ARTICLE 1 Short Title
Short title. This chapter shall be known as the "State Finance
Law."
ARTICLE 2 General Fiscal Provisions
Definitions. As used in this chapter, such terms shall have the
following meanings:
1. "Account". A classification by which information on particular
financial transactions and financial resources is recorded and arranged.
1-a. "Business day". Any day of the year which is not a Saturday,
Sunday or legal holiday in the state of New York and not a day on which
banks are authorized or obligated to be closed in the city of New York.
2. "Capital projects funds". Funds used to account for financial
resources to be used for the construction of capital facilities or
acquisition of major capital facilities other than those financed by
proprietary funds, special revenue funds, and fiduciary funds.
2-a. "Capital project". Any project involving:
(i) the acquisition, construction, demolition or replacement of a
fixed asset or assets;
(ii) the major repair or renovation of a fixed asset, or assets which
materially extends its useful life or materially improves or increases
its capacity; or
(iii) the planning or design of the acquisition, construction,
demolition, replacement, major repair or renovation of a fixed asset or
assets.
3. "Debt service funds". Funds which are used to account for the
accumulation of resources for, and the payment of, general long-term
debt principal and interest.
4. "Disbursement". The payment or transfer of money from a fund other
than for investment purposes.
5. "Enterprise funds". Funds used to account for activities of state
government which are intended by law to be self-supporting or to be
financed in whole or in part by user charges. "Enterprise funds" shall
also include funds used to account for activities of state government
for which the law requires that there be a periodic determination of
revenues earned and expenses incurred.
6. "Expenditure". A decrease in net financial resources as further
defined by generally accepted accounting principles.
6-a. "Fixed assets". (i) Assets of a long-term, tangible character
which are intended to continue to be held or used, such as land,
buildings, improvements, machinery, and equipment, and (ii) assets that
provide a long-term interest in land, including conservation easements.
6-b. "Capital assets". Fixed assets and infrastructure assets,
including but not limited to roads, bridges, facilities, mass
transportation facilities, and water, sewer and drainage systems.
Capital assets shall also include capital asset groups, which are of a
similar nature or perform a similar function and cannot be readily
identified as individual capital assets, such as roads or canals.
7. "Fiduciary funds". Funds used to account for assets held by the
state in a trustee capacity or as an agent for individuals, private
organizations, and other governmental units. Fiduciary funds include
pension trust funds, private-purpose trust funds and agency funds.
7-a. Financial plan. A complete plan of receipts and disbursements or
of revenues and expenditures for all governmental funds as defined in
this chapter.
8. "Fund". A fiscal and accounting entity with a self-balancing set of
accounts recording cash and other financial resources, together with all
related liabilities and residual equities or balances, and changes
therein, which are segregated for the purpose of carrying on specific
activities or attaining certain objectives in accordance with special
regulations, restrictions, or limitations.
9. "Fund type". A classification by which funds are grouped and
reported on in accordance with generally accepted accounting principles.
10. "Generally accepted accounting principles". The principles of
governmental accounting specified by authoritative national
standard-setting bodies.
11. "Generally accepted auditing standards". The standards of
governmental auditing specified by authoritative national
standard-setting bodies.
11-a. "General fixed assets". All fixed assets used in operations
accounted for in the general fund, special revenue funds, debt service
funds or capital projects funds.
11-b. Governmental funds. A group of fund types that includes those
funds that are classified as the general fund, special revenue funds,
debt service funds, capital project funds and permanent funds as defined
in this chapter.
12. "Internal service funds". Funds used to account for the financing
of goods or services provided on a cost-reimbursement basis by one state
department or agency to another, or to other governmental units.
13. "Local assistance". All payments and contributions by the state to
and in aid of local governmental units or agencies in the manner and to
the extent provided by law.
13-a. "Research institute". Any not-for-profit corporation closely
affiliated with a specific state agency or agencies, excluding state
agencies governed by a board of trustees, and the purpose of which is
essentially to support, supplement or extend the research and other
functions and programs of such state agency or agencies.
13-b. "Permanent funds". Funds that report resources that are legally
restricted in that only earnings, and not principal, may be used to
support the government or its citizens.
14. "Proprietary funds". Enterprise funds and internal service funds
as defined herein.
15. "Receipt". Money paid or transferred into a fund other than moneys
previously transferred from such fund for investment purposes.
16. "Revenue". An increase in net financial resources as further
defined by generally accepted accounting principles.
17. "Special revenue funds". Funds which are used to account for the
proceeds of specific sources that are specifically restricted by law
from being deposited in the general fund of the state other than
proprietary funds, fiduciary funds and capital project funds.
18. "Financed equipment acquisition". Personal property acquired or to
be acquired by any state department and agency or unit of the state
university or city university of New York through (i) lease purchase or
installment purchase agreements financed or to be financed by
certificates of participation sold pursuant to article five-A of this
chapter or (ii) other lease purchase or installment purchase agreements.
19. "Maintenance". Planned activities undertaken to reduce or arrest
the rate of deterioration of capital assets, or to maintain such capital
assets in a state of good repair, including but not limited to
preventive maintenance, normal periodic repairs, the replacement of
parts, and other activities intended to help achieve the optimum useful
life of capital assets. These activities may correct minor defects as a
secondary benefit, but they shall not include alterations that either:
(i) change the use of the asset; or (ii) materially extend the useful
life of the asset.
20. "Journal transfer". Any transfer or other method of movement of
federal or state monies by the comptroller including, but not limited
to, expenditure journal transfers, revenue journal transfers and
statutory transfers, between accounts and/or funds not specifically
authorized by the state legislature.
21. "Lump sum appropriation". An item of appropriation with a single
related object or purpose, the purpose of which is to fund more than one
grantee by a means other than a statutorily prescribed formula, a
competitive process, or an allocation pursuant to subdivision five of
section twenty-four of this chapter.
22. "Grantee". Any group, corporation, municipal or governmental
entity that receives funding from the state.
Additional definitions. As used in subdivisions two-b and two-c
of section eight of this chapter, the following terms shall have the
following meanings:
1. "Internal control". A process that integrates the activities,
plans, attitudes, policies, systems, resources and efforts of the people
of an organization working together, and that is designed to provide
reasonable assurance that the organization will achieve its objectives
and mission. The objectives of an internal control system include, but
are not limited to: the safeguarding of assets; checking the accuracy
and reliability of accounting data and financial reporting; promoting
the effectiveness and efficiency of operations; ensuring compliance with
applicable laws and regulations; and encouraging adherence to prescribed
managerial policies. Internal control review processes are used
periodically to evaluate the ongoing internal control system and to
assess and monitor the implementation of necessary corrective actions.
2. "Internal audit". An appraisal activity established by the
management of an organization for the review of operations as a means of
assuring conformance with management policies and the effectiveness of
internal control, and conducted in conformance with generally accepted
standards for internal auditing.
3. "State agency". Any state department, state university of New York,
city university of New York, board, bureau, division, commission,
committee, council, office or other governmental entity performing a
governmental or proprietary function for the state, or any combination
thereof as provided in subdivision two of section nine hundred fifty-one
of the executive law, except any public authority or public benefit
corporation, the judiciary or the state legislature.
4. "Judiciary". The courts and court-related programs, including the
office of court administration, of the state-funded portion of the
unified court system and all components thereof as provided in
subdivision two of section two hundred forty-nine-a of the judiciary
law.
5. "State legislature". The legislature of the state of New York,
including all components thereof as provided in subdivision two of
section ninety of the legislative law.
6. "Covered authority". Any public authority or public benefit
corporation, other than a bi-state 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.
Fiscal year. 1. The current fiscal year of the state which
commenced with the first day of July, nineteen hundred forty-two, is
hereby abridged and shall end with the thirty-first day of March,
nineteen hundred forty-three. For all purposes of determining annual
increments of state employees pursuant to the education law, the civil
service law or other state law, and for all purposes whenever by law
some act is to be performed or time is to be measured by the fiscal year
of the state, the current fiscal year, as so abridged, shall be deemed
to be a full year unless the context clearly requires a contrary
construction.
On and after the first day of April, nineteen hundred forty-three, the
fiscal year of the state, for the purpose of budget, appropriations,
receipts and disbursements of state moneys and all other state affairs
which are regulated in accordance with or based on fiscal years,
including the fiscal affairs of all state departments, commissions,
boards, agencies, offices and institutions, shall begin with the first
day of April and end with the next following thirty-first day of March.
2. All books and accounts in the offices of the comptroller and the
department of taxation and finance shall be kept by fiscal years. All
annual accounts required to be rendered to the comptroller or to such
department by any person shall be closed on the thirty-first day of
March in each year, and be rendered as soon thereafter as practicable,
if no time is specially prescribed by law.
3. Where any statute provides, in terms or effect, that any inventory
or account, or a report relating in whole or in part to receipts and
disbursements of money, be made to the legislature or any state officer
annually, or for a year, by a department, commission, board, or officer
under the state government, such inventory or account, and such report
so far as it relates to such receipts and disbursements, shall be for
the preceding fiscal year, unless the calendar year be expressly
mentioned.
4. Existing provisions of other laws describing or referring to a
fiscal year of the state as beginning July first and ending June
thirtieth, or making any requirement with respect to such fiscal year,
or referring to any year so beginning and ending which applies to
inventories or accounts in state matters, or to reports relating to
state money or property, shall be deemed modified by and be construed in
connection with this section, and be deemed to refer to a fiscal or to
another year or period beginning and ending as herein prescribed for a
fiscal year.
Payments, transfers and deposits. 1. Notwithstanding the
provisions of any other section of law to the contrary, no money shall
be paid from any fund under the management of the state, or any agency
or officer thereof except in pursuance of an appropriation by law.
2. If, at any time, the legislature shall fail to make an
appropriation for a payment from a fund where the failure to make such
payment would violate a covenant contained in a statute or resolution
which was in force prior to the effective date of this section, between
the state and holders of any obligations, pursuant to which the state
had agreed that it would not limit or alter the rights vested in the
issuers of such obligations to fulfill any and all agreements with such
holders or that it would not in any way impair the rights and remedies
of such holders, such payment shall nevertheless be made from such fund
to the extent necessary to comply with the rights of the issuer of such
obligations and of the holders thereof.
3. If, at any time, the legislature shall fail to make an
appropriation for the payment of the interest upon and installments of
principal of all debts created on behalf of the state as the same shall
fall due, and for the contribution to all of the sinking funds
heretofore created by law, the comptroller shall set apart from the
first revenues thereafter received, applicable to the general fund of
the state, a sum sufficient to pay such interest, installments of
principal, or contributions to such sinking fund, as the case may be,
and shall so apply the moneys thus set apart.
4. Money which has not been given, granted, or bequeathed to the
state, or any agency thereof conditionally or otherwise, and the
ownership and equitable title of which belongs to an individual or
organization other than the state, but which is being held by any agency
or officer of the state pending transfer of such money to such
individual or organization in accordance with the terms and conditions
pursuant to which it was placed in the custody of such agency or
officer, may be transferred to such individual or organization by such
agency or officer without an appropriation by law provided that such
transfers are made in accordance with such terms and conditions.
5. No money or other financial resources shall be transferred or
temporarily loaned from one fund to another without specific statutory
authorization for such transfer or temporary loan, except that money or
other financial resources of a fund may be temporarily loaned to the
general fund during the state fiscal year provided that such loan shall
be repaid in full no later than (a) four months after it was made or (b)
by the end of the same fiscal year in which it was made, whichever
period is shorter, so that an accurate accounting and reporting of the
balance of financial resources in each fund may be made. The comptroller
is hereby authorized to temporarily loan money from the general fund or
any other fund to the fund/accounts that are authorized to receive a
loan. Such loans shall be limited to the amounts immediately required to
meet disbursements, made in pursuance of an appropriation by law and
authorized by a certificate of approval issued by the director of the
budget with copies thereof filed with the comptroller and the chair of
the senate finance committee and the chair of the assembly ways and
means committee. The director of the budget shall not issue such a
certificate unless he or she shall have determined that the amounts to
be so loaned are receivable on account. When making loans, the
comptroller shall establish appropriate accounts and if the loan is not
repaid by the end of the month, provide on or before the fifteenth day
of the following month to the director of the budget, the chair of the
senate finance committee and the chair of the assembly ways and means
committee, an accurate accounting and report of the financial resources
of each such fund at the end of such month. Within ten days of the
receipt of such accounting and reporting, the director of the budget
shall provide the comptroller and the chair of the senate finance
committee and the chair of the assembly ways and means committee an
expected schedule of repayment by fund and by source for each
outstanding loan. Repayment shall be made by the comptroller from the
first cash receipt of this fund.
* 6. Notwithstanding any law to the contrary, at the beginning of the
state fiscal year, the state comptroller is hereby authorized and
directed to receive for deposit to the credit of a fund and/or an
account such monies as are identified by the director of the budget as
having been intended for such deposit to support disbursements from such
fund and/or account made in pursuance of an appropriation by law. As
soon as practicable upon enactment of the budget, the director of the
budget shall, but not less than three days following preliminary
submission to the chairs of the senate finance committee and the
assembly ways and means committee, file with the state comptroller an
identification of specific monies to be so deposited. Any subsequent
change regarding the monies to be so deposited shall be filed by the
director of the budget, as soon as practicable, but not less than three
days following preliminary submission to the chairs of the senate
finance committee and the assembly ways and means committee.
All monies identified by the director of the budget to be deposited to
the credit of a fund and/or account shall be consistent with the intent
of the budget for the then current state fiscal year as enacted by the
legislature.
The provisions of this subdivision shall expire on March thirty-first,
two thousand twenty-seven.
* NB Repealed March 31, 2027
7. Notwithstanding subdivision one of this section, the taxes,
interest and penalties collected or received by the commissioner of
taxation and finance under sections four hundred seventy-one and four
hundred seventy-one-a of the tax law, and the revenue (including taxes,
interest and penalties) from the imposition of cigarette taxes by a
local government paid to the comptroller of the state of New York by
such local government, which are required to be deposited to the credit
of the tobacco control and insurance initiatives pool established by
section twenty-eight hundred seven-v of the public health law and moneys
received in the tobacco settlement fund established by section
ninety-two-x of this chapter shall be made pursuant to statute but
without an appropriation.
8. For the purposes of this section, agency shall mean any department,
agency, board, bureau, commission, division, council or office of the
state except as otherwise provided in section eighty-eight of the
workers' compensation law.
9. Notwithstanding subdivision one of this section, the moneys
transferred to the universal prekindergarten reserve fund pursuant to
paragraph f of subdivision ten of section thirty-six hundred two-e of
the education law shall be paid pursuant to statute but without an
appropriation.
* 10. Notwithstanding subdivision one of this section, the moneys
deposited in the health insurance fund authorized in section one hundred
sixty-seven of the civil service law shall be paid pursuant to statute
but without an appropriation.
* NB Expired March 31, 2006
11. (a) Notwithstanding any other law to the contrary and except as
provided by paragraph (b) of this subdivision, no state agency or a
state official or employee acting in their official capacity, may pay
out or otherwise disburse funds obtained as the result of a judgment,
stipulation, decree, agreement to settle, assurance of discontinuance,
or other legal instrument resolving 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, except pursuant to an
appropriation. Such funds shall not be retained by any state official,
employee, or agency in any fund held in the sole custody of a state
agency for a period of more than thirty days but shall, consistent with
section seven of article seven of the state constitution be deposited in
the state treasury, or fund under its management as may be directed by
statute or as otherwise directed by the comptroller with the concurrence
of the director of the budget.
(b) Paragraph (a) of this subdivision shall not apply to (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, agreement
to settle, assurance of discontinuance, or relevant instrument resolving
the claim or cause of action; (3) moneys recovered or obtained by a
state agency or a state official or employee acting in their official
capacity 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 (7) moneys deposited to the opioid settlement fund
established in section ninety-nine-nn of this chapter.
12. Notwithstanding subdivision one of this section and any other law
to the contrary, the revenue (including taxes, interest and penalties)
from the metropolitan commuter transportation mobility tax imposed
pursuant to article twenty-three of the tax law which are paid in
accordance with subsection (b) of section eight hundred five of the tax
law into the metropolitan transportation authority finance fund
established by section twelve hundred seventy-h of the public
authorities law shall be made pursuant to statute but without an
appropriation.
13. Notwithstanding subdivision one of this section and any other law
to the contrary, the revenue (including fees, taxes, interest and
penalties) from the metropolitan commuter transportation district
supplemental fees and taxes imposed pursuant to paragraph (b-1) of
subdivision two of section five hundred three of the vehicle and traffic
law, paragraph (c-3) of subdivision two of section five hundred three of
the vehicle and traffic law, article seventeen-C of the vehicle and
traffic law, article twenty-nine-A of the tax law and section eleven
hundred sixty-six-a of the tax law which are paid in accordance with
subparagraph (ii) of paragraph (b-1) of subdivision two of section five
hundred three of the vehicle and traffic law, subparagraph (ii) of
paragraph (c-3) of subdivision two of section five hundred three of the
vehicle and traffic law, section twelve hundred eighty-eight of the tax
law and section eleven hundred sixty-seven of the tax law into the
corporate transportation account of the metropolitan transportation
authority special assistance fund established by section twelve hundred
seventy-a of the public authorities law shall be made pursuant to
statute but without an appropriation.
Electronic value transfer program. 1. Definitions. As used in
this section the following terms shall have the following meanings:
a. "Electronic value transfer device" means a credit card, debit card,
charge card, electronic fund transfer or other electronic value transfer
mechanism approved by the electronic value transfer administrator.
b. "Device issuer" means an issuer of an electronic value transfer
device.
c. "Electronic value transfer" means any transfer of funds which is
initiated directly or indirectly by the use of an electronic value
transfer device so as to order, instruct or authorize a financing
agency, device issuer or processor to initiate a transaction in any
manner which results in a payment to a state agency.
d. "Electronic value transfer administrator" means a state agency
designated by the governor to administer electronic value transfer
programs which shall have the authority, duties, and responsibilities
granted pursuant to this section.
e. "Financing agency" means any agency defined as such in subdivision
eighteen of section four hundred one of the personal property law to the
extent not inconsistent with this chapter.
f. "Charge back" means a credit to the device user from an electronic
value transfer transaction of the amount of the transaction in question
including, but not limited to, duplicate or other erroneous payments.
g. "Device user" means a person using an electronic value transfer
device pursuant to this section.
h. "Processor" means an entity which manages the physical system,
authorizes acceptance of electronic value transfer transactions and/or
arranges for fund transfers or customer billings.
i. "State agency" means any department, board, bureau, division,
commission, committee, council, office of the state, or other
governmental entity with statewide jurisdiction.
2. Electronic value transfer administrator. The electronic value
transfer administrator shall have the following authority, duties, and
responsibilities: to establish a statewide policy and direction for
electronic value transfer programs; to facilitate and oversee the
state's electronic value transfer programs with primary responsibility
for their effective and efficient implementation, operation and
administration; to issue guidelines for the development of plans
required to be submitted pursuant to this section, for the collection of
payments by electronic value transfer devices and the associated
agreements with device issuers, processors and financing agencies; to
negotiate directly or in conjunction with other state agencies
agreements with financing agencies, device issuers, or processors; and
to determine in conjunction with state agencies the cost benefit to the
state for utilizing alternative payment mechanisms. The electronic value
transfer administrator may exempt a state agency, where it is in the
best interest of the state, from any policy or guideline issued pursuant
to this section. Authorization for the payment of any amount by means of
an electronic value transfer device pursuant to this section shall be in
addition to any existing authority of state agencies to accept payment
by other means.
3. State agency collection of payments. Each state agency is
authorized, subject to the approval of the electronic value transfer
administrator, and the director of the budget, to collect payments of
fines, fees, rates, charges, taxes, interest penalties, special
assessments, revenue, financial obligations or other amounts by
electronic value transfer devices, consistent with the statewide
policies and guidelines established by the electronic value transfer
administrator. Such approval shall be based upon a plan submitted to the
electronic value administrator and the director of the budget. The plan
shall outline the costs and benefits of establishing an electronic value
transfer program, indicate the type of alternative payment mechanisms
proposed, and notwithstanding any law to the contrary, may include
provisions for surcharges which shall not be state money, to pay for
transaction costs of the financing agency, device issuers, or processor
associated with the electronic value transfer. The state shall notify
the device user of the amount or percentage of the surcharge.
4. Electronic value transfer agreements. Consistent with article
eleven of this chapter, one or more state agencies are authorized to
enter directly or collectively into agreements or to utilize centralized
service contracts with one or more financing agencies, device issuers,
or processors to provide for the acceptance by a state agency of
electronic value transfer as a means of payment for fines, fees, rates,
charges, taxes, interest, penalties, special assessments, revenue,
financial obligations and other amounts. Any such agreement shall govern
the terms and conditions upon which an electronic value transfer device
proferred as a means of payment shall be accepted or declined and the
manner in, and conditions upon, which the financing agency, device
issuer or processor shall pay to such state agency the amount of
payments collected by means of an electronic value transfer device
pursuant to such agreement. Any agreement entered into shall include a
term and condition that the financing agency, device issuer or processor
shall not be authorized to charge back to the device user except as
expressly provided in such agreement. Any state agency which has entered
into an agreement with a financing agency, device issuer or processor,
as authorized by the provisions of this section, may accept electronic
value transfer as a means of payment as specified by the state agency in
the agreement. The state agency may pay such fees, subject to an
appropriation, as may be specified in such agreement with such financing
agency, device issuer or processor in consideration of the services
rendered by such financing agency, device issuer or processor,
thereunder. Provided, however, in no event, shall there be a reduction
in any payment due to the state of the amounts authorized to be
collected pursuant due to subdivision three of this section.
5. Payment. The underlying debt, lien, obligation, bill, account or
other amount owed to the state agency for which payment by electronic
value transfer device is accepted by the state agency shall not be
expunged, canceled, released, discharged or satisfied, and any receipt
or other evidence of payment shall be deemed conditional, until the
state agency has received final and unconditional payment of the full
amount due from the financing agency, device issuer or processor for
such electronic value transfer device transaction. Any such expunction,
cancellation, release, discharge or satisfaction shall not be deemed to
expunge, cancel, release, discharge or satisfy any amount which is not
paid to the financing agency, device issuer or processor for such
electronic value transfer device transaction.
6. Access to information. Nothing contained in this section shall be
deemed to grant access to information where such information is
otherwise protected by law from access.
Deferred compensation. 1. The deferred compensation board is
hereby established, to consist of one member appointed by the governor,
one member appointed by the temporary president of the senate and one
member appointed by the speaker of the assembly. The board shall adopt
rules and regulations regarding the standards and requirements of all
deferred compensation plans established pursuant to this section,
including selection of financial organizations for investment purposes.
2. a. Notwithstanding any other provision of law, the deferred
compensation board shall establish a deferred compensation plan, under
the provisions of section four hundred fifty-seven of the internal
revenue code and regulations adopted pursuant thereto, for all state
employees and shall promulgate rules and regulations as soon as is
reasonably practicable following the appointment of all members of the
board for the appropriate administration of such a plan.
b. The board shall enter into written agreements with one or more
financial organizations to administer the deferred compensation plan for
state employees and to invest funds held pursuant to such plan. Any such
written agreement and deferred compensation plan shall conform with the
provisions of section four hundred fifty-seven of the internal revenue
code and regulations adopted pursuant thereto.
c. Within the discretion of the deferred compensation board and in
accordance with and subject to its fiduciary duty and obligations to the
deferred compensation plan for state employees and to the members and
beneficiaries of such plan and such other investment limitations as may
be prescribed by this chapter, the deferred compensation board is
authorized to establish an MWBE asset management and financial
institution strategy including reasonable goals for utilization of MWBE
asset managers, MWBE financial institutions and MWBE professional
service firms, which shall include, but shall not be limited to, the
following objectives:
(i) conducting procurement procedures in a manner that will assure the
inclusion of MWBE asset managers in any request for proposal or search
process for asset management services undertaken in accordance with the
rules and regulations and of the board;
(ii) subject to best execution policies, developing a strategy to (1)
conduct trades of public equity securities with MWBE financial
institutions and (2) conduct trades of fixed-income securities through
MWBE financial institutions;
(iii) conducting procurement procedures in a manner that will assure
the inclusion of MWBE financial institutions and other MWBE professional
service firms in procurements for services that include accounting,
banking, financial advisory, insurance, legal, research, valuation and
other financial and professional services that are undertaken in
accordance with the rules and regulations of the board;
(iv) cooperating with other fiduciary controlled entities and state
agencies and offices to identify MWBE asset managers, MWBE financial
institutions and MWBE professional service firms.
As used in this section, the terms "MWBE asset manager", "MWBE
financial institutions", "MWBE", "fiduciary-controlled entities" and
"best execution" shall have the meanings specified in section one
hundred seventy-six of the retirement and social security law.
d. The board is also authorized to:
(i) periodically provide notice of the existence of such strategy so
that MWBE asset managers, MWBE financial institutions and other MWBE
professional service firms are made aware of the opportunities made
available pursuant to this strategy;
(ii) within sixty days of the end of each fiscal year following the
effective date of this paragraph, the board shall report to the
governor, legislature and the chief diversity officer of the state of
New York on the participation of MWBE asset managers, MWBE financial
institutions and MWBE professional service providers in investment and
brokerage transactions with or as providers of services for the deferred
compensation plans, including a comparative analysis of such activity
relative to such activity with all asset managers, financial
institutions and professional service providers for the relevant period
and on the progress and the success of the efforts undertaken during
such period to achieve the goals of such strategy. Each report shall be
simultaneously published on the website of the deferred compensation
plans for not less than sixty days following its release to the governor
and the other recipients named above;
(iii) work with the other fiduciary-controlled entities to create a
database of such MWBE entities; and
(iv) periodically, but not less than annually, hold a conference to
promote such strategy in conjunction with the other fiduciary-controlled
entities.
e. The rules and regulations promulgated by the board shall establish
standards for the selection of financial organizations, authorized to do
business in this state, to participate in such plans, including, but not
limited to, the following criteria:
(i) rates of commission, brokerage and other fees, administrative
expenses and related service charges imposed by the financial
organization,
(ii) variety of types of investment opportunities offered by the
financial organization and/or among the financial organizations selected
and the ability to transfer among such opportunities,
(iii) the stability of the financial organization as evidenced by
experience, reputation, assets and holdings, ability to guarantee
specific rates of return,
(iv) ability to comply with reporting requirements to the board and to
participants in such a plan, and
(v) such other factors which would be considered by a prudent investor
in such a plan.
f. The president of the state civil service commission, subject to the
rules and regulations of the board, shall provide assistance to any
public employer as is appropriate to the provisions of this section.
g. At the request of a state employee the comptroller shall, by
payroll deduction, defer the payment of part of the compensation of such
employee as provided in a written statement by the employee and transfer
the amount so deferred to the authorized financial organization.
h. The board may hire such employees as it deems necessary and prudent
to assist in its administration. Such employees may be either:
(i) in the unclassified service of the state and, notwithstanding any
other provision of law to the contrary, shall be designated managerial
and, as such, eligible for benefits provided by subdivision two of
section eleven and subdivision (a) of section twelve of chapter four
hundred sixty of the laws of nineteen hundred eighty-two, as amended;
section one hundred fifty-eight of the civil service law; eligible to
participate in the state deferred compensation plan, the New York state
and local employees' retirement system; the health benefit plan for
state employees; and subject to coverage under sections seventeen and
eighteen of the public officers law, or
(ii) hired not as state employees but hired on a contractual basis.
3. a. Notwithstanding any other provision of law, every public
employer in the state may provide a deferred compensation plan for its
employees in accordance with standards, rules and regulations of the
deferred compensation board and the provisions of section four hundred
fifty-seven of the internal revenue code and regulations adopted
pursuant thereto.
b. For the purposes of this section, the term "public employer" shall
mean: a county, city, town, village or any other political subdivision
as defined in section one hundred thirty-one of the retirement and
social security law or civil division of the state; a school district or
any governmental entity operating a public school, college or
university; a public improvement or special district; a public
authority, commission or public benefit corporation; any other public
corporation, agency or instrumentality or unit of government which
exercises governmental powers under the laws of the state or any
instrumentality jointly created by this state and any other state or
states.
c. Subject to the rules and regulations promulgated by the board, a
public employer may establish a deferred compensation plan and enter
into written agreements with one or more financial organizations to
administer such deferred compensation plan for its employees and to
invest the funds held pursuant to such plan or such employer may elect
participation in the deferred compensation plan provided for state
employees. At the request of an employee of any such public employer,
the chief fiscal officer or other appropriate officer of the public
employer shall, by payroll deduction, defer the payment of part of the
compensation of such employee, as provided in a written statement by the
employee, and transfer the amount so deferred to the authorized
financial organization.
4. Notwithstanding the other provisions of this section, state
employees, otherwise eligible to participate in the deferred
compensation plan, who are in a negotiating unit represented by an
employee organization which negotiates pursuant to article fourteen of
the civil service law shall not be permitted to participate under the
provisions of this section until such time as such participation is
authorized pursuant to a collectively negotiated agreement between the
state and the employee organization; provided, however, that the state
need only negotiate whether or not such employees shall be included in
such plan.
5. Should a public employer elect to provide or elect to participate
in a deferred compensation plan for employees otherwise eligible to
participate in the plan, employees in a negotiating unit represented by
an employee organization which negotiates pursuant to article fourteen
of the civil service law shall not be permitted to participate under the
provisions of this section until such time as such participation is
authorized pursuant to a collectively negotiated agreement between the
public employer and the employee organization; provided, however, that
the public employer need only negotiate whether or not such employees
shall be included in such plan.
6. To the extent permitted by section four hundred fifty-seven of the
internal revenue code and regulations adopted pursuant thereto, any
compensation deferred by a state employee or an employee of a public
employer under an eligible deferred compensation plan established
pursuant to this section shall be considered part of annual compensation
by any retirement system or plan to which the state or public employer
contributes on behalf of said employee. However, this in no way shall be
construed to supersede the provision of section four hundred thirty-one
of the retirement and social security law or any other similar provision
of law which limits the salary base for computing retirement benefits
payable by a public retirement system.
7. Any benefit from a deferred compensation plan established pursuant
to this section shall be in addition to any retirement benefits provided
a state or public employee under any other provision of law.
8. a. The term "financial organization" shall mean an organization
authorized to do business in the state of New York and (A) which is an
authorized fiduciary to act as a trustee pursuant to the provisions of
an act of congress entitled "Employee Retirement Income Security Act of
1974" as such provisions may be amended from time to time, or an
insurance company; and (B) (i) is licensed or chartered by the state
department of financial services, (ii) is chartered by an agency of the
federal government, (iii) is subject to the jurisdiction and regulation
of the securities and exchange commission of the federal government, or
(iv) is any other entity otherwise authorized to act in this state as a
trustee pursuant to the provisions of an act of congress entitled
"Employee Retirement Income Security Act of 1974" as such provisions may
be amended from time to time.
b. The term "state employee" as used in this section shall mean an
employee or officer of the state, whose salary is paid directly by the
state and, for the limited purposes of this section shall be deemed to
include officers or employees in positions in the institutions under the
management and control of Cornell and Alfred universities, as
representatives of the board of trustees of the state university.
Duties of department of taxation and finance. The commissioner of
taxation and finance shall receive all moneys paid into the treasury of
the state, pay all warrants drawn by the comptroller on the treasury in
a timely manner, make no payment out of the treasury except on the
warrant of the comptroller, and annually report to the legislature an
exact statement of the balance in the treasury, at the close of the
preceding fiscal year, with a summary of the receipts into and payments
from the treasury during such year.
Duties of the comptroller. The comptroller shall: 1. Superintend
the fiscal concerns of the state.
2. Keep, audit and state all accounts in which the state is
interested, and keep accurate and proper books, showing their conditions
at all times.
2-a. Operate and maintain and at his discretion revise and modify a
state accounting and financial reporting system:
a. which accurately and systematically accounts for all revenues,
receipts, resources and property of the state and each of its agencies;
for all advances to each agency, for all appropriations and
reappropriations made to each agency, for all adjustments, segregations
and allocations of such appropriations and reappropriations, and for all
expenditures, disbursements, and recorded encumbrances made pursuant to
such appropriations, reappropriations, and advances; and, from which he
shall be able to obtain accurate annual and interim reports of such
expenditure information for state purposes, local assistance, capital
projects, debt service and general state charges, by fund type, by fund,
by agency, by major program or purpose, by fiscal year of appropriation,
by month of expenditure, disbursement, and encumbrance, and by the same
level of detail as is contained in the appropriations bills enacted for
the fiscal years involved, and of such revenue information by fund type,
by fund, and by revenue source including repayments of advances and each
tax both in total and net of refunds and reimbursements.
b. from which he shall be able to obtain accurate annual and interim
financial statements and other reports which present fairly and with
full disclosure the financial position and results of operations of the
state of New York, for state fiscal years commencing on or after April
first, nineteen hundred eighty-two, or earlier at the discretion of the
comptroller, in conformance with generally accepted accounting
principles.
c. which makes it possible to determine and demonstrate compliance
with finance-related legal and contractual provisions to which the state
or any of its agencies are subject.
d. which is subject to such internal control as the comptroller deems
necessary.
2-b. For the purposes of the New York state governmental
accountability, audit and internal control act, assist in the
development and implementation of an audit program for the state by:
a. Either as part of one or more audits, or separately, conducting
periodic audits of internal controls and operations of state agencies
(other than those state agencies for which an audit is required pursuant
to sections nine hundred fifty-three and nine hundred fifty-four of the
executive law) and of covered authorities. All such audits shall be
performed in accordance with generally accepted government auditing
standards. Nothing in the New York state governmental accountability,
audit and internal control act shall be deemed to diminish or impair the
comptroller's power to audit and authority to supervise accounts under
articles V and X of the state constitution and this chapter. The audits
shall identify internal control weaknesses that have not been corrected
and actions that are recommended to correct these weaknesses. If any
such internal control weaknesses are significant or material with
respect to the operations of the agency that is the subject of the
audit, the comptroller shall so state. The comptroller shall make
available to the public the results of any such audits.
b. Providing technical assistance to state agencies and covered
authorities and, upon request, to the state legislature and the
judiciary in the implementation of internal audit functions, which shall
be consistent with generally accepted standards for internal auditing
and, upon request, interpreting such standards.
2-c. Provide technical assistance, including the issuance of internal
control standards, to state agencies and covered authorities and, upon
request, to the state legislature and the judiciary in the
implementation and periodic evaluation of internal controls, which shall
be consistent with generally accepted standards for internal control
and, upon request, interpret such standards.
2-d. a. Establish, in consultation with the heads of state agencies,
standards for the design, operation and maintenance of agency accounting
systems which: (1) permit the collection of information necessary in the
preparation of annual and interim financial statements in conformance
with generally accepted accounting principles, (2) facilitate the
comparison of information from different agencies, and (3) assure the
accuracy and reliability of accounting information.
b. Provide technical assistance to state agencies regarding the design
and operation of agency accounting systems.
c. Establish guidelines so that changes to state agency accounting
systems bring those systems into greater conformity with the standards
established by the comptroller pursuant to this subdivision.
3. Examine, audit and settle the accounts of all public officers and
other persons indebted to the state, and certify the amount or balance
due thereon.
4. Audit the accrual and collection of all revenues and receipts.
5. Keep and maintain in alphabetical order, a list of names and
addresses of all state officers and employees.
6. Examine, audit and liquidate the claims of all persons against the
state, if payment thereof out of the treasury is provided for by law.
7. Audit all vouchers of any person, corporation, association, state
or other public officer, department or institution, to whom or which
moneys appropriated are payable, or are authorized or directed to be
paid pursuant to law, before issuing his warrant for the payment
thereof; and vouchers shall be required in all such cases.
8. Draw warrants on the treasury for the payment of the moneys
directed by law to be paid out of the treasury, but no such warrant
shall be drawn unless authorized by law, and every such warrant shall
refer to the law under which it is drawn.
9. Make a report to the legislature prior to the convening of its
annual session, containing a complete statement of every fund of the
state including every fund under the supervision or control of any
department or any officer or division, bureau, commission, board or
other organization therein from whatever source derived and whether or
not deposited in the treasury, other than the funds of moneyed
corporations or private bankers in liquidation or rehabilitation,
together with a citation of the statute authorizing the creation or
establishment of each such fund, all balances of money and receipts and
disbursements during the preceding fiscal year, a statement of each
object of disbursement, the funds, if any, from which paid or to be
paid, a schedule by month of the investments of cash not needed for day
to day operations including but not limited to total investment income,
the average daily invested balance and related yields for each fund, and
a statement of all claims against the state presented to him where no
provision or an insufficient provision for the payment thereof has been
made by law, with the facts relating thereto and his opinion thereon,
and suggesting plans for the improvement and management of the public
resources, and containing such other information and recommendations
relating to the fiscal affairs of the state, as in his judgment should
be communicated to the legislature, provided that:
a. Such reports for fiscal years commencing on or after April first,
nineteen hundred eighty-one, or for any earlier fiscal year if the
comptroller shall determine that it is possible to do so, shall also
contain: (1) financial statements which present fairly and with full
disclosure the financial position and results of operations of the state
of New York in conformance with generally accepted accounting principles
including all financial statements required by generally accepted
accounting principles to be included in a comprehensive annual financial
report, except that until paragraph c of this subdivision shall be
controlling, information pertaining to general fixed assets accounts
shall be presented as the comptroller shall deem appropriate; (2) a
summary of significant accounting policies followed in the presentation
of the financial statements required by this subdivision including: (i)
the decisions which were made by the comptroller in interpreting
generally accepted accounting principles for use in the preparation of
the financial statements and the basis of such decisions, and (ii) any
deviations from generally accepted accounting principles authorized by
section eight-a of this chapter, the reasons for each such deviation and
his estimate of the effect of each such deviation on the financial
position or results of operations of the state as reported pursuant to
this paragraph; (3) such other financial, statistical and descriptive
information as may materially affect the financial position and
financial operations of the state and its various agencies, authorities
and instrumentalities; (4) a combined balance sheet and statement of
revenue and expenditures for each of the prior four fiscal years
prepared in conformance with generally accepted accounting principles;
however, such financial information for fiscal years commencing on or
before April first, nineteen hundred seventy-nine may be omitted if, in
the opinion of the comptroller, reliable, comparable information is not
available; (5) a statement as to the fund type into which each of the
funds of the state has been classified and an explanation of the basis
upon which the various funds of the state have been classified into the
fund types utilized in the financial statements required by this
paragraph; and (6) a narrative description of all significant activities
planned, underway, and completed during the previous twelve months,
which shall enable the comptroller to comply with the requirements of
this section.
b. Notwithstanding any provision of law to the contrary such reports
for fiscal years commencing on or after April first, nineteen hundred
eighty-two: (1) shall be submitted to the legislature within one hundred
twenty days after the close of the fiscal year to which it pertains; (2)
shall also incorporate a certification from an independent certified
public accountant who has conducted an independent audit of the
financial statements of the state; and (3) shall also include, in a
manner which conforms with generally accepted accounting principles,
information regarding the operations of those public authorities and
public benefit corporations, a majority of whose members are appointed
by the governor.
c. Complying with applicable bidding procedures, the comptroller shall
select an independent certified public accountant to conduct an
independent audit of the state's annual financial information statements
in conformance with government auditing standards. The results of such
audit shall be transmitted in accordance with the provisions of section
one hundred twenty-two-a of this chapter.
d. Notwithstanding any provision of law to the contrary such reports
for fiscal years commencing on or after April first, nineteen hundred
eighty-seven shall also incorporate information presented in a manner
that conforms with generally accepted accounting principles which
presents fairly and with full disclosure the financial position of the
general fixed assets accounts of the state.
9-a. a. Issue, on or before the fifteenth day of each month and cause
to be published in the state register, a report including (1) a summary
of the preceding month's investments of cash not needed for day to day
operations including but not limited to total investment income, the
average daily investment balance and related yield; and (2) a statement
setting forth briefly the several receipts of and disbursements from the
general fund during the preceding month, and also the total of such
receipts and disbursements from the beginning of the fiscal year to the
close of such preceding month and the cash balance of the general fund,
exclusive of receipts and disbursements on account of temporary
borrowing, at the close of such preceding month, provided that for state
fiscal years beginning on or after April first, nineteen hundred
eighty-two the comptroller shall include in such reports the required
information for all funds and fund types.
b. Commencing with the state fiscal year beginning in nineteen hundred
eighty-four, issue within thirty days of the close of each calendar
quarter and cause to be published in the state register a statement
setting forth the revenues of and expenditures from all governmental
funds of the state during the preceding calendar quarter and the total
of such revenues and expenditures from the beginning of the fiscal year
to the close of the preceding calendar quarter. Commencing with the
state fiscal year beginning in nineteen hundred eighty-nine, the
quarterly report containing such statement shall also include a combined
balance sheet for all governmental funds of the state during the
preceding calendar quarter. Both the statement of revenues and
expenditures and the balance sheet shall be prepared in accordance with
generally accepted accounting principles.
c. Commencing with the state fiscal year beginning in nineteen hundred
ninety-one, the quarterly report prepared pursuant to paragraph b of
this subdivision shall also contain: (1) a statement of disbursements
and expenditures for each department and major agency of the state,
along with a reconciliation statement for such disbursements and
expenditures; and (2) a statement of receipts and revenues for the major
revenue sources of the state, along with a reconciliation statement for
such receipts and revenues. Such statements shall reconcile with reports
prepared pursuant to subdivision nine of this section.
9-b. Make monthly reports during state fiscal years commencing on or
after April first, nineteen hundred eighty-two, within ten days of the
close of each month, to the chairman of the senate finance committee and
the chairman of the assembly ways and means committee for the use of
such committees and the information of the legislature, containing a
complete statement of disbursements, expenditures, receipts and revenues
for the prior month and year-to-date. The reports shall include
information for all funds and, with regard to such disbursements and
expenditures, shall be based on the then current fiscal year's
appropriations and appropriations available from the prior fiscal year.
Such reports for each fiscal year shall contain such additional and
detailed information and shall be organized in such manner as the
chairman of the senate finance committee and the chairman of the
assembly ways and means committee shall have last requested at least
forty-five days prior to the beginning of such fiscal year. The
comptroller may promulgate such rules and regulations, applicable to any
or all state officers or employees, as may be necessary to obtain any
data required for making such reports. Such reports shall be prepared
and presented in accordance with the accounting principles and policies
used in the preparation of the budget documents for the then current
fiscal year submitted by the governor pursuant to sections twenty-two
and twenty-three of this chapter unless the chairman of the senate
finance committee and the chairman of the assembly ways and means
committee shall have requested a different preparation or presentation.
10. Represent and vote for the state, either in person or by proxy, at
all meetings and on all occasions where the state is entitled to
representation or vote as stockholder in a corporation or joint-stock
association.
11. Supervise the administration of all the funds paid into any court
of record or ordered to be so paid by a judgment, order or decree of any
such court of record, and/or paid to the public administrator of any
county and/or to the county treasurer of any county to whom letters of
administration have been or shall be granted, or to any other
administrator having the custody of funds payable to the state
comptroller pursuant to the provisions of section two thousand two
hundred twenty-two of the surrogate's court procedure act. He shall have
power and authority to institute proceedings to enforce obedience to the
judgments, orders or decrees of the said courts for the deposit of
moneys and securities into court, and prescribe regulations and rules
for the care and disposition thereof, which shall be observed by all
parties interested therein, unless the court having jurisdiction over
the same, shall make different directions by special order duly entered
in accordance with article twenty-six of the civil practice law and
rules. The comptroller may at any time require any county clerk or clerk
of any court of record, to file with any county treasurer an officially
certified copy of any record, document or paper, or extracts therefrom,
which he may deem necessary for the use of said county treasurer in the
administration of such funds.
The comptroller may at his discretion petition the surrogate of any
county having jurisdiction praying for a judicial settlement of the
accounts of any such administrator or county treasurer, and that such
administrator or county treasurer, may be cited to show cause why he
should not render and settle an account in the manner prescribed in the
surrogate's court procedure act.
The comptroller shall not designate as a depositary of funds or moneys
paid into court any trust company, bank, banking association or banker,
nor authorize any deposit in any such depositary of funds or moneys paid
into court, until the comptroller shall have required such depositary to
execute to the people of the state an undertaking, in an amount approved
by the county judge of the county where such trust company, bank,
banking association or banker is located, or by a justice of the supreme
court in the county where such depositary is located if the location of
same be in the city of New York, providing for the payment of a rate of
interest to be agreed upon by the depositary and the comptroller. Such
undertaking shall be filed in the office of the comptroller and shall be
secured by a deposit of bonds as provided by section one hundred five of
this chapter. Or, in lieu of such undertaking and deposit of securities,
the comptroller may require such depositary to execute to the people of
the state of New York an undertaking, with a surety company authorized
to transact business in the state of New York as surety, in such form as
the attorney-general shall prescribe, and in an amount approved by the
county judge of the county where such trust company, bank, banking
association or banker is located, or by a justice of the supreme court
in the county where such depositary is located if the location of same
be in the city of New York, and by the comptroller, except that the
comptroller may designate savings banks as depositaries of funds or
moneys paid into court and authorize the public officer making such
deposits to comply with the practice relating to the deposit of moneys
in savings banks.
12. Notwithstanding any inconsistent provision of the court of claims
act, examine, audit and certify for payment any claim submitted and
approved by the head of any institution in the department of mental
hygiene, the department of corrections and community supervision, the
department of health or the office of children and family services for
personal property damaged or destroyed by any incarcerated individual
thereof, or for personal property of an employee damaged or destroyed
without fault on his or her part, by a fire in said institution; or any
claim submitted and approved by the head of any institution in the
department of mental hygiene or the office of children and family
services for real or personal property damaged or destroyed or for
personal injuries caused by any patient during thirty days from the date
of his or her escape from such institution; or any claim submitted and
approved by the commissioner of the department of corrections and
community supervision for personal property of an employee damaged or
destroyed without fault on his or her part as a result of actions unique
to the performance of his or her official duties in accordance with
rules and regulations promulgated by the commissioner of the department
of corrections and community supervision with the approval of the
comptroller; or any claim submitted and approved by the chief
administrator of the courts for personal property of any judge or
justice of the unified court system or of any nonjudicial officer or
employee thereof damaged or destroyed, without fault on his or her part,
by any party, witness, juror or bystander to court proceedings, provided
no such claim may be certified for payment to a nonjudicial officer or
employee who is in a collective negotiating unit until the chief
administrator shall deliver to the comptroller a certificate that there
is in effect with respect to such negotiating unit a written collective
bargaining agreement with the state pursuant to article fourteen of the
civil service law which provides therefor; or any claim submitted and
approved by the superintendent of state police for personal property of
a member of the state police damaged or destroyed without fault on his
or her part as a result of actions unique to the performance of police
duties in accordance with rules and regulations promulgated by the
superintendent with the approval of the comptroller; or any claim
submitted and approved by the head of a state department or agency
having employees in the security services unit or the security
supervisors unit for personal property of a member of such units damaged
or destroyed without fault on his or her part as a result of actions
unique to the performance of law enforcement duties in accordance with
rules and regulations promulgated by the department or agency head,
after consultation with the employee organization representing such
units and with the approval of the comptroller and payment of any such
claim shall not exceed the sum of three hundred fifty dollars. Where an
agreement between the state and an employee organization reached
pursuant to the provisions of article fourteen of the civil service law
provides for payments to be made to employees by an institution, such
payments for claims not in excess of seventy-five dollars, or one
hundred fifty dollars if otherwise provided in accordance with the terms
of such agreement, may be made from a petty cash account established
pursuant to section one hundred fifteen of this chapter, and in the
manner prescribed therein.
12-a. Notwithstanding any inconsistent provision of the court of
claims act, examine, audit and certify for payment any claim in excess
of two hundred fifty dollars for injuries to personal property, real
property, or for personal injuries caused by the tort of an officer or
employee of the state while acting as such officer or employee, provided
the claim shall have been submitted for payment by the head of the
department or agency having supervision of such officer or employee, and
further provided that any such claim in excess of one thousand dollars
be approved by the attorney-general. Payment of any such claim shall not
exceed the sum of five thousand dollars. Claims of two hundred fifty
dollars or less may be paid in accordance with rules and regulations
established by the department or agency head from a cash advance account
created pursuant to section one hundred fifteen of this chapter.
12-b. Notwithstanding any inconsistent provision of the court of
claims act, and in addition to procedures for payment of claims set
forth elsewhere in this section, examine, audit and certify for payment
any claim for injuries to personal property, real property, or for
personal injuries caused by the tort of an officer or employee of the
state-operated institutions of the state university of New York, while
acting as such officer or employee, provided the claim shall have been
approved and submitted for payment by the chief administrative officer
of such institution, or an appropriate designee. Payment of any such
claim shall not exceed the sum of two hundred fifty dollars.
12-c. Notwithstanding any inconsistent provision of the court of
claims act, examine, audit and certify for payment any claim for
injuries to personal property, real property, or for personal injuries
caused by the tort of a member of the organized militia or an employee
in the division of military and naval affairs of the executive
department, provided that the claim is encompassed by the waiver of
immunity and assumption of liability contained in section eight-a of the
court of claims act, and provided further that the claim shall have been
submitted for payment by the adjutant general and approved by the
attorney general. Payment of any such claim shall not exceed the sum of
twenty-five hundred dollars.
12-d. Notwithstanding any inconsistent provision of the court of
claims act, examine, audit and certify for payment any claim submitted
and approved by the head of a state department or agency, other than a
department or agency specified in subdivision twelve of this section,
for personal property of an employee damaged or destroyed in the course
of the performance of official duties without fault on their part by an
incarcerated individual, patient or client of such department or agency
after March thirty-first, two thousand twenty-six and prior to April
first, two thousand thirty-one, provided no such claim may be certified
for payment to an officer or employee who is in a collective negotiating
unit until the director of employee relations shall deliver to the
comptroller a letter that there is in effect with respect to such
negotiating unit a written collectively negotiated agreement with the
state pursuant to article fourteen of the civil service law which
provides therefor. Payment of any such claim shall not exceed the sum of
three hundred dollars. No person submitting a claim under this
subdivision shall have any claim for damages to such personal property
approved pursuant to the provision of subdivision four of section five
hundred thirty of the labor law or any other applicable provision of
law.
12-e. (a) Notwithstanding any inconsistent provision of the court of
claims act, where, and to the extent that, an agreement between the
state and an employee organization entered into pursuant to article
fourteen of the civil service law on behalf of officers and employees
serving in positions in the administrative services unit, institutional
services unit, operational services unit or division of military and
naval affairs unit so provides, examine, audit and certify for payment
any claim submitted and approved by the head of a state department or
agency for personal property of an officer or employee damaged or
destroyed in the actual performance of official duties without fault or
negligence of the officer or employee other than a claim specified and
covered by subdivision twelve or twelve-d of this section after March
thirty-first, two thousand twenty-six and prior to April first, two
thousand thirty-one. Payment of such claim shall not exceed the sum of
six hundred dollars. Where an agreement between the state and such
employee organization entered into pursuant to article fourteen of the
civil service law provides for payment to be made to officers and
employees by a state department or agency, such payments for claims not
in excess of the amount specified in subdivision three of section one
hundred fifteen of this chapter may be made from a petty cash account
established pursuant to section one hundred fifteen of this chapter and
in the manner prescribed therein and pursuant to regulations of the
comptroller. No person submitting a claim under this subdivision shall
have any claim for damages to such personal property approved pursuant
to the provisions of subdivision four of section five hundred thirty of
the labor law or any other applicable provision of law.
(b) Notwithstanding any inconsistent provision of the court of claims
act, where, and to the extent that, an agreement between the state and
an employee organization entered into pursuant to article fourteen of
the civil service law on behalf of officers and employees serving in
positions in the professional, scientific and technical services unit so
provides, examine, audit and certify for payment any claim submitted and
approved by the head of a state department or agency for personal
property of an officer or employee damaged or destroyed in the actual
performance of official duties without fault or negligence of the
officer or employee other than a claim specified and covered by
subdivision twelve or twelve-d of this section after March thirty-first,
two thousand sixteen and prior to April first, two thousand nineteen.
Payment of such claim shall not exceed the sum of three hundred fifty
dollars. Where an agreement between the state and such employee
organization entered into pursuant to article fourteen of the civil
service law provides for payment to be made to officers and employees by
a state department or agency, such payments for claims not in excess of
the amount specified in subdivision three of section one hundred fifteen
of this chapter may be made from a petty cash account established
pursuant to section one hundred fifteen of this chapter and in the
manner prescribed therein and pursuant to regulations of the
comptroller. No person submitting a claim under this subdivision shall
have any claim for damages to such personal property approved pursuant
to the provisions of subdivision four of section five hundred thirty of
the labor law or any other applicable provision of law.
12-f. Notwithstanding any inconsistent provision of the court of
claims act, examine, audit and certify for payment of any claim
submitted and approved by the head of the state department or agency for
personal property of an officer or employee, whose position is
designated managerial or confidential pursuant to article fourteen of
the civil service law, and of civilian state employees of the division
of military and naval affairs in the executive department whose
positions are not in, or are excluded from representation rights in, any
recognized or certified negotiating unit, and of officers and employees
excluded from representation rights under article fourteen of the civil
service law pursuant to rules and regulations of the public employment
relations board, damaged or destroyed in the actual performance of
official duties without fault or negligence of the officer or employee
other than a claim specified and covered by subdivision twelve or
twelve-d of this section after March thirty-first, nineteen hundred
eighty-eight. Payment of such claim shall not exceed the sum of three
hundred fifty dollars. Such payments for claims not in excess of
seventy-five dollars may be made from a petty cash account established
pursuant to section one hundred fifteen of this chapter and in the
manner prescribed therein and pursuant to regulations of the
comptroller. No person submitting a claim under this subdivision shall
have any claim for damages to such personal property approved pursuant
to the provision of subdivision four of section five hundred thirty of
the labor law or any other applicable provision of law.
12-g. Notwithstanding any other provision of the court of claims act
or any other law to the contrary, thirty days before the comptroller
issues a check for payment to an incarcerated individual serving a
sentence of imprisonment with the department of corrections and
community supervision or to a prisoner confined at a local correctional
facility for any reason, including a payment made in satisfaction of any
damage award in connection with any lawsuit brought by or on behalf of
such incarcerated individual or prisoner against the state or any of its
employees in federal court or any other court, the comptroller shall
give written notice, if required pursuant to subdivision two of section
six hundred thirty-two-a of the executive law, to the office of victim
services that such payment shall be made thirty days after the date of
such notice.
13. In any instance in which the claim of a person under the age of
eighteen years has been examined, audited, and certified for payment by
the comptroller pursuant to subdivisions twelve-a or twelve-b of this
section, an application for approval of such payment shall be made to
the court of claims or a judge thereof. The procedure to be followed
upon such application shall be the same as provided for in the civil
practice law and rules, for the settlement or compromise of a claim or
cause of action of a person under the age of eighteen years.
14. Make, amend and repeal rules and regulations as he may deem
necessary in the performance of the duties imposed upon him by law.
15. Except where provisions for refund are otherwise specifically
provided in any other law, general or special, upon the certification of
the head of any state department or agency, and after audit and approval
by him, refund within three years from the date of payment, any fee or
portion of a fee or other moneys paid pursuant to any of the statutes of
the state of New York, in any case in which:
a. The license, permit or certificate applied for is not issued, or
does not take effert 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 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.
Such refund shall be paid from moneys appropriated for such purpose or
from revenues in the custody of said department or agency, derived from
fees collected by said department or agency.
16. Notwithstanding any inconsistent provision of law, no change shall
be made in the rate or eligibility standards for state employees'
travel, meals, lodging, and other expenses for which the state makes
payment (either in advance or by reimbursement), without the approval of
the director of employee relations.
18. Prepare and publish, no later than January fifteenth in each year,
a listing by department, board, commission, division or state agency of
all audits made during the previous year with a brief description of the
results thereof, together with a listing of all such audits made during
the preceding five years without a description. A copy thereof shall be
filed with the senate finance committee and the assembly ways and means
committee and copies shall be available to any state agency upon
request.
19. Notwithstanding any inconsistent provision of law, maintain
detailed records of all activity commonly known as "journal transfers"
relating to any fund or account of the state for which he or she has the
duty pursuant to law to audit and maintain accountability, including any
supporting documentation relating thereto.
20. On or before April fifteenth of each year, submit an annual report
of such activity pursuant to subdivision nineteen of this section to the
temporary president of the senate and to the speaker of the assembly.
Deviations from generally accepted accounting principles. In
carrying out the accounting and financial reporting responsibilities
assigned to him by subdivisions two, two-a, nine and nine-a of section
eight of this chapter, the comptroller is authorized to interpret and,
if he deems it necessary, deviate from generally accepted accounting
principles, provided that any deviations shall be subject to the
following requirements:
1. If authoritative national governmental accounting standard-setting
bodies differ with each other as to the specification of generally
accepted accounting principles, the comptroller in the annual report
required by subdivision nine of section eight of this chapter, shall
designate the body whose principles he has chosen to follow and explain
the reasons for his choice.
2. If, because of a change in generally accepted accounting
principles, the comptroller determines that it is not possible to
conform fully with generally accepted accounting principles, the
comptroller shall in such annual report specify the principles that will
be followed and outline a program for future conformance with generally
accepted accounting principles.
3. If, in the opinion of the comptroller, adherence to a particular
aspect of generally accepted accounting principles would result in a
less complete or less fair presentation of the state's financial
position and results of operations than an alternative principle, he
shall specify in such annual report the alternative principle being
followed.
4. If, in the opinion of the comptroller, adherence to a particular
aspect of generally accepted accounting principles is impractical,
prohibitively costly, or undesirable on the basis of cost-benefit
considerations, the comptroller shall specify the alternative principle
being followed, and the reasons including cost information, if relevant,
for his determination in this regard.
Additional duties of the comptroller. 1. The comptroller is
hereby authorized and directed to assess fringe benefit and central
service agency indirect costs on all non-general funds, and on the
general fund upon request and at the sole discretion of the director of
the budget, and to charge such assessments to such funds. Such fringe
benefit and indirect costs assessments shall be based on rates provided
to the comptroller by the director of the budget. Copies of such rates
shall be provided to the legislative fiscal committees.
Enterprise fraud prevention and detection system. 1. In
furtherance of the comptroller's constitutional and statutory functions,
duties and responsibilities, the comptroller may, within his or her
discretion, establish, implement and update as necessary an electronic
data analytical enterprise fraud prevention and detection system for the
prevention of fraud, waste and abuse in state government and the
detection and prevention of improper payments of public moneys.
2. State agencies shall fully support and cooperate with the state
comptroller by providing the state comptroller with access to data
requested by the state comptroller, in accordance with applicable state
and federal law, to allow such data to be integrated into such analytic
efforts as the state comptroller may deem necessary. For this purpose,
the term "state agency" shall mean any of the following performing a
governmental or proprietary function for the executive department of the
state: a state department, the state university of New York, the city
university of New York, and any board, bureau, division, commission,
committee, council, office or similar governmental entity.
3. In support of the enterprise fraud prevention and detection system,
the state comptroller shall establish protocols:
(a) for data sharing, secure file transfers and/or other methods to
obtain real-time, regular and/or periodic data from state agencies,
provided, however, that access to such data by the state comptroller
shall not waive any privilege or right of confidentiality;
(b) to ensure the safety, security, integrity and privacy of all data
shared with his or her office in accordance with the system; and
(c) for the authorized retention and deletion of data obtained from
state agencies.
4. In connection with such system, the state comptroller, in his or
her discretion, may:
(a) develop a long-range plan for preventing or detecting improper
payments of public moneys, and the prevention and detection of waste,
fraud and abuse in government operations;
(b) acquire technology including, but not limited to, software that
enhances the following capabilities: (i) automated detection and
alerting; (ii) continuous monitoring of program transactions and
activity, to detect fraud and improper payments both prospectively
(before the payment is made) and retrospectively (after payments are
made); (iii) detection of non-transactional fraud such as program
eligibility issues and identify theft; and
(c) evaluate potential savings resulting from such efforts.
5. The state comptroller shall report annually to the legislature no
later than the first day of September, two thousand sixteen and annually
thereafter on the progress, status and results of the system created
pursuant to this section and subdivision two of section twenty-eight
hundred three of the public authorities law.
Subpoenas; oaths. The comptroller, deputy comptrollers and
assistant deputy comptroller, or either of them, may issue a subpoena or
subpoenas requiring a person or persons to attend before the
comptroller, a deputy comptroller or assistant deputy comptroller and be
examined in reference to any matter within the scope of the inquiry or
investigation being conducted by the comptroller, and, in a proper case,
to bring with him, a book or paper. A subpoena issued under this
section shall be regulated by the civil practice law and rules. The
comptroller and deputy comptroller or assistant deputy comptroller or
any person designated in writing by them may administer an oath to a
witness in any such inquiry or investigation.
This section shall not be construed to abrogate or limit the powers
granted to the comptroller or examiners of municipal accounts as
provided in section thirty-five of the general municipal law.
Compromise of old judgments and debts. The attorney-general and
comptroller, or either of them, may acknowledge satisfaction of a
judgment in favor of the people of the state when the same is settled or
discharged. The comptroller, with the approval of the attorney-general,
may compromise, settle, release and discharge any judgment or contract
debt not in judgment in favor of the state, after the lapse of ten years
since the recovery of the judgment, or since the debt became due, on
such terms as the comptroller and attorney-general deem for the best
interest of the state.
Gifts, devises and bequests. Whenever any gift or bequest of
money is lawfully made to the state, or to any department, board, bureau
or officer thereof, the amount of such gift or bequest shall be paid to
the department of taxation and finance to be held by such department in
trust for the uses and purposes specified by the donor. Any such grant,
gift or bequest shall be deposited by the department of taxation and
finance in the treasury to the credit of a special fund to be designated
by the state comptroller. Such trust fund shall be disbursed by the
department of taxation and finance after audit by the state comptroller
for the uses and purposes specified by the donor upon certification of
the department, board, bureau or officer for whose benefit the trust was
created.
No gift, grant, devise or bequest, other than grants from the United
States, shall hereafter be received or accepted by the state or by any
department, board, bureau or officer thereof without specific statutory
authority unless such gift, grant, devise or bequest is unconditional.
The provisions of this section shall be controlling, any other general,
special or local law inconsistent therewith notwithstanding, provided,
however, that nothing herein contained shall prohibit the acceptance of
conditional gifts or devises of real property or any interest therein
for highway or parkway right of ways.
Annual reports to legislature by institutions entitled to
receive money from state. All institutions and societies entitled by law
to receive money from the state shall make an annual report to the
legislature on or before the fifteenth day of January in each year, and
no such money shall be paid in any such case until such report is made.
Boards of visitors. A member of the board of visitors, a
manager, trustee or officer of any state charitable or other institution
receiving moneys from the state treasury for maintenance and support
shall be entitled to actual and necessary traveling expenses when
attending meetings of the board at the office of the institution or in
the performance of other official duties undertaken pursuant to a
resolution of the board of visitors of which he is a member, and with
the approval of the head of the department under the control of which an
institution is maintained.
Departmental statements. In addition to the annual department
reports prescribed by law, the head of each department of the state, on
or before the fifteenth day of October in each year, shall submit to the
governor a statement of the sources, amounts and disposition of all
money received by such department, its divisions, bureaus or officers
for the preceding fiscal year other than money appropriated for such
department by the legislature or money that was paid by such department
into the treasury. Such statement shall include a description of the
nature and the amount of each fund, if any, then under the supervision
or control of such department or the head thereof or under the
supervision or control of any division, bureau, commission, board or
other organization therein or under the supervision or control of the
head or any other officer of such division, bureau, commission, board or
organization, which was derived from any source whether or not deposited
in the treasury, a citation of the statute authorizing the creation or
establishment of each such fund and the nature and amount of any
payments made therefrom during the preceding fiscal year. The director
of the budget in the executive department shall make rules, which shall
be approved by the governor, regulating the form and contents of such
statements. Copies of such statements shall be simultaneously furnished
to the senate finance committee and the assembly ways and means
committee for their information.
The governor, in such form and with such explanation as the governor
may desire, shall transmit to the legislature, with the annual budget, a
recapitulation or summary of the information contained in such
statements arranged under appropriate headings for each department. The
provisions of this section shall not apply to any funds received by the
superintendent of financial services in a fiduciary capacity or to the
state teachers' retirement fund, or any state employees' retirement and
pension fund, but such exemption from the application of this section
shall not affect any other provision of law requiring a report or
statement of such funds.
Tax audit reporting system. 1. The department of taxation and
finance shall establish and maintain a comprehensive tax audit reporting
system which shall provide the governor and the legislature with a
systematic method to evaluate the progress made by the department in
achieving revenue targets. In order to ensure that the reporting system
is made an integral part of the state fiscal plan, the following
procedure is hereby established for the development of the form and
contents of tax audit target reports and quarterly tax audit reports and
for the submission of such reports.
2. Annually, but no later than ninety days prior to the commencement
of each fiscal year, the department shall submit to the governor, a tax
audit target report for such fiscal year which contains the following
information for each general and special revenue fund tax, the cash
receipts of which during the last completed state fiscal year exceeded
fifty million dollars: annual and quarterly numbers of audits to be
completed, annual and quarterly dollar amounts of assessments and
collections expected, anticipated annual average assessments and average
collections per audit, and anticipated annual average assessments and
average collections per auditor for each such tax source. This data is
to be provided differentiating between solely utilizing existing staff
levels and any proposed changes to such levels. Copies of such report
shall be simultaneously furnished to the senate finance committee and
the assembly ways and means committee for their information.
3. In addition, after the tax audit target report for a fiscal year
has been submitted as required, the department shall submit quarterly to
the governor, within thirty days of the close of each quarter of the
state fiscal year to which such tax audit target report shall pertain, a
quarterly tax audit report which summarizes the actual experiences to
date of assessments and collections for each tax source in forms
suitable for comparison with such target report. Such quarterly reports
shall provide an explanation of the causes of any major deviation from
the targets set in such target report. Copies of such quarterly tax
audit reports shall be simultaneously furnished to the senate finance
committee and the assembly ways and means committee for their
information.
Capital projects and maintenance statements. The head of
each state agency shall furnish the governor, at the time and in the
form he requires but in no event later than December first of each year,
a statement for which plans prepared to meet other existing statutory
requirements may be accepted as a partial or complete substitute as
determined by the director of the budget, copies of which shall
forthwith be furnished to the chairman of the senate finance committee
and the chairman of the assembly ways and means committee, setting
forth:
a. a detailed schedule by fund, of all capital projects recommended to
be undertaken or continued in any of the next five fiscal years, which
shall provide the following information for each capital project:
(1) a description of the project in less than thirty words,
(2) the estimated total cost of the project and, if appropriate, the
useful life of the project,
(3) the total of all disbursements for the project made prior to the
then current fiscal year,
(4) the total amount of disbursements for the project recommended to
be made during the current fiscal year, and during each of the next
ensuing five fiscal years, provided however that (i) the information
required by this paragraph may be provided for groupings of projects in
those cases where the director of the budget determines it cannot be
provided on a project by project basis,
(5) the estimated date of project completion, and
(6) the amount of the total project costs for which the state or state
agency will be contractually obligated as of the close of the then
current fiscal year;
b. summaries of the following:
(1) the agency's proposed capital and maintenance activities, goals
and objectives, including explanations of any changes to the goals and
objectives resulting from new program initiatives, completion of prior
program initiatives, or mandated legislative changes,
(2) the agency's proposed new and anticipated future capital
appropriations by capital projects funds and by comprehensive
construction programs,
(3) the agency's appropriations and reappropriations as currently
enacted by capital projects funds and by comprehensive construction
programs,
(4) agency's projected capital construction contract commitments and a
comparison with previous commitment plans,
(5) the agency's total estimated disbursements, by capital projects
funds and comprehensive construction programs, from existing and
proposed new and future appropriations, a discussion of the assumptions
underlying such estimated disbursements, and an explanation of the
annual increase and/or decrease in such estimated disbursements,
(6) recommendations for financing the capital programs inclusive of
pay-as-you-go financing, general fund revenues, special revenues such as
user charges and federal grants, existing debt authorization and new
debt authorization, and an explanation of the relative advantages of the
methods proposed over the alternative;
c. for the purposes of the subdivision, capital projects of less than
fifty thousand dollars may be grouped into appropriate categories; and
d. a five-year scheduled maintenance plan for the agency's capital
assets prepared in accordance with section twenty-six of this chapter.
Fees to be charged for certain documents. 1. Except as herein
otherwise provided, no blank, report, pamphlet or other document printed
pursuant to law by or under the supervision and direction of a state
department, or a division, officer, board, bureau, commission or other
state agency, included within such department, shall be furnished or
distributed to any person except on payment of a fee therefor, to be
fixed as herein provided.
2. The head of each state department shall adopt rules and regulations
governing the printing and distribution of all blanks, reports,
pamphlets and other documents printed by or under the direction and
supervision of his department, or of any officer, board, division,
bureau, commission or other state agency included within such
department, and containing an itemized schedule of fees to be charged
therefor. Such rules and regulations shall be submitted by such
department head to the director of the budget and, upon his approval
thereof, shall have the force and effect of law. Such rules and
regulations may be revised from time to time, subject to the approval of
such director. In preparing such schedule of fees each department head
shall be guided, as far as possible, by the unit cost to the state of
the preparation, printing and distribution of such blanks, reports,
pamphlets and other documents. A copy of the rules and regulations in
force for each department shall be at all times conspicuously displayed
in the principal office of such department and in the particular portion
of such department where the blanks, reports, pamphlets and other
documents of the department are available for distribution.
