties set forth in this article, to the extent they conform with applicable federal requirements, if any.
10. To make, amend or repeal such rules and regulations as may be necessary with the approval of the state comptroller, for the performance of the duties imposed hereunder.
§ 49. Cooperation and assistance of other agencies. The office of welfare inspector general may request from any department, board, bureau, commission or other agency of the state and its political subdivisions, and the same are authorized and directed to provide, such cooperation and assistance, services and data as will enable the office properly to carry out its functions, powers and duties. As an incident to rendering such cooperation and assistance, all governmental agencies shall be required to submit a written response to the office of welfare inspector general respecting its reports and findings when so requested by said office. Section one hundred thirty-six of the social services law shall in no way be construed to restrict any person or governmental body from cooperating and assisting the welfare inspector general hereunder. Section six hundred ninety-seven or any other provision of the tax law shall in no way be construed to restrict the office of welfare inspector general from obtaining the name, address, social security number, employment history and number of dependents claimed for any individual certified by the welfare inspector general, or his designee, to be a welfare recipient and suspected of abusing, defrauding or otherwise violating the welfare system.
§ 50. Referral of evidence. 1. Upon the discovery of evidence of the commission of a crime by any person, the welfare inspector general shall refer such evidence to the district attorney of the county in which the alleged crime occurred, for the appropriate action of such district attorney.
2. Upon the discovery of evidence of a violation by a social services official or employee of the laws, rules or regulations of the state regarding welfare administration, the welfare inspector general shall refer such evidence to the state commissioner of social services for appropriate action of such commissioner.
ARTICLE 4-A OFFICE OF THE STATE INSPECTOR GENERAL
Section 51. Jurisdiction.
52. Establishment and organization.
53. Functions and duties.
54. Powers.
55. Responsibilities of covered agencies, state officers and employees.
§ 51. Jurisdiction. This article shall, subject to the limitations contained herein, confer upon the office of the state inspector general, jurisdiction over all covered agencies. For the purposes of this article "covered agency" shall include all executive branch agencies, departments, divisions, officers, boards and commissions, public authorities (other than multi-state or multi-national authorities), and public benefit corporations, the heads of which are appointed by the governor and which do not have their own inspector general by statute. Wherever a covered agency is a board, commission, a public authority or public benefit corporation, the head of the agency is the chairperson thereof.
§ 52. Establishment and organization. 1. There is hereby established the office of the state inspector general in the executive department. The head of the office shall be the state inspector general who shall be appointed by the governor.
2. The state inspector general shall hold office until the end of the term of the governor by whom he or she was appointed and until his or her successor is appointed and has qualified.
3. The state inspector general shall report to the secretary to the governor.
4. The state inspector general may appoint one or more deputy inspectors general to serve at his or her pleasure, who shall be responsible for conducting investigations in the agencies to which they are designated and in which they are deemed employed.
5. The salary of the inspector general shall be established by the governor within the limit of funds available therefore; provided, however, such salary shall be no less than the salaries of certain state officers holding the positions indicated in paragraph (a) of subdivision one of section one hundred sixty-nine of the executive law.
§ 53. Functions and duties. The state inspector general shall have the following duties and responsibilities:
1. receive and investigate complaints from any source, or upon his or her own initiative, concerning allegations of corruption, fraud, criminal activity, conflicts of interest or abuse in any covered agency;
1-a. receive and investigate complaints from any source, or upon his or her own initiative, concerning allegations of corruption, fraud, use of excessive force, criminal activity, conflicts of interest or abuse by any police officer in a covered agency and promptly inform the division of criminal justice services, in the form and manner as prescribed by the division, of such allegations and the progress of investigations related thereto unless special circumstances require confidentiality. Nothing in this subdivision shall require the division of criminal justice services to participate in the investigation of such allegations or take action or prevent the division of criminal justice services from taking action authorized pursuant to subdivision three of section eight hundred forty-five of this chapter in the time and manner determined by the commissioner of the division of criminal justice services.
2. inform the heads of covered agencies of such allegations and the progress of investigations related thereto, unless special circumstances require confidentiality;
3. determine with respect to such allegations whether disciplinary action, civil or criminal prosecution, or further investigation by an appropriate federal, state or local agency is warranted, and to assist in such investigations;
4. prepare and release to the public written reports of such investigations, as appropriate and to the extent permitted by law, subject to redaction to protect the confidentiality of witnesses. The release of all or portions of such reports may be deferred to protect the confidentiality of ongoing investigations;
5. review and examine periodically the policies and procedures of covered agencies with regard to the prevention and detection of corruption, fraud, criminal activity, conflicts of interest or abuse;
6. recommend remedial action to prevent or eliminate corruption, fraud, criminal activity, conflicts of interest or abuse in covered agencies;
7. establish programs for training state officers and employees regarding the prevention and elimination of corruption, fraud, criminal activity, conflicts of interest or abuse in covered agencies.
§ 54. Powers. The state inspector general shall have the power to:
1. subpoena and enforce the attendance of witnesses;
2. administer oaths or affirmations and examine witnesses under oath;
3. require the production of any books and papers deemed relevant or material to any investigation, examination or review;
4. notwithstanding any law to the contrary, examine and copy or remove documents or records of any kind prepared, maintained or held by any covered agency;
5. require any officer or employee in a covered agency to answer questions concerning any matter related to the performance of his or her official duties. No statement or other evidence derived therefrom may be used against such officer or employee in any subsequent criminal prosecution other than for perjury or contempt arising from such testimony. The refusal of any officer or employee to answer questions shall be cause for removal from office or employment or other appropriate penalty;
6. monitor the implementation by covered agencies of any recommendations made by state inspector general;
7. perform any other functions that are necessary or appropriate to fulfill the duties and responsibilities of office.
* 8. Appoint an independent monitor to provide guidance and technical assistance related to the policies, practices, programs and decisions of the Orange county industrial development agency, as authorized in subdivisions two, three, four and five of section nine hundred twelve of the general municipal law.
* NB Repealed May 3, 2026
§ 55. Responsibilities of covered agencies, state officers and employees. 1. Every state officer or employee in a covered agency shall report promptly to the state inspector general any information concerning corruption, fraud, criminal activity, conflicts of interest or abuse by another state officer or employee relating to his or her office or employment, or by a person having business dealings with a covered agency relating to those dealings. The knowing failure of any officer or employee to so report shall be cause for removal from office or employment or other appropriate penalty. Any officer or employee who acts pursuant to this subdivision by reporting to the state inspector general improper governmental action as defined in section seventy-five-b of the civil service law shall not be subject to dismissal, discipline or other adverse personnel action.
2. The head of any covered agency shall advise the governor within ninety days of the issuance of a report by the state inspector general as to the remedial action that the agency has taken in response to any recommendation for such action contained in such report.
ARTICLE 4-B OFFICE OF THE INSPECTOR GENERAL OF NEW YORK FOR TRANSPORTATION
Section 56. Jurisdiction.
57. Establishment and organization.
58. Functions and duties.
§ 56. Jurisdiction. 1. This article shall, subject to the limitations contained herein, confer upon the office of the inspector general of New York for transportation investigative and prosecutorial power over criminal and unethical conduct involving individuals serving at a senior level in operations, financing or management of a transportation entity located in a city of a population of one million or more where such action or actions occurred within the state; and investigative and prosecutorial power of criminal and unethical conduct involving managerial appointees or managerial employees of any transportation entity where such action or actions occurred within the state.
2. For the purposes of this article: (a) "transportation entity" shall mean any public entity located within a city of one million or more involved in the transportation of persons, goods or other items within or to and from the state of New York where at least one individual involved at a senior level in operations, financing or management of such entity is appointed by the governor;
(b) "individuals involved at a senior level in operations, financing or management" shall mean individuals that exert full or partial control over formal actions taken by a transportation entity or on behalf of such entity, or exert independent judgment in the fulfillment of their duties and obligations, but shall not include individuals whose actions are of a routine or clerical nature; and
(c) "managerial appointee" or "managerial employee" shall mean any individual who (i) participates directly or as part of a team in formulating policy; (ii) may reasonably be required to assist directly in the preparation for and conduct of negotiations concerning major fiscal matters, procurements or expenditures in excess of one hundred thousand dollars provided that such role is not of a routine or clerical nature and requires the exercise of independent judgment; or (iii) has a major role in the administration of personnel agreements or in personnel administration, provided that such role is not of a routine or clerical nature and requires the exercise of independent judgment.
3. Nothing contained in this section shall replace or diminish the jurisdiction of the attorney general or any district attorney, or the inspector general of any transportation entity.
4. The inspector general shall be authorized to:
(a) receive, investigate and prosecute complaints regarding any individuals involved at a senior level in operations, financing or management or managerial appointee or managerial employee of any transportation entity concerning corruption, conflicts of interest, fraud, waste and abuse, recusals or failure to recuse, or criminal activity in any case where such conduct, action or failure occurred before or after the effective date of the chapter of the laws of two thousand seventeen that added this article and where such conduct, action or failure occurred in New York;
(b) represent the state in any administrative hearing or administrative proceeding involving any criminal or unethical conduct of individuals involved at a senior level in operations, financing or management or a managerial appointee or managerial employee of a transportation entity where such conduct occurred in New York; and
(c) represent the state in civil actions involving any criminal or unethical conduct of individuals involved at a senior level in operations, financing or management or a managerial appointee or managerial employee of a transportation entity where such conduct occurred in New York.
§ 57. Establishment and organization. 1. There shall be an office of the inspector general of New York for transportation in the executive department. The head of the office shall be the inspector general of New York for transportation.
2. The inspector general shall be appointed by the governor and shall hold office until the end of the term of the governor by whom he or she is appointed and until his or her successor is appointed.
3. The inspector general may appoint a deputy inspector general to serve at his or her pleasure, who shall be responsible for conducting investigations and prosecuting violations of law. The inspector general shall identify a process for a coordinated approach with prosecutors to avoid duplication and provide for a timely response to alleged violations.
4. The salary of the inspector general shall be established by the governor within the limit of funds available therefore.
§ 58. Functions and duties. The inspector general of New York for transportation shall have the following duties and responsibilities:
1. receive, investigate, and prosecute complaints from any source, or upon his or her own initiative, concerning allegations of corruption, conflicts of interest, fraud, waste and abuse, recusals or failure to recuse, or criminal activity regarding any transportation entity, conduct or activity or failure to act by any individuals involved at a senior level in operations, financing or management or managerial appointee or managerial employee of a transportation entity occurring before or after the effective date of the chapter of the laws of two thousand seventeen that added this article, in violation of New York law and occurring in New York;
2. inform the transportation entity of such allegations and the progress of investigations related thereto, unless special circumstances require confidentiality, provided that the inspector general shall maintain a written record that specifies the reason confidentiality is necessary under this paragraph;
3. issue a subpoena or subpoenas requiring a person or persons to appear before the grand jury, trial court, produce documents, provide a sworn statement under oath and be examined in reference to any matter within the jurisdiction of the inspector general. A subpoena issued under this section shall be governed by article twenty-three of the civil practice law and rules or articles one hundred ninety or six hundred ten of the criminal procedure law. The inspector general or his or her deputy or any person designated in writing by them may administer an oath to a witness in any such investigation or prosecution and may seek to confer immunity for compelled testimony pursuant to article fifty of the criminal procedure law;
4. determine with respect to such allegations whether to initiate civil or criminal prosecution, or make a referral for further investigation by an appropriate federal, state or local agency or any other office of inspector general as is warranted, and to assist in such investigations; and
5. prepare and release to the public written reports of such investigations, as appropriate and to the extent permitted by law, subject to redaction to protect the confidentiality of witnesses. The release of all or portions of such reports may be deferred to protect the confidentiality of ongoing investigations, provided that the inspector general shall maintain a written record that specifies the reason confidentiality is necessary under this subdivision.
ARTICLE 5 DEPARTMENT OF LAW
Section 60. Department of law.
61. Solicitor general.
62. Assistants.
63. General duties.
63-a. Action by attorney-general for forfeiture of public office.
63-b. Action by attorney-general against usurper of office or franchise.
63-c. Action by the people for illegal receipt or disposition of public funds or other property.
63-d. Attorney-general; death penalty prosecutions.
64. Costs recovered.
65. Register.
66. Destruction of certain records, books and other data by the attorney-general.
67. Additional counsel.
70. Deputy attorney-general to act as special district attorney.
70-a. Statewide organized crime task force.
70-b. Office of special investigation.
70-c. Task force on social media and violent extremism.
71. Attorney-general authorized to appear in cases involving the constitutionality of an act of the legislature, or a rule or regulation adopted pursuant thereto.
72. When costs payable to relator.
73. Power to administer oaths and take acknowledgements.
74. Welfare inspector general.
75. Law enforcement misconduct investigative office.
§ 60. Department of law. There shall continue to be in the state government a department of law. The head of the department of law shall be the attorney-general who shall receive an annual salary of one hundred fifty-one thousand five hundred dollars.
§ 61. Solicitor general. There shall be in the department of law a solicitor general who shall be appointed by the attorney-general and who shall perform such duties in the place and stead of the attorney-general as may lawfully be assigned to him. The attorney-general shall fix his compensation within the amounts appropriated therefor.
§ 62. Assistants. 1. The attorney-general may appoint such assistant attorneys-general, deputy assistant attorneys-general and attorneys as he may deem necessary and fix their compensation within the amounts appropriated therefor. Whenever deputy or deputy attorney-general is referred to or designated in any law, contract or document such references or designations shall be deemed to refer to and include assistant attorneys-general, deputy assistant attorneys-general or attorneys appointed by the attorney-general.
§ 63. General duties. The attorney-general shall:
1. Prosecute and defend all actions and proceedings in which the state is interested, and have charge and control of all the legal business of the departments and bureaus of the state, or of any office thereof which requires the services of attorney or counsel, in order to protect the interest of the state, but this section shall not apply to any of the military department bureaus or military offices of the state. No action or proceeding affecting the property or interests of the state shall be instituted, defended or conducted by any department, bureau, board, council, officer, agency or instrumentality of the state, without a notice to the attorney-general apprising him of the said action or proceeding, the nature and purpose thereof, so that he may participate or join therein if in his opinion the interests of the state so warrant.
2. Whenever required by the governor, attend in person, or by one of his deputies, any term of the supreme court or appear before the grand jury thereof for the purpose of managing and conducting in such court or before such jury criminal actions or proceedings as shall be specified in such requirement; in which case the attorney-general or his deputy so attending shall exercise all the powers and perform all the duties in respect of such actions or proceedings, which the district attorney would otherwise be authorized or required to exercise or perform; and in any of such actions or proceedings the district attorney shall only exercise such powers and perform such duties as are required of him by the attorney-general or the deputy attorney-general so attending. In all such cases all expenses incurred by the attorney-general, including the salary or other compensation of all deputies employed, shall be a county charge.
3. Upon request of the governor, comptroller, secretary of state, commissioner of transportation, superintendent of financial services, commissioner of taxation and finance, commissioner of motor vehicles, or the state inspector general, or the head of any other department, authority, division or agency of the state, investigate the alleged commission of any indictable offense or offenses in violation of the law which the officer making the request is especially required to execute or in relation to any matters connected with such department, and to prosecute the person or persons believed to have committed the same and any crime or offense arising out of such investigation or prosecution or both, including but not limited to appearing before and presenting all such matters to a grand jury.
4. Cause all persons indicted for corrupting or attempting to corrupt any member or member-elect of the legislature, or the commissioner of general services, to be brought to trial.
5. When required by the comptroller or the superintendent of public works, prepare proper drafts for contracts, obligations and other instruments for the use of the state.
6. Upon receipt thereof, pay into the treasury all moneys received by him for debts due or penalties forfeited to the people of the state.
7. He may, on behalf of the state, agree upon a case containing a statement of the facts and submit a controversy for decision to a court of record which would have jurisdiction of an action brought on the same case. He may agree that a referee, to be appointed in an action to which the state is a party, shall receive such compensation at such rate per day as the court in the order of reference may specify. He may with the approval of the governor retain counsel to recover moneys or property belonging to the state, or to the possession of which the state is entitled, upon an agreement that such counsel shall receive reasonable compensation, to be fixed by the attorney-general, out of the property recovered, and not otherwise.
8. Whenever in his judgment the public interest requires it, the attorney-general may, with the approval of the governor, and when directed by the governor, shall, inquire into matters concerning the public peace, public safety and public justice. For such purpose he may, in his discretion, and without civil service examination, appoint and employ, and at pleasure remove, such deputies, officers and other persons as he deems necessary, determine their duties and, with the approval of the governor, fix their compensation. All appointments made pursuant to this subdivision shall be immediately reported to the governor, and shall not be reported to any other state officer or department. Payments of salaries and compensation of officers and employees and of the expenses of the inquiry shall be made out of funds provided by the legislature for such purposes, which shall be deposited in a bank or trust company in the names of the governor and the attorney-general, payable only on the draft or check of the attorney-general, countersigned by the governor, and such disbursements shall be subject to no audit except by the governor and the attorney-general. The attorney-general, his deputy, or other officer, designated by him, is empowered to subpoena witnesses, compel their attendance, examine them under oath before himself or a magistrate and require that any books, records, documents or papers relevant or material to the inquiry be turned over to him for inspection, examination or audit, pursuant to the civil practice law and rules. If a person subpoenaed to attend upon such inquiry fails to obey the command of a subpoena without reasonable cause, or if a person in attendance upon such inquiry shall, without reasonable cause, refuse to be sworn or to be examined or to answer a question or to produce a book or paper, when ordered so to do by the officer conducting such inquiry, he shall be guilty of a misdemeanor. It shall be the duty of all public officers, their deputies, assistants and subordinates, clerks and employees, and all other persons, to render and furnish to the attorney-general, his deputy or other designated officer, when requested, all information and assistance in their possession and within their power. Each deputy or other officer appointed or designated to conduct such inquiry shall make a weekly report in detail to the attorney-general, in form to be approved by the governor and the attorney-general, which report shall be in duplicate, one copy of which shall be forthwith, upon its receipt by the attorney-general, transmitted by him to the governor. Any officer participating in such inquiry and any person examined as a witness upon such inquiry who shall disclose to any person other than the governor or the attorney-general the name of any witness examined or any information obtained upon such inquiry, except as directed by the governor or the attorney-general, shall be guilty of a misdemeanor.
9. Bring and prosecute or defend upon request of the commissioner of labor or the state division of human rights, any civil action or proceeding, the institution or defense of which in his judgment is necessary for effective enforcement of the laws of this state against discrimination by reason of age, race, sex, creed, color, national origin, sexual orientation, gender identity or expression, military status, disability, predisposing genetic characteristics, familial status, marital status, citizenship or immigration status, or domestic violence victim status, or for enforcement of any order or determination of such commissioner or division made pursuant to such laws.
10. Prosecute every person charged with the commission of a criminal offense in violation of any of the laws of this state against discrimination because of age, race, sex, creed, color, national origin, sexual orientation, gender identity or expression, military status, disability, predisposing genetic characteristics, familial status, marital status, citizenship or immigration status, or domestic violence victim status, in any case where in his judgment, because of the extent of the offense, such prosecution cannot be effectively carried on by the district attorney of the county wherein the offense or a portion thereof is alleged to have been committed, or where in his judgment the district attorney has erroneously failed or refused to prosecute. In all such proceedings, the attorney-general may appear in person or by his deputy or assistant before any court or any grand jury and exercise all the powers and perform all the duties in respect of such actions or proceedings which the district attorney would otherwise be authorized or required to exercise or perform.
11. Prosecute and defend all actions and proceedings in connection with safeguarding and enforcing the state's remainder interest in any trust which meets the requirements of subparagraph two of paragraph (b) of subdivision two of section three hundred sixty-six of the social services law.
12. Whenever any person shall engage in repeated fraudulent or illegal acts or otherwise demonstrate persistent fraud or illegality in the carrying on, conducting or transaction of business, the attorney general may apply, in the name of the people of the state of New York, to the supreme court of the state of New York, on notice of five days, for an order enjoining the continuance of such business activity or of any fraudulent or illegal acts, directing restitution and damages and, in an appropriate case, cancelling any certificate filed under and by virtue of the provisions of section four hundred forty of the former penal law or section one hundred thirty of the general business law, and the court may award the relief applied for or so much thereof as it may deem proper. The word "fraud" or "fraudulent" as used herein shall include any device, scheme or artifice to defraud and any deception, misrepresentation, concealment, suppression, false pretense, false promise or unconscionable contractual provisions. The term "persistent fraud" or "illegality" as used herein shall include continuance or carrying on of any fraudulent or illegal act or conduct. The term "repeated" as used herein shall include repetition of any separate and distinct fraudulent or illegal act, or conduct which affects more than one person. Notwithstanding any law to the contrary, all monies recovered or obtained under this subdivision by a state agency or state official or employee acting in their official capacity shall be subject to subdivision eleven of section four of the state finance law.
In connection with any such application, the attorney general is authorized to take proof and make a determination of the relevant facts and to issue subpoenas in accordance with the civil practice law and rules. Such authorization shall not abate or terminate by reason of any action or proceeding brought by the attorney general under this section.
13. Prosecute any person for perjury committed during the course of any investigation conducted by the attorney-general pursuant to statute. In all such proceedings, the attorney-general may appear in person or by his deputy or assistant before any court or any grand jury and exercise all the powers and perform all the duties necessary or required to be exercised or performed in prosecuting any such person for such offense.
15. In any case where the attorney general has authority to institute a civil action or proceeding in connection with the enforcement of a law of this state, in lieu thereof he may accept an assurance of discontinuance of any act or practice in violation of such law from any person engaged or who has engaged in such act or practice. Such assurance may include a stipulation for the voluntary payment by the alleged violator of the reasonable costs and disbursements incurred by the attorney general during the course of his investigation. Evidence of a violation of such assurance shall constitute prima facie proof of violation of the applicable law in any civil action or proceeding thereafter commenced by the attorney general.
16. (a) Notwithstanding any other law to the contrary, in resolving, by agreed judgment, stipulation, decree, agreement to settle, assurance of discontinuance or otherwise, any claim or cause of action, whether filed or unfiled, actual or potential, and whether arising under common law, equity, or any provision of law, a state agency or a state official or employee acting in their official capacity shall not have the authority to include or agree to include in such resolution any term or condition that would provide the state agency, official, or employee, their agent or designee, the settling party, or any third party with control or discretion over how any moneys to be paid by the settling party would be used, spent, or allocated.
(b) Paragraph (a) of this subdivision shall not apply to any provision in the resolution of a claim or cause of action providing (1) moneys to be distributed to the federal government, to a local government, or to any holder of a bond or other debt instrument issued by the state, any public authority, or any public benefit corporation; (2) moneys to be distributed solely or exclusively as a payment of damages or restitution to individuals or entities that were specifically injured or harmed by the defendant's or settling party's conduct and that are identified in, or can be identified by the terms of, the relevant judgment, stipulation, decree, agreement to settle, assurance of discontinuance, or relevant instrument resolving the claim or cause of action; (3) moneys recovered or obtained by the attorney general where application of paragraph (a) of this subdivision is prohibited by federal law, rule, or regulation, or would result in the reduction or loss of federal funds or eligibility for federal benefits pursuant to federal law, rule, or regulation; (4) moneys recovered or obtained by or on behalf of a public authority, a public benefit corporation, the department of taxation and finance, the workers' compensation board, the New York state higher education services corporation, the tobacco settlement financing corporation, a state or local retirement system, an employee health benefit program administered by the New York state department of civil service, the Title IV-D child support fund, the lottery prize fund, the abandoned property fund, or an endowment of the state university of New York or any unit thereof or any state agency, provided that all of the moneys received or recovered are immediately transferred to the relevant public authority, public benefit corporation, department, fund, program, or endowment; (5) moneys to be refunded to an individual or entity as (i) an overpayment of a tax, fine, penalty, fee, insurance premium, loan payment, charge or surcharge; (ii) a return of seized assets; or (iii) a payment made in error; (6) moneys to be used to prevent, abate, restore, mitigate or control any identifiable instance of prior or ongoing water, land or air pollution; and/or (7) state moneys received as part of any statewide opioid settlement agreements as defined in section 25.18 of the mental hygiene law, to be spent on eligible expenditures as defined in section 25.18 of the mental hygiene law.
(c) Where an agreed judgment, stipulation, decree, agreement to settle, assurance of discontinuance or other legal instrument resolves (1) any claim or any cause of action asserted by a state agency or a state official or employee acting in their official capacity and (2) any claim or cause of action asserted by one or more foreign jurisdictions or third parties, paragraph (a) of this subdivision shall only apply to the resolution of the claim or cause of action asserted by the state agency, official, or employee.
§ 63-a. Action by attorney-general for forfeiture of public office. The attorney-general may maintain an action, upon his own information or upon the complaint of a private person, against a public officer, civil or military, who has done or suffered an act which by law works a forfeiture of his office.
§ 63-b. Action by attorney-general against usurper of office or franchise. 1. The attorney-general may maintain an action, upon his own information or upon the complaint of a private person, against a person who usurps, intrudes into, or unlawfully holds or exercises within the state a franchise or a public office, civil or military, or an office in a domestic corporation. The attorney-general may set forth in the complaint, in his discretion, the name of the person rightfully entitled to the office and facts showing his right thereto. Judgment may be rendered upon the right of the defendant and of the party so alleged to be entitled, or only upon the right of the defendant, as justice requires. Where two or more persons claim to be entitled to the same office or franchise, the attorney-general may bring the action against all to determine their respective rights thereto.
2. If the complaint sets forth the name of the person rightfully entitled to the office and the facts showing his right thereto, a provisional order to arrest the defendant may be granted by the court if the defendant by means of his usurpation or intrusion has received any fees or emoluments belonging to the office.
3. Where a defendant is adjudged to be guilty of usurping or intruding into or unlawfully holding or exercising an office, franchise or privilege, final judgment shall be rendered, ousting and excluding him therefrom, and in favor of the state or the relator, as the case requires, for the costs of the action. As a part of the final judgment in an action for usurping or intruding into or unlawfully holding or exercising an office, franchise or privilege, the court, in its discretion, also may award that the defendant, or, where there are two or more defendants, that one or more of them, pay to the state a fine not exceeding two thousand dollars. The judgment for the fine may be docketed and execution may be issued thereupon in favor of the state, as if it had been rendered in an action to recover the fine.
4. Where final judgment has been rendered upon the right and in favor of the person alleged in the complaint to be entitled to an office, he may recover, by action against the defendant, the damages which he has sustained in consequence of the defendant's usurpation, intrusion into, unlawful holding or exercise of the office.
§ 63-c. Action by the people for illegal receipt or disposition of public funds or other property. 1. Where any money, funds, credits, or other property, held or owned by the state, or held or owned officially or otherwise for or in behalf of a governmental or other public interest, by a domestic, municipal, or other public corporation, or by a board, officer, custodian, agency, or agent of the state, or of a city, county, town, village or other division, subdivision, department, or portion of the state, has heretofore been, or is hereafter, without right obtained, received, converted, or disposed of, an action to recover the same, or to recover damages or other compensation for so obtaining, receiving, paying, converting, or disposing of the same, or both, may be maintained by the state in any court of the state, or before any court or tribunal of the United States, or of any other state, or of any territory of the United States, or of any foreign country, having jurisdiction thereof, although a right of action for the same cause exists by law in some other public authority, and whether an action therefor in favor of the latter is or is not pending when the action in favor of the state is commenced. The attorney-general shall commence an action, suit or other judicial proceeding, as prescribed in this section, whenever he deems it for the interests of the state so to do; or whenever he is so directed, in writing, by the governor.
2. Upon the commencement by the state of any action, suit or other judicial proceeding, as prescribed in this section, the entire cause of action, including the title to the money, funds, credits, or other property, with respect to which the suit or action is brought, and to the damages or other compensation recoverable for the obtaining, receipt, payment, conversion or disposition thereof, if not previously so vested, is transferred to and becomes absolutely vested in the state.
3. Any court of the state in which an action is brought by the state, as prescribed in this section, may direct, by the final judgment therein, or by a subsequent order, that any money, funds, damages, credits, or other property, recovered by or awarded to the plaintiff therein, which, if that action had not been brought, would not have vested in the state, be disposed of, as justice requires, in such a manner as to reinstate the lawful custody thereof, or to apply the same or the proceeds thereof to the objects and purposes for which they were authorized to be raised or procured; after paying into the state treasury out of the proceeds of the recovery all expenses incurred by the state in the action.
4. Any corporation, board, officer, custodian, agency, or agent, in behalf of any city, county, town, village, or other division, subdivision, department, or portion of the state, which was not a party to an action, brought as prescribed in this section, and which claims to be entitled to the custody or disposition of any of the money, funds, damages, credits, or other property, recovered by, or awarded to the plaintiff, by the final judgment in the action, or any of the proceeds thereof, and not disposed of as prescribed in subdivision three, may bring a special proceeding against the attorney-general at any time after the actual collection of the money and its payment into the state treasury, or the actual receipt of the property by the state, in the supreme court, county of Albany, seeking disposition of the money or other property.
5. Notwithstanding any other law to the contrary, including without limitation; section sixty-four of this article; the education law; the retirement and social security law and the administrative code of the city of New York, the portion of all money received by the attorney general in connection with the settlement of an action arising out of the management, operation, investments of or otherwise in connection with a retirement or other fund established pursuant to the education law, the retirement and social security law or the administrative code of the city of New York attributable to the harm suffered by such fund shall be deposited into such fund.
§ 63-d. Attorney-general; death penalty prosecutions. 1. The attorney-general shall, whenever required by the governor or his designee after a request of the governor by a district attorney, direct that the resources and personnel of the department of law be used to provide assistance relating to the prosecution or appeal of any case where the defendant may be subject to the penalty of death. Such assistance shall include the use of any department resource or services, which the attorney-general deems proper, and may be performed or provided by the attorney-general or any employee of the department of law. Assistance pursuant to this section may only be provided with respect to proceedings where:
(i) the defendant is represented by counsel appointed pursuant to the provisions of section thirty-five-b of the judiciary law or the defendant is receiving expert, investigative or other services pursuant to such section, or
(ii) the defendant, through counsel retained privately by the defendant through his or her own means or through the means of a person other than the defendant, or through representation by pro bono counsel, is able to marshal substantially greater legal and investigatory resources than those reasonably available to the district attorney.
2. A request of the governor made by a district attorney for assistance in a death penalty case shall be accompanied by a certificate of need stating that as a result of cases where the defendant may be subject to the penalty of death additional resources or personnel are needed to supplement the district attorney's staff and available resources in order to fulfill such district attorney's responsibilities.
§ 64. Costs recovered. Costs recovered by the attorney-general may be applied by him in payment of the expenses incurred by him in the action or proceeding in which they are received, or of any expenditure which he is authorized to incur not otherwise provided for. He shall, at the close of each fiscal year, render to the comptroller an account of such costs received, with vouchers of such expenditures. During the fiscal year, the comptroller is authorized to transfer any amount available within the account dedicated for this purpose to the general fund, upon the request of the director of the budget. In the event insufficient cash remains in such account to meet expenditures against available appropriations from such account, the comptroller is authorized to transfer the amounts necessary to meet such expenditures from the general fund; provided however that in no event shall the cumulative value of any such transfers from the general fund made to such account within a single fiscal year exceed ten percent of the value of the appropriations made in such fiscal year from such account or the cumulative balance of transfers from the account to the general fund. The comptroller shall establish such accounts and records as are necessary to provide an accurate accounting and reporting of the transfers to or from the general fund.
§ 65. Register. The attorney-general shall keep a register of all actions and proceedings prosecuted or defended by him, and of all proceedings in relation thereto, and shall deliver the same to his successor.
§ 66. Destruction of certain records, books and other data by the attorney-general. In any action or proceeding or by other process of law, in which a money judgment or award shall have been procured in favor of the people of the state of New York, any department of the state of New York, or duly constituted division, bureau or board thereof, and which judgment or award has been duly paid and satisfied, the department of law, with the consent of the commissioner of education as provided by section one hundred forty-seven of the education law, may after the expiration of six years from the time of payment of said judgment or award destroy all statistics, documents and papers filed with or used by the department of law in procuring said judgment or award.
§ 67. Additional counsel. The governor or attorney-general may designate and employ such additional attorneys or counsel as may be necessary to assist in the transaction of any of the legal business mentioned in section sixty-three of this chapter and such attorneys or counsel shall be paid a reasonable fee upon the certificate of the governor and attorney-general, the amount thereof to be audited and allowed by them or to be paid by the attorney-general out of costs, penalties and judgments collected by him, prior to the payment thereof into the state treasury as required by section one hundred twenty-one of the state finance law.
§ 70. Deputy attorney-general to act as special district attorney.
Whenever the governor shall advise the attorney-general that he has reason to doubt whether in any county the law relating to crimes against the elective franchise is properly enforced, the attorney-general shall require from the district attorney of such county, and it shall be the duty of such district attorney forthwith to make to the attorney-general a report of all prosecutions and complaints within his county during the year then last past for offenses under the election law and of the action had thereon.
The attorney-general shall assign one or more of his deputies to take charge of prosecutions under the election law. Such deputy shall represent the people of this state in all such prosecutions before all magistrates and in all courts and before any grand jury having cognizance thereof. The deputies so assigned shall be appointed pursuant to section sixty-two of this chapter. They may be especially appointed thereunder for the purpose of such assignment and for the performance of the duties herein described.
Whenever the attorney-general shall advise the governor that there is occasion for an extraordinary term in any such county to inquire into and try cases arising under article sixteen of the election law, the governor may appoint an extraordinary term of the supreme court to be constituted and held for the trial of criminal cases in such county, pursuant to section one hundred forty-nine of the judiciary law. Grand and petit juries shall be drawn and summoned for said term in the manner provided by law, and such cases shall be brought before such inquest and court as the attorney-general shall direct. All the provisions of sections sixty-three and sixty-seven of this chapter shall apply to such extraordinary term.
It shall be the duty of the district attorney of the county, and of the assistants, clerks and employees in his office, and of all police authorities, officers and men within any such county, to render to the attorney-general and his deputy whenever requested, all aid and assistance within their power in such prosecutions and in the conduct of such cases. The jurisdiction conferred upon the attorney-general herein to prosecute crimes, is concurrent in each county with that of the district attorney; but whichever of such officers shall first assume jurisdiction of a particular offense shall have exclusive jurisdiction to prosecute for the same unless or until the governor shall, by written order filed with both such officers, give such jurisdiction to the other.
§ 70-a. Statewide organized crime task force. 1. There shall be established within the department of law a statewide organized crime task force which, pursuant to the provisions of this section, shall have the duty and power:
(a) To conduct investigations and prosecutions of organized crime activities carried on either between two or more counties of this state or between this state and another jurisdiction;
(b) To cooperate with and assist district attorneys and other local law enforcement officials in their efforts against organized crime.
2. Notwithstanding any other provision of law, the governor and the attorney general may, and without civil service examination, jointly appoint and employ, fix his compensation, and at pleasure remove, a deputy attorney general in charge of the organized crime task force. The attorney general may, and without civil service examination, appoint and employ, and at pleasure remove, such assistant deputies, accountants and other persons as he deems necessary, determine their duties and, with the approval of the governor, fix their compensation. The payments of salaries and compensation of such officers and employees shall be in the same manner as is prescribed in subdivision eight of section sixty-three of this chapter.
3. The deputy attorney general in charge of the organized crime task force may request and shall receive from the division of state police, the state department of taxation and finance, the state department of labor, the temporary state commission of investigation, and from every department, division, board, bureau, commission or other agency of the state, or of any political subdivision thereof, cooperation and assistance in the performance of his duties. Such deputy attorney general may provide technical and other assistance to any district attorney or other local law enforcement official requesting such assistance in the investigation or prosecution of organized crime cases.
4. The deputy attorney general in charge of the organized crime task force is empowered to conduct hearings at any place within the state, to administer oaths or affirmations, subpoena witnesses, compel their attendance, examine them under oath or affirmation, and require the production of any books, records, documents or other evidence he may deem relevant or material to an investigation. He is empowered to apply for search warrants pursuant to article six hundred ninety of the criminal procedure law, and, except in exigent circumstances, shall give prior notice of the application to the district attorney of the county in which such a warrant is to be executed, and in such circumstances, shall give such notice as soon thereafter as practicable; provided, however, that the failure to give notice of a search warrant application to a district attorney shall not be a ground to suppress the evidence seized in executing the warrant. He may designate an assistant to exercise any such powers. Every witness attending before such deputy attorney general or his assistant shall be examined privately and the particulars of such examination shall not be made public. If a person subpoenaed to attend upon such inquiry fails to obey the command of a subpoena without reasonable cause, or if a person in attendance upon such inquiry shall, without reasonable cause, refuse to be sworn or to be examined or to answer a question or to produce a book or paper, when ordered so to do by the officer conducting such inquiry, he shall be guilty of a class A misdemeanor.
5. Upon the application of the deputy attorney general in charge of the organized crime task force, the supreme court or a justice thereof may impound any exhibit marked in evidence in any hearing held in connection with an investigation conducted by such deputy attorney general, and may order such exhibit to be retained by, or delivered to and placed in the custody of, such deputy. When so impounded, such exhibit shall not be taken from the custody of such deputy except upon further order of the court or a justice thereof made upon five days notice to such deputy, or upon his application or with his consent.
6. In any hearing held in connection with an investigation conducted by the deputy attorney general in charge of the organized crime task force, the attorney general may confer immunity in accordance with the provisions of section 50.20 of the criminal procedure law, but only after affording the appropriate district attorney the opportunity to be heard in respect to any objections which he may have to the granting of such immunity.
7. With the approval of the governor and with the approval or upon the request of the appropriate district attorney, the deputy attorney general in charge of the organized crime task force, or one of his assistants, may attend in person any term of the county court or supreme court having appropriate jurisdiction, including an extraordinary special or trial term of the supreme court when one is appointed pursuant to section one hundred forty-nine of the judiciary law, or appear before the grand jury thereof, for the purpose of managing and conducting in such court or before such jury a criminal action or proceeding concerned with an offense where any conduct constituting or requisite to the completion of or in any other manner related to such offense occurred either in two or more counties of this state, or both within and outside this state. In such case, such deputy attorney general or his assistant so attending shall exercise all the powers and perform all the duties in respect of such actions or proceedings, which the district attorney would otherwise be authorized or required to exercise or perform. In any of such actions or proceedings the district attorney shall only exercise such powers and perform such duties as are required of him by such deputy attorney general.
§ 70-b. Office of special investigation. 1. There shall be established within the office of the attorney general an office of special investigation. Notwithstanding any other provision of law, the office of special investigation shall investigate and, if warranted, prosecute any alleged criminal offense or offenses committed by a person, whether or not formally on duty, who is a police officer, as defined in subdivision thirty-four of section 1.20 of the criminal procedure law, or a peace officer as defined in section 2.10 of the criminal procedure law, provided that such peace officer is employed or contracted by an education, public health, social service, parks, housing or corrections agency, or is a peace officer as defined in subdivision twenty-five of section 2.10 of the criminal procedure law, concerning any incident in which the death of a person, whether in custody or not, is caused by an act or omission of such police officer or peace officer or in which the attorney general determines there is a question as to whether the death was in fact caused by an act or omission of such police officer or peace officer.
2. The attorney general has investigative authority and criminal jurisdiction under this section at the time of the death of the person and the attorney general retains investigative authority and criminal jurisdiction over the incident unless the attorney general determines that such incident does not meet the requirements of this section. If the attorney general determines the incident does not meet the requirements for the attorney general to have investigative authority and criminal jurisdiction pursuant to this section, the attorney general shall, as soon as practicable, provide written notice of such determination to the district attorney for the county in which the incident occurred.
3. In connection with any particular incident encompassed by this section, the attorney general shall conduct a full, reasoned and independent investigation, including but not limited to: (a) gathering and analyzing evidence; (b) conducting witness interviews; (c) reviewing and commissioning any necessary investigative and scientific reports; and (d) reviewing audio and video-recordings. The attorney general shall be empowered to subpoena witnesses, compel their attendance, examine them under oath before himself or herself or a magistrate and require that any books, records, documents or papers relevant or material to the inquiry be turned over to him or her for inspection, examination or audit, pursuant to the civil practice law and rules, in connection with such incident.
4. The attorney general shall have criminal jurisdiction over any criminal conduct arising from any incident herein, and shall exercise all of the powers and perform all of the duties with respect to such actions or proceedings that a district attorney would otherwise be authorized or required to exercise or perform, including all the powers necessary to prosecute acts and omissions and alleged acts and omissions to obstruct, hinder or interfere with any inquiry, prosecution, trial or judgment arising from the incident. The criminal jurisdiction of the office of special investigation shall displace and supersede the jurisdiction of the district attorney where the incident occurred; and such district attorney shall only have the powers and duties reserved to him or her in writing by the attorney general.
5. The attorney general shall designate a deputy attorney general for special investigation to exercise the powers and duties of the office of special investigation, who shall be in the exempt class of the civil service. The deputy attorney general may designate deputies or assistants, who shall be in the exempt class of the civil service, as necessary and appropriate. The other employees of the office of special investigation within the department of law, who are not otherwise exempt, shall all be in the competitive class of the civil service and shall be considered for purposes of article fourteen of the civil service law to be public employees in the civil service of the state, and shall be assigned to the appropriate collective bargaining unit. Employees serving in positions in newly created titles shall be assigned to the same collective bargaining units as they would have been assigned to were such titles created prior to the establishment of the office of special investigation within the department of law by this chapter. The deputy attorney general for special investigation may appear and conduct proceedings in person or by his or her deputy or assistant before any court or grand jury in connection with proceedings under this section.
6. (a) For any incident under this section, the office of special investigation shall issue a public report and post the report on its website whenever the office of special investigation initiates an investigation and (i) the office of special investigation declines to present evidence to a grand jury or (ii) the office of special investigation does present evidence to a grand jury but the grand jury declines to return indictment on any charges. The report will include, to the extent possible and lawful, the results of the investigation of the incident.
(b) The report shall also include: (i) with respect to subparagraph (i) of paragraph (a) of this subdivision, an explanation as to why the office of special investigation declined to present evidence to a grand jury; and (ii) any recommendations for systemic or other reforms arising from the investigation.
7. Six months after this subdivision takes effect, and annually on such date thereafter, the office of special investigation shall issue a report, which shall be made available to the public and posted on the website of the department of law, which shall provide information on the matters investigated by such office during such reporting period. The information presented shall include, but not be limited to: the county and geographic location of each matter investigated; a description of the circumstances of each case; racial, ethnic, age, gender and other demographic information concerning the persons involved or alleged to be involved; information concerning whether a criminal charge or charges were filed against any person involved or alleged to be involved in such matter; the nature of such charges; and the status or, where applicable, outcome with respect to all such criminal charges. Such report shall also include recommendations for any systemic or other reforms recommended as a result of such investigations.
§ 70-c. Task force on social media and violent extremism. 1. Establishment and organization. (a) There is hereby established a task force on social media and violent extremism within the department of law.
(b) The attorney general may appoint or assign a deputy attorney general and/or one or more assistants to serve on the task force.
(c) The mission of the task force on social media and violent extremism shall be to study, investigate, and make recommendations relating to the use, operations, policies, programs, and practices of online social media companies and any role they may have in promoting, facilitating, and providing platforms for individuals and groups to plan and promote acts of violence, including but not limited to, the use of such platforms to: initiate threats against public safety or against a specific group of individuals based on an actual or perceived classification or characteristic; communicate or plan for criminal activity, including but not limited to, hate crimes, acts of domestic terrorism, or acts of domestic terrorism motivated by hate; spread extremist content; and aid in the radicalization and mobilization of extremist individuals or groups.
2. Functions and duties. Subject to appropriations made available therefor, the task force shall have the following duties and responsibilities:
(a) to receive and investigate complaints from any source, or upon its own initiative, allegations involving the use and role of social media platforms in broadcasting, streaming, promoting, or otherwise facilitating acts of violence as described in paragraph (c) of subdivision one of this section;
(b) to determine, with respect to such allegations, whether social media companies may be civilly or criminally liable for their role in promoting, facilitating, or providing a platform for individuals and groups to plan and promote acts of violence as described in paragraph (c) of subdivision one of this section, or whether further investigation by the department of law is warranted or whether a referral to an appropriate federal, state or local law enforcement agency is necessary, and to assist in such investigations, if requested by a federal, state, or local law enforcement agency;
(c) to prepare and make public reports regarding the work of the task force, provided, however that such reports shall not include confidential or other protected information or any information that pertains to or may interfere with ongoing or future investigations;
(d) to review and examine periodically the use, operations, policies, programs, and practices of social media companies and any role they may have in promoting, facilitating, and providing platforms for individuals and groups to plan and promote acts of violence as described in paragraph (c) of subdivision one of this section;
(e) to cooperate with and assist the division of homeland security and emergency services or any other state or local agency as may be appropriate in their efforts to counter acts of violence as described in paragraph (c) of subdivision one of this section;
(f) to review the final report of the domestic terrorism task force established pursuant to section six of part R of chapter fifty-five of the laws of two thousand twenty, setting forth the findings, conclusions, recommendations, and activities of the task force, to examine and evaluate how to prevent mass shootings by domestic terrorists in New York state in furtherance of the goals of the task force on social media and violent extremism;
(g) to recommend remedial action to prevent the use of social media platforms by individuals and groups to plan and promote acts of violence as described in paragraph (c) of subdivision one of this section;
(h) on an annual basis, to submit to the governor, the temporary president of the senate, the speaker of the assembly, the minority leader of the senate and the minority leader of the assembly, no later than December thirty-first, a report summarizing the activities of the task force and recommending specific changes to state law to further the mission of the task force on social media and violent extremism; and
(i) to perform any other functions and duties that are necessary or appropriate to fulfill the duties and responsibilities of the task force.
3. Powers. In executing its duties under subdivision two of this section, the task force shall have the power to:
(a) subpoena and enforce the attendance of witnesses;
(b) administer oaths or affirmations and examine witnesses under oath;
(c) request and receive from the division of homeland security and emergency services, the division of state police, the division of criminal justice services, and from every department, division, board, bureau, commission or other agency of the state, or of any political subdivision thereof, cooperation and assistance in the performance of its duties;
(d) provide technical and other assistance to any district attorney or other local law enforcement official requesting such assistance in the investigation or prosecution of cases involving the role of social media platforms in broadcasting, streaming, promoting, or otherwise facilitating acts of violence as described in paragraph (c) of subdivision one of this section; and
(e) conduct hearings at any place within the state and require the production of any books, records, documents or other evidence he or she may deem relevant or material to an investigation.
§ 71. Attorney-general authorized to appear in cases involving the constitutionality of an act of the legislature, or a rule or regulation adopted pursuant thereto. 1. Whenever the constitutionality of a statute, or a rule or regulation adopted pursuant thereto is brought into question upon the trial, hearing or appeal of any action or proceeding, civil or criminal, in any court of record of original or appellate jurisdiction, and proof of the notice of such constitutional challenge, as required by paragraph one of subdivision (b) of section one thousand twelve of the civil practice law and rules, has not been filed, the court or justice before whom such action or proceeding is pending, shall make an order, directing the party desiring to raise such question, to serve notice thereof on the attorney-general, and providing that the attorney-general be permitted to appear at any such trial or hearing in support of the constitutionality of such statute, or rule or regulation adopted pursuant thereto. The court or justice before whom any such action or proceeding is pending may also make such order upon the application of any party thereto, and the court shall make such order in any such action or proceeding upon motion of the attorney-general. When such order has been made in any manner mentioned in this section and notice pursuant to such order has been given, the attorney-general shall be permitted to appear in such action or proceeding in support of the constitutionality of such statute, or a rule or regulation adopted pursuant thereto.