3. No fee shall be charged for furnishing a report or other document
which is required by law to be made or furnished to the governor, the
legislature or to any of the state departments, and the director of the
budget may prescribe other cases in which no fee shall be charged.
4. A true record and account of all fees received pursuant to this
section shall be kept by the head of each department or by someone
delegated by him to perform such task.
5. Nothing herein contained shall apply to reports, documents or
pamphlets furnished to the governor, a member of the legislature, a
representative of the press, the head of any state department.
6. All fees collected by the commissioner of transportation pursuant
to the provisions of this section shall be deposited by the comptroller
into the special obligation reserve and payment account of the dedicated
highway and bridge trust fund established pursuant to section
eighty-nine-b of this chapter.
Rate of interest on judgments and accrued claims against the
state. The rate of interest to be paid by the state upon any judgment
or accrued claim against the state shall not exceed nine per centum per
annum.
Reports on financed equipment acquisitions. Within thirty days
following the close of each calendar quarter, beginning with the
calendar quarter ending on December thirty-first, nineteen hundred
eighty-eight, the director of the budget shall, to the extent
practicable, provide a report to the chairs of the senate finance
committee and the assembly ways and means committee showing expenditures
for lease purchase and installment purchase payments made by or on
behalf of any state department and agency or any unit of the state
university or city university of New York for financed equipment
acquisitions during the preceding calendar quarter. Such reports shall
be organized by agency, program, fund, and appropriation. State
departments and agencies and units of the state university and the city
university of New York, the state comptroller, and the commissioner of
the office of general services shall assist the director in obtaining
the information necessary to produce such reports.
Interest and collection fees assessed on debts owed to the
state. 1. As used in this section: (a) "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; (b) "debt" shall mean any liquidated sum due and owing
any state agency which has accrued pursuant to law or through contract,
subrogation, tort or other cause of action, except a liability resulting
from taxes or other impositions administered by the state commissioner
of taxation and finance, regardless of whether there is an outstanding
judgment for that sum; (c) "debtor" shall mean any individual, business,
or other entity, which is not a state agency, municipal corporation or
district corporation, having a debt with any state agency; (d)
"liquidated" shall mean an amount which is fixed or certain or capable
of being readily calculated, whether or not the underlying liability or
amount of the debt is disputed; and (e) "outstanding" debt shall mean
the amount set forth in the billing invoice or notice mailed to the
debtor, together with late payment charges and interest, less any
payments made by or on behalf of the debtor.
2. For the purposes of this section, a state agency shall mail a dated
billing invoice or notice on or about the day it is dated, and receipt
by the debtor of a billing invoice or notice is deemed to have occurred
five days after its date.
3. Unless provided otherwise by contract, statute or regulation, a
debtor owing a debt to any state agency shall pay such debt on or before
the thirtieth day following such debtor's receipt of any billing invoice
or notice sent by the state agency that such debt is due and owing and
that failure to make timely payment, as stated in the billing invoice or
notice, will result in the assessment of interest or a late payment
charge and may result in a charge to cover the cost of processing,
handling, and collecting such debt.
4. Unless provided otherwise by contract, statute or regulation, a
debtor that fails to make payment of a debt within the period set forth
in subdivision three of this section shall pay, in addition to the
amount of debt, interest on the outstanding balance of the debt,
accruing on the date on which the receipt of the first billing invoice
or first notice occurs, computed at the underpayment rate which is in
effect on the date which the receipt of the first billing invoice or
first billing notice occurs. For the purposes of this section, the
underpayment rate shall be that rate set by the commissioner of taxation
and finance and published in the state register pursuant to subsection
(e) of section one thousand ninety-six of the tax law minus four
percentage points. With respect to specific classes of debt collected by
a state agency, the director of the budget or official of a state agency
so designated by the director of the budget may approve the assessment
of interest at a date later than the thirtieth day following such
debtor's receipt of any billing invoice or notice sent by the state
agency.
5. In addition to the charges referred to in subdivision four of this
section, and unless provided otherwise by contract, statute or
regulation, a debtor that fails to make payment of a debt subject to
this section within ninety days of receipt by the debtor of the first
billing invoice or notice may be assessed an additional collection fee
charge to cover the cost of processing, handling and collecting such
debt, not to exceed twenty-two percent of the outstanding debt, which
collection fee shall be added to and payable in the same manner as the
outstanding debt. The assessed collection fee charge may not exceed the
agency's estimated cost of processing, handling and collecting such
debt.
5-a. Notwithstanding any contrary provision of this section, no state
agency shall assess the additional collection fee charge described in
subdivision five of this section on any debt subject to this section
owed by a debtor to a state agency for a liability resulting from
tuition, fees, room and board, educational benefit overpayments, student
loans, or other such charges incurred by a student in furtherance of
such student's education.
6. Any interest or late payment charges assessed pursuant to this
section shall be paid upon notice and demand and shall be treated and
collected in the same manner as the original debt which is due and owing
and shall be collected by a state agency when such agency deems
collection to be administratively practical and cost-effective. Any
collection fee charges assessed pursuant to this section shall be paid
upon notice and demand and shall be collected by a state agency when
such agency deems collection to be administratively practical and
cost-effective. In any action brought by or on behalf of a state agency
to recover an outstanding debt, a demand for collection fee charges may
be set forth in the statement of damages sought.
7. The state director of the budget shall promulgate such guidelines
as the director deems necessary to carry out the provisions of this
section.
8. The provisions of this section shall not supersede any provision of
law or regulation or contract which provides for the imposition of
interest or late payment or collection fee charges on debts not
satisfied in a timely manner.
9. All contracts entered into or any regulation promulgated on or
after the effective date of this section which waives the imposition of
interest or late payment or collection fee charges or imposes interest
or late payment charges or collection fee charges in a manner
inconsistent with this section must be approved by the state division of
the budget.
10. Every state agency to which this section is applicable is
authorized to enter into written agreements with any debtor under which
such debtor is allowed to satisfy liability for payment of any debt,
including any interest imposed by this section on that portion of such
debt as to which an extension is granted, in installment payments if the
state agency determines that such agreement will facilitate collection
of such liability. Provided further, that where such state agency
determines that immediate collection of the debt would jeopardize the
debtor's fiscal viability and thereby pose a hardship to the public,
such agency shall offer to enter into a written agreement to temporarily
defer collection of the debt, collect the debt on an installment basis,
or make other reasonable arrangements to reduce such hardship on the
public of collecting the debt.
Returned check charge. 1. As used in this section, (a) "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; and (b) "dishonored check" shall
mean a check, draft or like instrument drawn on a bank, depository or
financial institution as full or partial payment for an unpaid balance
on an account, or for other extensions of credit or payments of money,
which is not paid or is dishonored or is returned by such institution
due to insufficient funds or other cause not attributable to the state
of New York.
2. Any individual, business or other entity, which is not a state
agency, municipal corporation or district corporation, which makes
payment to a state agency by a check which is dishonored shall be liable
to such state agency for a returned check charge. The state director of
the budget shall: (i) promulgate such guidelines as the director deems
necessary to carry out the provisions of this section and (ii) establish
a reasonable monetary amount of the returned check charge which shall
not exceed the amount set forth in section 5-328 of the general
obligations law.
3. Any returned check charges assessed pursuant to this section shall
be paid upon notice and demand and shall be treated and collected in the
same manner as the original debt upon which the dishonored check was
received and shall be collected by a state agency when such agency deems
collection to be administratively practical and cost-effective.
4. The provisions of this section shall not supersede any provision of
law or regulation or contract which provides a remedy for the remittance
of a dishonored check to the state of New York.
5. All contracts entered into or any regulation promulgated on or
after the effective date of this section which waives the imposition of
returned check charges or imposes returned check charges in a manner
inconsistent with this section must be approved by the state division of
the budget.
Parking facilities; support for electric vehicle charging
stations. 1. For purposes of this section:
(a) the term "construction project" shall mean construction work
involving or including the construction of a new parking facility done
under contract which is paid for in whole or in part out of public funds
as such term is defined in section two hundred twenty-four-a of the
labor law. Any construction associated with the creation or
rehabilitation of residential dwelling units or manufactured home parks
that are exempted from the definition of "covered projects" as set forth
in section two hundred twenty-four-a of the labor law shall also be
exempted from this section; and
(b) the term "parking facility" shall mean a parking garage, parking
structure, or open parking lot that is paved and striped to designate
individual parking spaces for vehicles and which has fifty parking
spaces or more.
2. Any construction project undertaken in this state where the scope
of such project includes the construction of a new parking facility that
offers between fifty and two hundred parking spaces shall deliver a
parking facility capable of supporting electric vehicle charging
stations for a minimum of ten percent of available parking spaces
through one or more electrical raceways to the electric supply panel
serving such parking facility that shall be capable of providing a
minimum of forty amperes and two hundred eight volts of electrical
capacity to each charging station connected to the raceway. A common
raceway may be used to serve multiple parking spaces. Each raceway shall
terminate in close proximity to the parking spaces designated for
electric vehicles and into a suitable listed cabinet, box, or other
enclosure. Each such raceway, cabinet, box and enclosure and all other
components and work appurtenant thereto shall be in accordance with all
applicable state, county, city, town, or village electrical codes.
3. Any construction project undertaken in this state where the scope
of such project includes the construction of a new parking facility that
offers more than two hundred parking spaces shall deliver a parking
facility capable of supporting electric vehicle charging stations for a
minimum of twenty percent of available parking spaces through one or
more electrical raceways to the electric supply panel serving such
parking facility that shall be capable of providing a minimum of forty
amperes and two hundred eight volts of electrical capacity to each
charging station connected to the raceway. A common raceway may be used
to serve multiple parking spaces. Each raceway shall terminate in close
proximity to the parking spaces designated for electric vehicles and
into a suitable listed cabinet, box, or other enclosure. Each such
raceway, cabinet, box, and enclosure and all other components and work
appurtenant thereto shall be in accordance with all applicable state,
county, city, town, or village electrical codes.
4. Nothing in this section shall require the installation of electric
vehicle charging stations or any other infrastructure in any parking
facility except as provided in subdivisions two and three of this
section; provided that any construction projects undertaken pursuant to
subdivisions two and three of this section shall be subject to the
provisions of section two hundred twenty-four-a of the labor law as
applicable, provided, however, that any installation of electric vehicle
charging stations or any other infrastructure shall comply with the
provisions of article eight of the labor law, including the payment of
prevailing wage pursuant to section two hundred twenty of the labor law
in the locality where such parking facility is located. Provided,
further, however, that nothing in this section shall be interpreted to
modify the applicability or requirements set forth in article eight of
the labor law.
5. For any construction project covered by this section, the
provisions of subdivision two or three of this section shall not apply
if the state entity, political subdivision of the state, or other public
authority, public benefit corporation or governmental unit that is
providing the public funds for the construction project finds, in
consultation with the energy research and development authority and the
department of public service, that complying with such provisions would
not be in the public interest or would result in unnecessary hardship.
In making this determination, the state entity or other governmental
unit may consider the availability of sufficient electrical transmission
or distribution infrastructure or capacity. The state entity or other
governmental unit may consider whether to grant a full or partial
exemption from the requirements of subdivision two or three of this
section and whether there are alternative means to meet the objectives
of this section. Any exemption determination by a state agency or other
governmental unit shall be in writing, provided to the project owner,
and posted publicly on such state entity or governmental unit website.
6. The requirements of this section are intended to set a minimum
standard for the installation of electric vehicle charging
infrastructure in construction projects. If the construction project is
subject to any local, state, or federal law, regulation, code, or
ordinance that requires a higher percentage of parking spaces to have
charging infrastructure or requires a greater amount of charging
infrastructure, the construction project shall be required to comply
with those requirements rather than the requirements of this section.
ARTICLE 3 The Budget
Division of the budget. Functions, powers and duties of the
governor, under this article, shall belong to the executive department,
and shall be exercised and performed by the governor, or under his
direction, through the division of the budget.
Auxiliary powers of executive department. In aid of any powers
vested in the governor under this article, or under provisions of the
state departments law relative to revision of departmental estimates and
preparation of the budget, he or any authorized representative of the
division of the budget
1. Shall have access, at all reasonable times, to offices of state
departments and of divisions, bureaus and subordinates thereof, and to
state institutions and public works.
2. May examine all books, papers, records and documents in any such
office and institution.
3. May require any state officer, or head of a department or of a
division or bureau therein, or officer of a state institution, to
furnish such data, information or statements as may be necessary.
4. May take and hear proofs and testimony, administer oaths, subpoena
and compel the attendance of witnesses and compel the production of
books, papers, records and documents.
The budget; contents. The budget submitted annually by the
governor to the legislature, in accordance with article seven of the
constitution, in addition to the information required by the
constitution to be set forth therein, shall:
1. include a summary financial plan showing for each of the
governmental fund types: (a) the disbursements estimated to be made
before the close of the current fiscal year and the moneys estimated to
be available from receipts and other sources therefor; and (b) the
disbursements proposed to be made during the ensuing fiscal year, and
the moneys estimated to be available from receipts and other sources
therefor inclusive of any receipts which are expected to result from
proposed legislation which the governor deems necessary to provide
receipts sufficient to meet such proposed disbursements. For the
purposes of this summary financial plan, disbursements shall be
presented by the following purposes: state purposes, local assistance,
capital projects, debt service, and general state charges; receipts
shall be presented for each fund type by each revenue source which
accounts for at least one per centum of all such receipts and otherwise
by categories of revenue sources; receipts and disbursements for special
revenue funds shall be presented separately for federal funds and all
other special revenue funds. Whenever receipts or disbursements are
proposed to be moved to a different fund type, each significant amount
so moved shall be identified.
1-a. within ten days following the submission of the financial plans
presented in accordance with subdivision one of this section, the
director of the budget shall submit to the chairs of the senate finance
and the assembly ways and means committees and the comptroller summary
financial plans of receipts and disbursements for the internal service,
enterprise, and fiduciary fund types.
1-b. within ten days of the submission of the financial plan for the
special revenue fund type, the director of the budget shall submit to
the chairs of the senate finance and assembly ways and means committees
a schedule of receipts and disbursements by account within each special
revenue fund, excluding those which are financed primarily by federal
grants.
1-c. within ten days following the submission of the financial plans
presented in accordance with subdivision one of this section, the
director of the budget shall submit to the chairs of the senate finance
and the assembly ways and means committees and the comptroller an
estimate of the fiscal impact of the executive budget general fund
changes on local governments and, where practicable, the fiscal impact
on local governments of the executive budget all fund changes concerning
the medicaid program, homeland security program, and workforce
investment programs. Such estimate shall be presented by class of local
government and shall measure all of the impacts of the executive budget,
including aid program changes, reimbursement changes, statutory changes
in authorizations for local taxation, mandates on local governments and
other requirements. Such estimate shall show the impact on local
governments by local fiscal years affected and shall cover the first
local fiscal year affected as well as the ensuing local fiscal year.
Where such estimate depends on any local option or action, the estimate
shall explicitly describe the assumptions used to calculate the
estimate. When under existing law a local tax option or program would
end and the executive budget proposes the continuation thereof, the
impact shall be identified as a "deferral of sunset" and shall be
calculated as a separate component of such estimate.
2. show for each fund type (unless otherwise specified) in a form
suitable for comparison:
a. The appropriations, including reappropriations, made for the
current fiscal year, the appropriations and reappropriations recommended
for the ensuing fiscal year, the disbursements estimated to be made
before the close of the current fiscal year and proposed to be made
during the ensuing fiscal year based upon available and recommended
appropriations and reappropriations. Disbursements proposed to be made
shall be shown in separate parts as follows: those disbursements
proposed to be made for state purposes shall be set forth in one part,
those disbursements proposed to be made for local assistance shall be
set forth in another separate and distinct part, those disbursements
proposed to be made for capital projects shall be set forth in a third
separate and distinct part and those disbursements proposed to be made
for debt service shall be set forth in a fourth separate and distinct
part. The effect of any proposed changes in the payment dates of
particular disbursements on the financial plan presented in accordance
with subdivision one of this section shall be set forth separately.
a-1. For each state agency, the appropriations, including
reappropriations, made for the current fiscal year and recommended for
the ensuing fiscal year for contracts for services made for state
purposes.
a-2. For each state agency, the disbursements estimated to be made
before the close of the current fiscal year and proposed to be made
during the ensuing fiscal year for contracts for services made for state
purposes.
a-3. For each state agency, the estimated number of employees hired
for the current fiscal year and anticipated to be hired during the
ensuing fiscal year pursuant to contracts for services made for state
purposes based upon annual employment reports submitted by contractors
pursuant to section one hundred sixty-three of this chapter.
b. In separate sections for each fund type, the receipts actually had
and received during the preceding fiscal year, the receipts estimated to
be available and received during the current and ensuing fiscal years
respectively listed by each major source, including statistical and
summary tables and a narrative which includes a discussion of the
assumptions used in estimating such receipts. The effect of any proposed
changes in the rates, bases, payment dates or other aspects of
particular sources of receipts on the financial plan presented in
accordance with subdivision one of this section shall be set forth
separately and the assumptions used in calculating such effect. Whenever
a new fee or a new financing mechanism is proposed, a schedule of the
new fee or financing mechanism shall be included for purposes of showing
the effect of the new fee or financing mechanism on the financial plan.
c. Within ten days following the submission of the financial plans
presented in accordance with subdivision one of this section, the
director of the budget shall submit to the comptroller and the chairs of
the senate finance committee and the assembly ways and means committee:
(i) a detailed schedule by fund of the receipts and disbursements
comprising such summary financial plan;
(ii) a detailed schedule by fund of receipts for the prior, current
and next three fiscal years. Such schedule shall present the major
revenue sources for each fund, including detail for each major tax, and
major components of miscellaneous receipts; and
(iii) an itemized list of transfers to and from the general fund.
d. The anticipated general fund quarterly schedule and fiscal year
total for the prior, current and next ensuing fiscal years of:
disbursements; receipts; repayments of advances; total tax refunds; and
refunds for the tax imposed under article twenty-two of the tax law.
Such information shall be presented in the same form as the summary
financial plans presented in accordance with subdivision one of this
section. A separate, detailed, report of such schedule shall be provided
with receipts shown by each major revenue category, including detail for
each major tax and major components of miscellaneous receipts, and with
disbursements shown by major function or program. The director of the
division of the budget shall submit concurrent with the submission of
the financial plan to the legislature pursuant to subdivision one of
this section and with each update thereafter a revised monthly general
fund cash flow projection of receipts and disbursements for the current
fiscal year that: (1) compares actual results to (i) actual results
through the same period for the prior year and (ii) the most recent
prior update to the financial plan and to the enacted budget financial
plan; (2) summarizes the reasons for any variances; and (3) describes
the revisions to the cash flow projections. The monthly general fund
cash flow projection shall be stated by major category of local
assistance, personal service, nonpersonal service, general state
charges, and debt service, and by major category of revenue. Such
reports shall utilize a format that shall facilitate comparison and
analysis with those reports submitted to the legislature by the office
of audit and control pursuant to subdivision nine of section eight of
this chapter.
d-1. Within ten days following the submission of the financial plans
presented in accordance with subdivision one of this section, the
anticipated general fund monthly and governmental fund types quarterly
schedule and fiscal year total for the ensuing fiscal year of:
disbursements; receipts; repayments of advances; total tax refunds; and
refunds for the tax imposed under article twenty-two of the tax law.
Such information shall be presented in the same form as the summary
financial plans presented in accordance with subdivision one of this
section.
d-2. A description of employment levels for each state department,
division or office, for the prior, current and next ensuing fiscal year
containing:
(1) separate schedules for each fund type; and
(2) an all funds summary. Such information shall be presented in a
form that facilitates comparisons among agencies and across fiscal
years, and shall include:
(i) actual and projected full-time equivalents; and
(ii) proposed changes to the work force in the executive budget,
including but not limited to: new positions, layoffs, attrition, and
changes in funding sources. To the extent practicable, the division of
the budget shall facilitate the provision of other relevant information
on employment to the legislature in a timely manner during the state
fiscal year.
e. A statement explaining any differences between the significant
accounting policies used in the preparation of the documents required to
be submitted pursuant to this section and those used by the comptroller
in the preparation of the financial statements contained in the annual
report to the legislature for the preceding fiscal year issued pursuant
to subdivision nine of section eight of this chapter.
f. The estimated borrowings in anticipation of the receipt of taxes
and revenues and the amount of interest estimated to be paid thereon
during the current and ensuing fiscal years respectively, and the
amounts actually so borrowed and the interest actually paid thereon
during the preceding fiscal year.
g. In connection with each statement of receipts from taxes imposed
pursuant to state law, the total amounts collected or estimated to be
collected therefrom.
h. A statement setting forth state involvement in the fiscal
operations of those public authorities and public benefit corporations
which may be part of the development of a comprehensive state budget
system and provided therefor in the state financial plan. Such statement
shall include those public authorities and public benefit corporations
with disbursements which are not currently reflected in the state
central accounting system from proceeds of any notes or bonds issued by
any public authority, and which bonds or notes would be considered as
state-supported debt as defined in section sixty-seven-a of this
chapter. Such statement shall set forth the amount of all of the bonds,
notes and other obligations of each public authority, public benefit
corporation and all other agencies and instrumentalities of the state
for which the full faith and credit of the state has been pledged or on
account of which the state has by law given its pledge or assurance for
the continued operation and solvency of the authority, public
corporation, or other agency or instrumentality of the state, as the
case may be. Such statement shall also set forth all proposed
appropriations to be made to any public authority, public benefit
corporation, and any other agency or instrumentality of the state which
has been created or continued by law and which is separate and distinct
from the state itself.
i. Include a summary financial plan for the funds of the state
receiving tax check-off monies which shall include estimates of all
receipts and all disbursements for the current and succeeding fiscal
years, along with the actual results from the prior fiscal year.
3. Include a three year financial projection showing the anticipated
disbursements and receipts for each of the governmental fund types of
the state. For the purposes of this three year financial projection,
disbursements shall be presented by the following purposes: state
purposes, local assistance, capital projects, debt service, transfers
and general state charges with each major function or major program
identified separately within each purpose; and receipts shall be
presented by each major revenue category, including detail for each
major tax, and major components of miscellaneous receipts and with
disbursements shown by major function or program for the prior year,
current year and next three fiscal years, and otherwise by each major
source which is separately estimated and presented pursuant to paragraph
b of subdivision two of this section. Receipts and disbursements for
special revenue funds shall be presented separately for federal funds
and all other special revenue funds. Whenever receipts and disbursements
are proposed to be moved to a different fund type, each significant
amount so moved shall be explained. This three year financial projection
shall include an explanation of any changes to the financial plans
submitted in accordance with subdivision one of this section and include
explanations of the economic, statutory and other assumptions used to
estimate the disbursements and receipts which are presented. Whenever
the projections for receipts and disbursements are based on assumptions
other than the current levels of service, such assumptions shall be
separately identified and explained. The three year financial
projections shall include a description of any projected deficits or
surpluses.
4. Include a summary statement of operations for the proprietary and
fiduciary fund types. Such summary statement of operations shall include
the estimated and projected receipts of and disbursements from
appropriations and reappropriations available or recommended from such
fund types in the budget bills submitted by the governor pursuant to
section twenty-four of this article. Such summary statement of
operations shall be revised as soon as is practical after the
legislature has completed action on such budget bills.
5. Include a list of proposed legislation submitted pursuant to
section three of article seven of the constitution.
6. Notwithstanding any provision of law to the contrary, budgets
submitted pursuant to this section shall not recommend first instance
expenditures. Any anticipated reimbursement of proposed expenditures
shall be shown as receipts or revenues to the appropriate fund.
7. Within ten days following the submission of the budget by the
governor, the director of the budget shall transmit to the chairs of the
senate finance committee and the assembly ways and means committee a
report, by agency, program, and fund, including but not limited to, the
following information pertaining to financed equipment acquisitions for
state departments, agencies and units of the state university and the
city university of New York including those financed equipment
acquisitions financed by the issuance of certificates of participation
or similar instruments for state departments, agencies and units of the
state and city universities of New York:
a. For new financed equipment acquisitions to be financed in the
ensuing fiscal year:
(1) An identification of the purposes of such financings, including:
(i) The nature of the equipment to be financed.
(ii) Whether the purposes are new financings or refinancings of
outstanding lease purchase and installment purchase agreements.
(iii) The recommended method of financing.
(2) The estimated purchase cost of the equipment if purchased
outright.
(3) The estimated interest rate and term of such financings.
(4) The estimated expenses for the issuances of such certificates or
similar instruments as such expenses are defined in section sixty-six-b
of this chapter.
(5) A schedule of estimated lease purchase payments by state fiscal
year for such financings, and estimated total financing costs.
b. For outstanding financed equipment acquisitions as of April first
of the ensuing fiscal year the total estimated amount for lease or
installment purchase payments for the ensuing fiscal year.
c. For outstanding financed equipment acquisitions financed by
certificates of participation the financing costs of outstanding
certificates of participation and similar instruments issued pursuant to
section sixty-six-b of this chapter with estimated payment schedules of
all such outstanding obligations.
8. Include a summary of disbursements by function of state government
for the preceding fiscal year and the estimated disbursements for the
current and ensuing fiscal years in a form suitable for comparison. Such
summary shall present such disbursements by purpose as set forth in
subdivision one of this section and also including special revenue
funds-federal and special revenue funds-other. Such summary shall also
describe the state entities, as defined by section two-a of this
chapter, within each function. For the fiscal year beginning in nineteen
hundred ninety-three, such summary shall be presented within ten days of
the budget submission for the general fund, special revenue funds-other,
capital projects funds and debt service funds. For the fiscal year
beginning in nineteen hundred ninety-four, such summary shall be
presented with the budget for the general fund and within ten days of
the budget submission for special revenue funds-other, capital projects
funds and debt service funds. For fiscal years beginning in nineteen
hundred ninety-five and thereafter, such summary shall be presented with
the budget.
9. Include a statement showing projected disbursement for the current
fiscal year and proposed disbursements for the ensuing fiscal year by
agency and bill and fund type. For the fiscal year beginning in nineteen
hundred ninety-three, such statement shall be presented within ten days
of the budget submission for the general fund, special revenue
funds-other, capital projects funds and debt service funds. For the
fiscal year beginning in nineteen hundred ninety-four, such summary
shall be presented with the budget for the general fund and within ten
days of the budget submission for special revenue funds-other, capital
projects funds and debt service funds. For fiscal years beginning in
nineteen hundred ninety-five and thereafter, such summary shall be
presented with the budget.
10. Within ten days following the submission of the financial plans
presented in accordance with subdivision one of this section, the
director of the budget shall submit to the chairs of the senate finance
committee and the assembly ways and means committee for the prior, the
current and next ensuing fiscal years detailed schedules by agency for
the general fund showing proposed appropriations in the state operations
and aid to localities budget bills with disbursements to be made against
such appropriations, as well as disbursements to be made against any
existing appropriations.
11. a. With respect to any proposed appropriations for the purpose of
remedying state agency violations or past problems of the environmental
conservation law or regulations adopted thereunder within the proposed
budget submitted annually by the governor to the legislature shall, set
forth the amount recommended to remedy each functional category of
violation. A priority criterion to be considered in determining such
recommended appropriations shall be the ranking of such violations and
past problems as determined by the agency pursuant to paragraph b of
subdivision one of section 3-0311 of the environmental conservation law,
with any reordering of rankings as determined by the department of
environmental conservation. Amounts appropriated shall be disbursed for
remediation of the violation or problem only after review and
determination by the department of environmental conservation of the
adequacy of the remedial plan pursuant to paragraph g of subdivision
three of section 3-0311 of the environmental conservation law.
b. Within thirty days following the submission of the budget by the
governor for each fiscal year, beginning with the nineteen hundred
ninety-three--ninety-four fiscal year, the director of the budget shall
transmit to the chairs of the senate finance committee and the assembly
ways and means committee a report which includes project specific
information for proposed appropriations for the purposes of remedying
state agency environmental violations or problems, as identified
pursuant to section 3-0311 of the environmental conservation law,
contained within such submitted budget.
12. Include a summary financial plan for all research institutes which
shall set forth:
a. estimates of all revenues and all expenses for the current and
succeeding fiscal years, along with the actual results from the prior
fiscal year; and
b. any agreement whereby any state agency will provide financial
support or any other assistance to cover any operating loss for such
research institute.
13. a. With respect to information technology projects, dependent on
funding in the executive budget, involving one or more contracts
projected to total ten million dollars or more, within thirty days
following the submission of the budget by the governor for each fiscal
year, beginning with the two thousand eight--two thousand nine fiscal
year, the director of the budget shall transmit to the chairs of the
senate finance committee and the assembly ways and means committee a
report which shall set forth the following:
(1) project summary describing the project purpose, proposed approach,
key milestones, current status and timetable;
(2) the proposed method of procurement, including whether the project
will, in whole or in part, utilize a centralized contract or a
sole-source contract; and
(3) the proposed funding source, financing method and estimated costs
by fiscal year.
b. Information provided pursuant to paragraph a of this subdivision
may not be disclosed to any party other than a governmental entity as
defined in section one hundred thirty-nine-j of this chapter, if such
disclosure would impair the fairness or competitiveness of a pending or
potential procurement process.
Estimated costs by fiscal year shall not be disclosed.
14. The division of the budget shall prepare the reports, schedules,
and other information described in this subdivision. To the extent
practicable, such reports, schedules, and information shall be in a
form, and presented at a level of detail, that facilitates comparison on
an annual basis and against actual results, as appropriate, and in a
manner consistent with the other reporting requirements enumerated in
this section. The reports, schedules, and other information required by
this subdivision shall be submitted to the chair of the senate finance
committee, the chair of the assembly ways and means committee, the
minority leaders of both houses, and the comptroller according to the
schedules set forth in this section. In determining the final content
and format of the information required by this section, the division of
the budget shall consult annually with the designees of the temporary
president of the senate, the speaker of the assembly, the minority
leaders of both houses, and the comptroller. All information described
in this subdivision shall be made available to the public.
a. The executive budget, the enacted budget report and each quarterly
update to the financial plan shall include an updated general fund
forecast of receipts and disbursements for the current and two
succeeding fiscal years. Such updated forecast shall clearly identify
and explain the revisions to the receipts and disbursements projections
from the most recent prior update to the financial plan, and any
significant revisions to the underlying factors affecting receipts and
disbursements by major function, and may include, but not be limited to:
caseload, service, and utilization rates; demographic trends; economic
variables; pension fund performance; incarceration rates; prescription
drug prices; health insurance premiums; inflation; contractual
obligations; litigation; and state employment trends.
b. The capital program and financing plan submitted pursuant to
section twenty-two-c of this article, and the update thereto required
pursuant to section twenty-three of this article, shall include a report
on the management of state-supported debt. Such report may include, but
is not limited to: (1) an assessment of the affordability of state debt,
including debt as a percent of personal income, debt per capita, and
debt service costs as a percent of the budget; (2) a summary and
analysis of the interest rate exchange agreements and variable rate
exposure; and (3) an assessment of financing opportunities related to
the state's debt portfolio.
15. The governor shall make all practicable efforts to amend or
supplement the budget and submit supplemental bills or amendments to any
bills pursuant to article seven of the constitution within twenty-one
days after the budget is submitted to the legislature.
16. The amended executive budget required to be submitted within
thirty days after the submission of the executive budget to the
legislature in accordance with article seven of the constitution of the
state of New York, in addition to the information required by the
constitution of the state of New York to be set forth therein, shall
include:
a. a summary financial plan showing for each of the governmental fund
types: (1) all of the expenditures estimated to be made, in accordance
with generally accepted accounting principles, before the close of the
current fiscal year and all of the expenditures proposed to be made, in
accordance with generally accepted accounting principles, during the
ensuing fiscal year; and (2) all of the revenues estimated to accrue, in
accordance with generally accepted accounting principles, before the
close of the current fiscal year and during the ensuing fiscal year
inclusive of any revenues which are expected to result from the proposed
legislation which is deemed necessary to provide receipts sufficient to
meet proposed disbursements. For the purposes of such summary financial
plan, expenditures shall be presented by the following purposes: state
purposes, local assistance, capital projects, debt service, and general
state charges; and revenues shall be presented by each revenue source
which accounts for at least one per centum of all such revenues and
otherwise by categories of revenue sources;
b. the expenditures estimated to be made in accordance with generally
accepted accounting principles before the close of the current fiscal
year and proposed to be made in accordance with generally accepted
accounting principles during the ensuing fiscal year. Expenditures
estimated and proposed to be made shall be shown in separate parts as
follows: those expenditures for state purposes shall be set forth in one
part, those expenditures for local assistance shall be set forth in
another separate and distinct part, those expenditures for capital
projects shall be set forth in a third separate and distinct part, and
those expenditures for debt service shall be set forth in a fourth
separate and distinct part;
c. the revenues actually accrued in the preceding fiscal year and the
revenues estimated to accrue during current and ensuing fiscal years,
respectively. Revenues from each tax shall be shown both in total and
net of refunds;
d. a schedule for the general fund showing the differences between
projected operating results on a cash basis and those on the basis of
generally accepted accounting principles;
e. a schedule for each governmental fund type other than the general
fund showing the differences between projected operating results on a
cash basis and those on the basis of generally accepted accounting
principles; and
f. a detailed schedule by fund of revenues and expenditures within the
general fund.
Synopsis of requests for appropriations; submittal by budget
director. The director of the budget shall, within thirty days following
receipt of the requested appropriations pursuant to the first paragraph
of section one of article seven of the constitution, submit to the
chairs of the assembly ways and means committee and the senate finance
committee a synopsis of such requests, including but not limited to: (a)
a schedule of appropriations requested as compared to the prior year,
(b) a brief description of the department's, division's or office's
priorities for receiving funding, and (c) a discussion of major changes
or initiatives recommended for the ensuing fiscal year.
Report of the legislature on the enacted budget. Within thirty
days of passage of the budget the senate and the assembly shall issue,
either jointly or separately, a legislative report on the budget. Such
report shall contain a description of appropriation changes between the
budget submitted by the governor and the enacted budget and the effect
of such changes on employment levels. Commencing with fiscal year
nineteen hundred ninety-four--nineteen hundred ninety-five, such report
shall also summarize changes in appropriations by function in a form
suitable for comparison with the schedule required to be submitted with
the governor's proposed budget. Commencing with fiscal year two thousand
seven--two thousand eight, such report shall also include an estimate of
the impact of the enacted budget on local governments, the state
workforce, and general fund projections for the ensuing fiscal year,
consistent with the requirements of subdivision one-c of section
twenty-two of this article. The findings and descriptions contained in
the report required by this section shall constitute the expression of
legislative intent with respect to the budget to which such report
relates.
Capital program and financing plan. The governor shall
annually submit to the legislature a capital program and financing plan
concurrent with the executive budget, in addition to the information
required by section twenty-two of this article. The plan shall contain a
comprehensive assessment of the capital assets and program needs of all
state agencies, a review and analysis of how such requirements would be
financed, an analysis of the affordability of state-supported debt, and
an analysis of all costs related to the financing of such plan.
1. When used in this section, the following terms shall have the
following meanings:
(a) "Comprehensive construction program" shall mean the categories or
groups of one or more capital appropriations which have a common
objective within a capital program.
(b) "Director" shall mean the director of the division of the budget
of the state of New York.
(c) "Pay-as-you-go" financing shall mean transfers from the general
fund to capital projects funds, and any taxes, user fees, repayment of
advances, or miscellaneous receipts from non-bond proceeds deposited to
capital projects funds.
(d) "Plan" shall mean the capital program and financing plan required
by this section.
(e) "State agency" shall mean any state department or agency,
including any public benefit corporation, except a public benefit
corporation whose members are appointed by the governing board or an
officer of a county, city, town or village, or other instrumentality of
the state.
(f) "State-supported debt" shall mean any bonds or notes issued by the
state or a state public corporation for which the state is
constitutionally obligated to pay debt service or is contractually
obligated to pay debt service subject to an appropriation, except where
the state has a contingent contractual obligation.
2. The governor and/or his or her designee shall conduct hearings
annually on the capital needs of the state at which state agencies shall
present an assessment of the needs of their capital programs. Such
hearings shall be open to the public who shall be afforded the
opportunity to comment.
3. The capital program and financing plan shall contain the following
information:
(a) A summary which shall include an overview of the major capital
programs, an explanation of the major sources of financing for such
plan, and an assessment of the fiscal impact of the plan's financing
methods on the financial plan of the state.
(b) For each major capital program which may include, but need not be
limited to, transportation, mental hygiene, public protection,
environment and recreation, education, housing and economic development,
and general government, the plan shall include the following:
(i) an overview of the capital program's goals and objectives, agency
responsibilities, prior capital program activities, accomplishments
during the prior fiscal year and an explanation of any significant
delays in achieving the prior fiscal year's plans, an explanation of how
any proposed capital funding will address continuing capital
requirements and new program initiatives, and an explanation of the
impact of the capital plan on the current and future operations of state
agencies and their ability to deliver services or accomplish their
missions;
(ii) a summary of the capital program's remaining existing
appropriations and anticipated future appropriations by each
comprehensive construction program and fund for the current fiscal year
and each of the next five fiscal years;
(iii) a summary of the capital program's projected capital
construction contract commitments for the current fiscal year and each
of the next five fiscal years and a comparison with previous commitment
plans;
(iv) a summary of the capital program's estimated disbursements from
existing appropriations and from anticipated future appropriations by
each comprehensive construction program and fund for at least the prior
fiscal year, the current fiscal year and each of the next five fiscal
years, and a summary of how these estimated disbursements are
anticipated to be financed;
(v) a summary of maintenance activities which are anticipated to be
undertaken or continued in the next five fiscal years for the state's
capital programs and a summary of the scheduled maintenance requirements
developed pursuant to section twenty-six of this article; and
(vi) a summary schedule showing the age, condition and estimated
remaining useful life as of September thirtieth of each year for all
existing capital assets or capital asset types with a replacement cost
of not less than five million dollars, under the jurisdiction of all
state agencies subject to the provisions of this section.
(c) A statement of the mix of financing sources for the plan which
shall include, for the current fiscal year and each of the next five
fiscal years, the following:
(i) the annual total of pay-as-you-go financed capital disbursements
proposed for each capital program, by agency, and the annual total of
pay-as-you-go financed capital disbursements as a percentage of the
annual total of capital projects disbursements;
(ii) the annual total of bond-financed capital disbursements proposed
for each capital program, by agency, identified separately for general
obligation bonds and revenue bonds of the state, and any other bonds,
and the annual total of bond-financed capital disbursements as a
percentage of the annual total of capital projects disbursements;
(iii) the annual total of federal-grant-financed capital disbursements
for each capital program, by agency, and the annual total of
federal-grant-financed capital disbursements as a percentage of the
annual total of capital projects disbursements;
(iv) schedules of the projected annual state-supported bond issuances,
proposed for each capital program, by agency, by issuer, and an analysis
of existing debt authorizations and the need for any additional
authorizations;
(v) schedules of projected outstanding bonds, including retirements by
year identified separately for state-supported bond issuances by issuer,
and by capital program by agency, where practicable;
(vi) schedules of the projected personal income of the state and the
projected ratio of outstanding state-supported bonds to personal income;
(vii) schedules of projected state-supported debt service costs by
issuer, and by capital program by agency, where practicable; and
(viii) an analysis of trends in municipal bond interest rates and an
explanation of the interest rate assumptions, timing of principal and
interest payments, and the timing and size of projected state-supported
bond sales used in the debt service projections.
(d) The capital program and financing plan, which is current, accurate
and reflective of all previous legislative enactments and of the
governor's plan, shall also include the following: A detailed schedule,
by state agency and for each state agency by fund, of all capital
projects which the governor recommends or anticipates be undertaken or
continued by any state agency in the next five fiscal years, which shall
provide the following information for each such capital projects:
(i) a capital plan project reference number which shall be
consistently assigned each year solely to such project,
(ii) a description of the project in less than thirty words,
(iii) an indication of the category into which the project has been
classified in the capital plan,
(iv) the estimated total cost of the project,
(v) the total of all disbursements for the project made prior to the
then current fiscal year,
(vi) the total amount of disbursements for the project estimated to be
made during the current fiscal year and during each of the next ensuing
five fiscal years, provided however, that (A) the information required
by this subparagraph may be provided for groupings of projects in those
cases where the governor determines it cannot be provided on a project
by project basis, and (B) the total of all disbursements estimated in
accordance with the requirements of this subparagraph to be made for all
capital projects during the current fiscal year and during each of the
next ensuing five fiscal years, excluding those disbursements which are
estimated in accordance with the requirements of this subparagraph to be
made by public benefit corporations and which are not subject to
appropriations, shall be equal, respectively, to the total of all
disbursements estimated, in the financial projections required by
subdivisions one and three of section twenty-two of this article, to be
made for all capital projects during the then current fiscal year and
during each of the next ensuing five fiscal years,
(vii) the estimated date of project completion,
(viii) the amount of the project cost for which the state or state
agency will be contractually obligated as of the close of the then
current fiscal year, and
(ix) subtotals of the information required by subparagraphs four,
five, six and eight of this paragraph by agency and within each agency
for each of the categories into which the individual capital projects
appropriations are classified in the appropriations bill involved.
(e) A comprehensive financial report and plan for the dedicated
highway and bridge trust fund established by section eighty-nine-b of
this chapter, which shall be submitted to the comptroller at the same
time as the plan is submitted to the legislature, and which shall
include the following information pertaining to the dedicated highway
and bridge trust fund separately stated for the last completed fiscal
year, the current fiscal year and the next five fiscal years:
(i) a detailed description of all actual and projected revenues of the
dedicated highway and bridge trust fund, separately stating the amount
received or expected to be received from bond proceeds, and the amounts,
separately identified, received or expected to be received from taxes,
fees, transfers, or other sources;
(ii) a detailed description of actual or planned disbursements and
transfers from the dedicated highway and bridge trust fund, separately
stating in the aggregate the amounts disbursed or transferred or planned
to be disbursed or transferred for (A) debt service costs, (B) capital
project costs, (C) state operations costs, (D) costs of contracts for
engineering and similar or related services related to capital project
costs and state operations, and (E) the costs of state employees to
provide similar services on projects for which service contracts are not
expected to be used, and further separately stating the amounts of such
capital project and state operations costs disbursed or planned to be
disbursed for personal service and non-personal service costs
(f) For the preceding four fiscal years and the current fiscal year,
the bond coverage ratio on an annual basis, including the formula used
to compute such ratio and the source of that formula.
(g) An explanation of any deficit projected for the end of any fiscal
year covered by the plan stating whether the projected deficit is
expected to be caused by an imbalance between projected revenues and
projected expenditures, or by the timing of payments within a fiscal
year, or by other causes.
(h) A detailed description of actual or proposed appropriations and
reappropriations from the dedicated highway and bridge trust fund, and
the actual or planned disbursements pursuant to such appropriations and
reappropriations.
(i) An explanation of any actions proposed to be taken to achieve
increased opportunity for meaningful participation in the performance of
state contracts by minority and women-owned business enterprises in
accordance with article fifteen-A of the executive law, including a
compliance report to be submitted by July first of each year commencing
with the two thousand five--two thousand six fiscal year and for each
subsequent year thereafter that includes: all the items of information
required in accordance with regulations promulgated by the director of
the division of minority and women's business development in the
department of economic development under article fifteen-A of the
executive law; goals for participation by certified minority or
women-owned business enterprises for such fiscal year; and a description
of the types of expenditures, projects or contracts.
(j) Such other information as shall be necessary to present a full and
accurate description of the financial position of the dedicated highway
and bridge trust fund.
For the purposes of this subdivision, capital projects of less than
fifty thousand dollars may be grouped into appropriate categories.
4. (a) For the purposes of subdivision three of this section, the term
"state agency" shall mean any state department or agency, including any
public benefit corporation, except a public benefit corporation whose
members are appointed by the governing board or an officer of a county,
city, town or village, or other instrumentality of the state.
(b) For the purposes of subdivision three of this section, the term
"capital project" as defined in a subdivision two-a of section two of
this chapter shall include any project which is being, has been or is
proposed to be:
(i) financed by the issuance of bonds, notes or other evidences of
indebtedness of the state or any public benefit corporation thereof,
except a public benefit corporation whose members are appointed by the
governing board or an officer of a county, city, town or village;
(ii) funded by an appropriation from any fund of the state classified
by the comptroller, in accordance with section seventy of this chapter,
as a capital project fund; or
(iii) funded by an appropriation from any fund of the state, other
than a fund classified as a capital projects fund, where the specific
expenditure involved is declared by law to be for a capital project or
is determined to be for a capital project under standards as they may be
prescribed from time to time by the director with the concurrence of the
comptroller; provided further that
(iv) the governor may exempt from the requirements of subdivision
three of this section any project financed by public benefit corporation
programs which are used as sources of capital for private clients
provided that neither the state nor the public benefit corporation
involved are in any way liable for the debt of such projects, and he may
also exempt debt issued by the job development authority pursuant to
title eight of article eight of the public authorities law, and provided
further that any such exemptions shall not impair the effectiveness of
the capital plan being prepared and submitted pursuant to this
subdivision.
5. Within forty days following the submission of the budget submitted
annually by the governor to the legislature, in accordance with article
seven of the constitution, the director of the budget shall submit to
the chairs of the senate finance committee and the assembly ways and
means committee a listing of any changes to the capital program and
financing plan submitted originally with the executive budget. At the
same time, the director of the budget shall also submit to the
comptroller a copy of the portion of such listing showing any changes to
the comprehensive financial plan required by paragraph (e) of
subdivision three of this section.
6. By the later of July thirtieth or ninety days after the enactment
of all bills that constitute the budget by the legislature, the governor
shall submit to the legislature an update to the capital program and
financing plan, which shall contain such updated information in the same
form as prescribed in subdivision three of this section, and an
explanation of any changes from the previously submitted capital program
and financing plan. At the same time, the governor shall also submit to
the comptroller a copy of the portion of such update containing updated
information in the same form as prescribed by paragraph (e) of
subdivision three of this section, and an explanation of any changes to
the comprehensive financial plan required by paragraph (e) of
subdivision three of this section.
Plans and estimates. 1. Capital projects design and construction
plans; preparation, approval and implementation. It shall be the duty of
the division of the budget to coordinate the activities of the several
departments and agencies of the state with respect to the planning and
implementation of state capital projects proposed to be undertaken by
the departments and agencies, and in the discharge of the duty the
director of the budget shall, with the approval of the governor,
establish appropriate procedures with respect to the planning and
implementation. The head of any department or agency of the state
proposing to undertake the design or construction of a capital project
shall apply to the division of the budget and request approval for any
such work to be undertaken. The director of the budget may approve or
disapprove any such application, and if approved, may authorize the
preparation of plans for the project or the advertising for bids for the
construction of the project and may allocate funds therefor from any
moneys appropriated and available for the purpose.
2. Capital projects; initial submissions. So far as may be possible,
the governor shall cause to be submitted to the chairman of the senate
finance committee and the chairman of the assembly ways and means
committee for the use of the committees and the information of the
legislature, at or prior to the time that the budget is submitted,
preliminary plans and estimates relating to each of the capital projects
for which appropriations are recommended in the budget, and in the case
of proposed acquisitions of land, a general approximation of the
location of the land.
3. Financial plans and capital improvement program; revisions. Not
later than thirty days after the legislature has completed action on the
budget bills submitted by the governor and the period for the governor's
review has elapsed, the governor shall cause to be submitted to the
legislature the revisions to the financial plans and the capital plan
required by subdivisions one, two, three, four and paragraph (a) of
subdivision sixteen of section twenty-two of this article as are
necessary to account for all enactments affecting the financial plans
and the capital plan. The financial plan shall also contain a cash flow
analysis of projected receipts and disbursements and other financing
sources or uses for each month of the state's fiscal year.
Notwithstanding any other law to the contrary, such revised plans and
accompanying cash flow analysis shall be submitted to the legislature
and the comptroller in the same form as the plans required by such
subdivisions.
4. Financial plan updates. Quarterly, throughout the fiscal year, the
governor shall submit to the comptroller, the chairs of the senate
finance and the assembly ways and means committees, within thirty days
of the close of the quarter to which it shall pertain, a report which
summarizes the actual experience to date and projections for the
remaining quarters of the current fiscal year and for each of the next
two fiscal years of receipts, disbursements, tax refunds, and repayments
of advances presented in forms suitable for comparison with the
financial plan submitted pursuant to subdivisions one, three and four of
section twenty-two of this article and revised in accordance with the
provisions of subdivision three of this section. The governor shall
submit with the budget a similar report that summarizes revenue and
expenditure experience to date in a form suitable for comparison with
the financial plan submitted pursuant to paragraph a of subdivision
sixteen of section twenty-two of this article and revised in accordance
with the provisions of subdivision three of this section. Such reports
shall provide an explanation of the causes of any major deviations from
the revised financial plans and, shall provide for the amendment of the
plan or plans to reflect those deviations. The governor may, if the
governor determines it advisable, provide more frequent reports to the
legislature regarding actual experience as compared to the financial
plans. The quarterly financial plan update most proximate to October
thirty-first of each year shall include the calculation of the
limitations on the issuance of state-supported debt computed pursuant to
the provisions of subdivisions one and two of section sixty-seven-b of
this chapter.
5. Financial information review. Annually on or before November
fifteenth, the governor, temporary president of the senate, the speaker
of the assembly and the comptroller shall cause their respective
appropriate personnel to meet and such meeting shall be open to the
public for the purpose of jointly reviewing available financial
information to facilitate timely adoption of a budget for the next
fiscal year. Such review shall include meetings to discuss the economic
outlook, revenue forecasts, projected spending, the impact of relevant
state and federal statutory provisions, and any other matters deemed
appropriate. Not later than November fifth, such respective appropriate
personnel shall separately prepare and make available reports on
estimated state receipts and state disbursements for the current and
ensuing fiscal years. Each report on estimated state receipts shall
include, but shall not be limited to, estimated tax receipts on an
all-funds basis, estimated lottery receipts, estimated miscellaneous
receipts to be received in the general fund, and the underlying factors
and data upon which such estimated receipts are based. Each report on
estimated state disbursements shall include, but shall not be limited
to, estimates of state disbursements for Medicaid and the underlying
factors and data on which such estimates are based, estimates of state
disbursements for public assistance and the underlying caseload and
other factors and data on which such estimates are based, and estimates
of state disbursements for assistance for elementary and secondary
education and the underlying factors and data on which such estimates
are based. The governor, temporary president of the senate and the
speaker of the assembly shall cause their respective appropriate
personnel to meet annually on or after November fifth to review the
separate reports on estimated state receipts and state disbursements.
The respective appropriate personnel shall identify and evaluate the
differences between the estimates of state receipts and state
disbursements, and the differences between the underlying factors and
data on which such estimates are based, and separately report such
differences and the evaluation thereof to their principals. Not later
than November fifteenth the governor, the temporary president of the
senate and the speaker of the assembly shall jointly prepare and make
available on their internet websites a report on the actual, estimated
and projected state receipts and state disbursements for the prior,
current and ensuing fiscal years, respectively, for all funds of the
state. Subsequent review shall be held within six weeks following the
end of the first quarter of the fiscal year.
6. Consensus economic and revenue forecasting conference; report. (a)
By the end of February in each year, prior to the report required by
paragraph (b) of this subdivision, the chairperson and ranking minority
member of the senate finance committee, the chairperson and ranking
minority member of the assembly ways and means committee and the
director of the budget shall jointly convene a consensus economic and
revenue forecasting conference in the form of a joint
legislative-executive hearing, for the purpose of assisting the governor
and the legislature in reaching the consensus revenue forecast required
by paragraph (b) of this subdivision. The conveners of the conference
shall invite the state comptroller and such other participants to the
conference as shall, in their judgment, provide guidance on the current
conditions in, and probable outlook for the performance of, the economy
of the state, as well as the effect of such conditions and such
performance on state receipts.
(b) On or before March first in each year, the director of the budget
and the secretary of the senate finance committee and the secretary of
the assembly ways and means committee shall issue a joint report
containing a consensus forecast of the economy and estimates of receipts
for the current and the ensuing state fiscal year. Such estimates of
receipts shall include, but not be limited to: expected tax receipts on
an all-funds basis, projected lottery receipts, and anticipated
miscellaneous receipts to be received in the general fund. The estimate
of receipts for the ensuing fiscal year contained in the report, shall
be all receipts from such sources described in this subdivision
available to make disbursements authorized by the appropriation bills
submitted by the governor pursuant to section three of article seven of
the constitution for the ensuing fiscal year.
(c) On a failure of the director of the budget, the secretary of the
senate finance committee and the secretary of the assembly ways and
means committee to issue a joint report containing a consensus forecast
as provided in paragraph (b) of this subdivision, the state comptroller
shall, on or before March fifth, provide estimates of receipts for the
current and the ensuing state fiscal year. Such estimates shall include,
but not be limited to, expected tax receipts on an all-funds basis,
projected lottery receipts, and miscellaneous receipts to be received in
the general fund. In rendering his or her estimate, as required in this
paragraph, the comptroller shall give due consideration to the inherent
risks in economic and revenue forecasting and the interest of the state
to maintain budget balance throughout the fiscal year. The estimate of
receipts for the ensuing fiscal year provided by the state comptroller,
shall be all receipts from such sources available to make disbursements
authorized by the appropriation bills submitted by the governor pursuant
to section three of article seven of the constitution for the ensuing
fiscal year.
Budget bills. 1. The budget submitted annually by the governor
shall be simultaneously accompanied by a bill or bills for all proposed
appropriations and reappropriations and for the proposed measures of
taxation or other legislation, if any, recommended therein. Such bills
shall be submitted by the governor and shall be known as budget bills.
(a) For all non-federal state operations appropriations, such bill or
bills shall only contain itemized appropriations and shall be made,
where practicable, by agency and within each agency by program and
within each program at the following level of detail and in the
following order:
(i) by fund type, which at a minimum shall include general fund,
special revenue-other funds, capital projects funds, and debt service
funds;
(ii) for personal service appropriations, separate appropriations
shall be made for regular personal service, temporary personal service,
and holiday and overtime pay;
(iii) for nonpersonal service appropriations, separate appropriations
shall be made for supplies and materials, travel, contractual services,
equipment, and fringe benefits, as appropriate.
(b) Any appropriation for temporary assistance for needy families, the
environmental protection fund, and the medical assistance program, shall
only contain itemized appropriations which shall not be in the form of
lump sum appropriations, provided, however, for the purposes of the
medical assistance program, itemized appropriations shall consist of
categories-of-service with separate appropriations for hospital
inpatient, hospital outpatient and emergency room, clinic, nursing home,
other long-term care, managed care, pharmacy, dental, transportation,
and other non-institutional services.
2. (a) On or after January first, nineteen hundred eighty-four, no
budget bill submitted by the governor may include any proposed
appropriation or reappropriation for any capital project which is not
included in the capital plan presented as part of the budget submitted
pursuant to section twenty-two of this article. Each proposed
appropriation or reappropriation for a capital project shall bear the
capital plan project reference number or numbers to which it shall
pertain, and shall be classified into the same category as the
associated capital project or projects have been classified in such
capital plan. Reappropriations of appropriations effective for fiscal
years beginning prior to April first, nineteen hundred eighty-four may
be presented by the categories of appropriation contained in the bill
originally enacting such appropriation.
(b) On or after January first, two thousand ten, any budget bill
submitted by the governor containing a proposed appropriation from the
dedicated highway and bridge trust fund shall be itemized to show the
following information for each such appropriation:
(i) each amount appropriated from the dedicated highway and bridge
trust fund for capital purposes;
(ii) the amount of each such appropriation to be used for personal
service expenses; and
(iii) the amount of each such appropriation to be used for
non-personal service expenses.
3. Any appropriation for maintenance undistributed shall be shown as
apportioned among the items covered to the extent practicable.
4. Any appropriation added to such budget bills, pursuant to section
four of article seven of the constitution, shall only contain itemized
appropriations which shall not be in the form of lump sum
appropriations, and provided further that for all non-federal state
operations appropriations, such bill or bills shall only contain
itemized appropriations and shall be made, where practicable, by agency,
and within each agency by program and within each program at the
following level of detail and in the following order:
(a) by fund type, which at a minimum shall include general fund,
special revenue-other funds, capital projects funds and debt service
funds;
(b) for personal service appropriations, separate appropriations shall
be made for regular personal service, temporary personal service, and
holiday and overtime pay;
(c) for nonpersonal service appropriations, separate appropriations
shall be made for supplies and materials, travel, contractual services,
equipment and fringe benefits, as appropriate.
5. Any appropriation added pursuant to section four of article seven
of the constitution without designating a grantee shall be allocated
only pursuant to a plan setting forth an itemized list of grantees with
the amount to be received by each, or the methodology for allocating
such appropriation. Such plan shall be subject to the approval of the
chair of the senate finance committee, the chair of the assembly ways
and means committee, and the director of the budget, and thereafter
shall be included in a concurrent resolution calling for the expenditure
of such monies, which resolution must be approved by a majority vote of
all members elected to each house upon a roll call vote.
Reappropriation bills. Every appropriation reappropriating
moneys shall set forth clearly the year, chapter and part or section of
the act by which such appropriation was originally made, a brief summary
of the purposes of such original appropriation, and the year, chapter
and part or section of the last act, if any, reappropriating such
original appropriation or any part thereof, and the amount of such
reappropriation.
If it is proposed to change in any detail the purpose for which the
original appropriation was made, the bill as submitted by the governor
shall show clearly any such change.
Maintaining capital assets. 1. Every contract made by or on
behalf of the state or any agency or official thereof for new capital
projects or programs which cost more than two million dollars, and which
involve plumbing, electrical, heating and ventilating or other
mechanical or electrical systems, shall require that a comprehensive
manual be supplied by the contractor explaining the design concept and
covering the proper operation and maintenance of the entire system. Such
manual shall be designed, using explanatory diagrams as needed, to cover
both day-to-day operations and emergencies so as to insure proper care
and maximum useful life of the project. This contract provision may, in
the discretion of the contracting state agency or official, be waived
whenever the necessary operation and maintenance information is
available from other sources, is not necessary due to the nature of the
asset, is already available for a similar project, or is provided free
by a supplier and covers the maintenance needs of the entire system.
2. The head of each state agency, in cooperation with any related
entity responsible for construction oversight or financing of agency
projects, shall develop an annual five-year scheduled maintenance plan,
by asset or asset group, for the capital assets under the jurisdiction
of the agency. Such scheduled maintenance plan, where applicable, shall
be designed to meet or exceed engineering or architectural standards for
such assets. Such scheduled maintenance plan shall include:
(a) a description of the age and current condition of such capital
assets, by asset or asset group;
(b) the establishment of goals for the condition of such capital
assets, by asset or asset group, for each of the next five fiscal years;
and
(c) a description of the maintenance activities and projected levels
of funding necessary for the next five fiscal years to achieve the goals
for the condition of such capital assets, by asset or asset group.
Such scheduled maintenance plan may be developed in coordination with
and as part of a capital plan prepared pursuant to other provisions of
law.
3. The head of each state agency shall cause to be performed once
every five years an independent evaluation of the agency's scheduled
maintenance plan. Such evaluation shall be conducted by individuals
expert in the field of maintenance and maintenance planning, and shall
be submitted to the governor and to the chairs of the senate finance
committee and the assembly ways and means committee. Such evaluation
shall include, but not be limited to:
(a) an assessment of the adequacy of the scheduled maintenance of the
capital assets under the jurisdiction of the agency;
(b) recommendations for any improvements or technological advances in
the way in which the agency should maintain the capital assets under its
jurisdiction; and
(c) an assessment as to whether the level or allocation of funding for
scheduled maintenance is sufficient.
4. No scheduled maintenance plan or evaluation of such plan required
by this section shall be admissible in any action or proceeding in which
the state or any of its departments, agencies or authorities, or any
municipal corporation or other political subdivision, or any officer or
employee thereof, is a party, to prove the existence of a particular
defect or dangerous condition in any capital asset or portion thereof;
nor shall the state or any of its departments, agencies or authorities,
or any municipal corporation or any other political subdivision, or any
officer or employee thereof, be held liable for damages as a result of a
failure to comply with any scheduled maintenance plan required by this
section or to take any action as a result of an evaluation of such plan.
Scheduled maintenance appropriations. 1. Each fiscal year the
budget submitted by the governor shall contain separate and distinct
appropriations, which may be lump sum appropriations, for scheduled
maintenance activities.
2. On or before the first day of December, nineteen hundred
ninety-three, the comptroller, in consultation with the division of the
budget, shall provide a summary report to the director of the budget and
the chairs of the senate finance committee and assembly ways and means
committee describing enhancements, costs and capabilities necessary to
implement the reporting of actual scheduled maintenance disbursements of
state agencies, by state agency, in sufficient detail to monitor
implementation of the agency's scheduled maintenance plan. Commencing
fiscal year nineteen hundred ninety-four--nineteen hundred ninety-five,
the comptroller shall provide the director of the budget and the chairs
of the senate finance committee and the assembly ways and means
committee with monthly reports of the actual scheduled maintenance
disbursements.
ARTICLE 4 Appropriations
Period for which appropriations made. 1. The budget and the
budget bills submitted by the governor shall include all appropriations
which in the opinion of the governor will be required during the full
succeeding fiscal year.
2. (a) No appropriation made at a regular session of the legislature
shall, unless the contrary is expressly provided in the act by which
such appropriation is made, be available prior to the commencement of
the fiscal year for which the budget is adopted at such session, and
every appropriation made at such session, except as provided in
paragraphs (b), (d), and (e) of this subdivision, shall cease to have
force and effect, except as to liabilities already incurred thereunder,
at the close of such fiscal year.
(b) Every deficiency appropriation made at a regular session of the
legislature which by the express terms of the act by which such
appropriation is made shall be available prior to the commencement of
the fiscal year for which the budget is adopted at such session shall
cease to have force and effect, except as to liabilities already
incurred thereunder, at the close of the fiscal year in which such
appropriation shall become available.
(c) Every appropriation made at an extraordinary session of the
legislature shall, unless the contrary is expressly provided in the act
by which such appropriation is made, be available immediately upon the
taking effect of such act and shall cease to have force and effect,
except as to liabilities already incurred thereunder, at the close of
the fiscal year in which such appropriation shall become available.
(d) Every appropriation enacted in the fund type special revenue
funds-federal for a grant period which extends beyond March thirty-first
of the fiscal year in which the appropriations are enacted shall be
available for liabilities incurred during such grant period after such
March thirty-first date.
(e) All state operations appropriations made to the city university of
New York and the state university of New York shall cease to have force
and effect, except as to liabilities already incurred thereunder, as of
the thirtieth day of June immediately following the state fiscal year
for which they are enacted.
3. Every appropriation for whatever purpose which at the close of the
fiscal year shall cease to have force and effect except as to
liabilities already incurred thereunder shall as to such liabilities
continue in force and effect until the dates specified in paragraphs
(a), (b), (c) and (d) of this subdivision, on which dates such
appropriation shall lapse and no money shall thereafter be paid out of
the state treasury or any of its funds or any of the funds under its
management pursuant to such appropriation.
(a) Except for appropriations made to city university of New York and
the state university of New York, all state operations appropriations
including special revenue funds-federal appropriations continued
pursuant to paragraph (d) of subdivision two of this section shall lapse
on the thirtieth day of June immediately following the close of the
fiscal year. The appropriations made to the city university of New York
or the state university of New York shall lapse on the thirtieth day of
September immediately following the close of the fiscal year.
(b) All aid to localities appropriations including special revenue
funds-federal appropriations continued pursuant to paragraph (d) of
subdivision two of this section shall lapse on the fifteenth day of
September immediately following the close of the fiscal year.
(c) All capital projects appropriations shall lapse on the fifteenth
day of September immediately following the close of the fiscal year.
(d) All other appropriations shall lapse on the fifteenth day of
September immediately following the close of the fiscal year.
* 4. Every appropriation made from a fund or account to a department
or agency shall be available for the payment of prior years' liabilities
in such fund or account for fringe benefits, indirect costs, and
telecommunications expenses and expenses for other centralized services
fund programs without limit. Every appropriation shall also be available
for the payment of prior years' liabilities other than those indicated
above, but only to the extent of one-half of one percent of the total
amount appropriated to a department or agency in such fund or account.
The provisions of this subdivision shall expire March thirty-first,
two thousand twenty-seven.
* NB Repealed March 31, 2027
Repayment of advances. 1. Notwithstanding any inconsistent
provision of this chapter or of any other general, special or local law,
every appropriation of state funds hereafter made as an advance to or on
behalf of any agency, authority, fund or corporation continued or
created by the public authorities law or by any other act or law shall
be identified as an advance, and shall provide that in any event, and
notwithstanding a repayment schedule, the unpaid balance of any moneys
appropriated as an advance shall be repaid to the state out of the
proceeds of the first bonds issued by such agency, authority, fund or
corporation subsequent to the effective date of such appropriation.
2. No part of any appropriation made as an advance pursuant to this
section shall be available for expenditure until a written repayment
agreement is entered into by the agency, authority, fund or corporation
to which the appropriation is made and the director of the budget. Each
and every such repayment agreement shall include a repayment schedule
which states the date or dates on which the amount of each part or all
of the appropriation made as an advance shall be repaid to the state and
meets such other terms and conditions as determined by the director of
the budget. A copy of each such executed repayment agreement shall be
filed with the chairman of the senate finance committee, the chairman of
the assembly ways and means committee, and the comptroller.
3. The state comptroller shall at the commencement of each month
certify to the director of the budget, the chairman of the senate
finance committee and the chairman of the assembly ways and means
committee, and the chief executive officer of the agency, authority,
fund or corporation to which the appropriation is made the amounts
expended from such appropriation for the month preceding such
certification.
4. Repayment of amounts expended from appropriations as advances by
the state shall be received by the state comptroller and deposited in
the treasury. Such repayment shall, in total, be sufficient to fully
reimburse the state for the advances.
Indebtedness not to be contracted without appropriation. No
state officer, employee, board, department or commission shall contract
indebtedness on behalf of the state, nor assume to bind the state, in an
amount in excess of money appropriated or otherwise lawfully available.
This section shall not apply to a case where a statute expressly
authorizes the making of a contract or contracts for a stated maximum
amount which exceeds the money appropriateed or otherwise available for
payments thereon.
Limitation on expenditures. The several amounts appropriated in
any act shall be deemed to be only for so much thereof as shall be
sufficient to accomplish in full the purposes designated by the
appropriations and shall be paid by the division of the treasury,
department of taxation and finance, from the respective funds as
specified, pursuant to the requirements of this chapter. It shall be the
duty of the comptroller to report annually to the legislature the detail
of the several expenditures.
Specific appropriations limited as to use; certain
appropriations to be specific. Money appropriated for a specific purpose
shall not be used for any other purpose, and the comptroller shall not
draw a warrant for the payment of any sum appropriated, unless it
clearly appears from the detailed statement presented to him by the
person demanding the same as required by this chapter, that the purposes
for which such money is demanded are those for which it was
appropriated. The comptroller shall not audit any claim for salary,
labor or wages, unless an appropriation applicable thereto has been
already made specifying the amount thereof appropriated for such
purpose.
Except as otherwise expressly provided, the comptroller shall not
audit any claim or account or draw a warrant for the payment of moneys
for the purchase of an aircraft intended primarily for the purpose of
carrying passengers or the rent of an aircraft for such purpose for a
period longer than ten days. The provision of this section shall not
apply to the necessary rental of automobiles for construction and
maintenance work on the highways of the state or for grade crossing
elimination work.
Payment of judgments of the court of claims in certain cases
arising out of the appropriation of property by the state. Whenever a
judgment of the court of claims is rendered against the state for
damages arising out of the appropriation by the state of property
pursuant to section twenty-seven of the agriculture and markets law,
section forty of the canal law, sections thirteen and six hundred
seventy-six-a of the conservation law, section twenty-one of the
correction law, sections three hundred seven and three hundred
fifty-five of the education law or either of said last-mentioned
sections, section two hundred thirteen of the executive law, sections
twenty-nine and thirty of the highway law, section thirty of the highway
law for any of the purposes authorized by section twelve of said law,
article seventy-one of the mental hygiene law, section one hundred
seventy-seven of the military law, section four hundred one of the
public health law, section forty of the social welfare law, chapter six
hundred seventy-eight of the laws of nineteen hundred twenty-eight
constituting the grade crossing elimination act, as amended, or chapter
eight hundred sixty-two of the laws of nineteen hundred thirty-six, as
amended, the amount, if any, of such judgment, inclusive of interest
thereon as allowed by law, which exceeds the amount of moneys otherwise
appropriated and available for the payment thereof shall be paid out of
the state treasury from moneys appropriated to the court of claims for
general state charges.