2. In the event the constitutionality of a statute, or rule or regulation adopted pursuant thereto is brought into question and the party questioning such constitutionality, or any other party to the action or proceeding serves the attorney-general pursuant to paragraph one of subdivision (b) of section one thousand twelve of the civil practice law and rules, proof of such service upon the attorney-general shall be accepted by the court in satisfaction of the provisions of subdivision one of this section.
3. The court having jurisdiction in an action or proceeding in which the constitutionality of a statute, rule or regulation is challenged, shall not consider any challenge to the constitutionality of such statute, rule or regulation unless proof of service of the notice required by this section or required by subdivision (b) of section one thousand twelve of the civil practice law and rules is filed with such court.
§ 72. When costs payable to relator. Where security is given by relator in an action brought by the attorney-general on the relation or information of a person having an interest, all costs and disbursements taxed in favor of the plaintiff shall be payable to the relator.
§ 73. Power to administer oaths and take acknowledgments. The attorney-general of the state of New York and all deputies and assistants appointed by him pursuant to section sixty-two of the executive law, who have duly qualified, shall have the power, while acting as such, to administer oaths and take affidavits and acknowledgments and proofs of written instruments to be read in evidence, anywhere within the state of New York, except such instruments as now are required by law to be recorded to create constructive notice thereof.
§ 74. Welfare inspector general. 1. Definitions. For the purposes of this section, the following definitions shall apply:
a. "Inspector" means the welfare inspector general created by this section.
b. "Investigation" means, investigations of fraud, abuse, or illegal acts perpetrated within the department of social services or local social services districts, or by contractees or recipients of public assistance services as provided by the department of social services.
c. "Office" means the office of the welfare inspector general created by this section.
2. a. There is hereby created in the department of law within the office of the deputy attorney general for medicaid fraud control an office of welfare inspector general. The head of the office shall be the welfare inspector general, who shall be appointed by the governor, by and with the advice and consent of the senate.
b. The inspector shall serve for a term of five years unless removed by the governor for neglect or malfeasance in office, and may also be removed for neglect or malfeasance by the senate upon a vote of two-thirds of its members. An inspector removed from office may not be reappointed to such office.
c. The inspector may not be employed with the department of social services during his employment with the office or within two years after terminating employment with the office.
3. Functions, duties and responsibilities. The inspector shall have the following functions, duties and responsibilities:
a. to appoint such deputies, directors, assistants and other officers and employees as may be needed for the performance of his duties and may prescribe their powers and fix their compensation within the amounts appropriated therefor;
b. to conduct and supervise investigations relating to the programs of the department of social services and, to the greatest extent possible, to coordinate such activities with the deputy attorney general for medicaid fraud control, the commissioner of social services, the commissioner of health, the commissioner of education, the fiscal agent employed to operate the medicaid management information system, and the state comptroller;
c. to keep the governor, attorney general, state comptroller, president pro tem and minority leader of the senate, the speaker and the minority and majority leaders of the assembly, apprised of fraud and abuse;
d. to prosecute fraud, abuse or illegal acts perpetrated within the department of social services or local social services districts, or by contractees or recipients of public assistance services;
e. to make information and evidence relating to criminal acts which he may obtain in carrying out his duties available to appropriate law enforcement officials and to consult with the deputy attorney general for medicaid fraud control and local district attorneys to coordinate investigations and criminal prosecutions;
f. to subpoena witnesses, administer oaths or affirmations, take testimony and compel the production of such books, papers, records and documents as he may deem to be relevant to an investigation undertaken pursuant to this section;
g. to monitor the implementation by the relevant office of his recommendations and those of other investigative agencies;
h. to recommend policies relating to the prevention and detection of fraud and abuse or the identification and prosecution of participants in such fraud or abuse; and
i. to receive complaints of alleged failures of state and local officials to prevent, detect and prosecute fraud and abuse.
4. Cooperation of agency officials and employees. a. In addition to the authority otherwise provided by this section, the inspector, in carrying out the provisions of this section, is authorized:
(i) to have full and unrestricted access to all records, reports, audits, reviews, documents, papers, recommendations or other material available to the department of social services and local social services districts relating to programs and operations with respect to which the inspector has responsibilities under this section;
(ii) to make such investigations relating to the administration of the programs and operations of the department of social services as are, in the judgment of the inspector, necessary or desirable; and
(iii) to request such information, assistance and cooperation from any federal, state or local governmental department, board, bureau, commission, or other agency or unit thereof as may be necessary for carrying out the duties and responsibilities enjoined upon him by this section. State and local agencies or units thereof are hereby authorized and directed to provide such information, assistance and cooperation.
b. Notwithstanding any other provision of law, rule or regulation to the contrary, no person shall prevent, seek to prevent, interfere with, obstruct or otherwise hinder any investigation being conducted pursuant to this section. Section one hundred thirty-six of the social services law shall in no way be construed to restrict any person or governmental body from cooperating and assisting the inspector or his employees in carrying out their duties under this section. Any violation of this paragraph shall constitute cause for suspension or removal from office or employment.
5. Establishment period. The governor shall nominate the initial inspector as soon as is practicable but in no event later than sixty days after the effective date of this section.
6. Reports required of the inspector. The inspector shall, no later than February first of each year submit to the governor, the state comptroller, the attorney general and the legislature a report summarizing the activities of the office during the preceding calendar year.
7. Disclosure of information. a. The inspector shall not publicly disclose information which is:
(i) a part of any ongoing investigation; or
(ii) specifically prohibited from disclosure by any other provision of law.
b. Notwithstanding paragraph a of this subdivision, any report under this section may be disclosed to the public in a form which includes information with respect to a part of an ongoing criminal investigation if such information has been included in a public record.
§ 75. Law enforcement misconduct investigative office. 1. Jurisdiction. This section shall, subject to the limitations contained in this section, confer upon the law enforcement misconduct investigative office jurisdiction over all covered agencies. For the purposes of this section "covered agency" means an agency of any political subdivision within the state maintaining a police force or police forces of individuals defined as police officers in section 1.20 of the criminal procedure law, provided however, covered agency does not include any agency, public authority, or other entity under the jurisdiction of the state inspector general pursuant to article four-A of the executive law, the metropolitan transportation authority inspector general pursuant to section one thousand two hundred seventy-nine of the public authorities law, or the port authority inspector general pursuant to chapter one hundred fifty-four of the laws of nineteen twenty-one.
2. Establishment and organization. (a) There is hereby established the law enforcement misconduct investigative office in the department of law. The head of the office shall be a deputy attorney general who shall be appointed by the attorney general.
(b) Such deputy attorney general may appoint one or more assistants to serve at his or her pleasure.
(c) The salary for the head of such office shall be established within the limit of funds available therefore; provided, however, such salary shall be no less than the salaries of certain state officers holding the positions indicated in paragraph (a) of subdivision one of section one hundred sixty-nine of this chapter.
(d) The mission of the law enforcement misconduct investigative office shall be to review, study, audit and make recommendations relating to the operations, policies, programs and practices, including ongoing partnerships with other law enforcement agencies, of state and local law enforcement agencies with the goal of enhancing the effectiveness of law enforcement, increasing public safety, protecting civil liberties and civil rights, ensuring compliance with constitutional protections and local, state and federal laws, and increasing the public's confidence in law enforcement.
3. Functions and duties. The deputy attorney general shall have the following duties and responsibilities:
(a) receive and investigate complaints from any source, or upon his or her own initiative, concerning allegations of corruption, fraud, use of excessive force, criminal activity, conflicts of interest or abuse in any covered agency;
(b) inform the heads of covered agencies of such allegations and the progress of investigations related thereto, unless special circumstances require confidentiality;
(b-1) promptly inform the division of criminal justice services, in the form and manner prescribed by the division, of such allegations and the progress of investigations related thereto unless special circumstances require confidentiality. Nothing in this paragraph shall require the division of criminal justice services to participate in the investigation of such allegations or take action or prevent the division of criminal justice services from taking action authorized pursuant to subdivision three of section eight hundred forty-five of this chapter in the time and manner determined by the commissioner of the division of criminal justice services;
(c) determine with respect to such allegations whether disciplinary action, civil or criminal prosecution, or further investigation by an appropriate federal, state or local agency is warranted, and to assist in such investigations, if requested by such federal, state, or local agency;
(d) prepare and release to the public written reports of investigations, as appropriate and to the extent permitted by law, subject to redaction to protect the confidentiality of witnesses and other information that would be exempt from disclosure under article six of the public officers law. The release of all or portions of such reports may be temporarily deferred to protect the confidentiality of ongoing investigations;
(e) review and examine periodically the policies and procedures of covered agencies with regard to the prevention and detection of corruption, fraud, use of excessive force, criminal activity, conflicts of interest and abuse;
(f) recommend remedial action to prevent or eliminate corruption, fraud, use of excessive force, criminal activity, conflicts of interest and abuse in covered agencies; and
(g) investigate patterns, practices, systemic issues, or trends identified by analyzing actions, claims, complaints, and investigations, including, but not limited to, any patterns or trends regarding departments, precincts, and commands; and
(h) on an annual basis, submit to the governor, the attorney general, the temporary president of the senate, the speaker of the assembly, the minority leader of the senate and the minority leader of the assembly, no later than December thirty-first, a report summarizing the activities of the office and recommending specific changes to state law to further the mission of the law enforcement misconduct investigative office.
4. Powers. The deputy attorney general shall have the power to:
(a) subpoena and enforce the attendance of witnesses;
(b) administer oaths or affirmations and examine witnesses under oath;
(c) require the production of any books and papers deemed relevant or material to any investigation, examination or review;
(d) notwithstanding any law to the contrary, examine and copy or remove documents or records of any kind prepared, maintained or held by any covered agency;
(e) require any officer or employee in a covered agency to answer questions concerning any matter related to the performance of his or her official duties. No statement or other evidence derived therefrom may be used against such officer or employee in any subsequent criminal prosecution other than for perjury or contempt arising from such testimony. The refusal of any officer or employee to answer questions shall be cause for removal from office or employment or other appropriate penalty;
(f) monitor the implementation by covered agencies of any recommendations made by the law enforcement misconduct investigative office; and
(g) perform any other functions that are necessary or appropriate to fulfill the duties and responsibilities of office.
5. Responsibilities of covered agencies, officers and employees. (a) Every officer or employee in a covered agency shall report promptly to the law enforcement misconduct investigative office any information concerning corruption, fraud, use of excessive force, criminal activity, conflicts of interest or abuse by another officer or employee relating to his or her office or employment, or by a person having business dealings with a covered agency relating to those dealings. The knowing failure of any officer or employee to so report shall be cause for removal from office or employment or other appropriate penalty. Any officer or employee who acts pursuant to this subdivision by reporting to the law enforcement misconduct investigative office shall not be subject to dismissal, discipline or other adverse personnel action.
(b) Upon receiving at least five complaints from five or more individuals relating to at least five separate incidents involving a certain officer or employee within two years, the head of any covered agency shall refer such complaints to the law enforcement misconduct investigative office for review. The law enforcement misconduct investigative office shall investigate such complaints to determine whether the subject officer or employee has engaged in a pattern or practice of misconduct, use of excessive force, or acts of dishonesty. The referral and investigation pursuant to this subdivision shall be in addition to and shall not supersede any civil, criminal, administrative or other action or proceeding relating to such complaints or the subject officer or employee.
(c) The head of any covered agency shall advise the governor, the temporary president of the senate, the speaker of the assembly, the minority leader of the senate, the minority leader of the assembly and the division of criminal justice services within ninety days of the issuance of a report by the law enforcement misconduct investigative office as to the remedial action that the agency has taken in response to any recommendation for such action contained in such report.
(d) Nothing in this section shall be construed to impede, infringe, or diminish the rights, privileges, benefits or remedies that accrue to any employee pursuant to any agreement entered into pursuant to article fourteen of the civil service law.
ARTICLE 6 DEPARTMENT OF STATE
Section 90. Department of state; secretary of state.
91. Rules.
92. Deputies.
93. Custody of records.
93-a. Examination of reports.
94. Commission on ethics and lobbying in government.
94-a. Consumer protection division.
94-b. Office for new Americans.
94-c. Major renewable energy development program.
95. Legislative manual.
96. Fees and refunds.
96-a. Fees for services rendered pursuant to the uniform commercial code.
97. Completing unfinished papers.
97-a. Affirmation in lieu of oath.
98. Copies of amendments to rules for admission of attorneys.
99. Central state registry of security guards.
100. Central state registry of armored car guards.
101. Accessibility, rules and regulations.
101-a. Legislative notification of the proposed adoption, amendment, suspension or repeal of agency rules.
101-b. Application by municipal corporations for the suspension of certain rules.
102. Filing and publication of codes, rules and regulations.
103. Future editions and supplements of official compilations.
104. Departmental cooperation.
104-a. Departmental cooperation regarding water quality.
105. Changes in codes, rules or regulations.
106. Proof of codes, rules and regulations.
106-a. Internet access to the New York code, rules and regulations.
107. Intergovernmental agreements.
108. Address confidentiality program.
109. Registration of certain service providers.
130. Appointment of notaries public.
131. Procedure of appointment; fees and commissions; fee payment methods.
132. Certificates of official character of notaries public.
133. Certification of notarial signatures.
134. Signature and seal of county clerk.
135. Powers and duties; in general; of notaries public who are attorneys at law.
135-a. Notary public or commissioner of deeds; acting without appointment; fraud in office.
135-b. Advertising by notaries public.
135-c. Electronic notarization.
136. Notarial fees.
137. Statement as to authority of notaries public.
138. Powers of notaries public or other officers who are stockholders, directors, officers or employees of a corporation.
139. Commissioners of deeds within the state.
140. Commissioners of deeds in the city of New York.
141. Commissioners of deeds in other states, territories and foreign countries.
142. Powers of such commissioners.
142-a. Validity of act of notaries public and commissioners of deeds notwithstanding certain defects.
143. Fees of such commissioners.
144. Saving clause.
144-a. Eligible professions for the purchase, sale, and use of body armor.
§ 90. Department of state; secretary of state. There shall be in the state government a department of state. The head of the department shall be the secretary of state who shall be appointed by the governor by and with the advice and consent of the senate and hold office until the end of the term of the governor by whom he was appointed and until his successor is appointed and has qualified. The secretary of state shall receive an annual salary within the amount appropriated therefor and his reasonable expenses when necessarily absent on public business pertaining to the duties of his office.
In addition to those divisions created and continued within the Department of State by other statutes, the secretary of state may establish such other divisions and bureaus in the department of state as he may deem necessary. He may prescribe the duties and powers of such divisions and bureaus which shall be exercised and performed under his supervision.
§ 91. Rules. Subject to and in conformity with the provisions of the constitution and laws of the state, the secretary of state may adopt and promulgate such rules which shall regulate and control the exercise of the powers of the department of state and the performance of the duties of officers, agents and other employees thereof.
§ 92. Deputies. The secretary of state shall appoint a deputy, who may perform all the duties of the secretary of state. Any such deputy shall receive an annual salary to be fixed by the secretary of state within the amount appropriated therefor. The secretary of state may also appoint and fix the compensation of such other deputies, assistants and employees as he shall deem necessary within the amount appropriated therefor and prescribe their powers and duties.
§ 93. Custody of records. 1. The secretary of state shall have the custody of all laws and concurrent resolutions of the legislature, all documents issued under the great seal, all books, records, deeds, parchments, maps and papers deposited or kept in his or her office, and shall properly arrange and preserve them.
2. The records in the custody of the secretary of state need not be retained in the form in which the record is received so long as the technology used to retain such record results in a permanent record which may be accurately reproduced during the period for which the record is required to be retained. The secretary of state may promulgate rules and regulations relating to the use by the department of state of automatic data processing, telecommunications and other information technologies for the processing of records for retention by the department of state.
§ 93-a. Examination of reports. The secretary of state shall examine all reports required to be filed with the department of state pursuant to article seven-A of this chapter in order to determine the nature and extent of the in-kind support provided by any covered entity to one or more recipient entities, as such terms are defined in section one hundred seventy-two-e of this chapter, and the nature and extent of covered communications by any covered entity, as such terms are defined in section one hundred seventy-two-f of this chapter. Notwithstanding any inconsistent provision of law, whenever the secretary of state, in consultation with the department of taxation and finance or the department of law, determines that the nature and extent of a covered entity's in-kind support to other entities or the nature and extent of a covered entity's spending on covered communications is inconsistent with the charitable purposes of such covered entity, the secretary shall cause the reports required by article seven-A of this chapter filed by such entity to be published on the website of the department of state upon such finding. Provided, however, that such publishing shall not include the names and addresses of individual donors to covered entities nor shall such publishing include the covered entity's Internal Revenue Service Form 990 Schedule B. The secretary shall report to the governor, the temporary president of the senate and the speaker of the assembly, by December thirty-first, two thousand twenty-two, and annually thereafter, on topics including but not limited to: the nature and extent of in-kind support provided by covered entities to recipient entities, as such terms are defined in section one hundred seventy-two-e of this chapter and the nature and extent of expenditures for covered communications. The secretary may request the assistance of the department of taxation and finance or the department of law in order to complete this report. Provided however that such report shall not include the names and addresses of individual donors to covered entities nor shall such report include the covered entity's Internal Revenue Service Form 990 Schedule B.
§ 94. Commission on ethics and lobbying in government. 1. (a) Commission established. There is hereby established within the department of state, a commission on ethics and lobbying in government, an 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 sections seventy-three, seventy-three-a, and seventy-four of the public officers law, candidates for statewide elected office and for the senate or assembly, and the political party chair as is defined in section seventy-three of the public officers law, lobbyists and the clients of lobbyists as defined in section one-c of the legislative law, and individuals 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.
(b) The commission shall provide for the transfer, assumption or other disposition of the records, property, and personnel affected by this section, and it is further provided, should any employees be transferred from the joint commission on public ethics ("JCOPE"), the predecessor ethics agency, to the commission, that such transfer will be without further examination or qualification and such employees shall retain their respective civil service classifications, status and collective bargaining agreements.
(c) The commission shall review any pending inquiries or matters affected by this section and shall establish policies to address them.
(d) The commission shall undertake a comprehensive review of all regulations in effect upon the effective date of this section; and review of all advisory opinions of predecessor ethics agencies, including JCOPE, the legislative ethics commission, the commission on public integrity, the state ethics commission, and the temporary lobbying commission, which will address the consistency of such regulations and advisory opinions among each other and with the new statutory language, and of the effectiveness of the existing laws, regulations, guidance and ethics enforcement structure.
(e) 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 possible, to administer and enforce the laws under its jurisdiction.
(f) The annual budget submitted by the governor shall separately state the recommended appropriations for the commission on ethics and lobbying in government. Upon enactment, these separately stated appropriations for the commission on ethics and lobbying in government shall not be decreased by interchange with any other appropriation, notwithstanding section fifty-one of the state finance law.
2. Definitions. For the purposes of this section, the following terms shall have the following meanings:
(a) "commission" means the commission on ethics and lobbying in government established pursuant to subdivision one of this section.
(b) "selection members" means the governor, speaker of the assembly, temporary president of the senate, minority leader of the senate, minority leader of the assembly, comptroller, and the attorney general.
(c) "independent review committee" means the committee of the American Bar Association accredited New York state law school deans or interim deans, or their designee who is an associate dean of their respective law school, tasked with reviewing, approving, or denying the members of the commission as nominated by the selection members and other tasks pursuant to this section.
(d) "respondent" means the individual or individuals or organization or organizations subject to an inquiry, investigation, or enforcement action.
(e) "victim" means any individual that has suffered or alleged to have suffered direct harm from any violation of law that is subject to investigation under the jurisdiction of the commission.
3. Nomination and appointment of the commission. (a) The commission shall consist of eleven members, to be nominated by the selection members as follows: three members by the governor; two members by the temporary president of the senate; one member by the minority leader of the senate; two members by the speaker of the assembly; one member by the minority leader of the assembly; one member by the attorney general; and one member by the comptroller.
(b) The independent review committee shall within thirty days review the qualifications of the nominated candidates and approve or deny each candidate nominated by their respective selection member.
(c) The independent review committee shall publish on its website a procedure by which it will review the qualifications of the nominated candidate and approve or deny each candidate.
(d) Those candidates that the independent review committee deems to meet the qualifications necessary for the services required based on their background and expertise that relate to the candidate's potential service on the commission shall be appointed as a commission member. The nominating selection member shall nominate a new candidate for those that are denied by the independent review committee.
(e) No individual shall be eligible for nomination and 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 or employee 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 chair, as defined in section seventy-three of the public officers law; or
(iv) been a state officer or employee as defined in section seventy-three of the public officers law.
(f) The independent review committee shall convene as needed or as requested by the selection members. The chair of the independent review committee shall be elected from the members of the independent review committee.
(g) Appropriate staffing and other resources shall be provided for in the commission's budget for the independent review committee to carry out its powers, functions, and duties. The independent review committee shall publish on the commission's website a procedure by which it will review and select the commission members and other processes to effectuate its responsibilities under this section.
(h) The majority of the independent review committee shall constitute a quorum to hold a meeting and conduct official business.
(i) During the pendency of the review and approval or denial of the candidates, the independent review committee shall be subject to and maintain confidentiality in all independent review committee processes, reviews, analyses, approvals, and denials. A member of the independent review committee may be removed by majority vote of the committee for substantial neglect of duty, misconduct, violation of the confidentiality restrictions set forth in this section, inability to discharge the powers or duties of the committee or violation of this section, after written notice and opportunity for a reply.
(j) Upon the receipt of the selection members' appointments, members of the independent review committee shall disclose to the independent review committee any personal, professional, financial, or other direct or indirect relationships a member of the independent review committee may have with an appointee. If the independent review committee determines a conflict of interest exists, such independent review committee member shall, in writing, notify the other members of the independent review committee of the possible conflict. The member may recuse themself from all subsequent involvement in the consideration of and action upon the appointment. If, after disclosure, the member does not recuse themself from the matter, the independent review committee, by majority vote finding the disclosed information creates a substantial conflict of interest, may remove the conflicted member from further consideration of and action upon the appointment.
(k) Notwithstanding the provisions of article seven of the public officers law, no meeting or proceeding of the independent review committee shall be open to the public, except the applicable records pertaining to the review and selection process for a member's seat shall be subject to disclosure pursuant to article six of the public officers law only after an individual member is appointed to the commission. Requests for such records shall be made to, and processed by, the commission's records access officer.
(l) The independent review committee shall neither be public officers nor be subject to the requirements of the public officers law.
(m) Notwithstanding subdivision (l) of this section, the independent review committee members shall be entitled to representation, indemnification, and to be held harmless to the same extent as any other person employed in service of the state and entitled to such coverage under sections seventeen and nineteen of the public officers law, provided however, that any independent review committee member removed due to a violation of paragraph (i) of this subdivision shall not qualify for such entitlements.
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, the governor's first appointee shall serve an initial term of four years, their second appointee shall serve an initial term of two years, and their third appointee shall serve an initial term of one year; the attorney general's appointee shall serve an initial term of four years; the comptroller's appointee shall serve an initial term of four years; the temporary president of the senate's first appointee shall serve an initial term of four years and their second appointee shall serve a term of two years; the minority leader of the senate's appointee shall serve an initial term of four years; the speaker of the assembly's first appointee shall serve initial terms of four years and their second appointee shall serve a term of two years; and the minority leader of the assembly's appointee shall serve a term of four years. 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 only 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 no more than two terms for such office.
(c) Members of the commission may be removed by majority vote of the commission 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 initially selected to complete the vacant term.
(e) During the period of a member's service as a member of the commission, the member shall refrain from making, or soliciting from other persons, any contributions to candidates, political action committees, political parties or committees, newsletter funds, or political advertisements 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 performance of the member's duties under this section, and, in addition thereto, shall be reimbursed for all reasonable expenses actually and necessarily 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) The commission shall meet at least quarterly and additionally as called by the chairperson, or upon the call of a majority of the members of the commission. The commission shall be subject to articles six and seven of the public officers law.
(h) A majority of the 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.
(i) 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 disclosure 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 shall adopt and post on its website guidance documents detailing the processes and procedures of an investigation, including the stages of an investigation; timelines, including the reasons for any potential delays in an investigation; the hearing and adjudication process; outcomes of an investigation; and, anything else the commission deems necessary to inform the public as well as relevant parties to an investigation including complainants, respondents, victims, if any, and witnesses as to such processes and procedures. The guidance documents shall delineate the processes and procedures that apply to the relevant parties, including, where applicable, the due process and any other rights or remedies that the relevant party may have under the commission's procedures or any other area of law. The guidance documents shall be provided to the relevant party of an investigation upon such party's involvement in such investigation.
(c) 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 through a majority vote of the members of the commission, 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 meet the qualifications necessary for the services required based on their background and expertise that relate to the candidate's potential service to the commission. 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 or employee 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 chair, as defined in section seventy-three of the public officers law.
(ii) The appointment and removal of the executive director shall be made by a majority vote of the commission.
(iii) 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.
(iv) 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) The commission may delegate authority to the executive director to act in the name of the commission between meetings of the commission provided such delegation 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) The commission, through the executive director, shall establish units within the commission to carry out it duties, including, but not limited to, (i) an advice and guidance unit, (ii) a training unit, (iii) a financial disclosure unit, (iv) a lobbying unit, and (v) an investigations and enforcement unit.
(d) The commission, through the executive director, shall 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) In addition to meeting the qualifications necessary for the services required for the position, the deputy director for investigations and enforcement shall have completed substantial training and have experience in trauma-informed approaches to investigations and enforcement. The deputy director for investigations and enforcement shall complete a minimum of four hours of training annually in trauma-informed approaches to investigations and enforcement. Such trainings may include, but not be limited to, the impact of trauma, first impression matters, victim interviews, investigative strategies, and alcohol and drug facilitated cases.
(f) The commission, through the executive director, shall 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.
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, except with respect to members of the legislature and legislative staff, who shall seek advice from the legislative ethics commission in the first instance.
(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 confidential, 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. 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:
(a) The commission shall develop and administer a comprehensive and interactive live-in person 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 question-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, seventy-three-a, and seventy-four of the public officers law, and the political party chair as is defined in section seventy-three 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 subsequently.
(b) 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, regulation, or policy or in the interpretation thereof, and practical application of the material covered. Unless the commission grants an extension or waiver for good cause shown, such individuals shall take such refresher course once every year after having completed the live course under paragraph (a) of this subdivision.
(c) The commission shall develop and administer an online live question and answer course for agency ethics officers.
(d) The commission shall develop and administer training courses for lobbyists and clients of lobbyists.
(e) 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.
(f) 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 seventy-three-a of the public officers law.
(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, deficiencies and conflicts.
(d) The commission shall review on a random basis the financial disclosure statements for filers who are not statewide elected officials and members of the legislature.
(e) 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 requirements 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.
(f) 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 employee or a political party chair or while a candidate for statewide office, 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 for two years notwithstanding that the reporting person separates from state service, or ceases to hold public or political 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.
(g) 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 justifiable cause or undue hardship.
(h) 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.
(i) 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 information 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 individual'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 commission's determination, pursuant to article seventy-eight of the civil practice law and rules.
(j) 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 subparagraph (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 investigation or prosecution by law enforcement authorities, bankruptcy, or domestic relations matters. In addition, clients or customers receiving medical or dental services, mental health services, residential real estate brokering services, or insurance brokering 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 period 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 information shall not be made public and shall be expunged in its entirety.
(k) The commission shall permit any person who has not been determined by the person's appointing authority to hold a policy-making position, but who is otherwise required to file a financial disclosure 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 and section five-b of the legislative law, or section one hundred seven of the civil service law.
(b) Upon the receipt of a complaint, referral, or the commencement of an investigation, members of the commission shall disclose to the commission any personal, professional, financial, or other direct or indirect relationships a member of the commission may have with a complainant or respondent. If any commissioner determines a conflict of interest may exist, the commissioner shall, in writing, notify the other members of the commission setting forth the possible conflict of interest. The commissioner may recuse themself from all subsequent involvement in the consideration and determination of the matter. If, after the disclosure, the commissioner does not recuse themself from the matter, the commission, by a majority vote finding that the disclosed information creates a substantial conflict of interest, shall remove the conflicted commissioner from all subsequent involvement in the consideration and determination of the matter, provided the reason for the decision is clearly stated in the determination of the commission.
(c) 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. The commission may, by a majority vote and pursuant to regulations adopted pursuant to the state administrative procedure act, delegate to the executive director the authority to issue subpoenas, provided that the executive director first notify the chair of the commission.
(d) 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.
(e) The commission shall notify the complainant, if any, that the commission has received their complaint.
(f) If, following a preliminary review of any complaint or referral, the commission or commission staff decides to elevate such preliminary review into an investigation, written notice shall be provided to the respondent setting forth, to the extent the commission is able to, the possible or alleged violation or violations of such law and a description of the allegations against the respondent and the evidence, if any, already gathered pertaining to such allegations, provided however that any information that may, in the judgment of the commission or staff, either be prejudicial to the complainant or compromise the investigation shall be redacted. The respondent shall have fifteen days from receipt of the written notice to provide any preliminary response or information the respondent determines may benefit the commission or commission staff in its work. After the review and investigation, the staff shall prepare a report to the commission setting forth the allegation or allegations made, the evidence gathered in the review and investigation tending to support and disprove, if any, the allegation or allegations, the relevant law, and a recommendation for the closing of the matter as unfounded or unsubstantiated, for settlement, for guidance, or moving the matter to a confidential due process hearing. The commission shall, by majority vote, return the matter to the staff for further investigation or accept or reject the staff recommendation.
(g) In an investigation involving a victim the commission shall ensure that any interview of such victim is upon such victim's consent and that the investigator or investigators interviewing such victim have adequate trauma informed and victim centered investigative training. If a victim is requested to testify at a hearing, the commission shall provide sufficient notice to the victim of such request. Regardless of whether a victim is requested to or testifies at a hearing, the victim shall be informed as to how any statements made or information provided will be used in an investigation.
(h) Upon the conclusion of an investigation, if the commission, after consideration of a staff report, determines by majority vote that 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 rules regarding the conduct of adjudicatory proceedings and appeals and the other due process procedural mechanisms available to the respondent. If after a hearing the complaint is unsubstantiated or unfounded, the commission shall provide written notice to the respondent, complainant, if any, and victim, if any, provided that such notice shall not include any personally identifying information or information tending to identify any party involved in an investigation.
(i) 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.
(j) 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 confidential guidance or educational letter.
(k) 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 legislative 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.
(l) If the commission's vote to proceed to a due process hearing after the completion of an investigation does not carry, the commission shall provide written notice of the decision to the respondent, complainant, if any, and victim, if any, provided that such notice shall not include any personally identifying information or information tending to identify any party involved in an investigation.
(m) If the commission determines a complaint or referral lacks specific and credible evidence of a violation of the laws under its jurisdiction, or a matter is closed due to the allegations being unsubstantiated prior to a vote by the commission, such records and all related material shall be exempt from public disclosure under article six of the public officers law, except the commission's vote shall be publicly disclosed in accordance with articles six and seven of the public officers law. The commission shall provide written notice of such closure to the respondent, complainant, if any, or victim, if any, provided that such notice shall not include any personally identifying information or information tending to identify any party involved in an investigation.
(n) (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 individual 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 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 or section one hundred seven of the civil service law, except that the commission may recommend that the individual in violation of such subdivision or section be disciplined.
(o) The commission shall 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 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 mechanisms substantially similar to those set forth in article three of the state administrative procedure act but such mechanisms need not be identical in terms or scope.
(p) (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 or section one hundred seven of the civil service law. If, after investigation 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, by a majority vote, a substantial basis to conclude that the individual or entity has violated the public officers law, section one hundred seven of the civil service law, or the legislative law, the commission shall determine whether, in addition to or in lieu of any fine authorized by this article, the matter 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 complainant and respondent. The commission shall publish such report on its website within twenty days of its delivery to the complainant and 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, or when necessary to inform the complainant or respondent of the alleged violation of law, if any, of the status of an investigation, 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 paragraph, "matter" shall mean any complaint, review, inquiry, or investigation 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 general, 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 information 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 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 on the number of investigations pending and nature of such investigations;
(iii) where a matter has been resolved, the date and nature of the disposition and any sanction imposed; provided, however, that such annual 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 April for the preceding year.
13. Website. (a) Within one hundred twenty days of the effective date of this section, the commission shall update JCOPE's publicly accessible website which shall set forth the procedure for filing a complaint with the commission, the filing of financial disclosure 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 commission 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 officers law except information deleted pursuant to paragraph (g) of subdivision nine of this section of statewide elected officials and members of the legislature;
(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;
(v) those required to be held or maintained publicly available pursuant 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 administer 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.
§ 94-a. Consumer protection division. 1. Legislative declaration. The legislature hereby finds and declares that the consumption of goods and services is an economic activity that affects the life of every citizen. The legislature further finds that unscrupulous and questionable business practices are detrimental to the economic well-being of the citizens of this state. In order to protect the people of New York state from economic harm the legislature finds that it is appropriate that the responsibilities of the consumer protection board be consolidated into a new consumer protection division under the supervision of the secretary.
2. Consumer protection division. (a) The secretary shall establish a consumer protection division in the department.
(b) The secretary is authorized to establish within the consumer protection division one or more units and assign appropriate functions to any such unit and may appoint such staff as necessary and prescribe their duties and fix their compensation within the appropriation provided by law.
(c) The secretary shall establish a public education and outreach campaign to publicize the consumer protection division so as to maximize public awareness of, and the services provided by, such division.
3. Powers of the consumer protection division. (a) The division shall have the power and duty to:
(1) receive complaints of consumers, attempt to mediate such complaints where appropriate, and refer complaints to the appropriate unit of the department, or federal, state or local agency authorized by law for appropriate action on such complaints;
(2) coordinate the activities of all state agencies performing consumer protection functions;
(3) initiate and encourage consumer education programs;
(4) conduct investigations, research, studies and analyses of matters affecting the interests of consumers;
(5) cooperate with and assist the attorney general and the department of financial services in the carrying out of legal enforcement responsibilities for the protection of consumers;
(6) implement other powers and duties by regulation and otherwise as prescribed by any provision of law;
(7) (i) advise and make recommendations to the governor on matters affecting the consumers of the state and promote and encourage the protection of the legitimate interests of consumers within the state;
(ii) study the operation of consumer protection laws and recommend to the governor new laws and amendments of laws for consumer protection;
(8) represent the interests of consumers of the state before federal, state and local administrative and regulatory agencies;
(9) establish a process by which victims of identity theft will receive assistance and information to resolve complaints. To implement the process the secretary shall have the authority to:
(i) promulgate rules and regulations to administer the identity theft prevention and mitigation program; and
(ii) act as a liaison between the victim and any state agency, public authority, or any municipal department or agency, the division of state police, and county or municipal police departments, and any non-governmental entity, including but not limited to, consumer credit reporting agencies, to facilitate the victim obtaining such assistance and data as will enable the program to carry out its duties to help consumers resolve the problems that have resulted from the identity theft. Trade secrets and proprietary business information contained in the documents or records that may be received by the division shall be exempt from disclosure to the extent allowed by article six of the public officers law;
(10) undertake activities to encourage business and industry to maintain high standards of honesty, fair business practices, and public responsibility in the production, promotion and sale of consumer goods and services;
(11) conduct product research and testing and, where appropriate, contract with private agencies and firms for the performance of such services;
(12) cooperate with and assist local governments in the development of consumer protection activities;
(13) establish advisory councils to assist in policy formulation on specific consumer problems;
(14) cooperate with and assist consumers in class actions in proper cases;
(15) create an internet website or webpage pursuant to section three hundred ninety-c of the general business law, as added by chapter five hundred nine of the laws of two thousand seven; and
(16) exercise such powers and duties granted to the secretary by article sixteen of the energy law as the secretary may direct, including, but not limited to: consult with such president of the New York state energy research and development authority in connection with investigations conducted by such president pursuant to article sixteen of the energy law; make determinations relating to compliance by products with the standards adopted pursuant to article sixteen of the energy law; order the immediate cessation of any distribution, sale or offer for sale, import, or installation of any product that does not meet such standards; and impose civil penalties as contemplated by article sixteen of the energy law.
4. Utility intervention unit. (a) There is established within the division a state utility intervention unit.
(b) The utility intervention unit shall have the power and duty to:
(i) on behalf of the secretary, initiate, intervene in, or participate in any proceedings before the public service commission or the department of public service, to the extent authorized by sections three-b, twenty-four-a, seventy-one, eighty-four or ninety-six of the public service law or any other applicable provision of law, where he or she deems such initiation, intervention or participation to be necessary or appropriate;
(ii) represent the interests of consumers of the state before federal, state and local administrative and regulatory agencies engaged in the regulation of energy services;
(iii) accept and investigate complaints of any kind from Long Island power authority consumers, attempt to mediate such complaints where appropriate directly with such authority and refer complaints to the appropriate state or local agency authorized by law to take action with respect to such complaints; and
(iv) hold regular forums in each of the service territories of the combination gas and electric corporations, as defined under section two of the public service law, and the Long Island power authority to educate consumers about utility-related matters and the regulatory process, opportunities to lower energy costs, including through energy efficiency and distributed generation, and other matters affecting consumers.
5. Reports. (a) No later than March fifteenth of each year, beginning in two thousand twelve, the secretary shall furnish to the governor, the speaker of the assembly and the temporary president of the senate a report describing the activities of the consumer protection division. The secretary shall prepare quarterly a report to the governor, the speaker of the assembly and the temporary president of the senate of the category and number of complaints received by the division during the previous quarter in sufficient detail to assist the recipients in determining the need for additional laws for the protection of the consumer. Additionally, all such complaints received by the division shall be maintained on a category by category basis.
(b) No later than January first, two thousand twelve, the secretary shall furnish to the governor, the speaker of the assembly and the temporary president of the senate a report describing the activities of the consumer protection division regarding the public education and outreach campaign required pursuant to paragraph (c) of subdivision two of this section.
§ 94-b. Office for new Americans. 1. Legislative intent. The legislature hereby finds and declares that, according to the 2010 census, approximately twenty-two percent of New Yorkers were not born in the United States, nine percent above the national average. For years immigrants have come to the United States to make a better life for themselves. It is of utmost importance to the state that these new Americans be given the tools to assist them in making a better life for themselves, particularly through programs that help develop and leverage their skills and strengthen their connections with their communities and through programs to reduce exploitation of vulnerable immigrant populations.
2. Definitions. For the purposes of this section, the terms "new American" and "immigrant" shall refer to non-citizen domicilaries of New York state whose country of origin is other than the United States.
3. Office for new Americans; director. There is hereby created within the department of state the office for new Americans. The secretary shall appoint a director of the office to accomplish the responsibilities set forth in this section. Such director shall receive an annual salary within amounts appropriated and shall serve at the pleasure of the secretary.
4. Organization of the office for new Americans. The secretary shall have the power to establish, consolidate, reorganize, or abolish any organizational units within the office as he or she determines to be necessary for efficient operation thereof. The secretary shall assign functions to any such unit and may appoint staff, agents, and consultants, prescribe their duties, and fix their compensation within amounts appropriated.
5. Powers and duties of the office for new Americans. The office for new Americans shall have the power and responsibility to:
(a) Create a network of neighborhood-based opportunity centers;
(b) Increase access to English-for-speakers-of-other-languages (ESOL) training, including by engaging not-for-profit organizations and other qualified providers of ESOL training services;
(c) Assist immigrants in matters relating to immigration status, including but not limited to assisting with the naturalization process and applications for deferred action for childhood arrivals;
(d) Connect immigrants to business resources that harness their skills, employment referral programs, and other workforce development programs;
(e) Develop and leverage the skills of immigrants to benefit their communities and the state;
(f) Strengthen the connections between immigrants and their communities through civic engagement;
(g) Reduce exploitation of immigrants;
(h) Establish a toll-free multi-lingual hotline and a website for purposes including but not limited to dissemination of information about the programs and services offered by the office for new Americans, referral for services, and receipt of complaints relating to fraud and other related crimes against immigrants;
(i) Ensure that individuals referred by the office are directed to service providers who are in compliance with article twenty-eight-C of the general business law or providers certified by the bureau of immigration appeals;
(j) Using information developed by the office through the hotline, assist law enforcement in combatting crimes against immigrants;
(k) Advise the governor and secretary concerning matters affecting immigrants in the state in order to promote and encourage the full participation of immigrants in the state's civic and economic life;
(l) Coordinate with other state agencies and otherwise marshal the resources of the state to serve the needs of immigrants;
(m) Encourage and assist local governments in the development of activities to enhance civic engagement among immigrants and in immigrant communities; and
(n) Beginning in two thousand fifteen, by June fifteenth of each year, produce a report to the governor, the speaker of the assembly, and the temporary president of the senate describing the activities of the office, including but not limited to, summarizing calls received through the hotline and website, information on ESOL training services provided by the office, the number of immigrants assisted through the opportunity centers, or an estimation thereof, the status of any workforce development programs, and any other relevant information.
* § 94-c. Major renewable energy development program. 1. Purpose. It is the purpose of this section to consolidate the environmental review and permitting of major renewable energy facilities in this state and to provide a single forum in which the office of renewable energy siting created by this section may undertake a coordinated and timely review of proposed major renewable energy facilities to meet the state's renewable energy goals while ensuring the protection of the environment and consideration of all pertinent social, economic and environmental factors in the decision to permit such facilities as more specifically provided in this section.
2. Definitions. (a) "Executive director" or "director" shall mean the executive director of the office of renewable energy siting.
(b) "CLCPA targets" shall mean the public policies established in the climate leadership and community protection act enacted in chapter one hundred six of the laws of two thousand nineteen, including the requirement that a minimum of seventy percent of the statewide electric generation be produced by renewable energy systems by two thousand thirty, that by the year two thousand forty the statewide electrical demand system will generate zero emissions and the procurement of at least nine gigawatts of offshore wind electricity generation by two thousand thirty-five, six gigawatts of photovoltaic solar generation by two thousand twenty-five and to support three gigawatts of statewide energy storage capacity by two thousand thirty.
(c) "Local agency account" or "account" shall mean the account established by the office pursuant to subdivision seven of this section.
(d) "Local agency" means any local agency, board, district, commission or governing body, including any city, county, and other political subdivision of the state.
(e) "Municipality" shall mean a county, city, town, or village.
(f) "Office" shall mean the office of renewable energy siting established pursuant to this section.
(g) "Department" shall mean the department of state.
(h) "Major renewable energy facility" means any renewable energy system, as such term is defined in section sixty-six-p of the public service law as added by chapter one hundred six of the laws of two thousand nineteen, with a nameplate generating capacity of twenty-five thousand kilowatts or more, and any co-located system storing energy generated from such a renewable energy system prior to delivering it to the bulk transmission system, including all associated appurtenances to electric plants as defined under section two of the public service law, including electric transmission facilities less than ten miles in length in order to provide access to load and to integrate such facilities into the state's bulk electric transmission system.
(i) "Siting permit" shall mean the major renewable energy facility siting permit established pursuant to this section and the rules and regulations promulgated by the office.
(j) "Dormant electric generating site" shall mean a site at which one or more electric generating facilities produced electricity but has permanently ceased operating.
3. Office of renewable energy siting; responsibilities. (a) There is hereby established within the department an office of renewable energy siting which is charged with accepting applications and evaluating, issuing, amending, approving the assignment and/or transfer of siting permits. The office shall exercise its authority by and through the executive director.
(b) The office shall within one year of the effective date of this section establish a set of uniform standards and conditions for the siting, design, construction and operation of each type of major renewable energy facility relevant to issues that are common for particular classes and categories of major renewable energy facilities, in consultation with the New York state energy research and development authority, the department of environmental conservation, the department of public service, the department of agriculture and markets, and other relevant state agencies and authorities with subject matter expertise. Prior to adoption of uniform standards and conditions, the office shall hold four public hearings in different regions of the state to solicit comment from municipal, or political subdivisions, and the public on proposed uniform standards and conditions to avoid, minimize or mitigate potential adverse environmental impacts from the siting, design, construction and operation of a major renewable energy facility.
(c) The uniform standards and conditions established pursuant to this section shall be designed to avoid or minimize, to the maximum extent practicable, any potential significant adverse environmental impacts related to the siting, design, construction and operation of a major renewable energy facility. Such uniform standards and conditions shall apply to those environmental impacts the office determines are common to each type of major renewable energy facility.
(d) In its review of an application for a permit to develop a major renewable energy facility, the office, in consultation with the department of environmental conservation, shall identify those site-specific environmental impacts, if any, that may be caused or contributed to by a specific proposed major renewable energy facility and are unable to be addressed by the uniform standards and conditions. The office shall draft in consultation with the department of environmental conservation site specific permit terms and conditions for such impacts, including provisions for the avoidance or mitigation thereof, taking into account the CLCPA targets and the environmental benefits of the proposed major renewable energy facility, provided, however, that the office shall require that the application of uniform standards and conditions and site-specific conditions shall achieve a net conservation benefit to any impacted endangered and threatened species.
(e) To the extent that environmental impacts are not completely addressed by uniform standards and conditions and site-specific permit conditions proposed by the office, and the office determines that mitigation of such impacts may be achieved by off-site mitigation, the office may require payment of a fee by the applicant to achieve such off-site mitigation. If the office determines, in consultation with the department of environmental conservation, that mitigation of impacts to endangered or threatened species that achieves a net conservation benefit can be achieved by off-site mitigation, the amount to be paid for such off-site mitigation shall be set forth in the final siting permit. The office may require payment of funds sufficient to implement such off-site mitigation into the endangered and threatened species mitigation fund established pursuant to section ninety-nine-hh of the state finance law.
(f) The office, by and through the executive director, shall be authorized to conduct hearings and dispute resolution proceedings, issue permits, and adopt such rules, regulations and procedures as may be necessary, convenient, or desirable to effectuate the purposes of this section.
(g) The office shall within one year of the effective date of this section promulgate rules and regulations with respect to all necessary requirements to implement the siting permit program established in this section and promulgate modifications to such rules and regulations as it deems necessary; provided that the office shall promulgate regulations requiring the service of applications on affected municipalities and political subdivisions simultaneously with submission of the application to the office.
(h) At the request of the office, all other state agencies and authorities are hereby authorized to provide support and render services to the office within their respective functions.
(i) Notwithstanding any other provision of law, rule, or regulation to the contrary and consistent with appropriations therefor, employees of any state agency who are necessary to the functions of the office and who may be substantially engaged in the performance of its functions shall be transferred to the office in accordance with the provisions of section seventy of the civil service law. Employees transferred pursuant to this section shall be transferred without further examination or qualification and shall retain their respective civil service classifications. Nothing set forth in this subdivision shall be construed to impede, infringe, or diminish the rights and benefits that accrue to employees through collective bargaining agreements, impact or change an employee's membership in a bargaining unit, or otherwise diminish the integrity of the collective bargaining relationship.
4. Applicability. (a) On and after the effective date of this section, no person shall commence the preparation of a site for, or begin the construction of, a major renewable energy facility in the state, or increase the capacity of an existing major renewable energy facility, without having first obtained a siting permit pursuant to this section. Any such major renewable energy facility with respect to which a siting permit is issued shall not thereafter be built, maintained, or operated except in conformity with such siting permit and any terms, limitations, or conditions contained therein, provided that nothing in this subdivision shall exempt such major renewable energy facility from compliance with federal laws and regulations.
(b) A siting permit issued by the office may be transferred or assigned, subject to the prior written approval of the office, to a person that agrees to comply with the terms, limitations and conditions contained in such siting permit.
(c) The office or a permittee may initiate an amendment to a siting permit under this section. An amendment initiated by the office or permittee that is likely to result in any material increase in any environmental impact or involves a substantial change to the terms or conditions of a siting permit shall comply with the public notice and hearing requirements of this section.
(d) Any hearings or dispute resolution proceedings initiated under this section or pursuant to rules or regulations promulgated pursuant to this section may be conducted by the executive director or any person to whom the executive director shall delegate the power and authority to conduct such hearings or proceedings in the name of the office at any time and place.
(e) This section shall not apply:
(i) to a major renewable energy facility, or any portion thereof, over which any agency or department of the federal government has exclusive siting jurisdiction, or has siting jurisdiction concurrent with that of the state and has exercised such jurisdiction to the exclusion of regulation of the facility by the state; provided, however, nothing herein shall be construed to expand federal jurisdiction;
(ii) to normal repairs, maintenance, replacements, non-material modifications and improvements of a major renewable energy facility, whenever built, which are performed in the ordinary course of business and which do not constitute a violation of any applicable existing permit;
(iii) to a major renewable energy facility if, on or before the effective date of this section, an application has been made or granted for a license, permit, certificate, consent or approval from any federal, state or local commission, agency, board or regulatory body, including the submission of a pre-application public involvement program plan under article ten of the public service law and its implementing regulations, in which application the location of the major renewable energy facility has been designated by the applicant, except in the case of a person who elects to be subject to this section as authorized by paragraph e of subdivision four of section one hundred sixty-two of the public service law.
(f) Any person intending to construct a major renewable energy facility excluded from this section pursuant to paragraph (ii) or (iii) of paragraph (e) of this subdivision may elect to become subject to the provisions of this section by filing an application for a siting permit. This section shall thereafter apply to each major renewable energy facility identified in such notice from the date of its receipt by the office. With respect to such major renewable energy facilities, the rules and regulations promulgated pursuant to this section shall set forth an expedited permitting process to account for matters and issues already presented and resolved in relevant alternative permitting proceedings.
(i) With respect to a major renewable energy facility for which an application was previously reviewed pursuant to article ten of the public service law, and for which a completeness determination had already been issued at the time an application was filed pursuant to this section, such application shall be considered complete pursuant to this section upon filing.
(ii) With respect to a major renewable energy facility for which an application was previously reviewed pursuant to article ten of the public service law, and for which a completeness determination had not been issued at the time the application was filed pursuant to this section, the sixty-day time period provided in paragraph (b) of subdivision five of this section shall commence upon filing.
(g) Any person intending to construct a facility that is a renewable energy system, as such term is defined in section sixty-six-p of the public service law as added by chapter one hundred six of the laws of two thousand nineteen, with a nameplate capacity of at least twenty thousand but less than twenty-five thousand kilowatts, may apply to become subject to the provisions of this section by filing an application for a siting permit. Upon submission of such application, the subject renewable energy facility shall be treated as a "major renewable energy facility" exclusively for purposes of permitting under this section.
5. Application, municipal notice and review. (a) Until the office establishes uniform standards and conditions required by subdivision three of this section and promulgates regulations specifying the content of an application for a siting permit, an application for a siting permit submitted to the office shall conform substantially to the form and content of an application required by section one hundred sixty-four of the public service law.
(b) Notwithstanding any law to the contrary, the office shall, within sixty days of its receipt of an application for a siting permit determine whether the application is complete and notify the applicant of its determination. If the office does not deem the application complete, the office shall set forth in writing delivered to the applicant the reasons why it has determined the application to be incomplete. If the office fails to make a determination within the foregoing sixty-day time period, the application shall be deemed complete; provided, however, that the applicant may consent to an extension of the sixty-day time period for determining application completeness. Provided, further, that no application may be complete without proof of consultation with the municipality or political subdivision where the project is proposed to be located, or an agency thereof, prior to submission of an application to the office, related to procedural and substantive requirements of local law.
(c) (i) No later than sixty days following the date upon which an application has been deemed complete, and following consultation with any relevant state agency or authority, the office shall publish for public comment draft permit conditions prepared by the office, which comment period shall be for a minimum of sixty days from public notice thereof. Such public notice shall include, at a minimum, written notice to the municipality or political subdivision in which the major renewable energy facility is proposed to be located; publication in a newspaper or in electronic form, having general circulation in such municipality or political subdivision; and posted on the office's website.
(ii) For any municipality, political subdivision or an agency thereof that has received notice of the filing of an application, pursuant to regulations promulgated in accordance with this section, the municipality or political subdivision or agency thereof shall within the timeframes established by this subdivision submit a statement to the office indicating whether the proposed facility is designed to be sited, constructed and operated in compliance with applicable local laws and regulations, if any, concerning the environment, or public health and safety. In the event that a municipality, political subdivision or an agency thereof submits a statement to the office that the proposed facility is not designed to be sited, constructed or operated in compliance with local laws and regulations and the office determines not to hold an adjudicatory hearing on the application, the department shall hold non-adjudicatory public hearing in the affected municipality or political subdivision.
(d) If public comment on a draft permit condition published by the office pursuant to this subdivision, including comments provided by a municipality or political subdivision or agency thereof, or members of the public raises a substantive and significant issue, as defined in regulations adopted pursuant to this section, that requires adjudication, the office shall promptly fix a date for an adjudicatory hearing to hear arguments and consider evidence with respect thereto.
(e) Following the expiration of the public comment period set forth in this subdivision, or following the conclusion of a hearing undertaken pursuant to this subdivision, the office shall, in the case of a public comment period, issue a written summary of public comment and an assessment of comments received, and in the case of an adjudicatory hearing, the executive officer or any person to whom the executive director has delegated such authority, shall issue a final written hearing report. A final siting permit may only be issued if the office makes a finding that the proposed project, together with any applicable uniform and site-specific standards and conditions would comply with applicable laws and regulations. In making this determination, the office may elect not to apply, in whole or in part, any local law or ordinance which would otherwise be applicable if it makes a finding that, as applied to the proposed major renewable energy facility, it is unreasonably burdensome in view of the CLCPA targets and the environmental benefits of the proposed major renewable energy facility.
(f) Notwithstanding any other deadline made applicable by this section, the office shall make a final decision on a siting permit for any major renewable energy project within one year from the date the application was deemed complete, or within six months from the date the application was deemed complete if the major renewable energy facility is proposed to be sited on an existing or abandoned commercial use, including without limitation, brownfields, landfills, former commercial or industrial sites, dormant electric generating sites, and abandoned or otherwise underutilized sites, as further defined by the regulations promulgated by this section. Unless the office and the applicant have agreed to an extension, with such extension limited to thirty days, and if a final siting permit decision has not been made by the office within such time period, then such siting permit shall be deemed to have been automatically granted for all purposes set forth in this section and all uniform conditions or site specific permit conditions issued for public comment shall constitute enforceable provisions of the siting permit. The final siting permit shall include a provision requiring the permittee to provide a host community benefit, which may be a host community benefit as determined by the public service commission pursuant to section eight of the chapter of the laws of two thousand twenty that added this section or such other project as determined by the office or as subsequently agreed to between the applicant and the host community.
(g) Any party aggrieved by the issuance or denial of a permit under this section may seek judicial review of such decision as provided in this paragraph. (i) A judicial proceeding shall be brought in the appellate division of the supreme court of the state of New York in the judicial department embracing the county wherein the facility is to be located or, if the application is denied, the county wherein the applicant has proposed to locate the facility. Such proceeding shall be initiated by the filing of a petition in such court within ninety days after the issuance of a final decision by the office together with proof of service of a demand on the office to file with said court a copy of a written transcript of the record of the proceeding and a copy of the office's decision and opinion. The office's copy of said transcript, decision and opinion, shall be available at all reasonable times to all parties for examination without cost. Upon receipt of such petition and demand the office shall forthwith deliver to the court a copy of the record and a copy of the office's decision and opinion. Thereupon, the court shall have jurisdiction of the proceeding and shall have the power to grant such relief as it deems just and proper, and to make and enter an order enforcing, modifying and enforcing as so modified, remanding for further specific evidence or findings or setting aside in whole or in part such decision. The appeal shall be heard on the record, without requirement of reproduction, and upon briefs to the court. The findings of fact on which such decision is based shall be conclusive if supported by substantial evidence on the record considered as a whole and matters of judicial notice set forth in the opinion. The jurisdiction of the appellate division of the supreme court shall be exclusive and its judgment and order shall be final, subject to review by the court of appeals in the same manner and form and with the same effect as provided for appeals in a special proceeding. All such proceedings shall be heard and determined by the appellate division of the supreme court and by the court of appeals as expeditiously as possible and with lawful precedence over all other matters.
(ii) The grounds for and scope of review of the court shall be limited to whether the decision and opinion of the office are:
(A) In conformity with the constitution, laws and regulations of the state and the United States;
(B) Supported by substantial evidence in the record and matters of judicial notice properly considered and applied in the opinion;
(C) Within the office's statutory jurisdiction or authority;
(D) Made in accordance with procedures set forth in this section or established by rule or regulation pursuant to this section;
(E) Arbitrary, capricious or an abuse of discretion; or
(F) Made pursuant to a process that afforded meaningful involvement of citizens affected by the facility regardless of age, race, color, national origin and income.
(iii) Except as herein provided article seventy-eight of the civil practice law and rules shall apply to appeals taken hereunder.
6. Powers of municipalities and state agencies and authorities; scope of section. (a) Notwithstanding any other provision of law, including without limitation article eight of the environmental conservation law and article seven of the public service law, no other state agency, department or authority, or any municipality or political subdivision or any agency thereof may, except as expressly authorized under this section or the rules and regulations promulgated under this section, require any approval, consent, permit, certificate, contract, agreement, or other condition for the development, design, construction, operation, or decommissioning of a major renewable energy facility with respect to which an application for a siting permit has been filed, provided in the case of a municipality, political subdivision or an agency thereof, such entity has received notice of the filing of the application therefor. Notwithstanding the foregoing, the department of environmental conservation shall be the permitting agency for permits issued pursuant to federally delegated or federally approved programs.
(b) This section shall not impair or abrogate any federal, state or local labor laws or any otherwise applicable state law for the protection of employees engaged in the construction and operation of a major renewable energy facility.
(c) The department of public service or the public service commission shall monitor, enforce and administer compliance with any terms and conditions set forth in a permit issued pursuant to this section and in doing so may use and rely on authority otherwise available under the public service law.
7. Fees; local agency account. (a) Each application for a siting permit shall be accompanied by a fee in an amount equal to one thousand dollars for each thousand kilowatts of capacity of the proposed major renewable energy facility, to be deposited in an account to be known as the local agency account established for the benefit of local agencies and community intervenors by the New York state energy research and development authority and maintained in a segregated account in the custody of the commissioner of taxation and finance. The office may update the fee periodically solely to account for inflation. The proceeds of such account shall be disbursed by the office, in accordance with eligibility and procedures established by the rules and regulations promulgated by the office pursuant to this section, for the participation of local agencies and community intervenors in public comment periods or hearing procedures established by this section, including the rules and regulations promulgated hereto; provided that fees must be disbursed for municipalities, political subdivisions or an agency thereof, to determine whether a proposed facility is designed to be sited, constructed and operated in compliance with the applicable local laws and regulations.
(b) All funds so held by the New York state energy research and development authority shall be subject to an annual independent audit as part of such authority's audited financial statements, and such authority shall prepare an annual report summarizing account balances and activities for each fiscal year ending March thirty-first and provide such report to the office no later than ninety days after commencement of such fiscal year and post on the authority's website.
(c) With respect to a person who has filed an application for a siting permit pursuant to subdivision four of this section, any amounts held in an intervenor account established pursuant to articles seven and ten of the public service law shall be applied to the intervenor account established by this subdivision.
(d) In addition to the fees established pursuant to paragraph (a) of this subdivision, the office, pursuant to regulations adopted pursuant to this section, may assess a fee for the purpose of recovering costs the office incurs.
8. Farmland protection working group. (a) There is hereby created in the executive department a farmland protection working group consisting of appropriate stakeholders, including but not limited to:
(i) the commissioner of the department of agriculture and markets;
(ii) the commissioner of the department of environmental conservation;
(iii) the executive director of the office;
(iv) the commissioner of the department of public service;
(v) the president of the New York state energy research and development authority;
(vi) local government officials or representatives from municipal organizations representing towns, villages, and counties;
(vii) representatives from at least two county agricultural and farmland protection boards.
(b) The working group shall, no later than one year after the effective date of this subdivision, recommend strategies to encourage and facilitate input from municipalities in the siting process and to develop recommendations that include approaches to recognize the value of viable agricultural land and methods to minimize adverse impacts to any such land resulting from the siting of major renewable energy facilities.
(c) The working group, on call of the commissioner of the department of agriculture and markets, shall meet at least three times each year and at such other times as may be necessary.
* NB Repealed December 31, 2030
§ 95. Legislative manual. The secretary of state, at the expense of the state, may in each odd-numbered year prepare and publish the legislative manual. The manual shall contain the constitution of the United States and of the state of New York, diagrams of the senate and assembly chambers, and such other information of the nature heretofore published therein, as the secretary may consider useful, and shall be printed and bound in substantially the same style as heretofore. As soon as printed, the secretary shall deliver a copy of the manual to each member and officer of the legislature, and to each state officer entitled to the session laws.
§ 96. Fees and refunds. Except as otherwise provided by section ninety-six-a of this chapter, the department of state shall collect the following fees:
1. For searching the records of the department for the availability of a corporate, limited partnership or limited liability company name, five dollars for each name submitted.
2. For searching the records of the department other than as set forth in subdivision one hereof, five dollars for each name in excess of five submitted by or on behalf of an applicant for a search.
3. For a copy of any paper or record not required to be certified or otherwise authenticated, fifty cents per page; except that the fee for a copy of any paper or record not required to be certified or otherwise authenticated which is furnished by the bureau of corporations of the department of state, shall be five dollars, regardless of the number of pages.
4. For a certified or exemplified copy of any law, record or paper, except a photostatic copy furnished by the department of state, one dollar per page; for a certified or exemplified copy of any law, record or paper reproduced by photostat by the department of state, fifty cents per page and in either case five dollars additional for the certificate under the official seal of the department of state, affixed thereto; except that the fee for a certified or exemplified copy of any record or paper which is furnished by the bureau of corporations of the department of state, shall be ten dollars, regardless of the number of pages or regardless of whether such document is reproduced by photostat.
5. For a certificate or authentication under the great seal of the state, ten dollars.
6. For a certificate as to the official character of a commissioner of deeds residing in another state or foreign country, one dollar.
7. For every other certificate under the official seal of the department of state, twenty-five dollars.
8. For registering and recording a notice of a mining claim as required by section eighty-two of the public lands law, fifty dollars.
9. (a) For filing under the general associations law or any corporation law, except the business corporation law and not-for-profit corporation law: a certificate of incorporation, one hundred twenty-five dollars; a certificate or report of voluntary dissolution, including the issuance of duplicate certificates by the secretary of state, and a certified copy of an order or judgment of dissolution, sixty dollars; the statement and designation of a foreign corporation, including the issuance of a certificate of authority, two hundred twenty-five dollars; a certificate of designation or change of address or any certificate of change of mailing address or office of a foreign corporation, other than a moneyed corporation, thirty dollars; any other certificate or instrument, sixty dollars.
(b) For filing under the business corporation law and the not-for-profit corporation law as set forth in those chapters.
10. For service of process on the secretary of state, acting as agent for a third party pursuant to law, except as otherwise specifically provided by law, forty dollars. No fee shall be collected for process served on behalf of a county, city, town or village or other political subdivision of the state. The fees paid the secretary of state shall be a taxable disbursement.
11. (a) For the special handling of requests made to the division of corporations of the department of state for any service for which a fee is collected as prescribed by law, twenty-five dollars. For the purposes of this section the term "special handling" shall mean the completion of the request within twenty-four hours of receipt of the request, except in those cases where the twenty-four hour period shall end on a Saturday, Sunday, holiday or day on which the division of corporations of the department of state is not open for business, in which case the twenty-four hour period shall be extended to the appropriate hour of the next succeeding business day on which such division is open for business.
(b) For the same day expedited handling of requests made to the division of corporations of the department of state for any service for which a fee is collected as prescribed by law, seventy-five dollars. For the purposes of this section the term "same day expedited handling" shall mean the completion of the request on the same day as the day of request.
(c) For the two hour priority handling of requests made to the division of corporations of the department of state for any service for which a fee is collected as prescribed by law, one hundred fifty dollars. For the purposes of this section the term "two hour priority handling" shall mean the completion of the request within two hours on the same day as the day of the request.
(d) For handling of non-expedited requests made to the division of corporations of the department of state for any service for which a fee is collected as prescribed by law, the completion of such request shall be accomplished within seven business days.
12. For the filing, recording or registering of any certificate, notice or other paper required to be filed, recorded or registered, the fee for which is not otherwise prescribed by law, twenty-five dollars.
13. Except as otherwise specifically provided by law, the department of state may refund, within three years from the date of payment and upon audit of the state comptroller, any fee or portion of a fee paid pursuant to any of the statutes which the department is charged by law to administer, in any case in which:
a. the license, permit, or certificate applied for is not issued, or does not take effect, or
b. the filing or certification requested is not made, or
c. the service requested is not rendered, or
d. the payment made is in excess of the amount prescribed by such statute, or
e. the licensee has entered the active armed services of the United States in which event the refund shall be such proportion of the license fee paid as the number of full months remaining unexpired of the license period bears to the total number of months in such period.
14. No fee shall be collected for copies of records furnished to state officers as defined in the public officers law, section two, for use in their official capacity.
15. The department of state shall on or before the tenth day of each month, out of the moneys collected during the preceding month pursuant to subdivision nine of this section, pay over to each county clerk in whose office a certified copy of a corporation certificate or other instrument relating to a domestic or foreign corporation shall have been filed by the department during the preceding month pursuant to law the sum of six dollars for each such copy of a corporation certificate or other instrument for which the department shall have collected a filing fee of thirty dollars or more, and the sum of one dollar for each such copy of a corporation certificate or other instrument for which the department shall have collected a sum of less than thirty dollars, and such payment shall be received by the county clerk in full satisfaction of all fees for filing such copy, any other general or special law to the contrary notwithstanding. All such moneys remaining after such payments to the county clerks shall be paid pursuant to section one hundred twenty-one of the state finance law.
16. Consistent with the provisions of the corporate laws of the state of New York, the department of state shall produce or reproduce the content of any informational systems maintained pursuant to such laws. The secretary of state shall establish the type and amount of the reasonable fees to be collected by the department of state for such informational systems. Such fees shall be subject to approval of the director of the budget and shall be promulgated in the official rules and regulations of the department of state in accordance with the provisions of the state administrative procedure act.
§ 96-a. Fees for services rendered pursuant to the uniform commercial code. 1. In case of conflict between this section and any other provision of law, this section shall control.
2. The secretary of state shall determine the type and amount of all fees to be collected by the department of state and other filing offices for services rendered by said department or office pursuant to the provisions of the uniform commercial code and article ten-A of the lien law. Such fees, referred to as processing fees, shall be non-refundable fees paid to the department of state or office at the time that documents are presented to the department of state or office for filing, and will be paid whether or not the documents are accepted for filing. Such fees shall be subject to the approval of the director of the budget and shall be promulgated in the official rules and regulations of the department of state in accordance with the provisions of the state administrative procedure act. Nothing contained in this subdivision shall preclude the secretary of state from periodically changing such fees, subject to the approval of the director of the budget, and from periodically amending the official rules and regulations of the department of state in accordance with the provisions of the state administrative procedure act.
3. Consistent with the provisions of article nine of the uniform commercial code and article ten-A of the lien law, the department of state and other filing offices shall produce or reproduce the content of any informational systems maintained pursuant to such laws. The secretary of state and other filing offices shall establish reasonable fees for information so produced or reproduced. Notwithstanding any other provisions of law, the availability of such information shall be determined solely by the provisions of the uniform commercial code.
§ 97. Completing unfinished papers. The secretary of state shall have power to complete and sign and certify in his own name, adding to his signature the date of so doing, all records of incorporation papers and other papers left incomplete or unsigned by any of his predecessors, with the same force and effect as though said records had been duly signed by such predecessors.
§ 97-a. Affirmation in lieu of oath. Any application for a license or registration required by law to be filed with the department of state may, in lieu of being acknowledged or sworn under oath, be subscribed by the applicant and affirmed by him or her as true under penalties of perjury.
§ 98. Copies of amendments to rules for admission of attorneys. The secretary of state must cause to be published in the next ensuing volume of the session laws each amendment of the rules established by the court of appeals for the admission of attorneys and counselors, filed with him pursuant to the judiciary law.
§ 99. Central state registry of security guards. 1. The department shall collect information and maintain, on a current basis, a registry of all security guards and applicants for registration cards in the state. Such registry shall include, but not be limited to, with respect to each security guard or applicant as the case may be, his or her name, address, date of birth, whether a registration card has been issued, denied, suspended or revoked or has expired, and the security guard company or companies by whom he or she is or has been employed and such other information as may in the discretion of the secretary be appropriate; provided, however, that in no case shall such registry include criminal history information.
2. Each security guard company as defined in subdivision five of section eighty-nine-f of the general business law which employs security guards shall transmit to the department, no later than the fifteenth day of January in the year next succeeding the year in which the provisions of this section become effective, a list which shall include but not be limited to the name of every security guard employed by such security guard company indicating with respect to each security guard his or her name, address, date of birth and such other information as may in the discretion of the secretary be appropriate; provided, however, that in no case shall such registry include criminal history information. Each such security guard company shall thereafter, submit to the department the name of each security guard employed or who has retired or resigned or whose employment as a security guard is terminated for any reason, no later than the fifteenth calendar day following such employment, retirement, resignation or termination, and, in the instance of newly appointed security guards, shall include all the information required to be furnished in the initial listing required by this subdivision. The information required to be submitted pursuant to this subdivision which is required by law to be kept confidential shall be kept confidential and all other information shall be released only pursuant to this section.
3. The department shall establish rules and regulations to provide for a permanent system of identification for each security guard or applicant as the case may be, which will ensure the security and privacy of information contained in the registry and to ensure that such information is made available only to qualified agencies defined in subdivision nine of section eight hundred thirty-five of this chapter and to security guard companies only for the purposes enumerated in subdivision four of this section.
4. Notwithstanding any other provision of law, security guard companies, as defined in subdivision five of section eighty-nine-f of the general business law, shall, upon such terms and conditions as the department shall by rules and regulations prescribe, have timely access to information contained in the registry, with respect to security guards as defined in subdivision six of section eighty-nine-f of the general business law or applicants as defined in subdivision nine of section eighty-nine-f of the general business law, who as certified by such security guard companies making such inquiries are presently employed by or who have applied for employment by such security guard companies as security guards. Such information shall include but not be limited to employment history and such other information as may in the discretion of the secretary be appropriate and relevant to the employment of a security guard.
5. In the event of failure or refusal to comply with the requirements of subdivision two of this section, the secretary may apply to the supreme court for an order directed to the person responsible requiring compliance. Upon such application the court may issue such order as may be just, and a failure to comply with the order of the court shall be a contempt of court and punishable as such.
6. Whenever an applicant for or holder of a security guard registration card has been charged with a serious offense as defined by subdivision thirteen of section eighty-nine-f of the general business law or of a misdemeanor, the division shall notify the department and the department shall notify the security guard company which employs such applicant or which has filed the application on behalf of such applicant of such serious offense or a misdemeanor as provided for in paragraph a of subdivision three of section eighty-nine-g of this article.
7. In the event that a registration card is not issued within six months following application therefor, or is not reissued within six months following the expiration thereof, unless the registration card has been suspended or revoked, the department shall so notify the division which shall thereupon destroy the set of fingerprints received with the application.
8. The department shall continue to maintain in the registry the information required to be kept pursuant to this article for security guards and applicants for a period of not less than five years following their termination, revocation, resignation, retirement or failure to be hired or renewed at which time the department shall purge from the registry such information.
9. Saving clause. In case it be judicially determined that any of the provisions of this section is unconstitutional or otherwise invalid, such determination shall not affect the validity or effect of the remaining provisions of this section.
§ 100. Central state registry of armored car guards. 1. The secretary of state shall maintain a computerized registry of all individuals who apply for a registration card or have been issued a registration card as an armored car guard pursuant to the provisions of article eight-C of the general business law. An armored car carrier, as that term is defined in subdivision six of section eighty-nine-bbb of the general business law, shall obtain only the name, address and armored car guard registration status of an employee or potential employee listed in such registry.
2. The secretary of state shall maintain all records collected for applicants pursuant to the armored car guard act for a period of five years after the applicant's termination as an armored car guard, retirement, resignation, death, failure to be rehired, or non-renewal of the applicant's registration card. Every armored car carrier shall file with the secretary, on a monthly basis, a report, stating all armored car guards in their employ who have retired, resigned, died, been terminated, have not been rehired, or have otherwise been removed from active duty, in such form and on such media as approved for such purpose by the secretary.
§ 100-a. Information on state agencies pertaining to persons subjected to section seventy-three-a of the public officers law and who hold policy-making positions. 1. As used in this section "agency" means:
(a) any state department, board, bureau, division, council, committee, commission, or office;
(b) any other similar state public organization established pursuant to state statutes, executive order, or other executive action for the exercise of any function of state government and to which members are appointed or elected; and
(c) any public authority or public benefit corporation a majority of whose members are appointed by the governor or serve as members by virtue of holding state offices to which they were appointed by the governor, or any combination thereof.
2. "Agency" does not include:
(a) any informal advisory organization established exclusively by a state agency to advise a commissioner, secretary, or other director of that agency on an informal basis;
(b) the state legislature; and
(c) any local government or subdivision or entity thereof.
3. The secretary of state shall maintain a compilation of persons subjected to section seventy-three-a of the public officers law and who hold policy-making positions at all state agencies, including state agencies established after the effective date of this section. Such compilation shall identify by agency the persons subjected to section seventy-three-a of the public officers law and who hold policy-making positions, the length of time such positions have been held, and a representation of policy-making positions at such agency held by women compared to policy-making positions held by men. The secretary of state shall keep such inventory in a public record available for inspection, and updated annually on the department of state website.
4. Each agency shall annually on or before January first, submit to the secretary of state all information required pursuant to this section in a manner specified by the secretary of state to facilitate the publication requirements of this section.
5. For the purposes of this section, "persons subjected to section seventy-three-a of the public officers law and who hold policy-making decisions" shall include, but not be limited to, a commissioner, a superintendent, an executive director, and other chief executive officers, positions appointed by the governor, as well as the appointments of the aforementioned whose function is essential to the policy-making processes of such agency, and any other position whose function is essential to the policy-making processes of such agency.
§ 101. Accessibility, rules and regulations. 1. The secretary of state, in consultation with any other state agency he or she deems necessary, shall promulgate any rules and regulations necessary to remove the word "handicapped" from any signs or other means of communication where such word appears.
2. The secretary of state, in consultation with any other state agency he or she deems necessary, shall promulgate rules and regulations necessary to require that wherever the current universal symbol of access of a figure in a wheelchair appears, such symbol shall instead depict a logo with a dynamic character leaning forward with a sense of movement. Such logo shall be readily identifiable, simply designed with no secondary meaning, and provide for equivalent facilitation and accessibility as the current universal symbol of access. The provisions of this subdivision shall only apply to any new signs being installed or replaced on and after the effective date of this section.
§ 101-a. Legislative notification of the proposed adoption, amendment, suspension or repeal of agency rules.
1. Definitions. As used in this section,
a. "Agency" means any state board, bureau, commission, department, authority, division, or officer authorized by law to make rules.
b. "Rule" means the whole or part of each agency statement of general applicability or regulation or code that implements or applies law, or prescribes the procedure or practice requirements of any agency, including the amendment, suspension or repeal thereof, except such as relates to the organization or internal management of the agency.
2. Except as provided in subdivision three of this section, at least sixty days prior to either the adoption of any rule, or, if a public hearing is required by statute, at least sixty days prior to the first public hearing on a proposed rule, the agency proposing to take such action shall send in writing or may transmit electronically in accordance with article three of the state technology law, a notification of such proposed action to the temporary president of the senate and the speaker of the assembly. This notification shall: (a) refer to the statutory authority under which the action is proposed, (b) give the time and place of any public hearing that may be scheduled concerning the proposed action, or state the manner in which data, views or arguments may be submitted to the agency concerning the proposed action, (c) contain a copy of the complete text of the proposed rule, and (d) contain a fiscal statement setting forth the fiscal consequences of the proposed action on the state and its local governments.
3. If the agency finds that it is necessary for the preservation of the public health, safety or general welfare to dispense with the requirements of subdivision two of this section, the agency may dispense with such requirements and adopt the rule, as an emergency measure. Within five days of the filing of such emergency measure in the office of the department of state, the agency taking such action shall send or transmit, as the case may be, the temporary president of the senate and the speaker of the assembly a notification containing the information required by subdivision two of this section; provided, however, such notification shall also: (a) include a brief statement setting forth the reasons why the agency finds that it is necessary for the preservation of the public health, safety or general welfare to dispense with the requirements of subdivision two of this section and adopt the rule as an emergency measure, and (b) provide the date the emergency measure will terminate if the agency does not intend to adopt such measure as a permanent rule, or indicate that the agency intends to adopt such measure as a permanent rule, in which case compliance with the notification requirements of this section shall be deemed satisfied. The effectiveness of any such emergency measure, unless adopted as a permanent rule in the manner prescribed by law, shall not exceed ninety days after the filing of such measure in the office of the department of state, provided, however, if such emergency measure is readopted prior to the expiration of such ninety day period such readoption and any subsequent readoptions shall remain in effect for no longer than sixty days.
4. The legislature in the joint rules of the senate and assembly may exempt from the requirements of this section certain rules which have or would have no significant fiscal implications.
5. This section does not relieve any agency from compliance with any statute requiring that its rules be filed with or approved by designated persons or bodies before they become effective.
6. A proceeding to invalidate any rule on the ground of noncompliance with the procedural requirements of this section must be commenced by the temporary president of the senate or the speaker of the assembly within four months from the effective date of the rule. No rule shall be valid unless adopted in substantial compliance with this section; provided, however, that the inadvertent failure to give notice as provided in this section shall not invalidate any rule.
§ 101-b. Application by municipal corporations for the suspension of certain rules.
1. Definitions. As used in this section,
a. "Agency" means any state board, bureau, commission, department, division or officer authorized by law to adopt rules.
b. "Rule" means the whole or part of each agency statement of general applicability or regulation or code that implements or applies law, including the amendment, suspension or repeal thereof.
c. "Municipal corporation" means a county outside the city of New York, a city, a town, a village or a school district.
d. "Governing body" means:
(1) In a county, a board of supervisors, county legislature or other body vested by its charter, other law or other valid enactment with jurisdiction to enact local laws;
(2) In a city, the board of aldermen, a common council, commission or other body vested by its charter or other law with jurisdiction to enact ordinances or local laws;
(3) In a town, the town board;
(4) In a village, the board of trustees; and
(5) In a school district, the board of education, board of trustees or sole trustee.
2. A municipal corporation may, by resolution adopted by its governing body, apply to the agency which has adopted a rule for the mandatory suspension of such rule for the balance of the municipal corporation's current fiscal year, provided the rule was filed in the office of the secretary of state after the commencement of the municipal corporation's current fiscal year.
3. Upon the receipt of such an application, the agency which adopted the rule shall forthwith by order suspend its applicability to the petitioning municipal corporation for the balance of such corporation's current fiscal year, unless the agency determines by order, within thirty days of receipt of such application, that the immediate implementation of the rule is necessary for public health, safety or welfare, or that its postponement would be contrary to express provision of law. A copy of any order issued pursuant to this section shall be sent to the temporary president of the senate, the speaker of the assembly and the administrative regulations review commission.
4. This section shall not relieve a municipal corporation from complying with a rule until such time that the agency which has adopted the rule shall issue an order pursuant to this section suspending its applicability to such corporation.
§ 102. Filing and publication of codes, rules and regulations. 1. a. No code, rule or regulation shall become effective until it is filed with the secretary of state, unless a later date is required by statute or is specified by such code, rule or regulation.
b. Each department, board, bureau, officer, authority, commission or other agency of the state, authorized by statute to adopt codes, rules or regulations shall transmit to the secretary of state a certified copy of every such code, rule and regulation except such as relate solely to the organization or internal management of such department, board, bureau, authority, commission or other agency of the state in force at the time of such transmittal or to become effective thereafter, certified by the head of such department, board, bureau, authority, commission or other agency of the state, or if such head is a board or commission, by the chairman or secretary thereof, together with a citation of the statutory authority pursuant to which each such code, rule or regulation was adopted.
c. Any code, rule or regulation which includes in the text thereof any United States statute, or code, rule or regulation previously published in the code of federal regulations or in the federal register, or any previously published data, criteria, standards, specifications, techniques, illustrations or other information reasonably available to regulated parties, shall have set forth in its text a precise identification of such material, including but not limited to: applicable titles, dates, editions, page numbers, section numbers, and authors, the names and addresses of the publisher from whom a copy may be obtained, and the designated office or offices of the adopting agency at which such material is available for public inspection and copying.
d. No amendment to any material identified pursuant to paragraph c of this subdivision shall be effective unless adopted in compliance with the applicable provisions of law and filed with the secretary of state pursuant to this section.
e. The secretary of state shall promulgate rules establishing procedure, forms, style and font for submission of every such code, rule and regulation required to be submitted by this section.
2. Immediately upon adopting any new code, rule or regulation including any rule as defined in the state administrative procedure act, or any amendment to or repeal thereof, except such as relate solely to the organization or internal management of a department, board, bureau, authority, commission or other agency of the state, the original thereof shall be filed in the office of the department of state. Attached thereto shall be a certificate, in a form prescribed by the secretary of state, citing the statutory authority including particular sections and subdivisions pursuant to which each such change or new code, rule or regulation was adopted, the date of adoption, and the date of publication in the state register of the notice required under the provisions of the state administrative procedure act as well as the date and manner of publication of any additional prior notice required under any other statute. If the action taken shall be exempt from the provisions of the state administrative procedure act and if no other statutory notice requirement shall be applicable the certificate shall so state. Such certificate shall be signed by the head of the department, board, bureau, authority, commission, or other agency of the state, or if such head is a board or commission, by the chairman or secretary thereof, or, in lieu of such signatures, it may be signed by a person designated by such head or chairman aforementioned, provided such designation is made in writing, contains therein the signature of the person designated, and is filed with the department of state. The secretary of state shall reject any rule submitted for filing in the event that either the notice required by subdivision five or six of section two hundred two of the state administrative procedure act, or the attached certificate, reveals that the rule was not adopted in substantial compliance with section two hundred two of such act.
3. It shall be the duty of the secretary of state to prepare a master compilation of all such codes, rules and regulations in such form and order as he may determine. He shall not, however, change the language of any existing code, rule or regulation except a title or explanatory caption; but he shall recommend any such change as he may deem advisable to the department, board, bureau, officer, authority, commission or other agency of the state authorized to adopt such code, rule or regulation. Such master compilation shall include all codes, rules and regulations except such as relate solely to the organization or internal management of a department, board, bureau, authority, commission or other agency of the state, in effect on the first day of January, nineteen hundred forty-five, and which he shall certify as a true copy of the master compilation prepared by him.
4. Publication of all such codes, rules and regulations filed with the secretary of state pursuant to this section shall be provided in the following manner:
a. the secretary of state shall make readily available in his office, for public inspection and copying, the full text of the master compilation;
b. each agency shall make readily available at a designated office or offices of the agency, for public inspection and copying, the full text of all codes, rules and regulations adopted by the agency;
c. at the same time material identified pursuant to paragraph c of subdivision one of this section is filed with the secretary of state, an agency shall transmit a copy of all such material except material that is: (i) a United States statute or a code, rule or regulation published in the Code of Federal Regulations or in the Federal Register; or (ii) readily available without charge on the internet to the legislative library and, within each judicial department of the state, one court law library designated by the chief administrator of the courts; provided that for materials readily available on the internet, the agency shall identify the address at which such materials can be accessed;
d. notwithstanding any provisions of law to the contrary, photocopies of any codes, rules and regulations shall be available to the public upon payment of a fee not to exceed twenty-five cents per page; and
e. the secretary of state shall cause such compilation to be printed; however, he may exclude from such printed compilation any previously published portion of a rule which is precisely identified in the text thereof pursuant to paragraph c of subdivision one of this section.
5. The compilation printed pursuant to paragraph e of subdivision four of this section shall be known as the "official compilation of codes, rules and regulations of the state of New York" and shall presumptively establish the codes, rules and regulations of the state of New York, except such as relate solely to the organization or internal management of a department, board, bureau, authority, commission or other agency of the state, in force and effect on the first day of January, nineteen hundred forty-five. The official supplements to such compilation published as hereinafter provided shall presumptively establish any changes in such codes, rules and regulations and any new codes, rules or regulations except such as relate solely to the organization or internal management of a department, board, bureau, authority, commission or other agency of the state, affected by addition, amendment or repeal, or adopted during the period ending on the thirty-first day of December in any year immediately preceding the publication of such supplement. Nothing in such official compilation or any new edition thereof or official supplement thereto shall be construed as repealing or amending any code, rule or regulation adopted by any department, board, bureau, authority, commission or other agency of the state, and in case of any inconsistency arising through omission or otherwise between the official compilation and such codes, rules and regulations as filed in the office of the secretary of state, the latter shall prevail.
§ 103. Future editions and supplements of official compilations. 1. In any year the secretary of state may, whenever he shall believe that the public interest will be served thereby, cause a new edition of such official compilation or any volume thereof to be published, which compilation shall be published as soon as practicable, and shall set forth the codes, rules and regulations except such as relate solely to the organization or internal management of a department, board, bureau, authority, commission or other agency of the state on file in the office of the department of state on the date as of which such new edition is published.
2. The secretary of state may, whenever he deems it to be necessary, cause to be published an official supplement to the official compilation, showing all new and all changes in existing codes, rules and regulations adopted since the effective date of the codes, rules and regulations embraced in the latest edition of the official compilation or since the end of the period covered by the preceding supplement.
3. Any new edition of such compilation published as heretofore provided, and any supplementation thereof or thereto, shall presumptively establish that the codes, rules and regulations contained therein are on file in the department of state, and are effective, unless otherwise stated, on the date as of which such new edition, or any volume thereof, or a supplementation thereto, is published.
4. Any code, rule or regulation contained in any new edition of the official compilation, or any volume thereof, or any supplementation thereto, shall not be printed in any official supplement published for any period prior to the date as of which such new edition, volume, or supplementation is published.
§ 104. Departmental cooperation. The secretary of state may advise with the several departments, boards, bureaus, officers, authorities, commissions and other agencies of the state which are authorized by statute to issue codes, rules or regulations, to the end that the same may, so far as possible, be uniform in style and form, be properly numbered and captioned and be free from matter which is obsolete.
§ 104-a. Departmental cooperation regarding water quality. The secretary of state shall cooperate with the environmental facilities corporation to establish methods to facilitate loans to eligible borrowers and to develop educational materials for eligible borrowers about the low-interest loans available through the water pollution control linked deposit program, established by article sixteen of the state finance law, and to develop an application form to be provided to lenders for linked deposit loan requests. For residential and small business on-site wastewater treatment systems projects, the department shall require owners of such systems to submit the results of inspections of such systems at the time of an application for financial assistance pursuant to article sixteen of the state finance law. The department may promulgate rules and regulations necessary and reasonable for the operation of the program, including but not limited to standards for the inspection of residential and small business on-site wastewater treatment systems.
§ 105. Changes in codes, rules or regulations. Changes in any code, rule or regulation except such as relates solely to the organization or internal management of a department, board, bureau, authority, commission or other agency of the state shall be made by a department, board, bureau, officer, authority, commission or other agency of the state only by addition, amendment or repeal. Every resolution or order affecting such an addition, amendment or repeal shall refer to the appropriate title and to the appropriate section or paragraph as published in the official compilation or supplement thereto. In the case of a proposed new code, rule or regulation except such as relates solely to the organization or internal management of a department, board, bureau, authority, commission or other agency of the state for which there is no appropriate title, the head of such department, board, bureau, authority, commission or other agency of the state shall confer with the secretary of state and shall, prior to the adoption of any resolution establishing such code, rule or regulation, have his approval in writing of the proposed title, captions and numbers of such code, rule or regulation and any parts, paragraphs or sections thereof.
§ 106. Proof of codes, rules and regulations. Any code, rule or regulation of the state of New York may be read in evidence from the official compilation or supplement thereto. To entitle any copy of a code, rule or regulation published, other than those published in such official compilation or supplement thereto, to be read in evidence there shall be contained in the same book or pamphlet a printed certificate of the secretary of state that such copy is a correct transcript of the text of the code, rule or regulation as published in such official compilation or supplement thereto. For such a certificate the secretary of state shall collect such a fee as he shall deem just and reasonable.
§ 106-a. Internet access to the New York code, rules and regulations. The department of state shall post or maintain a link on its website to an unofficial version of the New York codes, rules, and regulations, which shall be provided at no cost to the end users. All state agencies which have adopted rules and regulations shall maintain a link to the department of state website which contains such link.
§ 107. Intergovernmental agreements. 1. The secretary of state shall compile and keep current a list of all interstate compacts and other intergovernmental agreements between or among states, subdivisions of this state and other states, or between this state or any subdivision thereof and the federal government having the force of law to which this state or any subdivision thereof is party. Such list shall contain the citations to the statutes or other official documents of this state containing the text of any such compact or agreement together with a listing of all other jurisdictions party to the compact or agreement, the date on which each such jurisdiction entered into participation in such compact or agreement with this state or subdivision thereof; the status of each such compact or agreement in respect of withdrawals therefrom and the citations to any act or resolution of the congress of the United States, if any, consenting to such compact or agreement. The list required to be kept pursuant to this subdivision also shall include compacts and agreements adopted by this state or any subdivision thereof but not in effect by reason of the absence of such other parties thereto as may be necessary to make the compact or agreement effective and binding.
2. In any case where the statutes of this state do not contain the full text of a compact or agreement to which subdivision one of this section applies, the secretary of state shall receive a true copy of the compact or agreement and keep the same on file.
3. Any amendment, supplementary agreement or administrative rule or regulation having the force of law implementing, adding to or modifying any such compact or agreement to which this state or a subdivision thereof is party shall be listed or filed in the same manner as the compact or agreement itself.
4. The secretary of state shall make the list maintained by him pursuant to this act and any information contained therein available to any person upon request, but shall not be required to furnish copies of any compact or agreement, unless so required by a provision of law or administrative rule other than this section.
5. The listing and filing requirements of this section shall be in addition to and not in substitution for any requirements for listing or filing, publication or distribution contained in particular compacts or agreements to which this state is or may be a party.
6. Upon receipt by the governor of a formal notice from another state of such state's withdrawal from an interstate compact to which New York is party, the governor shall transmit such notice or a copy thereof to the secretary of state. Any agency or subdivision of this state administering, participating in or entering into any compact or agreement shall furnish the secretary of state with all information necessary to permit such secretary to perform his duties and responsibilities pursuant to this section.
§ 108. Address confidentiality program. There is created in the office of the secretary of state a program to be known as the "address confidentiality program" to protect victims of domestic violence, victims of human trafficking, victims of kidnapping, victims of a sexual offense, victims of stalking, and reproductive health care services providers, employees, volunteers, patients, or immediate family members of reproductive health care services providers by authorizing the use of designated addresses for such victims and their minor children. The program shall be administered by the secretary of state.
1. Definitions. For the purposes of this section the following words shall, unless the context requires otherwise, have the following meanings:
(a) "Victim of domestic violence" shall have the same meaning as is ascribed to such term by section four hundred fifty-nine-a of the social services law.
(b) "Actual address" means the residential street address, school address or work address of an individual, as specified on his or her application to be a program participant under this section.
(c) "Program participant" means a person certified as a program participant under this section.
(d) "Mail" means first class letters delivered via the United States Postal Service, including priority, express and certified mail, and excluding packages, parcels, periodicals and catalogues, unless they are clearly identifiable as pharmaceuticals or clearly indicate that they are sent by a government agency.
(e) "Substitute address" means the secretary's designated address for the address confidentiality program.
(f) "Secretary" means the secretary of state.
(g) "Public record" means any information kept, held, filed, produced or reproduced by, with or for an agency, in any physical form whatsoever including, but not limited to, reports, statements, examinations, memoranda, opinions, folders, files, books, manuals, pamphlets, forms, papers, designs, drawings, maps, photos, letters, microfilms, computer tapes or discs, rules, regulations or codes.
(h) "Process" means judicial process and all orders, demands, notices or other papers required or permitted by law to be served on a program participant.
(i) "Victim of a sexual offense" means a victim of any act constituting an offense as defined under article one hundred thirty, and/or sections 255.25, 255.26, and 255.27 of the penal law, including threats or attempts to commit such offenses.
(j) "Victim of stalking" means a victim of any act constituting an offense as defined under sections 120.45, 120.50, 120.55 and 120.60 of the penal law.
(k) "Victim of human trafficking" means a victim of any act constituting an offense as defined under section 135.35, 135.37, 230.34, or 230.34-a of the penal law.
* (l) "Reproductive health care services provider, employee, volunteer, or patient" means a person who obtains, provides, or assists, at the request of another person, in obtaining or providing reproductive health care services, or a person who owns or operates a reproductive health care services facility.
* NB There are 2 par (l)'s
* (l) "Victim of kidnapping" means a victim of any act constituting an offense as defined under sections 135.20 and 135.25 of the penal law.
* NB There are 2 par (l)'s
(m) "Reproductive health care services facility" includes a hospital, an office operated by a licensed physician and surgeon, a licensed clinic, or other licensed health care facility that provides reproductive health care services and includes only the building or structure in which the reproductive health care services are actually provided.
(n) "Immediate family member" shall have the same meaning as defined in subdivision eight of section two hundred thirty-eight of the public health law.
2. Address confidentiality program; application; certification. (a) An adult person, a parent or legal guardian acting on behalf of a minor, or a legal guardian acting on behalf of an incapacitated person, may apply to the secretary to have an address designated by the secretary to serve as the person's address or address of the minor or incapacitated person in lieu of the person's actual address. The secretary shall approve an application if it is filed in the manner and on the form prescribed by the secretary, and if it includes:
(i) a signed written statement affirmed by the applicant that:
(A) the applicant, or the minor or incapacitated person on whose behalf the application is made, is a victim of domestic violence, victim of human trafficking, victim of kidnapping, victim of a sexual offense, victim of stalking, or a reproductive health care services provider, employee, volunteer, patient, or an immediate family member of a reproductive health care services provider;
(B) the applicant, or the minor or incapacitated person on whose behalf the application is made, has left his or her residence because of such violence or acts, provided, however, this clause shall not apply if the applicant is a reproductive health care services provider, employee, volunteer, patient, or an immediate family member of a reproductive health care services provider;
(C) the applicant fears for his or her safety or his or her children's safety, or the safety of the minor or incapacitated person on whose behalf the application is made, or, in the case of a reproductive health care services provider, employee, volunteer, or patient, the applicant fears for his or her safety or the safety of an immediate family member; and
(D) the parent or legal guardian applying on behalf of a minor or incapacitated person has legal authority to act on the person's behalf;
(ii) a designation of the secretary as agent for purposes of service of process and for the purpose of receipt of mail;
(iii) the mailing address where the applicant can be contacted by the secretary and the telephone number or numbers where the applicant can be called by the secretary;
(iv) the actual address or addresses that the applicant requests not be disclosed because of the increased risk of domestic violence, a sexual offense, stalking, physical injury or in the case of reproductive health care services provider, employee, volunteer, patient, or an immediate family member of a reproductive health care services provider, other threats of violence; and
(v) the name of any person who resides with the applicant who also needs to be a program participant in order to ensure the safety of the applicant and, if the person named in the application is eighteen years of age or older, the consent of such person to be a program participant and designation by such person of the secretary as agent for purposes of service of process and for the purpose of receipt of mail; and
(vi) the signature of the applicant and the name and signature of any individual or representative of any office designated by the secretary under subdivision three of this section who assisted in the preparation of the application, and the date on which the applicant signed the application.