Appropriations for personal service; general. 1. The salary or
compensation of any officer or employee, when not prescribed by law, for
which an appropriation is made or for which an allocation has been
approved pursuant to law by the director of the budget, may be fixed by
the department, official or officials appointing such officer or
employee subject to the approval of the director of the budget and at an
amount less than but not greater than the amount so appropriated or
allocated for the salary or compensation of such officer or employee;
and when any appropriation is made or allocation approved pursuant to
law by the director of the budget for compensation at a per diem rate
for a stated number of days, the department, official or officials
employing such employee shall have the authority to employ in the
position the number of employees for whom compensation is provided in
the appropriation or allocation, calculating one employee for each three
hundred days, the provisions of any general or special statute to the
contrary notwithstanding.
No appropriation or allocation shall be available for the salary or
compensation of any regular officer or employee whose employment or
office is not specified in the act containing the appropriation or in
the allocation approved by the director of the budget unless his
appointment or employment is expressly authorized.
2. Any appropriations for salary, compensation or expenses shall be
the salary, compensation or expenses for one year of the officer,
employee, office, board, department, commission or bureau for whom or
which the same is appropriated, notwithstanding existing provisions of
any other statute fixing the annual salary, compensation or expenses of
such officer or employee or the expenses of such office, board,
department, commission or bureau at a different amount.
3. In identifying and connecting any officer or employee, other than a
legislative or judicial officer or employee, with his office or
position, for the purposes of this section, the state comptroller, the
state civil service commission and the heads of departments shall be
governed by a certificate of identification certified to them by the
director of the budget, and such certificate shall have the force and
effect of law for such purposes.
4. When in any act an appropriation is made for personal service and
is accompanied by a schedule showing positions and salaries, no part of
such appropriation shall be expended for a purpose or position not
enumerated in such schedule nor shall any schedule item be exceeded;
provided, however, that upon the approval of the director of the budget
and the state civil service commission where the position involved is in
the classified civil service, and of the director of the budget where
the position involved is in the unclassified civil service, a part of
any such appropriation may be expended for a position in the same
occupational field or service, carrying a title, grade and salary lower
than the position for which the appropriation is made, the provisions of
any general or special statute to the contrary notwithstanding. Except
as otherwise provided in this subdivision, the amount shown in any such
schedule for salary or compensation shall be the salary or compensation
for one year of the officer or employee for whom the same is scheduled,
notwithstanding existing provisions of any other statute fixing the
annual salary or compensation of such officer or employee at a different
amount; provided, however, that the provisions of this subdivision shall
not be construed to prohibit the addition to the salary or compensation
of any state officer or employee, pursuant to subdivision eight of this
section, of an annual increment or other salary increase, which is
otherwise effective on the first day of a fiscal year, at the beginning
of the bi-weekly payroll period the first day of which is nearest to the
first day of such fiscal year.
5. The amount shown in any schedule for salary or compensation, or for
maintenance and operation shall be the salary or compensation, or the
amount available for expenses of maintenance and operation, for the
period fixed in such schedule, of the officer or employee, office,
board, department, commission or bureau for whom or which the same is
scheduled.
6. No position, contained in a schedule of positions in an
appropriation act or in an approved segregation of a lump sum
appropriation pursuant to this chapter, shall, during the period for
which funds are appropriated or segregated for such position, be
transferred from the organizational unit in which such position appears
in such schedule or segregation except upon request of the head of a
department or other state agency and approval by the director of the
budget. When approved by the director of the budget, he shall issue a
certificate to the head of the department or other state agency in which
the position exists and to the state comptroller authorizing the
transfer of the position and the appropriation made therefor. Copies of
such certificate shall be filed with the senate finance committee, the
assembly ways and means committee and the state civil service
commission.
7. When food, lodging or other maintenance is allowed to any state
employee or other person, the director of the budget may, in his
discretion, require a charge therefor at rates established by him.
8. Notwithstanding any other provisions of this chapter or of any
other law, when any officer or employee of the state whose compensation
is payable in accordance with section six of this chapter is granted an
increment or increase in salary or compensation pursuant to statute or
pursuant to budgetary appropriation or as a result of reclassification
or reallocation, which increment or increase is otherwise effective on
the first day of a fiscal year, such increment or increase shall be
added to the salary or compensation of such officer or employee at the
beginning of that payroll period the first day of which is nearest to
the first day of the fiscal year; provided, however, that for the
purposes of determining the salary of such officer or employee upon
reclassification, reallocation, appointment, promotion, transfer,
demotion, reinstatement or other change of status, such increment or
increase shall be deemed to be effective on the first day of the fiscal
year, and the payment thereof, pursuant to this subdivision, on a date
prior to the first day of any fiscal year, instead of on the first day
of such fiscal year, shall not operate to confer any additional salary
or increment rights or benefits upon any officer or employee. If the
first day of the fiscal year is exactly midway between the two nearest
first days of payroll periods, the earlier of such two nearest first
days of payroll periods shall be deemed to be nearer to the first day of
the fiscal year.
Substitute employees. Where in any act a line item
appropriation is made for the salary of an employee and the employee is
on leave of absence on less than full pay, the balance of such
appropriation shall be available for the payment of the salary of a
substitute employee.
Travel expenses for officers and employees. Except as otherwise
provided by law, payments for the travel expenses of officers or
employees shall be only for actual and necessary expenses incurred in
the performance of official duties.
Segregation of lump sum appropriations. When, in any act, lump
sum appropriations are made for personal service, or for maintenance and
operation or for non-personal service, or for maintenance undistributed
including personal service, other than such appropriations for the
legislature or judiciary, and appropriations from proprietary or
fiduciary funds, no moneys so appropriated shall be available for
payments for personal service, or maintenance and operation or for
non-personal service, or maintenance undistributed including personal
service until a schedule of positions and salaries have been approved by
the director of the budget and the amounts to be available for other
personal service classes of expenditure and for the expenses of
maintenance and operation or for non-personal service shall have been
approved by the director of the budget. Such approval shall be reported
to the chairperson of the senate finance committee, the chairperson of
the assembly ways and means committee, and the state comptroller either
by the filing of a certificate or, with the consent of the officer
receiving such notice, by means of electronic data transfer in lieu of a
certification. Any such approved schedule may be amended, however, with
notice of approval of the director of the budget given in the same
manner as set forth in the preceding sentence.
Transfers of appropriations. Notwithstanding any other
provisions of law, in order to better coordinate and reorient the
administration of programs which help to reduce, eliminate or avoid
financial dependency, in order to assure that services provided under
such programs are delivered in the most economical and efficient
fashion, and in order to fully qualify such programs for federal
assistance, the director of the budget may approve contracts between the
state department of social services and other state departments and
agencies which may be providing such services to individuals and
families who are receiving or who are former or potential recipients of
public assistance and care, as defined by the rules and regulations of
the state department of social services. Such contracts may provide for
the delivery of such services on behalf of the state department of
social services and the social services districts of the state, to the
extent feasible, upon a finding by the director of the budget that such
contractual arrangements would be to the advantage of the state in
respect to Federal reimbursement and the orderly and effective provision
of such services. The fiscal benefit of any federal financial assistance
realized by the state pursuant to such contracts will be shared with any
localities which contribute to the costs of providing the contractual
services, according to the proportion by which such costs are shared
between the state and localities pursuant to law, on the day immediately
preceding the execution date of such contracts. Notwithstanding any
other provisions of law, the director of the budget is hereby authorized
to transfer such funds as may be necessary to give effect to any such
contractual arrangements authorized under this section to the state
department of social services from funds appropriated to any such other
state departments and agencies to the extent that such transfers may be
necessary to obtain federal reimbursements for the provision of services
of the same nature as those for which such funds were appropriated and
any funds so transferred shall be deemed to have been appropriated to
the state department of social services for the purposes of providing
for such services and obtaining federal reimbursement for their support.
No such transfer shall take effect until a certificate of transfer shall
have been issued by the director of the budget and copies filed with the
state comptroller, the chairman of the senate finance committee and the
chairman of the assembly ways and means committee. Amendments to such
certificates may be made by filing revised copies with the same
officers. Every such certificate shall clearly show (1) the items and
amounts of appropriations which are to be transferred, (2) the chapter
of the laws in which they were originally appropriated, and (3) the
department or agency from which they are being transferred.
Interchange of appropriations or items therein. No appropriation
shall be increased or decreased by transfer or otherwise except as
provided for in this section or section fifty-three, sixty-six-f,
seventy-two or ninety-three of this chapter, or article eight of the
education law. Whenever an appropriation is made from a fund to a
department or agency and is accompanied by a schedule showing the
programs or purposes for which such appropriation may be expended, the
amount appropriated for any item or items within any program or purpose
for such department or agency may be increased or decreased by
interchange with amounts appropriated from such fund for any other item
or items within the same program or purpose, or with other items
appropriated from such fund not in the same program or purpose but which
are contained in the state comptroller's classification of items as last
promulgated, with the approval of the director of the budget, who shall
file such approval with the office of the state comptroller and copies
thereof with the senate finance committee and the assembly ways and
means committee. The amounts appropriated to a department or agency from
a particular fund in a fiscal year for the programs or purposes of such
department or agency may be interchanged among such programs or purposes
under the same conditions as heretofore described except that the total
amount appropriated for any program or purpose may not be increased or
decreased by more than the aggregate of five per cent of the first five
million dollars, four percent of the second five million dollars and
three per cent of amounts in excess of ten million dollars of an
appropriation for a program or purpose. The allocation of lump sum
appropriations from a fund made to a department or agency for later
distribution to programs or purposes or to the units of the state
university to the allocation of lump sum appropriations made to all
state departments and agencies for later allocation for specific
programs or purposes shall not be deemed to be part of such total
increase or decrease.
Classification of expenditures. Immediately upon the adoption
of a budget act the comptroller shall prepare and publish definitions of
the classification of expense by titles employed in such act, defining
the purposes for which moneys appropriated under each title may be
expended. The comptroller may amend such definitions from time to time
as, in his judgment, he may deem it necessary for the proper conduct of
the fiscal affairs of the state. The definitions, as published by the
comptroller, and as amended, shall govern expenditures from all
appropriations in such act and the audit of claims and accounts by the
comptroller where such classifications are used in such act.
Special emergency appropriations. 1. If, for any fiscal year,
the legislature enacts a special emergency appropriation, no money shall
be paid pursuant to any such appropriation unless an amount of such
appropriation which is equal to the amount to be paid shall have been
transferred as authorized by the governor who may authorize the transfer
of all or a portion of such a special emergency appropriation only in
accordance with the procedures and subject to the conditions and
limitations set forth in this section.
2. The governor may authorize the transfer of all or a portion of such
a special emergency appropriation to the general fund or to a fund
classified as a special revenue or capital projects fund as defined in
section two of this chapter for a specific program or purpose, subject
to the conditions and procedures described in subdivisions five, six and
seven of this section and the following:
a. Transfers to the general fund or the capital projects fund
established under section ninety-three of this chapter shall be only for
the purpose and to the extent required to meet emergency and
unanticipated expenditures of the state which shall mean:
(1) expenditures deemed necessary or essential to the proper and
efficient functioning of the government of the state or the rendering of
governmental services by the state, in order to meet emergencies and
unanticipated requirements arising from or which threaten to interfere
with the lawful exercise of one or more of the powers of government by
the state;
(2) expenditures deemed necessary or essential to protect fully the
New York state housing finance agency, the state university construction
fund, the state university, or the facilities development corporation
from general public liability arising from their ownership or interest
in state university facilities or mental hygiene facilities financed by
the New York state housing finance agency, as the case may be, or to
repair, restore, rebuild or replace such a facility upon damage, loss or
destruction thereof, or to pay the annual rentals for such a facility in
the event of the damage, loss or destruction thereof and of the
availability and possession thereof by the state university construction
fund and the occupancy thereof by the state university, or the
availability and possession thereof by the state university, or the
availability and possession thereof by the facilities development
corporation and the occupancy thereof by the department of mental
hygiene; and
(3) expenditures deemed necessary or essential for payment of the
state's liability, pursuant to a contract with a county containing a
city having a population of seventy-five thousand or more inhabitants or
a city having a population of seventy-five thousand or more inhabitants,
providing for the financing and the construction and leasing of state
office buildings and other public improvements in such county or city,
to hold such county or city and its officers, agents or employees
harmless against liability, loss, cost, damage, claims, judgments or
expense based on personal injury, death or damage to property, real,
personal or mixed, which because of the uncertainty of events are not
clearly foreseeable or predictable at the time of passage of the budget
and other appropriation measures during the regular session of the
legislature next preceding the occurrence or development thereof, and
for which other appropriations are not available or are insufficient.
Transfers made pursuant to subparagraphs two and three of this
paragraph are expressly for the purpose of applying self-insurer
principles to the facilities therein described, consistent with the
system of self-insurance followed by the state for real property under
its jurisdiction and control.
b. Transfers to a special revenue fund or capital projects fund other
than the capital projects fund established under section ninety-three of
this chapter shall be made only if the amount of moneys credited to such
fund for such program or purpose during the then current state fiscal
year is in excess of such amount anticipated to be available at the time
the annual budget for such fiscal year was submitted to the legislature,
in which case, any such transfer shall be limited to the amount of such
excess.
3. The governor may authorize the transfer of all or a portion of such
a special emergency appropriation to a fund classified as a proprietary
fund as defined in section two of this chapter subject to the conditions
and procedures described in subdivisions five, six and seven of this
section only if the revenues actually accrued to such fund during the
then current state fiscal year are in excess of such revenues
anticipated at the time the annual budget for such fiscal year was
submitted to the legislature, in which case, any such transfer shall be
limited to the amount of such excess.
4. The governor may authorize the transfer of all or a portion of such
a special emergency appropriation to a fund classified as a fiduciary
fund as defined in section two of this chapter subject to the conditions
and procedures described in subdivisions five and seven of this section
only if the moneys necessary to fund such transfer are available for
disbursement within such fund and only when the disbursements required
to be made during the then current fiscal year for liabilities which are
not subject to statutory limitation are in excess of the amount of such
required disbursements anticipated at the time the annual budget for
such fiscal year was submitted to the legislature, in which case, any
such transfer shall be limited to the amount of such excess.
5. Any transfer shall lapse, except with regard to obligations already
incurred, on the day on which the governor submits an appropriation bill
to the next succeeding regular session of the legislature unless such
bill shall include a separate request for an appropriation, from the
fund to which all or a portion of a special emergency appropriation was
transferred, for the transferred amount. Upon such request, such
transfer shall continue in effect until final action by the legislature
on such bill, after which time such transfer shall lapse and no
additional expenditures shall be made against such transferred
appropriation. The same provisions of law as are applicable to the
segregation and expenditure of appropriations generally shall also be
applicable to the segregation and expenditure of appropriations
transferred pursuant to this section.
6. The governor shall not have the authority to authorize, and the
comptroller shall so deny, an appropriations transfer and any
expenditures therefrom for any purpose concerning which the legislature
has declared its intent that such program, project or activity shall not
be performed. For the purpose of determining such legislative intent,
the governor and the comptroller shall consider legislative action on
the executive budget and the various appropriation bills for the support
of government in addition to any specific act of the legislature making
such a declaration.
7. The governor shall not authorize the transfer of all or a portion
of a special emergency appropriation unless and until the following
procedure has been followed:
a. The chief executive officer of a state agency or state affiliated
corporation, immediately upon determining the necessity for a special
emergency appropriation transfer, shall notify the director of the
budget, the chairman of the senate finance committee and the chairman of
the assembly ways and means committee on forms and in a manner to be
prescribed by the director of the budget which shall include the
following:
(1) a statement of the amount of the requested special emergency
appropriation transfer and a schedule of the timing of the disbursements
and expenditures proposed to be made pursuant to the transferred
appropriation;
(2) a description of the purposes to be served, and the specific
activities and positions to be funded, if any, by the proposed
expenditures;
(3) a statement as to whether such expenditures shall or could be
utilized to offset obligations of the general fund, the time period
during which the moneys necessary for the proposed disbursements shall
be available to such fund, and a description and explanation of the
effects the proposed expenditures may have on the state's obligation to
make similar expenditures in the future.
b. The director of the budget shall review such requests, taking into
consideration any recommendations of the chairman of the senate finance
committee and the chairman of the assembly ways and means committee, and
after making any modifications, shall formally recommend to the governor
approval of such requests as he shall deem appropriate. He shall at the
same time notify the chairman of the senate finance committee and the
chairman of the assembly ways and means committee of his recommendations
on such requests, and shall submit to such chairmen any modification of
such requests and such further information and justification as he shall
deem appropriate or that such chairmen may require in furtherance of
their review.
c. The governor shall then issue such transfer authorization pursuant
to this section as deemed appropriate based upon his review of such
recommendations, provided however, that when the request consists solely
of moneys available for costs and damages resulting from natural
disasters or civil disobedience, the governor may act in accordance with
the immediacy of the situation.
* 8. Notwithstanding the foregoing provisions of this section, in
addition to the restrictions set forth therein, the governor may
authorize a transfer to the general fund, to a capital projects fund, or
to a fund established to account for revenues from the federal
government only after the approval of:
(1) the temporary president of the senate or the chair of the senate
finance committee (the "senate"); and
(2) the speaker of the assembly or the chair of the assembly ways and
means committee (the "assembly").
Provided however, if either the senate or the assembly fails to
affirmatively deny or approve such transfer within ten days from the
date on which the governor provides notification of such transfer, then
the transfer shall be deemed approved by both the senate and the
assembly.
* NB Effective until March 31, 2028
*8. Notwithstanding the foregoing provisions of this section, in
addition to the restrictions set forth therein, the governor may
authorize a transfer to the general fund, to a capital projects fund, or
to a fund established to account for revenues from the federal
government only after the approval of:
(1) the temporary president of the senate or the chairman of the
senate finance committee; and
(2) the speaker of the assembly or the chairman of the assembly ways
and means committee.
* NB Effective March 31, 2028
9. Notwithstanding the foregoing provisions of this section or any
other law to the contrary, the governor may generally authorize the
director of the budget to act on his behalf in authorizing transfers of
appropriations pursuant to this section.
Filing of notices of applications for state participation in
certain federal programs. 1. No state agency shall make an application
for participation in federal funds or a federally-assisted program under
any federal law and no state agency may approve an application for such
participation submitted by an agency other than a state agency, unless
such state agency shall have, at least thirty days prior to making or
approving the application, notified the director of the budget, the
chairman of the senate finance committee and the chairman of the
assembly ways and means committee on forms and in a manner to be
prescribed by the director of the budget. Such notice shall: (a) refer
to the statutory authority under which the action is proposed, (b)
describe the substance of the application, (c) indicate where a complete
copy of the application and any amendments or supplements thereto may be
obtained, and (d) contain a fiscal statement setting forth: (1) the
estimated amount of federal monies to be received per year for the
program for which such monies are sought, and (2) the estimated amount
of funds to be supplied by the state, the agency other than the state
agency for which approval is sought, any unit of local government and
any other source from which funds will be required. In order to avoid
any inconsistency or duplication in review functions, the director of
the budget shall establish procedures whereby notices given under this
section shall be coordinated with other notice requirements for project
or plan proposals.
2. If the application must be made or approved in less than thirty
days, or if the state agency finds that it is necessary for the
preservation of the public health, safety or general welfare to make or
approve the application in less than thirty days, the agency may make or
approve the application without giving thirty days notice as required in
subdivision one; provided, however, that the agency immediately give
notice of the proposed action, in the form and manner prescribed in
subdivision one, to the director of the budget, the chairman of the
senate finance committee and the chairman of the assembly ways and means
committee, which notice shall also contain a brief statement of the
agency's reasons for taking action in less than thirty days.
3. Upon the request of the chairman of the senate finance committee,
or the chairman of the assembly ways and means committee, or any
combination of them, the state agency proposing to make the application
or to which the application has been submitted for approval, shall
supply such officer without charge a complete copy of the application
and any amendments or supplements thereto.
4. Such agency shall furnish to each such officer a report or reports
in relation to such application or amendment thereto as may be required
by the director of the budget.
5. "State agency" as used in this section means (a) any state
department, bureau, commission, authority or division and shall include
the state university;
(b) any institution or organization designated and authorized by law
to act as agent for the state, including Cornell University and Alfred
University as representatives of the state university board of trustees
for the administration of statutory or contract colleges at those
institutions;
(c) any public corporation or institution the governing board of which
consists of a majority of state officials serving ex-officio or has one
or more members appointed by the governor; and
* (d) certain membership corporations closely affiliated with specific
state agencies and whose purposes are essentially to support, supplement
or extend the functions and programs of such state agencies,
specifically: Youth Research Inc., The Research Foundation for Mental
Hygiene, Inc., Health Research Inc., The Research Foundation of the
State University of New York, and Welfare Research Inc.
* NB Effective until the completion of all grants having been
transferred from Health Research, Inc. to Roswell Park Cancer Research
Corporation (see ch. 156 of 2026 § 5)
* (d) certain membership corporations closely affiliated with specific
state agencies and whose purposes are essentially to support, supplement
or extend the functions and programs of such state agencies,
specifically: Youth Research Inc., The Research Foundation for Mental
Hygiene, Inc., Health Research Inc., Roswell Park Cancer Research
Corporation, The Research Foundation of the State University of New
York, and Welfare Research Inc.
* NB Effective upon the completion of all grants having been
transferred from Health Research, Inc. to Roswell Park Cancer Research
Corporation (see ch. 156 of 2026 § 5)
6. "Application" as used in this section means an application to any
federal agency for federal funds or for participation in any
federally-assisted program or any instrument as defined by the director
of the budget which initiates action with any federal agency for such
purpose, including but not limited to a contract, agreement, loan,
letter of understanding, state plan, or annual budget submission to such
agency.
Authorization of applications for state participation in
certain grant or contract supported programs. 1. No agency shall make
application for participation in any continuing grant or contract
supported program when authorization to apply for participation in such
program is disapproved by the director of the budget pursuant to the
following procedure:
a. The chief executive officer of the agency seeking authorization to
make application for participation in a continuing grant or contract
supported program shall, at least forty days prior to any deadline for
making application, except as provided in paragraph d of this
subdivision, notify the director of the budget, the chairman of the
senate finance committee and the chairman of the assembly ways and means
committee of such agency's proposed application on forms and in a manner
to be prescribed by the director of the budget, and shall provide such
persons with such further information as they shall require. Such notice
shall:
(i) refer to the statutory authority under which the action is
proposed;
(ii) describe the substance of the application;
(iii) indicate where a complete copy of the application and any
amendments or supplements thereto may be obtained and the name and
location of the organization or organizations to which the agency
intends to apply for such grant or contract; and
(iv) contain a fiscal statement setting forth: (1) the estimated
amount of revenues to be received from the organization to which the
agency is proposing to apply during each state fiscal year for the
program for which such moneys are sought, (2) the estimated amount of
moneys to be supplied by the state, including any state matching
commitment, and a statement as to the method through which such moneys,
or such commitment shall be provided, (3) the estimated amount of
revenues to be provided by any other agency, unit of local government,
and any other source from which revenues will be required, (4) the
number of years during which financial support for such program is
expected to be available from the organization to which the agency is
proposing to apply, and (5) the expected future obligation of the state,
if any, to continue the funding of the program including the expenditure
level which the state will or may be required or expected to maintain
for the program upon termination of such grant or contract moneys.
b. The director of the budget shall review all requests for
authorization to make application for participation in a continuing
grant or contract supported program, and at least twenty days prior to
approving, disapproving, or conditionally approving any such request
shall notify the chairman of the senate finance committee and the
chairman of the assembly ways and means committee of his intended action
on such request.
c. Within fifteen days of receipt of a notification from the director
of the budget pursuant to paragraph b of this subdivision, such chairmen
may make recommendations thereon as to the approval, modification or
disapproval of any proposed application. The director of the budget
shall consider such chairman's recommendations in his decision to
approve, modify or disapprove any proposed application, and shall notify
such chairman of action taken and the reasons in support of such action
where it contravenes that recommended by either chairman.
d. Whenever a deadline for making an application is less than forty
days, or whenever it is necessary for the preservation of the health,
safety, or general welfare of the state that action on a request for
authorization to make application for participation in a continuing
grant or contract supported program be taken by the director of the
budget in less than forty days, the chief executive officer of the
agency making such request shall include a statement of such necessity
in the notification to the director of the budget, the chairman of the
senate finance committee and the chairman of the assembly ways and means
committee provided for in paragraph a of this subdivision. In such
circumstances the director of the budget may waive, to such extent as
necessary, the time period of the notification requirements provided in
paragraph a of this subdivision for such application, and if necessary,
may issue a provisional authorization for such agency to make such
application pending formal review pursuant to paragraphs b and c of this
subdivision provided, however, that such formal review shall then be
scheduled to occur within thirty days of such provisional authorization.
In the event such request is not approved pursuant to such paragraphs
within such time, the provisional authorization to make such application
shall terminate and any such application may thereafter be again made
only after formal review and approval.
2. All applications for participation in any grant or contract
supported program including such programs offered by a state agency or
state affiliated corporation, shall include a request for full overhead
reimbursement to the maximum extent allowable under such program unless
the notification provided for in paragraph a of subdivision one of this
section includes an explanation of the agency's reasons for requesting
less than the maximum overhead reimbursement available.
3. The provisions of this section shall not apply to applications for
sponsored research grants or contracts which do not incorporate the
provision of services to the public or to any organization, or the
employees or clients thereof.
4. The provisions of paragraphs b, c and d of subdivision one of this
section shall not apply to applications for grants or contracts to
support specific projects which are intended to be undertaken during a
fixed period of time and to be completed within eighteen months of the
date on which work on such a project begins and which do not involve
participation in a continuing program of activity.
5. The provisions of this section shall not apply to applications for
reallocations of federal funds, to minor amendments to applications
already approved, or to applications for programs, participation in
which is authorized by an appropriation or other enactment of the
legislature.
6. For the purposes of this section agency shall mean any department,
agency, board, bureau, commission, division, council or office of the
state.
Report on financial support of research institutes. If any
state agency agrees to provide financial support or any other assistance
to cover any operating loss for a research institute, such agency shall
submit to the chairs of the senate committee on finance and the assembly
committee on ways and means a report on the calculation of such loss.
This calculation shall include all revenue of the corporation from
whatever source and all expenses of the corporation. If such calculation
results in an operating surplus, such surplus shall be paid to the state
and may be credited to the budget of the affiliated agency subject to an
appropriation by the legislature.
Estimates of fiscal impact. If an appropriation bill passed by
the legislature contains items that the legislature has added in accord
with section four of article seven of the constitution, then such bill
must be accompanied by an estimate of the fiscal impact of such
legislation on the budget submitted by the governor pursuant to section
two of article seven of the constitution which shall include, if
appropriate, an estimate of moneys and revenues, either in law or in
legislation passed by both houses with the budget, sufficient to meet
such additions. Such bill shall also include such other recommendations
and information as the legislature may deem proper and such additional
information as may be required by law. None of the restrictions of this
section, however, shall apply to appropriations for the legislature or
judiciary.
ARTICLE 4-A State Assistance to Local Government
ARTICLE 5 Borrowing By the State
Issuance of tax and revenue anticipation notes and bond
anticipation notes. 1. When used in this section, the following terms
shall be defined as follows:
(a) "Tax and revenue anticipation note" shall mean a note issued in
anticipation of the receipt of taxes and revenues, direct or indirect,
for the purposes and within the amounts of appropriations theretofore
made.
(b) "Bond anticipation note" shall mean a note issued in anticipation
of the receipt of the proceeds of the sale of bonds duly authorized at
the time such notes are issued.
(c) "Flexible note" shall mean a tax and revenue anticipation note or
bond anticipation note the interest on which is payable at, and on one
or more dates prior to, maturity.
(d) "Short-term series note" shall mean a tax and revenue anticipation
note or a bond anticipation note which is one of a series of notes
issued pursuant to a financing program under which it is expected that
each note will be paid from the proceeds of one or more renewal notes of
such series, and in the case of the final note or notes of such series,
from the taxes and revenues or the proceeds of bonds in anticipation of
the receipt of which such note or notes have been issued. The term
"short-term series note" shall include any note issued pursuant to a
revolving credit agreement or other similar liquidity facility for the
purpose of renewing or paying outstanding short-term series notes on
their stated maturity dates when such short-term series notes are not
renewed or paid from the proceeds of one or more other renewal notes of
such series. Such a note issued pursuant to a revolving credit agreement
or similar liquidity facility shall not be considered a flexible note
for the purposes of this section.
(e) "Financially responsible party or parties" shall mean a person or
persons determined by the comptroller to have sufficient net worth and
liquidity to purchase and pay for on a timely basis all of the notes and
renewals thereof which may be tendered for repurchase or redemption by
the holders thereof.
2. (a) (i) The comptroller is authorized to issue tax and revenue
anticipation notes and renewals thereof including, but not limited to,
flexible notes and short-term series notes in such form and with such
terms as the comptroller shall determine. Such notes and renewals
thereof shall be non-interest bearing or bear interest at such rate or
rates, which may vary from time to time, as, in the judgment of the
comptroller, may be sufficient or necessary to effect the issuance and
sale or resale thereof in the manner determined by the comptroller.
(ii) Such notes and renewals thereof may be redeemable from time to
time on such date or dates prior to maturity as the comptroller may
determine. Such notes and renewals thereof may provide the holders
thereof with such rights to require the state or other persons to
purchase or redeem such notes and renewals thereof from the proceeds of
the resale thereof or otherwise from time to time prior to the stated
maturity thereof as the comptroller may determine. Notwithstanding the
foregoing, the holders of such notes and renewals thereof sold pursuant
to this subparagraph shall not be provided with the right to require the
state to repurchase or redeem the notes and renewals thereof prior to
their stated maturity unless the state has entered into one or more
letter of credit agreements or other liquidity facility agreements
entered into for the express purposes of such sales and which shall
require a financially responsible party or parties to the agreement or
agreements, other than the state, to purchase or redeem all or any
portion of such notes and renewals thereof tendered by the holders
thereof for repurchase or redemption prior to the stated maturity of
such notes and renewals thereof. Such requirement to purchase or redeem
such notes and renewals thereof shall continue until such time as the
right of the holders of such notes and renewals thereof to require
repurchase or redemption of such notes and renewals thereof prior to the
stated maturity shall cease. Such notes and renewals thereof shall,
together with the interest thereon, be paid from the taxes and revenues
in anticipation of which they have been issued within one year from the
date of original issue and so much of such taxes and revenues as will be
sufficient to pay the amount borrowed, with the interest thereon, is
pledged to the payment thereof. The comptroller is authorized to enter
into such agreements with other persons as he deems necessary or
appropriate in connection with the issuance, sale and resale of such
notes and, at his discretion, to resell or retire any such notes
purchased by the state prior to the stated maturity thereof.
(iii) Whenever the comptroller shall issue tax and revenue
anticipation notes in the form of an issue of flexible notes or
short-term series notes, he shall specify in writing, at the time of
original issuance thereof, the date or dates on which the notes or
renewal notes of such issue are to be paid from taxes and revenues and
not from the proceeds of resales or renewals thereof, and for purposes
of paragraph (b) of this subdivision, the maturity date of the notes and
renewal notes of such issue shall be the date or dates so specified by
the comptroller. The provisions of paragraph (b) of this subdivision
shall not apply to, and the comptroller shall not be required to set
aside any taxes or revenues in a separate note repayment account
pursuant to such paragraph (b) for, the payment of principal of or
interest on flexible notes or short-term series notes or renewals
thereof if such payment is due on any date other than the date so
specified by the comptroller. The date or dates, if any, on which tax
and revenue anticipation notes or renewals thereof may be redeemable
prior to maturity, or on which the holders thereof may have the right to
require the state or other persons to purchase or redeem such notes or
renewals thereof from the proceeds of the resale thereof or otherwise
prior to the stated maturity thereof, shall not be deemed the maturity
date thereof for purposes of paragraph (b) of this subdivision.
(b) No later than the tenth business day of each month during any
fiscal year in which tax and revenue anticipation notes mature, the
comptroller shall prepare a schedule of anticipated taxes and revenues
receivable by the state as of the date of such schedule during the
balance of such fiscal year in such detail as is necessary to carry out
the purposes of this paragraph, based upon estimates of such taxes and
revenues filed with him by the director of the budget. Except as may be
required to comply with obligations to the holders of bonds of the state
or the holders of bonds guaranteed by the state, commencing at any time
that the outstanding principal amount of any issue of tax and revenue
anticipation notes, and the interest due thereon, equals ninety-five
percent of the amount of taxes and revenues shown on such schedule to be
received during the period ending on the maturity date of the notes of
such issue, after deducting from such taxes and revenues the aggregate
principal amount of all outstanding notes of other issues, and the
interest due thereon, which mature during such period and against which
taxes and revenues have not, at such time, been collected and set aside
in the note repayment account pursuant to the provisions of this
subdivision, the comptroller shall set aside all taxes and revenues as
received in a separate note repayment account until the balance in such
account is sufficient to pay the notes of such issue and the interest
thereon and the principal of and the interest on any other notes with a
maturity date on or before such maturity date; provided, however, that
the comptroller shall commence to set aside such taxes and revenues no
later than the fifteenth day prior to the maturity date of any issue of
notes and continue to set aside taxes and revenues until the balance in
the note repayment account is sufficient to pay such notes and the
interest thereon at maturity and the principal of and interest on any
other notes maturing on or before such maturity date. The moneys in such
repayment account shall be kept separate and apart from all other moneys
in the custody of the comptroller, shall be deposited in a segregated
bank account, and held in trust for the holders of notes and the
interest in such moneys of holders of notes shall be in the order of
maturity of notes, with the holders of notes of an earlier maturity
having a first pledge over the holders of notes maturing later. Such
moneys shall be disbursed only for the payment of notes and the interest
thereon as they mature and may not be disbursed for any other purpose.
Moneys in the note repayment account shall, at the direction of the
comptroller, be invested in obligations of the United States of America
or in obligations of or guaranteed by agencies of the United States of
America where the payment of principal and interest is guaranteed by the
United States of America or in certificates of deposit secured by
obligations of the United States of America deposited by the issuer
thereof with the bank maintaining such account in an amount equal to the
amount of such certificate of deposit, provided that so much of the
amount of such obligations or certificates as is necessary for the
payment of any issue of notes is payable on or before the maturity date
of such notes or, in the case of investments in obligations of the
United States of America or in obligations of or guaranteed by agencies
of the United States of America where the payment of principal and
interest is guaranteed by the United States of America, is covered by
agreements with primary dealers in obligations of or guaranteed by the
United States of America for the repurchase thereof on or before the
maturity date of such notes.
(c) For purposes of paragraph (b) of this subdivision "taxes and
revenues" shall mean all moneys payable into the general fund of the
state except the proceeds of the issuance by the state of bonds, bond
anticipation notes or notes, and "notes" shall mean notes issued in
anticipation of the receipt of taxes and revenues.
3. The comptroller is authorized to issue, whenever he may deem it for
the best interests of the state to do so, bond anticipation notes and
renewals thereof, including, but not limited to, flexible notes and
short-term series notes, in such form and with such terms as he shall
determine. Such notes and renewals thereof shall bear interest at such
rate or rates of interest, which may vary from time to time, as in the
judgment of the comptroller may be sufficient or necessary to effect a
sale thereof and shall mature within a period not to exceed one year.
Such notes and renewals thereof may be redeemable from time to time on
such date or dates prior to maturity as the comptroller may determine.
Such notes and renewals thereof may provide the holders thereof with
such rights to require the state or other persons to purchase or redeem
such notes or renewal notes from the proceeds of the resale thereof or
otherwise from time to time prior to the stated maturity thereof as the
comptroller may determine. The comptroller is authorized to enter into
such agreements with other persons as he deems necessary or appropriate
in connection with the issuance, sale and resale of such notes and, at
his discretion, to resell or retire any such notes purchased by the
state prior to the stated maturity thereof. Notwithstanding the
foregoing, the holders of such notes and renewals thereof sold pursuant
to this subdivision shall not be provided with the right to require the
state to repurchase or redeem the notes and renewals thereof prior to
their stated maturity unless the state has entered into one or more
letter of credit agreements or other liquidity facility agreements
entered into for the express purpose of such sales and which shall
require a financially responsible party or parties to the agreement or
agreements, other than the state, to purchase or redeem all or any
portion of such notes and renewals thereof tendered by the holders
thereof for repurchase or redemption prior to the stated maturity of
such notes and renewals thereof. Such requirement to purchase or redeem
such notes and renewals thereof shall continue until such time as the
right of the holders of such notes and renewals thereof to require
repurchase or redemption of such notes and renewals thereof prior to the
stated maturity shall cease. The proceeds of the sale of such notes
shall be used only for the purposes for which may be used the proceeds
of the sale of bonds in anticipation of the sale whereof the notes were
issued. All of such notes and any renewals thereof shall be payable at a
fixed time, from the proceeds of the sale of bonds, and no renewal of
any such note shall be issued after the sale of bonds in anticipation of
which the original note was issued. In the event that a sale of such
bonds shall not have occurred prior to the maturity of the notes so
issued in anticipation of such sale the comptroller shall, in order to
meet the notes then maturing, issue renewal notes for such purpose.
Every such note and any renewals thereof shall, with the interest
thereon, be payable from the proceeds of the sale of such bonds and not
otherwise from any borrowing within two years from the date of original
issue, except that notes or obligations payable from the proceeds of the
sale of bonds issued or to be issued for any of the purposes authorized
by article eighteen of the constitution, shall, with the interest
thereon, be payable from the proceeds of the sale of such bonds within
five years from the date of original issue. The total amount of such
notes or renewals thereof issued and outstanding shall at no time exceed
the total amount of bonds authorized to be issued but not yet issued.
The comptroller shall include in his annual report, a detailed statement
of all such loans made and bonds issued during the year and of his
proceedings in relation thereto.
4. The outstanding principal amount of all flexible notes issued by
the state pursuant to subdivisions two and three of this section shall
at no time exceed the sum of five hundred million dollars and the
outstanding principal amount of all short term series notes issued by
the state pursuant to subdivisions two and three of this section shall
at no time exceed the sum of five hundred million dollars.
5. The comptroller shall annually submit a report to the director of
the budget, the chairman of the senate finance committee and the
chairman of the assembly ways and means committee. Such report shall be
submitted no later than the last business day of June and shall provide
a comprehensive analysis of any flexible notes and/or short-term series
notes issued or outstanding in the previous fiscal year. Such report
shall include, but not be limited to:
(a) An analysis of the effective interest rates associated with such
flexible notes and short-term series notes;
(b) An analysis of the expenses associated with the issuance of such
notes, including any fees or commissions required pursuant to a note
repurchase agreement or line of credit;
(c) An analysis of the effective interest rates associated with such
notes after consideration of the expenses described in paragraph (b) of
this subdivision;
(d) An analysis of any reinvestment opportunities and earnings
provided by the issuance of such notes; and
(e) Any other analyses which the comptroller may deem relevant to
determining the costs and benefits associated with flexible notes and
short term series notes.
Call provision in state bonds; refunding state bonds. 1.
Whenever in the comptroller's opinion it is to the advantage of the
state the comptroller when issuing and selling any bonds of the state
may reserve to the state on such conditions as the comptroller may deem
advisable and proper the privilege of refunding or of redeeming all or
any part of such bonds prior to the date on which they shall be due and
payable.
2. Whenever the comptroller shall have reserved to the state the right
to redeem or refund state bonds pursuant to subdivision one of this
section, he shall be authorized to issue refunding bonds in accordance
with the provisions of this subdivision. Such bonds may be issued prior
to the first date on which he shall have reserved the right to refund or
redeem the bonds to be refunded.
(a) Refunding bonds shall be issued only when the comptroller shall
have certified that, as a result of the refunding, there will be a debt
service savings to the state on a present value basis as a result of the
refunding transaction and that either (i) the refunding will benefit
state taxpayers over the life of the refunding bonds by achieving an
actual debt service savings each year or state fiscal year during the
term to maturity of the refunding bonds when debt service on the
refunding bonds is expected to be paid from legislative appropriations
or (ii) debt service on the refunding bonds shall be payable in annual
installments of principal and interest which result in substantially
level or declining debt service payments pursuant to paragraph (b) of
subdivision two of section fifty-seven of this article. Such
certification by the comptroller shall be conclusive as to matters
contained therein after the refunding bonds have been issued.
For purposes of determining whether there is a debt service savings on
a present value basis the present value of the total payments of both
principal and interest to become due on the refunding bonds, after
deducting any accrued interest or premium received by the state and not
used to pay the principal of or interest on the bonds to be refunded or
costs of issuance of the refunding bonds, excluding all such principal
and interest payments to be made from income received as a result of the
investment of the proceeds from the sale of the refunding bonds, shall
be less than the present value of the principal and interest payments to
become due at their stated maturities on the principal amount of bonds
to be refunded which are outstanding as of the date of the issue of the
refunding bonds after deducting therefrom all costs and expenses
incidental to the issuance of the refunding bonds, including the
development of the refunding plan, and of executing and performing the
terms and conditions of the escrow contract and all fees and charges of
the escrow holder, but only to the extent such costs and expenses are
not paid from the proceeds of the refunding bonds. The present value of
debt service payments pursuant to the foregoing provisions of this
subdivision shall be computed by discounting the principal and interest
payments on both the refunding bonds and the bonds to be refunded from
the respective maturities thereof to the date of issue of the refunding
bonds at a rate equal to the effective interest cost of the refunding
bonds. The effective interest cost of the refunding bonds shall be that
rate which is arrived at by doubling the semi-annual interest rate
(compounded semi-annually) necessary to discount the debt service
payments on the refunding bonds from the maturity dates thereof to the
date of issue of the refunding bonds and to the bona fide initial public
offering price including estimated accrued interest, or, if there is no
public offering, to the price bid including estimated accrued interest.
(b) The proceeds of refunding bonds, including any premium received on
the sale thereof, and any amounts that may be appropriated by the
legislature for the purposes thereof, shall be deposited directly in an
escrow fund created pursuant to this section, and amounts in such escrow
fund, and income earned thereon, shall be used only (i) to redeem the
bonds to be refunded, (ii) to pay debt service on the refunding bonds or
on the bonds to be refunded, (iii) to pay the costs of administering
such fund, (iv) to pay any direct or indirect costs of issuing the
refunding bonds and (v) to make any other payments required to be made
with respect to the refunding transaction.
(c) Amounts deposited in each escrow fund, with the income earned
thereon, when invested as directed by this subdivision, shall be
sufficient to pay (i) all costs of issuance of the refunding bonds, (ii)
all debt service on the refunding bonds or on the bonds to be refunded
until and including the date that the bonds to be refunded are to be
redeemed, except, at the option of the state comptroller, debt service
scheduled to be paid from appropriations in effect on the date of
issuance of the refunding bonds, (iii) all costs of administering the
escrow fund, if any, (iv) the principal of and any premium due on the
bonds to be refunded on the date they are to be redeemed, and (v) any
other payments required to be made in connection with the refunding
transaction.
(d) The comptroller is authorized to establish an escrow fund in
connection with each issue of refunding bonds that he may sell from time
to time, and he shall hold such funds outside the state treasury for the
purposes enumerated in this section.
(e) All money in each escrow fund shall be held as cash or shall be
invested in direct obligations of the federal government, direct
obligations the principal and interest of which are guaranteed by the
federal government, or obligations the interest on which is exempt from
federal income taxation and which are fully secured by direct
obligations of the federal government, having such maturities and
interest payment dates as required to make all payments to be made from
the escrow fund as they come due. The earnings on such obligations shall
remain in the escrow fund until required to be used to pay debt service
on the refunding bonds, to pay debt service on the bonds to be refunded
or to make other payments authorized to be made from the escrow fund.
Any money or investments remaining in any escrow fund after all refunded
bonds are redeemed and after all expenses related to the refunding
transaction have been paid shall be deposited in the general fund.
(f) No appropriation shall be required for disbursement of moneys from
any escrow fund created pursuant to this section, or the earnings
thereon, for the purposes enumerated above, and the comptroller may
covenant, on behalf of the state, with holders of the refunding bonds
and the bonds to be refunded that such disbursements will be made. The
comptroller is also authorized to enter into such other agreements with
other persons as he deems necessary or appropriate in connection with
any refunding transaction.
(g) Any refunding bonds issued pursuant to this section shall be paid
in annual installments which shall, so long as any refunding bonds are
outstanding, be made in each year or state fiscal year in which
installments were due on the bonds to be refunded and shall be in an
amount which shall result in annual debt service payments which shall be
less in each year or state fiscal year than the annual debt service
payments on the bonds to be refunded unless debt service on the
refunding bonds is payable in annual installments of principal and
interest which will result in substantially level or declining debt
service payments pursuant to paragraph (b) of subdivision two of section
fifty-seven of this article.
3. The state comptroller shall have custody of the securities and
other assets in the escrow funds created pursuant to this section;
provided, however, that, subject to the rights of the owners of the
bonds, the state comptroller may contract with a bank or trust company
for the maintenance, management and custody of the escrow funds. Such
bank or trust company shall have an office and be authorized to do
business in the state and shall maintain a combined capital and surplus
of not less than seventy-five million dollars.
4. Except where inconsistent with the provisions of this section, the
provisions of section fifty-seven of this chapter governing the original
issuance of debt shall apply to the sale of refunding debt pursuant to
this section.
5. Notwithstanding any other law, rule or regulation to the contrary,
within thirty days of the delivery of any fixed rate, fixed term state
obligations issued pursuant to sections fifty-five and fifty-seven of
this article, the state comptroller shall determine and certify to the
director of the budget, the chairs of the senate finance committee and
the assembly ways and means committee, the allowable bond yield on such
obligations as such allowable bond yield is determined pursuant to the
provisions of the internal revenue code of 1986, as amended. With
respect to any short-term series notes, flexible notes, or other notes
on which interest rates may vary from time to time, the state
comptroller shall determine and certify to the director of the budget
and the chairs of the senate finance committee and the assembly ways and
means committee as soon as is practicable after the maturity of such
notes on any state obligations issued pursuant to section fifty-five of
this article the allowable bond yield on such obligations as such
allowable bond yield is determined pursuant to the provisions of the
internal revenue code of 1986, as amended. Prior to making of a payment
of any rebate to the federal government, the state comptroller shall
certify to the director of the budget and the chairs of the senate
finance committee and the assembly ways and means committee the amount
of the rebate required to be paid and the date prior to which such
rebate must be paid in order to maintain the exemption from federal
income taxation of the interest paid on the obligations for which the
rebates are being made.
6. Notwithstanding any other law, rule or regulation to the contrary,
no monies shall be expended for the purpose of redeeming serial bonds to
maintain the exemption from federal taxation of the interest paid to
holders of state obligations issued pursuant to sections fifty-five and
fifty-seven of this article, issued by the state of New York until the
state comptroller has certified to the director of the budget and the
chairs of the senate finance committee and the assembly ways and means
committee their determination, the amount of such bonds to be redeemed
and the date upon which such bonds are to be redeemed.
Issuance of state bonds. 1. Whenever the legislature, after
authorization of a bond issue by the people at a general election, as
provided by section eleven of article seven of the state constitution,
or as provided by section three of article eighteen of the state
constitution, shall have authorized, by one or more laws, the creation
of a state debt or debts, bonds of the state, to the amount of the debt
or debts so authorized, shall be issued and sold by the state
comptroller. Any appropriation from the proceeds of the sale of bonds,
pursuant to this section, shall be deemed to be an authorization for the
creation of a state debt or debts to the extent of such appropriation.
The state comptroller may issue and sell a single series of bonds
pursuant to one or more such authorizations and for one or more duly
authorized works or purposes. As part of the proceedings for each such
issuance and sale of bonds, the state comptroller shall designate the
works or purposes for which they are issued. It shall not be necessary
for him to designate the works or purposes for which the bonds are
issued on the face of the bonds. The proceeds from the sale of bonds for
more than one work or purpose shall be separately accounted for
according to the works or purposes designated for such sale by the
comptroller and the proceeds received for each work or purpose shall be
expended only for such work or purpose. The bonds shall bear interest at
such rate or rates as in the judgment of the state comptroller may be
sufficient or necessary to effect a sale of the bonds, and such interest
shall be payable at least semi-annually, in the case of bonds with a
fixed interest rate, and at least annually, in the case of bonds with an
interest rate that varies periodically, in the city of New York unless
annual payments of principal and interest result in substantially level
or declining debt service payments over the life of an issue of bonds
pursuant to paragraph (b) of subdivision two of this section or unless
accrued interest is contributed to a sinking fund in accordance with
subdivision three of section twelve of article seven of the state
constitution, in which case interest shall be paid at such times and at
such places as shall be determined by the state comptroller prior to
issuance of the bonds.
2. Such bonds, or the portion thereof at any time issued, shall be
made payable (a) in equal annual principal installments or (b) in annual
installments of principal and interest which result in substantially
level or declining debt service payments, over the life of the bonds,
the first of which annual installments shall be payable not more than
one year from the date of issue and the last of which shall be payable
at such time as the comptroller may determine but not more than forty
years or state fiscal years after the date of issue, not more than fifty
years after the date of issue in the case of housing bonds, and not more
than twenty-five years in the case of urban renewal bonds. Where bonds
are payable pursuant to paragraph (b) of this subdivision, except for
the year or state fiscal year of initial issuance if less than a full
year of debt service is to become due in that year or state fiscal year,
either (i) the greatest aggregate amount of debt service payable in any
year or state fiscal year shall not differ from the lowest aggregate
amount of debt service payable in any other year or state fiscal year by
more than five percent or (ii) the aggregate amount of debt service in
each year or state fiscal year shall be less than the aggregate amount
of debt service in the immediately preceding year or state fiscal year.
For purposes of this subdivision, debt service shall include all
principal, redemption price, sinking fund installments or contributions,
and interest scheduled to become due. For purposes of determining
whether debt service is level or declining on bonds issued with a
variable rate of interest pursuant to paragraph b of subdivision four of
this section, the comptroller shall assume a market rate of interest as
of the date of issuance. Where the comptroller determines that interest
on any bonds shall be compounded and payable at maturity, such bonds
shall be payable only in accordance with paragraph (b) of this
subdivision unless accrued interest is contributed to a sinking fund in
accordance with subdivision three of section twelve of article seven of
the state constitution. In no case shall any bonds or portion thereof be
issued for a period longer than the probable life of the work or
purpose, or part thereof, to which the proceeds of the bonds are to be
applied, or in the alternative, the weighted average period of the
probable life of the works or purposes to which the proceeds of the
bonds are to be applied taking into consideration the respective amounts
of bonds issued for each work or purpose, as may be determined under
section sixty-one of this article and in accordance with the certificate
of the commissioner of general services, and/or the commissioner of
transportation, state architect, state commissioner of housing and urban
renewal, or other authority, as the case may be, having charge by law of
the acquisition, construction, work or improvement for which the debt
was authorized. Such certificate shall be filed in the office of the
state comptroller and shall state the group, or, where the probable
lives of two or more separable parts of the work or purposes are
different, the groups, specified in such section, for which the amount
or amounts, shall be provided by the issuance and sale of bonds.
Weighted average period of probable life shall be determined by
computing the sum of the products derived from multiplying the dollar
value of the portion of the debt contracted for each work or purpose (or
class of works or purposes) by the probable life of such work or purpose
(or class of works or purposes) and dividing the resulting sum by the
dollar value of the entire debt after taking into consideration any
original issue discount. Any costs of issuance financed with bond
proceeds shall be prorated among the various works or purposes. Such
bonds, or the portion thereof at any time sold, shall be of such
denominations, subject to the foregoing provisions, as the state
comptroller may determine. Notwithstanding the foregoing provisions of
this subdivision, the comptroller may issue all or a portion of such
bonds as serial debt, term debt or a combination thereof, maturing as
required by this subdivision, provided that the comptroller shall have
provided for the retirement each year or state fiscal year, or otherwise
have provided for the payment of, through sinking fund installment
payments or otherwise, a portion of such term bonds in an amount meeting
the requirements of paragraph (a) or (b) of this subdivision or shall
have established a sinking fund and provided for contributions thereto
as provided in subdivision eight of this section and section twelve of
article seven of the state constitution.
3. The bonds shall be sold in such lot or lots, from time to time, as
may be required for the work or purpose for which the creation of a
state debt or debts shall have been authorized and appropriations shall
have been made by law, but not in excess of the aggregate amount
authorized for such purpose. For the purpose of determining the total
amount of debt sold for a particular work or purpose, only the amount of
money actually received by the state shall be considered when bonds are
sold at a discount.
4. a. Such bonds shall be sold at par, at par plus a premium, or at a
discount to the bidder offering the lowest interest cost to the state,
taking into consideration any premium or discount and, in the case of
refunding bonds, the bona fide initial public offering price, not less
than two business days after the publication of a notice of sale at
least once in a definitive trade publication of the municipal bond
industry published on each business day in the state of New York which
is generally available in electronic or physical form to participants in
the municipal bond industry, which notice shall state the terms of the
sale. The comptroller may not change the terms of the sale unless notice
of such change is sent via a definitive trade wire service of the
municipal bond industry which, in general, makes available information
regarding activity and sales of municipal bonds and is generally
available to participants in the municipal bond industry, at least one
hour prior to the time of the sale as set forth in the original notice
of sale. In so changing the terms or conditions of a sale the
comptroller may send notice by such wire service that the sale will be
delayed by up to thirty days, provided that wire notice of the new sale
date will be given at least one business day prior to the new time when
bids will be accepted. In such event, no new notice of sale shall be
required to be published. Notwithstanding the provisions of section
three hundred five of the state technology law or any other law, if the
notice of sale contains a provision that bids will only be accepted
electronically in the manner provided in such notice of sale, the
comptroller shall not be required to accept non-electronic bids in any
form. Advertisements shall contain a provision to the effect that the
state comptroller, in his or her discretion, may reject any or all bids
made in pursuance of such advertisements, and in the event of such
rejection, the state comptroller is authorized to negotiate a private
sale or readvertise for bids in the form and manner above described as
many times as, in his or her judgment, may be necessary to effect a
satisfactory sale. Notwithstanding the foregoing provisions of this
paragraph, whenever in the judgment of the comptroller the interests of
the state will be served thereby, he or she may sell state bonds at
private sale at par, at par plus a premium, or at a discount. The
comptroller shall promulgate regulations governing the terms and
conditions of any such private sales, which regulations shall include a
provision that he or she give notice to the governor, the temporary
president of the senate, and the speaker of the assembly, of his or her
intention to conduct a private sale of obligations pursuant to this
section not less than two business days prior to such sale or the
execution of any binding agreement to effect such sale.
b. Notwithstanding paragraph a of this subdivision, whenever in the
judgment of the comptroller the interests of the state will be served
thereby, such bonds may be sold at public or private sale in accordance
with the procedures set forth in paragraph a of this subdivision, with
interest rates that vary in accordance with a formula or procedure set
forth or referred to in the bonds and may provide the holders thereof
with such rights to require the state or other persons to purchase or
redeem such bonds or renewals thereof from the proceeds of the resale
thereof or otherwise from time to time prior to the final maturity of
such bonds as the comptroller may determine and the state may resell, at
any time prior to final maturity, any such bonds acquired as a result of
the exercise of such rights. The holders of bonds sold pursuant to this
paragraph may be provided with the right to require the state to
repurchase or redeem the bonds prior to the final maturity thereof if
the state has entered into one or more letter of credit agreements or
other liquidity facility agreements entered into for the express
purposes of such sale and which shall require a financially responsible
party or parties to the agreement or agreements, which may be the state,
to purchase or redeem all or any portion of such bonds tendered by the
holders thereof for repurchase or redemption prior to the final maturity
of such bonds. Such requirement to purchase or redeem bonds shall
continue until such time as the right of the holders of such bonds to
require repurchase or redemption of such bonds prior to the final
maturity thereof shall cease. A financially responsible party or
parties, for purposes of this paragraph, shall mean a person or persons
determined by the comptroller to have sufficient net worth and liquidity
to purchase and pay for on a timely basis all of the bonds which may be
tendered for repurchase or redemption by the holders thereof.
5. The proceeds of bonds sold pursuant to this section shall be paid
into the treasury, and each portion thereof provided for a given work or
purpose shall be accounted for separately in one or more capital
projects funds in accordance with generally accepted accounting
principles and made available only for such work or purpose, and only to
the extent of appropriations.
6. Except with respect to bonds issued in the manner provided in
paragraph (c) of subdivision seven of this section, all bonds of the
state of New York which the comptroller of the state of New York is
authorized to issue and sell, shall be executed in the name of the state
of New York by the manual or facsimile signature of the state
comptroller and his seal (or a facsimile thereof) shall be thereunto
affixed, imprinted, engraved or otherwise reproduced. In case the state
comptroller who shall have signed and sealed any of the bonds shall
cease to hold the office of state comptroller before the bonds so signed
and sealed shall have been actually countersigned and delivered by the
fiscal agent or trustee, such bonds may, nevertheless, be countersigned
and delivered as herein provided, and may be issued as if the state
comptroller who signed and sealed such bonds had not ceased to hold such
office. Any bond of a series may be signed and sealed on behalf of the
state of New York by such person as at the actual time of the execution
of such bond shall hold the office of comptroller of the state of New
York, although at the date of the bonds of such series such person may
not have held such office. The coupons to be attached to the coupon
bonds of each series shall be signed by the facsimile signature of the
state comptroller of the state of New York or by any person who shall
have held the office of state comptroller of the state of New York on or
after the date of the bonds of such series, notwithstanding that such
person may not have been such state comptroller at the date of any such
bond or may have ceased to be such state comptroller at the date when
any such bond shall be actually countersigned and delivered. The bonds
of each series shall be countersigned with the manual signature of an
authorized employee of the fiscal agent or trustee of the state of New
York. No bond and no coupon thereunto appertaining shall be valid or
obligatory for any purpose until such manual countersignature of an
authorized employee of the fiscal agent or trustee of the state of New
York shall have been duly affixed to such bond.
7. (a) The state comptroller is authorized to issue bonds in fully
registered form, executed as provided in subdivision six of this
section, in such denominations as shall be determined by the state
comptroller and exchangeable for fully registered bonds in denominations
as shall be determined by the state comptroller.
(b) The state comptroller is authorized to issue bonds as a single
registered bond, executed as provided in subdivision six of this
section, in an amount equal to the principal amount of the series of
bonds being issued, or more than one registered bond in amounts equal to
the principal amount of the series of bonds maturing in a single year,
and to deposit the bond or bonds with a securities depository organized
under the banking law of the state of New York and qualifying as a
clearing agency registered under the United States Securities Exchange
Act of 1934, as amended. Book entries representing beneficial ownership
of the bonds shall be in denominations determined by the state
comptroller.
(c) The state comptroller is authorized to issue bonds as
uncertificated securities within the meaning of article eight of the
uniform commercial code with beneficial ownership in denominations
determined by the state comptroller and exchangeable in book entries in
denominations as shall be determined by the state comptroller.
8. Any sinking funds created pursuant to this section shall be
maintained and managed by the state comptroller or an agent or trustee
designated by the state comptroller and shall be funded in accordance
with the requirements of section twelve of article seven of the state
constitution. Money in such sinking funds shall be held as cash or shall
be invested in direct obligations of the federal government, or
obligations the interest on which is exempt from federal income taxation
and which are fully secured by direct obligations of the federal
government, having such maturities and interest payment dates as
required to make all payments to be made from the sinking fund as they
come due. Amounts in such sinking funds shall be used solely for the
purpose of retiring the bonds secured thereby except that amounts in
excess of the required balance on any contribution date and amounts
remaining in such funds after all of the bonds secured thereby have been
retired shall be deposited in the general fund. No appropriation shall
be required for disbursement of money, or income earned thereon, from
any sinking fund for the purpose of paying principal of and interest on
the bonds for which such fund was created, except that interest shall be
paid from any such fund only if, and to the extent that, it is not
payable annually and contributions on account of such interest were made
to the fund.
Probable life of certain works or purposes of state debt. In
compliance with section twelve of article seven of the state
constitution, it is hereby determined that the probable life of each of
the following described types of buildings, structures, improvements,
acquisitions or purposes, as a work or purpose, or part of a work or
purpose, for which a state debt shall be contracted pursuant to such
article of the constitution, is determined to be as follows:
BUILDINGS AND APPURTENANCES
1. Thirty years. Class A buildings. Buildings, the walls of which are
constructed of brick, stone, concrete, metal or other incombustible
material, and in which there are no wood beams or lintels, and in which
the floors, roofs, stair halls, and other means of vertical
communication between floors and their enclosures are built entirely of
brick, stone, metal or other incombustible materials, and in which no
woodwork or other inflammable material is used in any of the rough
partition, floor or ceiling structures.
2. Twenty years. Class B buildings. Buildings, the outer walls of
which are constructed of brick, stone, concrete, metal, stucco or other
fire-resisting material, including a building which is rebuilt or
altered so that it, together with additions or vertical or other
extensions or replacements, are fire-resisting.
3. Fifteen years. Class C buildings. Buildings that are neither class
A nor class B as defined in subdivisions one and two, including any such
building which is rebuilt or altered so that any addition or vertical or
other extension is not fire-proof or fire-resisting, as thus defined.
4. Fifteen years. Plumbing, heating, lighting, power, water supply,
refrigeration, sewerage or drainage plants or systems, or two or more of
them whether within or in connection with a building above described, or
otherwise, except that where the proceeds of a bond issue are to be
expended for any such system or plant and also for the construction of a
building in or in connection with which the system or plant shall be
constructed, the probable life of both, as an entirety, is the same as
the probable life of the building as above determined.
STATE HIGHWAYS, PARKWAYS, ARTERIAL HIGHWAYS, STATE
AND FEDERALLY-AIDED HIGHWAY AND HIGHWAY-
TRANSPORTATION PROJECTS, ROADS AND STREETS
5. (a) Twenty years. Construction or reconstruction of state highways,
state parkways, state arterial highways in cities, other state and
federally-aided highway and highway-transportation projects and related
facilities and structures.
(b) Ten years. Improvement, including but not limited to
reconditioning and preservation, including critical structural repairs,
of state highways and parkways, state arterial highways in cities, and
bridges thereon; local streets and highways off the state highway
system, and bridges thereon; other state, state-aided and/or
federally-aided highway and highway-transportation projects and related
facilities and structures; construction, reconstruction or improvement
of a road, street or trail, whether without or within state parks,
whether or not including contemporaneous construction of sidewalks,
curbs, gutters or drains, and whether or not including grading, if the
surface is laid on a solid foundation, or is of concrete; commuter
parking facilities; highway and bridge projects undertaken by localities
pursuant to subdivision four of section ten-c of the highway law and
pursuant to section one of chapter eight hundred thirty-six of the laws
of nineteen hundred eighty-three known as the Rebuild New York Through
Transportation Infrastructure Renewal Bond Act of 1983; and alterations
necessary to improve railroad track clearances.
6. Five Years. A road or street, whether or not including
contemporaneous construction of sidewalks, curbs, gutters or drains, and
whether or not including grading, if the surface is of water-bound
macadam or penetration process or is of sand and gravel.
BRIDGES AND CULVERTS
7. Twenty years. A bridge or culvert (including retaining walls and
approaches), unless constructed of wood.
8. Five years. A bridge or culvert (including retaining walls and
approaches), constructed of wood.
DAMS, DOCKS AND SEA WALLS
9. Fifteen years. Dams, docks and sea walls.
PARK IMPROVEMENT AND DEVELOPMENT
10. Ten years. Park improvement and development, including forestry
work, fire protection, planting, grading and park equipment.
SIDEWALKS
11. Five years. A sidewalk, curb or gutter not included in any other
subdivision of this section.
OTHER IMPROVEMENTS
12. Forty years. Elimination of railroad grade crossing or crossings,
whether or not including the acquisition of land, and incidental
improvements connected therewith.
13. Thirty. The acquisition of land.
14. Ten years. Sewer, water, gas or other service connections from the
service main in the road, street or highway to the property line.
15. Five years. Any work of construction, improvement or purpose not
covered by other provisions of this section.
SLUM CLEARANCE AND HOUSING
16. Fifty years. The effectuating of any of the purposes of the public
housing law and article two of the private housing finance law.
16-a. Twenty-five years. Effectuating an urban renewal program or part
thereof pursuant to article fifteen of the general municipal law.
HIGHER EDUCATION PROJECTS
17. Thirty years. Any work or purpose for which a state debt may be
incurred pursuant to section nineteen of article seven of the
constitution.
CLEAN WATER IMPROVEMENT PROJECTS
18. Thirty years. The construction, reconstruction and improvement of
facilities for the purpose of treating, neutralizing or stabilizing
sewage, including treatment of disposal plants, the necessary
intercepting, outfall and outlet sewers, pumping stations integral to
such plants or sewers, equipment and furnishings thereof and their
appurtenances, pursuant to contracts of the commissioner of
environmental conservation pursuant to section twelve hundred
sixty-three-b of the public health law and/or pursuant to chapter six
hundred fifty-nine of the laws of nineteen hundred seventy-two and, in
addition to the above, safe drinking water projects and clean water
projects undertaken pursuant to a chapter of the laws of nineteen
hundred ninety-six, entitled "AN ACT to amend the environmental
conservation law, the agriculture and markets law, the executive law,
the public authorities law, the public health law, the soil and water
conservation districts law, the state finance law, and the tax law, in
relation to the implementation of the Clean Water/Clean Air Bond Act of
1996 and making appropriations therefor".
OUTDOOR RECREATION DEVELOPMENT PROJECTS
19. Twenty years. The development or acquisition of lands for outdoor
recreation, including parks, forest recreation areas, marine facilities
and historic sites, and including the state share of such development,
restoration, improvement or acquisition undertaken by a municipality,
not-for-profit corporation or the federal government, pursuant to
article seventeen of the parks, recreation and historic preservation law
and/or pursuant to chapter six hundred fifty-nine of the laws of
nineteen hundred seventy-two and/or pursuant to chapter five hundred
twelve of the laws of nineteen hundred eighty-six and, in addition to
the above, park, historic preservation and heritage area projects
undertaken pursuant to a chapter of the laws of nineteen hundred
ninety-six, entitled "AN ACT to amend the environmental conservation
law, the agriculture and markets law, the executive law, the public
authorities law, the public health law, the soil and water conservation
districts law, the state finance law, and the tax law, in relation to
the implementation of the Clean Water/Clean Air Bond Act of 1996 and
making appropriations therefor".
TRANSPORTATION CAPITAL FACILITIES
20. Thirty years. For the acquisition, construction, reconstruction or
improvement of any railroad capital facility, rapid transit rolling
stock, mass transportation capital facility or airport or aviation
capital facility, and any capital equipment used in connection therewith
pursuant to chapter seven hundred fifteen of the laws of nineteen
hundred sixty-seven known as the transportation capital facilities bond
act, or pursuant to section two of chapter one hundred eighteen of the
laws of nineteen hundred seventy-four known as the rail preservation
bond act of nineteen hundred seventy-four, or pursuant to section one of
chapter three hundred sixty-nine of the laws of nineteen hundred
seventy-nine known as the energy conservation through improved
transportation bond act of nineteen hundred seventy-nine, pursuant to
section one of chapter eight hundred thirty-six of the laws of nineteen
hundred eighty-three known as the Rebuild New York Through
Transportation Infrastructure Renewal Bond Act of 1983, or pursuant to
section four of a chapter of the laws of two thousand five known as the
rebuild and renew New York transportation bond act of two thousand five,
except (a) twenty years in the case of railroad locomotives or other
railroad rolling stock and (b) ten years in the case of any omnibus or
similar surface transit motor vehicle or any aircraft.
AIR QUALITY IMPROVEMENT PROJECTS
21. Fifteen years. The upgrading of an existing incinerator, furnace
or boiler and appurtenances thereto now owned and operated by the state
or a municipality, pursuant to contracts of the commissioner of
environmental conservation pursuant to chapter six hundred fifty-nine of
the laws of nineteen hundred seventy-two and, in addition to the above,
twenty years for air quality improvement projects undertaken pursuant to
a chapter of the laws of nineteen hundred ninety-six, entitled "AN ACT
to amend the environmental conservation law, the agriculture and markets
law, the executive law, the public authorities law, the public health
law, the soil and water conservation districts law, the state finance
law, and the tax law, in relation to the implementation of the Clean
Water/Clean Air Bond Act of 1996 and making appropriations therefor",
except ten years in the case of vehicles.
WETLANDS AND AQUATIC HABITAT PRESERVATION OR RESTORATION PROJECT
22. Thirty years. A state or municipal project to preserve or restore
biologically productive and vulnerable wetlands because of their unique
and irreplaceable value, pursuant to chapter six hundred fifty-nine of
the laws of nineteen hundred seventy-two and, in addition to the above,
aquatic habitat restoration projects undertaken pursuant to a chapter of
the laws of nineteen hundred ninety-six, entitled "AN ACT to amend the
environmental conservation law, the agriculture and markets law, the
executive law, the public authorities law, the public health law, the
soil and water conservation districts law, the state finance law, and
the tax law, in relation to the implementation of the Clean Water/Clean
Air Bond Act of 1996 and making appropriations therefor".