(b) The secretary shall establish, distribute and make available a form for the purpose of making applications pursuant to this section.
(c) Applications shall be filed with the office of the secretary.
(d) Upon receipt of a properly completed application, the secretary shall certify the applicant as a program participant and shall serve as the participant's agent for service of process and receipt of mail for the duration of the term of certification.
(e) Participants shall be certified for four years following the date of filing, unless the certification is withdrawn or cancelled before that date. The secretary shall promulgate rules and regulations for renewal of applications pursuant to this section.
3. Designation of agencies to assist applicants. The secretary shall designate state, local or nonprofit agencies that provide counseling, referral, shelter or other specialized services to victims of domestic violence, victims of human trafficking, victims of kidnapping, victims of a sexual offense, victims of stalking, and reproductive health care services providers, employees, volunteers, patients, or immediate family members of reproductive health care services providers to assist persons applying to be program participants. Such persons providing assistance shall be trained by the secretary. Any assistance and counseling rendered by an officer of the secretary or his or her designees to applicants shall in no way be construed as legal advice.
4. Use and acceptance of substitute address; mail forwarding. (a) A program participant may request that state and local agencies use the substitute address. When creating, modifying or maintaining a public record, state and local agencies shall accept the substitute address upon demonstration by a program participant of his or her certification in the program, unless the secretary waives this requirement after determining that:
(i) the agency has a bona fide statutory or administrative requirement for the use of the participant's actual address which would otherwise be confidential under this section; and
(ii) the agency has explained how its acceptance of the substitute address will prevent the agency from meeting its obligations under the law and why it cannot meet its statutory or administrative obligation by a change in its internal procedures.
(b) Any agency receiving a waiver shall maintain the confidentiality of the program participant's address by redacting the actual address when the record is released to any person and shall not make the program participant's actual address available for inspection or copying, except under the following circumstances:
(i) there is a bona fide statutory or administrative requirement for the communication of an actual address to another agency that has received a waiver from the secretary, provided that each waiver specifically authorizes such communication with the specified agency; or
(ii) if directed by a court order to a person identified in the order.
(c) Upon receipt by the secretary of a process or mail for a participant, the office of the secretary shall immediately forward all such process or mail to the appropriate program participants at the address specified by the participant for that purpose, and shall record the date of such forwarding. Service of process on a program participant, a program participant's minor child, incapacitated person or other adult member of the program participant's household shall be complete when the secretary receives such process by mail or otherwise.
(d) A program participant may use the substitute address as his or her work address.
(e) The secretary or any member of the department of state who reasonably and in good faith handles any process or mail on behalf of a participant in accordance with this section shall be immune from any civil liability which might otherwise result by reason of such actions.
5. Cancellation of certification. (a) The secretary may cancel a program participant's certification if, after the passage of fourteen days:
(i) from the date of changing his or her name, the program participant does not notify the secretary that he or she has obtained a name change; however, the program participant may reapply under his or her new name;
(ii) from the date of changing his or her actual address, the program participant fails to notify the secretary of the change of such address; or
(iii) from the date the secretary first receives mail, forwarded to the program participant's address, returned as non-deliverable.
(b) The secretary shall cancel certification of a program participant who applies using false information.
(c) The secretary shall cancel certification of a program participant if the participant's certification term has expired and certification renewal has not been completed.
(d) The secretary shall send notice of cancellation to the program participant. Notice of cancellation shall set out the reasons for cancellation. The program participant shall have thirty days to appeal the cancellation decision under procedures developed by the secretary.
(e) Program participants may withdraw from the program by giving the secretary written notice of their withdrawal and his or her current identification card. The secretary shall establish, by rule, a secure procedure for ensuring that the request for withdrawal is legitimate.
(f) Any records or documents pertaining to a program participant shall not be a public record and shall be retained and held confidential for a period of three years after termination of certification and then destroyed.
6. Disclosure of participant information prohibited; exceptions. (a) The secretary shall not make a program participant's information, other than the substitute address, available for inspection or copying, except under any of the following circumstances:
(i) if requested by a law enforcement agency for a legitimate law enforcement purpose as determined by the law enforcement agency; or
(ii) to a person identified in a court order, upon the secretary's receipt of that court order which specifically orders the disclosure of a particular program participant's address and the reasons stated therefor.
(b) The secretary may verify the participation of a specific program participant, in which case the secretary may only confirm information supplied by the requester.
7. Rules and regulations. The secretary shall promulgate rules and regulations necessary to implement the provisions of this section.
8. Report to the legislature. The secretary shall submit to the legislature, no later than February first of each year, a report that includes for each county, the total number of applications received, the total number of persons participating in the program established by this section during the previous calendar year and the total number of pieces of mail forwarded to program participants during the previous calendar year.
§ 109. Registration of certain service providers. 1. For purposes of this section:
(a) "Client" shall mean a person or entity who in the preceding calendar year retained or hired the political consultant relating to matters before any state or local government agency, authority or official, including services, advice or consultation relating to any state or local government contract for real property, goods or services, an appearance in a ratemaking proceeding, an appearance in a regulatory matter, or an appearance in a legislative matter other than matters described in subparagraph (E) of the second undesignated paragraph of subdivision (c) of section one-c of the legislative law.
(b) "Political consulting services" shall mean services provided by a political consultant to or on behalf of an elected public official in New York state or to or on behalf of a candidate for elected office in New York state, or to or on behalf of a person nominated for elected public office which services: (1) assist or are intended to assist in a campaign for nomination for election or election to office in New York state, including fundraising activities, voter outreach, composition and distribution of promotional literature, advertisements, or other similar communications, as set forth in section 14-106 of the election law, or (2) consist of political advice to an elected public official or candidate for elected public office in New York state or person nominated for elected public office; provided, however, that political consulting services shall not include bona fide legal work directly related to litigation or legal advice with regard to securing a place on the ballot, the petitioning process, the conduct of an election, or which involves the election law.
(c) "Political consultant" shall mean a person who holds himself or herself out to persons in this state as a person who performs political consulting services in a professional capacity and who is usually compensated, excluding reimbursement for expenses, for such services.
2. The secretary of state shall promulgate rules and regulations prescribing a registration form to be used by any political consultant who provides political consulting services to a sitting elected public official, candidate for elected public office or person nominated for elected public office and who has also been retained by a client for such services.
3. Such registration form shall identify:
(a) the name, address, and telephone number of the political consultant;
(b) the name, address, and telephone number of each sitting elected public official, candidate for elected public office, and person nominated for elected public office who the political consultant provided political consulting services to;
(c) the name, address, and telephone number of each client who retains or hires a political consultant in the preceding calendar year provided, that in the event the client is an entity, at least one natural person who has a controlling interest in such entity shall be identified; and
(d) a brief description of the nature of the political consulting services provided to each identified client.
4. Such registration shall be filed with the department of state and shall cover a six month reporting period. The reporting period shall mean the six month period within a calendar year starting January first and ending June thirtieth or the six month period within a calendar year starting July first and ending December thirty-first.
5. The secretary of state shall post the completed forms on the department of state's website within thirty days of the close of each reporting period.
6. The department of state may impose a civil penalty of up to seven hundred fifty dollars upon any political consultant who fails to file a registration required by this section provided, however, that the secretary shall provide such political consultant a reasonable opportunity to cure such a failure.
7. The department of state shall adopt, amend and rescind rules and regulations defining the degree and extent of political consulting services necessary to require the reporting pursuant to this section.
§ 130. Appointment of notaries public. 1. The secretary of state may appoint and commission as many notaries public for the state of New York as in his or her judgment may be deemed best, whose jurisdiction shall be co-extensive with the boundaries of the state. The appointment of a notary public shall be for a term of four years. An application for an appointment as notary public shall be in form and set forth such matters as the secretary of state shall prescribe. Every person appointed as notary public must, at the time of his or her appointment, be a resident of the state of New York or have an office or place of business in New York state. A notary public who is a resident of the state and who moves out of the state but still maintains a place of business or an office in New York state does not vacate his or her office as a notary public. A notary public who is a nonresident and who ceases to have an office or place of business in this state, vacates his or her office as a notary public. A notary public who is a resident of New York state and moves out of the state and who does not retain an office or place of business in this state shall vacate his or her office as a notary public. A non-resident who accepts the office of notary public in this state thereby appoints the secretary of state as the person upon whom process can be served on his or her behalf. Before issuing to any applicant a commission as notary public, unless he or she be an attorney and counsellor at law duly admitted to practice in this state or a court clerk of the unified court system who has been appointed to such position after taking a civil service promotional examination in the court clerk series of titles, the secretary of state shall satisfy himself or herself that the applicant is of good moral character, has the equivalent of a common school education and is familiar with the duties and responsibilities of a notary public; provided, however, that where a notary public applies, before the expiration of his or her term, for reappointment with the county clerk or where a person whose term as notary public shall have expired applies within six months thereafter for reappointment as a notary public with the county clerk, such qualifying requirements may be waived by the secretary of state, and further, where an application for reappointment is filed with the county clerk after the expiration of the aforementioned renewal period by a person who failed or was unable to re-apply by reason of his or her induction or enlistment in the armed forces of the United States, such qualifying requirements may also be waived by the secretary of state, provided such application for reappointment is made within a period of one year after the military discharge of the applicant under conditions other than dishonorable, or if the applicant has a qualifying condition, as defined in section one of the veterans' services law, within a period of one year after the applicant has received a discharge other than bad conduct or dishonorable from such service, or if the applicant is a discharged LGBT veteran, as defined in section one of the veterans' services law, within a period of one year after the applicant has received a discharge other than bad conduct or dishonorable from such service. In any case, the appointment or reappointment of any applicant is in the discretion of the secretary of state. The secretary of state may suspend or remove from office, for misconduct, any notary public appointed by him or her but no such removal shall be made unless the person who is sought to be removed shall have been served with a copy of the charges against him or her and have an opportunity of being heard. No person shall be appointed as a notary public under this article who has been convicted, in this state or any other state or territory, of a crime, unless the secretary makes a finding in conformance with all applicable statutory requirements, including those contained in article twenty-three-A of the correction law, that such convictions do not constitute a bar to appointment.
2. A person regularly admitted to practice as an attorney and counsellor in the courts of record of this state, whose office for the practice of law is within the state, may be appointed a notary public and retain his office as such notary public although he resides in or removes to an adjoining state. For the purpose of this and the following sections of this article such person shall be deemed a resident of the county where he maintains such office.
§ 131. Procedure of appointment; fees and commissions; fee payment methods. 1. New appointment. (a) Applicants for a notary public commission shall submit to the secretary of state with their application, the oath of office, duly executed before any person authorized to administer an oath, together with their signature.
(b) Upon being satisfied of the competency and good character of applicants for appointment as notaries public, the secretary of state shall issue a commission to such persons; and the official signature of the applicants and the oath of office filed with such applications shall take effect.
(c) The secretary of state shall receive a non-refundable application fee of sixty dollars from applicants for appointment, which fee shall be submitted together with the application. No further fee shall be paid for the issuance of the commission.
(d) A notary public identification card indicating the appointee's name, address, county and commission term shall be transmitted to the appointee.
(e) The commission, duly dated, and a certified copy or the original of the oath of office and the official signature, and twenty dollars apportioned from the application fee shall be transmitted by the secretary of state to the county clerk of the county in which the appointee resides by the tenth day of the following month. Transmission may be accomplished by electronic means that results in a submission of such records and fees by the secretary of state to the county clerk. For purposes of this section, "electronic" shall have the same meaning as set forth in section three hundred two of the state technology law.
(f) The county clerk shall make a proper index of commissions and official signatures transmitted to that office by the secretary of state pursuant to the provisions of this section.
2. Reappointment. (a) Applicants for reappointment of a notary public commission shall submit to the secretary of state with their application the oath of office, duly executed before any person authorized to administer an oath, together with their signature.
(b) Upon being satisfied of the completeness of the application for reappointment, the secretary of state shall issue a commission to such persons; and the official signature of the applicants and the oath of office filed with such applications shall take effect.
(c) The secretary of state shall receive a non-refundable application fee of sixty dollars from each applicant for reappointment, which fee shall be submitted together with the application. No further fee shall be paid for the issuance of the commission.
(d) The commission, duly dated, and a certified or original copy of the oath of office and the official signature, and twenty dollars apportioned from the application fee plus interest as may be required by statute shall be transmitted by the secretary of state to the county clerk of the county in which the appointee resides by the tenth day of the following month. Transmission may be accomplished by electronic means that results in a submission of such records and fees by the secretary of state to the county clerk.
(e) The county clerk shall make a proper record of commissions transmitted to that office by the secretary of state pursuant to the provisions of this section.
3. Electronic notarization. (a) After registration of the capability to perform electronic notarial acts pursuant to section one hundred thirty-five-c of this article, the secretary of state shall transmit to the county clerk the exemplar of the notary public's electronic signature and any change in commission number or expiration date of the notary public's commission. Transmission may be accomplished by electronic means.
(b) Registration of the capability to perform electronic notarizations shall be treated as a new appointment by the secretary of state.
4. Fees. (a) Except for changes made in an application for reappointment, the secretary of state shall receive a non-refundable fee of ten dollars for changing the name or address of a notary public.
(b) The secretary of state may issue a duplicate identification card to a notary public for one lost, destroyed or damaged upon application therefor on a form prescribed by the secretary of state and upon payment of a non-refundable fee of ten dollars. Each such duplicate identification card shall have the word "duplicate" stamped across the face thereof, and shall bear the same number as the one it replaces.
(c) The secretary of state shall accept payment for any fee relating to appointment or reappointment as a notary in the form of cash, money order, certified check, company check, bank check or personal check. The secretary of state may provide for accepting payment of any such fee due by credit or debit card, which may include payment through the internet.
§ 132. Certificates of official character of notaries public. The secretary of state or the county clerk of the county in which the commission of a notary public is filed may certify to the official character of such notary public and any notary public may file their autograph signature and a certificate of official character in the office of any county clerk of any county in the state and in any register's office in any county having a register and thereafter such county clerk may certify as to the official character of such notary public. The secretary of state shall collect for each certificate of official character issued the sum of one dollar. The county clerk and register of any county with whom a certificate of official character has been filed shall collect for filing the same the sum of ten dollars. For each certificate of official character issued, with seal attached, by any county clerk, the sum of five dollars shall be collected.
§ 133. Certification of notarial signatures. The county clerk of a county in whose office any notary public has qualified or has filed their autograph signature and a certificate of official character, shall, when so requested and upon payment of a fee of three dollars, affix to any certificate of proof or acknowledgment or oath signed by such notary anywhere in the state of New York, a certificate under their hand and seal, stating that a commission or a certificate of official character of such notary with their autograph signature has been filed in the county clerk's office, and that the county clerk was at the time of taking such proof or acknowledgment or oath duly authorized to take the same; that the county clerk is well acquainted with the handwriting of such notary public or has compared the signature on the certificate of proof or acknowledgment or oath with the autograph signature deposited in their office by such notary public and believes that the signature is genuine. An instrument with such certificate of authentication of the county clerk affixed thereto shall be entitled to be read in evidence or to be recorded in any of the counties of this state in respect to which a certificate of a county clerk may be necessary for either purpose. In addition to the foregoing powers, a county clerk of a county in whose office a notary public has qualified may certify the signature of an electronic notary public, registered with the secretary of state pursuant to section one hundred thirty-five-c of this article, provided such county clerk has received from the secretary of state, an exemplar of the notary public's registered electronic signature.
§ 134. Signature and seal of county clerk. The signature and seal of a county clerk, upon a certificate of official character of a notary public or the signature of a county clerk upon a certificate of authentication of the signature and acts of a notary public or commissioner of deeds, may be a facsimile, printed, stamped, photographed or engraved thereon.
§ 135. Powers and duties; in general; of notaries public who are attorneys at law. Every notary public duly qualified is hereby authorized and empowered within and throughout the state to administer oaths and affirmations, to take affidavits and depositions, to receive and certify acknowledgments or proof of deeds, mortgages and powers of attorney and other instruments in writing; to demand acceptance or payment of foreign and inland bills of exchange, promissory notes and obligations in writing, and to protest the same for non-acceptance or non-payment, as the case may require, and, for use in another jurisdiction, to exercise such other powers and duties as by the laws of nations and according to commercial usage, or by the laws of any other government or country may be exercised and performed by notaries public, provided that when exercising such powers he shall set forth the name of such other jurisdiction.
A notary public who is an attorney at law regularly admitted to practice in this state may, in his discretion, administer an oath or affirmation to or take the affidavit or acknowledgment of his client in respect of any matter, claim, action or proceeding.
For any misconduct by a notary public in the performance of any of his powers such notary public shall be liable to the parties injured for all damages sustained by them. A notary public shall not, directly or indirectly, demand or receive for the protest for the non-payment of any note, or for the non-acceptance or non-payment of any bill of exchange, check or draft and giving the requisite notices and certificates of such protest, including his notarial seal, if affixed thereto, any greater fee or reward than seventy-five cents for such protest, and ten cents for each notice, not exceeding five, on any bill or note. Every notary public having a seal shall, except as otherwise provided, and when requested, affix his seal to such protest free of expense.
§ 135-a. Notary public or commissioner of deeds; acting without appointment; fraud in office. 1. Any person who holds himself out to the public as being entitled to act as a notary public or commissioner of deeds, or who assumes, uses or advertises the title of notary public or commissioner of deeds, or equivalent terms in any language, in such a manner as to convey the impression that he is a notary public or commissioner of deeds without having first been appointed as notary public or commissioner of deeds, or
2. A notary public or commissioner of deeds, who in the exercise of the powers, or in the performance of the duties of such office shall practice any fraud or deceit, the punishment for which is not otherwise provided for by this act, shall be guilty of a misdemeanor.
§ 135-b. Advertising by notaries public. 1. The provisions of this section shall not apply to attorneys-at-law, admitted to practice in the state of New York.
2. A notary public who advertises his or her services as a notary public in a language other than English shall post with such advertisement a notice in such other language the following statement: "I am not an attorney licensed to practice law and may not give legal advice about immigration or any other legal matter or accept fees for legal advice."
3. A notary public shall not use terms in a foreign language in any advertisement for his or her services as a notary public that mean or imply that the notary public is an attorney licensed to practice in the state of New York or in any jurisdiction of the United States. The secretary shall designate by rule or regulation the terms in a foreign language that shall be deemed to mean or imply that a notary public is licensed to practice law in the state of New York and the use of which shall be prohibited by notary publics who are subject to this section.
4. For purposes of this section, "advertisement" shall mean and include material designed to give notice of or to promote or describe the services offered by a notary public for profit and shall include business cards, brochures, and notices, whether in print or electronic form.
5. Any person who violates any provision of this section or any rule or regulation promulgated by the secretary may be liable for civil penalty of up to one thousand dollars. The secretary of state may suspend a notary public upon a second violation of any of the provisions of this section and may remove from office a notary public upon a third violation of any of the provisions of this section, provided that the notary public shall have been served with a copy of the charges against him or her and been given an opportunity to be heard. The civil penalty provided for by this subdivision shall be recoverable in an action instituted by the attorney general on his or her own initiative or at the request of the secretary.
6. The secretary may promulgate rules and regulations governing the provisions of this section, including the size and type of statements that a notary public is required by this section to post.
§ 135-c. Electronic notarization. 1. Definitions. (a) "Communication technology" means an electronic device or process that: (i) allows a notary public and a remotely located individual to communicate with each other simultaneously by sight and sound; and (ii) when necessary and consistent with other applicable law, facilitates communication with a remotely located individual who has a vision, hearing, or speech impairment.
(b) "Electronic" shall have the same meaning as set forth in subdivision one of section three hundred two of the state technology law.
(c) "Electronic record" means information that is created, generated, sent, communicated, received or stored by electronic means.
(d) "Electronic notarial act" means an official act by a notary public, physically present in the state of New York, on or involving an electronic record and using means authorized by the secretary of state.
(e) "Electronic notary public" or "electronic notary" means a notary public who has registered with the secretary of state the capability of performing electronic notarial acts.
(f) "Electronic signature" shall have the same meaning as set forth in subdivision three of section three hundred two of the state technology law.
(g) "Principal" means an individual:
(i) whose signature is reflected on a record that is notarized;
(ii) who has taken an oath or affirmation administered by a notary public; or
(iii) whose signature is reflected on a record that is notarized after the individual has taken an oath or affirmation administered by a notary public.
(h) "Record" means information that is inscribed on a tangible medium or that is stored in an electronic or other medium and is retrievable in perceivable form.
2. Any notary public qualified under this article is hereby authorized to perform an electronic notarial act by utilizing audio-video communication technology that allows the notary public to interact with a principal, provided that all conditions of this section are met.
(a) The methods for identifying document signers for an electronic notarization shall be the same as the methods required for a paper-based notarization; provided, however, an electronic notarial act conducted utilizing communication technology shall meet the standards which have been approved through regulation by the secretary of state as acceptable. Such regulations shall include, but not be limited to:
(i) that the signal transmission shall be secure from interception through lawful means by anyone other than the persons communicating;
(ii) that the communication technology shall permit the notary public to communicate with the principal live, in real time;
(iii) that the communication technology shall permit the notary to communicate with and identify the remotely located individual at the time of the notarial act; and
(iv) a standard that requires two or more different processes for authenticating the identity of a remotely located individual utilizing technology to detect and deter fraud, but which may allow a notary public's personal knowledge of a document signer to satisfy such requirement.
(b) If video and audio conference technology has been used to ascertain a document signer's identity, the electronic notary shall keep a copy of the recording of the video and audio conference and a notation of the type of any other identification used. The recording shall be maintained for a period of at least ten years from the date of transaction.
3. Registration requirements. (a) Before performing any electronic notarial act or acts, a notary public shall register the capability to notarize electronically with the secretary of state on a form prescribed by the secretary of state and upon payment of a fee which shall be set by regulation.
(b) In registering the capability to perform electronic notarial acts, the notary public shall provide the following information to the secretary of state, notary processing unit:
(i) the applicant's name as currently commissioned and complete mailing address;
(ii) the expiration date of the notary public's commission and signature of the commissioned notary public;
(iii) the applicant's e-mail address;
(iv) the description of the electronic technology or technologies to be used in attaching the notary public's electronic signature to the electronic record; and
(v) an exemplar of the notary public's electronic signature, which shall contain the notary public's name and any necessary instructions or techniques that allow the notary public's electronic signature to be read.
4. Types of electronic notarial acts. (a) Any notarial act authorized by section one hundred thirty-five of this article may be performed electronically as prescribed by this section if: (i) for execution of any instrument in writing, under applicable law that document may be signed with an electronic signature and the notary public is reasonably able to confirm that such instrument is the same instrument in which the principal made a statement or on which the principal executed a signature; and (ii) the electronic notary public is located within the state of New York at the time of the performance of an electronic notarial act using communication technology, regardless of the location of the document signer. If the principal is outside the United States, the record or subject of the notarial act:
(1) is to be filed with or relates to a matter before a public official or court, governmental entity, or other entity subject to the jurisdiction of the United States; or
(2) shall involve property located in the territorial jurisdiction of the United States or shall involve a transaction substantially connected with the United States.
(b) An electronic notarial act performed using communication technology pursuant to this section satisfies any requirement of law of this state that a document signer personally appear before, be in the presence of, or be in a single time and place with a notary public at the time of the performance of the notarial act.
5. Form and manner of performing the electronic notarial act. (a) When performing an electronic notarial act relating to execution of instruments in writing, a notary public shall apply an electronic signature, which shall be attached to the electronic record such that removal or alteration of such electronic signature is detectable and will render evidence of alteration of the document containing the notary signature which may invalidate the electronic notarial act.
(b) The notary public's electronic signature is deemed to be reliable if the standards which have been approved through regulation by the secretary of state have been met. Such regulations shall include, but not be limited to, the requirements that such electronic signature be:
(i) unique to the notary public;
(ii) capable of independent verification;
(iii) retained under the notary public's sole control;
(iv) attached to the electronic record; and
(v) linked to the data in such a manner that any subsequent alterations to the underlying document are detectable and may invalidate the electronic notarial act.
(c) The notary public's electronic signature shall be used only for the purpose of performing electronic notarial acts.
(d) The remote online notarial certificate for an electronic notarial act shall state that the person making the acknowledgement or making the oath appeared through use of communication technology.
(e) The secretary shall adopt rules necessary to establish standards, procedures, practices, forms, and records relating to a notary public's electronic signature. The notary public's electronic signature shall conform to any standards adopted by the secretary.
6. Recording of an electronic record. (a) If otherwise required by law as a condition for recording that a document be an original document, printed on paper or another tangible medium, or be in writing, the requirement is satisfied by paper copy of an electronic record that complies with the requirements of this section.
(b) If otherwise required by law as a condition for recording, that a document be signed, the requirement may be satisfied by an electronic signature.
(c) A requirement that a document or a signature associated with a document be notarized, acknowledged, verified, witnessed, or made under oath is satisfied if the electronic signature of the person authorized to perform that act, and all other information required to be included, is attached to or logically associated with the document or signature. A physical or electronic image of a stamp, impression, or seal need not accompany an electronic signature if the notary has attached an electronic notarial certificate that meets the requirements of this section.
(d) (i) A notary public may certify that a tangible copy of the signature page and document type of an electronic record notarized by such notary public is an accurate copy of such electronic record. Such certification must (1) be dated and signed by the notary public in the same manner as the official signature of the notary public provided to the secretary of state pursuant to section one hundred thirty-one of this article, and (2) comply with section one hundred thirty-seven of this article.
(ii) A county clerk, city registrar, or other recording officer where applicable shall accept for recording a tangible copy of an electronic record and that is otherwise eligible to be recorded under the laws of this state if the record has been certified by a notary public or other individual authorized to perform a notarial act.
(iii) A certification in substantially the following form is sufficient for the purposes of this subdivision:
CERTIFICATE OF AUTHENTICITY State of New York )
) ss.: County of ...............) On this ...... day of ...... in the year ....., I certify that the signature page of the attached record (entitled ......) (dated ......) is a true and correct copy of the signatures affixed to an electronic record printed by me or under my supervision. I further certify that, at the time of printing, no security features present on the electronic record indicated any changes or errors in an electronic signature in the electronic record after its creation or execution.
(Signature and title of notary public)
(official stamp or registration number, with the expiration date of the notary public's commission)
7. Change of e-mail address. Within five days after the change of an electronic notary public's e-mail address, the notary public shall electronically transmit to the secretary of state a notice of the change, signed with the notary public's official electronic signature.
8. No notary public or business employing the services of a notary public operating in the state of New York shall exclusively require notarial transactions to utilize electronic notarization.
9. Nothing in this section shall be construed as requiring any notary public to perform a notarial act using electronic communication technology. A notary public may refuse to perform such a notarial act if the notary public is not satisfied that (a) the principal is competent or has the capacity to execute a record, or (b) the principal's signature is knowingly and voluntarily made.
10. Notwithstanding article nine of the real property law or any other law to the contrary, any act performed in conformity with this section shall satisfy any requirements at law that a principal personally appear before, be in the presence of, or be in a single time and place with a notary public at the time of the performance of the notarial act, unless a law expressly excludes the authorization provided for in this section.
§ 136. Notarial fees. A notary public shall be entitled to the following fees:
1. For administering an oath or affirmation, and certifying the same when required, except where another fee is specifically prescribed by statute, two dollars.
2. For taking and certifying the acknowledgment or proof of execution of a written instrument, by one person, two dollars, and by each additional person, two dollars, for swearing each witness thereto, two dollars.
3. For electronic notarial services, established in section one hundred thirty-five-c of this chapter, a fee set through regulation by the secretary of state.
§ 137. Statement as to authority of notaries public. In exercising powers pursuant to this article, a notary public, in addition to the venue of the act and signature of such notary public, shall print, typewrite, stamp, or affix by electronic means where performing an electronic notarial act in conformity with section one hundred thirty-five-c of the executive law, beneath their signature in black ink, the notary public's name, the words "Notary Public State of New York," the name of the county in which such notary public originally qualified, and the expiration date of such notary public's commission and, in addition, wherever required, a notary public shall also include the name of any county in which such notary public's certificate of official character is filed, using the words "Certificate filed .......... County." A notary public who is duly licensed as an attorney and counsellor at law in this state may substitute the words "Attorney and Counsellor at Law" for the words "Notary Public." A notary public who has qualified or who has filed a certificate of official character in the office of the clerk in a county or counties within the city of New York must also affix to each instrument such notary public's official number or numbers in black ink, as assigned by the clerk or clerks of such county or counties at the time such notary qualified in such county or counties and, if the instrument is to be recorded in an office of the register of the city of New York in any county within such city and the notary has been given a number or numbers by such register or his predecessors in any county or counties, when the notary public's autographed signature and certificate are filed in such office or offices pursuant to this chapter, the notary public shall also affix such number or numbers. No official act of such notary public shall be held invalid on account of the failure to comply with these provisions. If any notary public shall willfully fail to comply with any of the provisions of this section, the notary public shall be subject to disciplinary action by the secretary of state. In all the courts within this state the certificate of a notary public, over the signature of the notary public, shall be received as presumptive evidence of the facts contained in such certificate; provided, that any person interested as a party to a suit may contradict, by other evidence, the certificate of a notary public.
§ 138. Powers of notaries public or other officers who are stockholders, directors, officers or employees of a corporation. A notary public, justice of the supreme court, a judge, clerk, deputy clerk, or special deputy clerk of a court, an official examiner of title, or the mayor or recorder of a city, a justice of the peace, surrogate, special surrogate, special county judge, or commissioner of deeds, who is a stockholder, director, officer or employee of a corporation may take the acknowledgment or proof of any party to a written instrument executed to or by such corporation, or administer an oath to any other stockholder, director, officer, employee or agent of such corporation, and such notary public may protest for non-acceptance or non-payment, bills of exchange, drafts, checks, notes and other negotiable instruments owned or held for collection by such corporation; but none of the officers above named shall take the acknowledgment or proof of a written instrument by or to a corporation of which he is a stockholder, director, officer or employee, if such officer taking such acknowledgment or proof be a party executing such instrument, either individually or as representative of such corporation, nor shall a notary public protest any negotiable instruments owned or held for collection by such corporation, if such notary public be individually a party to such instrument, or have a financial interest in the subject of same. All such acknowledgments or proofs of deeds, mortgages or other written instruments, relating to real property heretofore taken before any of the officers aforesaid are confirmed. This act shall not affect any action or legal proceeding now pending.
§ 139. Commissioners of deeds within the state. 1. Commissioners of deeds in the cities of this state shall be appointed by the common councils of such cities respectively, and shall hold office for the term of two years from the date of their appointment, and until others are appointed in their places. A vacancy occurring during the term for which any commissioner shall be appointed, shall be filled by the common council. The common council of the several cities of this state, except in cities of this state situate in a county which has a population of not less than one hundred and eighty thousand, and not more than six hundred and fifty thousand, according to the last state or federal enumeration, shall at the end of every even numbered year, by resolution of the board, determine the number of commissioners of deeds to be appointed for such cities respectively.
2. The term of office of each commissioner of deeds appointed by the common council in cities of this state situate in a county which has a population of not less than one hundred and eighty thousand, and not more than six hundred and fifty thousand, according to the last state or federal enumeration, shall expire on the thirty-first of December of the even numbered year next after he shall be appointed. The common council of any such city shall in the month of November in every even numbered year, by resolution, determine the number of commissioners of deeds to be appointed in such cities, respectively, for the next succeeding two years.
3. Any person who resides in or maintains an office or other place of business in any such city and who resides in the county in which said city is situated shall be eligible to appointment. Such commissioners of deeds may be appointed by the common council by resolution, and the city clerk shall immediately after such appointment, file a certificate thereof with the county clerk of the county in which such city is situate, specifying the term for which the said commissioners of deeds shall have been appointed; the county clerk shall thereupon notify such persons of their appointment, and such persons so appointed shall qualify by filing with him his oath of office, duly executed before such county clerk or before any person authorized to administer an oath, together with his official signature, within thirty days from the date of such notice.
4. The county clerk shall make a proper index of certificates of appointment and official signatures filed with him. For filing and indexing the certificate of appointment and official signature, the county clerk shall be paid a fee of one dollar by the appointee, which fee shall include the administration of the oath by the county clerk, should he administer the same.
5. If a person appointed commissioner of deeds shall not file his oath of office as such commissioner of deeds, in the office of the clerk of the county of his residence, within thirty days after the notice of his appointment as above provided, his appointment is deemed revoked and the fee filed with his application forfeited.
6. A commissioner of deeds may file his autograph signature and certificate of appointment in the office of any county clerk, and the county clerk of the county in which such city is located, upon request of any commissioner appointed under the provisions of this section and upon payment of twenty-five cents for each certificate, must make and deliver to such commissioner such number of certificates as may be required. Such certificates shall be issued under the hand and seal of the county clerk of the county in which such city is located, showing the appointment and term of office of such commissioner and stating the county in which he resides. Such a certificate may be filed in the office of any county clerk upon the payment of one dollar for such filing in each office. The clerks of the counties outside the city of New York, shall each keep a book or card index file in which shall be registered the signature of the commissioners so filing such certificates.
7. The county clerk of the county in which said city is located shall, upon demand and upon payment of the sum of fifty cents, authenticate a certificate of acknowledgment or proof of oath taken before such commissioner of deeds within such city, by subjoining or attaching to the original certificate of acknowledgment or proof of oath a certificate under his hand and official seal specifying that at the time of taking the acknowledgment or proof of oath the officer taking it was duly authorized to take the same; that the authenticating officer is acquainted with the former's handwriting, or has compared the signature on the certificate of acknowledgment or proof of oath with the autograph signature deposited in his office by such officer, and that he verily believes the signature is genuine.
8. Any instrument or paper sworn to, proved or acknowledged before a commissioner of deeds within a city and authenticated as hereinbefore provided by the clerk of a county within which such city is located shall be recorded and read in evidence in any county in this state without further proof; provided, however, that a county clerk's certificate of authentication shall not be necessary to entitle any deed or other instrument or paper so proved or acknowledged to be recorded in any office where such commissioner has filed his autograph signature and certificate of appointment or to be read in evidence in any county in which such commissioner has filed with the county clerk his autograph signature and certificate of appointment, as herein provided.
9. The foregoing provisions of this section shall not apply in the city of New York.
§ 140. Commissioners of deeds in the city of New York. 1. The council of the city of New York is hereby authorized and is empowered to appoint commissioners of deeds in such city from time to time, who shall hold their offices for two years from the date of their appointment.
2. No person shall be appointed a commissioner of deeds except an attorney-at-law unless such person shall have submitted with his application proof of his ability to perform the duties of the office. Applicants serving clerkships in the offices of attorneys, and whose clerkship certificate is on file with the proper officials, shall submit an affidavit to that effect. Other employees of attorneys shall submit an affidavit sworn to by a member of the firm of such attorneys that the applicant is a proper and competent person to perform the duties of a commissioner of deeds. Every other applicant shall furnish a certificate of the city clerk of such city stating that he has examined the applicant and believes such applicant to be competent to perform the duties of a commissioner of deeds; provided, however, that where a commissioner of deeds applies, before the expiration of his term, for a reappointment or where a person whose term as commissioner of deeds shall have expired applies within six months after such expiration for appointment as a commissioner of deeds, such examination shall not be required. Upon any such application for such renewal the city clerk shall furnish the applicant with a certificate stating that the applicant has theretofore qualified for appointment and indicate the date of the applicant's original appointment thereon. The fee for issuing each such certificate shall be fifty cents.
3. Such appointment shall not require the approval of the mayor, and hereafter, at the time of subscribing or filing the oath of office, the city clerk shall collect from each person appointed a commissioner of deeds the sum of twenty-five dollars, and he shall not administer or file such oath unless such fee has been paid.
4. The city clerk shall designate a commissioner of deeds clerk, whose duties shall be to enter the names of commissioners of deeds appointed in a book kept for that purpose, make out certificates of appointment and discharge such other duties as the city clerk may designate.
5. Any person hereafter appointed to the office of commissioner of deeds in and for the city of New York by the council, before entering upon the discharge of the duties of such office and within thirty days after such appointment, shall take and subscribe before the commissioner of deeds clerk in the office of the city clerk or before any person authorized to administer oaths the following oath of office: that the applicant is a citizen of the United States, and a resident of the state of New York, the city of New York and the county of (naming the county); that he will support the constitution of the United States and the constitution of the state of New York and faithfully discharge the duties of the office of commissioner of deeds. A person regularly admitted to practice as an attorney and counsellor in the courts of record of this state, whose office for the practice of law is within the city of New York, may be appointed a commissioner of deeds in and for the city of New York and may retain his office as such commissioner of deeds although he resides in or removes to another city in this state or to an adjoining state. For the purposes of this and the following sections of this article such person shall be deemed a resident of the county where he maintains such office.
5-a. A person regularly admitted to practice as an attorney and counsellor in the courts of record of this state, whose office for the practice of law is within the city of New York, may be appointed a commissioner of deeds in and for the city of New York and may retain his office as such commissioner of deeds although he resides in or removes to any other county in this state or to an adjoining state. For the purposes of this article such person shall be deemed a resident of the county where he maintains such office.
6. Any commissioner of deeds who may remove from the city of New York during his term of office vacates his office and is hereby required to notify the city clerk of such removal, and immediately upon the receipt of such notice of removal the city clerk shall cause the name of such commissioner to be stricken from the roll of commissioners of deeds of the city.
7. Any person appointed to the office of commissioner of deeds under the provisions of this section, upon qualifying as above provided, may administer oaths and take acknowledgments or proofs of deeds and other instruments in any part of the city of New York.
8. A commissioner of deeds may file his autograph signature and certificate of appointment in the office of any county clerk in the city; and the city clerk, upon request of any commissioner appointed under the provisions of this section and upon payment of twenty-five cents for each certificate, must make and deliver to such commissioner such number of certificates as such commissioner may require. Such certificates shall be issued under the hand and official seal of the city clerk, showing the appointment and term of office of such commissioner and stating the county in which he resides, which certificates may be filed in the office of the several county clerks in the city upon payment of one dollar in each office for filing.
9. The clerks of the counties of New York, Kings, Queens, Richmond and Bronx shall each keep a book or card index file in which shall be registered the signature of the commissioners so filing such certificates; and the county clerk of any county in the city with whom such commissioner has filed a certificate of appointment shall, upon demand and upon payment of the sum of fifty cents, authenticate a certificate of acknowledgment or proof of oath taken before such commissioner of deeds, without regard to the county in the city in which such acknowlgment or proof was taken or oath administered, by subjoining or attaching to the original certificate of acknowledgment or proof or oath a certificate under his hand and official seal specifying that at the time of taking the acknowledgment or proof or oath the officer taking it was duly authorized to take the same; that the authenticating officer is acquainted with the former's handwriting, or has compared the signature on the certificate of acknowledgment, proof or oath with the autograph signature deposited in his office by such officer, and that he verily believes the signature is genuine.
10. Any instrument or paper sworn to, proved or acknowledged before a commissioner of deeds within the city of New York and authenticated as hereinbefore provided by the clerk of any county within the city with whom such commissioner has filed his autograph signature and certificate of appointment shall be recorded and read in evidence in any county in this state without further proof; provided, however, that a county clerk's certificate of authentication shall not be necessary to entitle any deed or other instrument or paper so proved or acknowledged to be recorded or read in evidence in any office of the county clerks within the city of New York or the office of the register of the city of New York.
11. A commissioner of deeds must affix, in black ink, to each instrument sworn to, acknowledged or proved, in addition to his signature, the date when his term expires and his official number as given to him by the city clerk, and must print, typewrite or stamp his name in black ink beneath his signature.
12. The mayor of the city of New York may remove any commissioner of deeds appointed under the provisions of this section for cause shown; but no such commissioner shall be removed until charges have been duly made against him to the mayor and the commissioner shall have had an opportunity to answer the same. At any proceedings held before the mayor for the removal of such commissioner of deeds the mayor shall have power to subpoena witnesses and to compel the attendance of the same, and to administer oaths, and to compel the production of books and papers, and upon the termination of such proceedings shall make his decision thereon in writing, and cause the same to be filed in the office of the city clerk of the city of New York, provided, however, that the mayor may, whenever a hearing is granted by him on complaint against a commissioner of deeds, designate an assistant corporation counsel to preside who shall have power to subpoena witnesses and to compel the attendance of the same, administer oaths, compel the production of books and papers and receive exhibits; such assistant shall, upon the termination of such proceedings, certify a copy of the stenographer's minutes of such hearing and such exhibits as may be received in evidence, together with his recommendations on the issues presented, whereupon the mayor shall render a decision on all matters presented on such hearing.
13. In case such commissioner shall be removed from office the city clerk, immediately upon the receipt by him of the order of removal signed by the mayor, shall cause the name of such commissioner so removed to be stricken from the roll of commissioners of deeds of the city.
14. No person who has been removed from office as a commissioner of deeds for the city of New York, as hereinbefore provided, shall thereafter be eligible again to be appointed as such commissioner nor, shall he be eligible thereafter to appointment to the office of notary public.
15. Any person who has been removed from office as aforesaid, who shall, after knowledge of such removal, sign or execute any instrument as a commissioner of deeds or notary public shall be deemed guilty of a misdemeanor.
16. In case of the removal for cause, or removal from the city or resignation of a commissioner of deeds, the city clerk shall immediately notify each county clerk and the register of the city of New York of such removal or resignation.
§ 141. Commissioners of deeds in other states, territories and foreign countries. The secretary of state may, in his discretion, appoint and commission in any other state, territory or dependency, or in any foreign country, such number of commissioners of deeds as he may think proper, each of whom shall be a resident of or have his place of business in the city, county, municipality or other political subdivision from which chosen, and shall hold office for the term of four years, unless such appointment shall be sooner revoked by the secretary of state, who shall have power to revoke the same. A person applying for appointment as a commissioner of deeds shall state in his application the city, county, municipality or other political subdivision for which he desires to be appointed, and shall enclose with his application the sum of twenty-five dollars, which sum, if a commission shall be granted, shall be paid by the secretary of state into the state treasury, and if such commission shall not be granted, then the same shall be returned to the person making the application. Each commissioner, before performing any of the duties or exercising any of the powers of his office, shall take the constitutional oath of office, if appointed for a city or county within the United States, before a justice of the peace or some other magistrate in such city or county; and if for a territory or dependency, before a judge of a court of record in such territory or dependency; and if for a city, municipality or other political subdivision in a foreign country, before a person authorized by the laws of this state to administer an oath in such country, or before a clerk or judge of a court of record in such foreign country; and shall cause to be prepared an official seal on which shall be designated his name, the words, "commissioner of deeds for the state of New York," and the name of the city or county, and the state, country, municipality or other political subdivision from which appointed, and shall file a clear impression of such seal, his written signature and his oath certified by the officer before whom it was taken, in the office of the department of state. The secretary of state upon receipt of such impression, signature and oath, shall forward to such commissioner instructions and forms, and a copy of the appropriate sections of this chapter.
§ 142. Powers of such commissioners. Every such commissioner shall have authority, within the city, county, municipality or other political subdivision for which he is appointed, and in the manner in which such acts are performed by authorized officers within the state:
1. To take the acknowledgment or proof of the execution of a written instrument, except a bill of exchange, promissory note or will, to be read in evidence or recorded in this state.
2. To administer oaths.
3. If such commissioner is also an attorney at law regularly admitted to practice in this state, in his discretion, to the extent authorized by this section, to administer an oath to or take the acknowledgment of or proof of the execution of an instrument by his client with respect to any matter, claim, action or proceeding.
4. If appointed for a foreign country, to certify to the existence of a patent, record or other document recorded in a public office or under official custody in such foreign country, and to the correctness of a copy of such patent, record or document, or to the correctness of a copy of a certified copy of such patent, record or other document, which has been certified according to the form in use in such foreign country.
5. A written instrument acknowledged or proved, an oath administered, or a copy or a copy of a certified copy of a patent, record or other document certified, as heretofore provided in this section, may be read in evidence or recorded within this state, the same as if taken, administered or certified within the state before an officer authorized to take the acknowledgment or proof of a written instrument, to administer oaths, or to certify to the correctness of a public record, if there shall be annexed or subjoined thereto, or indorsed thereon a certificate of the commissioner before whom such acknowledgment or proof was taken, by whom the oath was administered, or by whom the correctness of such copy is certified, under his hand and official seal. Such certificate shall specify the day on which, and the city or other political subdivision, and the state or country or other place in which, the acknowledgment or proof was taken, or the oath administered, without which specification the certificate shall be void. Except as provided in subdivision five of this section, such certificate shall be authenticated by the certificate of the secretary of state annexed or subjoined to the certificate of such commissioner, that such commissioner was, at the time of taking such acknowledgment or proof, of administering such oath, or of certifying to such patent record or document, or copy thereof, duly authorized therefor, that he is acquainted with the handwriting of such commissioner, or has compared the signature upon the certificate with the signature of such commissioner deposited in his office, that he has compared the impression of the seal affixed to such certificate with the impression of the seal of such commissioner deposited in his office, and that he believes the signature and the impression of the seal upon such certificate to be genuine. The certificate of a commissioner as to the correctness of a copy of a certified copy of a patent, record or other document, as provided by this section, shall be presumptive evidence that it was certified according to the form in use in such foreign country.
6. A commissioner of deeds appointed pursuant to the preceding section may during his term of office procure from the secretary of state, on payment to him of a fee of two dollars, a certificate of his appointment, prescribed by the secretary of state, stating among other things, the date of his appointment, the date of expiration thereof and the city, county, municipality or other political subdivision for which he is appointed, and containing the signature of the commissioner in his own handwriting and his official seal, and certifying that he has compared the signature on such certificate with the signature of such commissioner deposited in his office, that he has compared the impression of the seal affixed to such certificate with the impression of the seal of such commissioner deposited in his office and that he believes the signature and the impression of the seal upon such certificate to be genuine. Such a certificate may be filed by such commissioner in the office of any county clerk or register in the state upon the payment to such county clerk or register of a fee of two dollars. Upon the filing of such certificate in the office of a county clerk or register in this state, a written instrument acknowledged or proved, an oath administered, or a copy or copy of a certified copy of a patent, record or other document certified, by a commissioner pursuant to this section, shall be entitled to be read in evidence and shall be accepted for filing or recording and filed or recorded, as the case may be, in the office of such county clerk or register, on tender or payment of the lawful fees therefor, without having annexed or subjoined to the certificate of such commissioner contained thereon the authenticating certificate of the secretary of state as required by subdivision five of this section or by subdivision one of section three hundred eleven of the real property law or by any other provision of law.
§ 142-a. Validity of acts of notaries public and commissioners of deeds notwithstanding certain defects. 1. Except as provided in subdivision three of this section, the official certificates and other acts heretofore or hereafter made or performed of notaries public and commissioners of deeds heretofore or hereafter and prior to the time of their acts appointed or commissioned as such shall not be deemed invalid, impaired or in any manner defective, so far as they may be affected, impaired or questioned by reason of defects described in subdivision two of this section.
2. This section shall apply to the following defects:
(a) ineligibility of the notary public or commissioner of deeds to be appointed or commissioned as such;
(b) misnomer or misspelling of name or other error made in his appointment or commission;
(c) omission of the notary public or commissioner of deeds to take or file his official oath or otherwise qualify;
(d) expiration of his term, commission or appointment;
(e) vacating of his office by change of his residence, by acceptance of another public office, or by other action on his part;
(f) the fact that the action was taken outside the jurisdiction where the notary public or commissioner of deeds was authorized to act.
3. No person shall be entitled to assert the effect of this section to overcome a defect described in subdivision two if he knew of the defect or if the defect was apparent on the face of the certificate of the notary public or commissioner of deeds; provided however, that this subdivision shall not apply after the expiration of six months from the date of the act of the notary public or commissioner of deeds.
4. After the expiration of six months from the date of the official certificate or other act of the commissioner of deeds, subdivision one of this section shall be applicable to a defect consisting in omission of the certificate of a commissioner of deeds to state the date on which and the place in which an act was done, or consisting of an error in such statement.
5. This section does not relieve any notary public or commissioner of deeds from criminal liability imposed by reason of his act, or enlarge the actual authority of any such officer, nor limit any other statute or rule of law by reason of which the act of a notary public or commissioner of deeds, or the record thereof, is valid or is deemed valid in any case.
§ 143. Fees of such commissioners. The fees of such commissioners shall be as follows:
1. If appointed for another state, territory or dependency, not to exceed four times the amount allowed by the laws of such state, territory or dependency for like services, and not to exceed in any case one dollar for taking the proof or acknowledgment of a written instrument, or administering an oath;
2. If appointed for Great Britain or Ireland, for administering or certifying an oath, one shilling sterling, and for taking the proof or acknowledgment of a written instrument, or for certifying to the existence or correctness of a copy of a patent, record or document, four shillings sterling;
3. If appointed for France or any other foreign country, for administering and certifying an oath, one franc and twenty-five centimes, and for taking the proof or acknowledgment of a written instrument, or for certifying to the existence or correctness of a copy of a patent, record or document, five francs.
§ 144. Saving clause. In case it be judicially determined that any phrase, clause, part, paragraph or section of any of the provisions of sections one hundred thirty, one hundred thirty-one, one hundred thirty-two, one hundred thirty-three, one hundred thirty-five, one hundred thirty-six, one hundred thirty-seven and one hundred thirty-eight is unconstitutional or otherwise invalid, such determination shall not affect the validity or effect of the remaining provisions of the aforementioned sections. All persons heretofore appointed and still holding office as notaries public shall continue in such office after the effective date of this article, with the same powers and duties as herein provided until the expiration of the term for which they were appointed.
§ 144-a. Eligible professions for the purchase, sale, and use of body armor. The secretary of state in consultation with the division of criminal justice services, the division of homeland security and emergency services, the department of corrections and community supervision, the division of the state police, and the office of general services shall promulgate rules and regulations to establish criteria for eligible professions requiring the use of body armor, as such term is defined in subdivision two of section 270.20 of the penal law. Such professions shall include those in which the duties may expose the individual to serious physical injury that may be prevented or mitigated by the wearing of body armor. Such rules and regulations shall also include a process by which an individual or entity may request that the profession in which they engage be added to the list of eligible professions, a process by which the department shall approve such professions, and a process by which individuals and entities may present proof of engagement in eligible professions when purchasing body armor.
ARTICLE 6-A STATE REGISTER
Section 145. Definitions.
146. Publication of certain public notices.
147. Schedule of publication.
148. Distribution and fees.
149. Format of state register.
§ 145. Definitions. As used in this article, unless another meaning is clearly apparent in the language or context:
1. The term "agency" shall mean any department, board, bureau, commission, division, office, council, committee or officer of the state, a public benefit corporation or public authority at least one of whose members is appointed by the governor.
2. The term "public corporation" shall mean and include a municipal corporation, a district corporation, or public benefit corporation except a public benefit corporation at least one of whose members is appointed by the governor.
3. The term "person" shall mean any individual, partnership, corporation, association, or public or private organization of any character, other than an agency or public corporation.
§ 146. Publication of certain public notices. 1. The department of state shall publish, pursuant to the schedule in section one hundred forty-seven of this article, and post on its internet website a publication to be known as the state register, in which shall be published and posted from time to time as received by such department:
(a) rules, orders, designations, and notices submitted by the chief administrator of the courts;
(b) notices and advertisements required by state statute or federal law, rule or regulation to be published by an agency in a newspaper;
(c) notices required by statute to be published in newspapers in actions against foreign corporations;
(d) notices and job impact statements required by the state administrative procedure act to be published in the state register; and
(e) any other matter required by statute to be published in the state register.
2. The secretary of state may, at his or her discretion, publish and post in the state register any notice or information which is not otherwise required by statute to be submitted to him or her by an agency or public corporation for publication in the state register, in instances where such publication and posting will serve the public interest.
3. With regard to rule making notices required to be published and posted in the state register pursuant to article two of the state administrative procedure act, the secretary of state may, at his or her discretion, publish and post the complete text of a proposed or adopted rule, which is not otherwise required to be published and posted in the state register, in instances where such publication and posting will serve the public interest. The secretary of state shall accept from a state agency all rulemaking notices, statements and analyses as required by the state administrative procedure act, data, rules, and regulations as provided for by article three of the state technology law.
4. With regard to a notice of adoption published in the state register pursuant to article two of the state administrative procedure act, for which the corresponding notice of proposed rule making published and posted in the state register included the complete text of the rule, the secretary of state may, at his or her discretion, include only the changes in such text in the notice of adoption.
4-a. Notice of the availability of any state or federal funding which is to be distributed by any agency upon application by any municipality, school board, school district, not-for-profit organization or any other individual or organization entitled to apply for such funding pursuant to any law, rule or regulation governing the distribution of such funds shall be published and posted in the state register. Such notice shall appear in the register no later than forty-five days prior to the last day for receipt of applications for such funding. Such notice shall not be required: (i) whenever a notice has been published in the procurement opportunities newsletter pursuant to article four-C of the economic development law; (ii) for state or federal transportation funding; and (iii) in those instances where an entity has been specifically designated by law or legislative resolution to receive funding. Failure to publish the notice in a timely manner shall not be a basis for setting aside an award or challenging a contract or other legal claim.
5. The publication and posting of notices and advertisements in the state register shall be additional to their publication in newspapers, whenever publication in newspapers is required by statute.
6. The secretary of state shall promulgate rules establishing procedure, forms, font and style for submission of material by any person, agency or public corporation for publication and posting in the state register.
§ 147. Schedule of publication. 1. The department of state shall publish a regular issue of the state register at least once a week and special issues as directed by statute or as deemed appropriate by the secretary of state.
2. The department of state may publish special issues which shall include information and notices required to be published pursuant to section fourteen hundred two of the abandoned property law, at times specified by such section.
3. The department of state shall publish, quarterly, a special issue which shall:
(a) contain an index of all notices published in the state register pursuant to article two of the state administrative procedure act between January first of the year of publication and the state register issue immediately preceding publication of this special issue;
(b) cite each notice in the index by the identification number described in subdivision three of section one hundred forty-nine of this article and for each such notice cited, the index shall include a description of the subject and purpose of the rule, the date of publication of the notice, and a symbol denoting whether the notice was for (i) a proposed rule making, (ii) an adoption, (iii) an emergency adoption, (iv) an expiration, (v) a revised rule making or (vi) a withdrawal; and
(c) arrange notice citations by agency in alphabetical order and present consecutively all such citations relating to a single rule making.
§ 148. Distribution and fees. 1. a. The department of state shall mail or otherwise deliver a copy of each issue of the state register to the office of the clerk of every county, to every library designated by the commissioner of education, and upon written request, to the office of the clerk of any city, town or village. Such copies shall be made available for public inspection by such offices and libraries for not less than one year.
b. On or before September first, nineteen hundred eighty-three, and annually thereafter, the commissioner of education shall designate a sufficient number of libraries, not to exceed three hundred, to provide a uniform, statewide distribution of copies of each issue of the state register, and shall provide the department of state with a list of such designated libraries.
2. The department of state shall mail or otherwise deliver a copy of each regular issue and the quarterly index required by subdivision three of section one hundred forty-seven of this article to each agency and every state legislator, unless the agency or state legislator has requested that the department discontinue such delivery, and shall provide notice and indicate the availability upon request of any special issue published pursuant to subdivision two of section one hundred forty-seven of this article by placing said notice in the regular issue appearing two weeks prior to the publication date of any such special issue. Such special issues shall be available to each agency and state legislator at no charge.
3. Subscriptions to the state register shall be made available to the public by either first or second class mail, or in electronic form at the election of the subscriber. A reasonable rate for a subscription to printed copies of the regular issue and quarterly index required by subdivision three of section one hundred forty-seven of this article, to be not more than eighty dollars per year for first class mail delivery and not more than forty dollars per year for second class mail delivery, shall be set by the secretary of state. The secretary of state may charge no more than one dollar and fifty cents per single copy of a printed regular issue or quarterly index of the state register. Rates shall not be set at such a level that the anticipated total subscription revenues exceed the total cost of producing, printing and distributing the state register.
4. Special issues published pursuant to subdivision two of section one hundred forty-seven of this article shall be made available to the public at prices set by the secretary of state to reflect the cost of producing, printing and distributing the special issues. The notice provided in subdivision two of this section shall indicate the prices of the special issues.
4-a. In addition to the state register, the department of state shall make available at no cost an online version of the weekly state register, quarterly index and any special issues as directed by statute or deemed appropriate by the secretary of state.
5. The secretary of state shall be entitled to charge and receive a reasonable sum from any person required by state statute to cause a notice to be published in the state register.
6. All fees set by the secretary of state pursuant to this section are subject to the approval of the director of the budget.
§ 149. Format of state register. 1. The printed version of the state register shall be an eight and one-half by eleven inch booklet with three holes punched in the left hand margin to make such register suitable for storage in an eight and one-half by eleven inch loose-leaf binder.
2. Each regular issue of the state register shall contain:
(a) a table of contents;
(b) a table which includes a general description of the identification number system, the alphanumeric abbreviation assigned to each agency and the symbol to denote the various types of notices pursuant to article two of the state administrative procedure act;
(c) a complete list of all public hearings to be conducted for which a notice of proposed rule making has been published therein or in any previous issue of the state register. Such list shall include (i) the agency which will conduct the public hearing; (ii) the date, time, place and subject of such public hearing; and (iii) the identification number for the proposed rule making which is the subject of such public hearing;
(d) a presentation of notices, required by article two of the state administrative procedure act and not already published in the state register, in a sequence that provides by agency (i) notices of emergency adoption, (ii) notices of adoption, (iii) notices of expiration, (iv) notices of withdrawal, (v) notices of proposed rule making for which a public hearing is scheduled, (vi) notices of proposed rule making for which no hearing is scheduled and (vii) notices of revised rule making;
(e) an action pending index, in tabular form, by agency in alphabetical order, which shall identify all previously noticed proposed rules for which the secretary of state has not published a notice of expiration, of adoption or of withdrawal, and, with respect to a rule defined in subparagraph (ii) of paragraph (a) of subdivision two of section one hundred two of the state administrative procedure act, for which the secretary of state has not published a notice of adoption or withdrawal for one year after the publication of the proposed rule making notice or two years if such notice has been renewed by the agency. Such action pending index shall include a description of the subject and purpose of the proposed rule and the identification number described in paragraph (a) of subdivision three of this section.
3. With respect to notices published in the state register pursuant to article two of the state administrative procedure act: (a) each notice of proposed rule making shall be identified in the state register by an identification number which shall include a separate alphanumeric abbreviation to identify the agency, the issue number and year of publication of the state register, a consecutive number assigned by the secretary of state to such notice, and a symbol denoting that the notice is for a proposed rule making;
(b) each notice of expiration, revised rule making, withdrawal, adoption or emergency adoption shall be identified by the identification number assigned to the notice of proposed rule making to which it corresponds, followed by a symbol denoting that such notice is for an expiration, withdrawal, adoption or emergency adoption;
(c) if a notice of emergency adoption does not correspond to a prior notice of proposed rule making, such notice of emergency adoption shall be assigned an identification number in accordance with paragraph (a) of this subdivision, except that the symbol shall denote that the notice is for an emergency adoption.
4. To the extent practicable, every version of the state register transmitted by electronic means shall substantially comply with the provisions of this section.
ARTICLE 6-B SERVICES TO LOCALITIES
Section 150. Legislative findings.
151. Definitions.
152. General functions, powers and duties.
153. Specific powers, functions and duties.
§ 150. Legislative findings. The legislature hereby finds and declares that:
1. Strong local government has been a major positive factor in the political, economic and social development of the state;
2. The future welfare of the state depends in large measure on the effectiveness of local government and of its relationships to state government;
3. Population shifts and other economic and social trends have brought new problems to local government;
4. The state has the responsibility toward local government to coordinate state services and information for the benefit of local government, to assist in the solution of its problems, and otherwise to help local government in making itself as strong and effective as possible;
5. The need for a more rational planning process requires a high degree of local, state and interstate cooperation;
6. The need for a single state agency to review and comment on local planning efforts of statewide significance, state agency planning and interstate planning commission programs is recognized;
7. A common data base developed by the official state planning agency in conjunction with planning efforts at all levels of government is essential to effective planning; and
8. State planning and development policies should promote planning programs among state agencies and between levels of government that maximize environmental and economic benefits to the localities.
§ 151. Definitions. As used in this article, the term "municipalities" shall include public corporations as defined in subdivision one of section sixty-six of the general construction law and special districts as defined in subdivision sixteen of section one hundred two of the real property tax law.
§ 152. General functions, powers and duties. The department of state, by and through the secretary of state or duly authorized officers or employees, shall have the following functions, powers and duties:
1. To assist the governor in coordinating the activities and services of those departments and agencies of the state having relationships with municipalities to the end of providing more effective services to such municipalities.
2. To keep the governor informed as to the problems of municipalities and to advise and assist in formulating policies with respect thereto and utilizing the resources of the state government for the benefit of municipalities.
3. To serve as a clearinghouse, for the benefit of municipalities, regarding information relating to their common problems and to the state and federal services available to assist in the solution of those problems.
4. To refer municipalities to the appropriate departments and agencies of the state and federal governments for advice, assistance and available services in connection with particular problems
5. To advise and assist municipalities in the solution of particular problems.
6. To conduct studies and analyses of the problems of municipalities and to make the results thereof available as the secretary may deem appropriate.
7. To encourage and assist cooperative efforts among municipalities in developing among themselves solutions of their common problems.
8. To encourage expansion and improvement of training made available to municipal officials, in cooperation with municipalities and the organizations representing them.
9. To consult with and cooperate with municipalities and officers, organizations, groups and individuals representing them, to the end of more effectively carrying out the functions, powers and duties of the department.
10. To encourage and facilitate cooperation and collaboration among agencies and levels of government, and between government and the private sector, for the protection and development of human, natural and man-made resources.
11. To advise and assist municipalities in the performance of their planning and development activities.
12. To aid and assist, in the provision and coordination of state technical assistance and services in connection with the planning and development activities of municipalities.
13. To provide assistance and guidance to municipalities and, as appropriate, to the private sector, through the compilation, formulation and dissemination of necessary information, projections and techniques relating to development of resources.
14. To undertake any studies, inquiries, surveys or analyses necessary for performance of the functions, powers and duties of the department through the personnel of the department or consultants, or in cooperation with any public or private agencies.
15. To adopt, amend or rescind such rules, regulations and orders as may be necessary or convenient for the performance of its functions, powers and duties under this article.
16. To enter into contracts with any persons, firm, corporation or governmental agency, and to do all other things necessary or convenient to carry out the functions, powers and duties expressly set forth in this article.
17. To effectuate the purposes of this article, and to enable the department properly to carry out its functions, powers and duties, the secretary of state may request from any state department or agency or from any municipality, and the same are hereby authorized to provide, appropriate assistance, services and data.
22. To prepare and recommend to the legislature and the governor legislative proposals relating to municipalities.
23. With the approval of the governor, to accept and administer as agent of the state any gift, grant, devise or bequest, whether conditional or unconditional, including federal grants, for any of the purposes of this article. Any moneys so received may be expended subject to the same limitations as to approval of expenditures and audits as are prescribed for state moneys.
§ 153. Specific powers, functions and duties. The department of state shall have the following specific powers, functions and duties:
1. (a) To act as the official state planning agency for all of the purposes of sections seven hundred one and seven hundred three of the federal housing act of nineteen hundred fifty-four, as heretofore and hereafter amended, except as otherwise provided by law.
(b) To act as agent for, and enter into contracts and otherwise cooperate with, the federal government in connection with the authority referred to in paragraph (a) of this subdivision, and as such agent to administer any grant or advance of funds for the assistance of any such activities to the state, or through the state to the governing bodies of municipalities, legally constituted metropolitan or regional planning agencies, and tribal councils or other legally constituted tribal bodies for planning for an Indian reservation located within the territorial jurisdiction of the state of New York, complying with the provisions of such grants or advances.
(c) To present any claim, other than claims required by law to be presented by the commissioner of transportation, to the federal government or any agency or official thereof with respect to the funds made available for the purposes specified in paragraphs (a) and (b) of this subdivision.
(d) To enter into a contract or contracts with any municipality, legally constituted metropolitan or regional planning agency, or tribal council or other legally constituted tribal body for planning for an Indian reservation located within the territorial jurisdiction of the state of New York, in connection with the authority provided in paragraph (a) of this subdivision for grants to be made to such municipality, planning agency or tribal council or other legally constituted tribal body by the state, within amounts appropriated therefor, for planning projects approved by the secretary, which contracts shall provide that the approved cost of a planning project, over and above the amount which may be received from federal grants therefor, shall be borne in an amount not to exceed one-half thereof by the state pursuant to such contracts and the remainder thereof out of local funds appropriated therefor by such municipality, planning agency or tribal council or other legally constituted tribal body.
2. To act as the official agent of the state for the purpose of administering, carrying out and otherwise cooperating with the federal government in connection with the provisions of the federal Appalachian regional development act of nineteen hundred sixty-five as heretofore and hereafter amended; to apply for, accept, and expend funds made available by the federal government pursuant to such federal acts and enter into any necessary contracts or compacts in connection therewith; and to take any further action which may be required under the terms of any such federal act.
3. To act as the official agent of the state for the purpose of administering, carrying out and otherwise cooperating with the federal government in connection with the provisions of the federal public works and economic development act of nineteen hundred sixty-five, as heretofore and hereafter amended; to apply for, accept, and expend funds made available by the federal government pursuant to such federal acts and enter into any necessary contracts or compacts in connection therewith; to review and approve overall economic development programs prepared under the provisions of such federal acts as to the qualifications of the area or district organization and the adequacy and reasonableness of such programs, and every political subdivision of the state, or private or public non-profit organization or association submitting an overall economic development program to the federal government must submit such overall economic development program for review by the department of state; to act on behalf of the political subdivisions of the state in connection with making findings that projects for which financial assistance is sought under the provisions of such federal acts are consistent with an overall program for the economic development of the area; and to take any further action which may be required under the terms of any such federal acts, including but not limited to delineating economic development districts and economic development regions and providing for the administration of such districts and regions in any manner deemed appropriate by the department, except that with regard to section three hundred two of such act, the governor shall designate the official agent of the state for the purpose of administering, carrying out and otherwise cooperating with the federal government in connection with the provisions of such section.
5. (a) To make or contract to make, within appropriations therefor, state grants to municipalities to cover fifty per centum of the costs to municipalities of preparing applications to the federal government for federal assistance for the planning of comprehensive city demonstration programs as authorized under title one of the demonstration cities and metropolitan development act of nineteen hundred sixty-six as modified by the provisions of title I of the housing and community development act of nineteen hundred seventy-four, and any federal laws as heretofore and hereafter amended, as such costs shall be certified by the municipality and approved by the secretary of state.
(b) In the case of municipalities which have contracted with the federal government for a federal grant to assist in financing the costs of planning comprehensive city demonstration programs under the authority referred to in paragraph (a) of this subdivision, to make or contract to make, within appropriations therefor, state grants to such municipalities to cover fifty per centum of the net cost to the municipality of undertaking and completing such planning, exclusive of any federal assistance, as such net cost shall be certified by the municipality and approved by the secretary of state, but in no event shall such state grants exceed one-eighth of the federal grant.
(c) In the case of municipalities which have had applications approved by the federal government for federal assistance for the planning of comprehensive city demonstration programs under the authority referred to in paragraph (a) of this subdivision, but for which federal funds are not then available, to make or contract to make, within appropriations therefor, state grants to such municipalities in an amount not to exceed ninety per centum of the reasonably anticipated costs of undertaking and completing such planning, as such costs shall be certified by the municipality and approved by the secretary of state; provided, however, that no such grant shall be made unless the municipality agrees to repay such grant out of federal funds made available to the municipality for such planning, when and to the extent such federal funds are made available.
(d) In carrying out the functions, powers and duties prescribed in paragraphs (a), (b) and (c) of this subdivision and in developing plans and applications under title one of the housing and community development act of nineteen hundred seventy-four, to provide such technical assistance to the municipalities as the secretary of state determines to be appropriate.
6. The department of taxation and finance is hereby designated to accept and receive all grants and advances from the federal government pursuant to the provisions of sections seven hundred one and seven hundred three of the federal housing act of nineteen hundred fifty-four and the provisions of the federal Appalachian regional development act of nineteen hundred sixty-five and the federal public works and economic development act of nineteen hundred sixty-five and the federal fire prevention and control act of nineteen hundred seventy-four, as such acts may be amended from time to time, which are provided for the purposes specified in subdivisions one, two, three, four and five of this section and all moneys so accepted and received shall be deposited by the department of taxation and finance in special funds for use exclusively for the purposes for which such grants or advances were made. Payment from such special funds shall be made upon audit and warrant of the comptroller upon vouchers approved by the secretary.
7. Nothing contained in this section shall be deemed to derogate or detract in any way from the functions, powers and duties prescribed by law of any state department or agency or any municipality, nor to interrupt or preclude the direct relationships of any such department or agency with any such municipality for the carrying out of such functions, powers and duties.
ARTICLE 6-C OFFICE OF FIRE PREVENTION AND CONTROL
Section 155. Office of fire prevention and control; creation; state fire administrator; employees.
155-a. Definitions.
156. Functions, powers and duties of the office.
156-a. Establishment of a specialized hazardous materials emergency response training program.
156-b. Permanent marking indicating location of fire hydrants.
156-c. Fire safety standards for cigarettes.
156-d. Thermal imaging camera grant program.
156-e. College fire safety.
156-f. Evacuation drills.
156-g. Establishment of teams for urban search and rescue, specialty rescue and incident support.
156-h. Registration and fees for manufacturers, distributors, wholesalers, and retailers of sparkling devices.
157. Granting authority.
158. Firefighting training.
159. Advisory council for fire prevention and control.
159-a. Inclusion on the fallen firefighters memorial.
159-c-1. Training; live fire conditions.
159-d. Training for fire chiefs.
§ 155. Office of fire prevention and control; creation; state fire administrator; employees. There is hereby created in the division of homeland security and emergency services an office of fire prevention and control. The head of such office shall be the state fire administrator, who shall be appointed by the governor and shall hold office during the pleasure of the governor. He shall receive an annual salary to be fixed by the commissioner of the division of homeland security and emergency services within the amount available by appropriation. He shall also be entitled to receive reimbursement for expenses actually and necessarily incurred by him in the performance of his duties within the amount available by appropriation.
§ 155-a. Definitions. When used in this article:
1. "Districts" shall mean fire districts created pursuant to article eleven of the town law.
2. "Fire companies" shall mean fire companies governed by the not-for-profit corporation law.
3. "Municipal corporations" shall mean a county, city, town and village.
4. "Municipalities" shall mean municipal corporations.
5. "Sprinkler system" shall mean a system of piping and appurtenances designed and installed in accordance with generally accepted standards so that heat from a fire will automatically cause water to be discharged over the fire area to extinguish it or prevent its further spread.
§ 156. Functions, powers and duties of the office. The office of fire prevention and control, by and through the state fire administrator or his duly authorized officer or employee, shall be empowered to:
1. Advise and assist in coordinating and strengthening the activities, programs and services, and rules and regulations of those departments and agencies of the state which have functions, powers and duties relating to (a) arson suppression, detection, investigation and prosecution, (b) fire prevention and control, and (c) fire service-related problems, to the end of providing more effective services to the public and strengthening governmental programs relating to such matters.
1-a. Advise and assist the state education department in the development of a specialized course of study for teachers of fire and arson prevention.
2. Advise and assist fire companies, municipal corporations and districts, including agencies and departments thereof in developing measures for more effective fire and arson prevention and control; to assist and encourage cooperative efforts to solve common problems relating to fire and arson prevention and control and to serve as a clearinghouse of information about fire and arson prevention and control, about reported cases of burn injuries or wounds sustained, and about state and federal services available to assist in solving such problems.
3. Employ or contract with individuals, agencies or corporations to assist fire companies, municipal corporations and districts in the development of an arson investigation program or in the investigation of cases of suspected arson or cases of burn injuries or wounds sustained upon the request of such an entity. However, nothing in this provision shall be construed to remove the primary responsibility for arson investigations from appropriate local jurisdictions or agencies.
4. Improve arson evidence analysis and testing at existing facilities and periodically recommend to the governor and the legislature methods to improve such services.
5. Collect, compile and disseminate information relating to fire and arson prevention and control, reported cases of burn injuries or wounds sustained, the use of sprinkler systems, and to operate a state fire reporting system. The state fire reporting system shall include a procedure for the identification of patterns of suspicious or criminal fires and for alerting appropriate state and local authorities. The fire reporting system shall also include fire incident data supplied by local fire agencies in a manner and on forms prescribed by the state fire administrator. To the extent practicable, the data shall be collected and maintained in a form compatible with information collected by other states and the federal government. The state fire administrator shall cooperate with the division of state police, division of criminal justice services, department of financial services, local police and fire agencies, the insurance industry and other appropriate organizations in maintaining such system. The provisions of section three hundred eighteen of the insurance law shall apply to any organization supplying information pursuant to this subdivision.
6. Plan, coordinate and provide training for firefighters, both paid and volunteer, and related governmental officers and employees, relating to fire and arson prevention and control, and encourage expansion and improvement of local training facilities in cooperation with fire companies, municipal corporations and districts. Such training shall be made available by video or computer to the maximum extent possible. The office shall adopt rules and regulations relating to such training, including but not limited to training standards used and the process by which training hours are allocated to counties as well as a uniform procedure for requesting and providing additional training hours.
7. Operate the New York state academy of fire science.
8. Consult with and cooperate with state departments and agencies, and universities, colleges and institutions in the state for the development of specialized courses of study for public officers and employees, including paid and volunteer firefighters, in fire science and administration. As part of the development of a training program for firefighters, the office shall collect, compile, and disseminate information regarding training needs based on the data provided pursuant to section seventy-two-g of the general municipal law. Such information shall be compiled annually and, once compiled, a copy of such information shall be submitted to the governor, the temporary president of the senate, and the speaker of the assembly.
9. Coordinate and support arson training programs conducted by the division of criminal justice services and the division of state police.
10. Provide such public education and information programs, studies and reports as the state fire administrator may determine in furtherance of the provisions of this article and to coordinate and assist other state agencies, municipal corporations and districts and fire companies in such matters.
11. Provide management advice and technical assistance to municipal corporations and districts and fire companies relating to fire and arson prevention and control, including recommendations relating to organizations and structure of fire companies, municipal corporations and districts, allocations of powers and functions, cooperation and intergovernmental organizational and fiscal relationships, federal and state aid programs; to provide legal advice and technical services to state and local officials and agencies with respect to powers, duties and functions of municipal corporations and districts and fire companies relating to fire and arson prevention and control.
12. Prepare and recommend revisions, consolidations or compilations of statutes relating to arson, fire prevention and control.
13. Upon request of the appropriate state agency, provide for the fire safety inspection of state or state-regulated facilities with the cooperation and assistance of local fire inspection personnel. The completed fire inspection form shall be filed with the requesting agency and contain recommendations as may be appropriate and a copy filed with the office of fire prevention and control.
14. Act as the official agent of the state for the purpose of administering, carrying out and otherwise cooperating with the federal government in connection with the provisions of the federal fire prevention and control act of nineteen hundred seventy-four and any federal laws amendatory or supplemental to such act heretofore or hereafter enacted; to apply for, accept, and expend funds made available by the federal government pursuant to such act; and to enter into any necessary contracts or compacts pursuant to such federal acts in connection therewith and to take any further action which may be required under the terms of any such federal act.
15. Enter into contracts with any person, firm, corporation or governmental agency to do all things necessary and convenient to carry out the functions, powers and duties expressly set forth in this article.
16. Accept and administer as agent of the state any gift, grant, devise or bequest, including federal grants for any of the purposes of this article. Any moneys so received may be expended subject to the same limitations as to approval of expenditures and audits as are prescribed for state moneys.
17. Issue a written report to the governor and legislature, on or before February fifteenth of each year, on firefighter training activities. Such report shall include at least the following information: the minimum training hours allocated on a county-by-county basis, the training hours requested by each county, any unfulfilled training hour requests, and the number of hours used by each county on a county-by-county basis.
18. Establish rules and regulations as to the location and design of a delineator used to mark the location of fire hydrants.
19. Issue permits and enforce the provisions of article four hundred five of the penal law for the public displays of fireworks and indoor pyrotechnics on or within state property, unless such authority has been delegated pursuant to the rules and regulations promulgated by the office of fire prevention and control.
20. Register the manufacturers, distributors, wholesalers, retailers and seasonal retailers of sparkling devices who wish to do business within the state.
* 21. Adopt, amend or rescind such rules, regulations or orders as may be necessary or convenient to the performance of the functions, powers and duties set forth in this article.
* NB There are 2 sb 21's
* 21. Provide written materials to consumers and builders which detail the benefits of and include the factors that can affect costs associated with the installation and maintenance of an automatic fire sprinkler system for a one- or two-family residential dwelling.
* NB Repealed upon provisions set forth in § 3 of chapter 201 of 2014
* NB There are 2 sb 21's
22. In coordination with the commissioner of the office for people with developmental disabilities, provide the training program relating to handling emergency situations involving individuals with autism spectrum disorder and other developmental disabilities and associated training materials pursuant to section 13.43 of the mental hygiene law to all firefighters, both paid and volunteer. The office shall adopt all necessary rules and regulations relating to such training, including the process by which training hours are allocated to counties as well as a uniform procedure for requesting and providing additional training hours.
§ 156-a. Establishment of a specialized hazardous materials emergency response training program. 1. The state fire administrator shall establish a specialized hazardous materials emergency response training program for individuals responsible for providing emergency response recovery following incidents involving hazardous materials as such term is defined in regulations promulgated by the commissioner of transportation pursuant to section fourteen-f of the transportation law. The state fire administrator shall inform all fire companies, municipal corporations and districts, including agencies and departments thereof and all firefighters, both paid and volunteer, and related officers and employees and police officers of the implementation and availability of the hazardous materials emergency response training program and shall, subject to the availability of an appropriation, conduct such training with sufficient frequency to assure adequate response to incidents involving hazardous materials and protection of responders in all geographic areas of the state.
2. The state fire administrator shall prescribe the curriculum of the hazardous materials emergency response training program, which shall include, but shall not be limited to:
(a) hands-on training, including information in regard to leak and spill control, product neutralization, pickup and disposal, fire control, decontamination procedures and use and application of foam agents;
(b) hazard assessment with emphasis on incident scene decision-making, including: potential threat to public safety and need for evacuation, calculation of the effect of weather on certain chemicals and evaluation of the result of chemical exposures to air, water, soil, vegetation, lives and property and impact on the personal safety of those working in the accident area;
(c) calibration and use of emergency equipment;
(d) chemical and biological properties of various classes of chemicals, for example, flammables, oxidizers, corrosives, poisons; and
(e) weapons of mass destruction and response to terrorism.
3. The state fire administrator is hereby directed to issue a report to the governor, speaker of the assembly, temporary president of the senate, chairman of the assembly transportation committee and the chairman of the senate transportation committee by February fifteenth of each year on the operations of the program set forth in this section.
4. The state fire administrator shall promulgate such rules and regulations as are necessary to carry out the provisions of this section.
§ 156-b. Permanent marking indicating location of fire hydrants. A municipality or fire district may mark the location of any fire hydrant within its jurisdiction by means of a reflective delineator of a uniform type and color approved by the office of fire prevention and control.
§ 156-c. Fire safety standards for cigarettes. 1. a. When used in this section, the word "cigarette" shall mean any roll for smoking made wholly or in part of tobacco or of any other substance, irrespective of size or shape and whether or not such tobacco or substance is flavored, adulterated or mixed with any other ingredient, the wrapper or cover of which is made of paper or any other substance or material except tobacco.
b. When used in this section, the word "sell" shall mean to sell, or to offer or agree to do the same.
2. a. Within two years after this section takes effect, the office of fire prevention and control shall promulgate fire safety standards for cigarettes sold or offered for sale in this state. Such standards shall take effect as provided in subdivision four of this section and shall insure either:
(1) That such cigarettes, if ignited, will stop burning within a time period specified by the standards if the cigarettes are not smoked during that period; or
(2) That such cigarettes meet performance standards prescribed by the office of fire prevention and control to limit the risk that such cigarettes will ignite upholstered furniture, mattresses or other household furnishings.
b. In promulgating fire safety standards for cigarettes pursuant to this section, the office of fire prevention and control, in consultation with the department of health, shall consider whether cigarettes manufactured in accordance with such standards may reasonably result in increased health risks to consumers.
c. The office of fire prevention and control shall be responsible for administering the provisions of this section.
d. The office of fire prevention and control shall report to the governor and the legislature no later than eighteen months after this section takes effect on the status of its work in promulgating the fire safety standards required by this subdivision.
e. When a cigarette is suspected of having ignited a fire, and the office of fire prevention and control receives information regarding the brand and style of such cigarette pursuant to section two hundred four-d or ninety-one-a of the general municipal law, and where such brand and style had been previously certified pursuant to subdivision three of this section and the package has been marked as required by subdivision six of this section, the office of fire prevention and control shall conduct random testing on cigarettes of the same brand and style in order to determine whether such cigarettes meet the fire safety standards mandated by this section; provided however that such testing shall not be required if the office of fire prevention and control has tested such brand and style within the preceding three months.
3. On and after the date the fire safety standards take effect in accordance with subdivision four of this section, no cigarettes shall be sold or offered for sale in this state unless the manufacturer thereof has certified in writing to the office of fire prevention and control that such cigarettes meet the performance standards prescribed by the office of fire prevention and control pursuant to subdivision two of this section.
(a) Such certifications must be based upon testing conducted by a laboratory that has been accredited pursuant to Standard ISO/IEC 17025 of the international organization for standardization, or such other comparable accreditation standard as the office of fire prevention and control shall require by regulation.
(b) Such certification shall be signed by an officer of the manufacturer and shall contain for each cigarette brand style such information as shall be deemed necessary by the office of fire prevention and control, including but not limited to: (i) the brand and style; (ii) length in millimeters; (iii) circumference in millimeters; (iv) flavor, if applicable; (v) filter or non-filter; (vi) package description; (vii) the name, address and telephone number of the laboratory, if different than the manufacturer that conducted the test; (viii) the date that the testing occurred; and (ix) a notarized statement from an officer or director of the laboratory certifying that the cigarette meets the performance standards prescribed by the office of fire prevention and control.
(c) If a manufacturer has certified a cigarette pursuant to this subdivision, and thereafter makes any change to such cigarette that is likely to alter its compliance with the fire safety standards mandated by this section, then before such cigarette may be sold or offered for sale in this state such manufacturer shall retest such cigarette in accordance with the testing standards prescribed by the office of fire prevention and control and maintain records of such retesting as required by subdivision seven of this section. Any such altered cigarette which does not meet the performance standard prescribed by the office of fire prevention and control may not be sold in the state. Copies of such written certifications shall be provided by the certifying manufacturer to all wholesale dealers, as defined in subdivision eight of section four hundred seventy of the tax law, and all agents, as defined in subdivision eleven of section four hundred seventy of the tax law. The office of fire prevention and control shall prescribe procedures by which stamping agents, wholesale dealers or retail dealers are notified of which cigarettes have been certified by manufacturers as meeting the performance standards prescribed by the office of fire prevention and control, which may include the maintenance of a website listing certified cigarette brands and styles.
4. The fire safety standards required pursuant to subdivision two of this section shall take effect on such date as the office of fire prevention and control shall specify in promulgating such standards and such date shall be the earliest practicable date by which manufacturers of cigarettes can comply with such standards; provided, however, that such date shall not be later than one hundred eighty days after such standards are promulgated. On and after such date, no person or entity shall sell in this state cigarettes that have not been certified by the manufacturer in accordance with subdivision three of this section or that have not been marked in the manner required by subdivision six of this section; provided, however, that nothing in this subdivision shall be construed to prohibit any person or entity from selling or offering for sale cigarettes that have not been certified by the manufacturer in accordance with subdivision three of this section and have not been marked in the manner required by subdivision six of this section if such cigarettes are or will be stamped for sale in another state or are packaged for sale outside the United States.
5. a. Any wholesale dealer, as defined in subdivision eight of section four hundred seventy of the tax law, or any agent, as defined in subdivision eleven of section four hundred seventy of the tax law, or any other person or entity who knowingly sells or offers to sell cigarettes in violation of subdivision four of this section shall be subject to a civil penalty not to exceed one hundred dollars for each pack of such cigarettes sold or offered for sale provided that in no case shall the penalty against any wholesale dealer exceed one hundred thousand dollars for sales or offers to sell during any thirty day period. Any retail dealer, as defined in subdivision nine of section four hundred seventy of the tax law, who knowingly sells or offers to sell cigarettes in violation of subdivision four of this section shall be subject to a civil penalty not to exceed one hundred dollars for each pack of such cigarettes sold or offered for sale, provided that in no case shall the penalty against any retail dealer exceed twenty-five thousand dollars for sales or offers to sell during any thirty day period. Any person engaged in the business of selling cigarettes in or for shipment into New York who possesses cigarettes that have not been certified or marked in accordance with the requirements of this section shall be deemed to be offering such cigarettes for sale in New York. An agent licensed in more than one state may rebut such presumption by establishing: (i) that such cigarettes have been physically segregated from cigarettes offered for sale in New York; and (ii) no New York tax stamps have been placed on any cigarettes that have not been certified or marked in accordance with this section. In addition to any penalties imposed by this section the commissioner of taxation and finance, after an opportunity for a hearing has been afforded pursuant to subdivision five of section four hundred eighty of the tax law, shall suspend for six months the license of any agent issued pursuant to section four hundred seventy-two of the tax law, the license of any wholesale dealer issued pursuant to section four hundred eighty of the tax law, or the registration of any retail dealer issued pursuant to section four hundred eighty-a of the tax law, when such agent, wholesale dealer or retail dealer violates this section three or more times within a three year period, provided such violations occurred on at least three separate calendar days.
b. In addition to any penalty prescribed by law, any corporation, partnership, sole proprietor, limited partnership, association or any other business entity engaged in the manufacture of cigarettes that knowingly makes a false certification pursuant to subdivision three of this section shall be subject to a civil penalty of at least seventy-five thousand dollars and not to exceed two hundred fifty thousand dollars for each such false certification, and any entity that fails to pay a civil penalty imposed pursuant to this paragraph within thirty days after such penalty is imposed, shall be subject to a bar from selling cigarettes covered by that false certification in this state until the state receives full payment of such penalty.
c. There is hereby established in the custody of the state comptroller a special fund to be known as the "Cigarette Fire Safety Act Fund". Such fund shall consist of all moneys recovered from the assessment of civil penalties authorized by this subdivision. Such monies shall be deposited to the credit of the fund and shall, in addition to any other moneys made available for such purpose, be available to the office of fire prevention and control for the purpose of fire safety and prevention programs. All payments from the cigarette fire safety act fund shall be made on the audit and warrant of the state comptroller on vouchers certified and submitted by the state fire administrator.
6. No cigarettes shall be distributed, sold or offered for sale in this state unless the manufacturer has placed on each individual package the letters "FSC" which signifies Fire Standards Compliant. Such letters shall appear in eight point type and be permanently printed, stamped, engraved or embossed on the package at or near the UPC Code, if present. Any package containing such symbol is deemed to be in compliance with the office of fire prevention and control regulations set forth in 19 NYCRR 429.8.
7. a. Each manufacturer shall maintain copies of the reports of all tests conducted on all cigarettes for a period of three years, and shall make copies of such reports available to the office of fire prevention and control and the attorney general upon written request; provided, however, that any manufacturer that fails to make copies of such reports available within sixty days of receiving such a written request shall be subject to a civil penalty not to exceed ten thousand dollars for each day after the sixtieth day that such manufacturer does not make such copies available and shall be subject to a bar from selling or offering to sell cigarettes in New York until such copies are made available.
b. Testing performed or sponsored by the office of fire prevention and control in order to determine a cigarette's compliance with the fire safety standards mandated by this section shall be conducted (i) in accordance with the requirements applicable to manufacturers pursuant to the regulations of the office of fire prevention and control, and (ii) by a laboratory that has been accredited pursuant to Standard ISO/IEC 17025 of the international organization for standardization or such other comparable accreditation standard as the office of fire prevention and control shall require by regulation.
8. a. To enforce the provisions of this section, the commissioner of taxation and finance and the state fire administrator may take administrative action imposing the civil penalties and suspensions authorized by subdivision five of this section. In addition, the attorney general may bring an action on behalf of the people of the state of New York to enjoin acts in violation of this section and to recover any civil penalties unless civil penalties have been previously recovered in such administrative proceedings.
b. Any enforcement officer as defined in section thirteen hundred ninety-nine-t of the public health law shall have the power to impose upon any retail dealer the civil penalties authorized by subdivision five of this section, following a hearing conducted in the same manner as hearings conducted under article thirteen-E of the public health law.
c. To enforce the provisions of this section, the commissioner of taxation and finance and the state fire administrator, or their duly authorized representatives, are hereby authorized to examine the books, papers, invoices and other records of any person in possession, control or occupancy of any premises where cigarettes are placed, stored, sold or offered for sale, as well as the stock of cigarettes in any such premises. Every person in the possession, control or occupancy of any premises where cigarettes are placed, sold or offered for sale, is hereby directed and required to give the commissioner of taxation and finance and the state fire administrator, and their duly authorized representatives, the means, facilities and opportunity for such examinations as are herein provided for and required.
d. Whenever any police officer designated in section 1.20 of the criminal procedure law or a peace officer designated in subdivision four and subdivision seventy-nine pertaining to the Office of Fire Prevention and Control, of section 2.10 of such law, acting pursuant to his or her special duties, shall discover any cigarettes which have not been marked in the manner required by subdivision six of this section, such officer is hereby authorized and empowered to seize and take possession of such cigarettes. Such seized cigarettes shall be turned over to the commissioner of taxation and finance, and shall be forfeited to the state. Cigarettes seized pursuant to this section shall be destroyed.
e. The commissioner of the division of homeland security and emergency services, in consultation with the state fire administrator, and the commissioner of taxation and finance are hereby authorized to promulgate such regulations as are deemed necessary to implement the provisions of this section.
§ 156-d. Thermal imaging camera grant program. 1. Subject to available appropriation, there is hereby established in the office of fire prevention and control a thermal imaging camera grant program, under which grants shall be made available to fire organizations for the purchase of one thermal imaging camera each or for reimbursement to such fire organizations for public funds, other than state or federal funds, that have been expended by such fire organizations on or after April first, two thousand for the purchase of a thermal imaging camera, provided, however, no reimbursement, when combined with any required match, shall exceed the office of general services contract price per camera. Such grants shall be made available upon application by such fire organizations. Fire organizations that are without a thermal imaging camera shall receive priority from the office of fire prevention and control for grants made pursuant to this section. The office of fire prevention and control may require, pursuant to such uniform standards as such office may prescribe, that applicants for such grants or reimbursement provide matching funds of up to, but not more than, the amount awarded; provided, however, that a fire organization having an annual operating budget of one hundred fifty thousand dollars or less shall not be required to provide matching funds. The office of fire prevention and control shall promulgate such rules and regulations as are necessary to advance the purposes of this section. Such regulations shall establish, among other things, training requirements for the use of thermal imaging cameras by fire organizations.
2. As used in this section, "fire organizations" means a board of fire commissioners, which operates a fire department pursuant to the town law, a fire department established pursuant to the village law or general city law or a fire company located within a fire protection district pursuant to the town law.
§ 156-e. College fire safety. 1. Notwithstanding the provisions of any law to the contrary, the office of fire prevention and control of the division of homeland security and emergency services, by and through the state fire administrator or their duly authorized officers and employees, shall have the responsibility to annually inspect buildings under the jurisdiction of public colleges and independent colleges, as these terms are defined in section eight hundred seven-b of the education law, for compliance with and violations of the uniform fire prevention and building code; or any other applicable code, rule or regulation pertaining to fire safety. Buildings subject to inspection are all buildings under the jurisdiction of such colleges used for classroom, dormitory, fraternity, sorority, laboratory, physical education, dining, recreational or other purposes.
2. a. The office of fire prevention and control shall have the power to issue a notice of violation and orders requiring the remedying of any condition found to exist in, on or about any such building which violates the uniform fire prevention and building code, or any other code, rule or regulation pertaining to fire safety, fire safety equipment and fire safety devices. Such office is further authorized to promulgate regulations regarding the issuance of violations, compliance with orders, and providing for time for compliance, reinspection procedures, and issuance of certificates of conformance.
b. Where any college authority in general charge of the operation of any public or independent college buildings is served personally or by registered or certified mail with an order of the office of fire prevention and control to remedy any violation and fails to comply with such order immediately or within such other time as specified in the order, the office of fire prevention and control may avail itself of any or all of the following remedies: (1) assess a civil penalty of up to five hundred dollars per day until the violation is corrected; (2) order immediate closure of the building, buildings or parts thereof where a violation exists that poses an imminent threat to public health and safety; (3) refer violations to the appropriate local government authorities for enforcement pursuant to article eighteen of this chapter.
c. The office of fire prevention and control is authorized to commence necessary proceedings in a court of competent jurisdiction seeking enforcement of any of its orders and payment of assessed penalties.
3. a. Except as provided herein, any county, city, town or village, pursuant to resolution of their respective legislative bodies, may apply to the office of fire prevention and control for delegation of all or part of the duties, rights and powers conferred upon the office of fire prevention and control by this section and section eight hundred seven-b of the education law. Upon acceptable demonstration of adequate capability, resources and commitment on the part of the applicant local government, the office of fire prevention and control may make such delegation, in which case the local government shall also have all of the rights, duties and powers provided to local governments in article eighteen of this chapter and in any city charter or code. The authority granted in this section to assess civil penalties and order closure of buildings shall not be delegated to the local government. Such powers shall continue in the office of fire prevention and control which may exercise them in the case of violations, on its own volition or at the request of the delegee local government. The delegation shall expire after three years, and may be renewed at the discretion of the office of fire prevention and control. All inspection reports conducted pursuant to a delegation of authority shall be promptly filed with the office of fire prevention and control. In the event any such report is not filed or reasonable grounds exist to believe that inspections or enforcement are inadequate or ineffective, the office of fire prevention and control may revoke the delegation or continue it subject to terms and conditions specified by the office of fire prevention and control.
b. The authorities in a city having a population of one million or more shall exercise all of the rights, powers and duties pertaining to inspection of independent and public college buildings and enforcement provided in this section and section eight hundred seven-b of the education law, without impairing any existing authority of such city. A copy of all inspection reports shall be filed with the office of fire prevention and control by the authorities conducting inspections.