SOLID WASTE RECOVERY AND MANAGEMENT PROJECTS
23. Thirty years. Installations and equipment designed, constructed
and required to separate, process, modify, convert, treat, or prepare
collected solid waste as required by a municipal solid waste management
system pursuant to chapter six hundred fifty-nine of the laws of
nineteen hundred seventy-two and, in addition to the above, solid waste
projects undertaken pursuant to a chapter of the laws of nineteen
hundred ninety-six entitled "AN ACT to amend the environmental
conservation law, the agriculture and markets law, the executive law,
the public authorities law, the public health law, the soil and water
conservation districts law, the state finance law, and the tax law, in
relation to the implementation of the Clean Water/Clean Air Bond Act of
1996 and making appropriations therefor", except ten years in the case
of vehicles or other moveable equipment.
PORT, MARINE TERMINAL, CANAL AND WATERWAYS CAPITAL FACILITIES
25. Fifteen years. For the construction, reconstruction, improvement,
reconditioning and preservation of port, marine terminal, canal and
waterways capital facilities and appurtenances, pursuant to section one
of chapter eight hundred thirty-six of the laws of nineteen hundred
eighty-three, known as the Rebuild New York Through Transportation
Infrastructure Renewal Bond Act of 1983 and pursuant to section four of
a chapter of the laws of two thousand five known as the rebuild and
renew New York transportation bond act of two thousand five.
HAZARDOUS WASTE SITE REMEDIATION PROJECTS
26. Twenty years. For the remediation of sites at which there has been
disposal of hazardous wastes pursuant to a chapter of the laws of
nineteen hundred eighty-six entitled, "An act to amend the environmental
conservation law, the navigation law and the state finance law, in
relation to the implementation of the environmental quality bond act of
nineteen hundred eighty-six".
MUNICIPAL LANDFILL PROJECTS
27. Twenty years. For municipal projects approved by the commissioner
of environmental conservation to close a landfill pursuant to chapter
five hundred twelve of the laws of nineteen hundred eighty-six and, in
addition to the above, landfill and landfill closure projects undertaken
pursuant to a chapter of the laws of nineteen hundred ninety-six,
entitled "AN ACT to amend the environmental conservation law, the
agriculture and markets law, the executive law, the public authorities
law, the public health law, the soil and water conservation districts
law, the state finance law, and the tax law, in relation to the
implementation of the Clean Water/Clean Air Bond Act of 1996 and making
appropriations therefor".
ENVIRONMENTAL RESTORATION PROJECTS
29. Twenty years. For environmental restoration improvement projects
undertaken pursuant to a chapter of the laws of nineteen hundred
ninety-six, entitled "AN ACT to amend the environmental conservation
law, the agriculture and markets law, the executive law, the public
authorities law, the public health law, the soil and water conservation
districts law, the state finance law and the tax law, in relation to the
implementation of the Clean Water/Clean Air Bond Act of 1996 and making
appropriations therefor".
OPEN SPACE LAND CONSERVATION PROJECTS
30. Thirty years. For open space land conservation projects undertaken
pursuant to a chapter of the laws of nineteen hundred ninety-six,
entitled "AN ACT to amend the environmental conservation law, the
agriculture and markets law, the executive law, the public authorities
law, the public health law, the soil and water conservation districts
law, the state finance law, and the tax law, in relation to the
implementation of the Clean Water/Clean Air Bond Act of 1996 and making
appropriations therefor".
SMART SCHOOLS PROJECTS
31. Thirty years. For the payment of smart schools projects, including
but not limited to pre-kindergarten or transportable classroom unit
replacement projects, community connectivity projects, and classroom
technology projects, all as defined in subdivision sixteen of section
thirty-six hundred forty-one of the education law and undertaken
pursuant to a chapter of the laws of two thousand fourteen, enacting and
constituting the smart schools bond act of 2014. Thirty years for
pre-kindergarten projects or transportable classroom unit replacement
projects, twenty years for community connectivity projects, and eight
years for classroom technology projects or school safety and security
technology projects. Notwithstanding the foregoing, for the purposes of
calculating annual debt service, the state comptroller shall apply a
weighted average period of probable life of such smart schools projects,
including with any other works or purposes to be financed with state
debt. Weighted average period of probable life shall be determined by
computing the sum of the products derived from multiplying the dollar
value of the portion of the debt contracted for each work or purpose (or
class of works or purposes) by the probable life of such work or purpose
(or class of works or purposes) and dividing the resulting sum by the
dollar value of the entire debt after taking into consideration any
original issue premium or discount.
32. Thirty years. For the payment of " clean water, clean air, and
green jobs" projects, as defined in article fifty-eight of the
environmental conservation law and undertaken pursuant to a chapter of
the laws of two thousand twenty-one, enacting and constituting the clean
water, clean air, and green jobs environmental bond act of 2022. Thirty
years for flood control infrastructure, other environmental
infrastructure, wetland and other habitat restoration, water quality
projects, acquisition of land, including acquisition of real property,
and renewable energy projects. Notwithstanding the foregoing, for the
purposes of calculating annual debt service, the state comptroller shall
apply a weighted average period of probable life of clean water, clean
air, and green jobs projects, including any other works or purposes to
be financed with state debt. Weighted average period of probable life
shall be determined by computing the sum of the products derived from
multiplying the dollar value of the portion of the debt contracted for
each work or purpose (or class of works or purposes) by the probable
life of such work or purpose (or class of works or purposes) and
dividing the resulting sum by the dollar value of the entire debt after
taking into consideration any original issue premium or discount.
Replacement of lost certificates. The comptroller, who may act
through his duly authorized fiscal agent or trustee appointed pursuant
to section sixty-five of this article, may issue to the lawful owner of
any certificate or bond issued by him in behalf of this state, which he
or such duly authorized fiscal agent or trustee is satisfied, by due
proof filed in his office or with such duly authorized fiscal agent or
trustee, has been lost or casually destroyed, a new certificate or bond,
corresponding in date, number and amount with the certificate or bond so
lost or destroyed, and expressing on its face that it is a renewed
certificate or bond. No such renewed certificate or bond shall be issued
unless sufficient security is given to satisfy the lawful claim of any
person to the original certificate or bond, or to any interest therein.
The comptroller shall report annually to the legislature the number and
amount of all renewed certificates or bonds so issued. If the renewed
certificate is issued by the state's duly authorized fiscal agent or
trustee and such agent or trustee agrees to be responsible for any loss
suffered as a result of unauthorized payment, the security shall be
provided to and approved by the fiscal agent or trustee and no
additional approval by the comptroller or the attorney general shall be
required.
Expense of preparing and selling bonds. From the moneys realized
from the sale of bonds heretofore or hereafter authorized the
comptroller shall apportion the expense of preparing and selling such
bonds against the appropriation or appropriations, and shall use such
apportioned funds in paying such expenses.
Contracts for dies, plates and engraving. The state comptroller
shall have power and authority, and it shall be his duty, to enter into
and execute for and on behalf of the state such contract or contracts
for dies, plates and engraving necessary for the preparation of bonds,
notes and certificates of indebtedness at such time or times as it shall
be necessary for issuance thereof. Such dies, plates and engraving shall
be prepared and completed under his supervision and he shall be the
custodian of all dies, plates and other material required in the
preparation of such bonds, notes and certificates of indebtedness.
Appointment of fiscal agent or trustee; powers and duties. 1.
Notwithstanding any other provisions of this chapter, the comptroller,
on behalf of the state, may contract from time to time for a period or
periods not exceeding ten years each, except in the case of a bank or
trust company agreeing to act as issuing, paying and/or tender agent
with respect to a particular issue of variable interest rate bonds in
which case the comptroller, on behalf of the state, may contract for a
period not to exceed the term of such particular issue of bonds, with
one or more banks or trust companies located in the city of New York, to
act as fiscal agent, trustee, or agents of the state, and for the
maintenance of an office for the registration, conversion, reconversion
and transfer of the bonds and notes of the state, including the
preparation and substitution of new bonds and notes, for the payment of
the principal thereof and interest thereon, for related services, and to
otherwise effectuate the powers and duties of a fiscal agent or trustee
on behalf of the state in all such respects as may be determined by the
comptroller for such bonds and notes, and for the payment by the state
of such compensation therefor as the comptroller may determine. Any such
fiscal agent or trustee may, where authorized pursuant to the terms of
its contract, accept delivery of obligations purchased by the state and
of securities deposited with the state pursuant to sections one hundred
five and one hundred six of this chapter and hold the same in
safekeeping, make delivery to purchasers of obligations sold by the
state, and accept deposit of such proceeds of sale without securing the
same. Any such contract may also provide that such fiscal agent or
trustee may, upon the written instruction of the comptroller, deposit
any obligations or securities which it receives pursuant to such
contract, in an account with a federal reserve bank, to be held in such
account in the form of entries on the books of the federal reserve bank,
and to be transferred in the event of any assignment, sale, redemption,
maturity or other disposition of such obligations or securities, by
entries on the books of the federal reserve bank. Any such bank or trust
company shall be responsible to the people of this state for the
faithful and safe conduct of the business of said office, for the
fidelity and integrity of its officers and agents employed in such
office, and for all loss or damage which may result from any failure to
discharge their duties, and for any improper and incorrect discharge of
those duties, and shall save the state free and harmless from any and
all loss or damage occasioned by or incurred in the performance of such
services. Any such contract may be terminated by the comptroller at any
time. In the event of any change in any office maintained pursuant to
any such contract, the comptroller shall give public notice thereof in
such form as he may determine appropriate.
2. The comptroller shall prescribe rules and regulations for the
registration, conversion, reconversion and transfer of the bonds and
notes of the state, including the preparation and substitution of new
bonds, for the payment of the principal thereof and interest thereon,
and for other authorized services to be performed by such fiscal agent
or trustee. Such rules and regulations, and all amendments thereof,
shall be prepared in duplicate, one copy of which shall be filed in the
office of the department of audit and control and the other in the
office of the department of state. A copy thereof may be filed as a
public record in such other offices as the comptroller may determine.
Such rules and regulations shall be obligatory on all persons having any
interests in bonds and notes of the state heretofore or hereafter
issued.
ARTICLE 5-A Certificates of Participation
Restriction on issuance of certificates of participation. 1.
No person, partnership, corporation or other legal entity nor any state
officer, employee, agency, department, the city university of New York,
the legislature or the judiciary shall issue certificates of
participation or similar instruments representing the right to receive a
proportionate share in lease, installment or other periodic payments to
be made by any state department, agency or the city university of New
York except in accordance with the provisions of this article and with
the express written approval of the state comptroller. The provisions of
this section are hereby made a part of every purchase contract entered
into by such a state entity providing for periodic payments by any state
department, agency or the city university of New York. Every such
contract shall contain a clause expressly reciting the provisions of
this subdivision, provided, however, that the absence of such clause in
such a contract shall not obviate the duty of all parties thereto to
comply with the provisions of this subdivision. Neither this provision,
nor any other provision of this article shall be construed to prevent
such state entities from entering into installment purchase or lease
purchase agreements funded without the use of certificates of
participation or similar instruments.
2. For the purposes of this article, "state departments and agencies"
shall not include the legislature or the judiciary, and the provisions
of this article, unless otherwise specified, shall not apply to
installment purchase or lease purchase contracts entered into by the
legislature or the judiciary financed by the issuance of certificates of
participation or similar instruments representing the right to receive a
proportionate share in lease, installment or other periodic payments to
be made by the legislature or judiciary.
3. No state officer, employee, department, agency or the city
university of New York shall enter into any agreement in connection with
the issuance of certificates of participation which requires any payment
by the state to the trustee, on behalf of holders of such certificates,
during the month of April of any year.
Issuance of certificates of participation. 1. The director of
the budget shall determine whether the use of certificates of
participation to finance and/or to refinance installment purchase or
lease purchase contracts entered into by state departments, agencies or
the city university of New York is financially desirable and in the best
interest of the state. Upon notice of such a determination the state
comptroller is authorized, pursuant to a request for proposals,
competitive bidding or negotiated placement, to cause to be issued
certificates of participation or similar instruments that represent
undivided proportionate interests in periodic payments due from the
state to fund installment purchase or lease purchase contracts entered
into, or expected to be entered into, by the state departments,
agencies, the city university of New York, or any combination thereof,
pursuant to the provisions of this article. The state comptroller shall
issue regulations to govern the procedure he shall follow in any sale
conducted pursuant to this section of such certificates. Such
regulations shall, in the case of all sales, require that notice be
published in a definitive trade publication of the municipal bond
industry published on each business day in the state of New York, which
is generally available to participants in the municipal bond industry,
which notice shall state the terms of the sale. The proceeds from the
issuance of such certificates may also be used for the establishment of
reserve funds to secure such certificates, the cost or premium of
letters of credit, insurance or other credit enhancements, the cost of
bond counsel, financial advisor, trustees and paying agent, and such
other related expenses as may be necessary for the issuance of such
certificates. The foregoing shall not be construed to authorize the use
of such proceeds for the payment of personal service expenses of state
departments, agencies or the city university of New York, other than
payments made to the department of law for legal services rendered.
2. The maximum term of certificates of participation issued to finance
personal property shall be ten years. The maximum term of certificates
of participation to finance the acquisition or improvement of real
property shall be twenty-five years. In no event, however, shall such
term exceed the expected useful life of the property being financed,
with such term calculated from the date of delivery, with respect to
personal property, and the date of occupancy, with respect to real
property.
3. Ten days prior to the issuance of certificates of participation
pursuant to this section, the director of the budget shall transmit to
the chairs of the senate finance committee and the assembly ways and
means committee a copy of the director of the budget's notice to the
state comptroller pursuant to this section. Such notice shall provide
the following information pertaining to the personal property to be
financed by the certificates:
1. The agency and program procuring the equipment.
2. A brief description of the equipment.
3. The estimated cost of the equipment if purchased outright.
4. The estimated terms of such financings.
5. The estimated total lease or installment purchase payments for the
equipment.
6. The estimated lease or installment purchase payments by fiscal year
for the current fiscal year and the next five fiscal years.
7. The anticipated source of funds to make lease or installment
purchase payments.
8. Those items of equipment not anticipated to be financed upon
enactment of the budget for such fiscal year.
Before the issuance of the certificates the director of the budget may
amend such notice and shall transmit a copy of the amended notice to the
chairs of the senate finance committee and assembly ways and means
committee. After the issuance of the certificates, the director of the
budget shall transmit to the chairs of the senate finance committee and
assembly ways and means committee and the state comptroller a copy of
the final official statement accompanying such issuance and thereafter
shall transmit quarterly reports which update such notices to such
individuals.
4. Subject to the provisions of chapter fifty-nine of the laws of two
thousand, but notwithstanding any other provisions of law to the
contrary, the maximum amount of certificates of participation or similar
instruments representing periodic payments due from the state of New
York, issued on behalf of state departments and agencies, the city
university of New York and any other state entity otherwise specified
after March thirty-first, two thousand three shall be seven hundred
eighty-four million two hundred eighty-five thousand dollars. Such
amount shall be exclusive of certificates of participation or similar
instruments issued to fund a reserve fund or funds, costs of issuance
and to refund outstanding certificates of participation.
Certificates of participation not debt. Certificates of
participation or similar instruments issued pursuant to this article and
the underlying installment purchase or lease purchase contracts do not
constitute or create debt of the state as defined in article seven of
the state constitution, nor a contractual obligation in excess of the
amounts appropriated therefor, and the state has no continuing legal or
moral obligation to appropriate money for said payments or other
obligations due under the installment purchase contracts. In the case of
the failure to appropriate, the sole security for any remaining periodic
payments shall be the property subject to the installment purchase or
lease purchase contract, and debt service reserve funds in the custody
of the trustee or any other remaining proceeds, subject to the
provisions of section sixty-six-h of this article.
Annual ceiling on certificates of participation. 1. The
governor shall include in the bills which he submits in connection with
the executive budget his recommendation as to the total maximum amount
of certificates of participation to be issued for purchases of personal
property by state departments, agencies, and the city university of New
York pursuant to this article during the upcoming fiscal year, exclusive
of refunding and, in addition, a list of real property projects of state
departments, agencies and the city university of New York contemplated
to be financed through the use of certificates of participation.
2. The maximum amount of certificates of participation or similar
instruments representing periodic payments due from the state of New
York issued for state departments, agencies and the city university of
New York within a fiscal year shall not exceed the maximum principal
amount authorized in the budget enacted into law for such fiscal year,
or in any other law as amended from time to time.
3. Certificates of participation issued to refund or advance refund
prior issues of certificates of participation or similar instruments
including certificates of participation issued pursuant to section
sixty-six-b of this article and certificates of participation issued
before July twenty-fourth, nineteen hundred eighty-six, representing the
right to receive a proportionate share in lease, installment or other
periodic payments to be made by any state department, agency or unit of
the state university or the city university of New York shall not count
against the above ceilings, provided that the state comptroller
determines that there will be a savings to the state on total periodic
payments on a present value basis as a result of the refunding
transaction.
Restrictions on the use of certificates of participation for
real property. Certificates of participation or similar instruments
shall not be used to finance the acquisition or improvement of real
property unless specifically authorized in an appropriation bill or some
other law for such real property installment purchase.
Certain interagency transfers authorized. The director of the
budget may, if necessary, authorize the transfer of monies from one
state department, agency or the city university of New York to pay for
installment purchases or lease purchases made on its behalf, to another
state department, agency or the city university of New York under a
multi-agency installment purchase contract financed through the issuance
of certificates of participation or similar instruments, but in no case
shall the aggregate of state payments exceed the total amount actually
appropriated for the underlying installment purchase obligations. The
director of the budget shall file his approval of a certificate of
allocation for such a transfer with the state comptroller and the chairs
of the senate finance committee and the assembly ways and means
committee.
Indemnification. Any agreement for the issuance of
certificates of participation to fund installment purchases by the state
may provide that the state will indemnify the trustee, paying agent,
service agent or any other person performing a similar or related
function, but only to the extent that the liability triggering the event
of indemnification is the fault of the state.
Restriction on sale in the event of nonappropriation. 1. Any
agreement for the issuance of certificates of participation to fund
installment purchases or lease purchases by the state may provide that
the certificates are secured by the underlying property and that, in the
event that the legislature fails to appropriate funds sufficient for the
underlying installment payments, the financed property may be sold on
behalf of the holders of the certificates, provided that any excess
proceeds from such a sale, after deduction for and payment of fees,
expenses and any taxes levied on the sale, and distribution to the
holders of the certificates in the amount of the face value of the
certificates plus accrued interest, or in the case of a certificate
issued with an original issue discount, its accreted value, shall be
paid to the state.
2. Any security interest in personal property made or created by any
such agreement shall be valid, binding and perfected from the time when
such security interest attaches, without any physical delivery of the
collateral or further act. The lien of any such security interest shall
be valid, binding and perfected as against all parties having claims of
any kind in tort, contract or otherwise against the state irrespective
of whether or not such parties have notice hereof. No instrument by
which such security interest is created nor any financing statement or
other document need be recorded or filed. This section shall apply
notwithstanding the provisions of the uniform commercial code and the
vehicle and traffic law.
Annual report. On or before February fifteenth of each fiscal
year, beginning with the nineteen hundred eighty-eight--eighty-nine
fiscal year and ending with the nineteen hundred
ninety-seven--ninety-eight fiscal year, and on or before February
fifteenth and June fifteenth of each fiscal year, beginning with the
nineteen hundred ninety-eight--ninety-nine fiscal year, the state
comptroller shall submit an annual report to the director of the budget
and the chairs of the senate finance committee and the assembly ways and
means committee regarding the issuance of certificates of participation
issued under this article. Such report shall include a summary statement
of the aggregate amount of certificates of participation issued under
this article. Such report shall also include, but not be limited to,
specific detail pertaining to each issuance, including the state
department, agency, or unit of the state university or city university
of New York which entered into lease or installment purchases funded
through the use of certificates of participation, including each
issuance for the legislature or the judiciary, the amounts, purposes,
and financing terms and payment schedule of each issuance, as well as
any other matter which the comptroller deems advisable.
Certificates of participation; reallocation requirements. 1.
This section shall not apply to appropriations made to units of the
state university or the city university of New York.
2. In those cases where funds have been appropriated to a state
department or agency for the outright purchase of equipment, and when
with the approval of the director of the budget and the state
comptroller, a contract is entered into for the lease purchase or
installment purchase of equipment and the lease purchase or installment
purchase agreement is financed or will be financed by the issuance of
certificates of participation pursuant to this article, the director of
the budget shall notify the chairs of the senate finance committee and
the assembly ways and means committee of the director of the budget's
and the state comptroller's approval of such contract.
3. If the outright purchase cost of the equipment is two million
dollars or more, the balance of the appropriation for the outright
equipment purchase not necessary to pay lease purchase or installment
purchase payments in the then current fiscal year for the equipment
shall be unallocated by the director of the budget and may be
reallocated by the director of the budget only in accordance with the
following procedures, and subject to the following conditions and
limitations:
(a) The chief executive officer of the department or agency to which
the appropriation is provided, shall request allocation of the balance
or portion of the balance by providing a statement to the director of
the budget and the chairs of the senate finance committee and the
assembly ways and means committee certifying to the following (i) the
amount of the requested allocation, (ii) the purpose of the allocation,
and (iii) the necessary nature of the expenditures.
(b) The director of the budget may allocate the monies requested only
after receiving notification of approval for the allocation from the
chairs of the senate finance committee and the assembly ways and means
committee.
4. If the outright purchase cost of the equipment is less than two
million dollars, the balance of the appropriation for the outright
equipment purchase not necessary to pay lease purchase or installment
purchase payments in the then current fiscal year for the equipment may
be reallocated by the director of the budget with notification as soon
as practicable after such reallocation to the chairs of the senate
finance committee and the assembly ways and means committee of the
purpose of the expenditures for which the allocation is made.
Certificates of participation executed and delivered by the
state of New York bond bank agency on behalf of a political subdivision.
The provisions of this article shall not apply to certificates of
participation executed and delivered by the state of New York bond bank
agency on behalf of a political subdivision as provided for in section
one hundred nine-b of the general municipal law and section twenty-four
hundred thirty-five-a of the public authorities law.
ARTICLE 5-B Limitations On State-supported Debt
Definitions. When used in this article the following terms
shall have the meanings set forth below:
1. "State-supported debt" shall mean any bonds or notes, including
bonds or notes issued to fund reserve funds and costs of issuance,
issued by the state or a state public corporation for which the state is
constitutionally obligated to pay debt service or is contractually
obligated to pay debt service subject to an appropriation, except where
the state has a contingent contractual obligation.
2. "Total personal income of the state" shall mean the most recently
published estimate of the immediately preceding calendar year annual
total personal income of the state of New York as published by the
United States department of commerce or any successor agency from which
information is available most proximate and prior to October
thirty-first, two thousand one and to October thirty-first of each year
thereafter. Subsequent revisions of the published estimated dollar
amount for any calendar year estimate employed pursuant to the terms of
this subdivision shall not affect the validity of the determination made
for any fiscal year.
3. "Total governmental funds receipts" shall mean the total amount of
receipts of all governmental funds of the state including general fund,
special revenue funds, capital funds and debt service funds as finally
reported by the state comptroller on a cash basis of accounting for the
state fiscal year, but shall exclude cash transfers between funds and
include any cash management or other related transactions whereby
receipts in a state fiscal year were reduced and maintained for
subsequent use.
4. "Capital work or purpose" shall mean any project involving:
(i) the acquisition, construction, demolition, or replacement of a
fixed asset or assets;
(ii) the major repair or renovation of a fixed asset, or assets which
materially extends its useful life or materially improves or increases
its capacity; or
(iii) the planning or design of the acquisition, construction,
demolition, replacement, major repair or renovation of a fixed asset or
assets, including the preparation and review of plans and specifications
including engineering and other services, field surveys and sub-surface
investigations incidental thereto.
Limitations on the issuance of state-supported debt. 1. (a)
State-supported debt may not be contracted for unless, as of October
thirty-first, two thousand one and as of each October thirty-first
thereafter, the total outstanding principal amount of such debt, as of
the last day of the immediately preceding fiscal year, is less than the
designated percentage of the total personal income of the state. Nothing
shall preclude the contracting of state-supported debt prior to October
thirty-first of each year if, as of the last day of the immediately
preceding fiscal year, the total outstanding principal amount of such
debt was less than the designated percentage of the total personal
income of the state. The total outstanding principal amount of debt
shall include all state-supported debt issued on and after April first,
two thousand. Such designated percentage shall be seven and
one-half-tenths of one percent for fiscal year two thousand--two
thousand one, and shall increase by five-tenths of one percent in fiscal
year two thousand one--two thousand two, by an additional four-tenths of
one percent in fiscal year two thousand two--two thousand three, and by
an additional one-third of one percent in each of the seven subsequent
fiscal years. The designated percentage for fiscal year two thousand
ten--two thousand eleven and for each fiscal year thereafter shall be
four percent.
(b) If state-supported debt is issued to refund or otherwise affect
the refunding, retirement or defeasance of state-supported debt
originally issued on and after April first, two thousand, provided such
refundings are conducted in accordance with section thirteen of article
VII of the state constitution, the calculation of the total outstanding
principal amount of debt shall include such refunding debt, and shall
exclude the amount of prior refunded debt, in each year until such
refunding debt is finally retired. Notwithstanding the foregoing, the
provisions of such section thirteen of article VII of the state
constitution relating to the maintenance or management of escrow funds
and sinking funds shall only be applicable to state-supported debt
issued by the state comptroller. If state-supported debt is issued to
refund or otherwise affect the refunding, retirement or defeasance of
state-supported debt issued prior to April first, two thousand, then the
amount of such refunding debt shall be included in the calculation of
the total outstanding principal amount of debt in each year until such
refunding debt is finally retired. In addition, if state-supported debt
is retired or defeased with payments in any fiscal year made by the
state that are not required by mandatory payments, such debt shall be
excluded from the calculation of the total outstanding principal amount
of debt, including retirements or defeasances accomplished on an
economic basis.
2. State-supported debt may not be contracted for unless, as of
October thirty-first, two thousand one and as of each October
thirty-first thereafter, the total amount of interest, installments of
principal, contributions to sinking funds, and related payments on a
cash basis of accounting for state-supported debt in the immediately
preceding fiscal year is less than the designated percentage of total
governmental funds receipts for such fiscal year. Nothing shall preclude
the contracting of state-supported debt prior to October thirty-first of
each year if, in the immediately preceding fiscal year, the total amount
of interest, installments of principal, contributions to sinking funds,
and related payments was less than the designated percentage of total
governmental funds receipts. This shall include the total amount of
payments on such debt issued on and after April first, two thousand, but
shall not include payments in any fiscal year made by the state to
defease or retire debt not required by mandatory payments nor payments
made by the state for debt issued to refund debt that was issued prior
to April first, two thousand. In addition, if state-supported debt is
issued to refund or otherwise affect the refunding, retirement or
defeasance of state-supported debt originally issued on and after April
first, two thousand, provided such refundings are conducted in
accordance with section thirteen of article VII of the state
constitution, the calculation of the total amount of interest,
installments of principal, contributions to sinking funds, and related
payments shall include payments made on such refunding debt, and shall
exclude the payments on the prior refunded debt, in each year until such
refunding debt is finally retired. Such designated percentage shall be
seven and one-half-tenths of one percent for fiscal year two
thousand--two thousand one, and shall increase by five-tenths of one
percent in fiscal year two thousand one--two thousand two, by an
additional four-tenths of one percent in fiscal year two thousand
two--two thousand three, and by an additional one-third of one percent
in each of the ten subsequent fiscal years. The designated percentage
for fiscal year two thousand thirteen--two thousand fourteen and for
each fiscal year thereafter shall be five percent.
3. No state-supported debt shall be contracted except to finance
capital works or purposes.
4. Notwithstanding any other provision of law to the contrary, no
state-supported debt shall be issued with a final maturity of more than
thirty years.
5. The provisions of this section shall apply to debt issued pursuant
to section nine of article VII of the state constitution only to the
extent that such notes remain outstanding.
Authorization for consolidated service contract refundings. 1.
In addition to the authorizations for state-supported debt specified in
any other provision of law, the issuers of state-supported debt may also
issue bonds and notes to refund or otherwise repay previously issued
state-supported debt.
(a) The aggregate amount of indebtedness evidenced by bonds and notes
of the authorized issuer hereinafter issued pursuant to this section,
including as is authorized in any other provision of law, shall exclude
the amount of such indebtedness represented by such bonds or notes
issued to refund or otherwise repay bonds or notes; provided that the
amount so excluded under this section may exceed the principal amount of
such bonds or notes that were refunded or otherwise repaid only if the
present value of the aggregate debt service on the refunding bonds or
notes shall not have at the time of their issuance exceeded the present
value of the aggregate debt service of the bonds or notes they were
issued to refund or repay, such present value in each case being
calculated by using the effective interest rate of the refunding or
repayment bonds or notes, which shall be that rate arrived at by
doubling the semi-annual interest rate (compounded semi-annually)
necessary to discount the debt service payments on the refunding or
repayment bonds or notes from the payment date thereof to the date of
issue of the refunding or repayment bonds or notes and to the price bid
therefor, or to the proceeds received by the authorized issuer from the
sale thereof.
(b) Notwithstanding any other provision of law to the contrary, and
subject to the limitations of paragraph (a) of this subdivision, issuers
of state-supported debt may also refund or otherwise repay bonds or
notes of any other issuers of state-supported debt where the payment of
debt service and related expenses of both such refunding and refunded
bonds and notes are subject to appropriation and not otherwise secured
by a dedication of specific revenues.
(i) In order to assist the issuer of such refunding bonds, the
director of the budget is authorized to enter into one or more service
contracts or other agreements, none of which shall exceed the lesser of
thirty years in duration or the final maturity of the bonds to be
refunded, with the issuer of such refunding bonds, upon such terms and
conditions as the director of the budget and the issuer shall agree.
(ii) Any service contract or other agreements entered into pursuant to
subparagraph (i) of this paragraph or any payments made or to be made
thereunder may be assigned and pledged by the issuer as security for its
bonds, notes, or other obligations.
(iii) Any such service contract or other agreements shall provide that
the obligation of the director of the budget or of the state to fund or
to pay the amounts therein provided for shall not constitute a debt of
the state within the meaning of any constitutional or statutory
provision and shall be deemed executory only to the extent moneys are
available and that no liability shall be incurred by the state beyond
the moneys available for such purpose, and that such obligation is
subject to annual appropriation by the legislature.
(iv) Any service contract or other agreements entered into pursuant to
subparagraph (i) of this paragraph shall provide for state commitments
to provide annually to the issuer a sum or sums, upon such terms and
conditions as shall be deemed appropriate by the director of the budget
and the authorized issuer, to fund the principal, interest, and other
related expenses required for any bonds, notes, or other obligations.
(v) In addition to the foregoing, the authorized issuers of the bonds
to be so refunded shall be authorized to enter into such agreements with
the director of the budget and/or the authorized issuer of the refunding
bonds and related parties to take or cause to be taken any such actions
necessary to effectuate the purposes of such refunding issue.
(vi) Nothing contained in this subdivision, shall be construed to
limit the abilities of the director of the budget and the authorized
issuers of state-supported debt to perform their respective obligations
on existing service contracts or other agreements entered into prior to
April first, two thousand seven.
(vii) If an authorized issuer issues an amount of refunding bonds for
an authorized purpose of another authorized issuer which would otherwise
require the approval of the public authorities control board, then such
amount of refunding bonds shall be subject to the approval of the public
authorities control board pursuant to the provisions of section
fifty-one of the public authorities law.
2. Refundings conducted pursuant to this section shall not be financed
pursuant to article five-C of this chapter.
ARTICLE 5-C Revenue Bond Financing Program
Definitions. 1. "Authorized issuer" shall mean the following
public authorities and public benefit corporations, and any successors
thereto:
(a) the dormitory authority of the state of New York;
(b) the urban development corporation;
(c) the New York state thruway authority;
(d) the New York state environmental facilities corporation;
(e) the New York state housing finance agency.
2. "Authorized purpose" for purposes of this article and section
ninety-two-z of this chapter shall mean any purposes for which
state-supported debt, as defined by section sixty-seven-a of this
chapter, may or has been issued except debt for which the state is
constitutionally obligated thereunder to pay debt service and related
expenses.
3. "Revenue bonds" for the purposes of this article and section
ninety-two-z of this chapter shall mean any bonds, notes or obligations
issued or incurred pursuant to section sixty-eight-b of this article.
Issuance of bonds and notes. 1. (a) Authorized issuers shall
have the power and are hereby authorized from time to time to issue
revenue bonds, in such principal amount or amounts, subject to
subdivision eight of this section and as the director of the budget
shall determine to be necessary, to provide sufficient funds for
authorized purposes, the establishment of reserves to secure such
revenue bonds, the payment of amounts required under revenue bonds or
agreements relating thereto, and the payment of all costs of issuance of
their revenue bonds.
(b) The authorized issuers shall have the power and are hereby
authorized from time to time to issue (i) revenue bonds to renew notes,
(ii) revenue bonds to pay notes, and (iii) whenever it deems refunding
expedient, to refund any bonds, notes, or other obligations issued for
an authorized purpose or purposes, by the issuance of new revenue bonds,
including bonds, notes, or other obligations that were issued prior to
the enactment of this article, whether the bonds, notes, or other
obligations to be refunded have or have not matured, and to issue
revenue bonds in part to refund bonds, notes, or other obligations then
outstanding and in part for any of its other authorized purposes. The
refunding revenue bonds may be exchanged for bonds, notes, or other
obligations to be refunded, or sold and the proceeds applied to the
purchase, redemption or payment of such bonds, notes, or other
obligations.
(c) Except as may otherwise be expressly provided by an authorized
issuer, every issue of revenue bonds of an authorized issuer pursuant to
this section shall be special obligations of the authorized issuer
payable solely out of any revenues paid over to such authorized issuer
from the revenue bond tax fund, established pursuant to section
ninety-two-z of this chapter.
(d) All of the provisions of the enabling acts of the authorized
issuers relating to bonds and notes, which are not inconsistent with the
provisions of this section, may, at the discretion of the authorized
issuer, apply to revenue bonds authorized by this section.
(e) The revenue bonds of the authorized issuers authorized by this
section shall not be a debt of the state and the state shall not be
liable thereon, nor shall they be payable out of any funds other than
those of the authorized issuers pledged therefor; and such revenue bonds
shall contain on the face thereof a statement to such effect. In
addition, any agreements entered into by any entity pursuant to sections
sixty-eight-c and ninety-two-z of this chapter on behalf of the state to
effect the implementation of any of the activities financed in whole or
in part with proceeds of the revenue bonds of the authorized issuers
authorized in this section do not constitute or create a debt of the
state, nor a contractual obligation in excess of the amounts
appropriated therefor, and the state has no continuing legal or moral
obligation to appropriate money for payments due under any such
agreement.
(f) (i) Revenue bonds shall be authorized by resolution of the
authorized issuers, be in such denominations, bear such date or dates
and mature at such time or times, as such resolution or other agreement
may provide.
(ii) Revenue bonds shall be subject to such terms of redemption, bear
interest at such rate or rates, be payable at such times, be in such
form, either coupon, registered or book entry form, carry such
registration privileges, be executed in such manner, be payable in such
medium of payment at such place or places, and be subject to such terms
and conditions as such resolution may provide.
(g) Revenue bonds authorized hereunder shall be sold by authorized
issuers, at public or private sale, at such price or prices as the
authorized issuers may determine. Revenue bonds of the authorized
issuers shall not be sold by the authorized issuers at private sales
unless such sale and the terms thereof have been approved by the state
comptroller.
2. Consistent with the provisions of this article, and subject to the
approval of the director of the budget, any resolution or other
agreement authorizing revenue bonds or any issue thereof may contain
provisions, which shall be a part of the contract with the holders
thereof, as to:
(a) pledging all or any part of the revenues received by the
authorized issuers pursuant to section sixty-eight-c of this article to
secure the payment of the bonds or notes or of any issue thereof,
subject to such agreements with holders of revenue bonds as may then
exist;
(b) pledging all or any part of the assets of the authorized issuers
to secure the payment of the revenue bonds or of any issue of revenue
bonds subject to such agreements with holders of revenue bonds as may
then exist;
(c) the setting aside of reserves or sinking funds and the regulation
and disposition thereof;
(d) limitations on the purposes to which the proceeds of sale of
revenue bonds, may be applied and pledging such proceeds to secure the
payment of the revenue bonds or of any issue thereof;
(e) limitations on the issuance of additional revenue bonds the terms
upon which additional revenue bonds may be issued and secured and the
refunding of outstanding or other revenue bonds;
(f) the procedure, if any, by which the terms of any contract with
holders of revenue bonds may be amended or abrogated, the amount of
revenue bonds the holders of which must consent thereto and the manner
in which such consent may be given;
(g) vesting in a trustee, as described in subdivision six of this
section, such property, rights, powers and duties in trust as the
authorized issuers may determine, which may include any or all of the
rights, powers and duties of the trustee appointed by the holders of
revenue bonds of the respective authorized issuers pursuant to this
article, and limiting or abrogating the right of such revenue bond
holders to appoint a trustee under this title or limiting the rights,
powers, and duties of such trustee;
(h) the acts or omissions to act which shall constitute a default in
the obligations and duties of the authorized issuers to the holders of
the revenue bonds and providing for the rights and remedies of the
holders of the revenue bonds in event of such default, including the
right to appointment of a receiver; provided, however, that such rights
and remedies shall not be inconsistent with the other provisions of this
article;
(i) any other matters, of like or different character, which in any
way affect the security or protection of the holders of the revenue
bonds; and
(j) the application of any of the foregoing provisions to any provider
of any applicable bond, note or other financial facility.
Notwithstanding the foregoing, the authorized issuers shall not be
authorized to make any covenant, pledge, promise, or agreement
purporting to bind the state except as otherwise specifically authorized
by this article.
3. Any pledge made by the respective authorized issuers shall be valid
and binding from the time when the pledge is made. The revenues or
property so pledged and thereafter received by the respective authorized
issuers shall immediately be subject to the lien of such pledge without
any physical delivery thereof or further act, and the lien of any such
pledge shall be valid and binding as against all parties having claims
of any kind in tort, contract or otherwise against the respective
authorized issuers, irrespective of whether such parties have notice
thereof. Neither the resolution nor any other instrument by which a
pledge is created need be recorded or filed to protect such pledge.
4. Neither the directors or members of the authorized issuers nor any
other person executing the revenue bonds of the authorized issuers shall
be liable personally thereon or be subject to any personal liability or
accountability solely by reason of the issuance thereof.
5. The authorized issuers, subject to such agreements with holders of
revenue bonds as may then exist, or with the providers of any applicable
bond or note or other financial or agreement facility, shall have power
out of any funds available therefor to purchase revenue bonds of the
authorized issuers, which may or may not thereupon be canceled, at a
price not exceeding:
(a) if the revenue bonds are then redeemable, the redemption price
then applicable, including any accrued interest; or
(b) if the revenue bonds are not then redeemable, the redemption price
and accrued interest applicable on the first date after such purchase
upon which the revenue bonds become subject to redemption; or
(c) whether or not the revenue bonds are then redeemable, at a
redemption price that provides present value savings to the state, as
certified in writing by an independent financial advisor.
No later than seven days after a redemption pursuant to paragraph (c)
of this subdivision, the director of the budget shall provide such
written certification to the chair of the senate finance committee and
the chair of the assembly ways and means committee.
6. In the discretion of the authorized issuers, the revenue bonds may
be secured by a trust indenture by and between the authorized issuers
and a corporate trustee, or a corporate trustee may be appointed under
the resolution as provided in subdivision two of this section.
7. Whether or not the revenue bonds are of such form and character as
to be negotiable instruments under the terms of the uniform commercial
code, the revenue bonds are hereby made negotiable instruments within
the meaning of and for all the purposes of the uniform commercial code,
subject only to the provisions of the revenue bonds for registration or
any book-entry-only system.
8. Revenue bonds may only be issued for authorized purposes, as
defined in section sixty-eight-a of this article. Notwithstanding the
foregoing, the dormitory authority of the state of New York, the urban
development corporation and the New York state thruway authority may
issue revenue bonds for any authorized purpose of any other such
authorized issuer through March thirty-first, two thousand thirty. Any
such revenue bonds issued by the New York state thruway authority shall
be subject to the approval of the New York state public authorities
control board, pursuant to section fifty-one of the public authorities
law. The authorized issuers shall not issue any revenue bonds in an
amount in excess of statutory authorizations for such authorized
purposes. Authorizations for such authorized purposes shall be reduced
in an amount equal to the amount of revenue bonds issued for such
authorized purposes under this article. Such reduction shall not be made
in relation to revenue bonds issued to fund reserve funds, if any, and
costs of issuance, nor shall revenue bonds issued to refund bonds issued
under existing authorizations reduce the amount of such authorizations.
9. Except upon the amendment of the New York state constitution
allowing the issuance or assumption of bonds, notes or other obligations
secured by revenues, which may include the revenues securing revenue
bonds of authorized issuers, and the affirmative assumption of such
bonds, notes or other obligations by the state, the revenue bonds of the
authorized issuers authorized by this section shall not be a debt of the
state and the state shall not be liable thereon, nor shall they be
payable out of any funds other than those of the authorized issuers
pledged therefor; and such revenue bonds shall contain on the face
thereof a statement to such effect. In addition, any agreements entered
into by any entity pursuant to sections sixty-eight-c and ninety-two-z
of this chapter on behalf of the state to effect the implementation of
any of the activities financed in whole or in part with proceeds of the
obligations of the authorized issuers authorized in this section do not
constitute or create a debt of the state, nor a contractual obligation
in excess of the amounts appropriated therefor and the state has no
continuing legal or moral obligation to appropriate money for payments
due under any such agreement.
10. Nothing in this article shall affect the authority of each of the
authorized issuers to issue or incur indebtedness for any purposes
otherwise authorized by law and nothing in this article shall be deemed
to alter or affect the rights of outstanding bondholders or noteholders
of any authorized issuer.
11. The authorization, sale and issuance of revenue bonds pursuant to
this section shall not be deemed an action as such term is defined in
article eight of the environmental conservation law for the purposes of
such article. Such exemption shall be strictly limited in its
application to such financing activities of the authorized issuers
hereunder and does not exempt any other entity from compliance with such
article.
12. The comptroller is hereby authorized to receive from the
authorized issuers any portion of bond proceeds paid to provide funds
for or reimburse the state for its costs associated with such authorized
purposes and to credit such amounts to the capital projects fund or any
other appropriate fund.
Payments to authorized issuers. 1. The state, acting through
the director of the budget, and authorized issuers may enter into,
amend, modify, or rescind one or more financing agreements providing for
the specific manner, timing, and amount of payments to be made under
this section, but only in conformity with this section.
2. No later than October first of each year, the authorized issuers
shall certify to the director of the budget the anticipated cash
requirements related to revenue bonds during the subsequent state fiscal
year in such detail as the director may require.
3. Upon receipt of a voucher from any authorized issuer requesting
payment for such amount or amounts certified by the director of the
budget pursuant to paragraph (a) of subdivision five of section
ninety-two-z of this chapter, the state comptroller shall pay such
amount or amounts to the authorized issuer from appropriations for such
purpose.
4. The agreement of the state contained in this section shall be
deemed executory only to the extent of appropriations available for
payments under this section, and no liability on account of any such
payment shall be incurred by the state beyond such appropriations.
5. Nothing contained in this article shall be deemed to restrict the
right of the state to amend, repeal, modify or otherwise alter statutes
imposing or relating to the taxes imposed pursuant to article
twenty-two, article twenty-four, and article twenty-four-A of the tax
law. The authorized issuers shall not include within any resolution,
contract or agreement with holders of the revenue bonds issued under
this article any provision which provides that a default occurs as a
result of the state exercising its right to amend, repeal, modify or
otherwise alter the taxes imposed pursuant to article twenty-two,
article twenty-four, and article twenty-four-A of the tax law.
6. Any resolution or other agreement authorizing revenue bonds under
this article shall reserve the right of the state, upon amendment of the
New York state constitution allowing the issuance or assumption of
bonds, notes or other obligations secured by revenues, which may include
the revenues securing revenue bonds of authorized issuers (a) to assume,
in whole or in part, revenue bonds of the authorized issuers, (b) to
extinguish the existing lien of such resolution, or other agreement and
(c) to substitute security for the revenue bonds of the authorized
issuers, in each case only so long as such assumption, extinguishment or
substitution is done in accordance with such resolution or other
agreement.
ARTICLE 5-D Variable Rate Debt Instruments
Definitions. As used throughout this article, the following
terms shall have the following meanings:
1. "Variable rate bonds" shall mean any State-supported debt which
bears interest at a rate or rates which varies from time to time.
2. "Interest rate exchange or similar agreement" shall mean a written
contract entered into in connection with the issuance of State-supported
debt, or in connection with such State-supported debt already
outstanding, with a counterparty to provide for an exchange of payments
based upon fixed and/or variable interest rates, and shall be for
exchanges in currency of the United States of America only.
3. "State-supported debt" shall mean all debt included in subdivision
one of section sixty-seven-a of this chapter.
4. "Authorized issuer" shall mean the state or any state public
corporation which is authorized to issue State-supported debt.
5. "Governing board" shall mean, for each state public corporation
which is authorized to issue State-supported debt, its board of
directors or, in the absence of a board of directors, its other
appropriate supervising body and, in relation to state general
obligation debt, the state comptroller.
6. "Variable rate debt instruments" shall mean, for any calculation
purpose, (i) variable rate bonds or (ii) any state-supported debt and
related interest rate exchange or similar agreements which, when
considered together, result in an authorized issuer effectively paying
interest at a rate or rates which varies from time to time, but shall
not include any variable rate bonds, or any state-supported debt
considered together with related interest rate exchange or similar
agreements issued on or before July first, two thousand five, during any
period that such instrument or instruments provide for payment by the
authorized issuer of a fixed rate throughout the then current fiscal
year of the state.
7. "Excluded agreements" shall mean the total notional amount of
interest rate exchange or similar agreements entered into for the
purpose of reducing or eliminating a situation of risk or exposure under
an existing interest rate exchange or similar agreement, including, but
not limited to a counterparty downgrade, default, or other actual or
potential economic loss; provided, however, that for agreements entered
into on and after April first, two thousand seven "excluded agreements"
shall mean the total notional amount of interest rate exchange or
similar agreements entered into for the purpose of reducing or
eliminating a situation of imminent risk under an existing interest rate
exchange or similar agreement, including, but not limited to a
counterparty downgrade, default, or other actual or imminent economic
loss.
Limitation on amount of variable rate debt instruments. As of
the initial date of each issuance of variable rate bonds or the date of
entering into any other variable rate debt instruments, or for debt
issued on or before July first, two thousand five upon conversion of any
state-supported debt to variable rate debt instruments, the total of the
principal and notional amounts of such variable rate debt instruments
outstanding and in effect shall not exceed an amount equal to fifteen
percent of the total principal amount of state-supported debt
outstanding.
Variable rate bonds. Notwithstanding any other provision of
law to the contrary, any State-supported debt may be issued as variable
rate bonds.
Notwithstanding any other provision of law to the contrary, for
purposes of calculating the present value of debt service and
calculating savings in connection with the issuance of refunding
indebtedness, (i) the effective interest rate and debt service payable
on variable rate bonds in connection with which, and to the extent that,
an authorized issuer has entered into an interest rate exchange or
similar agreement pursuant to which the authorized issuer makes payments
based on a fixed rate and receives payments based on a variable rate
that is reasonably expected by such authorized issuer to be equivalent
over time to the variable rate paid on the related variable rate bonds,
shall be calculated assuming that the rate of interest on such variable
rate bonds is the fixed rate payable by the authorized issuer on such
interest rate exchange or similar agreement for the scheduled term of
such agreement; (ii) the effective interest rate and debt service on
variable rate bonds in connection with which, and to the extent that, an
authorized issuer has not entered into such an interest rate exchange or
similar agreement shall be calculated assuming that interest on such
variable interest rate bonds is payable at a rate or rates reasonably
assumed by the authorized issuer; (iii) the effective interest rate and
debt service on any bonds subject to optional or mandatory tender shall
be a rate or rates reasonably assumed by the authorized issuer; (iv) any
variable rate bonds that are converted or refunded to a fixed rate,
whether or not financed on an interim basis with bond anticipation
notes, shall be assumed to generate a present value savings; and (v)
otherwise, the effective interest rate and debt service on any bonds
shall be calculated at a rate or rates reasonably assumed by the
authorized issuer. Notwithstanding any other provision of law to the
contrary, for calculating the present value of debt service and
calculating savings in connection with the issuance of refunding
indebtedness, the refunding of variable rate debt instruments with new
variable rate debt instruments shall be excluded from any such
requirements, if effectuated for sound business purposes.
Interest rate exchange or similar agreements. 1. Authorized
issuer; powers. In connection with the issuance of State-supported debt,
or in connection with such State-supported debt already outstanding, an
authorized issuer shall have the power to:
(a) enter into interest rate exchange or similar agreements with any
person under such terms and conditions as the authorized issuer may
determine, including provisions as to default or early termination and
indemnification by the authorized issuer or any other party thereto for
loss of benefits as a result thereof;
(b) procure insurance, letters of credit or other credit enhancement
with respect to agreements described in paragraph (a) of this
subdivision;
(c) provide security for the payment or performance of its obligations
with respect to agreements described in paragraph (a) of this
subdivision from such sources and with the same effect as is authorized
by applicable law with respect to security for its bonds, notes or other
obligations, provided, however, that any payment or performance of
obligations with respect to agreements described in paragraph (a) of
this subdivision in connection with debt obligations which carry the
full faith and credit of the state shall be subject to appropriation;
(d) the state, acting through the director of the budget or other
state officials who are so authorized by applicable law with respect to
such bonds, notes or other obligations, shall also be authorized to
enter into or amend agreements related to such State-supported debt to
provide for payment, subject to appropriation, to such authorized issuer
of any amounts required to be paid by such authorized issuer under any
such interest rate exchange or similar agreement;
(e) if such funds are available, provide collateral for its own
obligations under any such interest rate exchange or similar agreement;
and
(f) modify, amend, or replace, such agreements.
2. Interest rate exchange; limitations. Any interest rate exchange or
similar agreements entered into pursuant to subdivision one of this
section shall be subject to the following limitations:
(a) the counterparty thereto shall have credit ratings from at least
one nationally recognized statistical rating agency that is within the
two highest investment grade categories and ratings which are obtained
from any other nationally recognized statistical rating agencies shall
also be within the three highest investment grade categories, or the
payment obligations of the counterparty shall be unconditionally
guaranteed by an entity with such credit ratings;
(b) the written contract shall require that should the rating: (i) of
the counterparty, if its payment obligations are not unconditionally
guaranteed by another entity, or (ii) of the entity unconditionally
guaranteeing its payment obligations, if so secured, fall below the
rating required by paragraph (a) of this subdivision, that the
obligations of such counterparty shall be fully and continuously
collateralized by direct obligations of, or obligations the principal
and interest on which are guaranteed by, the United States of America,
with a net market value of at least one hundred two percent of the net
market value of the contract to the authorized issuer and such
collateral shall be deposited with the authorized issuer or an agent
thereof;
(c) the total notional amount of all interest rate exchange or similar
agreements for all authorized issuers to be in effect shall not exceed
an amount equal to fifteen percent of the total amount of
state-supported debt outstanding as of the initial date of entering into
each new agreement; provided, however, that such total notional amount
shall not include any excluded agreements.
(d) no interest rate exchange or similar agreement shall have a
maturity exceeding the maturity of the related State-supported debt;
(e) each interest rate exchange or similar agreement shall be subject
to an independent finding that its terms and conditions reflect a fair
market value of such agreement as of the date of its execution,
regardless of whether such agreement was solicited on a competitive or
negotiated basis; and
(f) each interest rate exchange or similar agreement, including the
modification or termination thereof, shall be subject to the approval of
the director of the budget, the governing board of such authorized
issuer, and shall not be considered a project for the purposes of
article one-A of the public authorities law.
3. Guidelines and reports. (a) Prior to authorizing the approval of
any contract for interest rate exchange or similar agreement pursuant to
subdivision one of this section, the authorized issuer's governing board
shall adopt guidelines for the use of interest rate exchange or similar
agreements which shall include, but not be limited to the following:
(i) the conditions under which such contracts can be entered into;
(ii) the methods by which such contracts are to be solicited and
procured;
(iii) the form and content such contracts shall take;
(iv) the aspects of risk exposure associated with such contracts;
(v) standards and procedures for counterparty selection;
(vi) standards for the procurement of credit enhancement, liquidity
facilities, or the setting aside of reserves in connection with such
contracts;
(vii) provisions for collateralization or other requirements for
securing the financial interest in such contracts;
(viii) the long-term implications associated with entering into such
agreements, such as costs of borrowing, historical trends, use of
capacity for variable rate bonds and related credit enhancements, and
any potential impact on the future ability to call bonds, including
opportunities to refund related debt obligations, and similar
considerations;
(ix) the methods to be used to reflect such contracts in the
authorized issuer's financial statements;
(x) financial monitoring and periodic assessment of such contracts by
the authorized issuer; and
(xi) such other matters relating thereto as the governing board shall
deem necessary and proper.
(b) The guidelines to be adopted pursuant to paragraph (a) of this
subdivision shall be developed in consultation with and subject to the
approval of the director of the budget.
(c) The authorized issuer shall issue a monthly report to the director
of the budget, the chairs of the senate finance committee and the
assembly ways and means committee, and the state comptroller, on or
before the fifteenth day of each month in any state fiscal year in which
it enters into or continues to be a party to a contract for interest
rate exchange or similar agreement, which shall list all such contracts
entered into pursuant to this section, and shall include, but not be
limited to, the following information for each such contract, as
applicable:
(i) a description of the contract, including a summary of the terms
and conditions, rates, maturity, the estimated market value of each
agreement, and other provisions thereof and the method of procurement;
(ii) any amounts which were required to be paid and received, and any
amounts which actually were paid and received thereunder;
(iii) any credit enhancement, liquidity facility or reserves
associated therewith including an accounting of all costs and expenses
incurred, whether or not in conjunction with the procurement of credit
enhancement or liquidity facilities;
(iv) a description of each counterparty;
(v) an assessment of the counterparty risk, termination risk, and
other risks associated therewith; and
(vi) such report shall include a copy of the guidelines required by
paragraph (a) of this subdivision in the month after they are adopted or
subsequently modified.
(d) In addition, the director of the budget shall issue and make
public on or before October thirtieth of each year an annual performance
report for the prior state fiscal year on interest rate exchange and
similar agreements to the chairs of the senate finance committee and the
assembly ways and means committee, which shall list all such interest
rate exchange or similar agreements entered into pursuant to this
section and in effect, and shall include, but not be limited to their
annual and cumulative performance, including the net impact of the
related variable rate debt instruments, support and related costs, and,
for any excluded agreement entered into during such state fiscal year,
an independent finding on how it reduced or eliminated a situation of
risk or exposure under an existing interest rate exchange or similar
agreement. The authorized issuers shall be required to provide such
information in a timely manner on their respective interest rate
exchange and similar agreements as the director of the budget determines
necessary for the purpose of producing such annual performance report.
Applicability. Nothing in this article shall be construed as
to apply to or limit any debt obligation or related instrument of the
state, state public corporations, or any other issuers except those
obligations or instruments which are or relate to State-supported debt.
ARTICLE 5-E Infrastructure Investment
The New York works task force. 1. There shall be a New York
works task force that will advise on coordinating the capital plans of
New York state agencies and authorities, including leveraging and
accelerating funding streams and financing mechanisms to enhance
infrastructure investment throughout New York state.
2. The New York works task force shall:
(a) develop a coordinated capital infrastructure plan among state
agencies and authorities. The plan shall focus on the efficient and
accelerated deployment of resources to meet regional and statewide
infrastructure needs and shall consider the extent to which the plan is
consistent with the regional economic development plans designated by
the chair of the urban development corporation;
(b) recommend prioritization of capital infrastructure projects and
the allocation of capital resources;
(c) make recommendations on facilitating the expediting of permit
approvals, regulatory approvals, and other state actions necessary to
advance priority infrastructure projects;
(d) recommend financing options for infrastructure projects including
but not limited to state supported debt, federal funding and other
finance vehicles; and
(e) advise state agencies and authorities on the use of methods of
procurement and contracting.
3. The department of transportation shall provide a two-year capital
plan for the years two thousand thirteen--two thousand fourteen and two
thousand fourteen--two thousand fifteen to the New York works task force
for its advice and recommendations to coordinate and address regional
transportation needs.
4. The New York works task force shall produce an infrastructure
report including the capital plan submitted to it pursuant to
subdivision three of this section to the governor, temporary president
of the senate, speaker of the assembly, minority leader of the senate
and minority leader of the assembly annually on September first.
The New York works task force; governance. 1. The New York
works task force shall consist of fifteen members, each of whom shall be
appointed by the governor and two of whom shall be appointed upon
recommendation of the temporary president of the senate, two of whom
shall be appointed upon recommendation of the speaker of the assembly,
one of whom shall be appointed upon the recommendation of the minority
leader of the senate and one of whom shall be appointed upon the
recommendation of the minority leader of the assembly. At least one of
the members appointed by the governor shall represent organized labor.
The members appointed by the governor upon the recommendation of the
minority leader of the senate and the minority leader of the assembly
shall be non-voting members. Each person appointed to the New York works
task force shall have professional experience in any one or more of the
following areas: (a) the development, construction, ownership,
maintenance, management or finance of infrastructure assets; (b)
economic development or project development or finance; or (c) labor
relations.
2. The New York works task force shall establish an implementation
council comprised of: the director of the division of the budget, the
commissioners of the department of economic development, the department
of transportation, the office of general services, the department of
labor, the department of environmental conservation and the office of
parks, recreation and historic preservation, the secretary of state, the
chancellors of the state university of New York and the city university
of New York, the president and chief executive officer of the
environmental facilities corporation, and the executive directors of the
dormitory authority of the state of New York, the New York power
authority, the Long Island power authority, the New York state energy
research and development authority, the New York state bridge authority,
the metropolitan transportation authority, the New York state thruway
authority and the port authority of New York and New Jersey, the
director of state operations and such other members as the New York
works task force or the governor may determine shall facilitate the
purposes of the New York works task force. Each member of the
implementation council may designate an individual to attend and
participate in New York works task force meetings and deliberations on
his or her behalf.
3. Upon recommendation of the nominating party, the governor may
replace any member in accordance with the provision contained herein for
the appointment of members. Vacancies occurring in the New York works
task force shall be filled by using the same appointment procedure
established herein.
4. No officer or employee of the state, of any political subdivision
of the state, of any governmental entity operating any public school or
college or of any other public agency or instrumentality or unit of
government which exercises governmental powers under the laws of the
state, shall forfeit such office or employment by reason of acceptance
of appointment as a member of the New York works task force; nor shall
service as such member, representative, officer, employee or agent of
the New York works task force be deemed incompatible or in conflict with
such office or employment.
5. New York works task force members shall receive no remuneration for
their services as members, but shall be allowed their actual and
necessary expenses incurred in the performance of their duties provided,
however, that such members are not, at the same time such expenses are
incurred, public employees otherwise entitled to such reimbursement.
6. The New York works task force may create such committees as it
deems necessary. The first meeting of the New York works task force
shall be held within thirty days after all members are initially
appointed. At the first meeting of the New York works task force and at
the first meeting in each subsequent year, the New York works task force
shall elect from among its members a chair and a secretary and such
other officers as it shall deem necessary. The New York works task force
or any committee thereof may hold meetings by electronic means
consistent with article seven of the public officers law.
The New York works task force; executive director, employees.
The governor may designate an individual to act as executive director of
the New York works task force and may assign from time to time such
other employees as the New York works task force may require.
The New York works task force; code of conduct. The New York
works task force shall establish a code of conduct consistent with
section seventy-four of the public officers law and which shall, among
other things, address potential conflicts of interest and provide for
periods of disqualification, consistent with those periods prescribed
under section seventy-three of the public officers law, during which
members of the New York works task force may not engage in certain
activities related to matters before it.
ARTICLE 5-F Sales Tax Revenue Bond Financing Program
Definitions. 1. "Authorized issuer" shall mean the dormitory
authority of the state of New York, the New York state urban development
corporation, the New York state thruway authority, and any successors
thereto.
2. "Authorized purpose" for purposes of this article and section
ninety-two-h of this chapter shall mean any purposes for which
state-supported debt, as defined by section sixty-seven-a of this
chapter, may or has been issued, except debt for which the state is
constitutionally obligated thereunder to pay debt service and related
expenses.
3. "Revenue bonds" for the purposes of this article and section
ninety-two-h of this chapter shall mean any bonds, notes or obligations
issued or incurred pursuant to section sixty-nine-n of this article.
Issuance of bonds and notes. 1. (a) Authorized issuers shall
have the power and are hereby authorized from time to time to issue
revenue bonds, in such principal amount or amounts, subject to
subdivision eight of this section and as the director of the budget
shall determine to be necessary, to provide sufficient funds for
authorized purposes, the establishment of reserves to secure such
revenue bonds, the payment of amounts required under revenue bonds or
agreements relating thereto, and the payment of all costs of issuance of
their revenue bonds.
(b) The authorized issuers shall have the power and are hereby
authorized from time to time to issue (i) revenue bonds to renew notes,
(ii) revenue bonds to pay notes, and (iii) whenever it deems refunding
expedient, to refund any bonds, notes or other obligations issued for an
authorized purpose or purposes, including bonds, notes or other
obligations that were issued prior to the effective date of this
article, by the issuance of new revenue bonds, whether the bonds, notes,
or other obligations to be refunded have or have not matured, and to
issue revenue bonds in part to refund bonds, notes, or other obligations
then outstanding and in part for any of its other authorized purposes.
The refunding revenue bonds may be exchanged for bonds, notes, or other
obligations to be refunded, or sold and the proceeds applied to the
purchase, redemption or payment of such bonds, notes, or other
obligations.
(c) Except as may otherwise be expressly provided by an authorized
issuer, every issue of revenue bonds of an authorized issuer pursuant to
this section shall be special obligations of the authorized issuer
payable solely out of any revenues paid over to such authorized issuer
from the sales tax revenue bond tax fund, established pursuant to
section ninety-two-h of this chapter.
(d) All of the provisions of the enabling acts of the authorized
issuers relating to bonds and notes, which are not inconsistent with the
provisions of this section, may, at the discretion of the authorized
issuer, apply to revenue bonds authorized by this section.
(e) The revenue bonds of the authorized issuers authorized by this
section shall not be a debt of the state and the state shall not be
liable thereon, nor shall they be payable out of any funds other than
those of the authorized issuers pledged therefor; and such revenue bonds
shall contain on the face thereof a statement to such effect. In
addition, any agreements entered into by any entity pursuant to sections
sixty-nine-o and ninety-two-h of this chapter on behalf of the state to
effect the implementation of any of the activities financed in whole or
in part with proceeds of the revenue bonds of the authorized issuers,
authorized in this section do not constitute or create a debt of the
state, nor a contractual obligation in excess of the amounts
appropriated therefor, and the state has no continuing legal or moral
obligation to appropriate money for payments due under any such
agreement.
(f) (i) Revenue bonds shall be authorized by resolution of the
authorized issuers, be in such denominations, bear such date or dates
and mature at such time or times, as such resolution or other agreement
may provide.
(ii) Revenue bonds shall be subject to such terms of redemption, bear
interest at such rate or rates, be payable at such times, be in such
form, either coupon, registered or book entry form, carry such
registration privileges, be executed in such manner, be payable in such
medium of payment at such place or places, and be subject to such terms
and conditions as such resolution may provide.
(g) Revenue bonds authorized hereunder shall be sold by authorized
issuers, at public or private sale, at such price or prices as the
authorized issuers may determine. Revenue bonds of the authorized
issuers shall not be sold by the authorized issuers at private sales
unless such sale and the terms thereof have been approved by the state
comptroller.
2. Consistent with the provisions of this article, and subject to the
approval of the director of the budget, any resolution or other
agreement authorizing revenue bonds or any issue thereof may contain
provisions, which shall be a part of the contract with the holders
thereof, as to:
(a) pledging all or any part of the revenues received by the
authorized issuers pursuant to section sixty-nine-o of this article to
secure the payment of the bonds or notes or of any issue thereof,
subject to such agreements with holders of revenue bonds as may then
exist;
(b) pledging all or any part of the assets of the authorized issuers
to secure the payment of the revenue bonds or of any issue of revenue
bonds subject to such agreements with holders of revenue bonds as may
then exist;
(c) the setting aside of reserves or sinking funds and the regulation
and disposition thereof;
(d) limitations on the purposes to which the proceeds of sale of
revenue bonds, may be applied and pledging such proceeds to secure the
payment of the revenue bonds or of any issue thereof;
(e) limitations on the issuance of additional revenue bonds, the terms
upon which additional revenue bonds may be issued and secured and the
refunding of outstanding or other revenue bonds;
(f) the procedure, if any, by which the terms of any contract with
holders of revenue bonds may be amended or abrogated, the amount of
revenue bonds the holders of which must consent thereto and the manner
in which such consent may be given;
(g) vesting in a trustee, as described in subdivision six of this
section, such property, rights, powers and duties in trust as the
authorized issuers may determine, which may include any or all of the
rights, powers and duties of the trustee appointed by the holders of
revenue bonds of the respective authorized issuers pursuant to this
article, and limiting or abrogating the right of such revenue bond
holders to appoint a trustee under this title or limiting the rights,
powers, and duties of such trustee;
(h) the acts or omissions to act which shall constitute a default in
the obligations and duties of the authorized issuers to the holders of
the revenue bonds and providing for the rights and remedies of the
holders of the revenue bonds in event of such default, including the
right to appointment of a receiver; provided, however, that such rights
and remedies shall not be inconsistent with the other provisions of this
article;
(i) any other matters, of like or different character, which in any
way affect the security or protection of the holders of the revenue
bonds; and
(j) the application of any of the foregoing provisions to any provider
of any applicable bond, note or other financial facility.
Notwithstanding the foregoing, the authorized issuers shall not be
authorized to make any covenant, pledge, promise, or agreement
purporting to bind the state except as otherwise specifically authorized
by this article.
3. Any pledge made by the respective authorized issuers shall be valid
and binding from the time when the pledge is made. The revenues or
property so pledged and thereafter received by the respective authorized
issuers shall immediately be subject to the lien of such pledge without
any physical delivery thereof or further act, and the lien of any such
pledge shall be valid and binding as against all parties having claims
of any kind in tort, contract or otherwise against the respective
authorized issuers, irrespective of whether such parties have notice
thereof. Neither the resolution nor any other instrument by which a
pledge is created need be recorded or filed to protect such pledge.
4. Neither the directors or members of the authorized issuers nor any
other person executing the revenue bonds of the authorized issuers shall
be liable personally thereon or be subject to any personal liability or
accountability solely by reason of the issuance thereof.
5. The authorized issuers, subject to such agreements with holders of
revenue bonds as may then exist, or with the providers of any applicable
bond or note or other financial or agreement facility, shall have power
out of any funds available therefor to purchase revenue bonds of the
authorized issuers, which may or may not thereupon be canceled, at a
price not exceeding:
(a) If the revenue bonds are then redeemable, the redemption price
then applicable, including any accrued interest; or
(b) If the revenue bonds are not then redeemable, the redemption price
and accrued interest applicable on the first date after such purchase
upon which the revenue bonds become subject to redemption; or
(c) Whether or not the revenue bonds are then redeemable, at a
redemption price that provides present value savings to the state, as
certified in writing by an independent financial advisor.
No later than seven days after a redemption pursuant to paragraph (c)
of this subdivision, the director of the budget shall provide such
written certification to the chair of the senate finance committee and
the chair of the assembly ways and means committee.
6. In the discretion of authorized issuers, the revenue bonds may be
secured by a trust indenture by and between the authorized issuers and a
corporate trustee, or a corporate trustee may be appointed under the
resolution as provided in subdivision two of this section.
7. Whether or not the revenue bonds are of such form and character as
to be negotiable instruments under the terms of the uniform commercial
code, the revenue bonds are hereby made negotiable instruments within
the meaning of and for all purposes of the uniform commercial code,
subject only to the provisions of the revenue bonds for registration or
any book-entry-only system.
8. Revenue bonds may only be issued for authorized purposes, as
defined in section sixty-nine-m of this article. Notwithstanding the
foregoing, any authorized issuer may issue revenue bonds for any
authorized purpose. Any such revenue bonds issued by the New York state
thruway authority shall be subject to the approval of the New York state
public authorities control board, pursuant to section fifty-one of the
public authorities law. The authorized issuers shall not issue any
revenue bonds in an amount in excess of statutory authorizations for
such authorized purposes. Authorizations for such authorized purposes
shall be reduced in an amount equal to the amount of revenue bonds
issued for such authorized purposes under this article. Such reduction
shall not be made in relation to revenue bonds issued to fund reserve
funds, if any, and costs of issuance, if these items are not counted
under existing authorizations, nor shall revenue bonds issued to refund
bonds issued under existing authorizations reduce the amount of such
authorizations.
9. Except upon the amendment of the New York state constitution
allowing the issuance or assumption of bonds, notes or other obligations
secured by revenues, which may include the revenues securing revenue
bonds of authorized issuers, and the affirmative assumption of such
bonds, notes or other obligations by the state, the revenue bonds of the
authorized issuers authorized by this section shall not be a debt of the
state and the state shall not be liable thereon, nor shall they be
payable out of any funds other than those of the authorized issuers
pledged therefor; and such revenue bonds shall contain on the face
thereof a statement to such effect. In addition, any agreements entered
into by any entity pursuant to sections sixty-nine-o and ninety-two-h of
this chapter on behalf of the state to effect the implementation of any
of the activities financed in whole or in part with proceeds of the
obligations of the authorized issuers authorized in this section do not
constitute or create a debt of the state, nor a contractual obligation
in excess of the amounts appropriated therefor and the state has no
continuing legal or moral obligation to appropriate money for payments
due under any such agreement.
10. Nothing in this article shall affect the authority of each of the
authorized issuers to issue or incur indebtedness for any purposes
otherwise authorized by law and nothing in this article shall be deemed
to alter or affect the rights of outstanding bondholders or noteholders
of any authorized issuer.
11. The authorization, sale and issuance of revenue bonds pursuant to
this section shall not be deemed an action as such term is defined in
article eight of the environmental conservation law for the purposes of
such article. Such exemption shall be strictly limited in its
application to such financing activities of the authorized issuers
hereunder and does not exempt any other entity from compliance with such
article.
12. The comptroller is hereby authorized to receive from the
authorized issuers any portion of bond proceeds paid to provide funds
for or reimburse the state for its costs associated with such authorized
purposes and to credit such amounts to the capital projects fund or any
other appropriate fund.
Payments to authorized issuers. 1. The state, acting through
the director of the budget, and authorized issuers may enter into,
amend, modify or rescind one or more financing agreements providing for
the specific manner, timing, and amount of payments to be made under
this section, but only in conformity with this section.
2. No later than October first of each year, the authority issuers
shall certify to the director of the budget the anticipated cash
requirements related to revenue bonds during the subsequent state fiscal
year in such detail as the director may require.
3. Upon receipt of a voucher from any authorized issuer requesting
payment for such amount or amounts certified by the director of the
budget pursuant to paragraph (a) of subdivision five of section
ninety-two-h of this chapter, the state comptroller shall pay such
amount or amounts to be authorized issuer from appropriations for such
purpose.
4. The agreement of the state contained in this section shall be
deemed executory only to the extent of appropriations available for
payments under this section, and no liability on account of any such
payment shall be incurred by the state beyond such appropriations.
5. Nothing contained in this article shall be deemed to restrict the
right of the state to amend, repeal, modify or otherwise alter statutes
imposing or relating to the taxes imposed pursuant to section eleven
hundred five and section eleven hundred ten of the tax law. The
authorized issuers shall not include within any resolution, contract or
agreement with holders of the revenue bonds issued under this article
any provision which provides that a default occurs as a result of the
state exercising its right to amend, repeal, modify or otherwise alter
the taxes imposed pursuant to section eleven hundred five and section
eleven hundred ten of the tax law.
6. Any resolution or other agreement authorizing revenue bonds under
this article shall reserve the right of the state, upon amendment of the
New York state constitution allowing the issuance or assumption of
bonds, notes or other obligations secured by revenues, which may include
the revenues securing revenue bonds of authorized issuers (a) to assume,
in whole or in part, revenue bonds of the authorized issuers, (b) to
extinguish the existing lien of such resolution, or other agreement and
(c) to substitute security for the revenue bonds of the authorized
issuers, in each case only so long as such assumption, extinguishment or
substitution is done in accordance with such resolution or other
agreement.
ARTICLE 6 Funds of the State
Classification of funds. 1. The comptroller shall establish the
necessary fund types required to comply with generally accepted
accounting principles. When the establishment or elimination of a fund
type would be required to implement a change in generally accepted
accounting principles, the comptroller shall designate an effective date
for the establishment or elimination of the fund type to coincide with
the date of implementation of new accounting principles.
2. The comptroller shall classify each fund, not classified by law,
into a fund type for financial reporting purposes, provided that the
classification of funds established by the comptroller shall conform
with generally accepted accounting principles, except insofar as the
comptroller may choose to deviate from generally accepted accounting
principles pursuant to section eight-a of this chapter. In classifying
each fund, in accordance with the provisions of this section, the
comptroller shall consult with the director of the budget and the head
of any agency or public benefit corporation significantly involved in
the operations of such fund. If at any time the comptroller determines
that it is necessary and appropriate to reclassify a fund which has
previously been classified, he shall at the time of such
reclassification submit a notice of his action and the reasons therefor
to the legislature and the governor.
Abolition, maintenance and establishment of funds. 1.
Notwithstanding any provision of law to the contrary, each fund
established prior to the effective date of this section other than by
law and in existence at the time of the effective date of this section,
shall be either abolished or continued in existence by the comptroller
with the concurrence of the director of the budget. The balance in any
fund so abolished shall be paid into the appropriate fund. The
comptroller, after consultation with the director of the budget and the
heads of agencies and public benefit corporations significantly involved
in the operations of such funds, but in no event later than one hundred
twenty days following the effective date of this section, shall submit
to the legislature and the governor a report specifying the action
which, with the concurrence of the director of the budget, he has taken
or intends to take in regard to every such fund and the fund type into
which he intends to classify each fund so continued. The comptroller
with the concurrence of the director of the budget, at any time
following the submission of this report, may abolish any fund
established other than by law provided that at the time of such action
he shall submit a notice of such action and the reasons therefor to the
legislature and the governor.
2. The comptroller, after consultation with the director of the budget
and the heads of agencies and public benefit corporations significantly
involved in the operations of funds established by law but in no event
later than one hundred twenty days following the effective date of this
section, shall submit to the legislature and the governor a report
specifying every such fund and setting forth for each such fund a
recommendation of the comptroller as to the desirability of repealing
the statute establishing such fund, continuing the statutory
authorization for such fund, or modifying the statute establishing such
fund in one or more particular respects. Such report shall also indicate
the fund type into which the comptroller intends to classify each fund
established by law in the event that the legislative action recommended
in such report as to that fund is enacted and the fund type into which
he intends to classify each fund if no legislative action is taken in
regard to that fund.
3. The comptroller with the concurrence of the director of the budget
may establish such additional funds as are necessary to properly manage
and account for the financial activities and resources of the state,
provided that in establishing funds and in continuing funds, only the
minimum number of funds necessary to comply with legal requirements and
generally accepted accounting principles shall be established and
continued and provided that at the time an additional fund is
established he shall submit to the legislature and the governor a notice
of such action and a statement setting forth the initial date of such
action, the sources and uses of the financial resources of such fund,
the fund type into which he intends to classify such fund, and an
explanation of the necessity for its establishment.
Funds established by law. The comptroller shall account for
the money in any fund heretofore or hereafter established by law in such
manner as he shall determine and for such purpose may in conformance
with sections seventy-one and seventy-five of this article, account for
any such fund as a separate fund or as an account in another fund, as he
deems necessary to comply with legal requirements and generally accepted
accounting principles. Nothing herein shall be deemed to affect the
legal existence of any such fund.
Expenditure of check-off monies. 1. To the extent practicable,
for every fund established pursuant to this chapter or any other law,
for which a tax check-off is a source of the monies in such fund, the
head of the agency or entity administering the expenditure of such
monies shall ensure that all tax check-off monies received during a
fiscal year are expended prior to the end of such fiscal year.
2. The head of the agency or entity administering the expenditure of
tax check-off monies shall report annually on the use of such monies to
the temporary president of the senate, speaker of the assembly, chair of
the senate finance committee, chair of the assembly ways and means
committee, chair of the appropriate committee in the senate or assembly,
the state comptroller and the public. Such report shall include the
amount of money dispersed from the fund and the award process used for
such disbursements, recipients of awards from the fund, the amount
awarded to each, the purposes for which such awards were granted, and a
summary financial plan for such monies which shall include estimates of
all receipts and all disbursements for the current and succeeding fiscal
years, along with the actual results from the prior fiscal year.
General fund. 1. Notwithstanding any provision of law to the
contrary, the general fund of this state shall be defined and maintained
in accordance with the provisions of this section and shall account for
all financial resources of the state except those required to be
accounted for in other funds as defined in this chapter.
2. (a) There shall be within the general fund a separate account which
shall be designated and known as the local assistance account and shall
reflect all expenditures made for local assistance.
(b) There shall be within the general fund a separate account which
shall be designated and known as the state purposes account and shall
reflect all expenditures made for state purposes.
3. Notwithstanding any inconsistent provision of subdivision five of
section four of this chapter, any moneys in the general fund not
required for cash disbursements pursuant to general fund appropriations
may, in amounts determined and certified by the director of the budget,
be transferred to the capital projects fund or any debt service fund for
the purpose of making payments from such fund pursuant to appropriations
by law, provided that, any balance of moneys so transferred, remaining
in such fund at the close of each month shall be returned to the general
fund. No such transfer shall be made until a certificate of approval of
availability for so much as shall be necessary to make disbursements
pursuant to appropriations by law from such capital projects or debt
service fund for the balance of the month shall have been issued by the
budget director and a copy of such certificate of approval filed with
the state comptroller, the chairman of the senate finance committee and
the chairman of the assembly ways and means committee.
4. (a) Any balance of moneys in any debt service fund in excess of
both the debt principal and interest payments required to be made from
such fund during the current fiscal year, or during future fiscal years,
and any reserve requirement established by statute or by a relevant bond
covenant, shall be transferred to the general fund.
* (b) On or before the beginning of each quarter, the director of the
budget may certify to the state comptroller the estimated amount of
monies that shall be reserved in the general debt service fund for the
payment of debt service and related expenses payable by such fund during
each month of the state fiscal year, excluding payments due from the
revenue bond tax fund. Such certificate may be periodically updated, as
necessary. Notwithstanding any provision of law to the contrary, the
state comptroller shall reserve in the general debt service fund the
amount of monies identified on such certificate as necessary for the
payment of debt service and related expenses during the current or next
succeeding quarter of the state fiscal year. Such monies reserved shall
not be available for any other purpose. Such certificate shall be
reported to the chairpersons of the Senate Finance Committee and the
Assembly Ways and Means Committee. The provisions of this paragraph
shall expire June thirtieth, two thousand twenty-six.
* NB Expires June 30, 2026
Federal interest subsidy payments. Notwithstanding any other
provision of law to the contrary, the comptroller shall deposit any
federal interest subsidy payments received by the state for
state-supported debt issued as build America bonds (BABs) or Qualified
School Construction Bonds (QSCBs), as authorized pursuant to the
American Recovery and Reinvestment Act of 2009 (ARRA), as amended or
pursuant to any successor authorization, to each respective debt service
fund which relates to such bonds.
Transportation infrastructure renewal fund. 1. There is hereby
established in the joint custody of the state comptroller and the
commissioner of taxation and finance a special fund, to be known as the
"transportation infrastructure renewal fund".
2. The comptroller shall establish three separate and distinct
accounts within the transportation infrastructure renewal fund: (a) the
highway, parkway and bridge account; (b) the ports and waterways
account; and (c) the transit, rail and aviation account.
3. All moneys received by the state from the sale of bonds or notes
for the purposes enumerated in paragraph a of subdivision three of
section one of a chapter of the laws of nineteen hundred eighty-three
enacting and constituting the Rebuild New York Through Transportation
Infrastructure Renewal Bond Act of 1983 shall be deposited by the
comptroller in the highway, parkway and bridge account established by
the comptroller pursuant to the provisions of subdivision two of this
section.
4. All moneys received by the state from the sale of bonds or notes
for the purposes enumerated in paragraph b of subdivision three of
section one of a chapter of the laws of nineteen hundred eighty-three
enacting and constituting the Rebuild New York Through Transportation
Infrastructure Renewal Bond Act of 1983 shall be deposited by the
comptroller in the ports and waterways account established by the
comptroller pursuant to the provisions of subdivision two of this
section.
5. All moneys received by the state from the sale of bonds or notes
for the purposes enumerated in paragraph c of subdivision three of
section one of a chapter of the laws of nineteen hundred eighty-three
enacting and constituting the Rebuild New York Through Transportation
Infrastructure Renewal Bond Act of 1983 shall be deposited by the
comptroller in the transit, rail and aviation account established by the
comptroller pursuant to the provisions of subdivision two of this
section.
6. Moneys in any account of this fund, following appropriation by the
legislature and allocation by the director of the budget, shall be
available only for reimbursement of expenditures made from
appropriations from the capital projects fund for the purposes of such
fund, as set forth in the Rebuild New York Through Transportation
Infrastructure Renewal Bond Act of 1983.
Establishment of accounts. The comptroller is authorized to
establish whatever accounts he deems necessary in conformance with
generally accepted accounting principles for the discharge of his
duties.
Rail preservation and development fund. 1. There is hereby
established in the custody of the state comptroller a special fund to be
known as the "rail preservation and development fund."
2. Such fund shall consist of all monies received by the state from
the sale of bonds pursuant to the rail preservation bond act of nineteen
hundred seventy-four and the energy conservation through improved
transportation bond act of nineteen hundred seventy-nine together with
all monies paid to the state by the federal government or a county,
city, town, village, special transportation district, public benefit
corporation, or other public corporation, or two or more of the
foregoing acting jointly, as reimbursement for payments made by the
state pursuant to such acts.
3. Monies of the fund, following appropriation made by the legislature
and allocation by the director of the budget, shall be available only
for reimbursement of the expenditures made from appropriations for the
purposes set forth in the rail preservation bond act of nineteen hundred
seventy-four and the energy conservation through improved transportation
bond act of nineteen hundred seventy-nine.
Accelerated capacity and transportation improvements fund. 1.
There is hereby established in the joint custody of the state
comptroller and the commissioner of taxation and finance a special fund
to be known as the "accelerated capacity and transportation improvements
fund".
2. All moneys received by the state from the sale of bonds or notes
for the purposes enumerated in subdivision three of section fifty of the
chapter of the laws of nineteen hundred eighty-eight adding this section
shall be deposited by the comptroller in the accelerated capacity and
transportation improvements fund established pursuant to this section.
3. Moneys of the fund, following appropriation by the legislature and
allocation by the director of the budget, shall be available only for
reimbursement of expenditures made from appropriations from the capital
projects fund for the purposes of such fund, as set forth in the
Accelerated Capacity and Transportation Improvements of the Nineties
Bond Act.
4. No moneys received by the state from the sale of bonds and/or notes
sold pursuant to the Accelerated Capacity and Transportation
Improvements of the Nineties Bond Act shall be expended for any
improvements until funds therefor have been allocated pursuant to the
provisions of this chapter and copies of the appropriate certificates of
approval filed with the chairman of the senate finance committee, the
chairman of the assembly ways and means committee and the state
comptroller.
New York state college choice tuition savings program trust
fund. 1. There is hereby established in the sole custody of the state
comptroller a special fund to be known as the New York state college
choice tuition savings program trust fund. All payments from such fund
shall be made in accordance with article fourteen-A of the education law
and the memorandum of understanding entered into pursuant thereto on the
audit of the state comptroller.
2. The fund shall be a trust fund and shall consist of a trust account
and an operating account. The trust account shall include amounts
received by the New York state college choice tuition savings program
pursuant to tuition savings agreements, administrative charges, fees,
and all other amounts received by the program from other sources, and
interest and investment income earned by the trust fund. The comptroller
shall, from time to time, make transfers from the trust account to the
operating account for the immediate payment of obligations under tuition
savings agreements, operating expenses and administrative costs of the
New York state college choice tuition savings program. Administrative
costs shall be paid out of the operating account according to the terms
and conditions established pursuant to the provisions of section six
hundred ninety-five-c of the education law.
3. (a) The comptroller, as trustee, shall invest the assets of the
trust fund with the care, skill, prudence and diligence under the
circumstances then prevailing that a prudent person acting in a like
capacity and familiar with such matters would use in the conduct of an
enterprise of a like character and with like aims.
(b) Trust fund assets shall be kept separate and shall not be
commingled with other assets, except as provided herein. The comptroller
may enter into contracts to provide for investment advice and
management, custodial services, and other professional services for the
administration and investment of the program. Administrative fees, costs
and expenses, including investment fees and expenses, shall be paid from
the assets of the fund.
4. The comptroller shall provide for the administration of the trust
fund, including maintaining participant records and accounts, and
providing annual audited reports. The comptroller may enter into
contracts to provide administrative services and reporting.
New York higher education loan program variable rate default
reserve fund. 1. There is hereby created and established in the sole
custody of the state comptroller a special fund to be known as the New
York higher education loan program variable rate default reserve fund
which shall be for the exclusive benefit of the holders of variable rate
education loans originated pursuant to the New York higher education
loan program codified in part V of article fourteen of the education
law, other than variable rate education loans described in subdivision
six of section two thousand four hundred five-a of the public
authorities law.
2. Amounts held in this fund shall not be, or be deemed, funds of the
state or funds under the management of the state or the higher education
services corporation. The obligations of the fund shall not be, or be
deemed, the debts or obligations of the state and the state shall not
be, or be deemed, in any way obligated to: any holder of any such
education loan; any holder of bonds issued pursuant to the public
authorities law for the purposes of the New York higher education loan
program; any fiduciary or provider of any credit facility, liquidity
facility or interest rate exchange agreement with respect to such bonds;
or any other creditor of this fund.
3. Such fund shall consist of all moneys received by the higher
education services corporation pursuant to paragraph (b) of subdivision
seven of section six hundred ninety-two of the education law, in
connection with variable rate education loans made under part V of
article fourteen of the education law, other than variable rate
education loans described in subdivision six of section two thousand
four hundred five-a of the public authorities law. The state
comptroller, at the request of the higher education services
corporation, shall establish accounts within the fund and priorities of
payment from such accounts and shall invest the fund in compliance with
applicable state laws concerning the investment of public funds. Moneys
in the fund shall be segregated from all other funds kept by the state
comptroller and shall not be used for any other purpose beyond those set
forth in part V of article fourteen of the education law or in this
section.
4. The state comptroller shall make payments from the fund in amounts
and at times required by the higher education services corporation
pursuant to part V of article fourteen of the education law.
Notwithstanding subdivision one of this section, upon certification by
the State of New York mortgage agency that a variable rate education
loan described in subdivision three of this section has been acquired by
the agency or has become subject to the agreement of the agency to
acquire such education loan, the state comptroller shall make transfers
from the monies in the variable rate New York higher education loan
program default reserve fund to the corporation for deposit into the
state of New York mortgage agency New York higher education loan program
default reserve fund created by subdivision six of section two thousand
four hundred five-a of the public authorities law in amounts certified
by the agency and the corporation as properly allocable to such
education loan.
New York higher education loan program fixed rate default
reserve fund. 1. There is hereby created and established in the sole
custody of the state comptroller a special fund to be known as the New
York higher education loan program fixed rate default reserve fund which
shall be for the exclusive benefit of the holders of fixed rate
education loans originated pursuant to the New York higher education
loan program codified in part V of article fourteen of the education
law, other than fixed rate education loans described in subdivision six
of section two thousand four hundred five-a of the public authorities
law.
2. Amounts held in this fund shall not be, or be deemed, funds of the
state or funds under the management of the state or the higher education
services corporation. The obligations of the fund shall not be, or be
deemed, the debts or obligations of the state and the state shall not
be, or be deemed, in any way obligated to: any holder of any such
education loan; any holder of bonds issued pursuant to the public
authorities law for the purposes of the New York higher education loan
program; any fiduciary or provider of any credit facility, liquidity
facility or interest rate exchange agreement with respect to such bonds;
or any other creditor of this fund.
3. Such fund shall consist of all moneys received by the higher
education services corporation pursuant to paragraph (b) of subdivision
seven of section six hundred ninety-two of the education law, in
connection with fixed rate education loans, other than fixed rate
education loans described in subdivision six of section two thousand
four hundred five-a of the public authorities law. The state
comptroller, at the request of the higher education services
corporation, shall establish accounts within the fund and priorities of
payment from such accounts and shall invest the fund in compliance with
applicable state laws concerning the investment of public funds. Moneys
in the fund shall be segregated from all other funds kept by the state
comptroller and shall not be used for any other purpose beyond those set
forth in part V of article fourteen of the education law or in this
section.
4. The state comptroller shall make payments from the fund in amounts
and at times required by the higher education services corporation
pursuant to part V of article fourteen of the education law.
Notwithstanding subdivision one of this section, upon certification by
the state of New York mortgage agency that a fixed rate education loan
described in subdivision three of this section has been acquired by the
agency or has become subject to the agreement of the agency to acquire
such education loan, the state comptroller shall make transfers from the
monies in the fixed rate New York higher education loan program default
reserve fund to the corporation for deposit into the state of New York
mortgage agency New York higher education loan program default reserve
fund created by subdivision six of section two thousand four hundred
five-a of the public authorities law in amounts certified by the agency
and the corporation as properly allocable to such education loan.
World Trade Center memorial foundation fund. 1. There is hereby
established in the sole custody of the commissioner of taxation and
finance a special fund to be known as the "World Trade Center memorial
foundation fund". Monies in the fund shall be kept separate from and not
commingled with other funds held in the sole custody of the commissioner
of taxation and finance.
2. Such fund shall consist of all revenues received by the department
of taxation and finance pursuant to the provisions of sections two
hundred nine-F and six hundred thirty-a of the tax law and all other
money appropriated, credited, or transferred thereto from any other fund
or source pursuant to law. Nothing contained herein shall prevent the
state from receiving grants, gifts or bequests for the purposes of the
fund as defined in this section and depositing them into the fund
according to law.
2-a. On or before the first day of February each year, the chairman of
the board of directors of the World Trade Center memorial foundation
shall provide a written report to the temporary president of the senate,
speaker of the assembly, chair of the senate finance committee, chair of
the assembly ways and means committee, the state comptroller and the
public. Such report shall include how the monies of the fund were
utilized during the preceding calendar year, and shall include:
(i) the amount of money dispersed from the fund and the award process
used for such disbursements;
(ii) recipients of awards from the fund;
(iii) the amount awarded to each;
(iv) the purposes for which such awards were granted; and
(v) a summary financial plan for such monies which shall include
estimates of all receipts and all disbursements for the current and
succeeding fiscal years, along with the actual results from the prior
fiscal year.
3. Monies of the fund shall be expended only for costs associated with
the construction, installation and operation of the World Trade Center
memorial. Monies shall be payable from the fund by the commissioner of
taxation and finance on vouchers approved by the chairman of the board
of directors of the World Trade Center memorial foundation.
Real estate finance bureau fund. 1. There is hereby established
in the custody of the state comptroller a special fund to be known as
the "real estate finance bureau fund".
2. The real estate finance bureau fund shall consist of moneys
appropriated thereto, funds transferred from any other fund or sources,
and moneys deposited therein pursuant to paragraph (a) of subdivision
seven of section three hundred fifty-two-e of the general business law.
3. The moneys in the real estate finance bureau fund shall be kept
separate from and shall not be commingled with any other moneys in the
custody of the state comptroller. Such moneys shall be allocated to and
expended by the department of law solely for increasing the staffing,
efficiency and administration of the real estate finance bureau of such
department.
Anti-discrimination in housing fund. 1. There is hereby
established in the custody of the state comptroller a special fund to be
known as the "anti-discrimination in housing fund".
2. The anti-discrimination in housing fund shall consist of moneys
appropriated thereto, moneys transferred from any other fund or sources,
fifty percent of all fines and forfeitures collected pursuant to
subdivision one of section one hundred sixty-u of the executive law, and
fifty percent of all fines and forfeitures collected pursuant to
paragraph (a) of subdivision one of section four hundred forty-one-c of
the real property law. Nothing contained in this section shall prevent
the state from receiving grants, gifts or bequests for the purposes of
the fund as defined in this section and depositing them into the fund
according to law.
3. The moneys in the anti-discrimination in housing fund shall be kept
separate from and shall not be commingled with any other moneys in the
custody of the state comptroller. Such moneys shall be made available to
the office of the attorney general, for programs assisting with fair
housing compliance, which includes, but is not limited to, fair housing
testing, outreach and education on fair housing protections, addressing
and investigating fair housing allegations and complaints, and
addressing discrimination in appraisals, including new appraisals and
appraisal review, through allocation of grants to duly applying county,
city, town or village human rights commissions, or other duly applying
county, city, town, village or not-for-profit entities specializing in
the prevention of unlawful discrimination in housing, to detect unlawful
discrimination in housing.
4. The attorney general shall establish the application criteria and
qualifications for the entities for the purposes of the fund as defined
in subdivision three of this section that will conduct testing. The
attorney general may enter into contracts with such qualified fair
housing entities which may thereafter be renewed, extended or succeeded
by new contracts from year to year in the discretion of the attorney
general.
5. The monies shall be payable from the fund on the audit and warrant
of the comptroller on vouchers approved and certified by the attorney
general.
6. No later than the fifteenth day of January of each year the
attorney general shall report to the governor, the temporary president
of the senate and the speaker of the assembly on activities undertaken
by the attorney general and any grantee pursuant to this section in the
preceding year. The report shall include, but not be limited to, the
current amount of funds available as well as the amount of money granted
to any entity that will conduct testing to detect unlawful
discrimination in housing for the purposes identified in this section.
Results, data, findings, and other relevant information existing,
collected, detected, modified or developed by the attorney general or
grantee under this section shall be provided in such annual report
following the completion of the obligations in the contract.
Veterans' home assistance fund. 1. There is hereby established
in the joint custody of the commissioner of taxation and finance and the
comptroller, a special fund to be known as the "veterans' home
assistance fund".
2. Such fund shall consist of all revenues received by the department
of taxation and finance, pursuant to the provisions of sections two
hundred nine-J and six hundred twenty-seven-c of the tax law, and all
other moneys appropriated, credited or transferred thereto from any
other fund or source pursuant to law. For each state fiscal year, there
shall be appropriated to the fund by the state, in addition to all other
moneys required to be deposited into such fund, an amount equal to the
aggregate of the amounts of moneys collected and deposited into the
veterans' home assistance fund pursuant to sections two hundred nine-J
and six hundred twenty-seven-c of the tax law and all other moneys
received and deposited into such fund from grants, gifts and bequests
during the immediately preceding calendar year. Nothing in this section
shall prevent the state from soliciting and receiving grants, gifts or
bequests for the purposes of the fund as defined in this section and
depositing them into the fund according to law.
3. On or before the first of February each year, the comptroller shall
certify to the governor, the temporary president of the senate, the
speaker of the assembly, the chair of the senate finance committee and
the chair of the assembly ways and means committee, the amount of monies
deposited into the veterans' home assistance fund during the immediately
preceding calendar year as the result of revenues collected pursuant to
sections two hundred nine-J and six hundred twenty-seven-c of the tax
law, and from all grants, gifts and bequests to such fund.
4. Moneys of the fund shall be expended only for the care and
maintenance of veterans' homes operated by agencies of the state, and
shall be disbursed equally each state fiscal year to each of the
following five veterans' homes: the state home for veterans and their
dependents at Oxford, the state home for veterans in the city of New
York, the state home for veterans at Batavia, the state home for
veterans at Montrose and the Long Island state veterans home at Stony
Brook university.
5. Moneys shall be payable from the fund on the audit and warrant of
the comptroller on vouchers approved and certified by the commissioner
of health, for veterans' homes operated by the department of health, and
by the chancellor of the state university of New York, for the veterans'
home operated by the state university of New York.
6. Moneys in the veterans' home assistance fund shall be kept separate
and shall not be commingled with any other moneys in the custody of the
commissioner of taxation and finance and/or the comptroller.
7. On or before the first of February each year, the commissioner of
health shall provide a written report to the temporary president of the
senate, speaker of the assembly, chair of the senate finance committee,
chair of the assembly ways and means committee, chair of the senate
committee on health, chair of the assembly health committee, the state
comptroller and the public. Such report shall include how the monies of
the fund were utilized during the preceding calendar year and shall
include:
(a) the amount of money dispersed from the fund and the award process
used for such disbursements;
(b) the recipients of awards from the fund;
(c) the amount awarded to each;
(d) the purposes for which such awards were granted; and
(e) a summary financial plan for such monies which shall include
estimates of all receipts and all disbursements for the current and
succeeding fiscal years, along with the actual results from the prior
fiscal year.
Gifts to food banks fund. 1. There is hereby established in the
sole custody of the commissioner of taxation and finance a special fund
to be known as the "gifts to food banks fund". Monies in the fund shall
be kept separate from and not commingled with other funds held in the
sole custody of the commissioner of taxation and finance.
2. Such fund shall consist of all revenues received by the department
of taxation and finance pursuant to the provisions of section six
hundred twenty-five-a of the tax law and all other money appropriated,
credited, or transferred thereto from any other fund or source pursuant
to law. Nothing in this section shall prevent the state from receiving
grants, gifts or bequests for the purposes of the fund as defined in
this section and depositing them into the fund according to law.
3. Monies of the fund shall, after appropriation by the legislature,
be made available to the department of health for grants to regional
food banks, organized to serve specific regions of the state, that
generally collect and redistribute food donations to organizations
serving persons in need. Monies shall be payable from the fund by the
commissioner of taxation and finance on vouchers approved by the
commissioner of health. The commissioner of health shall promulgate
rules and regulations necessary for the distribution of such grants.
4. To the extent practicable, the commissioner of health shall ensure
that all monies received during a fiscal year are expended prior to the
end of that fiscal year.
5. On or before the first day of February each year, the comptroller
shall certify to the governor, temporary president of the senate,
speaker of the assembly, chair of the senate finance committee and chair
of the assembly ways and means committee, the amount of money deposited
in the gifts to food banks fund during the preceding calendar year as
the result of revenue derived pursuant to section six hundred
twenty-five-a of the tax law.
6. On or before the first day of February each year, the commissioner
of health shall provide a written report to the temporary president of
the senate, speaker of the assembly, chair of the senate finance
committee, chair of the assembly ways and means committee, chair of the
senate committee on social services, chair of the assembly social
services committee, and the public. Such report shall include how the
monies of the fund were utilized during the preceding calendar year and
shall include:
(a) the amount of money disbursed from the fund;
(b) the recipients of awards from the fund;
(c) the amount awarded to each recipient;
(d) the purposes for which such awards were granted; and
(e) a summary financial plan for such monies which shall include
estimates of all receipts and all disbursements for the current and
succeeding fiscal years, along with the actual results from the prior
fiscal year.
Conservation fund. (a) 1. The conservation fund shall consist of
all moneys belonging to the state received by the department of
environmental conservation from the sale of licenses for hunting, for
trapping, and for fishing, all moneys received in actions for penalties
under articles eleven and thirteen of the environmental conservation law
and subdivision two of section 71-1929 of the environmental conservation
law, or upon the settlement or compromise thereof, all fines for
violation of any of the provisions of articles eleven and thirteen of
the environmental conservation law, all moneys arising out of the
operation of real property under the jurisdiction of the division of
fish and wildlife in the department of environmental conservation
heretofore or hereafter acquired by the state of New York, and from any
concessions thereon and from any leases thereof, including moneys
received from the sale thereof when authorized by law, all moneys
received from leases or rentals of shellfish grounds in the marine and
coastal district, all moneys from gifts for fish and wildlife management
pursuant to section six hundred twenty-five of the tax law, moneys
received by the department of environmental conservation from the sale
of limited edition prints of fish and wildlife paintings, as authorized
by paragraph t of subdivision two of section 3-0301 of the environmental
conservation law, all moneys received from the reimbursement provided
for in paragraph b of subdivision seven of section 8-0109 of the
environmental conservation law, and all other moneys arising out of the
application of any provisions of articles eleven and thirteen of the
environmental conservation law. These moneys, after appropriation by the
legislature, and within the amounts set forth and for the several
purposes specified, shall be available to the department of
environmental conservation for the care, management, protection and
enlargement of the fish, game and shell fish resources of the state and
for the promotion of public fishing and shooting. In the accomplishment
of these objects the moneys made available hereunder shall be devoted to
the purchase or acquisition of lands, lands under water, waters, or
rights therein as required, to payment for personal service, for
maintenance and operation, and for new construction and permanent
betterments, and to all other proper expenses of the department of
environmental conservation in the administration and enforcement of the
provisions of articles eleven and thirteen of the environmental
conservation law.
1-a. On or before the first day of February each year, the
commissioner of the department of environmental conservation shall
provide a written report to the temporary president of the senate,
speaker of the assembly, chair of the senate finance committee, chair of
the assembly ways and means committee, chair of the senate committee on
environmental conservation, chair of the assembly environmental
conservation committee, the state comptroller and the public. Such
report shall include how the monies of the fund received pursuant to
section six hundred twenty-five of the tax law were utilized during the
preceding calendar year, and shall include:
(i) the amount of money dispersed from the fund and the award process
used for such disbursements;
(ii) recipients of awards from the fund;
(iii) the amount awarded to each;
(iv) the purposes for which such awards were granted; and
(v) a summary financial plan for such monies which shall include
estimates of all receipts and all disbursements for the current and
succeeding fiscal years, along with the actual results from the prior
fiscal year.
2. (i) Moneys collected pursuant to sections 13-0301, 13-0311 and
13-0315 of the environmental conservation law and all fines and
penalties collected pursuant to article seventy-one of such law for
illegal acts relating to shellfish shall be deposited in a special
account within the conservation fund, to be known as the marine
resources account, and shall be available to the department of
environmental conservation, after appropriation, for the care,
management, protection and enlargement of marine fish and shellfish
resources.
(ii) Notwithstanding the provisions of subparagraph (i) of this
paragraph, moneys arising out of the application of subdivision fourteen
of section 13-0309 of the environmental conservation law, shall be
deposited in a special account within the conservation fund, to be known
as the surf clam/ocean quahog account, and shall be available to the
department of environmental conservation, including contracts for such
purposes with a New York state institution of higher education currently
involved in local marine research, after appropriation, for the research
and stock assessment of surf clams and ocean quahogs. The department
shall, at a minimum, undertake two stock assessments and issue reports
detailing the findings of such assessments to the governor and
legislature. The first stock assessment shall be due no later than
December thirty-first, two thousand two. The second stock assessment
shall be due no later than December thirty-first, two thousand four, and
shall be conducted in an area to be determined in consultation with the
surf clam/ocean quahog management advisory board.
3. (i) Moneys arising out of the application of article thirteen of
the environmental conservation law shall be deposited in a special
account within the conservation fund, to be known as the marine
resources account, and shall be available to the department of
environmental conservation, after appropriation, for the care,
management, protection and enlargement of marine fish and shellfish
resources.
(ii) Notwithstanding the provisions of subparagraph (i) of this
paragraph, moneys arising out of the application of subdivision fourteen
of section 13-0309 of the environmental conservation law, shall be
deposited in a special account within the conservation fund, to be known
as the surf clam/ocean quahog account, and shall be available to the
department of environmental conservation, including contracts for such
purposes with a New York State institution of higher education currently
involved in local marine research, after appropriation, for the research
and stock assessment of surf clams and ocean quahogs.
4. (i) There is hereby created a special account within the
conservation fund to be known as the state fish and game trust account
to consist of all moneys received by the state from the sale of lifetime
hunting, fishing, and trapping licenses, and lifetime archery and
muzzle-loading privileges pursuant to section 11-0702 of the
environmental conservation law except those moneys deposited in the
habitat conservation and access account pursuant to section
eighty-three-a of this chapter. The state comptroller shall invest the
moneys in such account in securities as defined by section
ninety-eight-a of this article. Any income earned by the investment of
such moneys, except income transferred to the conservation fund pursuant
to subparagraph (iii) of this paragraph, shall be added to and become a
part of, and shall be used for the purposes of such account.
(ii) The state comptroller shall provide an annual report of the trust
account which lists the amount of the principal, the earned income, the
earned income accrued to the principal, and the earned income
transferred to the conservation fund pursuant to subparagraph (iii) of
this paragraph not later than April tenth of each year for the state
fiscal year ending the immediately preceding March thirty-first. A copy
of such report shall be transmitted, forthwith, to the director of the
division of the budget, the chairman of the senate finance committee,
the chairman of the assembly ways and means committee, the commissioner
of the department of environmental conservation and each of the eleven
members of the conservation fund advisory board, created pursuant to
section 11-0327 of the environmental conservation law.
(iii) Earned income from the sale of all lifetime licenses and
privileges, except income earned on the proceeds of the sale of a
lifetime license or privilege during the period from sale of such
license or privilege until April first of the year following one full
year of deposit of the proceeds of the sale of such lifetime license or
privilege, shall be available for deposit within the conservation fund
pursuant to paragraph one of this subdivision in an amount equal to the
cost of the appropriate annual license or privilege. The earned income
which exceeds the current cost of each annual license or privilege
comparable to the lifetime license or privilege, shall be added to the
trust account as principal. The earned income from lifetime licenses or
privileges issued to persons who are under the legal age to implement
such licenses or privileges shall be added to the trust account as
principal until such person becomes of legal age to hunt, fish or trap.
(b) Lands and property rights may be acquired by the department of
environmental conservation with moneys made available for such purposes
from the conservation fund by purchase, by acquisition pursuant to the
provisions of the eminent domain procedure law or by gift.
(c) All payments made from the conservation fund shall be made by the
department of taxation and finance after audit and upon warrant of the
comptroller on vouchers approved by the commissioner of environmental
conservation. After appropriations made available from the conservation
fund shall cease to have force and effect, any balances remaining
unexpended and not required to meet the proper and necessary expenses of
the division of fish and wildlife shall revert to such fund.
(d) As to monies accruing to the fund by reason of the enactment of a
chapter of the laws of nineteen hundred seventy-five entitled "An Act to
amend the environmental conservation law and the state finance law, in
relation to fees for hunting, fishing and trapping licenses," one dollar
of the fee increase provided therein for each hunting, fishing and
trapping license shall be dedicated to expansion of hunting and fishing
opportunity by: acquisition of public rights or opportunities to utilize
suitable lands for hunting and fishing; habitat management and
improvement; and species propagation of game, game birds and game fish.
(e) 1. All moneys, revenue and interest received by the department
from the sale of voluntary migratory bird stamps and art prints shall be
credited to the conservation fund as provided by section eighty-three of
this chapter. After payment of administrative costs for preparation and
sale of voluntary stamps and art prints, fifty percent of these moneys
shall be available to the department, pursuant to appropriation,
exclusively for acquisition, preservation, improvement and development
of wetlands and development and maintenance of access sites within the
state. The remaining fifty percent of these moneys shall be disbursed to
an appropriate nonprofit organization for the development of waterfowl
habitat projects within the Dominion of Canada which specifically
provide migratory birds for the Atlantic Flyway after obtaining evidence
that the projects are acceptable to the department of environmental
conservation and the appropriate governmental agencies having
jurisdiction over the project area.
2. Notwithstanding any other general or special law, rule or
regulation, all moneys, revenue and interest arising out of the sale of
voluntary migratory bird stamps, other than that retained by the issuing
agent or officer, and art prints pursuant to section 11-0307 of the
environmental conservation law and this section shall be deposited in a
special account within the conservation fund, to be known as the
migratory bird account, and shall be dedicated to and available by
appropriation only for the purposes set forth in this subdivision, which
may only be altered or amended by law.
(f) Notwithstanding the provisions of any other law, all moneys,
revenue penalties, and interest arising out of the fees for the issuance
of guide licenses pursuant to section 11-0533 of the environmental
conservation law and this section shall be deposited in a special
account within the conservation fund, to be known as the guides license
account, and shall be dedicated to and available by appropriation only
for the administration of and purposes set forth in section 11-0533 of
the environmental conservation law, which may only be altered or amended
by law.
(g) All moneys, fees, fines and penalties arising out of the
administration and enforcement of the tidal wetlands act (article
twenty-five of the environmental conservation law) shall be deposited
into the marine resources account of the conservation fund.
(i) All moneys, revenues and interest thereon received as a result of
the application of subdivision eighteen of section 11-0305 of the
environmental conservation law authorizing a one dollar voluntary
contribution mechanism on all hunting and fishing licenses shall be
deposited in a special account within the conservation fund to be known
as the venison donation account. All of such moneys, revenues and
interest shall be made available by the department of environmental
conservation, pursuant to appropriation, to an appropriate nonprofit
organization for implementation of a venison donation program.
(j) All moneys, revenue and interest thereon received as a result of
the issuance and sale of voluntary outdoor recreation and trail
maintenance pins and patches pursuant to section 11-0329 of the
environmental conservation law, other than the amount retained by the
issuing agent or officer, shall be deposited in a special account within
the conservation fund to be known as the outdoor recreation and trail
maintenance account. All of such moneys, revenues and interest shall be
available to the department of environmental conservation, pursuant to
appropriation, exclusively for outdoor recreation, trail maintenance,
and the development and improvement of public access to outdoor
recreation and trails.
Habitat conservation and access account. (a) There is hereby
created an account within the miscellaneous capital projects fund, the
habitat conservation and access account. The habitat conservation and
access account shall consist of up to one million five hundred thousand
dollars annually from moneys received by the state from the sale of
lifetime licenses for hunting, trapping, and fishing, and lifetime
privileges for archery and muzzle-loading pursuant to section 11-0702 of
the environmental conservation law and all moneys, revenues and interest
thereon received as a result of the application of subdivision seventeen
of section 11-0305 of the environmental conservation law authorizing the
issuance and sale of voluntary habitat stamps, other than the amount
retained by the issuing agent or officer. The habitat conservation and
access account shall be subject to the same restrictions and protections
as the conservation fund.
(b) These moneys, after appropriation by the legislature, and within
the amounts set forth and for the several purposes specified, shall be
available to the department of environmental conservation for the
capital expenses associated with management, protection, and restoration
of fish and wildlife habitats, and improvement and development of public
access for fish and wildlife related recreation.
(c) All payments made from the habitat conservation and access account
shall be made by the department of taxation and finance after audit and
upon warrant of the comptroller on vouchers approved by the commissioner
of environmental conservation. After appropriations made available from
the habitat conservation and access account shall cease to have force
and effect, any balances remaining unexpended and not required to meet
the proper and necessary expenses of the division of fish and wildlife
shall revert to the state fish and game trust account established
pursuant to paragraph four of subdivision (a) of section eighty-three of
this article.
(d) No funds may be transferred or used in any way which would result
in the loss of eligibility for federal benefits or federal funds
pursuant to federal law, rule, or regulation as assented to in chapter
six hundred eighty-three of the laws of nineteen hundred thirty-eight
and chapter seven hundred of the laws of nineteen hundred fifty-one.
The United States Olympic Committee/Lake Placid Olympic Training
Center Fund. 1. There is hereby established in the joint custody of the
state comptroller and commissioner of taxation and finance a special
fund to be known as the United States Olympic Committee/Lake Placid
Olympic Training Center fund.
2. Such fund shall consist of all revenues received from the
implementation of section six hundred twenty-six of the tax law,
accounted for separately and from all of the moneys credited or
transferred thereto from any other fund or source pursuant to law.
Moneys deposited in the fund shall be held in interest bearing accounts
in public depositories as prescribed by state statutes, and may be
invested or reinvested in such securities as are approved by the state
treasurer. Interest or other income earned on moneys deposited into the
fund, and any moneys which moneys deposited into the fund and any moneys
which may be appropriated or otherwise become available for the purposes
of the fund, shall be credited to and deposited in the fund for use as
set forth in this section.
2-a. On or before the first day of February each year, the chairperson
of the New York state Olympic regional development authority shall
provide a written report to the temporary president of the senate,
speaker of the assembly, chair of the senate finance committee, chair of
the assembly ways and means committee, chair of the senate committee on
cultural affairs, tourism, parks and recreation, chair of the assembly
tourism, parks, arts and sports development committee, the state
comptroller and the public. Such report shall include how the monies of
the fund were utilized during the preceding calendar year, and shall
include:
(i) the amount of money dispersed from the fund and the award process
used for such disbursements;
(ii) recipients of awards from the fund;
(iii) the amount awarded to each;
(iv) the purposes for which such awards were granted; and
(v) a summary financial plan for such monies which shall include
estimates of all receipts and all disbursements for the current and
succeeding fiscal years, along with the actual results from the prior
fiscal year.
3. Money of the fund less any administrative expenses paid, following
appropriation by the legislation, shall be expended by the United States
olympic committee, solely and exclusively for the maintenance and
operation of the Lake Placid olympic training center. Money shall be
paid out of the fund, monthly on the audit and warrant of the state
comptroller.
Olympic games guaranty fund. 1. There is hereby established in
the joint custody of the state comptroller and the commissioner of
taxation and finance a special fund to be known as the "olympic games
guaranty fund".
2. The definitions of words and terms contained in section three
hundred forty-two of the economic development law shall apply to this
section as if fully set forth in this section.
3. The endorsing municipality and state may each choose to fund the
olympic games guaranty fund in any manner each entity considers
appropriate and at such time or times the state determines necessary.
The guaranty fund shall be funded in proportions as agreed to by the
state and endorsing municipality.
4. The funds in the guaranty fund may be used for the sole purpose of
fulfilling the joint obligations of the state and endorsing municipality
under a games support contract to provide adequate security as described
in section three hundred forty-three of the economic development law.
5. No additional state funds shall be deposited into the olympic games
guaranty fund once the division of budget determines that the account
has achieved, or is reasonably expected to accrue, a sufficient balance
to provide adequate security, acceptable to the United States olympic
committee and the international olympic committee, to demonstrate the
endorsing municipality and state's ability to fulfill its obligations
under a games support contract, or any other agreement, to indemnify and
insure up to two hundred fifty million dollars of any net financial
deficit resulting from the conduct of the games.
6. If an endorsing municipality is selected by the international
olympic committee as the host for the olympic games, the olympic games
guaranty fund shall be established and maintained until a determination
by the division of budget is made that the state's and endorsing
municipality's obligations under a games support contract, or any other
agreement, to indemnify and insure against any net financial deficit
resulting from the conduct of the olympic games are satisfied and
concluded, at which time the guaranty fund shall be terminated. If a
municipality in New York state is not selected by the United States
olympic committee as the United States candidate city to host an olympic
games, or if such city is not selected by the international olympic
committee as the host city for the games, the olympic games guaranty
fund shall be immediately terminated.
7. Upon the termination of the olympic games guaranty fund, all sums
earmarked, transferred or contained in such fund, along with any
investment earnings retained in such fund, shall immediately revert as
follows:
(a) If no funds have been expended, the monies shall be returned to
the state's general fund support account and endorsing municipality in
proportion to each entity's contribution;
(b) If some portion of the funds have been expended, the remaining
funds shall be returned to the state and endorsing municipality in
proportion to each entity's contribution.
New York state infrastructure trust fund. 1. There is hereby
established in the joint custody of the comptroller and the commissioner
of taxation and finance a special fund to be known as the "New York
state infrastructure trust fund." It is the intent of the legislature
that the housing assistance fund established by section ninety-two-q of
this chapter shall be fully funded to provide decent affordable
housing. Thus, the moneys available in this fund shall be used only for
the purposes enumerated in that section and in this section.
2. Definitions. For purposes of this section the term "remaining
housing commitments" shall mean any undisbursed balance of the three
hundred twenty-six million dollar appropriation made from the housing
assistance fund, as established by section ninety-two-q of the state
finance law, pursuant to section forty-seven of the chapter of the laws
of nineteen hundred eighty-eight adding this section.
3. Accounts. The New York state infrastructure trust fund shall
consist of three separate and distinct accounts: (a) the "housing
reserve account"; (b) the "supplemental housing account"; and (c) the
"general fund support account." Moneys in each of the accounts shall be
kept separate from and not commingled with any other moneys in the New
York state infrastructure trust fund.
4. Sources of funds. (a) The "housing reserve account" shall consist
of (i) all moneys received from the state of New York mortgage agency
pursuant to the provisions of section seven of the chapter of the laws
of nineteen hundred eighty-eight adding this section and subdivision
twenty-six of section two thousand four hundred four of the public
authorities law, up to a total of eighty million dollars from such
agency, and (ii) any other moneys collected therefor or credited or
transferred thereto from any other fund, account or source pursuant to
law. Any interest received by the comptroller on moneys on deposit in
the housing account shall be retained in and become a part of the
account.
(b) The "supplemental housing account" shall consist of all moneys
credited or transferred thereto from any other fund, account or source
pursuant to law.
(c) The "general fund support account" shall consist of all moneys
transferred to such account pursuant to appropriations from the state
purposes account of the general fund and any moneys resulting from
internal transactions within the New York state infrastructure trust
fund. Any moneys transferred to the general fund support account by the
comptroller shall be transferred from such account to either the housing
reserve account or the supplemental housing account, as hereinafter
provided.
5. Temporary transfers. Notwithstanding any other provision of law to
the contrary, for the state fiscal year commencing on April first,
nineteen hundred eighty-eight, the comptroller is hereby authorized to
temporarily transfer any moneys in the New York state infrastructure
trust fund to the general fund in an amount determined by the director
of the budget, to the extent moneys are available in the fund, up to the
difference between receipts credited to the general fund and
disbursements made from the general fund during such fiscal year. On or
before April fifth, nineteen hundred eighty-nine, the comptroller shall
certify the amount of the temporary transfer made pursuant to this
subdivision to the director of the budget and the chairs of the senate
finance committee and the assembly ways and means committee. Such
temporary transfer shall be repaid pursuant to appropriation by the
comptroller as hereinafter provided from any moneys received in the
general fund and the comptroller shall establish such accounts and
records as he shall determine to be necessary to provide an accurate
accounting and reporting of the unrepaid temporary transfer. At such
time as the reconciliations required by subdivisions eight and nine of
this section are completed, the comptroller shall consider all such
temporary transfers as having been repaid.
6. Housing programs. (a) The comptroller is hereby authorized to
transfer moneys in the supplemental housing account, the general fund
support account and the housing reserve account to the housing
assistance fund established by section ninety-two-q of this chapter as
hereinafter provided at such times and in such amounts as are necessary
for the purpose of making payments from the housing assistance fund
pursuant to appropriations by law.
(b) At such time or times as the comptroller determines that a
transfer pursuant to paragraph (a) of this subdivision is necessary he
shall first make such transfer from any moneys available in the
supplemental housing account up to the amount immediately necessary. In
determining the moneys available in the supplemental housing account for
purposes of making transfers to the housing assistance fund, the
comptroller shall first determine the outstanding balance of amounts
loaned to the general fund from the supplemental housing account
pursuant to the provisions of subdivision nine of this section. Upon
making such a determination, the comptroller shall repay all or any
portion of such loan from receipts in the general fund up to the amount
necessary to make such transfer to the housing assistance fund;
provided, however, that the total amount of such repayments shall not
exceed the amount loaned to the general fund from the supplemental
housing account during such fiscal year. The comptroller shall certify
to the director of the budget and the chairs of the senate finance
committee and the assembly ways and means committee, within fifteen days
after the close of each calendar month the amount of any such loan
repaid during the preceding calendar month and the amount of such loan
that remains outstanding at the end of the preceding calendar month.
(c) In the event that the moneys available in the supplemental housing
account (after repayment of any such loans to the general fund) are
insufficient for the purpose of making payments from the housing
assistance fund, the comptroller shall notify the director of the budget
of such insufficiency. Upon such notification and upon receipt from the
director of the budget of a certificate of approval of availability, the
comptroller shall transfer from the general fund, pursuant to
appropriation, such amounts to the general fund support account of the
New York state infrastructure trust fund and such amounts shall be
immediately made available by the comptroller for the purposes of the
supplemental housing account.
(d) In the event that the moneys available in the supplemental housing
account and the general fund support account of the New York state
infrastructure trust fund are insufficient for the purpose of making
payments from the housing assistance fund, the comptroller shall
transfer any remaining amounts as are necessary from any moneys
available in the housing reserve account of the New York state
infrastructure trust fund. In determining the moneys available in the
housing reserve account for purposes of making transfers to the housing
assistance fund, the comptroller shall first determine the outstanding
balance of amounts loaned to the general fund from the housing reserve
account pursuant to the provisions of subdivision ten of this section.
Upon making such a determination, the comptroller shall repay all or any
portion of such loan from receipts in the general fund up to the amount
necessary to make such transfer to the housing assistance fund;
provided, however, that the total amount of such repayments shall not
exceed the amount loaned to the general fund from the housing reserve
account during such fiscal year. Upon making a transfer from such
account, the comptroller shall certify to the director of the budget and
the chairs of the senate finance committee and the assembly ways and
means committee within fifteen days after the close of the calendar
month in which such transfer was made the amount of such transfer and
the balance remaining in such housing reserve account.
7. Restoration and reversion of balances. (a) Restoration of balances.
If at the end of any state fiscal year ending on or before March
thirty-first, two thousand one the amount on deposit in the New York
state infrastructure trust fund falls below the lesser of (i) three
hundred million dollars, or (ii) the remaining housing commitments, then
by April thirtieth of the subsequent fiscal year the comptroller shall
transfer pursuant to appropriation from the general fund to the New York
state infrastructure trust fund the amounts necessary to restore the
balance of such fund, according to the following procedure:
(1) the housing reserve account balance shall be restored to the
cumulative amount deposited to such account pursuant to paragraph (a) of
subdivision four of this section from the nineteen hundred
eighty-eight--eighty-nine state fiscal year through the fiscal year
preceding the year of restoration; and (2) the supplemental housing
account balance shall be restored to an amount such that the combined
balance of the housing reserve account (after restoration) and the
supplemental housing account equals the lesser of (i) the remaining
housing commitments as of the preceding March thirty-first, or (ii)
three hundred million dollars.
(b) Reversion of balances. If at the end of any state fiscal year the
amount on deposit in the New York state infrastructure trust fund
exceeds three hundred million dollars, then such excess shall be
transferred to the general fund support account, first from the
supplemental housing account. Any amounts so transferred to the general
fund support account shall be transferred by the comptroller to the
state purposes account of the general fund.
8. Reconciliation. As soon as practicable after April first, two
thousand one the comptroller shall determine the remaining housing
commitments from the housing assistance fund as of March thirty-first,
two thousand one and certify the amount of such commitments to the
director of the budget and the chairs of the senate finance committee
and the assembly ways and means committee. Upon the making of such
certification, the comptroller shall forthwith transfer from the general
fund to the general fund support account pursuant to appropriation an
amount which when combined with any moneys available in the housing
reserve account and the supplemental housing account of the New York
state infrastructure trust fund will be sufficient to meet disbursements
from the housing assistance fund for the remaining housing commitments.
9. Transportation reconciliation. As soon as practicable after April
first, nineteen hundred ninety-two, the comptroller shall determine the
total amount of bonds and notes issued pursuant to the authorization
contained in section fifty of a chapter of the laws of nineteen hundred
eighty-eight constituting the Accelerated Capacity and Transportation
Improvements of the Nineties Bond Act as of March thirty-first, nineteen
hundred ninety-two. If the comptroller determines that the amount of
such bonds and notes sold pursuant to such authorization is less than
three hundred twenty million dollars, he shall forthwith transfer from
the general fund, pursuant to appropriation, to the general fund support
account an amount equal to the difference between the amount of bonds
and notes issued pursuant to such authorization and three hundred twenty
million dollars. Notwithstanding the provisions of paragraph (c) of
subdivision four of this section, such amounts transferred by the
comptroller shall remain in the general fund support account until such
time as the comptroller shall determine that at least three hundred
twenty million dollars in bonds and notes have been issued pursuant to
such authorization at which time the comptroller shall transfer such
amounts from the general fund support account to the state purposes
account of the general fund.
10. Temporary loans. Moneys in the New York state infrastructure trust
fund may be temporarily loaned, without interest, to the general fund
during any fiscal year. During any state fiscal year in which the moneys
in the fund have been loaned to the general fund the comptroller shall
repay all or a portion of such loan from receipts in the general fund at
such time or times as he shall determine in an amount immediately
necessary to meet payments made from such fund, provided that the total
amount of such repayments shall not exceed the amount loaned to the
general fund during such fiscal year. Any balance of the amount so
temporarily loaned shall be repaid in cash by March thirty-first of the
fiscal year in which the loan was made from moneys received in the
general fund.
Mass transportation operating assistance fund. 1. There is
hereby established in the joint custody of the commissioner of taxation
and finance and the state comptroller a special fund to be known as the
"mass transportation operating assistance fund".
2. Moneys in the mass transportation operating assistance fund shall
be kept separately from and shall not be commingled with any other
moneys in the joint or sole custody of the state comptroller or the
commissioner of taxation and finance.
3. Except for moneys in the account established by subdivision six of
this section, moneys of the fund, following appropriation by the
legislature, shall be allocated upon a certificate of approval of
availability by the director of the budget solely for the transportation
assistance purposes set forth within the specific accounts contained
within the fund established by this section.
4. The mass transportation operating assistance fund shall consist of
three separate and distinct accounts: (a) the "public transportation
systems operating assistance account", (b) the "urban mass transit
operating assistance account", and (c) the "metropolitan mass
transportation operating assistance account". Moneys in each of the
accounts shall be kept separately from and not commingled with any other
moneys in the mass transportation operating assistance fund.
5. (a) The "public transportation systems operating assistance
account" shall consist of revenues required to be deposited therein
pursuant to the provisions of section one hundred eighty-two-a of the
tax law and all other moneys credited or transferred thereto from any
other fund or source pursuant to law.
(b) Moneys in the public transportation systems operating assistance
account shall be paid on a quarterly basis beginning October first,
nineteen hundred eighty-one. However, if there is a demonstrated cash
shortfall in any eligible system, payments to such system may be
accelerated. Such payments shall be made in accordance with a schedule
as specified by appropriation for the payment of operating costs of
public mass transportation systems outside the metropolitan commuter
transportation district as defined by section twelve hundred sixty-two
of the public authorities law, eligible to receive operating assistance
pursuant to section eighteen-b of the transportation law.
(c) Notwithstanding any law to the contrary, the comptroller is hereby
authorized and directed to transfer from the general fund for deposit
into the public transportation system operating assistance account, upon
request of the director of the budget, on or before March 31 of each
year, an amount equal to the following:
(i) For the state fiscal year ending March 31, 2015, two million eight
hundred eight thousand ninety-six dollars;
(ii) In each succeeding state fiscal year, the transfer shall equal
the product of the dollar amount in (i) and one plus the sales tax
growth factor. For the purposes of this subparagraph, the sales tax
growth factor is the percentage, if any, by which the aggregate amount
of sales and compensating use taxes imposed pursuant to the authority of
subpart B of part I of article twenty-nine of the tax law, excluding
such sales and compensating use taxes collected in the twelve counties
that comprise the metropolitan transportation commuter district created
and established pursuant to section twelve hundred sixty-two of the
public authorities law, for the twelve month period ending on December
thirty-first of the immediately preceding calendar year exceeds the
aggregate amount of such sales and compensating use taxes for the twelve
month period ending on December thirty-first, two thousand thirteen. In
no year will the amount of the deposit authorized under this section be
less than the amount made in the prior year.
6. (a) The "urban mass transit operating assistance account" shall
consist of the revenues required to be deposited therein pursuant to the
provisions of article thirty-one-a of the tax law, and all other moneys
credited or transferred thereto from any other fund or source pursuant
to law.
(b) Moneys in the urban mass transit operating assistance account
shall be available only for payment by the comptroller of refunds of,
and of judgments awarded for claims for refund of, taxes paid on or
after October first, nineten hundred eighty-one but before April
thirteenth, nineteen hundred eighty-two pursuant to the provisions of
article thirty-one-A of the tax law, provided that, in the case of a
refund, application for such refund has been made to the comptroller
prior to April first, nineteen hundred eighty-six. Interest at the rate
authorized by section sixteen of the state finance law shall be payable
with such refunds and shall be computed from February first, nineteen
hundred eighty-two or the date on which the tax was paid, whichever is
later.
(c) When the comptroller determines that moneys of the account are
insufficient for the payment of any such refunds or judgments, he shall
certify to the commissioner of finance of the city of New York the
amount of such insufficiency and, from moneys in the special account or
accounts established by and pursuant to sections W46-2.0 and II46-4.0 of
the administrative code of the city of New York, such commissioner of
finance shall, within twelve days of such certification, pay over such
amount to the comptroller for deposit in the urban mass transit
operating assistance account of the mass transportation operating
assistance fund to meet such insufficiency.
7. (a) The "metropolitan mass transportation operating assistance
account" shall consist of that proportion of the revenues derived from
the taxes for the metropolitan transportation district imposed by
section eleven hundred nine of the tax law as specified in such section
and that proportion of the receipts received pursuant to the tax imposed
by article nine-A of such law as specified in section one hundred
seventy-one-a of such law, and that proportion of the receipts received
pursuant to the tax imposed by article nine of such law as specified in
section two hundred five of such law, and the receipts required to be
deposited pursuant to the provisions of section one hundred eighty-two-a
of such law, and all other moneys credited or transferred thereto from
any other fund or source pursuant to law.
(b) Moneys in the metropolitan mass transportation operating
assistance account shall be paid on a quarterly basis beginning October
first, nineteen hundred eight-one. However, if there is a demonstrated
cash shortfall in any eligible system, payments to such system may be
accelerated. Such moneys shall be paid in accordance with schedules as
specified by appropriations for payment of operating costs of public
transportation systems in the metropolitan transportation commuter
district in order to meet the operating expenses of such systems,
provided, however, with respect to the metropolitan transportation
authority, its affiliates and subsidiaries, and notwithstanding any
general or special law to the contrary, other than such a law which
makes specific reference to this section, and subject to the provisions
of section twelve hundred seventy-c of the public authorities law, so
long as the metropolitan transportation authority dedicated tax fund
established by section twelve hundred seventy-c of the public
authorities law shall exist, any such appropriation to the metropolitan
transportation authority, its affiliates or its subsidiaries shall be
deemed to be an appropriation to the metropolitan transportation
authority and the total amount paid pursuant to such appropriation or
appropriations shall be deposited to such metropolitan transportation
authority dedicated tax fund and distributed in accordance with the
provisions of section twelve hundred seventy-c of the public authorities
law. Nothing contained in this subdivision shall be deemed to restrict
the right of the state to amend, repeal, modify or otherwise alter
statutes imposing or relating to the taxes producing revenues for
deposit in the metropolitan mass transportation operating assistance
account or the appropriations relating thereto. The metropolitan
transportation authority shall not include within any resolution,
contract or agreement with holders of the bonds or notes issued under
section twelve hundred sixty-nine of the public authorities law any
provision which provides that a default occurs as a result of the state
exercising its right to amend, repeal, modify or otherwise alter such
taxes or appropriations.
9. Any moneys in the mass transportation operating assistance fund and
in any of the accounts in such fund may, at the discretion of the state
comptroller, be invested in securities and obligations as defined by
section ninety-eight-a of this chapter. Any income earned by the
investment of moneys in any of the accounts in such fund shall be added
to and become a part of, and shall be used for the purposes of such
account.
Suburban transportation fund. 1. There is hereby established
in the joint custody of the commissioner of taxation and finance and the
comptroller a fund to be known as the "suburban transportation fund".
2. The suburban transportation fund shall consist of moneys from the
commuter railroad account of the metropolitan transportation authority
special assistance fund required to be paid by such authority to the
suburban transportation fund pursuant to subdivision three of section
twelve hundred seventy-a of the public authorities law and any moneys
from the metropolitan transportation authority Dutchess, Orange and
Rockland fund transferred pursuant to subdivision four of section twelve
hundred seventy-a of the public authorities law.
3. Moneys in the suburban transportation fund shall be kept separate
from and shall not be commingled with any other moneys in the custody of
the commissioner of taxation and finance and the comptroller. All
deposits of such money shall, if required by the comptroller, be secured
by obligations of the United States or of the state of market value
equal at all times to the amount of the deposit and all banks and trust
companies are authorized to give such securities for such deposits.
4. Moneys of the fund shall be made available for financing any of the
following types of capital projects within the counties comprising the
metropolitan commuter transportation district, except those counties
comprising the city of New York, but only to the extent that such
projects are on an adopted transportation plan and approved by a
designated transportation coordinating committee, if one exists, or by
the metropolitan planning organization as created pursuant to section
fifteen-a of the transportation law if no designated transportation
coordinating committee exists: capacity and infrastructure improvements
to state, county, town, city, village roads, highways, parkways and
bridges; or state, county, town, city or village mass transportation
projects; provided, however, that in Nassau and Suffolk counties such
moneys shall be available only for capacity improvements to state roads,
highways, parkways and bridges. The amount of state funds historically
appropriated statewide, other than bond funds, for transportation
capital purposes from other sources shall not be reduced because of the
availability of such moneys made available pursuant to this chapter, nor
shall such moneys be used to match federal aid. Prior to the allocation
of state advance funds appropriated pursuant to this section, the
municipality responsible for the project shall certify to the
commissioner of transportation that the amount of funds appropriated for
transportation capital purposes by that municipality shall not be
reduced because of the availability of such state advance funds, and
that such moneys shall not be used to match federal aid.
The designated transportation coordinating committee, if one exists,
or the metropolitan planning organization if no designated
transportation coordinating committee exists, shall notify the
municipalities within its jurisdiction of which projects it has
approved.
5. In the event that any county withdraws from the metropolitan
commuter transportation district, the withdrawing county shall pay to
the state comptroller any amount that is required so that the state is
fully reimbursed for funds advanced in anticipation of reimbursement
from the suburban transportation fund. In the event that any withdrawing
county shall fail to make a payment pursuant to this subdivision, the
state comptroller shall withhold and pay to the capital projects fund an
amount equal to the amount owed from the next general or specific state
aid payment and scheduled to be paid to that county.
6. Moneys in the suburban transportation fund transferred pursuant to
section twelve hundred seventy-a of the public authorities law shall be
made available to the state department of transportation for capital
projects in the counties of Nassau, Suffolk, Westchester, Putnam,
Dutchess, Orange and Rockland on the basis of each county's average pro
rata share of the mortgage recording tax receipts raised in such
counties pursuant to subdivision one of section two hundred sixty-one of
the tax law during the period January first, nineteen hundred
eighty-four through December thirty-first, nineteen hundred eighty-six
as certified by the metropolitan transportation authority. Moneys
transferred to the suburban transportation fund at the request of
Dutchess, Orange or Rockland county pursuant to subdivision three of
section twelve hundred seventy-b of the public authorities law shall be
used by the state department of transportation to increase the
proportionate share of such capital projects in such county. Such
projects shall be financed by means of a state advance to be reimbursed
by the New York state thruway authority, or its successor agency,
through the issuance of its bonds or notes in the manner set forth in
subdivision seven of this section, or by means of a state advance to be
reimbursed directly from the suburban transportation fund.
7. (a) For projects funded by the suburban transportation fund, the
state department of transportation may enter into an agreement with the
New York state thruway authority, or its successor agency, for the
purpose of having the thruway authority, or its successor agency, issue
bonds or notes to pay the capital costs of such project. Such agreement
shall be subject to approval by the director of the division of the
budget.
(b) For projects funded pursuant to this subdivision, the affected
municipality shall enter into an agreement with the department of
transportation for the conveyance of all affected real property
including highways, roads and bridges to the thruway authority, or its
successor agency, for the term of the bonds or notes issued by the
thruway authority, or its successor agency, for such project or for such
lesser period that such bonds or notes are outstanding. During the
period of such conveyance to the thruway authority, or its successor
agency, the department of transportation or the municipality shall agree
to maintain the facility in a state of good repair, the responsibility
for which shall be with the state, or municipality, which had
jurisdiction over said facility prior to such agreement.
(c) Upon the final retirement of all bonds and notes issued by the
thruway authority, or its successor agency, for such purpose, such
property shall automatically revert to the conveying entity.
8. Payments to the thruway authority, or its successor agency,
pursuant to this section shall be subject to appropriation from the
suburban transportation fund. The thruway authority, or its successor
agency, shall utilize such moneys to pay the debt service on such bonds
or notes and to meet administrative costs in connection therewith.
Airport improvement and revitalization fund. 1. There is
hereby established in the joint custody of the commissioner of taxation
and finance and the comptroller a fund to be known as the "airport
improvement and revitalization fund".
2. The airport improvement and revitalization fund shall consist of
moneys appropriated thereto, and funds transferred from any other fund
or source including the repayment of loans pursuant to section
fourteen-l of the transportation law.
3. Moneys in the airport improvement and revitalization fund shall be
kept separate from and shall not be commingled with any other moneys in
the custody of the commissioner of taxation and finance and the
comptroller. Such moneys shall only be disbursed pursuant to section
fourteen-l of the transportation law.
Dedicated highway and bridge trust fund. 1. There is hereby
established in the joint custody of the state comptroller and the
commissioner of taxation and finance a special fund to be known as the
"dedicated highway and bridge trust fund".
2. The dedicated highway and bridge trust fund shall consist of three
accounts: (a) the special obligation reserve and payment account; (b)
the highway and bridge capital account; and (c) the aviation purpose
account. Moneys in each account shall be kept separate and not
commingled with any other moneys in the custody of the comptroller.