§ 156-f. Evacuation drills. Except as may be otherwise provided in rules and regulations promulgated by the department of state pursuant to article eighteen of this chapter, in any building owned or leased in whole by the state or any agency thereof, an evacuation drill shall be conducted at least twice each year in which all of the occupants of the buildings shall participate simultaneously and which shall conduct all such occupants to a place of safety. In New York city, the state fire administrator shall make rules, regulations and special orders necessary and suitable to each situation, as appropriate.
§ 156-g. Establishment of teams for urban search and rescue, specialty rescue and incident support. 1. Authorization to establish urban search and rescue task force teams, specialty rescue teams, and incident support teams. The commissioner of the division of homeland security and emergency services after consultation with the state fire administrator shall have the authority to establish, organize, administer, support, train, and fund urban search and rescue task force teams, specialty rescue teams, and incident support teams created pursuant to this section.
2. Definitions. For the purposes of this section, the following terms shall have the following meanings:
(a) "urban search and rescue task force team" shall mean a specialized team or group of teams, formed pursuant to this section, organized with capabilities equivalent to urban search and rescue task force teams established under the federal emergency management agency in order to assist in the removal of trapped victims in emergency situations including, but not limited to, collapsed structures, trench excavations, elevated locations, and other technical rescue situations.
(b) "specialty rescue team" shall mean a specialized team, formed pursuant to this section, organized to provide technical rescue assistance to first responders including, but not limited to, canine search and rescue/disaster response, cave search and rescue, collapse search and rescue, mine and tunnel search and rescue, and swift water/flood search and rescue teams. Such teams shall be aligned with one or more of the search and rescue categories within the federal emergency management agency's national resource typing system.
(c) "incident support team" shall mean a team of trained response personnel, formed pursuant to this section, organized to provide coordination with governmental agencies and non-governmental organizations as well as technical, and logistical support to urban search and rescue task force teams and specialty rescue teams.
3. Appointment and training of team members; equipment. (a) The commissioner of the division of homeland security and emergency services is hereby authorized to appoint members to any team created pursuant to this section. Team membership shall consist of local emergency response personnel, state agency personnel and specialty personnel as required.
(b) The commissioner of the division of homeland security and emergency services shall be responsible for training and equipping the teams established pursuant to this section and for training such other teams located within the state for response to man-made or natural disasters to the extent appropriations are provided. The commissioner of the division of homeland security and emergency services shall support the capabilities of each team established pursuant to this section with the necessary training and equipment to ensure mobilization and deployment for rapid response to emergencies and disasters to the extent appropriations are provided.
4. Accreditation of teams. The commissioner of the division of homeland security and emergency services shall have the authority to establish an accreditation program to review and evaluate new and existing local and regional technical rescue capabilities, and provide recommendations for capability enhancement in accordance with the national incident management system, the national response plan, and nationally recognized standards.
5. Defense, indemnification and insurance coverage of team members. Members of the teams formed pursuant to this section who are volunteer firefighters, volunteer ambulance workers, municipal or state employees, or employees of a non-governmental entity shall be provided coverage by their respective municipalities, organizations, and entities for purposes of sections seventeen and eighteen of the public officers law and/or other defense and indemnification coverage and workers' compensation coverage pursuant to applicable provisions of the workers' compensation law or benefits pursuant to applicable provisions of the volunteer firefighters' benefit law or the volunteer ambulance workers' benefit law. Individuals appointed to an urban search and rescue task force team, a specialty rescue team or an incident support team, for which such coverage is not available, shall be deemed volunteer state employees for purposes of section seventeen of the public officers law and section three of the workers' compensation law.
6. Rules and regulations. The commissioner of the division of homeland security and emergency services after consultation with the state fire administrator shall have the authority to promulgate rules and regulations as deemed necessary relating to the accreditation of urban search and rescue task force teams, specialty rescue teams, and incident support teams and to the formation and operation of all teams established pursuant to this section.
7. Funding. The division of homeland security and emergency services shall expend the necessary monies for training, equipment, and other items necessary to support the operations of urban search and rescue task force teams, specialty rescue teams and incident support teams within appropriations provided. The division of homeland security and emergency services also may, pursuant to applicable rules and regulations approved by the director of the division of the budget, approve grants of funds from monies allocated and appropriated for any or all such teams.
§ 156-h. Registration and fees for manufacturers, distributors, wholesalers, and retailers of sparkling devices. 1. Definitions. As used in this section, the term:
(a) "Distributor" means any person or entity engaged in the business of selling sparkling devices to wholesalers, specialty retailers, permanent retailers or temporary seasonal retailers for resale.
(b) "Manufacturer" means any person or entity engaged in the manufacture or construction of sparkling devices.
(c) "Specialty retailer" means any person or entity who, at a fixed place of business, is engaged solely in selling sparkling devices at retail. For purposes of this section, a person or entity is engaged solely in selling sparkling devices if fifty-one percent or more of such person's or entity's annual gross sales are from the sale of sparkling devices.
(d) "Permanent retailer" means any person or entity who, at a fixed place of business, is engaged in selling sparkling devices at retail.
(e) "Sparkling devices" means any item defined in subparagraph (vi) of paragraph (a) of subdivision one of section 270.00 of the penal law.
(f) "Temporary seasonal retailer" means any person or entity who, at a temporary stand or tent, is engaged in selling sparkling devices from June twentieth through July fifth or from December tenth through January second of each year at retail.
(g) "Wholesaler" means any person or entity engaged in the business of selling sparkling devices to specialty retailers, permanent retailers or temporary seasonal retailers at wholesale.
2. Registration requirements. Any manufacturer, distributor, wholesaler, specialty retailer, permanent retailer or temporary seasonal retailer of sparkling devices who wishes to do business in this state or to otherwise sell, ship, or assign for sale its products in this state must register annually with the office of fire prevention and control on forms prescribed by such office. Any specialty retailer, permanent retailer or temporary seasonal retailer that sells sparkling devices at more than one retail location may submit one registration form for all such locations but must provide the address of each location with the registration form; however, any retailer may submit multiple registration forms.
3. Registration form. The registration form filed with the office of fire prevention and control must be notarized and must include the following information: business name; address; telephone number; officers, if the business is a corporation; and an individual designated as a contact person.
4. Fees. (a) Each manufacturer, distributor or wholesaler must pay an annual registration fee to be set by the office of fire prevention and control not to exceed five thousand dollars. Each specialty retailer must pay an annual registration fee to be set by such office not to exceed two thousand five hundred dollars. Each permanent retailer shall pay an annual registration fee to be set by such office not to exceed two hundred dollars for each retail location registered. Each temporary seasonal retailer must pay a registration fee to be set by such office not to exceed two hundred fifty dollars per season. Each certificate-holder wishing to have a duplicate certificate issued for one which is lost or to reflect a change of address shall request such duplicate in writing and shall pay a fee of five dollars.
(b) Revenue from registration fee payments shall be used for the purposes of implementing firefighter safety and training programs as well as registration and testing provisions of this chapter.
(c) No city, municipality or other local jurisdiction shall charge any fee or require any permit whatsoever for the sale and use of sparkling devices.
5. Record and reports. Each manufacturer, distributor and wholesaler shall maintain and make available to the state fire administrator, upon the state fire administrator's reasonable request, full and complete, true, and accurate records showing the name and quantity of any sparkling device produced in, imported to, exported from, or sold in this state.
6. Rules. The state fire administrator shall promulgate rules prescribing registration forms required by this section.
§ 157. Granting authority. The division of homeland security and emergency services by and through the commissioner of the division of homeland security and emergency services or his duly authorized officers and employees, shall administer, carry out and approve grants of funds from moneys allocated and appropriated therefor, for authorized arson, fire prevention and control expenditures as defined herein, that are conducted by municipal corporations. "Authorized arson, fire prevention and control expenditures" shall mean those expenditures utilized by a municipal corporation for fire or arson prevention, fire or arson investigation and arson prosecution. No expenditure which has not been specifically designated by the local legislative body for arson, fire prevention and control and approved by the office of fire prevention and control pursuant to rules and regulations promulgated thereby shall be considered an "authorized arson, fire prevention and control expenditure." The division of homeland security and emergency services shall adopt, amend and rescind such rules, regulations and guidelines as may be necessary for the performance of its functions, powers and duties under this section. The division of homeland security and emergency services shall allocate grants under this article among the municipalities whose applications have been approved in such a manner as will most nearly provide an equitable distribution of the grants among municipalities, taking into consideration such factors as the level of suspected arson activity, population and population density, the need for state funding to carry out local programs, and the potential of the municipalities to effectively employ such grants.
§ 158. Firefighting training. 1. For the purpose of this section, the term fire fighter shall mean a member of a fire department whose duties include fire service as defined in paragraph d of subdivision eleven of section three hundred two of the retirement and social security law.
2. In addition to the functions, powers and duties otherwise provided by this article, the state fire administrator may promulgate rules and regulations with respect to:
(a) The approval, or revocation thereof, of fire training programs for fire fighters;
(b) Minimum courses of study, attendance requirements, and equipment and facilities to be required for approved fire training programs for fire fighters;
(c) Minimum qualifications for instructors for approved fire training programs for fire fighters;
(d) The requirements of minimum basic training which fire fighters appointed to probationary terms shall complete before being eligible for permanent appointment, and the time within which such basic training must be completed following such appointment to a probationary term;
(e) The requirements of minimum basic training which fire fighters not appointed for probationary terms but appointed on other than a permanent basis shall complete in order to be eligible for continued employment or permanent appointment, and the time within which such basic training must be completed following such appointment on a non-permanent basis;
(f) The requirements for in-service training programs designed to assist fire fighters in maintaining skills and being informed of technological advances;
(g) Categories or classifications of advanced in-service training programs and minimum courses of study and attendance requirements with respect to such categories or classifications;
(h) Exemptions from particular provisions of this article in the case of any county, city, town, village or fire district, if in the opinion of the state fire administrator the standards of fire training established and maintained by such county, city, town, village or fire district are equal to or higher than those established pursuant to this article; or revocation in whole or in part of such exemption, if in his or her opinion the standards of fire training established and maintained by such county, city, town, village or fire district are lower than those established pursuant to this article; and
(i) Education, health and physical fitness requirements for eligibility of persons for provisional or permanent appointment in the competitive class of the civil service as fire fighters as it deems necessary and proper for the efficient performance of such duties;
3. In furtherance of his or her functions, powers and duties as set forth in this section, the state fire administrator may:
(a) Recommend studies, surveys and reports to be made by the state fire administrator regarding the carrying out of the objectives and purposes of this section;
(b) Visit and inspect any fire training programs approved by the state fire administrator or for which application for such approval has been made; and
(c) Recommend standards for promotion to supervisory positions.
4. In addition to the functions, powers and duties otherwise provided by this section, the state fire administrator shall:
(a) Approve fire training programs for fire fighters and issue certificates of approval to such programs, and revoke such approval or certificate;
(b) Certify, as qualified, instructors for approved fire training programs for fire fighters and issue appropriate certificates to such instructors;
(c) Certify fire fighters who have satisfactorily completed basic training programs and in-service training programs, and issue appropriate certificates to such fire fighters and revoke such certificates;
(d) Cause studies and surveys to be made relating to the establishment, operation, effectiveness and approval of fire training programs;
(e) Cause studies and surveys to be made relating to the completion or partial completion of training programs by video or computer to the maximum extent practicable; and
(f) Consult with and cooperate with the state university of New York and private universities, colleges and institutes in the state for the development of specialized courses of study for fire fighters in fire science and fire administration.
§ 159. Advisory council for fire prevention and control. 1. There is hereby created within the division of homeland security and emergency services an advisory council for fire prevention and control for the purpose of advising the commissioner and the state fire administrator with regard to: (a) execution of the functions, powers and duties of the office with respect to fire and arson prevention and control services, policies and programs; (b) recommendations on courses of instruction and standards for training of firefighters of fire departments, fire companies, municipal corporations, districts, and private industry of the state; (c) recommendations on federal and state legislation and programs relating to fire and arson prevention services, policies and programs; and (d) recommendations upon such other matters as the commissioner and the state fire administrator may request.
2. The council shall be composed of the state fire administrator, as chair, or his or her designee, and twelve other members appointed as follows: six members appointed by the governor; two members appointed by the temporary president of the senate; one member appointed by the minority leader of the senate; two members appointed by the speaker of the assembly; one member appointed by the minority leader of the assembly.
3. Membership of such council shall consist of representatives from the volunteer and career fire service, at least half of which shall serve at the municipal level.
4. Members of the council, other than the state fire administrator, shall serve for terms of three years, with such terms to commence on April first and expire on March thirty-first.
5. No member of the council shall be disqualified from holding any other public office or employment, nor shall he or she forfeit any such office or employment by reason of the appointment hereunder, notwithstanding the provisions of any general, special or local law, ordinance or city charter.
6. The council shall meet at least twice a year. Special meetings may be called by the chairperson. The agenda and meeting place of all regular or special meetings shall be made available to the public in advance of such meeting.
7. Members of the council shall serve without salary or per diem allowance, but shall be entitled to reimbursement for actual and necessary expenses incurred in the performance of official duties under this section, provided, however, that such members are not, at the time such expenses are incurred, public employees otherwise entitled to such reimbursement.
8. The chairperson may create subcommittees as he or she may from time to time deem appropriate to provide the council with advice and recommendations. Members of such subcommittees shall be entitled to reimbursement for actual and necessary expenses incurred in the performance of official duties under this section, provided, however, that such members are not, at the time such expenses are incurred, public employees otherwise entitled to such reimbursement.
§ 159-a. Inclusion on the fallen firefighters memorial. In the case of a death of a firefighter, regardless of whether such death occurred before, on, or after the effective date of this section, that results from services performed in the line of duty, as determined by an authoritative agency including, but not limited to, the workers' compensation board, the federal Department of Justice, or the office of fire prevention and control, the name of that firefighter shall be inscribed upon the New York state fallen firefighters memorial on the Capitol Mall in Albany. The fallen firefighters memorial selection committee shall amend its election criteria so that it is not in conflict with the provisions of this section.
§ 159-c-1. Training; live fire conditions. 1. In the training of firefighters under live fire conditions no person or persons shall play the role of a victim.
2. For purposes of this section, a live fire condition is any unconfined open flame or device that can propagate fire to a building, a training tower, an acquired structure or other combustible material.
3. A violation of this section shall be punishable by a civil penalty not to exceed one thousand dollars paid for by the fire department conducting such training.
§ 159-d. Training for fire chiefs. The state fire administrator may conduct the training and education required for fire chiefs pursuant to subdivision seven of section fifty-eight-a of the civil service law and section two hundred four-dd of the general municipal law with sufficient frequency to enable individuals to satisfy the necessary qualifications for a fire chief pursuant to such section. To the extent practicable, such training and education may be made available in all geographic regions of the state. Such regions may be determined by the state fire administrator.
ARTICLE 6-D COMMUNITY SERVICES BLOCK GRANT PROGRAM
Section 159-e. Definitions.
159-f. Functions, powers and duties of the secretary.
159-g. Rules and regulations.
159-h. Limitation of administrative costs.
159-i. Distribution of funds.
159-k. Monitoring and evaluation.
159-l. Decertification and reduction of entity shares.
159-m. Designation and redesignation of eligible entities in unserved areas.
159-n. Report of the secretary.
§ 159-e. Definitions. When used in this article:
1. "Eligible entity" shall mean any organization
(a) officially designated as a community action agency or a community action program under the provisions of section two hundred ten of the economic opportunity act of 1964 for fiscal year 1981, unless such community action agency or a community action program lost its designation under section two hundred ten of such act as a result of a failure to comply with the provisions of such act; or
(b) designated by the process described in section one hundred fifty-nine-m of this article (including an organization serving migrant or seasonal farmworkers that is so described or designated).
Such eligible entity shall have a tripartite board as its governing board which fully participates in the development, planning, implementation, and evaluation of the program to serve low-income communities and through which the entity shall administer the community services block grant program. However, such eligible entities which are public organizations shall have either a tripartite board or another mechanism specified by the state to assure decision making and participation by low-income individuals in the development, planning, implementation, and evaluation of programs funded under this article.
2. "Tripartite board" shall mean
(a) the governing board of a private nonprofit entity selected by the entity and composed so as to assure that
(1) one-third of the members of the board are elected public officials, holding office on the date of selection, or their representatives, except that if the number of such elected officials reasonably available and willing to serve on the board is less than one-third of the membership of the board, membership on the board of appointive public officials or their representatives may be counted in meeting such one-third requirement;
(2) (A) not fewer than one-third of the members are persons chosen in accordance with democratic selection procedures adequate to assure that these members are representative of low-income individuals and families in the neighborhood served; and
(B) each representative of low-income individuals and families selected to represent a specific neighborhood within a community under clause (A) of this subparagraph resides in the neighborhood represented by the member; and
(3) the remainder of the members are officials or members of business, industry, labor, religious, law enforcement, education, or other major groups and interests in the community served; or
(b) the governing board of a public organization, which shall have members selected by the organization and shall be composed so as to assure that not fewer than one-third of the members are persons chosen in accordance with democratic selection procedures adequate to assure that these members
(1) are representative of low-income individuals and families in the neighborhood served;
(2) reside in the neighborhood served; and
(3) are able to participate actively in the development, planning, implementation, and evaluation of programs funded under this article.
3. "Indian tribes" and "tribal organizations" shall mean those tribes, bands or other organized groups of Indians recognized in the state or considered by the federal secretary of the interior to be an Indian tribe or an Indian organization for any purpose.
4. "Community based organization" shall mean any organization incorporated for the purpose of providing services or other assistance to economically or socially disadvantaged persons within its designated community. Such organization must have a board of directors of which more than half of the members reside in such designated community.
5. "Department" shall mean the department of state.
6. "Secretary" shall mean the secretary of state.
§ 159-f. Functions, powers and duties of the secretary. The secretary or his duly authorized officers or employees, shall have the following functions, powers and duties:
1. To act as the official agent of the state for the purpose of administering, carrying out and otherwise cooperating with the federal government in connection with the federal community services block grant act of 1981, as amended;
2. To allocate federal community services block grant funds pursuant to contracts with recipients of such funds in the manner required by federal law and regulation;
3. To assist the governor in applying for the state's allocation under the federal community services block grant act, including the fulfillment of any planning requirements;
4. To cooperate with the legislature in conducting hearings required by the federal community services block grant act; and
5. To monitor and evaluate the use of funds received by the state pursuant to the federal community services block grant act.
§ 159-g. Rules and regulations. The secretary shall promulgate rules and regulations necessary to carry out the provisions of this article.
§ 159-h. Limitation of administrative costs. Not more than five percent of the community services block grant funds received by the state shall be retained for administration at the state level.
§ 159-i. Distribution of funds. At least ninety percent of the community services block grant funds received by the state shall be distributed pursuant to a contract by the secretary to eligible entities as defined in subdivision one of section one hundred fifty-nine-e of this article. Each such eligible entity shall receive the same proportion of community services block grant funds as was the proportion of funds received in the immediately preceding federal fiscal year under the federal community services block grant program as compared to the total amount received by all eligible entities in the state, under the federal community services block grant program.
The secretary shall, pursuant to section one hundred fifty-nine-h of this article, retain not more than five percent of the community services block grant funds for administration at the state level.
The remainder of the community services block grant funds received by the state shall be distributed pursuant to a contract by the secretary in the following order of preference: a sum of up to one-half of one percent of the community services block grant funds received by the state to Indian tribes and tribal organizations as defined in this article, on the basis of need; and to community based organizations. Such remainder funds received by eligible entities will not be included in determining the proportion of funds received by any such entity in the immediately preceding federal fiscal year under the federal community services block grant program.
§ 159-k. Monitoring and evaluation. 1. The secretary shall monitor and evaluate the use of community services block grant funds made available pursuant to this article by the recipients of such funds in order to evaluate the performance of such recipients. Evaluations shall include, but not be limited to:
(a) determining the effectiveness of recipients' administrative operations, organizational structure, planning and programming, self evaluation, and general decision making; and
(b) reviewing the recipients' compliance with federal and state law and regulation.
2. For purposes of evaluations conducted under this section, recipients shall make available to the secretary, or any duly authorized officer or employee of the department, appropriate books, documents, papers and records for examination, copying or mechanical reproduction on or off the premises of the recipient upon a reasonable request therefor.
§ 159-l. Decertification and reduction of entity shares. 1. Any eligible entity that received funding in the previous federal fiscal year through a community services block grant made under this article shall not have its funding terminated under this article or reduced below the proportional share of funding the entity received in the immediately preceding federal fiscal year, as determined pursuant to section one hundred fifty-nine-i of this article, unless, after providing notice and an opportunity for a hearing on the record, the state determines that cause exists for such termination or such reduction, subject to review by the secretary of the United States department of health and human services. For purposes of making a determination that cause exists for:
(a) a funding reduction, the term "cause" shall include
(1) a statewide redistribution of funds provided through a community services block grant under this article to respond to
(A) the results of the most recently available census or other appropriate data;
(B) the designation of a new eligible entity; or
(C) severe economic dislocation; and
(2) the failure of an eligible entity to comply with the terms of an agreement or a state plan, or to meet a state requirement, as described in this section; or
(b) a termination, the term "cause" includes the failure of an eligible entity to comply with the terms of an agreement or a state plan, or to meet a state requirement, as described in this section.
2. If the state determines, on the basis of a final decision in a review pursuant to this article, that an eligible entity fails to comply with the terms of an agreement or the state plan to provide services under this article or to meet appropriate standards, goals, and other requirements established by the state (including performance objectives), the state shall:
(a) inform the entity of the deficiency to be corrected;
(b) require the entity to correct the deficiency;
(c) (1) offer training and technical assistance, if appropriate, to help correct the deficiency, and prepare and submit to the secretary of the United States department of health and human services a report stating the reasons for the determination; or
(2) if the state determines that such training and technical assistance are not appropriate, it shall prepare and submit to the secretary of the United States department of health and human services a report stating the reasons for the determination;
(d) (1) at the discretion of the state (taking into account the seriousness of the deficiency and the time reasonably required to correct the deficiency), allow the entity to develop and implement and submit to the state, within sixty days after being informed of the deficiency, a quality improvement plan to correct such deficiency within a reasonable period of time, as determined by the state; and
(2) not later than thirty days after receiving from an eligible entity a proposed quality improvement plan pursuant to subparagraph one of this paragraph, either approve such proposed plan or specify the reasons why the proposed plan cannot be approved; and
(e) after providing adequate notice and an opportunity for a hearing, initiate proceedings to terminate the designation of or reduce the funding under this article of the eligible entity unless the entity corrects the deficiency.
3. A determination to terminate the designation or reduce the funding of an eligible entity pursuant to subdivision two of this section is reviewable by the secretary of the United States department of health and human services, pursuant to the processes set forth in the federal community services block grant act of 1981, as amended.
§ 159-m. Designation and redesignation of eligible entities in unserved areas. 1. Qualified organization in or near area. (a) In general. If any geographic area of the state is not, or ceases to be, served by an eligible entity under this article, and if the governor decides to serve such area, the governor may solicit applications from, and designate as an eligible entity
(1) a private nonprofit organization (which may include an eligible entity) that is geographically located in the unserved area, that is capable of providing a broad range of services designed to eliminate poverty and foster self-sufficiency, and that meets the requirements of this article; and
(2) a private nonprofit eligible entity that is geographically located in an area contiguous to or within reasonable proximity of the unserved area and that is already providing related services in the unserved area.
(b) Requirement. In order to serve as the eligible entity for the area, an entity described in subparagraph two of paragraph (a) of this subdivision shall agree to add additional members to the board of the entity to ensure adequate representation
(1) in each of the three required categories described in paragraph (a) of subdivision two of section one hundred fifty-nine-e of this article, by members that reside in the community comprised by the unserved area; and
(2) in the category described in subparagraph two of paragraph (a) of subdivision two of section one hundred fifty-nine-e of this article, by members that reside in the neighborhood to be served.
2. Special consideration. In designating an eligible entity under subdivision one of this section, the governor shall grant the designation to an organization of demonstrated effectiveness in meeting the goals and purposes of this article and may give priority, in granting the designation, to eligible entities that are providing related services in the unserved area, consistent with the needs identified by a community-needs assessment.
3. No qualified organization in or near area. If no private, nonprofit organization is identified or determined to be qualified under subdivision one of this section to serve the unserved area as an eligible entity the governor may designate an appropriate political subdivision of the state to serve as an eligible entity for the area. In order to serve as the eligible entity for that area, the political subdivision shall have a tripartite board or other mechanism as required in section one hundred fifty-nine-e of this article.
§ 159-n. Report of the secretary. The secretary of state shall report to the governor and the legislature by March fifteenth of each year on the administration of the community services block grant program. The report shall include, but not be limited to, the results of the monitoring and evaluation of recipients of funds under the program and any recommendation for changes which the secretary of state deems necessary for the effective administration of the program.
ARTICLE 6-E STATE CERTIFIED AND LICENSED REAL ESTATE APPRAISERS
Section 160. Application.
160-a. Definitions.
160-b. Use of the title "state certified real estate appraiser" or "state licensed real estate appraiser" or "state licensed real estate appraiser assistant".
160-c. State board of real estate appraisal.
160-d. Powers of the board.
160-e. Powers of the department.
160-f. Fees.
160-g. Certification and licensing process.
160-h. License and classes of certification.
160-i. Examination requirement.
160-j. Examination prerequisites.
160-k. Experience requirement.
160-l. Terms of registration.
160-m. Nonresident certification and licensing.
160-n. Nonresident certification and licensing by reciprocity.
160-o. Renewal certificate or license.
160-p. Basis for denial.
160-q. Principal place of business.
160-r. Certificate or license.
160-s. Use of term.
160-t. Continuing education.
160-u. Disciplinary proceedings.
160-v. Due process.
160-w. Hearing and judicial review.
160-x. Classification of services.
160-y. Contingent fees.
160-z. Retention of records.
160-aa. Transitional licensing.
160-bb. Severability.
§ 160. Application. This article applies to the profession of real estate appraisers and the use of the titles "state certified real estate appraiser" and "state licensed real estate appraiser".
§ 160-a. Definitions. As used in this article the following terms shall mean:
1. "Analysis" is a study of real estate or real property other than estimating value.
2. "Appraisal" or "real estate appraisal" means an analysis, opinion or conclusion relating to the nature, quality, value or utility of specified interests in, or aspects of, identified real estate. An appraisal may be classified by subject matter into either a valuation or an analysis.
3. "Appraisal report" means any written communication of an appraisal.
4. "Board" means the state board of real estate appraisal established pursuant to the provisions of section one hundred sixty-c of this article.
5. (a) "Certified appraisal" or "certified appraisal report" means an appraisal or appraisal report given or signed and certified as such by a certified real estate appraiser. When identifying an appraisal or appraisal report as "certified", the state certified real estate appraiser must indicate which type of certification is held. A certified appraisal or appraisal report represents to the public that it meets the appraisal standards defined in this article.
(b) "Licensed appraisal" or "licensed appraisal report" means an appraisal or appraisal report given or signed and authenticated as such by a licensed real estate appraiser. A licensing appraisal or appraisal report represents to the public that it meets the appraisal standards as prescribed by the board.
6. (a) "State certified real estate appraiser" means a person who develops and communicates real estate appraisal and who holds a current, valid certificate issued to him or her for either general or residential real estate under the provisions of this article.
(b) "State licensed real estate appraiser" means a person who develops and communicates real property appraisals and who holds a current valid license issued to him or her for residential real property under the provisions of this article.
(c) "State licensed real estate appraiser assistant" means a person who assists and is supervised by a state certified real estate appraiser and who holds a current valid license issued to him or her under the provisions of this article.
7. "Department" shall mean the department of state.
8."Real estate" means an identified parcel or tract of land, including improvements, if any.
9. "Real property" means one or more defined interests, benefits and rights inherent in the ownership of real estate.
10. "Valuation" is an estimate of the value of real estate or real property.
§ 160-b. Use of the title "state certified real estate appraiser" or "state licensed real estate appraiser" or "state licensed real estate appraiser assistant". 1. Only a person certified under this article shall use the title "state certified real estate appraiser" or licensed under this article shall use the title "state licensed real estate appraiser" or "state licensed real estate appraiser assistant" or assume that title or any title, designation or abbreviation likely to create the impression of certification or license by this state as a real estate appraiser or real estate appraiser assistant. After December thirty-first, nineteen hundred ninety-one, only a person who is certified or licensed pursuant to this article shall describe or refer to any appraisal or other evaluation of real estate located in this state by the term "certified" or "licensed".
2. Nothing in this article shall preclude a person who is not a state certified or licensed real estate appraiser or a licensed real estate appraiser assistant from appraising real estate for compensation.
§ 160-c. State board of real estate appraisal. 1. There is hereby established within the department of state a state board of real estate appraisal which shall consist of nine members, three of whom shall be public members and six of whom shall be real estate appraisers, who shall have and exercise the powers of the board as set forth in section one hundred sixty-d of this article.
2. Three members shall be appointed by the governor, one of whom shall be a public member; two members shall be appointed by the temporary president of the senate, one of whom shall be a real estate appraiser and one of whom shall be a public member; two members shall be appointed by the speaker of the assembly, one of whom shall be a real estate appraiser and one of whom shall be a public member; one member shall be appointed by the minority leader of the senate; one member shall be appointed by the minority leader of the assembly. The term of each member shall be five years.
3. Notwithstanding the foregoing, the members of the first board who are real estate appraisers, need not be certified or licensed under this article prior to their appointment to the board. The board shall appoint an executive secretary who shall be a real estate appraiser.
4. The executive secretary and real estate appraiser members first appointed to the board shall be certified designated members in good standing of a nationally recognized real estate appraisal organization that as of June first, nineteen hundred eighty-nine, required appraisal experience, education and testing in order to become a designated member, in addition to adherence to standards of professional practice in order to retain such designation. Each real estate appraiser member of the board appointed after January first, nineteen hundred ninety-six, must be a state certified real estate appraiser. At least one-half of the appraiser members appointed after January first, nineteen hundred ninety-six, shall hold the general appraisal certificate. Any vacancy occurring on the board shall be filled within sixty days of its occurrence, in the same manner as the member whose vacancy is being filled was appointed. A person appointed to fill a vacancy occurring other than by expiration of a term shall be appointed for the unexpired term of the member he succeeds. No person shall serve as a member of the board for more than two consecutive terms. The public members of the board shall not be engaged in the practice of real estate appraising.
§ 160-d. Powers of the board. 1. The board shall adopt rules and regulations in aid or furtherance of this article and shall have the following powers and duties:
a. To define, with respect to each category of state certified real estate appraisers, state licensed real estate appraisers, and state licensed real estate appraiser assistants, the type of educational experience, appraisal experience and equivalent experience that will meet the statutory requirements of this article, provided, however, that in no event shall the experience, education and examination requirements adopted by the board be less than the minimum criteria established by the Appraisal Subcommittee of the Federal Financial Institutions Examination Council or by the Appraiser Qualification Board of the Appraisal Foundation as referred to in title XI of the Financial Institutions Reform, Recovery and Enforcement Act of 1989;
b. To establish examination specifications consistent with the standards of the Appraisal Qualifications Board of the Appraisal Foundation for state licensed real estate appraiser assistants, state licensed real estate appraisers and each category of state certified real estate appraisers, to provide or procure appropriate examination questions and answers and to establish procedures for grading examinations;
c. To define, with respect to state licensed real estate appraiser assistants, state licensed real estate appraisers and each category of state certified real estate appraisers, the continuing education requirements for the renewal of a license or a certification that will meet the statutory requirements provided in this article;
d. To review the standards for the development and communication of real estate appraisals provided in this article and to adopt regulations explaining and interpreting such standards, provided, however, that such standards must, at a minimum, conform to the uniform standards of professional appraisal as promulgated by the Appraisal Standards Board of the Appraisal Foundation; and
e. To prescribe the scope of practice for state licensed real estate appraiser assistants, state licensed real estate appraisers and each category of state certified real estate appraisers, provided, however, that in no event shall the scope of practice prescribed by the board be less than the scope of practice established by the Appraisal Subcommittee of the Federal Financial Institutions Examination Council or by the Appraiser Qualification Board of the Appraisal Foundation as referred to in title XI of the Financial Institutions Reform, Recovery and Enforcement Act of 1989;
f. To perform such other functions and duties as may be necessary in carrying out the provisions of this article.
2. The board shall promulgate rules and regulations prescribing the form and content of each appraisal report. Such rules and regulations shall include but are not limited to the following requirements:
a. Each appraisal report shall clearly and accurately disclose any extraordinary assumption or limited condition that directly affects an appraisal.
b. Each written appraisal report shall comply with the following specific reporting guidelines:
(1) Identify and describe the real estate being appraised;
(2) Identify the real property being appraised;
(3) Define the opinion that is the purpose of the appraisal and describe the scope of the appraisal;
(4) Set forth the effective date of the opinion and the date of the appraisal report;
(5) Set forth the appraiser's opinion of the highest and best use of the real estate being appraised when such an opinion is necessary and appropriate;
(6) Set forth the appraisal procedure followed, the data considered and the reasoning that supports the analyses, opinions and conclusions;
(7) Set forth all assumptions and limiting conditions that affect the analyses, opinions and conclusions in the appraisal report; and
(8) Set forth any additional information that may be appropriate to show compliance with, and identify permitted departures from, the requirements for the development of appraisals as provided in this article or as established by the board.
3. The board shall establish standards of developing an appraisal. Such standards shall, among other things, state the following guidelines:
a. All state certified or licensed real estate appraisers conducting certified or licensed appraisals, performing appraisal service or issuing an appraisal shall:
(1) Be aware of, understand and correctly employ those recognized appraisal methods and techniques that are necessary to produce a credible analysis, opinion or conclusion;
(2) Not commit a substantial error or omission of commission which results from a significant departure from the recognized appraisal methods and techniques;
(3) Not commit a substantial error or omission of commission that significantly affects an analysis, opinion or conclusion;
(4) Identify the real estate and real property under consideration, define the opinion that is the purpose of the appraisal, consider the scope of the appraisal service and identify the effective date of the opinion;
(5) Identify and consider the appropriate procedures and market data required to perform the appraisal service, where appropriate;
(6) Consider the effect on use and value of the following factors: existing land use regulations, reasonably probable modifications of land use regulations, economic demand, the physical adaptability of the property, neighborhood trends and the highest and best use of the property;
(7) Consider the effect on the property being appraised of anticipated public or private improvements, located on or off the site, to the extent that market actions reflect the anticipated improvements as of the effective appraisal date;
(8) Recognize that land may be appraised as though vacant and avail- able for development and that the appraisal of improvements is based on their actual contributions to the site;
(9) Appraise proposed improvements only after examining and having available for future examination plans, specifications or other documentation sufficient to identify the scope and character of the proposed improvements, evidence indicating the probable time of completion of the proposed improvements, and reasonably clear and appropriate evidence supporting development costs, anticipated earnings, occupancy projections and the anticipated competition at the time of completion; and
(10) Base estimates of anticipated future rent and expenses for the real estate and real property being appraised on reasonably clear and appropriate evidence.
b. In addition to the foregoing, an appraiser shall define the value being considered. If the value estimate is a statement or estimate of market value, he or she shall clearly indicate whether the statement or estimate is the most probable price in terms of cash or financial arrangements equivalent to cash or other terms as may be precisely defined. If an estimate of value is based on submarket financing or financing with unusual conditions or incentives, the terms of such a typical financing shall be clearly set forth, their contributions to, or negative influence on value shall be described and estimated, and the market data supporting the valuation estimate shall be described and explained.
c. For each real property appraisal analysis, opinion or conclusion that contains an estimate of value, a state certified or licensed real estate appraiser shall observe all of the following specific real property appraisal guidelines:
(1) Consider whether an appraised fractional interest, physical segment or partial holding contributes pro rata to the value of the whole;
(2) Identify any personal property or other items that are not real estate but are included with or considered in connection with real estate being appraised and contribute to the total value estimate or conclusion;
(3) Consider and analyze any current agreement of sale, option or listing of the real estate and real property being appraised, if the information is available to the person in the normal course of business;
(4) Consider and analyze any prior sales of the property being appraised that occurred within one year;
(5) When estimating the value of a leased fee estate or a leasehold estate, analyze and consider the effect on value, if any, of the terms and conditions of the lease; and
(6) Give careful consideration to the effect on value, if any, of the assemblage of the various estates or component parts of an estate and refrain from estimating the value of the whole solely by adding together the individual values of its various estates or component parts.
d. In developing a review appraisal, a state certified or licensed real estate appraiser shall observe all of the following specific appraisal guidelines:
(1) Identify the appraisal report being reviewed, the real estate being appraised, the real property being appraised, the effective date of the opinion in the original report, the date of the original report and the date of the review;
(2) Identify the scope of the review process to be conducted, including a determination of whether or not it is appropriate or essential to inspect the appraised property and the data presented;
(3) Form an opinion as to the adequacy and relevance of the data used and the propriety of any adjustment made;
(4) Form an opinion as to whether or not the appraisal methods and techniques used were appropriate and, if not, the reasons for the person's disagreement with the original appraisal; and
(5) Form an opinion as to whether or not the analyses, opinions or conclusions in the report being reviewed are correct or appropriate and, if not, state his or her analyses, opinions or conclusions and his or her reasons for disagreement with the original appraisal.
e. In developing an appraisal for an employer or a client, a state certified or licensed real estate appraiser shall carefully consider and determine whether the appraisal service to be performed is intended to result in an analysis, opinion or conclusion of a disinterested third party and therefore would be classified as an appraisal assignment as defined in subdivision two of section one hundred sixty-x of this article. If the appraisal service to be performed is not intended to result in an analysis, opinion or conclusion of a disinterested third party, the person shall then carefully consider whether or not he or she would be perceived by third parties or the public as acting as a disinterested third party.
f. Prior to entering into an agreement to perform a real property appraisal service, a state certified or licensed real estate appraiser shall carefully consider the knowledge and experience that will be required to complete the appraisal service competently and either:
(1) Have the knowledge and experience necessary to complete the appraisal service competently; or
(2) Immediately disclose the lack of knowledge or experience to the client and take all steps necessary to complete the appraisal service competently.
g. A state certified or licensed real estate appraiser may enter into an agreement to perform a real property appraisal service that calls for something less than, or different from, the work that would otherwise be required by the specific appraisal guidelines, provided that prior to entering into the agreement, he or she has done all of the following:
(1) The state certified or licensed real estate appraiser has determined that the appraisal service to be performed is not so limited in scope that the resulting analysis, opinion or conclusion concerning real estate or real property would tend to mislead or confuse the client, the users of the appraisal report or the public; and
(2) The state certified or licensed real estate appraiser has advised the client that the appraisal service calls for something less than, or different from, the work required by the specific appraisal guidelines, and therefore the appraisal report will include a qualification that reflects the limited or differing scope of the appraisal service.
§ 160-e. Powers of the department. The department shall have the following powers and duties:
1. To receive applications for certification and licensing;
2. To establish the administrative procedures for processing applications for certification and licensing;
3. To approve or disapprove applications for certification or license and issue certificates or licenses;
4. To maintain a registry of the names and addresses of people certified or licensed under this article;
5. To retain records and all application materials submitted to it;
6. To approve courses and seminars for original certification or licensing and continuing education to ensure that the same are consistent with the standards established by the board, or equivalent to those required by such standards;
7. To assist the board in such other manner as the board may request;
8. To establish administrative procedures for disciplinary proceedings conducted pursuant to the provisions of this article; and
9. To suspend and revoke certificates or licenses pursuant to the disciplinary proceedings provided for in this article.
§ 160-f. Fees. 1. The department shall charge and collect fees not in excess of the following:
a. An application fee for certification and licensing of two hundred fifty dollars.
b. An examination fee of fifty dollars.
c. A reexamination fee of fifty dollars.
d. A fee for recertification or renewal of license of two hundred fifty dollars.
e. A delinquent renewal fee of two hundred dollars.
2. Notwithstanding any other law, the department may transmit an annual registry fee as set by the federal appraisal subcommittee in accordance with 12 U.S.C. 3338 (a)(4)(A) from such individuals who perform or seek to perform appraisals in federally related transactions and to transmit a roster of such individuals to the Appraisal Subcommittee of the Federal Financial Institutions Examination Council as required by Title XI of the Financial Institutions Reform, Recovery, and Enforcement Act of 1989.
3. All fees collected under this section shall be paid into the business and licensing services account established pursuant to section ninety-seven-y of the state finance law.
§ 160-g. Certification and licensing process. 1. Applications for original certification and recertification, original license and renewal of license, and examinations shall be made in writing to the department on forms approved by the board.
2. The fees, as fixed by the department pursuant to section one hundred sixty-f of this article, must accompany all applications for original certification and recertification, original license and renewal of license, and examination.
3. At the time of filing an application for certification or license, each applicant shall sign a pledge to comply with the standards set forth in this article and state that he or she understands the types of misconduct for which disciplinary proceedings may be initiated against a state certified real estate appraiser, or a state licensed real estate appraiser, as set forth in this article.
§ 160-h. Licenses and certifications. 1. There shall be one class of license for state licensed real estate appraiser assistants, one class of license for state licensed real estate appraisers and two classes of certification for state certified real estate appraisers. The classes of certification shall be state certified residential real estate appraiser and state certified general real estate appraiser. The board shall prescribe the scope of practice for each license and both classes of certification, provided, however, that in no event shall the scope of practice prescribed by the board be less than the minimum criteria established by the Appraisal Subcommittee of the Federal Financial Institutions Examination Council or by the Appraiser Qualification Board of the Appraisal Foundation as referred to in title XI of the Financial Institutions Reform, Recovery and Enforcement Act of 1989.
2. The application for original certification and recertification or original license and renewal of license, and examination shall specify whether it is for a license or certification being applied for and previously granted. If the application is for a license or renewal, it shall specify for what class of license the application is being made. If the application is for a certification or recertification, it shall specify for what class of certification the application is being made.
§ 160-i. Examination requirement. An original certification as a state certified real estate appraiser or an original license as a state licensed real estate appraiser shall not be issued to any person who has not demonstrated through a written examination process that he or she possesses the following:
1. Appropriate knowledge of technical terms commonly used in or related to real estate appraising, appraisals, report writing and economic concepts applicable to real estate;
2. Understanding of the principles of land economics, real estate appraisal processes, and of problems likely to be encountered in gathering, interpreting and processing of data in carrying out appraisal disciplines;
3. Understanding of the standards for the development and communication of real estate appraisals as provided in this article;
4. Knowledge of theories of depreciation, cost estimating, methods of capitalization, and the mathematics of real estate appraisal that are appropriate for the classification of certificate applied for;
5. Knowledge of other principles and procedures as may be appropriate for the respective classifications;
6. Basic understanding of real estate law; and
7. Understanding of the types of misconduct for which disciplinary proceedings may be initiated against a state certified real estate appraiser or a state licensed real estate appraiser, as set forth in this article.
§ 160-j. Examination prerequisites. 1. Certified general classification. As a prerequisite to taking the examination for certification as a state certified general real estate appraiser, an applicant shall present evidence satisfactory to the board that he or she has fulfilled the minimum education and experience requirements for such certification examination as established by the board, which shall not be less than the minimum criteria established by the Appraiser Qualification Board pursuant to Title XI of the Financial Institution Reform, Recovery and Enforcement Act of 1989.
2. Certified residential classification. As a prerequisite to taking the examination for certification as a state certified residential real estate appraiser, an applicant shall present evidence satisfactory to the board that he or she has fulfilled the minimum education and experience requirements for such certification examination as established by the board, which shall not be less than the minimum criteria established by the Appraiser Qualification Board pursuant to Title XI of the Financial Institution Reform, Recovery and Enforcement Act of 1989.
3. Licensed classification. As a prerequisite to taking the examination for licensing as a state licensed real estate appraiser, an applicant shall present evidence satisfactory to the board that he or she has fulfilled the minimum education and experience requirements for such certification examination as established by the board, which shall not be less than the minimum criteria established by the Appraiser Qualification Board pursuant to Title XI of the Financial Institution Reform, Recovery and Enforcement Act of 1989.
§ 160-k. Experience requirement. 1. An original certification of a state certified real estate appraiser, or an original license of a state licensed real estate appraiser, shall not be issued to any person who does not possess the equivalent of two years of appraisal experience in real property appraisal as defined by the board supported by adequate written reports. Such experience may include fee and staff appraisal, ad valorem tax appraisal, review appraisal, appraisal analysis, highest and best use analysis, feasibility analysis or study, and teaching of appraisal courses at a university, college, or junior college when such courses have a duration of not less than ten weeks.
2. A person who is not a state certified real estate appraiser under this article may assist a state certified real estate appraiser in the preparation of an appraisal, provided that he or she is actively and personally supervised by the state certified real estate appraiser and provided that any appraisal report is reviewed and signed by the supervising state certified appraiser.
3. Each applicant for certification or license shall furnish under oath a detailed listing of the real estate appraisal reports for each year for which experience is claimed by the applicant. Upon request, the applicant shall make available to the department for examination, a sample of appraisal reports which the applicant has prepared in the course of his or her appraisal practice.
4. No state certified real estate appraiser shall supervise more than three licensed real estate appraiser assistants.
§ 160-l. Terms of registration. The term of a certificate or license issued under the authority of this article shall be two years from the date of issuance. The expiration date of the certificate or license shall appear on the certificate or license and no other notice of its expiration need be given to its holder.
§ 160-m. Nonresident certification and licensing. 1. Every applicant for certification or licensing under this article who is not a resident of this state shall submit, with the application for certification or license, an irrevocable consent that service of process upon him or her may be made by delivery of the process to the secretary of state if, in an action against the applicant in a court of this state arising out of the applicant's activities as a state certified real estate appraiser, or a state licensed real estate appraiser, the plaintiff cannot, in the exercise of due diligence, effect personal service upon the applicant.
2. When a nonresident of this state, certified or licensed under the laws of his resident state, the certification and licensing process of which has not been disapproved by the appraisal subcommittee of the federal financial institutions examination council, does not maintain an office for providing appraisal services to clients in this state, and has complied with subdivision one of this section, such nonresident may, upon recommendation of the board, pursuant to such temporary licensing rules or regulations as the board may promulgate, provide certified or licensed appraisals. No temporary certificate or license shall be valid for a duration greater than one year after the date of issue. Any person performing, or seeking to perform, federally related appraisals shall be liable for, and pay, all fees, rated proportionately, which would apply to such person were he or she a resident of this state.
3. A nonresident of this state who has complied with subdivision one of this section, but who does not qualify for treatment under subdivision two of this section, may obtain a certificate as a state certified real estate appraiser or a license as a state licensed real estate appraiser by conformity to all the provisions of this article relating to state certified or licensed real estate appraisers.
4. The board shall recognize on a temporary basis the certification or license of an appraiser issued by another state pursuant to section 1122 of Title XI of the Financial Institutions Reform, Recovery, and Enforcement Act of 1989, Pub. Law. No. 101-73, 103 Stat. 183 (1989) (codified at 12 U.S.C. 331 et seq.).
§ 160-n. Nonresident certification and licensing by reciprocity. If, in the determination of the board, the certification or licensing process has not been disapproved by the appraisal subcommittee of the federal financial institutions examination council, an applicant who is certified under the laws of such other state may obtain a certificate as a state certified real estate appraiser or a license as a state licensed real estate appraiser in this state upon such terms and conditions as may be determined by the department.