3. * (a) The special obligation reserve and payment account shall
consist (i) of all moneys required to be deposited in the dedicated
highway and bridge trust fund pursuant to the provisions of sections two
hundred five, two hundred eighty-nine-e, three hundred one-j, five
hundred fifteen and eleven hundred sixty-seven of the tax law, section
four hundred one and article twelve-d of the vehicle and traffic law,
and section thirty-one of chapter fifty-six of the laws of nineteen
hundred ninety-three, (ii) all fees, fines or penalties collected by the
commissioner of transportation and the commissioner of motor vehicles
pursuant to section fifty-two, section three hundred twenty-six, section
eighty-eight of the highway law, subdivision fifteen of section three
hundred eighty-five of the vehicle and traffic law, section two of part
U1 of chapter sixty-two of the laws of two thousand three, subdivision
(d) of section three hundred four-a, paragraph one of subdivision (a)
and subdivision (d) of section three hundred five, subdivision six-a of
section four hundred fifteen and subdivision (g) of section twenty-one
hundred twenty-five of the vehicle and traffic law, section fifteen of
this chapter, excepting moneys deposited with the state on account of
betterments performed pursuant to subdivision twenty-seven or
subdivision thirty-five of section ten of the highway law, and section
one hundred forty-five of the transportation law, (iii) any moneys
collected by the department of transportation for services provided
pursuant to agreements entered into in accordance with section
ninety-nine-r of the general municipal law, and (iv) any other moneys
collected therefor or credited or transferred thereto from any other
fund, account or source.
* NB Effective until April 1, 2028
* (a) The special obligation reserve and payment account shall consist
(i) of all moneys required to be deposited in the dedicated highway and
bridge trust fund pursuant to the provisions of sections two hundred
five, two hundred eighty-nine-e, three hundred one-j, five hundred
fifteen and eleven hundred sixty-seven of the tax law, section four
hundred one and article twelve-d of the vehicle and traffic law, and
section thirty-one of chapter fifty-six of the laws of nineteen hundred
ninety-three, (ii) all fees, fines or penalties collected by the
commissioner of transportation and the commissioner of motor vehicles
pursuant to section fifty-two, section three hundred twenty-six, section
eighty-eight of the highway law, subdivision fifteen of section three
hundred eighty-five of the vehicle and traffic law, section two of part
U1 of chapter sixty-two of the laws of two thousand three, subdivision
(d) of section three hundred four-a, paragraph one of subdivision (a)
and subdivision (d) of section three hundred five, subdivision six-a of
section four hundred fifteen and subdivision (g) of section twenty-one
hundred twenty-five of the vehicle and traffic law, section fifteen of
this chapter, excepting moneys deposited with the state on account of
betterments performed pursuant to subdivision twenty-seven or
subdivision thirty-five of section ten of the highway law, and section
one hundred forty-five of the transportation law, (iii) any moneys
collected by the department of transportation for services provided
pursuant to agreements entered into in accordance with section
ninety-nine-r of the general municipal law, and (iv) any other moneys
collected therefor or credited or transferred thereto from any other
fund, account or source.
* NB Separately amended, cannot be put together
* NB Effective April 1, 2028 until June 30, 2030
* (a) The special obligation reserve and payment account shall consist
(i) of all moneys required to be deposited in the dedicated highway and
bridge trust fund pursuant to the provisions of sections two hundred
eighty-nine-e, three hundred one-j, five hundred fifteen and eleven
hundred sixty-seven of the tax law, section four hundred one of the
vehicle and traffic law, and section thirty-one of chapter fifty-six of
the laws of nineteen hundred ninety-three, (ii) all fees, fines or
penalties collected by the commissioner of transportation and the
commissioner of motor vehicles pursuant to section fifty-two, section
three hundred twenty-six, section eighty-eight of the highway law,
subdivision fifteen of section three hundred eighty-five of the vehicle
and traffic law, section fifteen of this chapter, excepting moneys
deposited with the state on account of betterments performed pursuant to
subdivision twenty-seven or subdivision thirty-five of section ten of
the highway law, and section one hundred forty-five of the
transportation law, (iii) any moneys collected by the department of
transportation for services provided pursuant to agreements entered into
in accordance with section ninety-nine-r of the general municipal law,
and (iv) any other moneys collected therefor or credited or transferred
thereto from any other fund, account or source.
* NB Separately amended, cannot be put together
*NB Effective April 1, 2028 until June 30, 2030
* (a) The special obligation reserve and payment account shall consist
(i) of all moneys required to be deposited in the dedicated highway and
bridge trust fund pursuant to the provisions of sections two hundred
eighty-nine-e, three hundred one-j, five hundred fifteen and eleven
hundred sixty-seven of the tax law, section four hundred one and article
twelve-d of the vehicle and traffic law, and section thirty-one of
chapter fifty-six of the laws of nineteen hundred ninety-three, (ii) all
fees, fines or penalties collected by the commissioner of transportation
and the commissioner of motor vehicles pursuant to section fifty-two,
section three hundred twenty-six, section eighty-eight of the highway
law, subdivision fifteen of section three hundred eighty-five of the
vehicle and traffic law, section fifteen of this chapter, excepting
moneys deposited with the state on account of betterments performed
pursuant to subdivision twenty-seven or subdivision thirty-five of
section ten of the highway law, and section one hundred forty-five of
the transportation law, (iii) any moneys collected by the department of
transportation for services provided pursuant to agreements entered into
in accordance with section ninety-nine-r of the general municipal law,
and (iv) any other moneys collected therefor or credited or transferred
thereto from any other fund, account or source.
* NB Effective June 30, 2030
(b) Moneys in the special obligation reserve and payment account
shall, following appropriation by the legislature, be used to pay
amounts due to the New York state thruway authority as dedicated highway
and bridge trust fund cooperative agreement payments pursuant to the
provisions of dedicated highway and bridge trust fund cooperative
agreements entered into between the authority and the department of
transportation pursuant to sections ten-e, ten-f, and ten-g of the
highway law, the provisions of section three hundred eighty-five of the
public authorities law, and pursuant to the provisions of this section.
(c) The comptroller is hereby authorized and directed to transfer
monthly no later than the last day of each month, any moneys, if any, in
excess of the aggregate amounts required to be set aside in order to
meet the requirements established in paragraph (d) of this subdivision,
to the highway and bridge capital account, provided however that in no
event shall such transfers occur unless and until the aggregate of all
dedicated highway and bridge trust fund cooperative agreement payments
certified to the comptroller for such fiscal year shall have been
appropriated in accordance with the provisions of this section.
Additionally, in no event shall the comptroller pay over and distribute
any revenues of the fund to any person other than the New York state
thruway authority if any payment required to be set aside pursuant to
paragraph (b) of this subdivision has not been made to the authority on
the date by which it was required to have been made pursuant to such
schedule; provided, however, that no person, including such authority or
the holders of its bonds or notes shall have any lien on such revenues
and such agreement shall be executory only to the extent of such
revenues available to the state in such fund.
(d) Upon receipt by the comptroller of a certificate or certificates
from the chairperson of the New York state thruway authority submitted
pursuant to section three hundred eighty-five of the public authorities
law, that such authority requires a payment or payments, from the
dedicated highway and bridge trust fund, the comptroller shall pay from
such fund pursuant to an appropriation on or before the fifteenth day of
any month preceding the payment as the chairperson thereof may direct in
any such certificate, the amount or amounts so certified. The
chairperson of such authority shall furnish the commissioner of taxation
and finance with copies of such certificates. In order to set aside the
moneys necessary to meet the amounts required on the payment date or
dates herein, the comptroller shall comply with the provisions of this
subdivision.
(e) Except for the purpose of meeting a dedicated highway and bridge
trust fund cooperative agreement payment required pursuant to section
three hundred eighty-five of the public authorities law that is due on a
monthly basis or more frequently, prior to transferring any moneys from
the account pursuant to paragraph (c) of this subdivision, the
comptroller shall set aside on a monthly basis all revenues deposited
pursuant to this subdivision as received until the amount set aside is
equal to, twenty percent of the interest due on such obligations on the
next succeeding interest payment date multiplied by the number of months
from the date of the last such payment and ten percent of the next
principal installment due on such obligations multiplied by the number
of months from the date of the last such principal installment where
principal is due on an annual basis or twenty percent of the next
principal installment due on such obligations multiplied by the number
of months from the date of the last such principal installment where
principal is due on a semiannual basis. For the purpose of meeting a
required dedicated highway and bridge trust fund cooperative agreement
payment that is due on a monthly basis or more frequently, the
comptroller shall set aside all revenues deposited pursuant to
subdivision two of this section as received until the amount so set
aside is, in the reasonable judgment of the comptroller, sufficient to
pay the required highway and bridge trust fund cooperative agreement
payment on or before such payment date. In no event shall the
comptroller be held liable for the failure to set aside an amount
sufficient to pay the required dedicated highway and bridge trust fund
cooperative agreement payment to the authority.
(f) In the event that the amount set aside by the comptroller pursuant
to paragraph (e) of this subdivision is not sufficient to meet the
dedicated highway and bridge trust fund cooperative agreement payments
required pursuant to a certificate or certificates submitted by the
chairperson pursuant to subdivision two of section three hundred
eighty-five of the public authorities law, the comptroller shall
immediately transfer first from the highway and bridge capital account,
and then, if necessary, from the general fund to the special obligation
reserve and payment account, an amount which, when combined with the
amount set aside pursuant to paragraph (e) of this subdivision, shall be
sufficient to make the dedicated highway and bridge trust fund
cooperative agreement payments required pursuant to such certificate or
certificates. Following such an event, the comptroller shall,
immediately set aside the amounts required pursuant to paragraph (e) of
this subdivision, set aside and pay the next moneys received by the
special obligation reserve and payment account to reimburse the general
fund for moneys which were transferred to the special obligation reserve
and payment account pursuant to this paragraph. Such amounts shall be
set aside until the full amount of moneys transferred from the general
fund shall have been set aside and any such moneys set aside shall be
transferred to the general fund no later than the last day of each
month.
4. The highway and bridge capital account shall consist of all moneys
transferred from the special obligation reserve and payment account and
any other moneys credited or transferred thereto from any other fund,
account or source.
4-a. (a) The aviation purpose account shall consist of all moneys
required to be deposited by section three hundred twelve of the tax law
and any other moneys credited or transferred thereto from any other
fund, account or source.
(b) Moneys in the aviation purpose account shall be utilized for
airports and aviation facilities and equipment and related projects,
including but not limited to the acquisition of real or tangible
personal property, construction, reconstruction, reconditioning,
preservation, maintenance or improvement of airport or aviation capital
facilities and noise mitigation projects, and any other purpose not
prohibited by federal law.
5. * a. Moneys in the dedicated highway and bridge trust fund shall,
following appropriation by the legislature, be utilized for:
reconstruction, replacement, reconditioning, restoration, rehabilitation
and preservation of state, county, town, city and village roads,
highways, parkways, and bridges thereon, to restore such facilities to
their intended functions; construction, reconstruction, enhancement and
improvement of state, county, town, city, and village roads, highways,
parkways, and bridges thereon, to address current and projected capacity
problems including costs for traffic mitigation activities; aviation
projects authorized pursuant to section fourteen-j of the transportation
law and for payments to the general debt service fund of amounts equal
to amounts required for service contract payments related to aviation
projects as provided and authorized by section three hundred eighty-six
of the public authorities law; programs to assist small and minority and
women-owned firms engaged in transportation construction and
reconstruction projects, including a revolving fund for working capital
loans, and a bonding guarantee assistance program in accordance with
provisions of this chapter; matching federal grants or apportionments to
the state for highway, parkway and bridge capital projects; the
acquisition of real property and interests therein required or expected
to be required in connection with such projects; preventive maintenance
activities necessary to ensure that highways, parkways and bridges meet
or exceed their optimum useful life; expenses of control of snow and ice
on state highways by the department of transportation including but not
limited to personal services, nonpersonal services and fringe benefits,
payment of emergency aid for control of snow and ice in municipalities
pursuant to section fifty-five of the highway law, expenses of control
of snow and ice on state highways by municipalities pursuant to section
twelve of the highway law, and for expenses of arterial maintenance
agreements with cities pursuant to section three hundred forty-nine of
the highway law; personal services, nonpersonal services, and fringe
benefit costs of the department of transportation for bus safety
inspection activities, rail safety inspection activities, and truck
safety inspection activities; costs of the department of motor vehicles,
including but not limited to personal and nonpersonal services; costs of
engineering and administrative services of the department of
transportation, including but not limited to fringe benefits; the
contract services provided by private firms in accordance with section
fourteen of the transportation law; personal services and nonpersonal
services, for activities including but not limited to the preparation of
designs, plans, specifications and estimates; construction management
and supervision activities; costs of appraisals, surveys, testing and
environmental impact statements for transportation projects; expenses in
connection with buildings, equipment, materials and facilities used or
useful in connection with the maintenance, operation, and repair of
highways, parkways and bridges thereon; and project costs for:
construction, reconstruction, improvement, reconditioning and
preservation of rail freight facilities and intercity rail passenger
facilities and equipment; construction, reconstruction, improvement,
reconditioning and preservation of state, municipal and privately owned
ports; construction, reconstruction, improvement, reconditioning and
preservation of municipal airports; privately owned airports and
aviation capital facilities, excluding airports operated by the state or
operated by a bi-state municipal corporate instrumentality for which
federal funding is not available provided the project is consistent with
an approved airport layout plan; and construction, reconstruction,
enhancement, improvement, replacement, reconditioning, restoration,
rehabilitation and preservation of state, county, town, city and village
roads, highways, parkways and bridges; and construction, reconstruction,
improvement, reconditioning and preservation of fixed ferry facilities
of municipal and privately owned ferry lines for transportation
purposes, and the payment of debt service required on any bonds, notes
or other obligations and related expenses for highway, parkway, bridge
and project costs for: construction, reconstruction, improvement,
reconditioning and preservation of rail freight facilities and intercity
rail passenger facilities and equipment; construction, reconstruction,
improvement, reconditioning and preservation of state, municipal and
privately owned ports; construction, reconstruction, improvement,
reconditioning and preservation of municipal airports; privately owned
airports and aviation capital facilities, excluding airports operated by
the state or operated by a bi-state municipal corporate instrumentality
for which federal funding is not available provided the project is
consistent with an approved airport layout plan; construction,
reconstruction, enhancement, improvement, replacement, reconditioning,
restoration, rehabilitation and preservation of state, county, town,
city and village roads, highways, parkways and bridges; and
construction, reconstruction, improvement, reconditioning and
preservation of fixed ferry facilities of municipal and privately owned
ferry lines for transportation purposes, purposes authorized on or after
the effective date of this section. Beginning with disbursements made on
and after the first day of April, nineteen hundred ninety-three, moneys
in such fund shall be available to pay such costs or expenses made
pursuant to appropriations or reappropriations made during the state
fiscal year which began on the first of April, nineteen hundred
ninety-two. Beginning the first day of April, nineteen hundred
ninety-three, moneys in such fund shall also be used for transfers to
the general debt service fund and the general fund of amounts equal to
that respectively required for service contract and financing agreement
payments as provided and authorized by section three hundred eighty of
the public authorities law, section eleven of chapter three hundred
twenty-nine of the laws of nineteen hundred ninety-one, as amended, and
sections sixty-eight-c and sixty-nine-o of this chapter.
* NB Effective until April 1, 2028
* a. Moneys in the dedicated highway and bridge trust fund shall,
following appropriation by the legislature, be utilized for:
reconstruction, replacement, reconditioning, restoration, rehabilitation
and preservation of state, county, town, city and village roads,
highways, parkways, and bridges thereon, to restore such facilities to
their intended functions; construction, reconstruction, enhancement and
improvement of state, county, town, city, and village roads, highways,
parkways, and bridges thereon, to address current and projected capacity
problems including costs for traffic mitigation activities; aviation
projects authorized pursuant to section fourteen-j of the transportation
law and for payments to the general debt service fund of amounts equal
to amounts required for service contract payments related to aviation
projects as provided and authorized by section three hundred eighty-six
of the public authorities law; programs to assist small and minority and
women-owned firms engaged in transportation construction and
reconstruction projects, including a revolving fund for working capital
loans, and a bonding guarantee assistance program in accordance with
provisions of this chapter; matching federal grants or apportionments to
the state for highway, parkway and bridge capital projects; the
acquisition of real property and interests therein required or expected
to be required in connection with such projects; preventive maintenance
activities necessary to ensure that highways, parkways and bridges meet
or exceed their optimum useful life; expenses of control of snow and ice
on state highways by the department of transportation including but not
limited to personal services, nonpersonal services and fringe benefits,
payment of emergency aid for control of snow and ice in municipalities
pursuant to section fifty-five of the highway law, expenses of control
of snow and ice on state highways by municipalities pursuant to section
twelve of the highway law, and for expenses of arterial maintenance
agreements with cities pursuant to section three hundred forty-nine of
the highway law; personal services, nonpersonal services, and fringe
benefit costs of the department of transportation for bus safety
inspection activities, rail safety inspection activities, and truck
safety inspection activities; costs of engineering and administrative
services of the department of transportation, including but not limited
to fringe benefits; the contract services provided by private firms in
accordance with section fourteen of the transportation law; personal
services and nonpersonal services, for activities including but not
limited to the preparation of designs, plans, specifications and
estimates; construction management and supervision activities; costs of
appraisals, surveys, testing and environmental impact statements for
transportation projects; expenses in connection with buildings,
equipment, materials and facilities used or useful in connection with
the maintenance, operation, and repair of highways, parkways and bridges
thereon; and project costs for: construction, reconstruction,
improvement, reconditioning and preservation of rail freight facilities
and intercity rail passenger facilities and equipment; construction,
reconstruction, improvement, reconditioning and preservation of state,
municipal and privately owned ports; construction, reconstruction,
improvement, reconditioning and preservation of municipal airports;
privately owned airports and aviation capital facilities, excluding
airports operated by the state or operated by a bi-state municipal
corporate instrumentality for which federal funding is not available
provided the project is consistent with an approved airport layout plan;
and construction, reconstruction, enhancement, improvement, replacement,
reconditioning, restoration, rehabilitation and preservation of state,
county, town, city and village roads, highways, parkways and bridges;
and construction, reconstruction, improvement, reconditioning and
preservation of fixed ferry facilities of municipal and privately owned
ferry lines for transportation purposes, and the payment of debt service
required on any bonds, notes or other obligations and related expenses
for highway, parkway, bridge and project costs for: construction,
reconstruction, improvement, reconditioning and preservation of rail
freight facilities and intercity rail passenger facilities and
equipment; construction, reconstruction, improvement, reconditioning and
preservation of state, municipal and privately owned ports;
construction, reconstruction, improvement, reconditioning and
preservation of municipal airports; privately owned airports and
aviation capital facilities, excluding airports operated by the state or
operated by a bi-state municipal corporate instrumentality for which
federal funding is not available provided the project is consistent with
an approved airport layout plan; construction, reconstruction,
enhancement, improvement, replacement, reconditioning, restoration,
rehabilitation and preservation of state, county, town, city and village
roads, highways, parkways and bridges; and construction, reconstruction,
improvement, reconditioning and preservation of fixed ferry facilities
of municipal and privately owned ferry lines for transportation
purposes, purposes authorized on or after the effective date of this
section. Beginning with disbursements made on and after the first day of
April, nineteen hundred ninety-three, moneys in such fund shall be
available to pay such costs or expenses made pursuant to appropriations
or reappropriations made during the state fiscal year which began on the
first of April, nineteen hundred ninety-two. Beginning the first day of
April, nineteen hundred ninety-three, moneys in such fund shall also be
used for transfers to the general debt service fund and the general fund
of amounts equal to that respectively required for service contract and
financing agreement payments as provided and authorized by section three
hundred eighty of the public authorities law, section eleven of chapter
three hundred twenty-nine of the laws of nineteen hundred ninety-one, as
amended, and sections sixty-eight-c and sixty-nine-o of this chapter.
* NB Effective April 1, 2028
b. Subject to appropriation therefor and subject to subdivision four
of this section, beginning the first day of April, nineteen hundred
ninety-three, an amount of moneys in the dedicated highway and bridge
trust fund, together with any other moneys legally available therefor,
which is equivalent to the amount that was historically appropriated
from state sources, other than proceeds from the accelerated capacity
and transportation improvements of the nineties bond act, for highway,
parkway and bridge purposes as enumerated in paragraph a of this
subdivision shall be used to fund highway, parkway and bridge
expenditures that were historically appropriated from state sources,
other than proceeds from the accelerated capacity and transportation
improvements of the nineties bond act, for the purposes enumerated in
paragraph a of this subdivision.
6. All payments of moneys from the dedicated highway and bridge trust
fund shall be made on audit and warrant of the comptroller. Not later
than twenty days after the end of each calendar quarter, the comptroller
shall submit to the director of the budget and the chairpersons of the
fiscal committees of the legislature a report showing the amount of
receipts identified as bond proceeds and the amounts, separately
identified, received from taxes, fees, transfers, or other sources, and
the amounts disbursed from the dedicated highway and bridge trust fund
for state operations, capital projects and transfers to other funds.
7. There shall be a comprehensive financial report and plan for the
dedicated highway and bridge trust fund. The governor shall annually
submit such plan to the legislature and the comptroller in accordance
with paragraph (e) of subdivision three of section twenty-two-c of this
chapter.
8. The state comptroller shall at the commencement of each month
certify to the director of the budget, the chairpersons of the senate
finance and assembly ways and means committees, the commissioner of
transportation, and the chairman of the thruway authority the amount
disbursed from the dedicated highway and bridge trust fund in the
preceding month, the amounts reimbursed by the thruway authority, the
revenues received in the fund, and the unreimbursed disbursements, in
accordance with section ten-e of the highway law.
9. Not later than sixty days after the end of the state fiscal year,
the department of transportation shall provide to the state comptroller,
the chairpersons of the senate finance and assembly ways and means
committees and the division of the budget, a detailed description of
each capital project let during the completed prior year that is funded
fully or partially from the dedicated highway and bridge trust fund.
Such description shall include a project identification number, a
description of the project in less than thirty words, the work type, the
estimated total cost of the project and the probable life of each such
project.
10. Not later than March first of each state fiscal year, the
department of transportation shall provide to the state comptroller, the
chairpersons of the senate finance and assembly ways and means
committees and the division of the budget, a detailed description of
each capital project anticipated or available to be let in the next
fiscal year that is planned to be funded fully or partially from the
dedicated highway and bridge trust fund. Such description shall include
a project identification number, a description of the project in less
than thirty words, the work type, the estimated total cost of the
project and the probable life of each such project.
11. The department of transportation shall provide to the state
comptroller and the chairpersons of the senate finance and assembly ways
and means committees, not later than fourteen days subsequent to
reimbursement from bond proceeds to the dedicated highway and bridge
trust fund, a cooperative agreement schedule of all projects so
reimbursed. Such schedule shall include, but not be limited to, an
identifying project number, the work type, project description, county,
total cost, percentage of federal funding, letting date, scheduled
completion date, life to date dedicated highway and bridge trust fund
disbursements, prior amount of thruway authority bond proceeds
reimbursement, the amount of the current reimbursement, and the probable
life of each such project.
Dedicated mass transportation trust fund. 1. There is hereby
established in the joint custody of the state comptroller and the
commissioner of taxation and finance a special fund to be known as the
"dedicated mass transportation trust fund".
2. The dedicated mass transportation trust fund shall consist of all
moneys collected therefor or credited or transferred thereto from any
other fund, account or source. Any interest received by the comptroller
on moneys on deposit in the dedicated mass transportation trust fund
shall be retained in and become a part of such fund.
3. Moneys in the dedicated mass transportation trust fund shall,
following appropriation by the legislature, be utilized for the
reconstruction, replacement, purchase, modernization, improvement,
reconditioning, preservation and maintenance of mass transit facilities,
vehicles and rolling stock, or the payment of debt service or operating
expenses incurred by mass transit operating agencies, and for rail
projects authorized pursuant to section fourteen-j of the transportation
law, for payments to the general debt service fund of amounts equal to
amounts required for service contract payments related to rail projects
as provided and authorized by section three hundred eighty-six of the
public authorities law and for programs to assist small and minority and
women-owned firms engaged in transportation construction and
reconstruction projects, including a revolving fund for working capital
loans, and a bonding guarantee assistance program in accordance with
provisions of this chapter. It is the intent of the governor to submit
and the legislature to enact in a budget bill for fiscal year nineteen
hundred ninety-four--ninety-five, two appropriations from the dedicated
mass transportation trust fund to the metropolitan transportation
authority dedicated tax fund established by section twelve hundred
seventy-c of the public authorities law. One such appropriation shall be
equal to the amounts expected to be available for such purpose pursuant
to subdivision (d) of section three hundred one-j of the tax law during
the nineteen hundred ninety-four--ninety-five fiscal year and shall be
effective in that fiscal year. The other such appropriation shall be
equal to the amount expected to be available for such purpose pursuant
to subdivision (d) of section three hundred one-j of the tax law during
the nineteen hundred ninety-five--ninety-six fiscal year and shall,
notwithstanding the provisions of section forty of this chapter, take
effect on the first day of the nineteen hundred ninety-five--ninety-six
fiscal year and lapse on the last day of that fiscal year. It is the
intent of the governor to submit and the legislature to enact for each
fiscal year after the nineteen hundred ninety-four--ninety-five fiscal
year in an annual budget bill: (i) an appropriation for the amount
expected to be available in the dedicated mass transportation trust fund
during such fiscal year for the metropolitan transportation authority
pursuant to subdivision (d) of section three hundred one-j of the tax
law and paragraph two of subdivision (d) of section eleven hundred nine
of the tax law, including any amounts on deposit therein from any prior
year which have been previously appropriated, and (ii) an appropriation
of the amounts projected by the director of the budget to be deposited
in the metropolitan transportation authority dedicated tax fund from the
dedicated mass transportation trust fund pursuant to subdivision (d) of
section three hundred one-j of the tax law and paragraph two of
subdivision (d) of section eleven hundred nine of the tax law, for the
next succeeding fiscal year. Such appropriation for payment of revenues
expected to be received in the succeeding fiscal year shall,
notwithstanding section forty of this chapter, take effect on the first
day of such succeeding fiscal year and lapse on the last day of such
fiscal year. If for any fiscal year commencing on or after the first day
of April, nineteen hundred ninety-four the governor fails to submit a
budget bill containing the foregoing, or the legislature fails to enact
a bill with such provisions, then the authority shall notify the
comptroller, the director of the budget, the chairperson of the senate
finance committee and the chairperson of the assembly ways and means
committee of amounts required to be disbursed from the appropriation
made during the preceding fiscal year for payment in such fiscal year.
In no event shall the comptroller make any payments from such
appropriation prior to May first of such fiscal year, and unless and
until the director of the budget, the chairperson of the senate finance
committee and the chairperson of the assembly ways and means committee
have been notified of the required payments and the timing of such
payments to be made from the dedicated mass transportation trust fund to
the metropolitan transportation authority dedicated tax fund at least
forty-eight hours prior to any such payments. Until such time as
payments pursuant to such appropriation are made in full, revenues in
the dedicated mass transportation trust fund shall not be paid over to
any person other than the metropolitan transportation authority. Nothing
contained in this subdivision shall be deemed to restrict the right of
the state to amend, repeal, modify or otherwise alter statutes imposing
or relating to the taxes imposed pursuant to section three hundred one-j
of the tax law, the taxes imposed pursuant to paragraph two of
subdivision (d) of section eleven hundred nine of the tax law, or the
appropriations relating thereto. The metropolitan transportation
authority shall not include within any resolution, contract or agreement
with holders of the bonds or notes issued under section twelve hundred
sixty-nine of the public authorities law any provision which provides
that a default occurs as a result of the state exercising its right to
amend, repeal, modify or otherwise alter such taxes or appropriations.
Motor vehicle theft and insurance fraud prevention fund. 1.
There is hereby established in the custody of the comptroller, a special
fund to be known as the "motor vehicle theft and insurance fraud
prevention fund".
2. Such fund shall consist of all moneys received by the state
pursuant to subsection (b) of section nine thousand one hundred ten of
the insurance law that are transferred to the fund pursuant to paragraph
one of subsection (e) of section nine thousand one hundred ten of the
insurance law and all other grants, bequests or other moneys
appropriated, credited or transferred thereto from any other fund or
source pursuant to law.
3. Moneys in the motor vehicle theft and insurance fraud prevention
fund shall be kept separate and apart and shall not be commingled with
any other moneys in the custody of the comptroller and shall only be
expended herein and in such amounts as approved by the division of the
budget.
4. The moneys received by such fund shall be expended pursuant to
appropriation only to fund provider agencies which have been awarded
grants by the motor vehicle theft and insurance fraud prevention board
established pursuant to section eight hundred forty-six-l of the
executive law. All moneys expended pursuant to this subdivision shall be
for the reimbursement of costs incurred by provider agencies.
Alzheimer's disease assistance fund. 1. There is hereby
established in the joint custody of the commissioner of taxation and
finance and the comptroller, a special fund to be known as the
"Alzheimer's disease assistance fund".
2. Such fund shall consist of all revenues received by the department
of taxation and finance, pursuant to the provisions of section six
hundred twenty-nine of the tax law and all other moneys appropriated,
credited, or transferred thereto from any other fund or source pursuant
to law. For each state fiscal year, there shall be appropriated to the
fund by the state, in addition to all other moneys required to be
deposited into such fund, an amount equal to the amounts of monies
collected and deposited into the fund pursuant to section six hundred
twenty-nine of the tax law during the preceding calendar year, as
certified by the comptroller. Nothing contained herein shall prevent the
state from receiving grants, gifts or bequests for the purposes of the
fund as defined in this section and depositing them into the fund
according to law.
2-a. On or before the first day of February each year, the comptroller
shall certify to the governor, temporary president of the senate,
speaker of the assembly, chair of the senate finance committee and chair
of the assembly ways and means committee, the amount of money deposited
in the Alzheimer's research fund during the preceding calendar year as
the result of revenue derived pursuant to section six hundred
twenty-nine of the tax law.
2-b. On or before the first day of February each year, the
commissioner of health shall provide a written report to the temporary
president of the senate, speaker of the assembly, chair of the senate
finance committee, chair of the assembly ways and means committee, chair
of the senate committee on health, chair of the assembly health
committee, the state comptroller and the public. Such report shall
include how the monies of the fund were utilized during the preceding
calendar year and shall include:
(i) the amount of money dispersed from the fund and the award process
used for such disbursements;
(ii) recipients of awards from the fund;
(iii) the amount awarded to each;
(iv) the purposes for which such awards were granted; and
(v) a summary financial plan for such monies which shall include
estimates of all receipts and all disbursements for the current and
succeeding fiscal years, along with the actual results from the prior
fiscal year.
3. Moneys in the Alzheimer's disease assistance fund shall be kept
separate and shall not be commingled with any other moneys in the
custody of the commissioner of taxation and finance and the comptroller.
4. The moneys in such fund shall be expended only for the purposes
spelled out in paragraph (b) of subdivision six of section twenty-seven
hundred one of the public health law.
5. All payments form such fund shall be made by the department of
taxation and finance after audit and warrant of the comptroller on
vouchers approved by the commissioner of health.
Workers' compensation security fund payment account. 1. There
is hereby established in the custody of the superintendent of financial
services a special revenue fund to be known as the "workers'
compensation security fund payment account".
2. Such account shall consist of all moneys received by the workers'
compensation security fund as payments pursuant to section one hundred
eight of the workers' compensation law, and all other moneys credited or
transferred thereto from any other fund or source pursuant to law.
3. The moneys of the workers' compensation security fund payment
account shall be made available to the superintendent of financial
services to pay for the borrowing of any funds pursuant to section seven
thousand four hundred thirty-three-a of the insurance law and for
payments to the workers' compensation security fund for payment of
awards certified by the superintendent of financial services. All
payments from such account shall be made upon the audit and warrant of
the comptroller on vouchers certified or approved by the superintendent
of financial services in the manner prescribed by law.
* § 89-h. Medical cannabis trust fund. 1. There is hereby established
in the joint custody of the state comptroller and the commissioner of
taxation and finance a special fund to be known as the "medical cannabis
trust fund."
2. The medical cannabis trust fund shall consist of all moneys
required to be deposited in the medical cannabis trust fund pursuant to
the provisions of section four hundred ninety of the tax law.
3. The moneys in the medical cannabis trust fund shall be kept
separate and shall not be commingled with any other moneys in the
custody of the commissioner of taxation and finance and the state
comptroller.
4. The moneys of the medical cannabis trust fund, following
appropriation by the legislature, shall be allocated upon a certificate
of approval of availability by the director of the budget as follows:
(a) fifty percent of the monies shall be transferred to the counties in
New York state in which the medical cannabis was manufactured and
allocated in proportion to the gross sales originating from medical
cannabis manufactured in each such county; and (b) fifty percent of the
moneys shall be transferred to the counties in New York state in which
the medical cannabis was dispensed and allocated in proportion to the
gross sales occurring in each such county. For purposes of this
subdivision, the city of New York shall be deemed to be a county.
* NB Repealed July 5, 2028
Military family relief fund. 1. There is hereby established in
the joint custody of the commissioner of taxation and finance and the
comptroller, a special fund to be known as the "military family relief
fund".
2. Such fund shall consist of all revenues received by the department
of taxation and finance pursuant to the provisions of section two
hundred nine-L and section six hundred thirty-f of the tax law and all
other moneys appropriated, credited, or transferred thereto from any
other fund or source pursuant to law. Nothing contained herein shall
prevent the state from receiving grants, gifts, or bequests for the fund
and depositing them into the fund according to law.
3. Monies of the fund shall be expended only for the aid of military
families. Such monies may be used to provide assistance to military
families for housing, clothing, food, medical services, utilities, or
any other related necessity of daily living. The New York state director
of veterans' affairs shall establish criteria for determining who is
eligible to receive assistance pursuant to this fund.
4. Monies shall be payable from the fund on the audit and warrant of
the comptroller on vouchers approved and certified by the commissioner
of taxation and finance.
5. To the extent practicable, the New York state director of veterans'
affairs shall ensure that all monies received are expended within one
calendar year from the date on which they are received.
6. On or before the first day of February each year, the comptroller
shall certify to the governor, temporary president of the senate,
speaker of the assembly, chair of the senate finance committee and chair
of the assembly ways and means committee, the amount of money deposited
in the military family relief fund during the preceding calendar year as
the result of revenue derived pursuant to sections two hundred nine-L
and six hundred thirty-f of the tax law.
7. On or before the first day of February each year, the New York
state director of veterans' affairs shall provide a written report to
the temporary president of the senate, speaker of the assembly, chair of
the senate finance committee, chair of the assembly ways and means
committee, chair of the senate committee on veterans, homeland security
and military affairs, chair of the assembly veterans affairs committee,
and the public. Such report shall include how the monies of the fund
were utilized during the preceding calendar year and shall include:
(i) the amount of money dispersed from the fund;
(ii) the recipients of awards from the fund;
(iii) the amount awarded to each recipient;
(iv) the purposes for which such awards were granted; and
(v) a summary financial plan for such monies which shall include
estimates of all receipts and all disbursements for the current and
succeeding fiscal years, along with the actual results from the prior
fiscal year.
* § 89-j. The school bus motorist education fund. 1. There is hereby
established in the joint custody of the state comptroller and the
commissioner of taxation and finance a fund known as the school bus
motorist education fund.
2. Such fund shall consist of monies received by the state from any
court of the unified court system pursuant to section eighteen hundred
nine of the vehicle and traffic law for violations of section eleven
hundred seventy-four of such law, and all other fines, fees, grants,
bequests or other monies credited, appropriated or transferred thereto
from any other fund or source.
3. (a) Fifty percent of the monies of the fund, following
appropriation by the legislature, shall be made available to the state
comprehensive school bus driver safety training council for the study of
the illegal passing of stopped school buses by motorists, and the
development of proposals to reduce the number of motorists passing
school buses in violation of section eleven hundred seventy-four of the
vehicle and traffic law.
(b) The remaining fifty percent of the monies of such fund shall be
made available to the department of motor vehicles for the design and
implementation, in conjunction with the governor's traffic safety
committee, the departments of education and transportation, the division
of state police, and the state comprehensive school bus driver safety
training council, of a public education program to further educate
motorists of the dangers of passing a school bus in violation of section
eleven hundred seventy-four of the vehicle and traffic law, to reduce
the number of such incidents, and to promote school bus safety.
4. The monies of the fund made available pursuant to paragraph (a) of
subdivision three of this section shall be paid out on the audit and
warrant of the comptroller on vouchers approved and certified by the
commissioner of education. The monies of the fund made available
pursuant to paragraph (b) of subdivision three of this section shall be
paid out on the audit and warrant of the comptroller on vouchers
approved and certified by the commissioner of motor vehicles. At the end
of each year any monies remaining in the fund shall be retained in the
fund and shall not revert to the general fund. The interest and income
earned on money in the fund, after deducting any applicable charges,
shall be credited to the fund.
* NB There are 2 § 89-j's
Diabetes research and education fund. 1. There is hereby
established in the joint custody of the commissioner of taxation and
finance and the comptroller, a special fund to be known as the "diabetes
research and education fund".
2. Such fund shall consist of all revenues received by the department
of taxation and finance, pursuant to the provisions of section two
hundred nine-Q and section six hundred thirty-l of the tax law and all
other moneys appropriated, credited or transferred thereto from any
other fund or source pursuant to law. Nothing in this section shall
prevent the state from receiving grants, gifts or bequests for the
purposes of the fund as defined in this section and depositing them into
the fund according to law.
3. Monies of the fund shall be expended only for diabetes research and
educational projects. As used in this section, "diabetes research and
education projects" means scientific research or educational projects,
including demonstration and education grants for diabetes education
research, which are approved by the department of health.
4. Monies shall be payable from the fund on the audit and warrant of
the comptroller on vouchers approved and certified by the commissioner
of health.
5. To the extent practicable, the commissioner of health shall ensure
that all monies received during a fiscal year are expended prior to the
end of that fiscal year.
6. On or before the first day of February each year, the comptroller
shall certify to the governor, temporary president of the senate,
speaker of the assembly, chair of the senate finance committee and chair
of the assembly ways and means committee, the amount of money deposited
in the diabetes research and education fund during the preceding
calendar year as the result of revenue derived pursuant to sections two
hundred nine-Q and six hundred thirty-l of the tax law.
7. On or before the first day of February each year, the commissioner
of health shall provide a written report to the temporary president of
the senate, speaker of the assembly, chair of the senate finance
committee, chair of the assembly ways and means committee, chair of the
senate committee on health, chair of the assembly health committee, and
the public. Such report shall include how the monies of the fund were
utilized during the preceding calendar year and shall include:
(i) the amount of money disbursed from the fund;
(ii) recipients of awards from the fund;
(iii) the amount awarded to each; and
(iv) the purposes for which such awards were granted.
New York state department of transportation highway safety
program fund. 1. There is hereby established in the joint custody of the
commissioner of taxation and finance and the comptroller a fund to be
known as the "New York state department of transportation highway safety
program fund".
2. The fund shall consist of (a) all fines or penalties collected in
proceedings in a court or administrative tribunal which results in a
conviction for a violation of section fourteen-f or subdivision two of
section one hundred forty of the transportation law, and (b) all moneys
deposited into the fund by the commissioner of transportation resulting
from revenue contracts for parkway towing and emergency road services,
lease income, gas station net revenue, and sale of property or assets on
parkways designated in law as special parkways.
3. Moneys in the New York state department of transportation highway
safety program fund may be invested by the comptroller pursuant to the
provisions of section ninety-eight-a of this article and any income
received by the comptroller from such investments shall be added to and
become part of, and shall be used for the purposes of such fund. All
deposits of such money shall, if required by the comptroller, be secured
by obligations of the United States or of the state of market value
equal at all times to the amount of the deposit and all banks and trust
companies are authorized to give such securities for such deposits.
4. Moneys of the fund, following appropriation by the legislature,
shall be allocated upon a certificate of approval of availability by the
director of the budget solely for the purposes set forth in this
section.
5. Fifty percent of the moneys in the fund received pursuant to
section fourteen-f or subdivision two of section one hundred forty of
the transportation law shall be transferred to the general fund of the
state on or before the last day of the state's fiscal year. All other
moneys in the fund shall be made available pursuant to appropriation
for, but not limited to, administration and enforcement of the highway
safety program and related purposes, including, but not limited to, the
purchase of highway safety equipment.
New York state passenger facility charge fund. 1. There is
hereby established in the joint custody of the commissioner of taxation
and finance and the comptroller an interest bearing fund to be known as
the "New York state passenger facility charge fund."
2. The fund shall consist of passenger facility charges collected on
behalf of the department of transportation as authorized by the federal
aviation administration. The passenger facility charges in such fund
shall be used solely for airport-related projects located at the airport
where such charges were collected.
3. Moneys in the New York state passenger facility charge fund shall
be kept separate and shall not be commingled with any other moneys in
the custody of the state comptroller. Moneys in the fund may be invested
by the comptroller pursuant to the provisions of section ninety-eight-a
of this article and any income received by the comptroller from such
investments shall be added to and become part of, and shall be used for
the purposes of such fund. All deposits of such money shall, if required
by the comptroller, be secured by obligations of the United States or of
the state of market value equal at all times to the amount of the
deposit and all banks and trust companies are authorized to give such
securities for such deposits.
4. Moneys in the fund, following appropriation by the legislature,
shall be allocated upon a certificate of approval of availability by the
director of the budget solely for the purposes set forth in this
section.
5. All moneys in the fund shall be made available pursuant to
appropriation for use in financing airport-related projects approved by
the federal aviation administration for passenger facility charge
funding.
* § 91. Transportation safety account. 1. There is hereby established
in the joint custody of the state comptroller and the commissioner of
taxation and finance an account of the miscellaneous special revenue
fund to be known as the transportation safety account.
2. Such account shall consist of all fees received pursuant to article
five, sections three hundred ninety-four, three hundred ninety-eight-c,
four hundred fifteen, four hundred fifteen-a, four hundred twenty-nine,
subdivision four of section five hundred thirty and subdivision seven of
section one thousand one hundred ninety-six and all reinstatement,
suspension, termination and reapplication fees received pursuant to
article nineteen of the vehicle and traffic law and required to be
deposited to this account, and all other monies credited or transferred
thereto from any other fund or source pursuant to law.
3. Moneys of the account, following appropriation by the legislature,
shall be available to the department of motor vehicles for services and
expenses of transportation safety activities.
* NB Repealed April 1, 2004 - Section revived April 1, 2028
Revenue arrearage account. 1. There is hereby established in
the joint custody of the state comptroller and the commissioner of
taxation and finance an account of the miscellaneous special revenue
fund to be known as the revenue arrearage account. Moneys of this
account shall be used for services and expenses related to the
collection and maximization of overdue non-tax revenues owed to the
state or any other purpose authorized by law.
2. Notwithstanding any other provision of law, such account shall
consist of all moneys collected by offset pursuant to section one
hundred seventy-one-f of the tax law; and all moneys deemed by the
comptroller to result from an offset of a contract payment or other
similar payment pursuant to his authority as defined by section one of
article five of the state constitution and section eight of this chapter
unless such offset is credited to any tax liability or other liability,
as set forth in paragraph (b) of subdivision six of section one hundred
seventy-one-f of the tax law; all general fund moneys collected by the
attorney general or any other public or private entity to whom debt has
been referred for collection, less actual administrative expenses, for
repayment of debt as defined in paragraph (b) of subdivision one of
section eighteen of the state finance law, except unemployment insurance
liability credited to federal funds, federal trust funds or fiduciary
funds, as prescribed in guidelines set forth by the director of the
budget; and all other moneys credited or transferred thereto from any
other fund or source pursuant to law.
3. Within such account there shall be created a sub-account from which
the comptroller, upon certification, may pay any refunds or
reimbursements and any interest due thereon to which a debtor, as
defined in section eighteen of this chapter, is entitled.
4. The comptroller is hereby authorized and directed to deposit into
this account all moneys collected pursuant to section one hundred
seventy-one-f of the tax law and all moneys collected in the offset of a
payment as described in subdivision two of this section. Further, the
comptroller is authorized and directed to loan money by transfer to the
revenue arrearage account from the general fund, or any other fund;
provided, however, that such loans shall be limited to the amounts
required to make disbursements pursuant to duly enacted appropriations
and to certificates of approval issued by the director of the budget and
further provided that the comptroller shall use the first subsequent
cash receipts of this account to repay any such loans. Copies of the
aforementioned certificates of approval shall be filed with the
comptroller and with the chairman of the senate finance committee and
the chairman of the assembly ways and means committee.
5. Moneys of the account, following appropriation by the legislature,
shall be allocated upon a certificate of approval of availability by the
director of the budget for the purposes set forth in this section.
6. Notwithstanding the provisions of any other law to the contrary,
the comptroller is authorized and directed to transfer remaining moneys
deposited to the revenue arrearage account to the general fund
miscellaneous receipts account on the last day of the state fiscal year.
7. State agencies, as defined in section eighteen of this chapter,
shall provide reports detailing debts owed to such agencies in a form
and format prescribed in guidelines set forth by the director of the
budget, and pursuant to a reporting schedule set forth by the director
of the budget.
Boating noise level enforcement fund. 1. There is hereby
established in the joint custody of the state comptroller and the
commissioner of taxation and finance a fund to be known as the boating
noise level enforcement fund.
2. Such fund shall consist of all fines and forfeitures collected
pursuant to section forty-four of the navigation law and required to be
deposited to this fund, and all other moneys credited or transferred
thereto from any other fund or source pursuant to law.
3. Moneys of the fund shall be available only for the payment of state
aid pursuant to the provisions of section seventy-nine-b of the
navigation law for the purpose of enforcing the provisions of section
forty-four of such law.
Special offset fiduciary account. 1. There is hereby
established a fiduciary account known as the special offset account.
Such account shall contain such liability monies as are set forth in
paragraph (b) of subdivision six of section one hundred seventy-one-f of
the tax law.
2. In addition to any other payments from the account, the comptroller
shall remit overpayments of grants and allowances of public assistance,
as determined by the office of temporary and disability assistance or a
local social services district, to local social services districts,
which shall remit such funds, as appropriate, to local social services
districts for proper crediting and distribution or for reimbursement to
state funds.
2-a. In addition to any other payments from the account, the
comptroller shall remit overpayments of medical assistance made to
individuals who are or who have been enrolled as providers in the New
York state medical assistance program as established under title eleven
of article five of the social services law to the department of health
for proper crediting and distribution or for reimbursement to state
funds.
3. All payments from this account shall be made upon audit and warrant
of the state comptroller.
* § 91-d. Recruitment incentive and retention account. 1. There is
hereby established in the joint custody of the state comptroller and the
commissioner of taxation and finance an account in the miscellaneous
special revenue fund to be known as the recruitment incentive account.
2. Such account shall consist of all revenues received from
contributions, donations and all other moneys credited or transferred
thereto from any other fund or source pursuant to law.
3. Moneys of the account, following appropriation by the legislature
may be expended for the recruitment incentive and retention program.
Moneys shall be paid out of the account on the audit and warrant of the
state comptroller on vouchers certified or approved by the adjutant
general of New York state.
* NB Repealed September 1, 2031
Adult home quality enhancement fund. 1. There is hereby
established in the joint custody of the state comptroller and the
commissioner of taxation and finance a special revenue fund to be known
as the adult home quality enhancement fund.
2. The adult home quality enhancement fund shall consist of moneys
received by the state pursuant to section four hundred sixty-d of the
social services law and all other moneys appropriated, credited or
transferred thereto from any other fund or source.
3. The moneys from the adult home quality enhancement fund shall be
disbursed by the department of health to promote programs to improve the
quality of care in adult homes.
Senior wellness in nutrition fund. 1. There is hereby
established in the joint custody of the commissioner of taxation and
finance and the comptroller, a special fund to be known as the "senior
wellness in nutrition fund".
2. Such fund shall consist of all revenues received by the department
of taxation and finance, pursuant to the provisions of section two
hundred nine-M and section six hundred twenty-six-a of the tax law, and
all other moneys appropriated, credited or transferred thereto from any
other fund or source pursuant to law. Nothing in this section shall
prevent the state from receiving grants, gifts or bequests for the
purposes of the fund as defined in this section and depositing them into
the fund according to law.
3. Monies of the fund shall be expended solely for senior wellness in
nutrition programs approved by the state office for the aging, for the
purpose of providing home delivered meals to seniors.
4. Monies shall be payable from the fund on the audit and warrant of
the comptroller on vouchers approved and certified by the director of
the state office for the aging.
5. To the extent practicable, the director of the state office for the
aging shall ensure that all monies received during a fiscal year are
expended prior to the end of such fiscal year.
6. On or before the first day of February each year, the comptroller
shall certify to the governor, temporary president of the senate,
speaker of the assembly, chair of the senate finance committee and chair
of the assembly ways and means committee, the amount of money deposited
in the senior wellness in nutrition fund during the preceding calendar
year as the result of revenue derived pursuant to sections two hundred
nine-M and six hundred twenty-six-a of the tax law.
7. On or before the first day of February each year, the director of
the state office for the aging shall provide a written report to the
temporary president of the senate, speaker of the assembly, chair of the
senate finance committee, chair of the assembly ways and means
committee, chair of the senate committee on aging, and chair of the
assembly aging committee. Such report shall include how the monies of
the fund were utilized during the preceding calendar year and shall
include:
(i) the amount of money dispersed from the fund;
(ii) recipients of awards from the fund;
(iii) the amount awarded to each; and
(iv) the purposes for which such awards were granted.
Tax stabilization reserve fund. 1. There is hereby established a
fund to be known as the tax stabilization reserve fund for the
stabilization of the revenues of the state derived from the taxes, fees
and other sources required by law to be paid into the general fund of
the state treasury.
2. The aggregate amount disbursed from the general fund during the
fiscal year shall constitute the norm for such fiscal year of the amount
of revenues from such taxes, fees and other sources, and the term
"norm," as used in this section, shall mean such aggregate amount.
3. At the close of each fiscal year any cash surplus remaining in the
general fund over and above the norm for such fiscal year shall be
transferred from or retained in such fund as hereinafter in this
subdivision provided. There shall be transferred to the tax
stabilization reserve fund all of such surplus moneys, up to and
including an amount equivalent to two-tenths of one per centum of such
norm, unless such transfer would increase such reserve fund to an amount
in excess of two per centum of the amount of the norm for such fiscal
year, in which event such transfer shall be limited to such amount as
will increase such reserve fund to such two per centum limitation. Any
balance of such surplus moneys, thereafter remaining in the general
fund, shall be retained in such fund and be available for the reduction
of state taxes.
4. In the event that at the close of any fiscal year the receipts
derived from the taxes, fees and other sources, required to be paid
during such fiscal year into the general fund of the state shall fall
below the norm for such fiscal year, there shall be transferred from the
tax stabilization reserve fund to the general fund to the extent that
there are sufficient moneys in the tax stabilization reserve fund, an
amount equal to the difference between the norm and the amount of such
receipts. If such transfer reduces the tax stabilization reserve fund to
an amount less than two per centum of the norm for such fiscal year, the
amount so transferred shall be repaid in cash prior to the computation
and payment of any transfer to the fund pursuant to subdivision three of
this section in not less than three equal annual installments within the
period of six years or less next succeeding the date of such transfer;
provided, however, that if any such annual installment shall increase
such reserve fund to an amount in excess of two per centum of the amount
of the norm for the then current fiscal year, such installment shall be
limited to such amount as will increase such reserve fund to such two
per centum limitation and no further repayment of the whole or any part
of such transfer shall be required in any subsequent fiscal year.
Repayments to the tax stabilization reserve fund shall be stipulated in
annual budget bills.
5. Moneys in the tax stabilization reserve fund may be temporarily
loaned to the general fund during any fiscal year in anticipation of the
receipt of revenues from taxes, fees and other sources required to be
paid into the general fund during such fiscal year. Moneys so
temporarily loaned shall be repaid in cash during the same fiscal year
from revenues received from such taxes, fees and other sources as such
revenues are received, to the extent that such revenues are not
necessary for current expenditures required to be made from the general
fund. In the event that any moneys so temporarily loaned remain unpaid
at the close of the fiscal year, the amount so remaining unpaid shall be
deemed a transfer from the tax stabilization reserve fund to the general
fund to the same extent as if such moneys were transferred at the close
of the fiscal year pursuant to the provisions of subdivision four of
this section, and the provisions of such subdivision as to repayment
shall control. Temporary loans pursuant to this paragraph shall be
without interest.
Stock transfer tax fund. 1. There is hereby established in the
custody of the commissioner of taxation and finance a special fund, to
be known as the stock transfer tax fund.
2. Such fund shall consist of the revenues derived from the stock
transfer tax imposed by article twelve of the tax law and all other
moneys credited or transferred thereto from any other fund or source
pursuant to law.
3. The moneys received from such tax and other sources in such fund,
after deducting the amount the commissioner of taxation and finance
shall determine to be necessary for reasonable costs of the state tax
commission in administering, collecting and distributing such tax,
commencing with the fiscal year ending March thirty-first, nineteen
hundred seventy-seven, shall be appropriated to (i) the municipal
assistance corporation for the city of New York created pursuant to
title three of article ten of the public authorities law in order to
enable such corporation to fulfill the terms of any agreements made with
the holders of its notes and bonds and to carry out its corporate
purposes including the maintenance of the capital reserve fund and (ii)
to the extent such moneys are not required by such corporation as
provided in subdivision seven of section ninety-two-d of this chapter
and, after deducting the amount such commissioner shall determine to be
necessary for reasonable costs of the state tax commission in
administering and making distributions in accordance with the provisions
of section two hundred eighty-a of the tax law from the stock transfer
incentive fund, to the stock transfer incentive fund created pursuant to
section ninety-two-i of this chapter to enable rebates to be made from
such fund under the provisions of section two hundred eighty-a of the
tax law and (iii) to the extent such moneys are not required by such
fund, as certified by the commissioner of taxation and finance, the
balance shall be appropriated to the city of New York, for the support
of local government.
4. After the deduction of such costs of the state tax commission in
administering, collecting and distributing such tax, the balances in the
stock transfer tax fund so appropriated shall be distributed and paid on
the last business day of September, December, March and June into the
special account established for the municipal assistance corporation for
the city of New York in the municipal assistance tax fund established
pursuant to subdivision one of section ninety-two-d of this chapter,
unless and to the extent the balances in such fund on each such payment
day are not required by such corporation as provided in said subdivision
seven of said section ninety-two-d in which case the balance not so
required, if any, after the deduction of such costs of the state tax
commission in administering and making distributions in accordance with
the provisions of section two hundred eighty-a of the tax law from the
stock transfer incentive fund shall be distributed and paid to the stock
transfer incentive fund in the custody of the commissioner of taxation
and finance established pursuant to section ninety-two-i of this chapter
and unless and to the extent that the balances in the stock transfer tax
fund on each such payment day are not required by the stock transfer
incentive fund as provided in such section ninety-two-i of this chapter
in which case the balance not so required, if any, shall be distributed
and paid to the chief fiscal officer of the city of New York to be paid
into the treasury of the city to the credit of the general fund or paid
by the commissioner of taxation and finance to such other account or
fund as may be designated in writing by such chief fiscal officer at
least ten business days prior to such last day and on each such day, the
commissioner of taxation and finance shall certify to the comptroller
the amount deducted for administering, collecting and distributing such
tax during such quarterly period and shall pay such amount into the
general fund of the state treasury to the credit of the state purposes
fund therein. In no event shall any amount (other than the amount to be
deducted for administering, collecting and distributing such tax) be
distributed or paid from the stock transfer tax fund to any person other
than the municipal assistance corporation for the city of New York
unless and until the aggregate of all payments certified to the
comptroller as required by such corporation in order to comply with its
agreements with the holders of its notes and bonds and to carry out its
corporate purposes, including the maintenance of the capital reserve
fund, which remain unappropriated or unpaid to such corporation shall
have been appropriated to such corporation and shall have been paid in
full provided, however, that no person, including such corporation or
the holders of its notes or bonds shall have any lien on such tax and
such agreements shall be executory only to the extent of the balances
available to the state in such fund. If the balances in such fund are
not required by such corporation pursuant to the provisions of this
subdivision, on each such last business day of September, December,
March and June, the commissioner of taxation and finance shall certify
to the comptroller the amount deducted for administering and making
distributions in accordance with the provisions of section two hundred
eighty-a of the tax law from the stock transfer incentive fund during
such quarterly period and he shall pay such amount into the general fund
of the state treasury to the credit of the state purposes fund therein.
To the extent such moneys are not required by such corporation, as
provided in subdivision seven of section ninety-two-d of this chapter,
no amount thereof (other than such amount to be deducted for
administering, collecting and distributing such tax and such costs in
administering and making distributions in accordance with the provisions
of section two hundred eighty-a of the tax law from the stock transfer
incentive fund) shall be distributed or paid from the stock transfer tax
fund other than to such stock transfer incentive fund in the custody of
the commissioner of taxation and finance unless and until the aggregate
of all payments certified to the comptroller by such commissioner
pursuant to the provisions of such incentive fund as necessary to
provide payments on account of rebates authorized pursuant to section
two hundred eighty-a of the tax law which remain unappropriated or
unpaid to such fund shall have been appropriated to such fund and shall
have been paid in full provided, however, that no person, including any
taxpayer under article twelve of the tax law or any member or dealer
referred to in subdivisions two-a and six of section two hundred
eighty-a of such law, shall have any lien on this fund or the stock
transfer incentive fund.
5. In no fiscal year shall the total amount paid from the fund exceed
the total collections during such fiscal year from the stock transfer
tax pursuant to the provisions of article twelve of the tax law and as
deposited to the credit of the stock transfer tax fund.
6. All payments from the stock transfer tax fund shall be made on the
audit and warrant of the comptroller on vouchers approved by the
commissioner of taxation and finance.
7. When all the notes and bonds of the municipal assistance
corporation for the city of New York have been fully paid and
discharged, together with interest thereon and interest on unpaid
installments of interest, and the chairman of the corporation makes the
final certification required by subdivision seven of section
ninety-two-d of this article, the comptroller must notify the
commissioner of taxation and finance that all remaining funds held in
the stock transfer tax fund must be released to the stock transfer
incentive fund. From that time forward, all funds previously deposited
in the stock transfer tax fund pursuant to subdivision two of this
section will be deposited directly into the stock transfer incentive
fund pursuant to all the rules, regulations or instructions that the
commissioner may prescribe, after deducting the amount the commissioner
determines to be necessary for reasonable costs of the department in
administering, collecting and distributing the tax imposed by article
twelve of the tax law. Notwithstanding any other provisions of this
article, to the extent those moneys are not required by the stock
transfer incentive fund for the purpose of administering and making
distributions in accordance with the provisions of section two hundred
eighty-a of the tax law, as certified by the commissioner of taxation
and finance, the balance will be appropriated to the city of New York
for the support of local government.
State lottery fund. 1. There is hereby established in the
joint custody of the comptroller and the commissioner of taxation and
finance a special fund to be known as the state lottery fund.
2. Such fund shall consist of the state lottery revenues including
those revenues derived from lottery tickets sold for the support of
winter sports physical education in commemoration of the XIII olympic
winter games, if any, paid into the same by the division of the lottery
as provided in section sixteen hundred twelve of the New York state
lottery for education law, and all other moneys credited or transferred
thereto from any other fund or sources pursuant to law. There shall be
established within such fund an account to be known as the winter sports
physical education account which shall consist of state lottery revenues
paid into the fund as derived solely from the sale of lottery tickets
sold for the support of winter sports physical education in
commemoration of the XIII olympic winter games. Upon such establishment
there shall also be established within such fund a separate account, to
be known as the state lottery regular account, which shall consist of
state lottery revenues other than revenues derived from the sale of
lottery tickets sold for the support of winter sports physical education
in commemoration of the XIII olympic winter games. Such state lottery
regular account shall also consist of any lottery revenues transferred
from the winter sports physical education account to the state lottery
regular account in the manner provided for in subdivision five of this
section.
3. The moneys in such fund shall be appropriated or transferred only
(i) for repayment of first instance expenditures incurred in the
operation of the state lottery, (ii) for the state fiscal year
commencing April first, nineteen hundred seventy-six only for the
purpose of providing aid to pupils with special educational needs as
defined in paragraph e of subdivision one of section thirty-six hundred
two of the education law, and pupils with handicapping conditions
receiving state financial support for programs delineated in paragraph f
of subdivision one of section thirty-six hundred two, article
eighty-three, article eighty-five, article eighty-seven, article
eighty-eight, article eighty-nine, article forty and subdivision
seventeen of section thirty-six hundred two of the education law, and
for any state fiscal year commencing after such nineteen hundred
seventy-six fiscal year for the purpose of providing aid to all school
children pursuant to the provisions of subdivision four of this section,
(iii) for elementary and secondary education, (iv) for expenditures for
machines or other capital equipment which the division of the lottery is
authorized to purchase for the operation of the lottery and (v) for
payment in the state fiscal years commencing April first, nineteen
hundred seventy-seven, nineteen hundred seventy-eight and nineteen
hundred seventy-nine into the winter sports education trust fund, as
created in section four hundred ninety-five-a of article ten-C of the
education law, for the purposes of such fund in accordance with the
provisions of subdivision five of this section. Payments into such trust
fund shall discontinue at such time as the sum of one hundred million
dollars, in the aggregate, has been paid into such fund or upon March
thirty-first, nineteen hundred eighty, whichever event occurs first.
Nothing herein shall prohibit the purchase of machines or other capital
equipment from funds appropriated for expenditures under paragraph (i)
hereof.
4. a. Moneys to be appropriated from the fund in any state fiscal
year, commencing on and after April first, nineteen hundred
seventy-seven, for the purposes of providing aid pursuant to item (ii)
of subdivision three of this section shall be apportioned and paid by
the education department no later than November fifteenth.
b. Each eligible school district and state supported school for the
deaf and blind as defined in section forty-two hundred one of the
education law shall compute their entitlement pursuant to the following
provisions:
(1) each eligible school district shall receive a minimum lottery
grant of fifteen dollars per pupil residing in the district and enrolled
in grades kindergarten through twelve in public and nonpublic schools in
the base year to be used for the expenditures made pursuant to section
seven hundred one of the education law in the base year upon proof of
such expenditures. Payment of such lottery grant to eligible school
districts shall be made in accordance with the provisions of paragraph a
of this subdivision; and
(2) each approved state supported school for the deaf and the blind
shall receive ten dollars per enrolled pupil;
(2-a) each school district eligible to receive total foundation aid
pursuant to section thirty-six hundred two of the education law shall
receive a lottery grant in an amount equal to the product of the amount
of the appropriation for the current year multiplied by the district's
VLT ratio. The "VLT ratio" shall be equal to the quotient of the moneys
apportioned for such district pursuant to section thirty-six hundred
nine-a of the education law as set forth in the school aid computer
listing produced by the commissioner in support of the enacted state
budget for the current school year, divided by the sum of such moneys
apportioned for all school districts as set forth in such school aid
computer listing in support of the enacted state budget for the current
school year.
Moneys to be appropriated from the fund in any state fiscal year,
commencing on and after April first, two thousand seven, for the
purposes of providing aid pursuant to this subparagraph shall be
apportioned and paid by the education department pursuant to section
thirty-six hundred nine-f of the education law;
(3) those eligible school districts scheduled to receive the largest
direct payments in June pursuant to clause (v) of subparagraph three of
paragraph b of subdivision one of section thirty-six hundred nine-a of
the education law shall be entitled to the June lottery aid payment,
within the amount appropriated for such purpose; and
(4) each eligible school district shall be entitled to an additional
lottery grant equal to the result of multiplying the district's total
aidable foundation pupil units for the base year computed pursuant to
paragraph g of subdivision two of section thirty-six hundred two of this
act by:
Base Grant x (1 + aid ratio)
Where, the base grant shall equal the sum of the net total available
moneys after making payments pursuant to subparagraphs (1), (2), (2-a)
and (3) above, plus an amount from the general support for public
schools-- general fund local assistance account equal to the June
lottery payment, divided by the total aidable foundation pupil units of
the state and where the Aid Ratio is equal to one minus the pupil wealth
ratio of the district as such term is defined in section thirty-six
hundred two of the education law. In no case shall a school district aid
ratio exceed one (1) or be less than minus one (-1).
c. In the event that aids, determined pursuant to paragraph b above,
exceed the total funds available for distribution pursuant to this
subdivision, then such aids shall be ratably reduced. In the event that
funds remain undistributed after determination of the aids pursuant to
paragraph b above, then such undistributed funds shall be applied so as
to ratably increase such aids. Any reduction or increase in aids
pursuant to the provisions of this paragraph shall be first assessed
against or added to the aids determined pursuant to subparagraph three
of paragraph b.
d. Any moneys paid pursuant to this subdivision shall be subject to
the limitations of paragraph a of subdivision eight of section
thirty-six hundred two of the education law and shall be used only for
operating expenses authorized by law and in accordance with regulations
to be promulgated by the commissioner of education with the approval of
the director of the budget.
5. Notwithstanding any inconsistent provision of this section or of
any other provision of law, after provision for prizes, in the manner
provided for in subdivision b of section sixteen hundred twelve of the
tax law, there shall be transferred and paid into the winter sports
education trust fund from total lottery revenues deposited in the state
lottery fund to the credit solely of the winter sports physical
education account within such fund, not otherwise transferred to the
state lottery regular account in accordance with the provisions of this
subdivision, the sum of not to exceed one hundred million dollars or
such lesser amount as has been accumulated within such winter sports
physical education account and has been so transferred and paid into
such trust fund up to and including March thirty-first, nineteen hundred
eighty, at which time no further transfers or payments shall be made
into such fund other than for the purpose of completing the transfer and
payments of moneys accumulated in the winter sports physical education
account prior to such date. The amounts of aid to be paid for the
purposes contained within paragraphs (i), (iii) and (iv) of subdivision
three of this section pursuant to subdivision four of this section shall
in no manner be limited or reduced as a result of a transfer of moneys
from the winter sports physical education account to the winter sports
education trust fund as hereinabove provided or as provided for in
section four hundred ninety-five-a of article ten-C of the education
law. During the state fiscal years commencing April first in the years
nineteen hundred seventy-seven, nineteen hundred seventy-eight and
nineteen hundred seventy-nine all moneys on deposit in the state lottery
fund to the credit of the state lottery regular account pursuant to
subdivision b of section sixteen hundred twelve of the tax law and
subdivision two of this section shall be paid for the purposes of
paragraphs (i), (iii) and (iv) of subdivision three of this section in
the manner provided for in subdivision four of this section. Other than
as hereinbelow provided, no moneys within the state lottery fund to the
credit of the winter sports physical education account shall be
transferred to the winter sports education trust fund in any of such
years unless there has been paid from such state lottery fund from
moneys in the state lottery regular account for the purposes of such
paragraphs (i), (iii) and (iv) of subdivision three of this section in
the manner provided for in subdivision four of this section, at least
the following amounts for the enumerated years:
state fiscal year minimum amount to be
commencing April first: paid pursuant to subdivision
four of this section;
1978 an amount equal to that paid in the
state fiscal year commencing April
first, nineteen hundred seventy-seven
pursuant to subdivision four of this
section plus six per centum;
1979 an amount equal to that paid in the
state fiscal year commencing April
first, nineteen hundred seventy-eight
pursuant to subdivision four of this
section plus six per centum.
In the event that the moneys within the state lottery regular account
in any state fiscal year contained within the preceding schedule are
insufficient to make such minimum amount payments required within such
schedule for such fiscal year then, upon the certified request of the
director of the division of the lottery, the comptroller shall transfer
from the winter sports physical education account to the state lottery
regular account an amount, as contained in such request, not to exceed
seventy-five per centum of the total amount of moneys credited to the
winter sports physical education account for such state fiscal year. In
the event that subsequent to such transfer the amount then contained in
the state lottery regular account is insufficient to make the minimum
amount payment so required in such schedule for such state fiscal year
such total amount shall so be paid for the purposes of paragraphs (i),
(iii) and (iv) of subdivision three of this section in the manner
provided for in subdivision four of this section and shall constitute
the total payment required for such purposes during such state fiscal
year notwithstanding the provisions of such schedule. The amount so
transferred shall in no event increase the amount to be paid pursuant to
subdivision four of this section to an amount in excess of the minimum
amount payments required to be made pursuant to such schedule. The
transfer and payments into the winter sports education trust fund shall
commence initially, on or before the twentieth day of the month of the
applicable state fiscal year next succeeding the month in which the
state lottery regular account has accumulated at least the minimum
amount payments required to be paid during such year pursuant to
subdivision four of this section and thereafter during such fiscal year,
on or before the twentieth day of each succeeding month.
6. All moneys available in any fiscal year in such fund for the
purposes specified in clauses (ii) and (iii) of subdivision three of
this section shall be deposited not later than the last day of each
month in the general fund to the credit of the state purposes fund or
the local assistance fund or both in such percentages as may be
determined by the director of the budget, to be used only for the
purposes and in the manner specified in such clauses (ii) and (iii).
7. In no fiscal year shall the total amount paid from the fund for
expenses of the lottery, exclusive of expenditures for machines or other
capital equipment which the division of the lottery is authorized to
purchase for the operation of the lottery, exceed an amount which, when
added to any amount retained by lottery sales agents as compensation for
their services, equals fifteen percent of the total amount for which
lottery tickets are sold during such fiscal year.
8. All payments from the fund for expenses of the lottery, including
expenses for personal service, shall be made on the audit and warrant of
the comptroller on vouchers approved by the director of the division of
the lottery.
Municipal assistance tax fund. 1. There is hereby established
in the custody of the comptroller a special fund to be known as the
municipal assistance tax fund. Within such fund, there is hereby
established a special account for each municipal assistance corporation
created under article ten of the public authorities law.
2. Such fund shall consist of the revenues derived from municipal
assistance sales and compensating use taxes imposed by sections eleven
hundred seven and eleven hundred eight of the tax law, any amounts
transferred from the stock transfer tax fund pursuant to section
ninety-two-b of this article, any amounts transferred pursuant to
subdivision (a) of section nine of chapter seven hundred twenty-one of
the laws of nineteen hundred ninety-four, as amended by chapter one
hundred eighty-seven of the laws of nineteen hundred ninety-five, and
such amount of aid apportioned and paid into such fund pursuant to
section fifty-four of this chapter.
3. The taxes, interest and penalties imposed, pursuant to sections
eleven hundred seven or eleven hundred eight (as the case may be) of the
tax law within the territorial limits of a city in aid of which a
municipal assistance corporation has been created, and received by the
commissioner of taxation and finance, after deducting the amount which
the commissioner of taxation and finance shall determine to be necessary
for reasonable costs of the commissioner of taxation and finance in
administering, collecting and distributing such taxes, shall be
appropriated (i) to the municipal assistance corporation which has been
created in aid of such city in order to enable such corporation to
fulfill the terms of any agreements made with the holders of its notes
and bonds and to carry out its corporate purposes, including the
maintenance of the capital reserve fund, and (ii) the balance, if any,
to the city in aid of which such corporation has been created, or to a
public benefit corporation to which the tax may be otherwise payable
pursuant to law, as hereinafter provided.
4. On or before the twelfth day of each month, the commissioner of
taxation and finance shall certify to the comptroller the amount of all
revenues so received during the prior month as a result of the taxes,
interest and penalties so imposed and in addition on or before the last
day of June the commissioner shall certify the amount of such revenues
received during and including the first twenty-five days of June. The
amount of revenues so certified shall be deposited by the comptroller in
the municipal assistance tax fund and the amount attributable to the
taxes, interest and penalties imposed within the territorial limits of a
city in aid of which a municipal assistance corporation has been created
shall be credited to a special account established in such fund for such
corporation. Notwithstanding the foregoing provisions, the commissioner
of taxation and finance may prorate revenue attributable to the first or
last quarterly return period during which the taxes imposed by section
eleven hundred seven or eleven hundred eight (as the case may be) of the
tax law apply so as to separate from the revenue collected for that
quarter pursuant to such taxes the revenue collected pursuant to local
legislation adopted by a city pursuant to section twelve hundred ten or
twelve hundred twelve-A of the tax law. Such a proration by the
commissioner of taxation and finance shall be made on the basis of the
ratio of the number of months during which such taxes were imposed
during such quarterly return period to the total number of months in
such quarterly return period when such proration is reasonably necessary
to ascertain the amount of such money which must be deposited by the
comptroller in such special account and the amount of such money which
must be deposited pursuant to section twelve hundred sixty-one of the
tax law. The commissioner of taxation and finance shall not be held
liable for any inaccuracy in any certification under this subdivision.
5. Revenues in any special account in the municipal assistance tax
fund shall be kept separate and shall not be commingled with any other
moneys in the custody of the comptroller. All deposits of such revenues
shall, if required by the comptroller, be secured by obligations of the
United States or of the state having a market value equal at all times
to the amount of such deposits and all banks and trust companies are
authorized to give security for such deposits. Any such revenues in such
fund may, in the discretion of the comptroller, be invested in
obligations of the United States or of the state or in obligations the
principal of and interest on which are guaranteed by the United States
or by the state.
6. Upon receipt by the comptroller of a certificate or certificates
from the chairman of a municipal assistance corporation that such
corporation requires a payment or payments in order to comply with any
agreement with the holders of its notes and bonds and to carry out its
corporate purposes, including the maintenance of the capital reserve
fund, from the special account established for such corporation, each of
which certificates shall specify the required payment or payments and
the date when the payment or payments is required, the comptroller shall
pay from such special account on or before the specified date or within
thirty days after such receipt, whichever is later, to such corporation,
as the chairman thereof may direct in any such certificate, the amount
or amounts so certified. The chairman of such corporation shall furnish
the commissioner of taxation and finance with copies of such
certificates. The comptroller shall from time to time, but in no event
later than the fifteenth day of October, January and April and the last
day of June of each fiscal year, pay over and distribute to the chief
fiscal officer of the city in aid of which such municipal assistance
corporation has been created to be paid into the treasury of such city
to the credit of the general fund, or pay over and distribute to a
public benefit corporation to which the tax may otherwise be payable
pursuant to law, all revenues in the special account established for
such corporation in the municipal assistance tax fund, if any, in excess
of the aggregate amount which the chairman of such corporation has
certified to the comptroller and which has been previously appropriated
and paid to such corporation as hereinabove authorized. In no event
shall the comptroller pay over and distribute any revenues (other than
the amount to be deducted for administering, collecting and distributing
such sales and compensating use taxes) to any person other than the
municipal assistance corporation unless and until the aggregate of all
payments certified to the comptroller as required by such corporation as
of such date in order to comply with its agreements with the holders of
its notes and bonds and to carry out its corporate purposes, including
the maintenance of the capital reserve fund, which remain unappropriated
or unpaid to such corporation shall have been appropriated to such
corporation and shall have been paid in full; provided, however, that no
person, including such corporation or the holders of its notes or bonds
shall have any lien on such revenues and such agreement shall be
executory only to the extent of such revenues available to the state in
such special account. On the day on which the comptroller pays over and
distributes to the chief fiscal officer of such city any revenues from
such special account the commissioner of taxation and finance shall
certify to the comptroller the amount to be deducted for administering,
collecting and distributing the tax imposed pursuant to section eleven
hundred seven or eleven hundred eight (as the case may be) of the tax
law within the territorial limits of such city since he last certified
such amount and the comptroller shall pay such amount into the general
fund of the state treasury to the credit of the state purposes fund
therein.
7. In the event that the amount of revenues in the special account
established for the municipal assistance corporation for the city of New
York in the municipal assistance tax fund which have been appropriated
to such corporation shall at any time be less than the amount which the
chairman of such corporation has certified to the comptroller as
required in order to comply with its agreements with the holders of its
notes and bonds and to carry out its corporate purposes, including the
maintenance of the capital reserve fund, then and in such event the
comptroller shall forthwith certify to the commissioner of taxation and
finance the amount of the difference between the revenues in such
special account and the amount so certified as required by such
corporation and upon receipt of such certificate the commissioner of
taxation and finance shall approve a voucher for payment of the amount
of such difference into such special account in the municipal assistance
tax fund from the stock transfer tax fund established pursuant to
subdivision one of section ninety-two-b of this chapter at the next date
for payment from such fund as provided in subdivision four of such
section, anything in said section to the contrary notwithstanding. In
the case of every twelve month period commencing after June thirtieth,
nineteen hundred seventy-seven, the comptroller shall, before the last
day of September, December, March and June of each such period, certify
to the commissioner of taxation and finance the amount from the stock
transfer tax fund, if any, determined by the comptroller to be required
during the next following three months in order to provide the amounts
certified by the chairman of the municipal assistance corporation for
the city of New York, or if no such amount is necessary, a statement to
that effect. The amount so determined shall be arrived at after taking
into account a statement, to be furnished by the commissioner of
taxation and finance to the comptroller, of such information, including
revenue collection and estimates of revenue collection for certain
periods of the taxes imposed by section eleven hundred seven of the tax
law, as such commissioner is reasonably able to provide in order to aid
such comptroller in making the above determination with respect to
disposition of revenues in the stock transfer tax fund. Such
commissioner shall not be held liable for any inaccuracy of any such
information provided in such statement. The foregoing certificate or
statement, as the case may be, of such comptroller shall be made
regardless of the amount of revenues in the special account established
for the municipal assistance tax fund which have been appropriated to
such corporation. When all the notes and bonds of the corporation have
been fully paid and discharged, together with the interest thereon and
interest on unpaid installments of interest, the chairman of the
corporation must make a final certification to the comptroller that the
corporation has no more liabilities. Upon receipt of that certification,
the comptroller must notify the commissioner of taxation and finance
that all funds held in the stock transfer tax fund must be deposited in
the stock transfer incentive fund pursuant to subdivision seven of
section ninety-two-b of this article.
8. All payments of moneys from the municipal assistance tax fund shall
be made on the audit and warrant of the state comptroller.
9. With respect to: (i) net collections, as defined in section twelve
hundred sixty-two of the tax law, to the extent received by the county
of Rensselaer under payment procedures in effect, from taxes imposed by
such county under section twelve hundred ten of the tax law, as amended,
or any successor law thereto, and
(ii) monies, to the extent received by such county under payment
procedures in effect, to be paid to the city of Troy pursuant to an
agreement under subdivision (c) of section twelve hundred sixty-two of
the tax law, the special account established for the municipal
assistance corporation for the city of Troy within the municipal
assistance tax fund shall have a statutory first lien upon the entire
share of the city of Troy of any such net collections or monies. Such
lien shall not require any segregation of funds, physical delivery or
any other action, filing or agreement in order to evidence, perfect, or
preserve the priority of such lien and shall be valid, binding, and
perfected as against all parties, with or without notice thereof, having
claims of any kind in tort, contract or otherwise against such county.
Such county shall segregate, quarterly or on such other schedule as such
share of such net collections or monies shall be due and owing in
accordance with such law or agreement, such share of such net
collections or monies and shall, upon such segregation, use such
proceeds for no other purpose than to pay them to the comptroller for
deposit into the special account established for the municipal
assistance corporation for the city of Troy within the municipal
assistance tax fund in accordance with applicable law and payment
procedures in effect. Provided that such county has, by the payment due
date, paid such proceeds to the comptroller in accordance with the
provisions of this paragraph, such payment shall be deemed conclusive
evidence that the county had complied with the segregation requirement
respecting the proceeds so paid, as set forth in this paragraph. This
subdivision shall terminate upon the termination of the municipal
assistance corporation for the city of Troy.
Municipal assistance state aid fund. 1. There is hereby
established in the custody of the comptroller a special fund to be known
as the municipal assistance state aid fund. Within such fund, there is
hereby established a special account for each municipal assistance
corporation created under article ten of the public authorities law.
2. Such fund shall consist of per capita aid apportioned thereto
pursuant to section fifty-four of this chapter and, for all cities
except the city of New York, all other amounts from the general fund
local assistance account payable to a city in aid of which a municipal
assistance corporation has been created.
3. Such amounts, including per capita aid apportioned to a city in aid
of which a municipal assistance corporation has been created, shall be
deposited by the comptroller to the credit of the special account
established for the municipal assistance corporation which has been
created in aid of such city in order to enable such corporation to
fulfill the terms of any agreements made with the holders of its notes
and bonds and to carry out its corporate purposes, including the
maintenance of the capital reserve fund securing such bonds and notes,
and, subject to the provisions of section fifty-four of this chapter,
and subdivisions five and five-a of this section, the balance, if any,
shall be paid to the chief fiscal officer of the city in aid of which
such corporation has been created as hereinafter provided.
4. Revenues in any special account in the municipal assistance state
aid fund shall be kept separate and shall not be commingled with any
other moneys in the custody of the comptroller. All deposits of such
revenues shall, if required by the comptroller, be secured by
obligations of the United States or of the state having a market value
equal at all times to the amount of such deposits and all banks and
trust companies are authorized to give security for such deposits. Any
such revenues in such fund may, in the discretion of the comptroller, be
invested in obligations of the United States or of the state or in
obligations the principal of and interest on which are guaranteed by the
United States or by the state.
5. Upon receipt by the comptroller of a certificate or certificates
from the chairman of a municipal assistance corporation that such
corporation requires a payment or payments in order to comply with any
agreement with the holders of its notes and bonds and to carry out its
corporate purposes, including the maintenance of the capital reserve
fund securing such bonds, from the appropriate special account
established for such corporation, each of which certificates shall
specify the required payment or payments and the date when the payment
or payments is required, the comptroller shall pay from such special
account on or before the specified date or within thirty days after
receipt of such certificate or certificates, whichever is later, to such
corporation, as the chairman thereof may direct in any such certificate,
the amount or amounts so certified. The comptroller shall from time to
time, but in no event later than the fifteenth day of October, January
and April and the last day of June of each fiscal year, pay over and
distribute to the chief fiscal officer of the city in aid of which such
municipal assistance corporation has been created to be paid into the
treasury of such city to the credit of the general fund all revenues in
the special account established for such corporation in the municipal
assistance state aid fund, if any, in excess of (i) the aggregate amount
which the chairman of such corporation has certified to the comptroller
and which has been previously paid to such corporation as herein above
authorized, and (ii) amounts to be refunded to the general fund of the
state of New York pursuant to subdivision five-a of this section. In no
event shall the comptroller pay over and distribute any revenues to any
person other than the municipal assistance corporation unless and until
the aggregate of all payments certified to the comptroller as required
by such corporation as of such date in order to comply with its
agreements with the holders of its notes and bonds and to carry out its
corporate purposes, including the maintenance of the capital reserve
fund securing such bonds, which remain unpaid to such corporation shall
have been paid in full to such corporation; provided, however, that no
person, including such corporation or the holders of its notes or bonds
shall have any lien on such revenues and such agreement shall be
executory only to the extent of such revenues available to the state in
such special account.
5-a. (a) In no event shall the comptroller pay over any revenues to
the city in aid of which such municipal assistance corporation has been
created as specified in subdivision five of this section unless and
until the director of the budget certifies the amount or amounts to be
refunded to the general fund of the state of New York pursuant to
section fifty-four of this chapter. Such amount shall be deducted from
the first amounts available for payment to such city after certification
by the chairman of, and payment to, if required, the municipal
assistance corporation as specified in subdivision five of this section
and refunded to the general fund of the state. The remainder shall be
paid to the chief fiscal officer of the city in aid of which such
municipal assistance corporation has been created.
(b) Notwithstanding anything in this section to the contrary, amounts
in the special account established within the municipal assistance state
aid fund for the municipal assistance corporation for the city of Troy,
which amounts have been deposited into such special account pursuant to
section twenty of a chapter of the laws of nineteen hundred ninety-six
entitled "AN ACT to amend chapter 721 of the laws of 1994 authorizing
the city of Troy to issue serial bonds for the purpose of liquidating
cumulative and projected deficits in the city's general fund,
establishing a supervisory board, and establishing a debt service fund,
in relation to granting a lien to the county of Rensselaer relating to
certain taxes collected on behalf of such county by the city of Troy"
which chapter added this paragraph (b), shall be paid by the comptroller
in accordance with this paragraph. No portion of such amounts shall be
paid by the comptroller to meet the requirements of such corporation for
the payment of debt service as certified to the comptroller and the
governor pursuant to section three thousand fifty-six of the public
authorities law unless at the time of such payment no other moneys are
available for payment to such corporation for said purpose from such
special account or from the special account established for such
corporation within the municipal assistance tax fund in accordance with
subdivision one of section ninety-two-d of this article. Any portion of
such amount not required by such corporation for the payment of its debt
service during the state fiscal year for which such amount has been
appropriated shall be refunded to the general fund of the state of New
York prior to the end of such fiscal year.
6. All payments of moneys from the municipal assistance state aid fund
shall be made on the audit and warrant of the state comptroller.
Special sales and compensating use tax fund for the city of
Yonkers. 1. There is hereby created in the joint custody of the
comptroller and the commissioner of taxation and finance a special fund,
to be known as the special sales and compensating use tax fund for the
city of Yonkers.
2. Such fund shall consist of revenues derived from the imposition of
the additional one percent sales and use tax by the city of Yonkers
authorized pursuant to section twelve hundred ten of the tax law, less
the amount which the commissioner of taxation and finance shall deduct
pursuant to section twelve hundred sixty-one of the tax law for
reasonable costs of the state tax commission in administering,
collecting and distributing such tax, and all other moneys credited or
transferred thereto from any other fund or sources pursuant to law.
3. Except as otherwise provided in this section, the moneys in such
fund shall be used to pay debt service on the serial bonds issued by the
city of Yonkers pursuant to the authority of section three of a chapter
of the laws of nineteen hundred seventy-five, entitled "AN ACT in
relation to enacting the New York state financial emergency act for the
city of Yonkers; to amend the tax law, in relation to authorizing the
city of Yonkers to increase the rates of sales, use and related taxes
and to amend the state finance law, in relation to creating the special
sales and compensating use tax fund for the city of Yonkers and
authorizing the city of Yonkers to finance a certain deficit by issuance
of serial bonds" and for no other purpose. Upon receipt by the
comptroller and the commissioner of taxation and finance of a
certificate from the chairman of the New York state emergency financial
control board for the city of Yonkers, that moneys in such fund are
required to pay debt service on such bonds of the city of Yonkers, each
of which certificates shall specify the required payment and the date
when the payment is required, the comptroller and the commissioner of
taxation and finance, shall pay from such fund on or before the
specified date or within thirty days after such receipt, whichever is
later, to the comptroller of the city of Yonkers, as the chairman of
such financial control board may direct in any such certificate, the
amount so certified.
4. In the event that the amount of revenues in the fund shall at any
time be more than the amount necessary to pay the maximum amount of
principal of and interest on obligations, issued pursuant to subdivision
three, payable in any consecutive twelve-month period, and such fact is
certified to the comptroller and the commissioner of taxation and
finance by the chairman of the New York state financial control board
for the city of Yonkers, such excess shall be paid to the comptroller of
the city of Yonkers for deposit in the treasury of the city of Yonkers
to the credit of the city treasury. The said certificate of the chairman
of the New York state financial control board for the city of Yonkers
shall also specify the amount to be paid and the date when payment is
requested to be made and such payment shall be made on or before the
specified date or within thirty days after receipt of such certificate,
whichever is later.
5. Revenues in such fund shall be kept separate and shall not be
commingled with any other money in the custody of the comptroller or the
commissioner of taxation and finance. All deposits of such revenues
shall, if required by the comptroller and the commissioner of taxation
and finance, be secured by obligations of the United States or of the
state having a market value equal at all times to the amount of such
deposits and all banks and trust companies are authorized to give
security for such deposits. Any such revenues in such fund may, in the
discretion of the comptroller and the commissioner of taxation and
finance, be invested in obligations of the United States or of the state
or in obligations the principal of and interest on which are guaranteed
by the United States or by the state.
Sales tax revenue bond tax fund. 1. There is hereby
established in the joint custody of the state comptroller and the
commissioner of taxation and finance a fund within the general debt
service fund to be known as the "sales tax revenue bond tax fund".
2. Such fund shall consist of the amount of revenue collected within
the state from the imposition of the sales and compensating use taxes
(including interest and penalties) pursuant to section eleven hundred
five and section eleven hundred ten of the tax law equal to the amount
attributable to a one percent rate of taxation, less such amounts as the
commissioner of taxation and finance may determine to be necessary for
refunds. On and after the date that all of the obligations and
liabilities of the New York local government assistance corporation
shall have been met or otherwise discharged, other than payment
obligations required by section thirty-two hundred thirty-eight-a of the
public authorities law, it shall equal the amount attributable to a two
percent rate of taxation, less such amounts as the commissioner of
taxation and finance may determine to be necessary for refunds. Such
sales and compensating use tax revenues shall be separate and distinct
from the sales and compensating use tax revenues deposited from time to
time in the local government assistance tax fund, pursuant to section
ninety-two-r of this chapter.
3. On or before the twelfth day of each month, the commissioner of
taxation and finance shall certify to the state comptroller the amounts
specified in subdivision two of this section relating to the preceding
month and, in addition, no later than March thirty-first of each fiscal
year the commissioner of taxation and finance shall certify such amounts
relating to the last month of such fiscal year. The amounts so certified
shall be deposited by the state comptroller in the sales tax revenue
bond tax fund.
4. Moneys in the sales tax revenue bond tax fund shall be kept
separate and shall not be commingled with any other moneys in the
custody of the state comptroller and the commissioner of taxation and
finance. All deposits of such revenues shall, if required by the state
comptroller, be secured by obligations of the United States or of the
state having a market value equal at all times to the amount of such
deposits and all banks and trust companies are authorized to give
security for such deposits. Any such moneys in such fund may, in the
discretion of the state comptroller, be invested in obligations in which
the state comptroller is authorized to invest pursuant to section
ninety-eight-a of this article.
5. (a) The state comptroller shall from time to time, but in no event
later than the fifteenth day of each month (other than the last month of
the fiscal year) and no later than the thirty-first day of the last
month of each fiscal year, pay over and distribute to the credit of the
general fund of the state treasury all moneys in the sales tax revenue
bond tax fund, if any, in excess of the aggregate amount required to be
set aside for the payment of cash requirements pursuant to paragraph (b)
of this subdivision, provided that an appropriation has been made to pay
all amounts specified in any certificate or certificates delivered by
the director of the budget pursuant to paragraph (b) of this subdivision
as being required by any authorized issuer as such term is defined in
section sixty-nine-m of this chapter for the payment of cash
requirements of such authorized issuers for such fiscal year. Subject to
the rights of holders of debt of the state, in no event shall the state
comptroller pay over and distribute any moneys on deposit in the sales
tax revenue bond tax fund to any person other than an authorized issuer
pursuant to such certificate or certificates (i) unless and until the
aggregate of all cash requirements certified to the state comptroller as
required by such authorized issuers to be set aside pursuant to
paragraph (b) of this subdivision for such fiscal year shall have been
appropriated to such authorized issuers in accordance with the schedule
specified in the certificate or certificates filed by the director of
the budget or (ii) if, after having been so certified and appropriated,
any payment required to be made pursuant to paragraph (b) of this
subdivision has not been made to the authorized issuers pursuant to such
certificate or certificates; provided, however, that no person,
including such authorized issuers or the holders of revenue bonds, shall
have any lien on moneys on deposit in the sales tax revenue bond tax
fund. Any agreement entered into pursuant to section sixty-nine-o of
this chapter related to any payment authorized by this section shall be
executory only to the extent of such revenues available to the state in
such fund. Notwithstanding subdivisions two and three of this section,
in the event the aggregate of all cash requirements certified to the
state comptroller as required by such authorized issuers to be set aside
pursuant to paragraph (b) of this subdivision for the fiscal year
beginning on April first shall not have been appropriated to such
authorized issuers in accordance with the schedule specified in the
certificate or certificates filed by the director of the budget or, if,
having been so certified and appropriated, any payment required to be
made pursuant to paragraph (b) of this subdivision has not been made
pursuant to such certificate or certificates, all receipts collected and
deposited in the sales tax revenue bond tax fund shall remain in such
fund. Notwithstanding any other provision of law, if the state has
appropriated and paid to the authorized issuers all amounts necessary
for the authorized issuers to meet their cash requirements for the
current fiscal year pursuant to the certificate or certificates
submitted by the director of the budget pursuant to paragraph (b) of
this section, the state comptroller shall, on the last day of each
fiscal year, pay to the general fund of the state all sums remaining in
the sales tax revenue bond tax fund on such date except such amounts as
the director of the budget may certify are needed to meet the cash
requirements of authorized issuers during the subsequent fiscal year.
(b) No later than thirty days after the submission of the executive
budget in accordance with article seven of the constitution, the
director of the budget shall prepare a certificate of the amount of
monthly receipts anticipated to be deposited pursuant to subdivision two
of this section during the fiscal year beginning April first of that
year together with the monthly amounts necessary to be set aside from
the receipts of such fund, as shall be sufficient to meet the total cash
requirements of authorized issuers, as defined by section sixty-nine-m
of this chapter during such fiscal year, based on information that shall
be provided by such authorized issuers, consistent with the terms of any
contract with outstanding bondholders. Except for the purpose of meeting
cash requirements of an authorized issuer that are due on a monthly or
more frequent basis, prior to transferring any moneys from the account
pursuant to paragraph (a) of this subdivision, the comptroller shall set
aside on a monthly basis all revenues deposited pursuant to this
subdivision as received until the amount set aside is equal to one-fifth
of the interest due on such obligations on the next succeeding interest
payment date multiplied by the number of months from the last such
payment and one-eleventh of the next principal installment due on such
obligations multiplied by the number of months from the last such
principal installment where principal is due on an annual basis or
one-fifth of the next principal installment due on such obligations
multiplied by the number of months from the last such principal
installment where principal is due on a semiannual basis. For the
purpose of meeting cash requirements of an authorized issuer that are
due on a monthly basis or more frequently, the comptroller shall set
aside all revenues deposited pursuant to subdivision two of this section
as received until the amount so set aside is, in the reasonable judgment
of the director of the budget as set forth in such certificate,
sufficient to make the required payment on or before such payment date.
Notwithstanding subdivision three of, section seventy-two of this
article or any other provision of law, all moneys set aside in the sales
tax revenue bond tax fund to meet the annual cash requirements of
authorized issuers pursuant to a certificate or certificates as required
in this paragraph shall remain in the sales tax revenue bond tax fund
until needed for payment to authorized issuers, as provided in this
section. In the event that the amount set aside by the state comptroller
pursuant to this paragraph is not sufficient to meet the cash
requirements required pursuant to a certificate or certificates
submitted by the director of the budget, the state comptroller shall
immediately transfer from the general fund to the sales tax revenue bond
tax fund an amount which, when combined with the amount set aside
pursuant to this paragraph, shall be sufficient to meet the payment
required pursuant to such certificate or certificates. The director of
the budget may revise such certification at such times as shall be
necessary, provided, however, that the director of the budget shall, as
necessary, revise such certification not later than thirty days after
the issuance of any revenue bonds, including refunding bonds, and after
the adoption of any interest rate exchange or other financial
arrangement affecting the cash requirements of the authorized issuers.
In no event shall the state comptroller be held liable for the failure
to set aside an amount sufficient to pay any required payment of an
authorized issuer.
6. All payments of moneys from the revenue bond tax fund shall be made
on the audit and warrant of the state comptroller.
Stock transfer incentive fund. 1. There is hereby established
in the sole custody of the commissioner of taxation and finance a
special fund to be known as the stock transfer incentive fund.
2. Such fund shall consist of moneys paid thereto from the stock
transfer tax fund as provided in subdivision four of section
ninety-two-b of this chapter and all other moneys appropriated, credited
or transferred thereto from any other fund or source pursuant to law.
3. On the last business day of each of the months of September,
December, March and June of each year commencing December thirty-first,
nineteen hundred seventy-seven, the commissioner of taxation and finance
shall determine the sum of (i) the amounts allowable as rebates of the
tax that is imposed by article twelve of the tax law and is paid on
transactions executed or effected during the three calendar months
ending on the next-to-the-last business day of each such month and such
amounts not previously allowed for a preceding period pursuant to
subdivision one of section two hundred eighty-a of the tax law and, (ii)
such amounts allowable as rebates pursuant to subdivision two of such
section and (iii) on such last business day of June, nineteen hundred
seventy-nine and on each of such last days occurring after the last
business day of June, nineteen hundred seventy-nine such amounts
allowable and payable as rebates for the period April seventeenth,
nineteen hundred seventy-eight through September thirtieth, nineteen
hundred seventy-eight and on such last day of June, nineteen hundred
seventy-nine and on each of such last days occurring after such last day
of June, nineteen hundred seventy-nine such amounts allowable and
payable as rebates for the October first to September thirtieth period
preceding such day by eight or more months pursuant to subdivision two-a
of such section.
4. On the last business day of each such month the commissioner of
taxation and finance shall certify to the director of the budget, the
state comptroller and the chief fiscal officer of the city of New York
each of the amount finally determined under clauses (i), (ii) and (iii)
of subdivision three of this section.
5. The amount so certified on such last business day under subdivision
four of this section shall constitute the amount required to be paid
into the stock transfer incentive fund from the stock transfer tax fund
pursuant to section ninety-two-b of this chapter.
6. (a) (1) For the period beginning August first, nineteen hundred
seventy-eight and ending June thirtieth, nineteen hundred seventy-nine,
on the last business day of each of the months of September, December,
March and June, the commissioner of taxation and finance shall certify
to the comptroller the amount of the tax imposed by this article
collected during the three month period ending on each such last
business day, except that on September thirtieth, nineteen hundred
seventy-eight, the commissioner shall certify only the amount of such
tax collected on and after August first, nineteen hundred seventy-eight.
The state comptroller shall pay forthwith an amount equal to one-half of
twenty-five percent of the amount so certified from the general fund of
the state of New York to the extent that moneys have been appropriated
and made available therefor; provided, however, that in no event shall
the amount so paid exceed sixteen million dollars in the state fiscal
year beginning April first, nineteen hundred seventy-eight.
(2) Upon receipt of each certification of the commissioner of taxation
and finance provided for in subdivision four of this section, on and
after December thirty-first, nineteen hundred seventy-nine and on or
before September thirtieth, nineteen hundred eighty, the state
comptroller shall forthwith pay an amount equal to one-half of the
amount certified by such commissioner as rebates allowable under the
provisions of clause (i) of subdivision three of this section from the
general fund of the state of New York to the fund created pursuant to
this section, to the extent that moneys have been appropriated and made
available therefor. Upon receipt of the certification of the
commissioner of taxation and finance provided for in subdivision four of
this section, on and after October first, nineteen hundred eighty, the
state comptroller shall forthwith pay an amount equal to one-half of the
amounts certified by such commissioner as rebates allowable under the
provisions of clauses (i) and (ii) of subdivision three of this section
from the general fund of the state of New York, to the fund created
pursuant to this section to the extent that moneys have been
appropriated and made available therefor.
(b) Provided, however, that the amounts paid from the general fund of
the state of New York under paragraph (a) of this subdivision in the
state fiscal year beginning April first, nineteen hundred seventy-nine
shall not exceed fifty million dollars; and in the state fiscal year
beginning April first, nineteen hundred eighty such amounts shall not
exceed ninety million dollars and in the state fiscal year beginning
April first, nineteen hundred eighty-one and in every state fiscal year
thereafter such amounts shall not exceed one hundred twenty million
dollars.
(c) Notwithstanding the provisions of paragraph (b) of this
subdivision, the state comptroller shall, in addition to the payments to
be made under paragraph (a) of this subdivision, also pay to the credit
of the fund created pursuant to this section an amount equal to one-half
of the costs deducted by such commissioner for the costs of the state
tax commission in administering and making distributions in accordance
with the provisions of subdivision four of section ninety-two-b of this
chapter.
7. If on the day the commissioner of taxation and finance makes the
determinations required under subdivision three of this section, he
determines that, as a result of the payments made into the stock
transfer incentive fund pursuant to subdivisions five and six of this
section, the amounts in such fund exceed the amounts determined pursuant
to clauses (i), (ii) and (iii) of subdivision three of this section for
the three calendar months ending on the next-to-the-last business day of
the month in which such determination is made, the amount of such excess
shall be paid forthwith to the chief fiscal officer of the city of New
York for support of local government.
8. Notwithstanding any provision of general or special law to the
contrary, all moneys of such fund shall be deposited by the commissioner
of taxation and finance in any responsible bank, banking house or trust
company as may be approved by the comptroller. All amounts so deposited
shall be kept separate and apart and shall not be commingled with any
other moneys in the custody of the commissioner of taxation and finance.
All deposits of moneys of such fund shall be secured by obligations of
the United States or of the state having a market value equal at all
times to the amount of the deposit and all banks and trust companies are
authorized to give security for such deposits. Any such moneys deposited
in such fund may, in the discretion of the commissioner of taxation and
finance, be invested in obligations of the United States or of the state
or in other obligations, the principal of and interest on which are
guaranteed by the United States or by the state.
9. Out of such moneys deposited in the fund created by this section,
the commissioner of taxation and finance shall, except for rebates
payable in the manner described in subdivision six of section two
hundred eighty-a of the tax law, make the payments required to be paid
on claims for rebates made pursuant to section two hundred eighty-a of
the tax law, but in no event shall such rebates be paid prior to the
last business day of each of the months of September, December, March
and June with respect to taxes paid during the period of three calendar
months ending on each such last business day and in no event shall the
rebates allowable under subdivision two-a of section two hundred
eighty-a of the tax law, be paid prior to the last day of June with
respect to taxes paid during the preceding October first to September
thirtieth period except with respect to the period April seventeenth,
nineteen hundred seventy-eight through September thirtieth, nineteen
hundred seventy-eight such rebates allowable under such subdivision
two-a shall not be paid prior to the last day of June, nineteen hundred
seventy-nine preceding such last day. Out of moneys deposited in the
fund created by this section, the commissioner of taxation and finance
shall pay to each exchange, affiliated clearing corporation or
authorized agency which shall have remitted amounts to the tax
commission, in the manner set forth in subdivision six of section two
hundred eighty-a of the tax law, the rebate payable pursuant to
subdivisions one and two of such section, the rebates payable in the
manner described in subdivision six of section two hundred eighty-a of
the tax law not later than the day after the day the tax equal to the
amount of such rebates is remitted to the tax commission under such
subdivision and paid to the fund created by this section from the stock
transfer tax fund pursuant to section ninety-two-b of this chapter. Upon
such payment the liability of the state therefor shall be fully
discharged.
10. In the event that moneys deposited in the fund created by this
section are insufficient to pay such rebates, the city of New York shall
pay any such deficiency to such fund in accordance with local law.
11. The commissioner of taxation and finance shall not be held liable
for any inaccuracy in any certification under this section.
Snowmobile trail development and maintenance fund. 1. There is
hereby established in the joint custody of the commissioner of parks,
recreation and historic preservation and the state comptroller a special
fund to be known as the "snowmobile trail development and maintenance
fund". The moneys in such fund shall be available for payment of any and
all costs and expenditures incurred in performing any of the work
required in developing and maintaining a system of snowmobile trails
pursuant to section 27.17 of the parks, recreation and historic
preservation law, including costs and expenses incidental and
appurtenant thereto.
2. Moneys in the snowmobile trail development and maintenance fund
shall be kept separately from and shall not be commingled with any other
moneys in the joint or sole custody of the state comptroller or the
commissioner of parks, recreation and historic preservation.
3. The snowmobile trail development and maintenance fund shall consist
of the revenues required to be deposited therein pursuant to the
provisions of section 21.07 of the parks, recreation and historic
preservation law and section two thousand two hundred thirty-one of the
vehicle and traffic law, and all other moneys credited or transferred
thereto from any other fund or source pursuant to law.
4. The moneys in such fund shall be appropriated by the legislature
and paid out pursuant to section 27.17 of the parks, recreation and
historic preservation law.
Voting machine and system examination fund. 1. There is hereby
established in the joint custody of the state comptroller and the
commissioner of taxation and finance, a special fund to be known as the
"voting machine and system examination fund".
2. Such fund shall consist of moneys collected by the state board of
elections pursuant to the provisions of subdivision one of section 7-201
of the election law.
3. Moneys of the fund shall be available to the state board of
elections for purposes of carrying out the provisions of section 7-201
of the election law.
4. The moneys shall be paid out of the fund on the audit and warrant
of the comptroller on vouchers certified or approved by the chairperson
of the board or his or her duly designated officer.
* § 92-q. Housing assistance fund. 1. There is hereby established in
the joint custody of the state comptroller and commissioner of taxation
and finance a fund to be known as the "housing assistance fund".
2. The housing assistance fund shall be classified by the comptroller
within the capital projects fund type and shall consist of all moneys
collected therefor or credited, appropriated or transferred thereto from
any other fund or source pursuant to law or any other moneys made
available for the purposes of the fund.
3. Moneys of the fund may be invested by the state comptroller and
income from such investments shall be credited to the general fund.
4. Moneys of the fund shall be appropriated by the legislature and
paid out pursuant to the terms of such appropriation.
* NB There are 2 § 92-q's
* § 92-r. Local government assistance tax fund. 1. There is hereby
established in the joint custody of the comptroller and the commissioner
of taxation and finance a special fund to be known as the local
government assistance tax fund.
2. Such fund shall consist of the amount of revenue collected within
the state from the imposition of the sales and compensating use taxes
(including interest and penalties) pursuant to section eleven hundred
five and section eleven hundred ten of the tax law equal to the amount
attributable to a one percent rate of taxation, less such amounts as the
commissioner of taxation and finance may determine to be necessary for
refunds.
3. On or before the twelfth day of each month, the commissioner of
taxation and finance shall certify to the comptroller the amounts
specified in subdivision two of this section relating to the preceding
month and, in addition on the last day of the fiscal year the
commissioner shall certify such amounts relating to the last month of
such fiscal year. The amount of revenues so certified shall be deposited
by the comptroller in the local government assistance tax fund.
4. Revenues in the local government assistance tax fund shall be kept
separate and shall not be commingled with any other moneys in the
custody of the comptroller. All deposits of such revenues shall, if
required by the comptroller, be secured by obligations of the United
States or of the state having a market value equal at all times to the
amount of such deposits and all banks and trust companies are authorized
to give security for such deposits. Any such revenues in such fund may,
in the discretion of the comptroller, be invested in obligations in
which the comptroller is authorized to invest pursuant to section
ninety-eight-a of this article.
5. (a) Upon receipt by the comptroller of a certificate or
certificates from the chairperson of the local government assistance
corporation submitted pursuant to section thirty-two hundred forty of
the public authorities law, that such corporation requires a payment or
payments, from the local government assistance tax fund, the comptroller
shall pay from such fund pursuant to an appropriation on or before the
date specified in such certificate or within thirty days after such
receipt, whichever is later, to such corporation, as the chairperson
thereof may direct in any such certificate, the amount or amounts so
certified. The chairperson of such corporation shall furnish the
commissioner of taxation and finance with copies of such certificates.
In order to set aside the moneys necessary to meet the amounts required
on the payment date or dates specified in such certificate or
certificates, the comptroller shall comply with the provisions of
paragraph (b) of this subdivision. The comptroller shall from time to
time, but in no event later than the fifteenth day of each month (other
than the last month of the fiscal year) and the last day of the last
month of the fiscal year of each fiscal year, pay over and distribute to
the credit of the general fund of the state treasury all revenues in the
local government assistance tax fund, if any, in excess of the aggregate
amount required to be set aside pursuant to paragraph (b) of this
subdivision provided that an appropriation has been made to pay all
amounts specified in such certificate or certificates as being required
by the corporation for such fiscal year, and provided further that an
appropriation has been made to make all dedicated highway and bridge
trust fund cooperative agreement payments specified in the certificate
submitted by the chairperson of the New York state thruway authority
pursuant to subdivision two of section three hundred eighty-five of the
public authorities law. In no event shall the comptroller pay over and
distribute any revenues (other than the amount to be deducted for
administering, collecting and distributing such sales and compensating
use taxes) to any person other than the local government assistance
corporation (i) unless and until the aggregate of all payments certified
to the comptroller as required by such corporation and required to be
set aside pursuant to paragraph (b) of this subdivision for such fiscal
year shall have been appropriated to such corporation in accordance with
the schedule specified in the certificate or certificates filed by the
chairperson of the corporation or (ii) if, after having been so
certified and appropriated, any payment required to be set aside
pursuant to paragraph (b) of this subdivision has not been made to the
corporation on the date by which it was required to have been made
pursuant to such schedule, or (iii) unless and until the aggregate of
all dedicated highway and bridge trust fund cooperative agreement
payments certified by the chairperson of the New York state thruway
authority pursuant to subdivision two of section three hundred
eighty-five of the public authorities law shall have been appropriated
to such authority; provided, however, that no person including such
corporation or the holders of its bonds or notes shall have any lien on
such revenues and such agreement shall be executory only to the extent
of such revenues available to the state in such fund and provided
further that, if the state has appropriated and paid to the corporation
the amounts necessary for the corporation to meet its requirements, for
the current fiscal year, pursuant to the certificate or certificates
submitted by the chairperson pursuant to section thirty-two hundred
forty of the public authorities law and notwithstanding any other
provision of law, the comptroller shall, on the last day of each fiscal
year, pay to the general fund of the state all sums remaining in the
local government assistance tax fund on such date.
(b) No later than the tenth business day of each month during any
fiscal year in which a debt service or required payment on any issue of
bonds, notes or other financial obligations of the corporation is due,
the comptroller shall prepare a schedule of the amount of revenue
anticipated to be deposited pursuant to subdivision two of this section
during the balance of such fiscal year in such detail as is necessary to
carry out the purposes of this paragraph, based upon estimates of such
revenues filed with him by the director of the budget. Except for the
purpose of meeting a debt service or required payment on any issue of
bonds, notes or other financial obligations of the corporation that is
due on a monthly basis or more frequently, commencing at any time that a
debt service or required payment on any such issue equals ninety-five
percent of the amount of revenues anticipated to be deposited pursuant
to subdivision two of this section shown on such schedule to be received
during the period ending on the date on which such payment is due, after
deducting from such revenues the aggregate amount of all such payments
on any other issue of bonds, notes or other financial obligations of the
corporation due during such period and against which revenues have not,
at such time, been collected and set aside pursuant to the provisions of
this subdivision, the comptroller shall set aside all such revenues as
received until the amount so set aside is sufficient to pay the amount
of such payment on such issue and any other issue with a payment date on
or before the payment date on such issue; provided, however, that the
comptroller shall commence to set aside revenues no later than the
fifteenth day prior to the date on which such payment is due and
continue to set aside such revenues until the balance is sufficient to
pay the amount of such payment when due and the amount of such payment
on any other issue due on or before such date. For the purpose of
meeting a debt service or required payment on any issue of bonds, notes
or other financial obligations of the corporation that is due on a
monthly basis or more frequently, the comptroller shall set aside all
revenues deposited pursuant to subdivision two of this section as
received until the amount so set aside is, in the reasonable judgment of
the comptroller, sufficient to pay the debt service or other required
payment on such issue and any other such issue with a payment date on or
before such payment date. In the event that the amount set aside by the
comptroller pursuant to this paragraph on any payment date is not
sufficient to meet the payments required pursuant to a certificate or
certificates submitted by the chairperson pursuant to section thirty-two
hundred forty of the public authorities law, the comptroller shall
immediately transfer from the general fund to the fund established by
this section an amount which, when combined with the amount set aside
pursuant to this paragraph, shall be sufficient to meet the payment
required pursuant to such certificate or certificates. In no event shall
the comptroller be held liable for the failure to set aside an amount
sufficient to pay the debt service or required payment of the
corporation.
6. All payments of moneys from the local government assistance tax
fund shall be made on the audit and warrant of the comptroller.
* NB Repealed six months after all liabilities of the New York Local
Government Assistance Corporation are met or discharged.
Environmental protection fund. 1. There is hereby established
in the joint custody of the comptroller and the commissioner of taxation
and finance a special fund to be known as the "environmental protection
fund".
2. a. The comptroller shall establish the following separate and
distinct accounts within the environmental protection fund:
(i) solid waste account;
(ii) parks, recreation and historic preservation account;
(iii) open space account;
(iv) climate change mitigation and adaptation account; and
(v) environmental protection transfer account.
b. All monies received by the comptroller for deposit in the
environmental protection fund shall be deposited first to the credit of
the environmental protection transfer account. No monies shall be
expended from any such account for any project except pursuant to
appropriation by the legislature.
3. Such fund shall consist of the amount of revenue collected within
the state from the amount of revenue, interest and penalties deposited
pursuant to section fourteen hundred twenty-one of the tax law, the
amount of fees and penalties received from easements or leases pursuant
to subdivision fourteen of section seventy-five of the public lands law
and the money received as annual service charges pursuant to section
four hundred four-n of the vehicle and traffic law, all moneys required
to be deposited therein from the contingency reserve fund pursuant to
section two hundred ninety-four of chapter fifty-seven of the laws of
nineteen hundred ninety-three, all moneys required to be deposited
pursuant to section thirteen of chapter six hundred ten of the laws of
nineteen hundred ninety-three, repayments of loans made pursuant to
section 54-0511 of the environmental conservation law, all moneys to be
deposited from the Northville settlement pursuant to section one hundred
twenty-four of chapter three hundred nine of the laws of nineteen
hundred ninety-six, provided however, that such moneys shall only be
used for the cost of the purchase of private lands in the core area of
the central Suffolk pine barrens pursuant to a consent order with the
Northville industries signed on October thirteenth, nineteen hundred
ninety-four and the related resource restoration and replacement plan,
the amount of penalties required to be deposited therein by section
71-2724 of the environmental conservation law, all moneys required to be
deposited pursuant to article thirty-three of the environmental
conservation law, all fees collected pursuant to subdivision eight of
section 70-0117 of the environmental conservation law, all moneys
collected pursuant to title thirty-three of article fifteen of the
environmental conservation law, beginning with the fiscal year
commencing on April first, two thousand thirteen, nineteen million
dollars, and all fiscal years thereafter, twenty-three million dollars
plus all funds received by the state each fiscal year in excess of the
greater of the amount received from April first, two thousand twelve
through March thirty-first, two thousand thirteen or one hundred
twenty-two million two hundred thousand dollars, from the payments
collected pursuant to subdivision four of section 27-1012 of the
environmental conservation law and all funds collected pursuant to
section 27-1015 of the environmental conservation law, all moneys
required to be deposited pursuant to sections 27-2805 and 27-2807 of the
environmental conservation law, all moneys collected pursuant to section
71-2730 of the environmental conservation law, all moneys required to be
deposited pursuant to section seven hundred sixty-five of the general
business law, all moneys required to be deposited pursuant to section
27-3205 of the environmental conservation law, and all other moneys
credited or transferred thereto from any other fund or source pursuant
to law. All such revenue shall be initially deposited into the
environmental protection fund, for application as provided in
subdivision five of this section.
5. Revenues in the environmental protection fund shall be kept
separate and shall not be commingled with any other moneys in the
custody of the comptroller. All deposits of such revenues shall, if
required by the comptroller, be secured by obligations of the United
States or of the state having a market value equal at all times to the
amount of such deposits and all banks and trust companies are authorized
to give security for such deposits. Any such revenues in such fund may,
upon the discretion of the comptroller, be invested in obligations in
which the comptroller is authorized to invest pursuant to section
ninety-eight-a of this article.
6. (a) All moneys heretofore and hereafter deposited in the
environmental protection transfer account shall be transferred by the
comptroller to the solid waste account, the parks, recreation and
historic preservation account, the climate change mitigation and
adaptation account or the open space account upon the request of the
director of the budget.
(b) Moneys from the solid waste account shall be available, pursuant
to appropriation and upon certificate of approval of availability by the
director of the budget, for any non-hazardous municipal landfill closure
project; municipal waste reduction or recycling project, as defined in
article fifty-four of the environmental conservation law; for the
purposes of section two hundred sixty-one and section two hundred
sixty-four of the economic development law; any project for the
development, updating or revision of local solid waste management plans
pursuant to sections 27-0107 and 27-0109 of the environmental
conservation law; environmental justice projects and grants and for the
development of the pesticide sales and use data base pursuant to title
twelve of article thirty-three of the environmental conservation law.
(c) Moneys from the parks, recreation and historic preservation
account shall be available, pursuant to appropriation, for any municipal
park project, historic preservation project, urban cultural park
project, waterfront revitalization program, coastal rehabilitation
project.
(d) Moneys from the open space account shall be available, pursuant to
appropriation, for any open space land conservation project,
bio-diversity stewardship and research pursuant to chapter five hundred
fifty-four of the laws of nineteen hundred ninety-three, for the
purposes of agricultural and farmland protection activities as
authorized by article twenty-five-AAA of the agriculture and markets
law, non-point source abatement and control projects pursuant to section
17-1409 of the environmental conservation law and section eleven-b of
the soil and water conservation districts law, for Long Island Central
Pine Barrens area planning or Long Island south shore estuary reserve
planning pursuant to title thirteen of article fifty-four of the
environmental conservation law, and for operation and management of the
Albany Pine Bush preserve commission pursuant to subdivision two of
section 54-0303 of the environmental conservation law.
(e) The governor shall include a specific line appropriation in the
capital projects budget describing individual open space land
conservation projects proposed to be undertaken by the department of
environmental conservation and/or the office of parks, recreation and
historic preservation pursuant to title three of article fifty-four of
the environmental conservation law and listed in the state open space
land acquisition plan prepared pursuant to title two of article
forty-nine of the environmental conservation law.
(f) Moneys from the climate change account shall be available,
pursuant to appropriation and upon certificate of approval of
availability by the director of the budget, for climate smart
communities projects pursuant to title fifteen of article fifty-four of
the environmental conservation law.
7. Notwithstanding any other provision of law, no state assistance
payment authorized under this section or article fifty-four of the
environmental conservation law may be applied, with respect to any
project located within the area of New York county bounded by (a) the
northern boundary of Fifty-ninth street and Fifty-ninth street extended;
(b) the United States pierhead line; (c) the northern boundary of the
area known as Battery Park City; and (d) eight hundred feet inland
easterly from the United States bulkhead line:
(i) for, other than for recreational use or access inland of the
existing bulkhead line, any roads, bridges, ramps or parking facilities
or sewers or water mains;
(ii) for any site improvement, including sewers or water mains, to
support residential, industrial or commercial development;
(iii) to excavate, place fill or plantings in, or place any piling,
platform or structure, including a floating structure, in the Hudson
river;
(iv) to plan, evaluate or study any project involving such excavation
or placement as described in subparagraph (iii) of this paragraph; or
(v) for any purpose or project except where the commissioner of
environmental conservation, with the approval of the director of the
budget, enters into a contract with the city of New York or a state
agency, but not with any public benefit corporation or public authority
or any other person or entity, for the undertaking of the purpose or
project. No part of the purpose or project may be subcontracted to any
public benefit corporation, public authority, not-for-profit
corporation, or municipality other than the city of New York, nor shall
any such state assistance payment be paid to, on behalf of, or pursuant
to any agreement with any such entity.
8. All payments of moneys from the fund shall be made on the audit and
warrant of the comptroller.
9. Notwithstanding any other law to the contrary and in accordance
with section four of this chapter, the comptroller is hereby authorized
at the direction of the director of the division of the budget to
transfer moneys from the general fund to the environmental protection
fund for the purpose of maintaining the solvency of the environmental
protection fund. If, in any fiscal year, moneys in the environmental
protection fund are deemed insufficient by the director of the division
of the budget to meet actual and anticipated disbursements from enacted
appropriations or reappropriations made pursuant to this section, the
comptroller shall at the direction of the director of the division of
the budget, transfer from the general fund to the environmental
protection fund moneys sufficient to meet such disbursements. Such
transfers shall be made only upon certification of need by the director
of the division of the budget, with copies of such certification filed
with the chairperson of the senate finance committee, the chairperson of
the assembly ways and means committee and the state comptroller. The
aggregate amount of all transfers shall not exceed four hundred
forty-seven million one hundred seventy-one thousand dollars.
New York state campaign finance fund. 1. There is hereby
established in the joint custody of the state comptroller and the
commissioner of taxation and finance a fund to be known as the New York
state campaign finance fund.
2. Such fund shall consist of all revenues received from the New York
state campaign finance fund check-off pursuant to section six hundred
thirty-h of the tax law, from the abandoned property fund pursuant to
section ninety-five of this article, from the general fund, and from all
other moneys credited or transferred thereto from any other fund or
source pursuant to law. Such fund shall also receive contributions from
private individuals, organizations, or other persons to fulfill the
purposes of the public financing system.
3. Moneys of the fund, following appropriation by the legislature, may
be expended for the purposes of making payments to candidates pursuant
to title two of article fourteen of the election law and for
administrative expenses related to the implementation of article
fourteen of the election law. Moneys shall be paid out of the fund by
the state comptroller on vouchers certified or approved by the state
board of elections, or its duly designated representative, in the manner
prescribed by law, not more than five working days after such voucher is
received by the state comptroller.
4. Notwithstanding any provision of law to the contrary, if, in any
state fiscal year, the state campaign finance fund lacks the amount of
money to pay all claims vouchered by eligible candidates and certified
or approved by the state board of elections, any such deficiency shall
be paid by the state comptroller, from funds deposited in the general
fund of the state not more than four working days after such voucher is
received by the state comptroller.
5. Commencing in two thousand twenty-five, if the surplus in the fund
on April first of the year after a year in which a governor is elected
exceeds twenty-five percent of the disbursements from the fund over the
previous four years, the excess shall revert to the general fund of the
state.
6. Public funds paid to participating candidates shall be paid in
accordance with the timelines established by section 14-205 of the
election law.
7. No public funds shall be paid to any participating candidates in a
general election any earlier than the day after the day of the primary
election held to nominate candidates for such election.
8. No public funds shall be paid to any participating candidates in a
special election any earlier than the day after the last day to file
certificates of party nomination for such special election.
9. No public funds shall be paid to any participating candidate who
has been disqualified or whose designating petitions have been declared
invalid by the appropriate board of elections or a court of competent
jurisdiction until and unless such finding is reversed by a higher court
in a final judgment. No payment from the fund in the possession of such
a candidate or such candidate's participating committee on the date of
such disqualification or invalidation may thereafter be expended for any
purpose except the payment of liabilities incurred before such date. All
such moneys shall be repaid to the fund.
New York state canal system development fund. 1. Pursuant to
article fifteen of the state constitution, there is hereby established
in the joint custody of the state comptroller and the commissioner of
taxation and finance a fund to be known as the "New York state canal
system development fund".
2. Such fund shall consist of all revenues received from the operation
of the New York state canal system as defined in section three hundred
fifty-one of the public authorities law and section two of the canal
law, including payments on leases for use of canal lands, terminals and
terminal lands, tolls received for lock and lift bridge passage,
payments for hydroelectric easements and sales, for purchase of other
abandoned canal lands, payments for any permits and leases for use of
the water and lands of the system and payments for use of dry docks and
other moneys made available to the fund from any other source other than
a grant, loan or other inter-corporate transfer of funds of the power
authority of the state of New York, and any income earned by, or
incremental to, the fund due to investment thereof, or any repayment of
any moneys advanced by the fund.
3. Moneys in the New York state canal system development fund may be
invested by the comptroller pursuant to section ninety-eight-a of this
article, and any income received by the comptroller shall be added to
and become a part of, and shall be used for the purposes of such fund.
4. The moneys held in or credited to the fund shall be expended for
the purposes set forth in this section, and may not be interchanged or
commingled with any other account or fund but may be commingled with any
other fund or account for investment purposes.
5. Moneys of the fund, following appropriation by the legislature,
shall be available to the power authority of the state of New York and
shall be expended by such authority or the canal corporation only for
the maintenance, construction, reconstruction, development or promotion
of the canal system. In addition, moneys of the fund may be used for the
purposes of interpretive signage and promotion for appropriate
historically significant Erie canal lands and related sites. Moneys
shall be paid out of the fund by the state comptroller on certificates
issued by the director of the budget.
Linked deposit program fund. 1. There is hereby established in
the sole custody of the commissioner of taxation and finance a special
fund to be known as the "linked deposit program fund".
2. Such fund shall consist of moneys deposited by public authorities
or public benefit corporations created by or pursuant to the laws of the
state of New York pursuant to subdivision three of this section.
3. Notwithstanding any provision of law to the contrary, the public
authorities and public benefit corporations created by or pursuant to
the laws of the state of New York are authorized to invest their moneys
or moneys under their management and control in the fund. Every public
authority or public benefit corporation, a majority of whose members are
appointed by the governor or serve as members by virtue of holding a
civil office to which they were appointed by the governor, or any
combination thereof, shall adopt a resolution on or before April first,
nineteen hundred ninety-seven, either setting forth a plan for
participation in the excelsior linked deposit act as provided in article
fifteen of this chapter or formally resolving not to participate in such
act and setting forth the reason or reasons therefor. Within thirty days
of the adoption of such resolution, every such public authority and
public benefit corporation shall notify the governor, the commissioner
of economic development, the commissioner of taxation and finance, the
temporary president of the senate, and the speaker of the assembly of
plans for participation in the excelsior linked deposit act or the
reason or reasons for not participating therein.
4. Moneys placed in or pledged to the fund may be deposited by the
commissioner of taxation and finance as linked deposits pursuant to
article fifteen of this chapter. Notwithstanding any provision of law to
the contrary, when not deposited as linked deposits pursuant to article
fifteen of this chapter, any such moneys in the fund may, in the
discretion of the commissioner of taxation and finance, be invested in
obligations authorized as investments pursuant to section ninety-eight
of this article or retained by such public authority or public benefit
corporation until such time as the commissioner of taxation and finance
requests such moneys or a portion thereof, to be deposited as a linked
deposit pursuant to article fifteen of this chapter.
Missing and exploited children clearinghouse fund. 1. A
special fund to be known as the "missing and exploited children
clearinghouse fund" is hereby established in the custody of the state
comptroller and the commissioner of taxation and finance.
2. The fund shall consist of all monies transferred to such fund
pursuant to law, all monies required by any provision of law to be paid
into or credited to the fund, all moneys from gifts pursuant to section
six hundred twenty-eight of the tax law and any interest earnings which
may accrue from the investment of monies in the fund. Nothing contained
herein shall prevent the state from receiving grants, gifts or bequests
for the purposes of the fund as defined in this section and depositing
them into the fund according to law.
2-a. On or before the first day of February each year, the director of
the division of criminal justice services shall provide a written report
to the temporary president of the senate, speaker of the assembly, chair
of the senate finance committee, chair of the assembly ways and means
committee, chair of the senate committee on codes, chair of the assembly
codes committee, the state comptroller and the public. Such report shall
include how the monies of the fund were utilized during the preceding
calendar year, and shall include:
(i) the amount of money dispersed from the fund and the award process
used for such disbursements;
(ii) recipients of awards from the fund;
(iii) the amount awarded to each;
(iv) the purposes for which such awards were granted; and
(v) a summary financial plan for such monies which shall include
estimates of all receipts and all disbursements for the current and
succeeding fiscal years, along with the actual results from the prior
fiscal year.
3. Monies of the fund, when allocated, shall be available to the
division of criminal justice services for the enhancement of public
information and prevention education efforts including production of
print, video and radio advertising materials, brochures, pamphlets and
outdoor advertising, or for any other activity or purpose that will aid
in the prevention of the exploitation of children or in the recovery of
missing and exploited children, as deemed necessary by the missing and
exploited children clearinghouse created pursuant to section eight
hundred thirty-seven-f of the executive law.
4. Monies shall be payable from the fund on the audit and warrant of
the comptroller on vouchers approved and certified by the director of
the division of criminal justice services.
Tobacco settlement fund. 1. There is hereby established in the
sole custody of the comptroller a special fund, to be known as the
"tobacco settlement fund".
2. Such fund shall consist of moneys received by the state, as a
result of the settlement of litigation in the case of State of New York
and Dennis C. Vacco v. Philip Morris, Incorporated, et al. (Supreme
Court, New York County, Index No. 400361/97), pursuant to the escrow
arrangement provided in the master settlement agreement entered into by,
inter alia, the Attorney General of the State of New York and the
Tobacco Industry, on November 23, 1998. All monies shall remain in such
fund unless otherwise directed by statute.
Revenue bond tax fund. 1. There is hereby established in the
joint custody of the state comptroller and the commissioner of taxation
and finance a fund within the general debt service fund to be known as
"the revenue bond tax fund".
2. Such fund shall consist of (a) fifty percent of receipts from the
imposition of personal income taxes pursuant to article twenty-two of
the tax law, less such amounts as the commissioner of taxation and
finance may determine to be necessary for refunds, (b) fifty percent of
receipts from the imposition of employer compensation expense taxes
pursuant to article twenty-four of the tax law, less such amounts as the
commissioner of taxation and finance may determine to be necessary for
refunds, and (c) fifty percent of receipts from the imposition of the
pass-through entity taxes pursuant to article twenty-four-A of the tax
law, less such amounts as the commission of taxation and finance may
determine to be necessary for refunds.
3. (a) Beginning on the first day of each month, the comptroller shall
deposit all of the receipts collected pursuant to section six hundred
seventy-one of the tax law in the revenue bond tax fund until the amount
of monthly receipts anticipated to be deposited pursuant to the
certificate required in paragraph (b) of subdivision five of this
section are met. On or before the twelfth day of each month, the
commissioner of taxation and finance shall certify to the state
comptroller the amounts specified in paragraph (a) of subdivision two of
this section relating to the preceding month and, in addition, no later
than March thirty-first of each fiscal year the commissioner of taxation
and finance shall certify such amounts relating to the last month of
such fiscal year. The amounts so certified shall be deposited by the
state comptroller in the revenue bond tax fund.
(b) Beginning on the first day of each month, the comptroller shall
deposit all of the receipts collected pursuant to section eight hundred
fifty-four of the tax law in the revenue bond tax fund until the amount
of monthly receipts anticipated to be deposited pursuant to the
certificate required in paragraph (b) of subdivision five of this
section are met. On or before the twelfth day of each month, the
commissioner of taxation and finance shall certify to the state
comptroller the amounts specified in paragraph (b) of subdivision two of
this section relating to the preceding month and, in addition, no later
than March thirty-first of each fiscal year the commissioner of taxation
and finance shall certify such amounts relating to the last month of
such fiscal year. The amounts so certified shall be deposited by the
state comptroller in the revenue bond tax fund.
(c) Beginning on the first day of each month, the comptroller shall
deposit all of the receipts collected pursuant to sections eight hundred
sixty-four and eight hundred sixty-five of the tax law in the revenue
bond tax fund until the amount of monthly receipts anticipated to be
deposited pursuant to the certificate required in paragraph (b) of
subdivision five of this section are met. On or before the twelfth day
of each month, the commissioner of taxation and finance shall certify to
the state comptroller the amounts specified in paragraph (c) of
subdivision two of this section relating to the preceding month and, in
addition, no later than March thirty-first of each fiscal year the
commissioner of taxation and finance shall certify such amounts relating
to the last month of such fiscal year. The amounts so certified shall be
deposited by the state comptroller in the revenue bond tax fund.
4. Moneys in the revenue bond tax fund shall be kept separate and
shall not be commingled with any other moneys in the custody of the
state comptroller and the commissioner of taxation and finance. All
deposits of such revenues shall, if required by the state comptroller,
be secured by obligations of the United States or of the state having a
market value equal at all times to the amount of such deposits and all
banks and trust companies are authorized to give security for such
deposits. Any such moneys in such fund may, in the discretion of the
state comptroller, be invested in obligations in which the state
comptroller is authorized to invest pursuant to section ninety-eight-a
of this article.
5. (a) The state comptroller shall from time to time, but in no event
later than the fifteenth day of each month (other than the last month of
the fiscal year) and no later than the thirty-first day of the last
month of each fiscal year, pay over and distribute to the credit of the
general fund of the state treasury all moneys in the revenue bond tax
fund, if any, in excess of the aggregate amount required to be set aside
for the payment of cash requirements pursuant to paragraph (b) of this
subdivision, provided that an appropriation has been made to pay all
amounts specified in any certificate or certificates delivered by the
director of the budget pursuant to paragraph (b) of this subdivision as
being required by each authorized issuer as such term is defined in
section sixty-eight-a of this chapter for the payment of cash
requirements of such issuers for such fiscal year. Subject to the rights
of holders of debt of the state, in no event shall the state comptroller
pay over and distribute any moneys on deposit in the revenue bond tax
fund to any person other than an authorized issuer pursuant to such
certificate or certificates (i) unless and until the aggregate of all
cash requirements certified to the state comptroller as required by such
authorized issuers to be set aside pursuant to paragraph (b) of this
subdivision for such fiscal year shall have been appropriated to such
authorized issuers in accordance with the schedule specified in the
certificate or certificates filed by the director of the budget or (ii)
if, after having been so certified and appropriated, any payment
required to be made pursuant to paragraph (b) of this subdivision has
not been made to the authorized issuers which was required to have been
made pursuant to such certificate or certificates; provided, however,
that no person, including such authorized issuers or the holders of
revenue bonds, shall have any lien on moneys on deposit in the revenue
bond tax fund. Any agreement entered into pursuant to section
sixty-eight-c of this chapter related to any payment authorized by this
section shall be executory only to the extent of such revenues available
to the state in such fund. Notwithstanding subdivisions two and three of
this section, in the event the aggregate of all cash requirements
certified to the state comptroller as required by such authorized
issuers to be set aside pursuant to paragraph (b) of this subdivision
for the fiscal year beginning on April first shall not have been
appropriated to such authorized issuers in accordance with the schedule
specified in the certificate or certificates filed by the director of
the budget or, (ii) if, having been so certified and appropriated, any
payment required to be made pursuant to paragraph (b) of this
subdivision has not been made pursuant to such certificate or
certificates, all receipts collected pursuant to section six hundred
seventy-one of the tax law, section eight hundred fifty-four of the tax
law, section eight hundred sixty-four of the tax law, and section eight
hundred sixty-five of the tax law shall be deposited in the revenue bond
tax fund until the greater of forty percent of the aggregate of the
receipts from the imposition of (A) the personal income tax imposed by
article twenty-two of the tax law, (B) the employer compensation expense
tax imposed by article twenty-four of the tax law, and (C) the
pass-through entity tax imposed by article twenty-four-A of the tax law
for the fiscal year beginning on April first and as specified in the
certificate or certificates filed by the director of the budget pursuant
to this paragraph or a total of twelve billion dollars has been
deposited in the revenue bond tax fund. Notwithstanding any other
provision of law, if the state has appropriated and paid to the
authorized issuers the amounts necessary for the authorized issuers to
meet their requirements for the current fiscal year pursuant to the
certificate or certificates submitted by the director of the budget
pursuant to paragraph (b) of this section, the state comptroller shall,
on the last day of each fiscal year, pay to the general fund of the
state all sums remaining in the revenue bond tax fund on such date
except such amounts as the director of the budget may certify are needed
to meet the cash requirements of authorized issuers during the
subsequent fiscal year.
(b) No later than thirty days after the submission of the executive
budget in accordance with article seven of the constitution, the
director of the budget shall prepare a certificate of the amount of
monthly receipts anticipated to be deposited pursuant to subdivision two
of this section during the fiscal year beginning April first of that
year together with the monthly amounts necessary to be set aside from
the receipts of such fund, as shall be sufficient to meet the total cash
requirements of authorized issuers, as defined by section sixty-eight-a
of this chapter during such fiscal year, based on information that shall
be provided by such authorized issuers, consistent with the terms of any
contract with outstanding bondholders. Such monthly set asides shall
equal not less than the total debt service requirements due to all
authorized issuers in the following month and as certified by the
director of the budget, except in the case of revenue bonds of an
authorized issuer that are due on a monthly or more frequent basis. The
state comptroller shall set aside all such moneys as received in the
revenue bond tax fund until the amount set aside is equal to the monthly
amount of cash requirements, as certified by the director of the budget.
Notwithstanding subdivision three of section seventy-two of this article
or any other provision of law, all moneys set aside in the revenue bond
tax fund to meet the annual cash requirements of authorized issuers
pursuant to a certificate or certificates as required in this paragraph
shall remain in the revenue bond tax fund until needed for payment to
authorized issuers, as provided in this section. For the purpose of
meeting any required payment on any issue of revenue bonds of an
authorized issuer that is due on a monthly or more frequent basis, the
state comptroller shall set aside all receipts deposited pursuant to
subdivision three of this section as received until the amount so set
aside is, in accordance with the schedule set forth for such purpose by
the director of the budget, sufficient to pay the required payment on
such issue and any other such issue with a payment date on or before
such payment date. In the event that the amount set aside by the state
comptroller pursuant to this paragraph is not sufficient to meet the
cash requirements required pursuant to a certificate or certificates
submitted by the director of the budget, the state comptroller shall
immediately transfer from the general fund to the revenue bond tax fund
an amount which, when combined with the amount set aside pursuant to
this paragraph, shall be sufficient to meet the payment required
pursuant to such certificate or certificates. The director of the budget
may revise such certification at such times as shall be necessary,
provided, however, that the director of the budget shall, as necessary,
revise such certification not later than thirty days after the issuance
of any revenue bonds, including refunding bonds, and after the adoption
of any interest rate exchange or other financial arrangement affecting
the cash requirements of the authorized issuers. In no event shall the
state comptroller be held liable for the failure to set aside an amount
sufficient to pay any required payment of an authorized issuer.
6. All payments of moneys from the revenue bond tax fund shall be made
on the audit and warrant of the state comptroller.
Special school purpose school aid. 1. School aid shall
consist of all public funds apportioned or otherwise made payable by the
state to the school district of a special school purpose municipality as
provided for by article seventy-three of the education law.
2. For purposes of this section, the terms school aid revenues,
special school purpose municipality, special school purpose bonds and
special school purpose school aid revenues shall have the meanings set
forth in section two thousand four hundred thirty-two of the public
authorities law.
3. Upon receipt by the comptroller of a certificate or certificates
from the chairman of the state of New York municipal bond bank agency
pursuant to section two thousand four hundred thirty-six-a of the public
authorities law, the comptroller shall pay the school aid revenues to
said agency, in accordance with such certification and subject to
agreements with holders of outstanding special school purpose bonds of
said agency. Any such payment shall be made within thirty days of
receipt of the certification or at the time specified in the
certification, whichever is later; provided that any such school aid
revenues shall have been first appropriated by the state as school aid
or shall have been otherwise made available. Any such payment of school
aid revenues to the agency shall not obligate the state to make, nor
entitle such special school purpose municipality to receive, any
additional school aid.
4. Nothing contained herein shall be construed to create a debt of the
state within the meaning of any constitutional or statutory provisions.
Any provision with respect to school aid or school aid revenues shall be
deemed executory only to the extent of moneys available and no liability
shall be incurred by the state beyond the moneys available for that
purpose, and any such payment by the comptroller of school aid revenues
is subject to annual appropriation of school aid by the state
legislature.