§ 160-o. Renewal certificate or license. 1. a. To obtain a recertification as a state certified real estate appraiser, or a renewal of license as a state licensed real estate appraiser, the holder of a current, valid certificate or license shall make application and pay the prescribed fee to the department not earlier than one hundred twenty days nor later than thirty days prior to the expiration date of the certificate or license then held. With the application for recertification or renewal of license, the state certified real estate appraiser or state licensed real estate appraiser shall present evidence in the form prescribed by the department of having completed the continuing education requirements, if any, for renewal specified in this article.
b. If the department determines that an applicant has failed to meet the requirements for renewal of certification or licensing through mistake, misunderstanding or circumstances beyond the control of the applicant, the department may extend the term of the certificate or license for a period not to exceed six months, upon payment by the applicant of the prescribed fee for the extension.
c. If the applicant satisfies the requirements for renewal during the extended term of certification or license, the beginning date of the new renewal certificate or license shall be the day following the expiration of the certificate or license previously held by the applicant.
2. If a person fails to renew a certificate as a state certified real estate appraiser, or license as a state licensed real estate appraiser, prior to its expiration or within a period of extension granted by the department pursuant to this article, the person may obtain a recertification or renewal of license by satisfying all of the requirements for renewal and by the payment of a late renewal fee.
3. The license of a state licensed real estate appraiser assistant may be renewed in accordance with the provisions of subdivisions one and two of this section.
§ 160-p. Basis for denial. The department may, in accordance with the provisions of this article relating to hearings, deny the issuance of a certificate as a state certified real estate appraiser, or license as a state licensed real estate appraiser, or license as a state licensed real estate appraiser assistant, to an applicant on any of the grounds enumerated in this article.
§ 160-q. Principal place of business. 1. Each state certified or licensed real estate appraiser and each state licensed real estate appraiser assistant shall advise the department of the address of his or her principal place of business and all other addresses at which he or she is currently engaged in the business of preparing or assisting with the preparation of real property appraisal reports.
2. Change of name or address. Notice in writing in the manner and form prescribed by the department shall be given the department at its offices in Albany within ten days of a change of name or address of the state certified or licensed real estate appraisers or of the state licensed real estate appraiser assistants, except those made on a recertification or renewal application. The fee for filing each change of name or address notice shall be ten dollars.
§ 160-r. Certificate or license. 1. A certificate or license issued under authority of this article shall bear the signature of the executive secretary of the board and a certificate or license number assigned by the department.
2. Each state certified real estate appraiser shall place his or her certificate number, and each licensed real estate appraiser shall place his or her license number adjacent to or immediately below the title "State Certified Residential Real Estate Appraiser", "State Certified General Real Estate Appraiser" or "State Licensed Real Estate Appraiser", respectively, when used in an appraisal report or in a contract or other instrument used by the certificate or license holder in conducting real property appraisal activities.
3. Duplicate licenses or certifications or pocket cards. In the case of loss, destruction, or damage, the secretary of state may, upon submission of a request in such form and manner as the department may prescribe, issue a duplicate license or certification or pocket card upon payment of a fee of ten dollars.
§ 160-s. Use of term. 1. The title "state certified real estate appraiser" may only be used to refer to individuals who hold the certificate, and the title "state licensed real estate appraiser" may only be used to refer to individuals who hold the license, and the title "state licensed real estate appraiser assistant" may only be used to refer to individuals who hold the license, and may not be used following or immediately in conjunction with the name or signature of a firm, partnership, corporation or group; or in such manner that it might be interpreted as referring to a firm, partnership, corporation, group or anyone other than an individual holder of the certificate or license.
2. No certificate or license shall be issued under the provisions of this article to a corporation, partnership, firm or group. This shall not be construed to prevent a state certified or licensed real estate appraiser from signing an appraisal report on behalf of a corporation, partnership, firm or group practice.
§ 160-t. Continuing education. 1. As a prerequisite to recertification or renewal of license, a certified or licensed real estate appraiser shall present evidence satisfactory to the department of having met the continuing education requirements, if any, pursuant to this article.
2. The basic continuing education requirement for recertification or renewal of license shall be the completion by the applicant, during the immediately preceding term of certification or license, of not less than twenty-eight classroom hours of instruction in courses or seminars which have received the approval of the department. Computer based and distance learning courses may be approved by the department so long as providers demonstrate the ability to monitor and verify participation by the real estate appraiser for the specified time periods.
3. In lieu of meeting the requirements of subdivision two of this section an applicant for recertification or renewal of license may satisfy all or part of the requirements by presenting evidence of the following:
a. Completion of an educational program of study determined by the department to be equivalent, for continuing education purposes, to courses approved by the department pursuant to subdivision two of this section; or
b. Participation other than as a student in educational processes and programs approved by the department which relate to real property appraisal theory, practices or techniques, including, but not necessarily limited to, teaching, program development and preparation of textbooks, monographs, articles and other instructional materials.
4. The secretary of state or her duly appointed designee shall adopt regulations upon recommendation by the board for implementations of the provisions of this article to assure that persons renewing their certifications as state certified real estate appraisers or licenses as state licensed real estate appraisers have current knowledge of real property appraisal theories, practices and techniques which will provide a high degree of service and protection to those members of the public with whom they deal in a professional relationship under authority of the certification or license. The regulations shall prescribe the following:
a. Policies and procedures for obtaining departmental approval of courses of instruction pursuant to subdivision two of this section;
b. Standards, policies and procedures to be applied by the department in evaluating applicant's claims of equivalency in accordance with subdivision three of this section;
c. Standards, monitoring methods and systems for recording attendance to be employed by course sponsors as a prerequisite to department approval of courses for credit.
5. In adopting regulations pursuant to paragraph a of subdivision four of this section, the board shall give favorable consideration to courses of instruction, seminars and other real property appraisal educational courses or programs previously or hereafter developed by or under the auspices of professional appraisal organizations and utilized by those associations for purposes of designation or indicating compliance with the continuing education requirements of such organizations.
6. No amendment or repeal of a regulation adopted by the secretary of state or her duly appointed designee pursuant to this section shall operate to deprive a state certified real estate appraiser of credit toward recertification, or a state licensed real estate appraiser of credit toward renewal of license, for any course of instruction completed by the applicant prior to the amendment or repeal of the regulation which would have qualified for continuing education credit under the regulation as it existed prior to the repeal or amendment.
7. A certification as a state certified real estate appraiser, or a license as a state licensed real estate appraiser, that has been revoked as a result of disciplinary action by the department shall not be reinstated unless the applicant presents evidence of completion of the continuing education required by this article. This requirement of evidence of continuing education shall not be imposed upon any applicant for reinstatement who has been required to successfully complete the examination for state certified or licensed real estate appraiser as a condition to reinstatement of certification or license.
8. The board shall prescribe the continuing education requirements for licensed real estate appraiser assistants; provided, however, that in no event shall such requirements be less than the minimum criteria established by the Appraisal Subcommittee of the Federal Financial Institutions Examination Council or by the Appraiser Qualification Board of the Appraisal Foundation as referred to in title XI of the Financial Institutions Reform, Recovery and Enforcement Act of 1989.
§ 160-u. Disciplinary proceedings. 1. The rights of any holder under a state certificate as a state certified real estate appraiser, or a license as a state licensed real estate appraiser, may be revoked or suspended, or the holder of the certification or license may be otherwise disciplined in accordance with the provisions of this article, upon any of the grounds set forth in this section. The department may investigate the actions of a state certified or licensed real estate appraiser, and may revoke or suspend the rights of a certificate or license holder or otherwise discipline a state certified or licensed real estate appraiser for any of the following acts or omissions:
a. Procuring or attempting to procure a certificate or license pursuant to this article by knowingly making a false statement, submitting false information, refusing to provide complete information in response to a question in an application for certification or license or through any form of fraud or misrepresentation;
b. Failing to meet the minimum qualifications established by this article;
c. Paying money other than provided for by this article to any member or employee of the department to procure a certificate or license under this article;
d. A conviction of a felony or a misdemeanor which is substantially related to the qualifications, functions and duties of a person developing real estate appraisals and communicating real estate appraisals to others;
e. An act or omission involving dishonesty, fraud or misrepresentation with the intent to substantially benefit the certificate or license holder or another person or with the intent to substantially injure another person;
f. Violation of any of the standards for the development or communication of real estate appraisals as provided in this article;
g. Failure or refusal without good cause to exercise reasonable diligence in developing an appraisal, preparing an appraisal report or communicating an appraisal;
h. Negligence or incompetence in developing an appraisal, in preparing an appraisal report, or in communicating an appraisal;
i. Willfully disregarding or violating any of the provisions of this article or the regulations of the board for the administration and enforcement of the provisions of this article;
j. Accepting an appraisal assignment as defined in section one hundred sixty-x of this article, when the employment itself is contingent upon the appraiser reporting a predetermined estimate, analysis or opinion, or where the fee to be paid is contingent upon the appraiser reporting a predetermined estimate, analysis or opinion, or where the fee to be paid is contingent upon the opinion, conclusion or valuation reached, or upon the consequences resulting from the appraisal assignment;
k. Violating the confidential nature of governmental records to which he or she gained access through employment or engagement as an appraiser by a governmental agency; or
l. Entry of a final civil judgment against the person on grounds of fraud, misrepresentation or deceit in the making of any appraisal of real property.
2. In a disciplinary proceeding based upon a civil judgment, the certified or licensed real estate appraiser shall be afforded an opportunity to present matters in mitigation and extenuation, but may not collaterally attack the civil judgment.
3. The provisions of subdivisions one and two of this section shall also be applicable to licensed real estate appraiser assistants.
§ 160-v. Due process. 1. Before suspending or revoking any certification or license, the department shall notify the state certified or licensed real estate appraiser or licensed real estate appraiser assistant in writing of any charges made at least twenty days prior to the date set for the hearing and shall afford him or her an opportunity to be heard in person or by counsel.
2. The written notice may be served either personally or sent by certified mail to the last known business address of the appraiser.
3. The department shall have the power to subpoena and issue subpoena duces tecum and to take testimony by deposition, in the same manner as prescribed by law in judicial proceedings in the courts of this state.
§ 160-w. Hearing and judicial review. 1. The hearing on the charges shall be at a time and place prescribed by the department.
2. If the department determined that a state certified or licensed real estate appraiser or licensed real estate appraiser assistant is guilty of a violation of any of the provisions of this article, it shall prepare a finding of fact and recommend that such appraiser be reprimanded or that his or her certification or license be suspended or revoked. The decision and order of the department shall be final.
3. Any final decision or order of the department in certifying or denying certification or in recertification, or in licensing, denying license, or in renewal of a license, under this article or in revoking or suspending such certification or license or imposing any fine or reprimand on the holder of such certification or license shall be subject to review by a proceeding brought under and pursuant to article seventy-eight of the civil practice law and rules at the insistence of the applicant for such certification, the holder of the certificate or license so revoked or suspended or the person fined, reprimanded or otherwise aggrieved.
§ 160-x. Classification of services. 1. A client or employer may retain or employ a state certified or licensed real estate appraiser to act as a disinterested third party in rendering an unbiased estimate of value or analysis. A client or employer may also retain or employ a state certified or licensed real estate appraiser to provide specialized services to facilitate the client's or employer's objectives. In either case, the appraisal and the appraisal report must comply with the provisions of this article.
2. For the purposes of this article, the term "appraisal assignment" means an engagement for which an appraiser is employed or retained to act, or would be perceived by third parties or the public as acting, as a disinterested third party in rendering an unbiased analysis, opinion or conclusion relating to the nature, quality, value or utility of specified interests in, or aspects of, identified real estate.
3. For the purposes of this article, the term "specialized services" means those appraisal services which do not fall within the definition of appraisal assignment. The term "specialized services" may include valuation work and analysis work. Regardless of the intention of the client or employer, if the state certified or licensed real estate appraiser would be perceived by third parties or the public as acting as a disinterested third party in rendering an unbiased analysis, opinion or conclusion, the work is classified as an appraisal assignment and not "specialized services".
§ 160-y. Contingent fees. 1. A state certified or licensed real estate appraiser may not accept a fee for an appraisal assignment as defined in section one hundred sixty-x of this article, that is contingent upon the appraiser reporting a predetermined estimate, analysis, or opinion or is contingent upon the opinion, conclusion or valuation reached, or upon the consequences resulting from the appraisal assignment.
2. A state certified or licensed real estate appraiser who enters into an agreement to perform specialized services, as defined in section one hundred sixty-x of this article, may be paid a fixed fee or a fee that is contingent on the results achieved by the specialized services.
3. If a state certified or licensed real estate appraiser enters into an agreement to perform specialized services for a contingent fee, this fact shall be clearly stated in each written report. In each written report, this fact shall be clearly stated in a prominent location in such report and also in each letter of transmittal and in the certification or authentication of the statements made by the appraiser in such a report.
§ 160-z. Retention of records. 1. A state certified or licensed real estate appraiser shall retain for three years, originals or true copies of all written contracts engaging his or her services for real property appraisal work, and all reports and supporting data assembled and formulated by the appraiser in preparing the reports.
2. Such period for retention of records is applicable to each engagement of the services of the appraiser and shall commence upon the date of the submittal of the appraisal to the client unless, within such three year period, such appraiser is notified that the appraisal or report is involved in litigation, in which event the three year period for the retention of records shall commence upon the date of the final disposition of such litigation.
3. All records required to be maintained under the provisions of this article shall be made available by the state certified or licensed real estate appraiser for inspection and copying by the board on reasonable notice to such appraiser. All such records copied by the board shall be kept confidential, except where disclosure of same is required by law or mandate of a court.
§ 160-aa. Transitional licensing. Consistent with the intent and purpose of this article, and without the disapproval of the appraisal subcommittee of the federal financial institutions examination council, the board may prescribe requirements for transitional licenses which shall expire no later than January first, nineteen hundred ninety-three.
§ 160-bb. Severability. If any clause, sentence, paragraph, section or part of this article 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, section, or part thereof directly involved in the controversy in which such judgment shall have been rendered.
ARTICLE 6-F NEW YORK BLACK CAR OPERATORS' INJURY COMPENSATION FUND, INC.
Section 160-cc. Definitions.
160-dd. New York black car operators' injury compensation fund, inc.
160-ee. Supervision of central dispatch facilities.
160-ff. Management of the fund; board of directors.
160-gg. Plan of operation.
160-hh. Membership in the fund; registration with the department.
160-ii. Securing of compensation.
160-jj. Assessment of fund members; customer surcharges; audit powers of the fund, the board and the fund's insurer.
160-kk. Financial oversight of the fund.
160-ll. Exemption from taxes.
160-mm. Liability insurance.
160-nn. Regulations.
160-oo. Violations; penalties; appeals.
§ 160-cc. Definitions. As used in this article:
1. "Black car operator" means the registered owner of a for-hire vehicle, or a driver designated by such registered owner to operate the registered owner's for-hire vehicle as the registered owner's authorized designee, whose injury arose out of and in the course of providing covered services to a central dispatch facility that is a registered member of the New York black car operators' injury compensation fund, inc.
(a) For the purposes of the administration of this article, a black car operator shall include a TNC driver that is engaged in a TNC prearranged trip. For the purposes of this article, the terms "TNC driver", "TNC prearranged trip" and "digital network" shall have the same meanings as such terms are defined in article forty-four-B of the vehicle and traffic law.
(b) For the purposes of the administration of this article, a black car operator shall include a TNC driver that is logged onto a TNC digital network and is not engaged in a TNC prearranged trip but is engaged in an activity reasonably related to driving as a TNC driver taking into consideration the time, place and manner of such activity.
2. "Board" means the workers' compensation board.
3. "Central dispatch facility" means a central facility, wherever located, including a transportation network company, that (a) dispatches the registered owners of for-hire vehicles, or drivers acting as the designated agent of such registered owners, to both pick-up and discharge passengers in the state, and (b) has certified to the satisfaction of the department of state that more than ninety percent of its for-hire business is on a payment basis other than direct cash payment by a passenger; provided, however, that a central dispatch facility shall not include any such central facility that owns fifty percent or more of the cars it dispatches. For the purposes of administration of this article, central dispatch facility shall include TNC prearranged trip as defined in article forty-four-B of the vehicle and traffic law.
4. "Covered services" means, with respect to dispatches from or by a central dispatch facility located in the state, all dispatches from such central dispatch facility regardless of where the pick-up or discharge occurs, and, with respect to dispatches from or by a central dispatch facility located outside the state, all dispatches involving a pick-up in the state, regardless of where the discharge occurs.
5. "Department" means the department of state.
6. "Fund" means the New York black car operators' injury compensation fund, inc.
7. "Fund liability date" means the earlier of: (a) the date as of which the board first approves the fund's application to self-insure pursuant to subdivision two of section one hundred sixty-ii of this article, or (b) the date on which coverage commences under the initial insurance policy purchased by the fund pursuant to subdivision three of section one hundred sixty-ii of this article.
8. "Local licensing authority" means the governmental agency in the state, if any, that is authorized to license a central dispatch facility.
9. "Secretary" means the secretary of state.
10. "Transportation network company" or "TNC" shall have the same meaning as the term is defined in article forty-four-B of the vehicle and traffic law.
§ 160-dd. New York black car operators' injury compensation fund, inc. There is hereby created a not-for-profit corporation to be known as the New York black car operators' injury compensation fund, inc. To the extent that the provisions of the not-for-profit corporation law do not conflict with the provisions of this article, or with the plan of operation established pursuant to this article, the not-for-profit corporation law shall apply to the fund, which shall be a type C corporation pursuant to such law. If an applicable provision of this article or of the fund's plan of operation relates to a matter embraced in a provision of the not-for-profit corporation law but is not in conflict therewith, both provisions shall apply. The fund shall perform its functions in accordance with its plan of operation established and approved pursuant to section one hundred sixty-gg of this article and shall exercise its powers through a board of directors established pursuant to this article.
§ 160-ee. Supervision of central dispatch facilities. A central dispatch facility shall, with respect to the provisions of this article, be subject to the supervision and oversight of the department and the local licensing authority, if any, as provided in this article.
§ 160-ff. Management of the fund; board of directors. 1. There shall be appointed a board of directors of the fund, consisting of eleven directors, six of whom shall be selected by the black car assistance corporation; four of whom shall be chosen by the governor, including one chosen upon the recommendation of the temporary president of the senate and one chosen upon the recommendation of the speaker of the assembly; one chosen to represent a transportation network company as defined by article forty-four-B of the vehicle and traffic law; and one of whom shall be the secretary, who shall serve ex officio. The governor shall appoint the director chosen to represent a transportation network company no later than December thirty-first, two thousand seventeen. The terms of all directors other than the secretary shall be three years. The board shall have the power to remove for cause any director other than the secretary.
2. The directors shall elect annually from among their number a chair and a vice chair who shall act as chair in the chair's absence.
3. For their attendance at meetings, the directors of the fund shall be entitled to compensation, as authorized by the directors, in an amount not to exceed two hundred dollars per meeting per director and to reimbursement of their actual and necessary expenses.
4. Directors of the fund, except as otherwise provided by law, may engage in private or public employment or in a profession or business.
5. (a) All of the directors shall have equal voting rights and five or more directors shall constitute a quorum. The affirmative vote of five directors shall be necessary for the transaction of any business or the exercise of any power or function of the fund.
(b) The fund may delegate to one or more of its directors, officers, agents or employees such powers and duties as it may deem proper.
(c) A vacancy occurring in a director position for which the governor was the original appointing authority shall be filled by the governor, upon the recommendation of the legislative official, if any, that was authorized to recommend the original appointee pursuant to subdivision one of this section. A vacancy occurring in a director position for which the black car assistance corporation was the original appointing authority shall be filled by the black car assistance corporation. A vacancy in any one or more of the director positions shall not prevent the remaining directors from transacting any business, provided a quorum is present and voting.
(d) At the expiration of a director's term, the authority that appointed such director pursuant to subdivision one of this section or paragraph (c) of this subdivision shall re-appoint such director for an additional term or appoint a new director for such subsequent term, provided however that no individual may serve as director for more than three successive terms.
§ 160-gg. Plan of operation. 1. Within seventy-five days of the effective date of this article, the fund shall file with the department its plan of operation, which shall be designed to assure the fair, reasonable and equitable administration of the fund. The plan of operation and any subsequent amendments thereto shall become effective upon being filed with the department.
2. The plan of operation shall constitute the by-laws of the fund and shall, in addition to the requirements enumerated elsewhere in this article:
(a) establish procedures for collecting and managing the assets of the fund;
(b) establish regular places and times for meetings of the fund's board of directors;
(c) establish the procedure by which the fund shall determine whether to provide the benefits due pursuant to this article by self-insuring or by purchasing insurance;
(d) establish accounting and record-keeping procedures for all financial transactions of the fund, its agents and the board of directors;
(e) establish a procedure for determining and collecting the appropriate amount of surcharges and assessments under this article;
(f) set forth the procedures by which the fund may exercise the audit rights granted to it under this article;
(g) establish procedures to ensure prompt and accurate notification to the fund by its members of all accidents and injuries to black car operators, and provide for full reimbursement of the fund by any central dispatch facility whose failure to provide such notification results in the imposition of a penalty on the fund by the board; and
(h) contain such additional provisions as the board of the fund may deem necessary or proper for the execution of the powers and duties of the fund.
§ 160-hh. Membership in the fund; registration with the department. 1. The membership of the fund shall be composed of all central dispatch facilities. Each central dispatch facility shall be required, as a condition of doing business within this state, to pay the department a two hundred dollar annual fee for the purpose of registering as a member of the fund and receiving a certificate of registration. Such sums shall be used by the department for the administration of this article. The initial registration fee shall be due no later than ninety days after the effective date of this article. The department shall have the power to assess an additional fee against each registrant in the amount necessary to provide it with sufficient funds to cover its expenses in performing its duties pursuant to this article. The department shall provide the fund with an updated list of registrants on a monthly basis.
2. All central dispatch facilities shall be required, as a condition of obtaining or retaining their license from the local licensing authority, if any, to (a) be members of the fund; (b) be registered with the department as members of the fund; and (c) submit to the local licensing authority a copy of its certificate of registration as proof of such membership and registration.
3. Within sixty days of the effective date of this article, the board of the fund shall, on the basis of information from trade papers, local licensing authorities and other sources, identify the central dispatch facilities subject to this article and, on a regular and ongoing basis, confirm that all such entities have registered in accordance with subdivision one of this section.
4. The fund shall, within seventy-five days of the effective date of this article, provide to its members a copy of the proposed plan of operation filed with the department and shall inform its members of their rights and duties pursuant to this article.
§ 160-ii. Securing of compensation. 1. Within two hundred ten days of the effective date of this article, the fund shall secure the payment of workers' compensation to all black car operators entitled thereto pursuant to this chapter by either: (a) self-insuring in accordance with subdivision three of section fifty of the workers' compensation law and the rules promulgated by the board pursuant to such section or (b) purchasing workers' compensation insurance covering, on a blanket basis, all black car operators who are the fund's employees pursuant to section two of the workers' compensation law.
2. If the fund initially seeks to apply to the board for authorization to self-insure pursuant to subdivision three of section fifty of the workers' compensation law, it shall submit its application and accompanying proof to the board within one hundred fifty days of the effective date of this article. The board shall notify the fund and the secretary in writing of any change in the fund's status as a self-insurer or of any additional requirements that the board may deem necessary for continuation of such status.
3. If the fund chooses to secure the payment of workers' compensation pursuant to the workers' compensation law by purchasing an insurance policy from the state insurance fund or a, licensed insurer, it shall file with the department no later than thirty days after the commencement of a new policy year a copy of the policy it has purchased. In such case, the department shall be treated by the insurer as a certificate holder for purposes of receiving notice of cancellation of the policy.
4. No provision of this article shall be construed to alter or affect the liability under the workers' compensation law of any central dispatch facility with respect to black car operators prior to the fund liability date.
* 5. The fund shall have the authority to provide additional health benefits, consistent with its plan of operation, for all black car operators entitled thereto pursuant to this chapter, provided that the fund shall have complied with all applicable statutory and regulatory requirements. The surcharge amount not related to payments of workers' compensation claims and the administration of those claims shall be up to one-half of one percent (0.5%).
* NB Repealed December 20, 2025
§ 160-jj. Assessment of fund members; customer surcharges; audit powers of the fund, the board and the fund's insurer. 1. To pay (a) the costs of the insurance purchased pursuant to subdivision three of section one hundred sixty-ii of this article or (b) the benefits due under the workers' compensation law in the event the fund self-insures pursuant to subdivision two of section one hundred sixty-ii of this article, and to pay (c) its expenses in carrying out its powers and duties under this article and (d) its liabilities, if any, pursuant to section fourteen-a of the workers' compensation law, the fund shall ascertain by reasonable estimate the total funding necessary to carry on its operations.
2. Based upon its estimation of operating costs, the fund shall establish a proposed uniform percentage surcharge to be added to (a) the invoices or billings for covered services sent to the customers of the fund's members by a member or its agent and (b) the credit payments for covered services received by a member or its agent. The proposed surcharge shall become effective thirty days after being filed with the department. Notwithstanding the foregoing, beginning on the first day of the first calendar month that shall commence at least seventy-five days after the effective date of this article, and until the fund shall have filed with the department a different surcharge amount, a three percent surcharge shall be added to every invoice or billing for covered services sent by a member or its agent to, and every credit payment for covered services received by a member or its agent from, the customers of the fund's members. Each member of the fund shall be liable for payment to the fund of an amount equal to the product of (i) the percentages surcharge due pursuant to this article, divided by one hundred and (ii) all payments received by the member or its agent for covered services from the member's customers, as provided in this subdivision, regardless of whether the surcharge was billed or charged.
3. No local licensing authority or the department or the New York state department of motor vehicles shall issue, continue or renew any license or registration certificate, or permit for the operation of any central dispatch facility unless such central dispatch facility, as a condition of maintaining its license and/or registration certificate, adds the surcharge required by this section to every invoice and billing for covered services sent to, and every credit payment for covered services received from, its customers and pays to the fund no later than the fifteenth day of each month the total surcharges due pursuant to this article.
4. Each central dispatch facility shall submit to the fund with its monthly payment a detailed accounting of the charge and surcharge amounts charged to and received from customers for covered services during the previous month. The first such payment and accounting shall be due on the fifteenth day of the month following the imposition of the surcharge pursuant to subdivision two of this section.
5. Should the fund determine that the surcharge amounts that have been paid to it are inadequate to meet its obligations under this article, it shall determine the surcharge rate required to eliminate such deficiency and shall file such revised surcharge rate with the department in accordance with subdivision two of this section. Commencing thirty days after such filing, the members of the fund shall charge the revised surcharge rate and shall pay to the fund the total amount of surcharges in accordance with this article.
6. The fund shall have the power directly or through its agent to conduct financial audits of its members to verify their compliance with the requirements of this article. The fund or its agent shall be afforded convenient access at all reasonable hours to all books, records and other documents of its members that may be relevant to such audits.
7. For the purposes of conducting payroll audits, an insurer providing coverage to the fund pursuant to this article may treat the members of the fund as policyholders. Members of the fund shall be required to do all things required of employers pursuant to section one hundred thirty-one of the workers' compensation law, and shall be required to provide the board access to any and all records and information as otherwise required by the workers' compensation law and the regulations promulgated thereunder, and shall be liable as provided in the workers' compensation law for any failure so to do.
§ 160-kk. Financial oversight of the fund. No later than May first of each year, the fund shall submit to the governor and legislature certified financial statements prepared in accordance with generally accepted accounting principles by a certified public accountant. The members of the fund shall be required on and after January first of each year to afford the certified public accountant convenient access at all reasonable hours to all books, records and other documents, including but not limited to invoices and vouchers, necessary or useful in the preparation of such statements and in the verification of the monthly statements submitted to the fund.
§ 160-ll. Exemption from taxes. The fund shall be exempt from payment of all fees and taxes levied by this state or any of its subdivisions, except taxes levied on real property.
§ 160-mm. Liability insurance. The fund shall purchase such insurance as is necessary to protect the fund and any director, officer, agent or other representative from liability for their administration of the fund, and shall, to the extent permitted by law, indemnify such directors, officers, agents or other representatives and hold them harmless from liability for their administration of the fund.
§ 160-nn. Regulations. The department shall adopt regulations implementing the provisions of this article, including the conduct and notice of hearings held pursuant to section one hundred sixty-oo of this article.
§ 160-oo. Violations; penalties; appeals. 1. (a) If the secretary believes a violation of this article by a fund member may have occurred, the secretary shall notify the local licensing authority of such fact and, upon notice to the fund member, a hearing shall be held by such local licensing authority to determine whether such violation occurred. In the absence of a local licensing authority, or if the local licensing authority chooses not to hold such hearing, the hearing shall be held by the secretary.
(b) If the fund believes that a central dispatch facility has failed to pay the fund the assessments due pursuant to this article, or has failed to pay the reimbursement due pursuant to paragraph (g) of subdivision two of section one hundred sixty-gg of this article, it shall make a referral to the a local licensing authority, or, in the absence of a local licensing authority, to the department. Upon receipt of such a referral, the local licensing authority or the department shall be required to hold a hearing pursuant to paragraph (a) of this subdivision.
2. Except as otherwise provided in this section, a fund member that is found, after a hearing held pursuant to subdivision one of this section, to have violated a provision of this article, or a rule promulgated by the department pursuant to this article, shall be liable for a fine in an amount not to exceed ten thousand dollars per violation. Notwithstanding the foregoing, a fund member that fails to bill or that collects and fails to submit to the fund the required surcharges shall be subject, in addition to payment to the fund of the amount overdue plus interest on such amount as herein provided, to a penalty, at the discretion of the local licensing authority, if any, or, in the absence of such authority, of the department, of (a) up to five thousand dollars for each twenty days the payment is overdue, or (b) revocation of its membership in the fund and of its certificate of registration, or (c) both a monetary penalty and revocation of its membership in the fund and of its certificate of registration. The rate of interest applicable pursuant to this section shall be twelve percent per annum. Any monetary penalty imposed pursuant to this subdivision shall be retained by the department or the local licensing authority and be used to defray the costs of administering this article. The responsible persons, of a central dispatch facility that are found, after a hearing held pursuant to subdivision one of this section, to be in default to the fund for assessments owed pursuant to this article, shall be personally liable for the amount of such assessments determined to be then due and outstanding, including interest on such assessments awarded pursuant to this subdivision, and for all monetary penalties imposed pursuant to this subdivision.
"Responsible persons," for purposes of this subdivision, include: (i) the directors of a central dispatch facility that is a corporation; (ii) the managers of a central dispatch facility that is a limited liability company or its members if management of the central dispatch facility is vested in its members; (iii) the general partner or partners of a central dispatch facility that is a partnership; (iv) all individuals who directly or indirectly own, control or hold the power to vote ten percent or more of the voting interests of any corporation, joint stock company, partnership, association, trust, limited liability company or similar entity that manages a central dispatch facility; and (v) the president, secretary and treasurer of a central dispatch facility, regardless of its form of organization.
Failure of the central dispatch facility, or of its responsible persons to pay any assessments or penalties awarded pursuant to this subdivision within twenty days of issuance of a valid order so to do, or in the event an appeal has been taken from the determination of the department or the local licensing authority, to deposit with the secretary or the local licensing authority within twenty days of the issuance of the determination from which the appeal is taken the total amount of the award as security for its payment, shall entitle the secretary or the local licensing authority to file with the clerk of Albany county a certified copy of the determination of the department or local licensing authority, and thereupon judgment shall be entered in the supreme court by the clerk of Albany county in conformity therewith immediately upon such filing. Such judgment shall be entered in the same manner, have the same effect and be subject to the same proceedings as though rendered in a suit duly heard and determined by the supreme court, except that no appeal may be taken therefrom.
3. Within twenty days after issuance by the department or local licensing authority of a determination adverse to a central dispatch facility following a hearing held pursuant to subdivision one of this section, an appeal may be taken therefrom to the appellate division of the supreme court, third department, by the aggrieved central dispatch facility. The attorney general shall represent the department or the local licensing authority thereon.
ARTICLE 6-G INDEPENDENT LIVERY DRIVER BENEFIT FUND
Section 160-aaa. Definitions.
160-bbb. Independent livery driver benefit fund.
160-ccc. Contributions to the fund.
160-ddd. Use of the fund.
160-eee. Regulations.
160-fff. Membership in the fund.
160-ggg. Plan of operation.
160-hhh. Violations; penalties; appeals.
160-iii. Insurance premiums.
§ 160-aaa. Definitions. For the purposes of this article:
1. "Independent livery driver" means a livery driver that is dispatched by an independent livery base.
2. "Annualized basis" means the product of the number of livery drivers affiliated with a dispatching livery base and the number of months each such driver is affiliated with the livery base, divided by twelve.
3. "Covered services" means all dispatches from a livery base regardless of where the pick-up or discharge occurs.
4. "Fund" means the independent livery driver benefit fund as established in this article.
5. "Independent livery base" has the same meaning as set forth in section eighteen-c of the workers' compensation law.
6. "Livery" means a for-hire vehicle licensed by a local taxi and limousine commission, carrying no more than five passengers or such other limited number as set by a local taxi and limousine commission, which charges for service on the basis of flat rate, time, mileage or zones, and which is dispatched by a livery dispatch facility, but shall not include a vehicle owned or driven by a black car operator, as defined in article six-F of this chapter.
7. "Livery driver" means an individual that drives a livery, is dispatched by a livery base, receives compensation for such driving, and is licensed to do so by a local taxi and limousine commission.
8. "Livery base" means a central facility that manages, organizes or dispatches liveries, and is licensed to do so by a local taxi and limousine commission.
9. "Livery registrant" means a person in whose name a livery is licensed by a local taxi and limousine commission.
10. "Local taxi and limousine commission" means a unit of local government in New York city, Nassau county or Westchester county authorized to license and regulate liveries.
§ 160-bbb. Independent livery driver benefit fund. 1. There is hereby created a not-for-profit corporation to be known as the New York independent livery driver benefit fund. To the extent that the provisions of the not-for-profit corporation law do not conflict with the provisions of this article, or with the plan of operation established pursuant to this article, the not-for-profit corporation law shall apply to the fund, which shall be a type C corporation pursuant to such law. If an applicable provision of this article or of the fund's plan of operation relates to a matter embraced in a provision of the not-for-profit corporation law but is not in conflict therewith, both provisions shall apply. The fund shall perform its functions in accordance with its plan of operation, and shall exercise its powers through a board of directors established pursuant to this article.
2. Within thirty days of the effective date of this article, there shall be appointed a board of directors of the fund, consisting of nine directors appointed by the governor, one of whom shall be chosen upon nomination of the temporary president of the senate; one of whom shall be chosen upon nomination of the speaker of the assembly; one of whom shall be chosen upon nomination of the chair of the workers' compensation board; one of whom shall be chosen on nomination of the superintendent of financial services; one of whom shall be chosen on nomination of the American Federation of Labor-Congress of Industrial Organizations of New York; and four of whom shall be chosen without prior nomination, at least two of which shall be a livery registrant or owner, officer or director of a livery base or livery registrant. The initial terms of directors shall be staggered, the four directors appointed by the governor without prior nomination serving for initial terms of three years from the effective date of this article, the two directors appointed upon nomination of the speaker of the assembly and temporary president of the senate serving for initial terms of two years from the effective date of this article, and the three directors on nomination of the superintendent of financial services, the chair of the workers' compensation board and the American Federation of Labor-Congress of Industrial Organizations of New York serving for initial terms of one year from the effective date of this article. The subsequent terms of all directors shall be three years. The board of directors shall have the power to remove for cause any director. The failure of any nominating authority to appoint a director within the time set by this subdivision shall not bar the fund from operating, so long as at least six directors have been appointed.
3. The directors shall elect annually from among their number a chair and a vice chair who shall act as chair in the chair's absence.
4. For their attendance at meetings, the directors of the fund shall be entitled to compensation, as authorized by the directors, in an amount not to exceed two hundred dollars per meeting per director and to reimbursement of their actual and necessary expenses.
5. Directors of the fund, except as otherwise provided by law, may engage in private or public employment or in a profession or business.
6. (a) All of the directors shall have equal voting rights and five or more directors shall constitute a quorum. The affirmative vote of four directors shall be necessary for the transaction of any business or the exercise of any power or function of the fund.
(b) A vacancy occurring in a director position shall be filled in the same manner as the initial appointment to that position, provided however that no individual may serve as director for more than three successive terms.
(c) The board of directors may:
(i) delegate to one or more of its directors, officers, agents or employees such powers and duties as it may deem proper;
(ii) establish the procedure by which the fund shall determine how to provide the benefits due pursuant to this article;
(iii) establish accounting and record-keeping procedures for all financial transactions of the fund, its agents and the board of directors;
(iv) establish a procedure for determining and collecting the appropriate amount of assessments under and as consistent with this article;
(v) set forth the procedures by which the fund may exercise the audit rights granted to it under this article;
(vi) establish procedures to ensure prompt and accurate notification to the fund by independent livery bases of all deaths of independent livery drivers, and all injuries to livery drivers that resulted from a crime for which there is a police report, and provide for full reimbursement of the fund by any member whose failure to provide such notification results in the imposition of a penalty on the fund by the workers' compensation board;
(vii) recommend changes in the law or regulations governing workers' compensation benefits with livery drivers; and
(viii) engage in such additional actions as the board of directors may deem necessary or proper for the execution of the powers and duties of the fund.
§ 160-ccc. Contributions to the fund. Each independent livery base shall be assessed an annual payment to the fund, to be set by the board of directors no later than January first of each calendar year or such other date as the board of directors may set consistent with, and as necessary to effectuate, this article. The total amount of the payment shall be determined by the fund as sufficient to provide it with total assets equal to one hundred fifty percent of the cost of an insurance policy issued under section one hundred sixty-ddd of this article, and to provide for any administrative expense of the fund. Each independent livery base's own share of such payments shall be determined by a formula set by the board of directors, to be based on the number of liveries affiliated with each livery base at the time the payments are calculated, or such other measure set by the chair of the workers' compensation board. Each independent livery base shall make the payments assessed against it annually within thirty days of assessment. If it is determined by the board of directors that there may be an insufficient amount of money in the fund to purchase the requisite coverage or to pay administrative expenses in a given year, the board of directors may require each independent livery base to make an additional payment to the fund based on the amount of its affiliated drivers on an annualized basis or such other criteria as shall be established by the chair of the workers' compensation board, except that no such payments shall be assessed, such that the fund will have funds greater than necessary to provide compensation under the workers' compensation law, to the extent set forth in section one hundred sixty-ddd of this article for eighteen months.
§ 160-ddd. Use of the fund. Moneys deposited into the fund shall be used to provide benefits under the workers' compensation law, by purchase of a policy from the state insurance fund, or from a carrier licensed to write workers' compensation insurance to the extent permitted by section three thousand four hundred fifty-one of the insurance law, for livery drivers dispatched by independent livery bases, to provide benefits under the workers' compensation law for deaths of livery drivers arising out of and in the course of providing covered services, and all injuries arising out of and in the course of providing covered services either: (1) resulting from a crime against such livery driver as evidenced by a police report or (2) for the following conditions: (a) the amputation or loss of an arm, leg, hand, foot, multiple fingers, index finger, multiple toes, ear, or nose, (b) paraplegia or quadriplegia, or (c) total and permanent blindness or deafness. The provisions of the workers' compensation law shall govern any application for and the receipt of such benefits.
§ 160-eee. Regulations. The chair of the workers' compensation board may promulgate regulations necessary to effectuate the provisions of this article.
§ 160-fff. Membership in the fund. 1. The membership of the fund shall be comprised of all independent livery bases. If the workers' compensation board or local taxi and limousine commission revokes a livery base's authorization to act as an independent livery base, it shall cease to be a member of the fund within thirty days. Such revocation shall not entitle the livery base to the return of any moneys deposited into the fund.
2. Each livery base shall be required, as a condition of obtaining or retaining any license it receives to operate as a livery base from a local taxi and limousine commission either: (a) to be a member of the fund, to submit to the local taxi and limousine commission proof of such membership and to maintain such records as the workers' compensation board, state department of motor vehicles or local taxi and limousine commission may direct in order to carry out the livery base's responsibilities under this article, and as necessary to determine the appropriate cost of compensation the fund must provide under the workers' compensation law; or (b) to present proof to the local taxi and limousine commission that it has secured compensation under the workers' compensation law, to the extent required of employers, for all livery drivers it dispatches.
3. Each local taxi and limousine commission shall supply the fund and the workers' compensation board, at any such time as the fund or workers' compensation board requests, a list of all liveries affiliated with each livery base licensed by the commission.
4. The fund shall, within seventy-five days of the appointment of the fund's board of directors, provide to its members a copy of the proposed plan of operation filed with the workers' compensation board and all local taxi and limousine commissions and shall inform its members of their rights and duties pursuant to this article.
§ 160-ggg. Plan of operation. 1. Within seventy-five days of the appointment of the fund's board of directors, the fund shall file with the workers' compensation board and local taxi and limousine commissions its plan of operation, which shall be designed to assure the fair, reasonable and equitable administration of the fund. The plan of operation and any subsequent amendments thereto shall become effective upon being filed with the workers' compensation board and all taxi and limousine commissions.
2. The plan of operation shall constitute the by-laws of the fund and shall, in addition to the requirements enumerated elsewhere in this article:
(a) establish procedures for collecting and managing the assets of the fund;
(b) establish regular places and times for meetings of the fund's board of directors;
(c) establish accounting and record-keeping procedures for all financial transactions of the fund, its agents and the board of directors;
(d) establish a procedure for determining and collecting the appropriate amount of assessments under this article; and
(e) contain such additional provisions as the board of directors of the fund may deem necessary or proper for the execution of the powers and duties of the fund.
§ 160-hhh. Violations; penalties; appeals. 1. Any person that knowingly submits a materially false statement on the affirmation provided for in section eighteen-c of the workers' compensation law shall be guilty of a class A misdemeanor. Any person that commits a second or subsequent offense under this subdivision shall be guilty of a class E felony.
2. The workers' compensation board or local taxi and limousine commission may, upon its own motion or the application of a local taxi and limousine commission or the independent livery fund, and upon notice to the independent livery base, conduct a hearing as to the validity of any affirmation filed under section eighteen-c of the workers' compensation law, or to determine whether there has been any other violation of this article. Should the workers' compensation board or local taxi and limousine commission determine that the certification contains any materially false statements, the workers' compensation board may:
(a) revoke the livery base's authorization as an independent livery base for a period of up to five years;
(b) impose a civil penalty of up to ten thousand dollars; and/or
(c) refer the independent livery base to the local taxi and limousine commission for such additional sanction as it may impose under its rules and regulations.
3. Any independent livery base which has been found on two separate occasions, under subdivision two of this section, to have made a materially false statement in its certification shall be permanently barred from acting as an independent livery base.
4. If an independent livery base fails to submit to the independent livery driver benefit fund any required charge, the workers' compensation board or local taxi and limousine commission may order that it pay into the fund, upon application of the fund and following notice to the independent livery base (a) the amount overdue plus interest on such amount, and/or (b) a penalty of up to five hundred dollars for each thirty days after notice is given that the payment is overdue. The workers' compensation board or local taxi and limousine commission may suspend or revoke such livery base's authorization to act as an independent livery base for failure to make such payment. The rate of interest applicable to this subdivision shall be twelve percent per annum. Any monetary penalty imposed pursuant to this subdivision shall be retained by the workers' compensation board and be used to defray the costs of administering this article.
5. If the workers' compensation board or local taxi and limousine commission determines that any independent livery base has made any material misrepresentations, or temporarily altered the affiliation of any livery, livery driver or livery registrant, for the purpose of reducing its payments into the fund, the workers' compensation board or local taxi and limousine commission may suspend the livery base's membership in the fund for a period of up to two years, and may impose a penalty of up to five thousand dollars.
6. If the workers' compensation board or local taxi and limousine commission determines that any independent livery base has coerced any livery driver into making false statements or refraining from reporting any violations of this article, the workers' compensation board or local taxi and limousine commission may suspend the livery base's membership in the fund for a period of up to two years, and may impose a penalty of up to five thousand dollars.
7. Except as otherwise provided in this section, a livery base that is found to have violated a provision of this article or a rule promulgated by the workers' compensation board or local taxi and limousine commission pursuant to this article shall be liable for a fine in an amount not to exceed five thousand dollars per violation.
8. If the fund has reason to believe a violation of this article by a fund member may have occurred, the fund shall notify the workers' compensation board. Upon receipt of such a referral, the workers' compensation board shall hold a hearing to determine the validity of the charge, or refer the matter to the local taxi and limousine commission for such determination.
9. The responsible persons of an independent livery base shall be personally liable for the amount of any monetary penalties awarded pursuant to this subdivision. "Responsible persons," for purposes of this subdivision, shall be: (a) the directors of a livery base that is a corporation; (b) the managers of a livery base that is a limited liability company or its members if management of a livery base is vested in its members; (c) the general partner or partners of a livery base that is a partnership; (d) all individuals who directly or indirectly own, control or hold the power to vote ten percent or more of the voting interests of any corporation, joint stock company, partnership, association, trust, limited liability company or similar entity that manages a livery base; and (e) the president, secretary and treasurer of a livery base, regardless of its form of organization.
10. Failure of the independent livery base, or of its responsible persons, to pay any charges or penalties awarded pursuant to this section within twenty days of issuance of a valid order so to do, or in the event an appeal has been taken from the determination of the workers' compensation board, to deposit with the workers' compensation board within twenty days of the issuance of the determination from which the appeal is taken the total amount of the award as security for its payment, shall entitle the workers' compensation board or local taxi and limousine commission to file with the clerk of Albany county or the county where the local taxi and limousine commission is located a certified copy of the determination of the workers' compensation board or the local taxi and limousine commission, and thereupon judgment shall be entered in the supreme court by the clerk of the county where the determination is filed immediately upon such filing. Such judgment shall be entered in the same manner, have the same effect and be subject to the same proceedings as though rendered in a suit duly heard and determined by the supreme court, except that no appeal may be taken therefrom.
11. Within twenty days after issuance by the workers' compensation board of a determination adverse to a livery base pursuant to this section, an appeal may be taken therefrom to the appellate division of the supreme court, third department, by the aggrieved party.
12. If the membership of an independent livery base in the independent livery fund is suspended for failure to pay assessments under this article, the livery base may make application for reinstatement only upon payment of such assessments and such penalties and interest as the local taxi and limousine commission or workers' compensation board has imposed, or upon the agreement by the base and fund to a schedule for such payment.
13. Any sanction imposed under this section shall be after notice to the independent livery base and an opportunity for a hearing.
§ 160-iii. Insurance premiums. Nothing in this article or in the provisions of the workers' compensation law pertaining to coverage of livery drivers under this article shall be construed as limiting the discretion of the state insurance fund, in providing coverage to the New York independent livery driver benefit fund, inc., in choosing a premium basis, rating plan or setting a rate to cover the risk posed by insuring such fund.
ARTICLE 6-H REAL ESTATE APPRAISAL MANAGEMENT COMPANIES
Section 160-aaaa. Definitions.
160-bbbb. Registration required.
160-cccc. Exemptions.
160-dddd. Forms.
160-eeee. Denial of registration.
160-ffff. Expiration of license.
160-gggg. Fees.
160-hhhh. Owner requirements.
160-iiii. Controlling persons.
160-jjjj. Employee requirements.
160-kkkk. Restrictions.
160-llll. Recordkeeping.
160-mmmm. Appraiser independence; unlawful acts.
160-nnnn. Mandatory reporting.
160-oooo. Unprofessional conduct.
160-pppp. Alteration of appraisal reports.
160-qqqq. Enforcement.
160-rrrr. Disciplinary hearings.
160-ssss. Power to suspend a license.
160-tttt. Investigation.
160-uuuu. Rule-making authority.
160-vvvv. Violations.
160-wwww. Severability.
160-xxxx. Judicial review.
§ 160-aaaa. Definitions. As used in this article, the following terms shall have the following meanings:
1. "Appraisal" or "real estate appraisal" means an analysis, opinion or conclusion relating to the nature, quality, value or utility of specified interests in, or aspects of, identified real estate. An appraisal may be classified by subject matter into either a valuation or an analysis.
2. "Appraisal management company" or "AMC" means an individual or business entity that:
(a) provides appraisal management services to creditors or to secondary mortgage market participants, including affiliates;
(b) provides such services in connection with valuing a consumer's real property as security for consumer credit transactions secured by a consumer's principal dwelling; and
(c) within a given year, oversees an appraisal panel of more than fifteen appraisers working in New York state or twenty-five or more appraisers working in two or more states. An AMC shall not include a department or division of an entity that provides appraisal management services only to that entity.
3. "Appraisal management services" means to, directly or indirectly, provide any of the following services on behalf of a lender, financial institution, client, or any other person in connection with valuing a consumer's principal dwelling as security for a consumer credit transaction or incorporating such transactions into securitizations:
(a) administer an appraiser panel;
(b) recruit, retain or select appraisers;
(c) qualify or verify licensing or certification and negotiate fees and service level expectations with persons who are part of an appraiser panel;
(d) contract with appraisers to perform appraisal assignments;
(e) receive an order for an appraisal from one person, and deliver the order for the appraisal to an appraiser that is part of an appraiser panel for completion;
(f) manage the process of having an appraisal performed, including providing administrative duties, such as receiving appraisal orders and reports, submitting completed appraisal reports to creditors and underwriters for services provided, and reimbursing appraisers for services performed;
(g) track and determine the status of orders for appraisals;
(h) conduct quality control of a completed appraisal prior to the delivery of the appraisal to the person that ordered the appraisal;
(i) provide a completed appraisal performed by an appraiser to one or more clients; or
(j) compensate appraisers for services rendered.
An individual who hires an appraiser solely for his or her own purposes, shall not be deemed an appraisal management company.
4. "Appraiser" means a person licensed or certified pursuant to article six-E of this chapter.
5. "Appraiser panel" means a network, list or roster of licensed or certified appraisers approved by the appraisal management company to perform appraisals as independent contractors of the appraisal management company.
6. "Appraisal review" means the act or process of developing and communicating an opinion about the quality of another appraiser's work that was performed as part of an appraisal assignment. Appraisal reviews must be performed by a person who is certified as a real estate appraiser pursuant to article six-E of this chapter.
7. "Board" means the state board of real estate appraisal which shall advise the department, as necessary, on implementation of, and enforcement of this article.
8. "Competent appraiser" means an appraiser that satisfies each provision of the competency rule of the uniform standards of professional appraisal practice for a specific appraisal assignment or valuation service that the appraiser has received, or may receive, from an appraisal management company.
9. "Controlling person" means:
(a) an owner, officer or director of an appraisal management company, or an individual who holds an ownership interest of ten percent or more of such company;
(b) an individual employed, appointed or authorized by an appraisal management company that has the authority to enter into a contractual relationship with other persons for the performance of appraisal management services and has the authority to enter into agreements with appraisers for the performance of appraisals; or
(c) an individual who possesses, directly or indirectly, the power to direct or cause the direction of the management or policies of an appraisal management company.
10. "Department" means the New York state department of state.
11. "Hybrid firm or entity" means an entity that hires both real estate appraisers as employees to perform appraisals of real property, and engage independent contractors to perform such appraisals. A hybrid firm or entity shall be treated as an AMC for purposes of state registration if it oversees more than fifteen real estate appraisers completing valuation services in an individual state or twenty-five or more real estate appraisers in two or more states within a given year. The numerical calculation for a hybrid firm or entity should only include real estate appraisers engaged as independent contractors.
12. "Person" means an individual, partnership, corporation, or any other entity recognized under New York state law.
13. "Real estate" means an identified parcel or tract of land, including improvements, if any.
14. "Real property" means the interest, benefits, and rights inherent in the ownership of real estate.
15. "Uniform standards of professional appraisal practice" or "USPAP" means the appraisal standards promulgated by the appraisal standards board of the appraisal foundation.
16. "Secondary mortgage market participant" means a guarantor or insurer of mortgage-backed securities, or an underwriter or issuer of mortgage-backed securities. Secondary mortgage market participant only includes an individual investor in a mortgage-backed security if that investor also serves in the capacity of a guarantor, insurer, underwriter, or issuer for such mortgage-backed security.
§ 160-bbbb. Registration required. It shall be unlawful for a person to, directly or indirectly, engage or attempt to engage in business as an appraisal management company, or to advertise or hold oneself out as engaging in or conducting business as an appraisal management company without first obtaining a certificate of registration issued by the department under the provisions of this article.
§ 160-cccc. Exemptions. The provisions of this article shall not apply to any person that exclusively employs appraisers for the performance of appraisals or to any appraisal management company that is a wholly-owned subsidiary of a financial institution, which is regulated by the federal financial institution regulatory agency. The registration provisions of this article shall not apply to the state, any state agency or authority, or any political subdivision of the state that employs appraisers.
§ 160-dddd. Forms. An applicant for a certificate of registration as an appraisal management company shall submit an application on such forms as prescribed by the department.
§ 160-eeee. Denial of registration. The department may investigate the good character of applicants for a certificate of registration under this article and may deny the issuance of such certificate of registration based upon lack of good moral character which may include, but is not limited to, any of the grounds enumerated in this article. For the purposes of this article, a non-substantive ground for denial, revocation, or surrender of an appraiser's license should not be construed as an automatic prohibition.
§ 160-ffff. Expiration of license. A certificate of registration granted by the department pursuant to this article shall be valid for a period of two years from the date upon which it is issued.
§ 160-gggg. Fees. 1. The department shall collect a fee of two hundred fifty dollars for a certificate of registration issued or reissued under the provisions of this article. Additionally, the department shall assess twenty-five dollars for each appraiser added to an appraisal management company's appraiser panel.
2. The department shall collect from each appraisal management company seeking to be registered, the amount determined by the appraisal subcommittee to be a national registry fee for each appraiser, that performs appraisal services within New York on the appraiser panel of an appraisal management company pursuant to Section 1109(a)(4) of the federal Financial Institutions Reform, Recovery, and Enforcement Act of 1989 as amended by the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010. The department may transmit the annual registry fee to the appraisal subcommittee. The department shall provide its roster of appraisal management companies to the appraisal subcommittee. These transmittals shall occur at least annually.
3. Except for changes made on a renewal application, appraisal management companies shall provide the department with notice of a change in the appraisal management's principal address. Change of address notifications shall be accompanied by a fee of ten dollars.
4. Except for changes made on a renewal application, the department shall collect a fee of ten dollars for changing a name on a certificate of registration.
5. In lieu of the fee set forth in subdivision one of this section, the department shall collect a fee of three hundred fifty dollars to reissue a certificate of registration under this article which was submitted after the expiration of the immediately preceding registration term.
§ 160-hhhh. Owner requirements. An appraisal management company applying for a certificate of registration shall not be owned in whole or in part, directly or indirectly, by a person who has had a license, registration or certificate to act as a real estate appraiser denied, revoked, or surrendered in lieu of pending discipline in any state or by a person holding ten percent or more of the company where that person has had a license, registration or certificate to act as a real estate appraiser denied, revoked, or surrendered in lieu of possible discipline in any state.
§ 160-iiii. Controlling persons. 1. Each appraisal management company applying for a certificate of registration shall designate one controlling person who shall be the main contact for all communication between the department and the appraisal management company. Such designated controlling person shall never have had a license or certificate to act as an appraiser denied, revoked, or surrendered in lieu of possible discipline in any state and shall be of good moral character, as determined by the department. Applicants shall cooperate with any such background investigation conducted by the department.
2. Each person that owns more than ten percent of an appraisal management company shall be of good moral character, as determined by the department. Applicants shall cooperate with any such background investigation conducted by the department.
3. Each appraisal management company applying for a certificate of registration shall certify to the department that it has reviewed each entity that owns more than ten percent of the appraisal management company and that no entity that owns more than ten percent of the appraisal management company is more than ten percent owned by any person that has had a license or certificate to act as an appraiser denied, revoked, or surrendered in lieu of a pending revocation.
§ 160-jjjj. Employee requirements. 1. An appraisal management company that applies for a certificate of registration shall not knowingly employ, utilize, or engage, for any real estate appraisal, valuation service or appraisal review assignment, a person who has had a license or certificate to act as an appraiser in this state or in any other state denied, revoked, or surrendered in lieu of possible discipline, unless such license has been reinstated.
2. Prior to placing an assignment for an appraisal or valuation service with an appraiser on the appraiser panel of an appraisal management company, the appraisal management company shall verify that the appraiser receiving the assignment is a competent appraiser as defined by the USPAP Competency Rule with regards to geographic area and the type of property being appraised. An appraiser is deemed part of an appraisal management company panel as of the earliest date on which: (a) the appraisal management company accepts the appraiser for consideration for future appraisal assignments in covered transactions or for secondary mortgage market participants in connection with covered transactions; or (b) engages the appraiser to perform one or more appraisals on behalf of a creditor for a covered transaction or secondary mortgage market participant in connection with covered transactions.
3. An appraisal management company may not hire, employ or engage, or in any way contract with or pay a person who is not licensed or certified as a real estate appraiser by the department pursuant to article six-E of this chapter for the purposes of performing an appraisal as defined in this article. Nothing in this section shall prohibit an appraisal management company from hiring, employing, engaging or contracting with or paying a person to perform a property inspection, or property evaluation if they are licensed as an appraiser, a real estate broker including associate real estate brokers and real estate salespersons pursuant to article twelve-A of the real property law or a home inspector pursuant to article twelve-B of the real property law, or a person to perform a broker price opinion if they are licensed as a real estate broker including associate real estate brokers and real estate salespersons pursuant to article twelve-A of the real property law.
4. An appraiser shall be considered part of an appraisal management company's appraiser panel until: (a) the appraisal management company sends a written notice to such appraiser removing such appraiser with an explanation; or (b) receives a written notice from such appraiser asking to be removed or of the death or incapacity of such appraiser.
§ 160-kkkk. Restrictions. An appraisal management company that applies for a certificate of registration shall not knowingly:
1. Employ any person in a position in which the person has the responsibility to order appraisals or valuation services or to review completed appraisals who has had a license, registration or certificate to act as an appraiser in this state or in any other state, denied, revoked, or surrendered in lieu of a pending revocation, unless such license has been reinstated;
2. Enter into any independent contractor arrangement, whether in verbal, written, or by other form, with any person who has had a license, registration or certificate to act as an appraiser in this state or in any other state, denied, revoked, or surrendered in lieu of a pending revocation, unless such license has been reinstated; and
3. Enter into any contract, agreement, or other business relationship, whether in verbal, written, or other form, with any entity that employs, has entered into an independent contract arrangement, or has entered into any contract, agreement, or other business relationship, whether in verbal, written, or any other form, with any person who has ever had a license, registration or certificate to act as an appraiser in this state or in any other state, denied, revoked, or surrendered in lieu of a pending revocation, unless such license has been reinstated.
§ 160-llll. Recordkeeping. Each appraisal management company shall maintain a detailed record of each service request that it receives and the real estate appraiser that performs such appraisal for the appraisal management company. Records shall be maintained for a period of at least five years after such appraisal is completed or two years after final disposition of a judicial proceeding related to such assignment, whichever period expires later. Appraisal management companies shall make records available to the department upon request. Appraisal management companies shall also allow the department to examine the books and records of the appraisal management company and require it to submit reports, information and documents upon request. Appraisal management companies shall also allow the department to verify that the appraisers on such panel hold a valid license or certification.
§ 160-mmmm. Appraiser independence; unlawful acts. Each appraisal management company shall ensure that real estate appraisals are conducted independently and free from inappropriate influence and coercion. Notwithstanding any other provision of this article, it shall be unlawful for any employee, director, officer, or agent of an appraisal management company registered in this state pursuant to this article to:
1. Compensate, coerce, extort, collude, instruct, induce, bribe, or intimidate, or attempt to compensate, coerce, extort, collude, instruct, induce, bribe, or intimidate a person, firm or other entity conducting or involved in an appraisal for the purpose of causing the appraised value assigned under the appraisal or other valuation services to the property to be based on any factor other than the independent judgment of the appraiser;
2. Mischaracterize the appraised value of a property in conjunction with a consumer credit transaction;
3. Seek to influence an appraiser or otherwise to encourage a targeted value in order to facilitate the making or pricing of a consumer credit transaction;
4. Act without just cause to withhold or threaten to withhold timely payment for an appraisal report or for other valuation services rendered with such appraisal report or services provided in accordance with the contract between parties;
5. Act without just cause to withhold or threaten to withhold future business, or to demote or terminate an appraiser without just cause;
6. Expressly or implicitly promise future business, promotions, or increased compensation for an appraiser in exchange for the real estate appraiser inflating or deflating his or her appraised value of real property;
7. Require a real estate appraiser to indemnify an appraisal management company or hold an appraisal management company harmless for any liability, damage, losses, or claims arising out of the services performed by such appraisal management company, and not the services performed by the appraiser;
8. Condition the request for an appraisal or the payment of an earned fee, salary or bonus, on the opinion, conclusion, or valuation to be reached, or on a preliminary estimate or opinion requested from an appraiser;
9. Request that an appraiser provide an estimated, predetermined, or desired valuation in an appraisal report, or provide estimated values or comparable sales at any time prior to the appraiser's completion of an appraisal;
10. Provide to an appraiser an anticipated, estimated, encouraged, or desired value for a subject property or a proposed or target amount to be loaned to the borrower, except that a copy of the sales contract for purchase transactions may be provided; or
11. Provide to an appraiser, or any entity or person related to the appraiser, stock or any other financial or non-financial benefits in exchange for appraising property in a manner other than that which is within the independent opinion of the appraiser.
Nothing in this section shall be construed as prohibiting the appraisal management company from asking an appraiser to consider additional, appropriate property information, including: additional comparable properties to make or support an appraisal; provide further detail, substantiation, or explanation for the appraiser's value conclusion; or correct errors in the appraisal report.
§ 160-nnnn. Mandatory reporting. An appraisal management company that has a reasonable basis to believe an appraiser within the appraisal management company's appraisal panel is failing to comply with the uniform standards of professional appraisal practice, is violating applicable laws, or is otherwise engaging in unethical or unprofessional conduct shall immediately refer such matter to the department.
§ 160-oooo. Unprofessional conduct. 1. Appraisal management companies shall not engage in unprofessional conduct including, but not limited to the following:
(a) Requiring an appraiser to modify any aspect of an appraisal report or valuation service report, unless such modifications are appropriate according to USPAP;
(b) Requiring an appraiser to prepare an appraisal report or valuation service report if such appraiser, in their professional judgment, believes they don't have the necessary expertise for the specific geographic and or specific area type;
(c) Requiring an appraiser to prepare an appraisal report or valuation service under a time frame that such appraiser believes, in their professional judgment, does not afford such appraiser the ability to meet all the relevant legal and professional obligations including USPAP requirements. Notwithstanding the foregoing provisions of this paragraph, all appraisal reports should be completed within a reasonable timeframe and appraisers may not unnecessarily delay completing appraisal assignments;
(d) Prohibiting or inhibiting communication between the appraiser and the lender, a real estate licensee, or any other person from whom such appraiser, in their professional judgment is relevant;
(e) Requiring the appraiser to do anything that does not comply with USPAP, or any assignment conditions and certifications required by the client;
(f) Making any portion of the appraiser's fee or the appraisal management company's fee contingent upon a favorable outcome, including, but not limited to, the closing of a loan, requiring a specific dollar amount be achieved by such appraiser in the appraisal report, making requests for the purpose of facilitating a mortgage loan transaction, setting a broker price opinion, or setting any other real property price or value estimation that does not qualify as an appraisal; or
(g) Each appraisal management company operating in this state shall make payment to an appraiser for the completion of an appraisal or valuation assignment within thirty days of the date on which such appraiser transmits or otherwise provides the completed appraisal or valuation services to the appraisal management company or its assignee;
2. It shall be unlawful for an appraisal management company to:
(a) Knowingly fail to compensate an appraiser at a rate that is reasonable and customary for appraisal or other valuation services being performed in the market area of the property being appraised without the services of an appraisal management company in a manner that is either inconsistent with, or would violate section 1639(e) of the federal Truth in Lending Act (15 USC §1639(e));
(b) Knowingly include any fees for appraisal management services that are performed by the appraisal management company for a lender, client, or other person in the amount that it charges the lender, client, or other person for the actual completion of an appraisal or valuation service by an appraiser that is part of the appraiser panel of the appraisal management company;
(c) Knowingly fail to separate any and all fees charged to a client by the appraisal management company for the actual completion of an appraisal by an appraiser from the fees charged to a lender, client, or any other person by an appraisal management company for appraisal management services;
(d) Knowingly prohibit an appraiser from recording the fee that such appraiser was paid by the appraisal management company for the performance of the appraisal within the appraisal report that is submitted by such appraiser to the appraisal management company;
(e) Knowingly fail to separately state the fees paid to an appraiser for appraisal services and the fees charged by the appraisal management company for services associated with the management of the appraisal process to the client, borrower and any other payer. Appraisal management companies shall provide a copy of the appraiser's invoice with a copy of any appraisal report submitted to a client or a client's representative;
(f) Knowingly allow the removal from rotation of an appraiser from an appraiser panel, without prior written notice to such appraiser with just cause; or
(g) Knowingly obtain, use, or pay for a second or subsequent appraisal or the ordering of an automated valuation model or any other valuation service in connection with a mortgage financing transaction unless there is a reasonable basis to believe that the initial appraisal was flawed or tainted and such basis is clearly and appropriately noted in the loan file, or unless such appraisal or automated valuation model is done pursuant to a bona fide pre- or post-funding appraisal review or quality control process. Nothing in this paragraph shall prohibit an AMC from obtaining additional appraisals if required by a lending program, or if such additional appraisals are required by applicable local, state, or federal law.
§ 160-pppp. Alteration of appraisal reports. An appraisal management company shall not alter, modify, or otherwise change a completed appraisal or valuation service report submitted by an appraiser by removing such appraiser's signature or seal or by adding information to, or removing information from such report with intent to change the valuation conclusion. An appraisal management company shall not require an appraiser to provide such appraisal management company with such appraiser's digital signature or seal.
§ 160-qqqq. Enforcement. The department may revoke or suspend the license of an appraisal management company, or in lieu thereof may impose a fine, per violation, not to exceed twenty-five thousand dollars if the department finds that the licensee has made a material misstatement in the application for such license, or if such licensee has been found guilty of fraud or fraudulent practices, or for dishonest or misleading advertising, or has demonstrated untrustworthiness or incompetency to act as an appraisal management company, or has violated any provision of this article or a regulation promulgated thereunder. The department shall report any such violations by appraisal management companies to the appraisal subcommittee.
§ 160-rrrr. Disciplinary hearings. The department shall, before revoking or suspending any license or imposing any fine or reprimand on the holder thereof, and at least twenty days prior to the date set for the hearing, notify, in writing, the holder of such license of any charges made and shall afford such licensee an opportunity to be heard in person or by counsel in reference thereto. Such written notice may be served by personal delivery to the licensee, or by certified mail to the last known business address of such licensee or unlicensed person, or by any method authorized by the civil practice law and rules. The hearing on such charges shall be at such time and place as the department shall prescribe.
§ 160-ssss. Power to suspend a license. In cases where the health, safety, or welfare of the public is endangered, the department shall have the authority to immediately suspend a license pending a hearing before an administrative law judge.
§ 160-tttt. Investigation. The department shall have the power to enforce the provisions of this article and upon complaint of any person, or on its own initiative, to investigate any violation thereof or to investigate the business, business practices and business methods of an appraisal management company, if in the opinion of the department such investigation is warranted. Each such applicant or licensee shall be obliged, on request of the department, to supply such information as may be required concerning his or its business, business practices or business methods, or proposed business practices or methods.
For the purpose of enforcing the provisions of this article, and in making investigations relating to any violation thereof, and for the purpose of investigating the character, competency and integrity of the applicants or licensees hereunder, and for the purpose of investigating the business, business practices and business methods of any applicant or licensee, or of the officers or agents thereof, the department, acting by such officer or person in the department as the secretary of state may designate, shall have the power to subpoena and bring before the officer or person so designated any person in this state and require the production of any books, records or papers which he deems relevant to the inquiry and administer an oath to and take testimony of any person or cause his or her deposition to be taken, except that any applicant or licensee or officer or agent thereof shall not be entitled to fees and/or mileage. A subpoena issued under this section shall be regulated by the civil practice law and rules.
§ 160-uuuu. Rule-making authority. The department may adopt rules not inconsistent with the provisions of this chapter which may be reasonably necessary to implement, administer, and enforce the provisions of this chapter.
§ 160-vvvv. Violations. 1. Any person or company who fails to obtain a certificate of registration required pursuant to this article shall be guilty of a misdemeanor.
2. Criminal actions for failure to obtain a certificate of registration may also be prosecuted by the attorney general, or his or her deputy, in the name of the people of the state, and in any such prosecution the attorney general, or his or her deputy, may exercise all the powers and perform all the duties the district attorney is otherwise authorized to exercise or to perform therein.
§ 160-wwww. Severability. Should the courts of this state declare any provision of this article unconstitutional, or unauthorized, or in conflict with any other section or provision of this article, such decision shall affect only such section or provision so declared to be unconstitutional or unauthorized and shall not affect any other section or part of this article.
§ 160-xxxx. Judicial review. The actions of the department in granting or refusing to grant or to renew a license under this article or in revoking or suspending such a license or imposing any fine or reprimand on the holder thereof or refusing to revoke or suspend such a license or impose any fine or reprimand shall be subject to review by a proceeding brought under and pursuant to article seventy-eight of the civil practice law and rules at the instance of the applicant for such license, the holder of a license so revoked, suspended, fined, or reprimanded or the person aggrieved.
ARTICLE 7 MISCELLANEOUS PROVISIONS
Section 161. Certain searches, the filing of papers, and certified copies, ordered by state officers to be gratuitous.
162. Contracts for professional services of state and municipal employees.
163. Contracts for services of state agencies.
163-a. Contracts with Green Thumb Environmental Beautification, Incorporated.
164. Reports by and to the department.
164-a. Report and publication economy regulations.
164-b. State aid to rural areas; agency reports.
164-c. Printing cost reduction notices.
164-d. Availability of application forms.
165. Commission on uniform state laws; object; membership; term of office; expenses.
166. Record of appearances.
167. Advertising and publicizing summer camps cited as subversive.
168. Notices to attorneys at law by state bodies or officers.
168-a. Designation of days of commemoration.
169. Salaries of certain state officers.
170. Audit of agencies by the state comptroller; reports of corrective action.
170-a. Celebration of Rosa Parks; bus companies.
170-b. Employee loans.
170-b*2. Racial references contained in state and municipal forms.
170-c. Regulatory penalties for small businesses.
170-d. Disclosure of disabled tenants' rights.
170-e. Disclosure of lawful source of income rights to prospective tenants.
170-e*2. Collection of demographic information.
170-f. Website accessibility; contractors and vendors.
171. Discovery and disposition of human remains and funerary objects.
§ 161. Certain searches, the filing of papers, and certified copies, ordered by state officers to be gratuitous. 1. Each of the following officers, to wit: the secretary of state, the comptroller, the commissioner of taxation and finance, the attorney general, the public service commission, the commissioner of agriculture and markets, the commissioner of transportation, the industrial commissioner, the chairman of the state labor relations board, the chairman of the state liquor authority, the superintendent of financial services, the state commissioner of human rights, the commissioner of general services and the commissioner of housing and community renewal may require search to be made, in the office of any of the others, or of a county clerk or of the clerk of a court of record, for any record, document, or paper, where he or she deems it necessary for the discharge of his or her official duties, and a copy thereof, or extracts therefrom, to be made and officially certified or exemplified, without the payment of any fee or charge.
2. No salaried officer of any city, county, or court, of this state, or any public officer who is required by law to deposit the fees collected in his office into any city or county treasury, shall be entitled to receive from said state officers, or from a division or bureau of said state officers, any fee for entering, filing, docketing, registering or recording any paper, record or document required by law to be filed in the office of any such city, county, court, or public officer, or for a certified copy, transcript or extract of any paper, document or record on file in such office which he deems necessary for the discharge of his official duties, and every such officer must, upon application therefor, furnish to said state officers, or a division or bureau of said state officers, for such official use, a certified copy, extract or transcript of any paper, record or document on file in such office without the payment of the fee prescribed by law therefor; nor shall any court clerk demand or receive from any of said state officers, or from a division or bureau of said state officers, any trial or jury fee upon filing in any court in this state a note of issue or demand for a jury trial.
3. Such salaried officer shall also furnish the services herein specified to any state department or a bureau or agency thereof acting as an agent of the state in the acquisition of real property, without the payment of any fee or charge.
§ 162. Contracts for professional services of state and municipal employees. Notwithstanding any inconsistent provision of law, general, special or local, the state and any municipal subdivision thereof and any department, bureau, board, commission, authority or any other agency or instrumentality of the state or any municipal subdivision thereof, are hereby severally authorized and empowered to enter into any contract or arrangement with the United States of America or any office, department, agency or instrumentality thereof for the performance at cost by engineers, architects, draftsmen and chemists employed by the state or such municipal subdivision, upon such terms and conditions as may be mutually agreed upon, of any project or work authorized by or pursuant to any act of congress or the cost of which has been provided for by an appropriation or contract authorization made by any act of congress which involves or requires the professional services of such employees. The making or performance of any such contract or arrangement shall in no wise be deemed to affect or result in the impairment, diminution or abridgment of the compensation, or any of the civil service, retirement and other rights, privileges and immunities of any employee engaged in the performance of any service thereunder.
§ 163. Contracts for services of state agencies. 1. Notwithstanding any inconsistent provision of law, general, special or local, the state and any department, bureau, board, commission, authority, or any other agency or instrumentality of the state, are hereby severally authorized and empowered, subject to the approval of the governor, to enter into any contract or agreement for the production of any goods, materials, or equipment or the processing, reprocessing, altering or repair thereof, deemed by the governor necessary or desirable to effectuate postwar adjustments or defense effort, upon such terms and conditions as he may approve.
2. Such contract or agreement may be made only with the United States of America, or any office, department, agency or instrumentality thereof, or with any person, firm or corporation engaged in the production or supply of any goods, materials or equipment or the processing, reprocessing, altering or repair thereof, for or for use, directly or indirectly, by the United States of America, or any of its agencies.
3. In the performance of any such contract or agreement any such department, bureau, board, commission, authority, or any other such agency or instrumentality of the state, is hereby authorized and empowered to use any of the real or personal property of the state, under its control and supervision and temporarily to employ or transfer any of its personnel.
4. The making or performance of any such contract or agreement shall in no wise be deemed to affect or result in the impairment, diminution or abridgment of the compensation, or any of the civil service, retirement and other rights, privileges and immunities of any employee engaged in the performance of any service thereunder.
5. Any such contract or agreement shall provide for payment to the state of compensation, price or other consideration which in no wise shall be less than the compensation, price or other consideration generally obtainable by private persons, firms or corporations for the performance of similar contracts or agreements, provided the same is reasonably ascertainable.
6. All moneys received on account of any contracts or agreements made pursuant to this section or pursuant to the provisions of section fifty-two-a of the New York state war emergency act prior to the repeal thereof shall be received by the state and deposited in the special fund provided for in section ninety-seven-a of the state finance law. The moneys in such fund may be expended and used to defray the expenses incidental to such contract or agreement in accordance with the terms and conditions of such contract or agreement and to reimburse the general fund of the state for any expenditures made in the first instance for such purposes. Such moneys shall be paid out of such fund on vouchers approved by the head of the department or agency, to which any moneys may be allocated by the director of the budget, after audit by and upon warrant of the comptroller.
§ 163-a. Contracts with Green Thumb Environmental Beautification, Incorporated. Each state department, agency, board, bureau, commission or other unit performing governmental functions for the state, within amounts appropriated therefor, may contract with Green Thumb Environmental Beautification, Incorporated, a nonprofit organization that is organized for the purpose of environmental beautification and employs persons fifty-five years of age or older whose annual income does not exceed: (1) two hundred fifty percent of the non-farm federal poverty level applicable to a family of one (as defined and updated by the federal department of health and human services) for an individual living alone or in another person's home; or (2) four hundred percent of the non-farm federal poverty level applicable to a family of one (as defined and updated by the federal department of health and human services) for a couple living alone or in another person's home. The contract shall name the organization, the amount and manner of payments for the service to be rendered, nature of such service, the rendering of a verified account of the disbursements with verified or certified vouchers therefor attached, a refund of any unused amount, and such other conditions upon the use thereof as may be deemed proper.
§ 164. Reports by and to the department. Each department, other than the executive department, shall make an annual report to the governor and legislature on or before the fifteenth day of May, for the preceding calendar year. It shall contain such information concerning the department and its several divisions, bureaus, offices, agencies and institutions, and their activities and affairs, and such recommendations, as the head of the department shall deem necessary or proper, and any matters required by express provision of law to be included in such report. A department also shall make such other and special reports as the governor or either house of the legislature may require. From time to time, the head of a department may require from any board, commission or other body in the department or from any subordinate officer or employee, division or bureau of the department, or from any institution subject to the supervision of the department, or from any agency of the department, such reports or information as such head may deem necessary. Unless expressly authorized by the head of the department, there shall be hereafter no separate report, annual or otherwise, directly to the legislature or governor by any such board, commission, body, officer, division, bureau, institution or agency notwithstanding any existing provision of law authorizing or requiring such report.
§ 164-a. Report and publication economy regulations. 1. The commissioner of the office of general services, in consultation with the state comptroller, shall establish regulations providing for cost savings in the printing and distribution of reports and other publications by agencies, departments and authorities of the state. To the extent that such reports and publications do not relate to the marketing or advertising of a service or product of the agency, department or authority, such regulations shall at a minimum provide that such reports and other publications:
(a) be as brief as may be practicable;
(b) utilize uncoated recyclable paper, of a size that will minimize paper use and waste, for printing of text and cover;
(c) make limited use of photographs;
(d) be printed in no more than two colors, unless otherwise specifically permitted by law, rule or regulation of the commissioner;
(e) not use covers unless such covers are necessary and appropriate for the protection of the document;
(f) be distributed pursuant to a distribution list which is reviewed at least annually to eliminate duplicate, excessive, unwanted and obsolete mailings;
(g) be mailed in combination, to the extent practicable and when possible, with mailing of other reports and publications;
(h) be eliminated or combined, to the extent practicable and when possible, with other reports and publications.
2. Each agency or department shall, with its annual report, provide the state comptroller with a list of printing cost estimates from all sources, including in-house facilities, the office of general services central reproduction unit, private printers and such other printing cost information as may be required by the state comptroller.
3. Subdivision one of this section shall be implemented in a manner that is consistent with the provisions of subdivisions five and six of section three hundred fifty-five of the education law.
§ 164-b. State aid to rural areas: agency reports. 1. Legislative intent. The legislature hereby finds, declares and determines that:
(a) enhanced access to financial and technical assistance available from state agencies is of great significance to rural communities;
(b) grants and other forms of state assistance are not always easily attainable by rural areas with the greatest need;
(c) rural areas across the state continue to suffer from high levels of unemployment and poverty, limited access to health care and other human services, individual isolation, shortfalls in family income and educational attainment, as well as the inability to undertake infrastructure investment and business development;
(d) rural communities often lack sufficient expertise and staff to prepare and process applications for aid, as well as address the requirements associated with administration of any proceeds. This, coupled with disproportionate competition with large metropolitan and suburban communities for a diminishing number of grants often places a rural community at a disadvantage when attempting to advance the betterment of its citizens;
(e) improved awareness of the ways state agencies provide financial and technical assistance would enhance opportunities for rural areas to make use of such resources, strengthening their ability to respond to modern challenges.
2. Definitions. For the purposes of this section, the following terms shall have the following meanings:
(a) "Rural area" shall mean those portions of the state so defined by subdivision seven of section four hundred eighty-one of this chapter;
(b) "State agency" shall mean the following: office for the aging, department of agriculture and markets, office of alcoholism and substance abuse services, department of economic development, department of education, department of environmental conservation, environmental facilities corporation, department of health, division of housing and community renewal, job development authority, office of mental health, office of parks, recreation and historic preservation, department of social services, department of state, department of transportation, urban development corporation, and the division for youth;
(c) "Set-aside" shall mean a direct commitment of financial and/or technical assistance by state agencies specifically for rural areas as herein defined;
(d) "Rural program development" means the systematic identification of special service needs of rural areas by a state agency and the utilization of said agency's financial, technical and other available resources to help meet such need;
(e) "Rural advisory committee" means a committee created pursuant to statute or through administrative action by a state agency for the purposes of assisting such agency to develop and implement programs for rural areas;
(f) "Regulatory flexibility" means the conscious consideration of the ability of affected individuals and/or groups in rural areas to respond to state agency rules and regulations and the state agency's attempt to mitigate any negative impacts which may result from such requirements on said individuals and/or groups.
3. Annual reports of state agencies.
(a) In addition to any existing requirements of state agencies for the submission of annual reports, such agencies shall also annually provide:
(i) a listing and description of any set-asides for rural areas in New York state. Such reports shall include the number of applications submitted, the number of applications approved, and the proportionate share of dollars and/or technical assistance rendered to public and/or private sector interests within rural areas of the state;
(ii) a listing and description of the activities and participation of any rural advisory committees which directly serve such agency, or of which the agency is a member;
(iii) a listing and description of existing and/or new rural program development efforts within the agency, or of which the agency is a part;
(iv) a description of existing and/or new rule-making or regulatory flexibility afforded to rural areas of the state; and
(v) recommendations for any statutory change, as well as financial and other resources to improve state agency assistance and responsiveness to rural areas of the state.
(b) In a form prescribed by the governor, all state agencies, as defined in this section, shall report the annual information required in paragraph (a) of this subdivision to the governor, with a copy also submitted to the speaker of the assembly, the temporary president of the senate, the minority leader of the assembly, the minority leader of the senate, and the chairman and vice-chairman of the New York state legislative commission on the development of rural resources established pursuant to chapter four hundred twenty-eight of the laws of nineteen hundred eighty-two. The first such report shall be submitted on or before January first, nineteen hundred ninety-six.
§ 164-c. Printing cost reduction notices. There shall be printed on the cover or cover page of every annual report, report or similar publication issued by any department, division, commission, agency or any other entity of the state, a notice which states the following words or words to the effect of the following: "In an effort to reduce the costs of printing, please notify the producer of this document if you wish your name to be deleted from our mailing list or if your address has changed."
§ 164-d. Availability of application forms. 1. The state and every state agency, department, bureau, board, authority, office, commission, or any other instrumentality of the state shall make the various application forms developed and distributed by such agency or instrumentality for public use that are readily convertible to internet form and are intended to be commonly used by the general public available on the internet.
2. Nothing in this section shall require that an agency or other state entity or instrumentality accept or process application forms submitted through the internet, or post application forms including user-specific data on the internet.
3. The office of information technology services shall promulgate rules and regulations to implement the provisions of this section. Such rules shall at least provide for the prioritization and timing for making application forms available on the internet.
§ 165. Commission on uniform state laws; object; membership; term of office; expenses. The commission on uniform state laws is continued. It shall be the object of the commission to examine various statutes and fields of law and to consult and cooperate with similar commissions in other states with a view to promoting uniform legislation throughout the United States whenever practicable. The commission may recommend such legislation as may accomplish its objective. It shall consist of five members appointed by the governor. The members shall hold office and may be removed at the pleasure of the governor. The commission shall serve without compensation, but each commissioner shall be entitled to receive his actual disbursements for his expenses in performing the duties of his office. The commission may employ such persons and incur such expenses as may be necessary for the performance of its duties within the amounts appropriated therefor. The commission shall report to the legislature whenever the commission deems it necessary and shall report to the legislature upon its request. Such reports shall consist of an account of the transactions of the commission and its advice and recommendations.
§ 166. Record of appearances. Every regulatory agency of the state shall keep a record of appearances before it or its appropriate divisions or bureaus of attorneys, agents and representatives appearing on behalf of any person, firm, corporation or association subject to its regulatory jurisdiction, for which they receive a fee, which record shall be open to public inspection. Each regulatory agency shall file the record with the New York temporary state commission on lobbying on forms prescribed by the commission. The record shall be filed quarterly on the fifteenth day of the month following the end of the quarter. The term "regulatory agency" as used in this section shall mean the department of financial services, department of financial services, state liquor authority, department of agriculture and markets, department of education, department of environmental conservation, department of health, division of housing and community renewal, department of state, other than the division of corporations and state records, department of public service, the industrial board of appeals in the department of labor and the department of law, other than when the attorney general or his agents or employees are performing duties specified in section sixty-three of this chapter.
§ 167. Advertising and publicizing summer camps cited as subversive. Notwithstanding any inconsistent provision of law, general or special, no department, bureau, board, commission, authority, agency or other instrumentality of the state shall knowingly advertise, publicize, assist, support or advise, or in any manner promote in any publication or otherwise, any summer camp cited by the attorney general of the United States, the attorney general of the state of New York, any duly authorized state agency or any legislative investigating body for teaching, advocating or embracing the doctrine that the government of the United States or of any state or any political subdivision thereof shall be overthrown or overturned by force, violence or any unlawful means, or advocating, advising, teaching or embracing the duty, necessity or propriety of adopting any such doctrine.
§ 168. Notices to attorneys at law by state bodies or officers. 1. Whenever a person is involved as a party in a proceeding before any body or officer exercising quasi-judicial or administrative functions, and an attorney at law has filed a notice of appearance in such proceeding on behalf of such person, a copy of all subsequent written communications or notices to such person in such proceeding (other than subpoenas) shall be sent to such attorney at law, and if any such subsequent written communication or notice is sent to the party in the proceeding, a copy of the same shall be sent to the attorney at law at the same time. Every such body or officer is authorized to provide by rule or regulation for the manner in which compliance with the requirements of this section shall be effected, including, but not limited to, the form and content of notices of appearance, the manner in which an attorney at law shall file his notice of appearance in a proceeding, and the manner in which written communications or notices shall be sent to the attorney at law.
2. For the purpose of this section:
(a) "person" shall mean one or more individuals, partnerships, corporations or associations;
(b) "proceeding" shall mean any quasi-judicial or administrative procedure instituted by a written application by a person to a body or officer, by a notice of assessment given by a body or officer to a person, by a written complaint addressed by a body or officer or transmitted by a body or officer to a person, or by a notice of any hearing before a body or officer whether or not such hearing is prescribed by statute.
3. This section shall not apply to preliminary investigations.
§ 168-a. Designation of days of commemoration. 1. A day of commemoration is a calendar day so designated by this section or a calendar day in any one year so designated by a proclamation of the governor or resolution of the Senate and Assembly jointly adopted.
2. A day of commemoration shall not constitute a holiday or half-holiday but shall be a day set aside in recognition and special honor of a person, persons, group ideal or goal.
3. The following days shall be days of commemoration in each year: January sixth, to be known as "Haym Salomon Day", January twenty-seventh, to be known as "Holocaust Remembrance Day", February fourth, to be known as "Rosa Parks Day", February fifteenth, to be known as "Susan B. Anthony Day", February sixteenth, to be known as "Lithuanian Independence Day", February twenty-eighth, to be known as "Gulf War Veterans' Day", March fourth, to be known as "Pulaski Day", March tenth, to be known as "Harriet Tubman Day", March twenty-ninth, to be known as "Vietnam Veterans' Day", April ninth, to be known as "POW Recognition Day", April twenty-seventh, to be known as "Coretta Scott King Day", April twenty-eighth, to be known as "Workers' Memorial Day", the first Tuesday in May to be known as "New York State Teacher Day", May seventeenth, to be known as "Thurgood Marshall Day", the first Sunday in June, to be known as "Children's Day", June second, to be known as "Italian Independence Day", June twelfth, to be known as "Women Veterans Recognition Day", June nineteenth, to be known as "Juneteenth Freedom Day", June twenty-fifth, to be known as "Korean War Veterans' Day", the second Monday in July, to be known as "Abolition Commemoration Day", August twenty-fourth, to be known as "Ukrainian Independence Day", August twenty-sixth, to be known as "Women's Equality Day", September eleventh, to be known as "Battle of Plattsburgh Day" and also to be known as "September 11th Remembrance Day", September thirteenth, to be known as "John Barry Day" and also to be known as "Uncle Sam Day in the State of New York", September seventeenth, to be known as "Friedrich Wilhelm von Steuben Memorial Day", the third Friday in September to be known as "New York State POW/MIA Recognition Day" except if such date of commemoration cannot be observed due to a religious holiday, such observances shall then be conducted on the second Friday of September, the last Saturday in September, to be known as "War of 1812 Day", the fourth Saturday of September, known as "Native-American Day", the last Sunday in September, to be known as "Gold Star Mothers' Day", October fifth, to be known as "Raoul Wallenberg Day", October eleventh, to be known as "New Netherland Day in the State of New York", October eighteenth, to be known as "Disabilities History Day", October twenty-seventh, to be known as "Theodore Roosevelt Day", November ninth, to be known as "Witness for Tolerance Day", November twelfth, to be known as "Elizabeth Cady Stanton Day", the third Tuesday in November to be known as "New York State School-Related Professionals Recognition Day", November thirtieth, to be known as "Shirley Chisholm Day", December third, to be known as "International Day of Persons with Disabilities", December seventh, to be known as "Pearl Harbor Day", December sixteenth, to be known as "Bastogne Day" and that day of the Asian lunar calendar designated as new year to be known as "Asian New Year".
§ 169. Salaries of certain state officers. 1. Salaries of certain state officers holding the positions indicated hereinbelow shall be as set forth in subdivision two of this section:
(a) commissioner of corrections and community supervision, commissioner of education, commissioner of health, commissioner of mental health, commissioner of developmental disabilities, commissioner of children and family services, commissioner of temporary and disability assistance, chancellor of the state university of New York, commissioner of transportation, commissioner of environmental conservation, superintendent of state police, commissioner of general services, commissioner of the division of homeland security and emergency services and the executive director of the state gaming commission;
(b) commissioner of labor, chairman of public service commission, commissioner of taxation and finance, superintendent of financial services, commissioner of criminal justice services, and commissioner of parks, recreation and historic preservation;
(c) commissioner of agriculture and markets, commissioner of alcoholism and substance abuse services, adjutant general, commissioner and president of state civil service commission, commissioner of economic development, chair of the energy research and development authority, president of higher education services corporation, commissioner of motor vehicles, member-chair of board of parole, chair of public employment relations board, secretary of state, commissioner of alcoholism and substance abuse services, executive director of the housing finance agency, commissioner of housing and community renewal, executive director of state insurance fund, commissioner-chair of state liquor authority, chair of the workers' compensation board;
(d) director of office for the aging, commissioner of human rights, commissioners of the department of public service, chairman of state commission on quality of care for the mentally disabled, chairman of commission on alcoholism and substance abuse prevention and education, executive director of the council on the arts and executive director of the board of social welfare;
(e) chairperson of state athletic commission, director of the office of victim services, chairperson of human rights appeal board, chairperson of the industrial board of appeals, chairperson of the state commission of correction, members of the board of parole, member-chairperson of unemployment insurance appeal board, director of veterans' services, and vice-chairperson of the workers' compensation board;
(f) executive director of adirondack park agency, members of state commission of correction, members of unemployment insurance appeal board, and members of the workers' compensation board.
2. (a) Effective January first, nineteen hundred ninety-nine, the annual salaries of the officers holding the positions indicated in subdivision one of this section shall be as follows: for the positions listed in paragraph (a), $136,000; in paragraph (b), $127,000; in paragraph (c), $120,800; in paragraph (d), $109,800; in paragraph (e), $101,600; and in paragraph (f), $90,800.
(b) Notwithstanding any of the foregoing provisions of this section to the contrary, an incumbent in a position (i) listed in former section one hundred sixty-nine of the executive law in effect on the day prior to the effective date of this subdivision, or (ii) listed in this section, or (iii) covered by a provision of law other than such section, shall not receive compensation in an amount less than such person received on the effective date of this section.
3. Notwithstanding any other provision of this section or any other provision of law, the boards of trustees of the state university of New York and the city university of New York shall each establish and implement salary plans for the chancellors, presidents and senior staffs of such state and city universities, respectively. The board of regents shall establish and implement a separate salary plan for the president of the university of the state of New York, setting forth the compensation to be received by the president for performing the duties of that office assigned by the rules of the regents or statute, which shall be in addition to the compensation received by such person pursuant to the provisions of subdivisions one and two of this section. Such salary plans shall be developed after consultation with the governor's office of employee relations and the division of the budget. Any increase in compensation for the positions set forth in this subdivision, not otherwise funded from any appropriation, shall be funded from reallocations of funds within the appropriations specifically identified by the aforementioned boards. Each board of trustees and the board of regents shall file a proposed salary plan report with the chairs of the senate finance committee and the assembly ways and means committee and the director of the budget at least sixty days prior to the effective date of such salary plan. Each salary plan report shall set forth the salary schedule, the dollar value of additional public compensation and other employment benefits that such positions would receive, the specific sources of funding to be reallocated for salary increases, the amount of increase to be provided to each position, the comparison salary data on which the plan is based, and such other information as the boards of trustees and the board of regents deem appropriate.
§ 170. Audit of agencies by the state comptroller; reports of corrective action. Whenever the state comptroller shall conduct an audit of the activities and operations of any department, bureau, board, commission, authority or any other agency or instrumentality, he or she shall submit a tentative copy of a report of such audit to the head of the entity audited. The head of such entity may submit a written response to such tentative report within thirty days of the receipt thereof. The state comptroller shall thereafter submit a final report of such audit which shall contain a complete copy of the response, if any, submitted to the tentative report. If the final report makes recommendations for corrective action, the head of the entity audited shall report within one hundred eighty days after receipt thereof to the governor, the state comptroller, the president, president pro tem and minority leader of the senate, the speaker, majority and minority leaders of the assembly, and the chairman and ranking minority members of the senate finance committee and the assembly ways and means committees of the state legislature what steps were taken to implement such recommendations, and, where recommendations were not implemented, the reasons therefor.
§ 170-a. Celebration of Rosa Parks; bus companies. 1. For purposes of this section, the terms "bus company" and "bus line" shall have the same meanings as set forth in subdivisions two and three of section two of the transportation law.
2. On February fourth, two thousand eight and every February fourth thereafter, a day of commemoration designated as "Rosa Parks Day" pursuant to section one hundred sixty-eight-a of this article, every bus company operating a bus line in this state may reserve and keep empty one seat on each bus placed in service by such bus company in honor of civil rights activist Rosa Parks.
3. Compliance with the provisions of this section shall be voluntary, and no bus company operating a bus line in this state shall be subject to any liability, either civil or criminal, solely for the failure to comply with the provisions of this section.
* § 170-b. Employee loans. 1. No state agency shall make available to employees a loan of any amount of money. Provided, however, that nothing in this section shall be construed to impede any person from receiving any aid for which he or she is eligible pursuant to any state or federal statute or regulation.
2. For purposes of this section, the term "state agency" shall mean any state department, state university of New York, city university of New York, authority, board, bureau, division, commission, committee, council, office or other governmental entity performing a governmental or proprietary function for the state.
* NB There are 2 § 170-b's
* § 170-b. Racial references contained in state and municipal forms. No form or preprinted document utilized by a state agency or public authority or by a municipality shall use the term "oriental" to identify or denote persons of Asian or Pacific Islander heritage. Any form