5. Nothing contained herein shall be deemed to restrict the right of
the state to amend, repeal, modify or otherwise alter article
seventy-three of the education law. The state of New York municipal bond
bank agency shall not include within any resolution, contract or
agreement with holders of its bonds or notes any provision which
provides that a default occurs as a result of the state exercising its
right to amend, repeal, modify or otherwise alter article seventy-three
of the education law.
6. During the period that the comptroller is required to make payments
to the state of New York municipal bond bank agency as provided in this
section, each special school purpose municipality that has entered into
a special school purpose agreement shall have no right, title or
interest in or to school aid revenues.
7. Any school aid not required to be transferred by the comptroller to
the state of New York municipal bond bank agency as school aid revenues
pursuant to subdivision three of this section shall be transferred as
special school purpose school aid revenue by the comptroller to the
special school purpose municipality pursuant to section twenty-five
hundred eighty of the education law and the applicable provisions of
article seventy-three of such law.
Waste management and cleanup fund. 1. There is hereby
established in the joint custody of the state comptroller and the
commissioner of the department of taxation and finance a special fund to
be known as the "waste management and cleanup fund".
2. The waste management and cleanup fund shall consist of all revenue
collected from waste tire management and recycling fees pursuant to
section 27-1913 of the environmental conservation law and any cost
recoveries or other revenues collected pursuant to title nineteen of
article twenty-seven of the environmental conservation law, and any
other monies deposited into the fund pursuant to law.
3. Moneys of the fund, following appropriation by the legislature,
shall be used for execution of waste tire management and recycling
pursuant to title nineteen of article twenty-seven of the environmental
conservation law, and expended for the purposes as set forth in section
27-1915 of the environmental conservation law.
Rainy day reserve fund. 1. There is hereby established in the
state treasury a fund to be known as the "rainy day reserve fund". Such
fund shall consist of moneys deposited therein and monies shall be
withdrawn from such fund only for the purposes as provided therein.
2. Such fund shall have a maximum balance not to exceed twenty-five
per centum of the aggregate amount projected to be disbursed from the
general fund during the then-current fiscal year. At the request of the
director of the budget, the state comptroller shall transfer monies to
the rainy day reserve fund up to and including an amount equivalent to
fifteen per centum of the aggregate amount projected to be disbursed
from the general fund during the then-current fiscal year, unless such
transfer would increase the rainy day reserve fund to an amount in
excess of twenty-five per centum of the aggregate amount projected to be
disbursed from the general fund during the then-current fiscal year, in
which event such transfer shall be limited to such amount as will
increase the rainy day reserve fund to such twenty-five per centum
limitation.
3. a. The amounts available in such reserve may be used if the
following conditions are met:
(i) Economic downturn. The commissioner of labor shall calculate and
publish, on or before the fifteenth day of each month, a composite index
of business cycle indicators. Such index shall be calculated using
monthly data on New York state private sector employment, average weekly
hours of manufacturing workers, and the unemployment rate prepared by
the department of labor or its successor agency, and total sales tax
collections adjusted for inflation, prepared by the department of
taxation and finance or its successor agency. Such index shall be
adjusted for seasonal variations in accordance with the procedures
issued by the United States Census Bureau or its successor agency. If
the composite index declines for five consecutive months, the
commissioner of labor shall notify the governor, the speaker of the
assembly, the temporary president of the senate, and the minority
leaders of the assembly and the senate. Upon such notification, the
director of the budget may authorize and direct the comptroller to
transfer from the rainy day reserve fund to the general fund such
amounts as the director of the budget deems necessary to meet the
requirements of the state financial plan. The authority to transfer
funds under the provisions of this subdivision shall lapse when the
composite index shall have increased for five consecutive months or
twelve months from the original notification of the commissioner of
labor, whichever occurs earlier. Provided, however, that for every
additional and consecutive monthly decline succeeding the five month
decline so noted by the commissioner of labor, the twelve month lapse
date shall be extended by one additional month; or
(ii) Catastrophic events. In the event of a need to repel invasion,
suppress insurrection, defend the state in war, or to respond to any
other emergency resulting from a disaster, including but not limited to,
a disaster caused by an act of terrorism, the director of the budget may
authorize and direct the comptroller to transfer from the rainy day
reserve fund to the general fund such amounts as the director of the
budget deems necessary to meet the requirements of the state financial
plan.
b. Prior to authorizing any transfer from the rainy day reserve fund
pursuant to the provisions of this section, the director of the budget
shall notify the speaker of the assembly, the temporary president of the
senate, and the minority leaders of the assembly and the senate. Such
letter shall specify the reasons for the transfer and the amount
thereof. Any amounts transferred from the rainy day reserve fund to the
general fund shall be subject to all the repayment provisions of this
section.
4. Any transfer authorized in subdivision three of this section shall
be repaid in cash within a period of three years after the date that
such authority to transfer funds under the provisions of this
subdivision lapses, provided however that any transfer authorized as a
result of a catastrophic event shall be subject to repayment provisions
to be proposed by the governor and implemented by appropriation or
transfer of funds.
5. Moneys in the rainy day reserve fund may be temporarily loaned to
the general fund during any fiscal year in anticipation of the receipt
of revenues from taxes, fees and other sources required to be paid into
the general fund during such fiscal year. Moneys so temporarily loaned
shall be repaid in cash during the same fiscal year.
Health care reform act (HCRA) resources fund. Notwithstanding
any contrary provision of law, there is hereby established in the joint
custody of the comptroller and the department of health a fund to be
known as the health care reform act resources fund. Such fund shall be
composed of the HCRA program account and the HCRA transition account,
which are hereby established, and such other existing or other duly
authorized funds or accounts which the director of the budget, upon
recommendation of the commissioner of health, may direct to be
transferred into the HCRA resources fund. Such fund shall be
administered in accordance with the following:
(a) On and after April first, two thousand five, such fund shall
consist of the revenues heretofore and hereafter collected or required
to be deposited pursuant to paragraph (a) of subdivision eighteen of
section twenty-eight hundred seven-c, and sections twenty-eight hundred
seven-j, twenty-eight hundred seven-s and twenty-eight hundred seven-t
of the public health law, subdivisions (b) and (c) of section four
hundred eighty-two and section eleven hundred eighty-six of the tax law
and required to be credited to the tobacco control and insurance
initiatives pool, subparagraph (O) of paragraph four of subsection (j)
of section four thousand three hundred one of the insurance law, section
twenty-seven of part A of chapter one of the laws of two thousand two
and all other moneys credited or transferred thereto from any other fund
or source pursuant to law.
(b) The pool administrator under contract with the commissioner of
health pursuant to section twenty-eight hundred seven-y of the public
health law shall continue to collect moneys required to be collected or
deposited pursuant to paragraph (a) of subdivision eighteen of section
twenty-eight hundred seven-c, and sections twenty-eight hundred seven-j,
twenty-eight hundred seven-s and twenty-eight hundred seven-t of the
public health law, and shall deposit such moneys in the HCRA resources
fund. The comptroller shall deposit moneys collected or required to be
deposited pursuant to subdivisions (b) and (c) of section four hundred
eighty-two of the tax law and required to be credited to the tobacco
control and insurance initiatives pool, subparagraph (O) of paragraph
four of subsection (j) of section four thousand three hundred one of the
insurance law, section twenty-seven of part A of chapter one of the laws
of two thousand two and all other moneys credited or transferred thereto
from any other fund or source pursuant to law in the HCRA resources
fund.
(c) The pool administrator shall, from appropriated funds transferred
to the pool administrator from the comptroller, continue to make
payments as required pursuant to sections twenty-eight hundred seven-k,
twenty-eight hundred seven-m (not including payments made pursuant to
paragraphs (c), (d),, (f) and (g) of subdivision five-a of section
twenty-eight hundred seven-m), and twenty-eight hundred seven-w of the
public health law, paragraph (e) of subdivision twenty-five of section
twenty-eight hundred seven-c of the public health law, paragraphs (b)
and (c) of subdivision thirty of section twenty-eight hundred seven-c of
the public health law, paragraph (b) of subdivision eighteen of section
twenty-eight hundred eight of the public health law, subdivision seven
of section twenty-five hundred-d of the public health law and section
eighty-eight of chapter one of the laws of nineteen hundred ninety-nine.
(d) Moneys in the health care reform act resources fund shall be kept
separate from and shall not be commingled with any other moneys in the
joint or sole custody of the comptroller and the department of health.
(e) Moneys of the fund, following appropriation by the legislature,
shall be expended in accordance with sections twenty-eight hundred
seven-k, twenty-eight hundred seven-l, twenty-eight hundred seven-m, and
twenty-eight hundred seven-v of the public health law, pursuant to a
certificate of approval of availability issued by the director of the
budget, upon the recommendation of the commissioner of health, or where
appropriate, the superintendent of financial services, the commissioner
of mental health and the director of the state office for the aging, and
a copy of such certificate filed with the state comptroller, the
chairperson of the senate finance committee and the chairperson of the
assembly ways and means committee.
(f) The moneys, following allocation, shall be paid out of the fund on
the audit and warrant of the comptroller on vouchers certified or
approved by the commissioner of health, or by an officer or employee of
the department of health designated by the commissioner.
(g) Upon the direction of the director of the budget, the state
comptroller shall transfer amounts up to the undisbursed balance of
existing funds and accounts supported by revenues collected pursuant to
HCRA to the HCRA resources fund.
(h) The comptroller shall provide the pool administrator with any
information needed, in a form or format prescribed by the pool
administrator, to meet health care reform act reporting requirements as
set forth in article twenty-eight of the public health law or as
otherwise provided by law.
(i) The commissioner of health and the comptroller are directed to
develop an expedited process to make immediate payments to any provider
or an immediate transfer of funds to the pool administrator for the
purposes of making necessary distributions, within available
appropriations therefor, in accordance with sections twenty-eight
hundred seven-k, twenty-eight hundred seven-l, twenty-eight hundred
seven-m, and twenty-eight hundred seven-v of the public health law to
address emergency provider cash needs, as determined by the commissioner
of health.
New York state higher education endowment. There is hereby
established in the custody of the comptroller a fund to be known as the
New York state higher education endowment. Notwithstanding any other
provision of law, all of the assets and income of the endowment shall be
held and invested by the comptroller as trustee of such endowment,
except such income as may be allocated or distributed by the comptroller
pursuant to appropriation. The endowment shall consist of amounts
transferred into such endowment, and any other amounts as may be
deposited in the endowment from other public or private sources. Amounts
transferred to or deposited into the endowment shall be dedicated to the
city university of New York and the state university of New York, and
shall be used for no other purpose and distributions from the endowment
shall be used to supplement, rather than supplant, appropriations from
the state in support of the city university of New York and the state
university of New York. The full amount of the principal of the
endowment shall be preserved and annual payments shall be made from the
investment earnings of the endowment in support of the city university
of New York and the state university of New York, to provide funding for
purposes including, but not limited to, employment of additional
full-time faculty members, student financial aid to improve access,
grants for research and development, and for additional higher education
purposes as may be authorized.
Metropolitan transportation authority financial assistance
fund. 1. There is hereby established in the joint custody of the
commissioner of taxation and finance and the state comptroller a special
fund to be known as the "metropolitan transportation authority financial
assistance fund".
2. Moneys in the metropolitan transportation authority financial
assistance fund shall be kept separately from and shall not be
commingled with any other moneys in the joint or sole custody of the
state comptroller or the commissioner of taxation and finance.
3. Such fund shall consist of all moneys collected therefor or
credited or transferred thereto from any other fund, account or source.
Any interest received by the comptroller on moneys on deposit in the
metropolitan transportation authority financial assistance fund shall be
retained in and become a part of such fund.
4. The metropolitan transportation authority financial assistance fund
shall consist of two separate and distinct accounts: (a) the "mobility
tax trust account" and (b) the "metropolitan transportation authority
aid trust account." Moneys in each of the accounts shall be kept
separately from and not commingled with any other moneys in the
metropolitan transportation authority financial assistance fund.
5. (a) The "mobility tax trust account" shall consist of moneys
credited or transferred thereto from any fund or source pursuant to law.
(b) Moneys in the "mobility tax trust account" shall, pursuant to
appropriation by the legislature, be transferred on a monthly basis to
the metropolitan transportation authority finance fund established by
section twelve hundred seventy-h of the public authorities law and
utilized in accordance with said section. It is the intent of the
legislature to enact two appropriations from the mobility tax trust
account to the metropolitan transportation authority finance fund
established by section twelve hundred seventy-h of the public
authorities law. One such appropriation shall be equal to the amounts
expected to be available from any monies described in paragraph (a) of
this subdivision during the two thousand eighteen--two thousand nineteen
fiscal year and shall be effective in that fiscal year. The other such
appropriation shall be equal to the amounts expected to be available
from any monies described in paragraph (a) of this subdivision during
the two thousand nineteen--two thousand twenty fiscal year and shall,
notwithstanding the provisions of section forty of this chapter, take
effect on the first day of the two thousand nineteen--two thousand
twenty fiscal year and lapse on the last day of that fiscal year. It is
the intent of the governor to submit and the legislature to enact for
each fiscal year after the two thousand eighteen--two thousand nineteen
fiscal year in an annual budget bill: (i) an appropriation for the
amount expected to be available in the mobility tax trust account during
such fiscal year for the metropolitan transportation authority from any
monies described in paragraph (a) of this subdivision; and (ii) an
appropriation for the amount projected by the director of the budget to
be deposited in the mobility tax trust account from any monies described
in paragraph (a) of this subdivision for the next succeeding fiscal
year. Such appropriation for payment of revenues projected to be
deposited in the succeeding fiscal year shall, notwithstanding the
provisions of section forty of this chapter, take effect on the first
day of such succeeding fiscal year and lapse on the last day of such
fiscal year. If for any fiscal year commencing on or after the first day
of April, two thousand ten the governor fails to submit a budget bill
containing the foregoing, or the legislature fails to enact a bill with
such provisions, then the metropolitan transportation authority shall
notify the comptroller, the director of the budget, the chairperson of
the senate finance committee and the chairperson of the assembly ways
and means committee of amounts required to be disbursed from the
appropriation made during the preceding fiscal year for payment in such
fiscal year. In no event shall the comptroller make any payments from
such appropriation prior to May first of such fiscal year, and unless
and until the director of the budget, the chairperson of the senate
finance committee and the chairperson of the assembly ways and means
committee have been notified of the required payments and the timing of
such payments to be made from the mobility tax trust account to the
metropolitan transportation authority finance fund established by
section twelve hundred seventy-h of the public authorities law at least
forty-eight hours prior to any such payments. Until such time as
payments pursuant to such appropriation are made in full, revenues in
the mobility tax trust account shall not be paid over to any person
other than the metropolitan transportation authority.
6. (a) The "metropolitan transportation authority aid trust account"
shall consist of moneys credited or transferred thereto from any other
source pursuant to law.
(b) Moneys in the metropolitan transportation authority aid trust
account shall, following appropriation by the legislature, be deposited
quarterly by the comptroller into the corporate transportation account
of the metropolitan transportation authority special assistance fund
established by section twelve hundred seventy-a of the public
authorities law, to be applied as provided in paragraph (e) of
subdivision four of such section twelve hundred seventy-a of the public
authorities law.
7. Nothing contained in this section shall be deemed to restrict the
right of the state to amend, repeal, modify or otherwise alter statutes
imposing or relating to the taxes and fees producing revenues for
deposit in the metropolitan transportation authority financial
assistance fund or the appropriations relating thereto. The metropolitan
transportation authority shall not include within any resolution,
contract or agreement with holders of the bonds or notes issued under
section twelve hundred sixty-nine of the public authorities law any
provision which provides that a default occurs as a result of the state
exercising its right to amend, repeal, modify or otherwise alter such
taxes or appropriations.
* § 92-gg. Charitable gifts trust fund. 1. There is hereby established
in the joint custody of the commissioner of taxation and finance and the
state comptroller a special fund pursuant to section eleven of this
chapter to be known as the "charitable gifts trust fund".
2. Moneys in the charitable gifts trust fund shall be kept separate
from and shall not be commingled with any other moneys in the custody of
the comptroller or the commissioner of taxation and finance. Provided,
however that any moneys of the fund not required for immediate use may,
at the discretion of the comptroller, in consultation with the director
of the budget, be invested by the comptroller in obligations of the
United States or the state. The proceeds of any such investment shall be
retained by the fund as assets to be used for purposes of the fund.
3. Except as set forth in subdivisions two and four of this section,
no moneys from the charitable gifts trust fund shall be transferred to
any other fund, nor shall moneys from the fund be used to make payments
for any purpose other than the purposes set forth in subdivisions two
and four of this section.
4. The charitable gifts trust fund shall have two separate and
distinct accounts, as set forth in paragraphs a and b of this
subdivision. Moneys in each of the accounts shall be kept separate from
and shall not be commingled with any other moneys of any other account
within the fund.
a. The "health charitable account" shall consist of monetary grants,
gifts or bequests received by the state, and all other moneys credited
or transferred thereto from any other fund or source. Moneys of such
account shall only be expended for the support of services relating to
primary, preventive, and inpatient health care, dental and vision care,
hunger prevention and nutritional assistance, and other services for New
York state residents with the overall goal of ensuring that New York
state residents have access to quality health care and other related
services.
b. The "elementary and secondary education charitable account" shall
consist of monetary grants, gifts or bequests received by the state for
the support of elementary and secondary education of children enrolled
in public school districts in the state and all other moneys credited or
transferred thereto from any other fund or source. Moneys of such
account shall only be expended for the provision of elementary and
secondary education of children in the state.
* NB There are 2 § 92-gg's
Health care transformation fund. 1. There is hereby
established in the joint custody of the state comptroller and the
commissioner of taxation and finance a fund to be known as the "health
care transformation fund".
2. Such fund shall consist of moneys paid thereto from (a) contingent
reserves redeployed pursuant to section forty-four hundred sixteen of
the public health law, (b) moneys transferred to such fund pursuant to
law, and (c) contributions, consisting of grants of any money, including
grants or other financial assistance from any agency of government or
any other source, to be paid into this fund.
3. Moneys in the health care transformation fund shall be kept
separate and shall not be commingled with any other moneys in the
custody of the state comptroller and the commissioner of taxation and
finance.
4. Notwithstanding any provision of law to the contrary, moneys of the
health care transformation fund shall be available for transfer to any
other fund of the state as authorized and directed by the director of
the budget to support health care delivery, including for capital
investment, debt retirement or restructuring, housing and other social
determinants of health, or transitional operating support to health care
providers.
5. Within fifteen days after executing or modifying an allocation,
transfer, distribution or other use of the health care transformation
fund, the commissioner shall provide written notice to the chairs of the
senate finance committee, the assembly ways and means committee, the
senate and assembly insurance committees, and the senate and assembly
health committees. Such notice shall include, but shall not be limited
to, information on the amount, date, and purpose of the allocation,
transfer, distribution, or other use, and the methodology used to
distribute the moneys.
6. The director of the budget shall provide quarterly reports to the
chair of the senate finance committee and the chair of the assembly ways
and means committee on the receipts and distributions of the health care
transformation fund, including an itemization of such receipts and
disbursements, the historical and projected expenditures, and the
projected fund balance.
Metropolitan transportation authority capital assistance
fund. 1. There is hereby established in the custody of the comptroller
a special fund to be known as the metropolitan transportation authority
capital assistance fund.
2. Such fund shall consist of any monies directed thereto pursuant to
the provisions of section three of part UUU of chapter fifty-eight of
the laws of two thousand twenty and to the provisions of section three
of the part of the chapter of the laws of two thousand twenty-five which
amended this subdivision.
3. All monies deposited into the fund pursuant to part UUU of chapter
fifty-eight of the laws of two thousand twenty and the part of the
chapter of the laws of two thousand twenty-five which amended this
subdivision shall be paid to the metropolitan transportation authority
by the comptroller, without appropriation, for use in the same manner as
the payments required by section two of such part, as soon as
practicable but not more than five days from the date the comptroller
determines that the full amount of the unpaid balance of any payment
required by section three of part UUU of chapter fifty-eight of the laws
of two thousand twenty and by section three of such part of the chapter
of the laws of two thousand twenty-five which amended this subdivision
has been deposited into the fund.
Metropolitan transportation authority paratransit assistance
fund. 1. There is hereby established in the custody of the comptroller a
special fund to be known as the metropolitan transportation authority
paratransit assistance fund.
2. Such fund shall consist of any monies directed thereto pursuant to
the provisions of section seven of the part of the chapter of the laws
of two thousand twenty which added this section.
3. All monies deposited into the fund pursuant to the part of the
chapter of the laws of two thousand twenty which added this section
shall be paid to the metropolitan transportation authority by the
comptroller, without appropriation, for use in the same manner as the
payments required by section six of such part, as soon as practicable
but not more than five days from the date the comptroller determines
that the full amount of the unpaid balance of any payment required by
section seven of such part has been deposited into the fund.
Capital projects fund. 1. The fund, heretofore created and known
and designated as the post-war reconstruction fund, is hereby continued,
and shall be hereafter known as the capital projects fund and classified
by the comptroller within the capital projects funds fund type. Such
fund shall consist of all moneys collected therefor, or credited or
transferred thereto from any other fund or source, pursuant to law.
2. Expenditures pursuant to appropriations may be made from the
capital projects fund for construction, reconstruction and improvements,
including the acquisition of land, for the acquisition or replacement of
equipment, for the preparation and review of plans and specifications
including engineering and other services, field surveys and sub-surface
investigations incidental thereto, and for the payment by the state, as
an advance, of the part or share of the cost of any project, improvement
or work heretofore or hereafter authorized by an appropriation act. The
state comptroller is hereby authorized to accept and receive amounts of
money equal to the amounts of money expended by the state pursuant to
any such advance from any other capital projects fund appropriation and
to deposit the same to the credit of the capital projects fund or, in
the event the capital projects fund expenditure has been reimbursed from
the proceeds of the sale of state bonds, to the credit of the state fund
or subfund providing such initial reimbursement of the capital projects
fund so that the state shall be reimbursed for any and all such advances
for state capital projects including highways, parkways, grade crossing
elimination and rail preservation projects; outdoor recreation and
environmental conservation projects; and buildings and other capital
facilities required by state departments and agencies. Grants to local
governments appropriated from bond proceeds shall also be considered
capital projects appropriations for the purpose of this section.
3. Notwithstanding the provisions of any general or special law, no
part of any capital projects fund appropriation shall be available until
a certificate of approval of availability for so much as shall be
necessary to accomplish the purposes designated by the appropriations
shall have been issued by the director of the budget, and a copy of such
certificate of approval filed with the state comptroller, the chairman
of the senate finance committee and the chairman of the assembly ways
and means committee. Such certificate may be amended by the director of
the budget in the same manner as originally authorized. Moneys so
approved shall be paid on the audit and warrant of the state comptroller
on vouchers approved by the public officers of the respective state
departments to which such moneys are made available or as otherwise
specified in an appropriation.
4. (a) Whenever it appears to the satisfaction of the director of the
budget that: (i) a capital project for which an appropriation or
appropriations, including reappropriations, from such capital projects
fund has or have been made as part of a comprehensive construction
program to a department or agency of the state, cannot or will not be
advanced during the current fiscal year because of shortage or
unavailability of men or materials, or because plans for the project are
incomplete or require revision, or because of excessive cost, or because
of forced delay pending completion of other work, or any combination of
such reasons; and (ii) the appropriation or appropriations available
therefor accordingly will not be used for such project during such year;
a portion of such appropriation or appropriations may be transferred and
allocated, as hereinafter in this subdivision provided, to and for any
other specific capital project or projects within such program for which
an appropriation or appropriations from such fund are in force.
(b) Whenever it appears to the satisfaction of the director of the
budget that a capital project for which an appropriation or
appropriations, including reappropriations, from such capital projects
fund has or have been made as part of a comprehensive construction
program to a department or agency of the state, can be completed or
undertaken and completed, including payment of all costs chargeable
thereto, for an amount less than the total amount available from such
appropriation or appropriations, the whole or any portion of the amount
not required therefor may be transferred and allocated, as hereinafter
in this subdivision provided, to and for any other specific capital
project or projects within such program for which an appropriation or
appropriations from such fund are in force.
(c) Notwithstanding the foregoing provisions of this subdivision,
transfers and allocations of the type authorized by this subdivision may
be made by the director of the budget, subject to the further
restrictions of this subdivision, only if he determines, after receiving
and reviewing the certifications provided for by paragraph (d) of this
subdivision, that the amount appropriated for any capital project to
which the transfer and allocation is to be made is insufficient to
complete such project, and that such project is necessary and urgent.
(d) The director of the budget shall not authorize a transfer and
allocation unless and until the commissioner or other chief executive
officer of the state department, agency or corporation to which the
appropriation is provided, or the commissioner of general services with
respect to capital projects pertaining to the design, construction,
reconstruction and improvement of public buildings, immediately upon
determining the necessity for a transfer, shall submit to the director
of the budget, the chairman of the senate finance committee, and the
chairman of the assembly ways and means committee on forms and in a
manner to be prescribed by the director of the budget a statement
certifying: (i) the amount of the requested transfer and an estimate of
the timing of the disbursements and expenditures proposed to be made
pursuant to the transferred appropriation; (ii) a description of the
specific activities to be funded pursuant to the proposed transferred
appropriation; (iii) that the amount of the lowest bid received pursuant
to law with respect to, or that the amount of the final estimate for,
the construction of such a project exceeds the amount appropriated
therefor; and (iv) that the project is deemed by him to be necessary and
urgent.
(e) In the event that all of the requirements herein before in this
subdivision provided for with respect to any such transfer and
allocation have been fulfilled, the director of the budget may make and
issue a certificate of transfer and allocation of the amount of such
appropriation or appropriations to be so transferred and allocated and
the amount so specified may be transferred and allocated in accordance
with such certificate and may be expended for the capital project to
which such transfer and allocation is made except that the director of
the budget shall not authorize any transfer which would increase or
decrease the total of appropriations including reappropriations for
projects sharing the same purpose by an amount in excess of the
aggregate of twenty-five percent of the first five million dollars,
twenty percent of the second five million dollars, fifteen percent of
the third five million dollars and ten percent of any amount in excess
of fifteen million dollars, of such total amount as originally
appropriated for such purpose.
(f) The director of the budget shall file each certificate of such
transfer and allocation made by him with the state comptroller and shall
also file a copy of such certificate with the chairman of the senate
finance committee and with the chairman of the assembly ways and means
committee. Upon such filing the state comptroller shall make the
transfer provided for in such certificate and thereupon moneys shall be
available for expenditure in accordance with such transfer and
allocation.
(g) To the extent that moneys have been or will be encumbered,
expended or disbursed against any transferred appropriation prior to the
end of the fiscal year then in progress, the governor, at the time he
submits the budget bills for the following fiscal year pursuant to
section twenty-four of this chapter, shall also submit a budget bill
proposing conforming amendments to the previous appropriations bills
involved by bracketing the original appropriation amount and by
underscoring the new appropriation amount.
5. When, in any act, an appropriation or reappropriation is made from
such capital projects fund to any state department or agency or to a
city having a population of one million or more or to a public authority
owning or operating mass transportation facilities in three or more
counties wholly contained in such a city or to a subsidiary of such an
authority, for the payment of all or part of the cost of acquisition of
omnibuses to be operated by such an authority in such a city no part of
such appropriation shall be available for expenditure therefrom until a
written agreement is entered into by the department, agency, city or
public authority with the director of the budget providing in addition
to such other terms and conditions as may be required that a
proportionate amount of the total of such moneys shall be made available
and expended for the acquisition of omnibuses for each of the
established operating depots within the authority in an amount which is
at least equal to ninety per cent of the proportion resulting from the
annual number of miles traveled, multiplied by the annual number of
passengers carried by the omnibuses assigned to the operating depot
compared to the sum of the products of such factors for all operating
depots within the authority to be determined by the nearest preceding
year for which such totals have been ascertained. For the purposes of
computing the percentages provided in this subdivision, in any county in
which only one depot existed on January first, nineteen hundred
seventy-six, any additional depot or depots established after such date
shall be deemed to be part of such one depot. In addition, eighty per
cent of the omnibuses so acquired shall remain assigned to the original
county of assignment for a period of at least five years from the date
of acquisition. The provisions of this subdivision shall be controlling
and shall supersede any inconsistent provision of this section or
chapter or other law, schedule or agreement.
Dedicated infrastructure investment fund. 1. Dedicated
infrastructure investment fund. (a) There is hereby established in the
joint custody of the state comptroller and the commissioner of taxation
and finance a special fund to be known as the "dedicated infrastructure
investment fund".
(b) Account. The dedicated infrastructure investment fund shall
consist of one account, the "infrastructure investment account". Moneys
in this account shall be kept separate and not commingled with any other
moneys in the custody of the comptroller.
(c) Sources of funds. The sources of funds shall consist of all moneys
collected therefor, or moneys credited, appropriated or transferred
thereto from any other fund or source pursuant to law or any other
moneys made available for the purposes of the fund. Any interest
received by the comptroller on moneys on deposit shall be retained and
become part of the fund, unless otherwise directed by law.
2. Uses of funds. Following appropriation by the legislature, moneys
in the infrastructure investment account shall be available to finance
projects, works, activities or purposes necessary to support statewide
investments as appropriated by the legislature. Nothing contained in
this section shall be construed to limit in any way the projects, works,
activities or purposes that can be financed from this account, including
but not limited to loans of money to public corporations or authorities
under terms approved by the director of the budget.
3. Transfers. Notwithstanding any other provisions of law to the
contrary, commencing on April first, two thousand twenty-five, and
continuing through March thirty-first, two thousand thirty, the
comptroller is hereby authorized to transfer monies from the dedicated
infrastructure investment fund to the general fund, and from the general
fund to the dedicated infrastructure investment fund, in an amount
determined by the director of the budget to the extent moneys are
available in the fund; provided, however, that the comptroller is only
authorized to transfer monies from the dedicated infrastructure
investment fund to the general fund in the event of an economic downturn
as described in paragraph (a) of this subdivision; and/or to fulfill
disallowances and/or settlements related to over-payments of federal
medicare and medicaid revenues in excess of one hundred million dollars
from anticipated levels, as determined by the director of the budget and
described in paragraph (b) of this subdivision.
(a) Economic downturn. Notwithstanding any law to the contrary, for
the purpose of this section, the commissioner of labor shall calculate
and publish, on or before the fifteenth day of each month, a composite
index of business cycle indicators. Such index shall be calculated using
monthly data on New York state private sector employment, average weekly
hours of manufacturing workers, and the unemployment rate prepared by
the department of labor or its successor agency, and total sales tax
collections adjusted for inflation, prepared by the department of
taxation and finance or its successor agency. Such index shall be
adjusted for seasonal variations in accordance with the procedures
issued by the United States Census Bureau or its successor agency. If
the composite index declines for five consecutive months, the
commissioner of labor shall notify the governor, the speaker of the
assembly, the temporary president of the senate, and the minority
leaders of the assembly and the senate. Upon such notification, the
director of the budget may authorize and direct the comptroller to
transfer from the dedicated infrastructure investment fund to the
general fund such amounts as the director of the budget deems necessary
to meet the requirements of the state financial plan. The authority to
transfer funds under the provisions of this paragraph shall lapse when
the composite index shall have increased for five consecutive months or
twelve months from the original notification of the commissioner of
labor, whichever occurs earlier. Provided, however, that for every
additional and consecutive monthly decline succeeding the five month
decline so noted by the commissioner of labor, the twelve month lapse
date shall be extended by one additional month.
(b) Federal medicare and medicaid revenues. Notwithstanding any law to
the contrary, the director of the budget may authorize and direct the
comptroller to transfer from the dedicated infrastructure investment
fund to the general fund an amount not to exceed the disallowances
and/or settlements related to the over-payments of federal medicare and
medicaid revenues. In the event this authorization is utilized, the
director of the budget may authorize and direct the comptroller to
transfer such amount and the concomitant reduction in state share
medicare and medicaid revenues from the general fund to the
miscellaneous special revenue fund, mental hygiene program fund (21907),
the miscellaneous special revenue fund, patient income account (21909),
and the Medicaid Management Information System (MMIS) Statewide Escrow
Fund (60901).
(c) Prior to authorizing any transfer from the dedicated
infrastructure investment fund accounts pursuant to the provisions of
this section, the director of the budget shall notify the speaker of the
assembly, the temporary president of the senate, and the minority
leaders of the assembly and the senate. Such letter shall specify the
reasons for the transfer and the amount thereof.
Court facilities incentive aid fund. 1. There is hereby
established in the joint custody of the state comptroller and the
commissioner of taxation and finance a fund to be known as the "court
facilities incentive aid fund."
Within such fund there is hereby established a special account for
each political subdivision of the state to which state assistance is
apportioned and payable pursuant to section fifty-four-j of this
chapter.
2. (a) Such fund shall consist of the moneys transferred to the
account by the comptroller pursuant to subdivision four of this section
and pursuant to paragraph (c) of subdivision three of section
thirty-nine-b of the judiciary law. Each account in the court facilities
incentive aid fund established for a political subdivision shall be
credited with a portion of the moneys in the fund, which portion shall
be equal to the amount the assistance apportioned during the then
current state fiscal year to the political subdivision pursuant to
section fifty-four-j of this chapter bears to the total of such
assistance apportioned during such state fiscal year to all political
subdivisions entitled to such assistance during such state fiscal year;
provided, however, that no account established for a political
subdivision shall be credited with an amount greater than the amount of
assistance apportioned to such political subdivision pursuant to section
fifty-four-j of this chapter. Moneys in the fund in excess of the
amount credited to the accounts established for political subdivisions
shall be retained in the fund for application for the purposes of the
fund during subsequent state fiscal years. The moneys in the fund and
each account therein shall be appropriated for payment of state
assistance apportioned and payable pursuant to section fifty-four-j of
this chapter to the political subdivisions entitled thereto, for payment
to the dormitory authority pursuant to subdivision three of this section
and section sixteen hundred eighty-b of the public authorities law, and
for payment by the judiciary of costs and expenses required by section
thirty-nine-b of the judiciary law.
(b) Notwithstanding the foregoing, moneys in the fund in excess of the
amount credited to the accounts established for political subdivisions
pursuant to paragraph (a) of this subdivision shall be (1) transferred
by the state comptroller to the general debt service fund for payment of
the judiciary's expenses in relation to the New York state judicial
institute as provided in the agreement specified in subdivision two of
section two hundred nineteen-a of the judiciary law provided, however,
that such transfer shall not exceed amounts actually paid for such
expenses; and (2) available, subject to appropriation, for payments by
the judiciary for operation and maintenance expenses related to the New
York state judicial institute.
3. The moneys in each account within the court facilities incentive
aid fund established for a political subdivision shall be paid to the
political subdivision for which such account was established on or
within thirty days after the first day of May, August, November and
February of each state fiscal year; provided, however, that the amount
of each such payment shall not exceed twenty-five percent of the
assistance apportioned to such political subdivision pursuant to section
fifty-four-j of this chapter; and, provided, further, that no payment
shall be made to a political subdivision if, prior to such payment, the
chairman or another officer of the dormitory authority has certified to
the comptroller pursuant to section sixteen hundred eighty-b of the
public authorities law that such political subdivision has failed to pay
all or part of the rentals or other payments to be made under any lease,
sublease or other agreement with the dormitory authority, and the amount
set forth in such certificate remains unpaid by such political
subdivision or from moneys deducted by the comptroller in accordance
with section sixteen hundred eighty-b of the public authorities law from
moneys apportioned to such political subdivision. Upon receipt of a
certificate of the chairman or another officer of the dormitory
authority made in accordance with section sixteen hundred eighty-b of
the public authorities law, the comptroller shall pay to the dormitory
authority the moneys from time to time credited to the account in the
court facilities incentive aid fund established for such political
subdivision and deduct such amount from the assistance apportioned and
payable to such political subdivision and the assistance payable to such
political subdivision from the fund shall be reduced by the amount
deducted notwithstanding the amount appropriated and apportioned by the
state to such political subdivision, and the state shall not be
obligated to make, and the political subdivision shall not be entitled
to receive, any additional apportionment or payment of such assistance.
4. On or before April twentieth in each year, commencing with April
twentieth, nineteen hundred ninety-one, the chief administrator shall
determine and certify to the comptroller the difference between: (a) the
aggregate receipts derived by the state from the fees specified in
paragraph (e) of subdivision two of section thirty-nine of the judiciary
law during the fiscal year ending the preceding March thirty-first plus
all interest paid to the commissioner of taxation and finance during
such fiscal year pursuant to section one hundred eighty-two of this
chapter, and (b) the aggregate receipts derived by the state from the
fees specified in paragraph (e) of subdivision two of section
thirty-nine of the judiciary law during the state fiscal year commencing
April first, nineteen hundred eighty-six. One-half of the amount of such
difference shall thereupon be transferred by the comptroller from the
general fund to the court facilities incentive aid fund.
5. All payments of moneys from the court facilities incentive aid fund
shall be made on the audit and warrant of the comptroller on vouchers
certified or approved by the chief administrator of the courts.
6. On or before April thirtieth of each fiscal year, the comptroller
shall certify to the director of the budget and the chief administrator,
with copies of such certification filed with the chairmen of the senate
finance committee and the assembly ways and means committee, the amount
of moneys transferred from the court facilities incentive aid fund to
the general fund in the previous fiscal year, as well as the total
amount of moneys transferred from the court facilities incentive aid
fund to the general fund from the date of the establishment of the court
facilities incentive aid fund to the present, and the total, if any, of
moneys transferred from the general fund to the court facilities
incentive aid fund in all previous years pursuant to the court
facilities incentive aid fund guarantee set forth in this subdivision.
If in any fiscal year, moneys in the court facilities incentive aid
fund are insufficient to meet vouchers presented for payment charged to
appropriations made pursuant to this section, or for transfers made
pursuant to paragraph (b) of subdivision two of this section for payment
of the judiciary's expenses in relation to the New York state judicial
institute, as authorized pursuant to chapter six hundred thirteen of the
laws of nineteen hundred ninety-nine, because of transfers to the
general fund as certified by the state comptroller pursuant to this
subdivision, the comptroller shall transfer from the general fund to the
court facilities incentive aid fund sufficient moneys to meet the
vouchers or transfers. Such a transfer shall be made only upon
certification of need by the chief administrator of the courts with the
approval of the state comptroller, with copies of such certification
filed with the chairmen of the senate finance committee, the assembly
ways and means committee and the director of the budget. In no case
shall such transfers exceed the aggregate amount certified by the
comptroller in such fiscal year as having been previously transferred
from the court facilities incentive aid fund less the aggregate amount
certified by the comptroller in such fiscal year as having been
previously transferred to the court facilities incentive aid fund
pursuant to this subdivision.
New York city county clerks' operations offset fund. 1. There
is hereby established in the joint custody of the state comptroller and
the commissioner of taxation and finance a fund to be known as the "New
York city county clerks' operations offset fund."
2. Such fund shall consist of the moneys transferred thereto by the
comptroller pursuant to this section.
3. On or before April twentieth in each year commencing with April
twentieth, nineteen hundred ninety-five, the chief administrator shall
determine and certify to the comptroller the amount of the aggregate
receipts derived by the state from the fees specified in paragraphs one
and two of subdivision (f) of section eight thousand twenty and section
eight thousand twenty-one of the civil practice law and rules during the
fiscal year ending the preceding March thirty-first. That amount shall
thereupon transferred by the comptroller from the general fund to the
New York city county clerks' operations offset fund.
4. All moneys in the New York city county clerks' operations offset
fund shall be available, subject to appropriation, for the payment of
services and expenses of the offices of the county clerks in the city of
New York, including liabilities incurred in a prior fiscal year but
excluding services rendered and expenses incurred by those offices in
discharge of a county clerk's powers and duties as commissioner of
jurors.
5. All payments of moneys from the New York city county clerks'
operations offset fund shall be made on the audit and warrant of the
comptroller on vouchers certified or approved by the chief administrator
of the courts.
Judiciary data processing offset fund. 1. There is hereby
established in the joint custody of the state comptroller and the
commissioner of taxation and finance a fund to be known as the
"judiciary data processing offset fund."
2. Such fund shall consist of the moneys transferred thereto by the
comptroller pursuant to this section.
3. All moneys in the judiciary data processing offset fund shall be
available, subject to appropriation, for the payment of services and
expenses of the office of court administration necessary in the
discharge of its data processing function, including liabilities
incurred in a prior fiscal year.
4. All payments of moneys from the judiciary data processing offset
fund shall be made on the audit and warrant of the comptroller on
vouchers certified or approved by the chief administrator of the courts.
Abandoned property fund. 1. The state comptroller shall maintain
a special fund to be known as the abandoned property fund. Such fund
shall consist of all moneys paid to him pursuant to the provisions of
the abandoned property law and all moneys which by law are required to
be paid into such fund. All personal property, other than money,
delivered to him pursuant to the abandoned property law, or which by law
shall be delivered to him for the benefit of such fund, shall be
retained by him until sold pursuant to the provisions of the abandoned
property law in trust for the benefit of such fund.
2. Annually, the comptroller shall file with the director of the
budget an itemized estimate of the expenses for the administration of
the abandoned property fund for the ensuing year. The director of the
budget may revise and amend such estimate. After such revision and
amendment, if any, such director shall approve the same for inclusion in
the executive budget. No moneys shall be paid out of the abandoned
property fund for expenses unless expenditures therefor shall have been
authorized by law; provided, however, that the expenses for the
administration of the provisions of the abandoned property law paid by
the state comptroller pursuant to an appropriation, shall be reimbursed
by a transfer of funds no more frequently than monthly, from any balance
remaining in the abandoned property fund prior to any payment made
pursuant to the provisions of subdivision three of this section.
3. Whenever the amount of moneys in the abandoned property fund as of
the last day of any month shall exceed the greater of the sum of six
million dollars or an amount which in the comptroller's sole discretion
is necessary to satisfy claims against such fund during the immediately
succeeding month, the comptroller shall draw a warrant or voucher upon
such special fund for the amount in excess of such sum and shall pay
such amount into the state treasury to the credit of the general fund.
Notwithstanding the foregoing, the comptroller and the director of the
budget or their respective designees shall review the balance remaining
in the abandoned property fund as of the last day of the months of
March, June, September and December in each year, as soon as practicable
after each such date, and may mutually agree upon an amount to be paid
from such fund into the state treasury to the credit of the general
fund, which may cause the balance in such fund to fall below six million
dollars; provided, however, in no event shall the amount of moneys in
the abandoned property fund exceed seven hundred fifty thousand dollars
at the end of the last day of the fiscal year.
4. All moneys in the abandoned property fund shall be deposited by the
state comptroller in one or more state banks, trust companies or savings
banks. Any interest received by the comptroller upon any such deposit
and any interest or other moneys received by him on account of any
personal property other than money, retained by him for the benefit of
such fund, shall be the property of the state and shall be credited to
such fund.
5. (a) As often as necessary, the co-chairs of the state board of
elections shall certify the amount such co-chairs have determined
necessary to fund estimated payments from the fund established by
section ninety-two-t of this article for the primary, general or special
election.
(b) Notwithstanding any provision of this section authorizing the
transfer of any moneys in the abandoned property fund to the general
fund, the comptroller, after receiving amounts sufficient to pay claims
against the abandoned property fund, shall, based upon a certification
of the state board of elections pursuant to paragraph (a) of this
subdivision, and at the direction of the director of the budget,
transfer the requested amount from remaining available monies in the
abandoned property fund to the campaign finance fund established by
section ninety-two-t of this article.
New York state innovation in breast cancer early detection and
research awards program fund. 1. There is hereby established in the
joint custody of the state comptroller and commissioner of taxation and
finance a special fund to be known as the "New York state innovation in
breast cancer early detection and research awards program fund".
2. Such fund shall consist of all monies appropriated to such fund and
any grant, gift or bequest made to the fund.
3. Monies of the fund shall be available for the purposes of the
cancer detection and education program, pursuant to section twenty-four
hundred five of the public health law.
4. The monies of the fund shall be paid out on the audit and warrant
of the comptroller on vouchers certified or approved by the commissioner
of health, or by an officer or employee of the department of health
designated by such commissioner.
The New York state "drive out diabetes research and education
fund". 1. There is hereby established in the joint custody of the
commissioner of taxation and finance and the comptroller, a special fund
to be known as the New York state "drive out diabetes research and
education fund".
2. Such fund shall consist of all revenues received pursuant to the
provisions of section four hundred four-s of the vehicle and traffic law
and all other moneys appropriated, credited, or transferred thereto from
any other fund or source pursuant to law. Nothing contained herein shall
prevent the state from receiving grants, gifts or bequests for the
purposes of the fund as defined in this section and depositing them into
the fund according to law.
3. Monies of the fund shall be expended only for diabetes research and
education projects. As used in this section, "diabetes research and
education projects" means scientific research or educational projects
which, pursuant to article twenty-seven-H of the public health law as
redesignated by chapter five hundred eighty-four of the laws of nineteen
hundred eighty-eight, are approved by the department of health.
4. Monies shall be payable from the fund on the audit and warrant of
the comptroller on vouchers approved and certified by the commissioner
of health.
5. To the extent practicable, the commissioner of health shall ensure
that all monies received during a fiscal year are expended prior to the
end of that fiscal year.
The marine and coastal district of New York conservation,
education, and research fund. 1. There is hereby established in the
joint custody of the state comptroller and the commissioner of taxation
and finance a special fund to be known as the "marine and coastal
district of New York conservation, education, and research fund".
2. Such fund shall consist of all revenues received pursuant to, and
distributed in accordance with, the provisions of section four hundred
four-t of the vehicle and traffic law, and all other moneys
appropriated, credited, or transferred thereto from any other fund or
source pursuant to law. Nothing contained herein shall prevent the state
from receiving grants, gifts, or bequests for the purposes of the marine
and coastal district of New York conservation, education, and research
program as described in section 13-0501 of the environmental
conservation law and depositing them into the fund according to law.
3. Monies of the fund, following appropriation, may be expended only
for conservation, research, and education projects relating to the
marine and coastal district of New York, as described in section 13-0103
of the environmental conservation law ("district"), that are approved by
the marine and coastal district of New York conservation, education, and
research board ("board") established pursuant to section 13-0503 of the
environmental conservation law.
4. Monies of the fund shall be payable from the fund on the audit and
warrant of the comptroller on vouchers approved or certified by the
chairperson of the board. No money from such fund may be withdrawn,
transferred, or used by any person or entity for any purpose other than
as permitted by this section.
* § 95-d. The New York state "multiple sclerosis research fund". 1.
There is hereby established in the joint custody of the commissioner of
taxation and finance and the comptroller, a special fund to be known as
the New York state "multiple sclerosis research fund".
2. Such fund shall consist of all revenues received pursuant to the
provisions of section four hundred four-u of the vehicle and traffic law
and all other moneys appropriated, credited, or transferred thereto from
any other fund or source pursuant to law. Nothing contained in this
section shall prevent the state from receiving grants, gifts or bequests
for the purposes of the fund as defined in this section and depositing
them into the fund according to law.
3. (a) Monies of the fund shall be expended only for multiple
sclerosis research projects conducted by MS care centers in New York
state.
(b) As used in this section, "multiple sclerosis research projects"
means scientific research into the causes and/or treatment of multiple
sclerosis that is approved by the department of health.
(c) As used in this section, "MS care centers" are facilities licensed
under article twenty-eight of the public health law that are affiliated
with the national multiple sclerosis society for the purpose of
providing health care to individuals with multiple sclerosis and
conducting research into the causes and treatment of multiple sclerosis.
4. Monies shall be payable from the fund on the audit and warrant of
the comptroller on vouchers approved and certified by the commissioner
of health.
5. To the extent practicable, the commissioner of health shall ensure
that all monies received during a fiscal year are expended prior to the
end of that fiscal year.
* NB There are 2 § 95-d's
* § 95-e. New York State prostate and testicular cancer research and
education fund. 1. There is hereby established in the joint custody of
the commissioner of taxation and finance and the comptroller, a special
fund to be known as the "New York State prostate and testicular cancer
research and education fund".
2. Such fund shall consist of all revenues received pursuant to the
provisions of section four hundred four-q of the vehicle and traffic
law, as added by chapter five hundred twenty-eight of the laws of
nineteen hundred ninety-nine, and sections two hundred nine-E and six
hundred thirty of the tax law, all revenues received pursuant to
appropriations by the legislature, and all moneys appropriated,
credited, or transferred thereto from any other fund or source pursuant
to law. For each state fiscal year, there shall be appropriated to the
fund by the state, in addition to all other moneys required to be
deposited into such fund, an amount equal to the amounts of monies
collected and deposited into the fund pursuant to section four hundred
four-q of the vehicle and traffic law, as added by chapter five hundred
twenty-eight of the laws of nineteen hundred ninety-nine, and sections
two hundred nine-E and six hundred thirty of the tax law during the
preceding calendar year, as certified by the comptroller. Nothing
contained herein shall prevent the state from receiving grants, gifts or
bequests for the purposes of the fund as defined in this section and
depositing them into the fund according to law. Any interest received by
the comptroller on moneys on deposit in such fund shall be retained in
and become part of such fund.
3. (a) Moneys of the fund, following appropriation by the legislature
and allocation by the director of the budget, shall be made available to
the commissioner of health to provide grants for the purpose of
advancing and financing prostate and testicular cancer research, support
programs and education projects.
(b) Notwithstanding any inconsistent provision of section one hundred
sixty-three of the state finance law, the commissioner of health is
authorized to enter into a contract or contracts under paragraph (a) of
this subdivision without a competitive bid or request for proposal
process, provided, however, that:
(i) The department of health shall post on its website, for a period
of no less than thirty days:
(1) A description of the proposed services to be provided pursuant to
the contract or contracts;
(2) The criteria for selection of a contractor or contractors;
(3) The period of time during which a prospective contractor may seek
selection, which shall be no less than thirty days after such
information is first posted on the website; and
(4) The manner by which a prospective contractor may seek such
selection, which may include submission by electronic means;
(ii) All reasonable and responsive submissions that are received from
prospective contractors in timely fashion shall be reviewed by the
commissioner of health; and
(iii) The commissioner of health shall select such contractor or
contractors that, in his or her discretion, are best suited to serve the
purposes of this section.
4. (a) On or before the first day of February each year, the
comptroller shall certify to the governor, temporary president of the
senate, speaker of the assembly, chair of the senate finance committee
and chair of the assembly ways and means committee, the amount of money
deposited by source in the New York State prostate and testicular cancer
research and education fund during the preceding calendar year as the
result of revenue derived pursuant to section four hundred four-q of the
vehicle and traffic law, as added by chapter five hundred twenty-eight
of the laws of nineteen hundred ninety-nine, and sections two hundred
nine-E and six hundred thirty of the tax law and from all other sources.
(b) On or before the first day of February each year, the commissioner
of health shall provide a written report to the temporary president of
the senate, speaker of the assembly, chair of the senate finance
committee, chair of the assembly ways and means committee, chair of the
senate committee on health, chair of the assembly health committee, the
state comptroller and the public. Such report shall include how monies
of the fund were utilized during the preceding calendar year and shall
include:
(i) the amount of money disbursed from the fund and the award process
used for such disbursements;
(ii) recipients of awards from the fund;
(iii) the amount awarded to each;
(iv) the purposes for which such awards were granted; and
(v) a summary financial plan for such monies which shall include
estimates of all receipts and all disbursements for the current and
succeeding fiscal years, along with the actual results from the prior
fiscal year.
5. Moneys shall be payable from the fund on the audit and warrant of
the comptroller on vouchers approved by the comptroller.
* NB There are 2 § 95-e's
* § 95-f. The New York state water rescue team awareness and research
fund. 1. There is hereby established in the joint custody of the
commissioner of taxation and finance and the comptroller, a special fund
to be known as the New York state water rescue team awareness and
research fund.
2. Such fund shall consist of all revenues received pursuant to the
provisions of section four hundred four-v of the vehicle and traffic
law, as added by chapter two hundred sixty-six of the laws of two
thousand four, and all other moneys appropriated, credited, or
transferred thereto from any other fund or source pursuant to law.
Nothing contained in this section shall prevent the state from receiving
grants, gifts or bequests for the purposes of the fund as defined in
this section and depositing them into the fund according to law.
3. Monies of the fund shall be expended only for water rescue team
awareness or research projects approved by the office of parks,
recreation and historic preservation in New York state.
4. Monies shall be payable from the fund on the audit and warrant of
the comptroller on vouchers approved and certified by the commissioner
of the office of parks, recreation and historic preservation.
5. To the extent practicable, the commissioner of the office of parks,
recreation and historic preservation shall ensure that all monies
received during a fiscal year are expended prior to the end of that
fiscal year.
* NB There are 2 § 95-f's
Department of motor vehicles distinctive plate development
fund. 1. There is hereby established in the joint custody of the
commissioner of taxation and finance and the comptroller, a special fund
to be known as the "department of motor vehicles distinctive plate
development fund".
2. Such fund shall consist of all revenues received pursuant to the
provisions of section four hundred four-oo of the vehicle and traffic
law and all moneys appropriated, credited or transferred thereto from
any other fund or source pursuant to law. Nothing contained in this
section shall prevent the state from receiving grants, gifts or bequests
for the purposes of the fund as defined in this section and depositing
them into the fund according to law.
3. Moneys of the fund shall be expended only for the design,
production, advertising and distribution of distinctive license plates
established pursuant to article fourteen of the vehicle and traffic law
on or after the effective date of this section, provided, however, that
such moneys shall first be expended for the costs of designing and
producing such distinctive plates. Any revenue derived from the issuance
of any specific distinctive plate in excess of the amount necessary for
its design and production shall next be expended for the design and
production of all other distinctive plates the service charges of which
are deposited pursuant to section four hundred four-oo of the vehicle
and traffic law.
4. Moneys shall be payable from the fund on the audit and warrant of
the comptroller on vouchers approved by the commissioner of motor
vehicles.
5. To the extent practicable, the commissioner of motor vehicles shall
ensure that all monies received during a fiscal year are expended prior
to the end of that fiscal year.
Mental illness anti-stigma fund. 1. There is hereby
established in the joint custody of the commissioner of taxation and
finance and the state comptroller, a special fund to be known as the
"mental illness anti-stigma fund".
2. Such fund shall consist of all revenues received pursuant to the
provisions of section six hundred twenty-nine-a of the tax law, section
four hundred four-dd of the vehicle and traffic law, all revenues
received pursuant to appropriations by the legislature, and all moneys
appropriated, credited or transferred thereto from any other fund or
source pursuant to law. No moneys credited to such fund pursuant to
section six hundred twenty-nine-a of the tax law shall be deemed to
authorize the reduction of the amount of monies otherwise appropriated
by the state for the purpose of eliminating the stigma attached to
mental illness.
3. The monies of the fund shall be made available to the office of
mental health for the purpose of providing grants to organizations
dedicated to eliminating the stigma attached to mental illness and
persons with mental health needs pursuant to section 7.47 of the mental
hygiene law.
4. The monies of the fund shall be paid out on the audit and warrant
of the state comptroller on vouchers certified or approved by the
commissioner of mental health, or by an officer or employee of the
office of mental health designated by such commissioner.
New York state ALS research and education fund. 1. There is
hereby established in the joint custody of the commissioner of taxation
and finance and the comptroller, a special fund to be known as the New
York state ALS (Amyotrophic Lateral Sclerosis) research and education
fund.
2. Such fund shall consist of all revenues received pursuant to the
provisions of sections two hundred nine-L and six hundred thirty-f of
the tax law, all revenues received pursuant to appropriations by the
legislature, and all moneys appropriated, credited, or transferred
thereto from any other fund or source pursuant to law. Nothing contained
in this section shall prevent the state from receiving grants, gifts or
bequests for the purposes of the fund as defined in this section and
depositing them into the fund according to law. Any interest received by
the comptroller on moneys on deposit in such fund shall be retained in
and become part of such fund.
3. Moneys of the fund shall be expended by the department of health
only to provide grants to the Greater New York ALS Association and the
ALS Association Upstate New York Chapter, not-for-profit corporations
established in this state which are incorporated for the purpose of
advancing and financing ALS research and education projects, provided
that moneys of the fund shall be expended only in support of the Greater
New York ALS Association's ALSA Certified Treatment Centers of
Excellence located in New York state or otherwise in support of the
Greater New York ALS Association's work in New York state.
4. On or before the first day of February each year, the comptroller
shall certify to the governor, temporary president of the senate,
speaker of the assembly, chair of the senate finance committee and chair
of the assembly ways and means committee, the amount of money deposited
by source in the New York state ALS research and education fund during
the preceding calendar year as the result of revenue derived pursuant to
sections two hundred nine-L and six hundred thirty-f of the tax law and
from all other sources, as well as all disbursements from the New York
state ALS research and education fund during the preceding calendar
year. The commissioner of health shall expend funds in the year in which
they were donated to the extent practicable. In the event that any such
funds were not expended in the year in which they were donated, the
commissioner of health shall provide justification, along with a
remedial plan to ensure the timely and effective use of the funds in the
annual report to the governor, temporary president of the senate,
speaker of the assembly, chair of the senate finance committee and chair
of the assembly ways and means committee.
5. As a condition of receiving grants from the fund, the Greater New
York ALS Association and the ALS Association Upstate New York Chapter
shall agree to issue and shall issue, on or before the first day of
February each year, a report including, but not limited to, financial
statements, financial reports and reports on the issuance of grants.
Such reports shall be delivered to the governor and the chairs of the
senate finance committee and the assembly ways and means committee and
shall also be made available to the public. Such financial statements
and reports shall be audited by a nationally recognized accounting firm.
6. Moneys shall be payable from the fund to the Greater New York ALS
Association and the ALS Association Upstate New York Chapter, with
sixty-five percent of moneys in the fund to be allocated to the Greater
New York ALS Association and thirty-five percent of moneys in the fund
to be allocated to the ALS Association Upstate New York Chapter on an
annual basis, on the audit and warrant of the comptroller on vouchers
certified and approved by the commissioner of health.
* § 95-j. The New York state two hundred fiftieth commemoration
commission fund. 1. There is hereby established in the joint custody of
the state comptroller and the commissioner of taxation and finance a
fund to be known as the "New York state two hundred fiftieth
commemoration commission fund".
2. Moneys in such fund shall consist of all moneys appropriated for
the purpose of such fund, donations to the New York state two hundred
fiftieth commemoration commission created by section 14.12 of the parks,
recreation and historic preservation law and all moneys appropriated,
credited or transferred thereto from any other fund or source pursuant
to law. Any interest received by the comptroller on money on deposit in
the fund shall be retained in and become part of the fund.
3. Moneys within such fund shall be made available to the New York
state two hundred fiftieth commemoration commission for payment of costs
and expenditures for the following purposes:
(a) no more than ten percent annually for the operation and activities
of such commission;
(b) no less than forty-five percent annually directed to the New York
state museum for grants to local governments and heritage organizations
upon recommendation of the commission for historic programming,
preservation and natural area protection and management relating to the
New York state two hundred fiftieth commemorations, and other heritage
projects like the under- ground railroad, women's suffrage, and civil
rights sites as such commission shall identify through its strategic
plan as described in paragraph (c) of subdivision four of section 14.12
of the parks, recreation and historic preservation law. This grant
program shall be administered by the office of state history; and
(c) no less than forty-five percent annually directed to the office of
parks, recreation and historic preservation for capital improvements for
the state's historic sites and programming, preservation and outreach
relating to the New York state two hundred fiftieth commemorations.
4. Monies shall be payable from the fund on the audit and warrant of
the comptroller on vouchers approved and certified by such commission.
* NB Repealed December 31, 2033
* § 95-k. Transgender and non-binary (TGNB) wellness and equity
program fund. 1. There is hereby established in the joint custody of the
state comptroller and the commissioner of taxation and finance a fund to
be known as the "transgender and non-binary (TGNB) wellness and equity
program fund".
2. Moneys in such fund shall consist of all moneys appropriated for
the purposes of such fund and all moneys appropriated, credited or
transferred thereto from any other fund or source pursuant to law. Any
interest received by the comptroller on money on deposit in the fund
shall be retained in and become part of such fund.
* NB There are 2 § 95-k's
The World Trade Center memorial scholarship fund. 1. There is
hereby established, in the joint custody of the commissioner of taxation
and finance and the comptroller, a special fund to be known as the World
Trade Center memorial scholarship fund.
2. Such fund shall consist of all revenues received pursuant to the
provisions of section four hundred four-ee of the vehicle and traffic
law and all other moneys appropriated, credited, or transferred thereto
from any other fund or source pursuant to law. Nothing contained in this
section shall prevent the state from receiving grants, gifts, or
bequests for the purposes of the fund, as defined in this section, and
depositing them into the fund according to law.
3. Monies of the fund shall be expended only for scholarships awarded
pursuant to sections six hundred eight and six hundred sixty-eight-d of
the education law.
4. Monies shall be payable from the fund on the audit and warrant of
the comptroller on vouchers approved and certified by the commissioner
of education.
5. To the extent possible, the commissioner of education shall ensure
that all monies received during a fiscal year are expended prior to the
end of that fiscal year.
Housing debt fund, and urban renewal debt fund. All the moneys
repaid to the state, both principal and interest on account of
advancements made and to be made to cities, towns, villages or public
corporations specified in section two of article eighteen of the state
constitution from proceeds of state bonds sold or to be sold to provide
moneys for low rent housing or urban renewal shall, when received, be
paid into and shall constitute a special fund in the state treasury to
be known as "housing debt fund," or "urban renewal debt fund," as the
case may be. Such fund shall be available only for payment of
appropriations to pay installments of principal of and interest on such
bonds. Appropriations in any year to pay installments of principal of
and interest on any such state bonds shall first be paid from such
special fund, so far as the amount of moneys therein will pay the same,
and the remainder, if any, shall be paid from any other moneys in the
state treasury not otherwise appropriated.
Environmental quality protection fund. 1. There is hereby
established in the custody of the state comptroller a special fund to be
known as the "environmental quality protection fund".
2. Such fund shall consist of all moneys received by the state from
the sale of bonds pursuant to the environmental quality bond act of
nineteen hundred seventy-two together with all moneys paid to the state
by the federal government or a municipality pursuant to sections
51-0305, 51-0507, 51-0711 and 51-0907 of the environmental conservation
law.
3. Moneys of the fund, following appropriation by the legislature and
allocation by the director of the budget, shall be available only for
reimbursement of expenditures made from appropriations in accordance
with the provisions of article six of the environmental conservation law
as amended.
Hazardous waste remedial fund. 1. There is hereby established
in the custody of the state comptroller a nonlapsing revolving fund to
be known as the "hazardous waste remedial fund", which shall consist of
a "site investigation and construction account", an "industry fee
transfer account", an "environmental restoration project account", a
"hazardous waste cleanup account", and a "hazardous waste remediation
oversight and assistance account".
2. Such fund shall consist of all of the following:
(a) moneys appropriated for transfer to the fund's site investigation
and construction account; (b) all fines and other sums accumulated in
the fund prior to April first, nineteen hundred eighty-eight pursuant to
section 71-2725 of the environmental conservation law for deposit in the
fund's site investigation and construction account; (c) all moneys
collected or received by the department of taxation and finance pursuant
to section 27-0923 of the environmental conservation law for deposit in
the fund's industry fee transfer account; (d) all moneys paid into the
fund pursuant to section 72-0201 of the environmental conservation law
which shall be deposited in the fund's industry fee transfer account;
(e) all moneys paid into the fund pursuant to paragraph (b) of
subdivision one of section one hundred eighty-six of the navigation law
which shall be deposited in the fund's industry fee transfer account;
(f) all moneys recovered under sections 56-0503, 56-0505 and 56-0507 of
the environmental conservation law into the fund's environmental
restoration project account; (g) all fees paid into the fund pursuant to
section 72-0402 of the environmental conservation law which shall be
deposited in the fund's industry fee transfer account; (h) payments
received for all state costs incurred in negotiating and overseeing the
implementation of brownfield site cleanup agreements pursuant to title
fourteen of article twenty-seven of the environmental conservation law
shall be deposited in the hazardous waste remediation oversight and
assistance account;(j) other moneys credited or transferred thereto from
any other fund or source for deposit in the fund's site investigation
and construction account.
3. Moneys of the hazardous waste remedial fund, except monies in the
industry fee transfer account, when allocated, shall be available to the
departments of environmental conservation, health and law for the
following purposes:
(a) inactive hazardous waste disposal site remedial programs pursuant
to section 27-1313 of the environmental conservation law and section
thirteen hundred eighty-nine-b of the public health law;
(b) cleaning up or restoring to its original state any area where
hazardous wastes were disposed of or possessed unlawfully in violation
of article twenty-seven of the environmental conservation law. For the
purposes of this section "the original state of the area" shall mean the
reasonably ascertainable condition of the property immediately prior to
the unlawful disposal or, if it is impracticable to determine such
condition, then it is the reasonable environmentally sound condition of
the area;
(c) inactive hazardous waste site identification, classification, and
investigation actions including testing, analyses, record searches, and
other expenditures necessary to develop the state inactive hazardous
waste disposal site remedial plan required pursuant to section 27-1305
of the environmental conservation law;
(d) financing the non-federal share of the cost of clean up and site
remediation activities, as well as post-closure operation and
maintenance costs, pursuant to the federal Comprehensive Environmental
Response, Compensation and Liability Act of 1980;
(e) emergency response action to clean up spills or abate other public
health or environmental hazards involving hazardous wastes, except those
provided for under the New York state environmental protection and spill
compensation fund;
(f) to undertake such remedial measures as the department of
environmental conservation may determine necessary due to environmental
conditions related to the property subject to an agreement to provide
state assistance or contract under title five of article fifty-six of
the environmental conservation law that were unknown to such department
at the time of its approval of such agreement or contract which
indicates that conditions on such property are not sufficiently
protective of human health for its reasonably anticipated uses or due to
information received, in whole or in part, after such department's
approval of such agreement's final engineering report and certification,
which indicates that such agreement's remedial activities are not
sufficiently protective of human health for such property's reasonably
anticipated uses; and, shall provide state assistance under title five
of article fifty-six of the environmental conservation law;
(g) with respect to moneys in the hazardous waste remediation
oversight and assistance account, to pay the reasonable costs incurred
by the state in negotiating and overseeing implementation of brownfield
site cleanup agreements and conducting remediation under title fourteen
of article twenty-seven of the environmental conservation law;
(h) with respect to moneys in the hazardous waste remediation
oversight and assistance account, to provide state assistance pursuant
to section nine hundred seventy-r of the general municipal law;
(i) with respect to moneys in the hazardous waste remediation
oversight and assistance account, non-bondable costs associated with
hazardous waste remediation projects. Such costs shall be limited to
agency staff costs associated with the administration of state
assistance for brownfield opportunity areas pursuant to section nine
hundred seventy-r of the general municipal law, agency staff costs
associated with the administration of technical assistance grants
pursuant to titles thirteen and fourteen of article twenty-seven of the
environmental conservation law, and costs of the department of
environmental conservation related to the geographic information system
required by section 3-0315 of the environmental conservation law;
(j) with respect to moneys in the hazardous waste remediation
oversight and assistance account, technical assistance grants pursuant
to titles thirteen and fourteen of article twenty-seven of the
environmental conservation law;
4. With respect to moneys in the hazardous waste cleanup account, no
moneys shall be available from the fund pursuant to paragraph (a) of
subdivision three of this section unless the commissioner of
environmental conservation finds that all reasonable efforts to secure
voluntary agreement to pay the costs of necessary remedial actions from
owners or operators of inactive hazardous waste sites or other
responsible persons have been made except where the commissioner of
environmental conservation has made findings pursuant to paragraph b of
subdivision three of section 27-1313 of the environmental conservation
law or where; the commissioner of health has declared a condition
dangerous to life or health and made findings pursuant to paragraph (b)
of subdivision three of section one thousand three hundred eighty-nine-b
of the public health law.
6. The commissioner of the department of environmental conservation
shall make all reasonable efforts to recover the full amount of any
funds expended from the fund pursuant to paragraph (a) and paragraph (l)
of subdivision three of this section through litigation or cooperative
agreements with responsible persons. Any and all moneys recovered or
reimbursed pursuant to this section through voluntary agreements or
court orders shall be deposited with the comptroller and credited to the
account of such fund from which such expenditures were made.
7. Notwithstanding the provisions of any general or special law, no
moneys shall be available from the fund until a certificate of
allocation and a schedule of amounts to be available therefor shall have
been issued by the director of the budget, and a copy of such
certificate filed with the comptroller, the chairman of the senate
finance committee and the chairman of the assembly ways and means
committee. Such certificate may be amended from time to time by the
director of the budget and a copy of each such amendment shall be filed
with the comptroller, the chairman of the senate finance committee and
the chairman of the assembly ways and means committee.
8. The moneys, when allocated, shall be paid out of the fund on the
audit and warrant of the comptroller on vouchers certified or approved
by the commissioner of the department of environmental conservation or
his duly designated officer.
9. All repayments and other sums collected or received by the
department pursuant to loan agreements entered into pursuant to title
five of article fifty-two of the environmental conservation law shall be
deposited daily to the credit of the comptroller with such responsible
banks, banking houses or trust companies as may be designated by the
comptroller. The comptroller shall require adequate security from all
such depositories. The comptroller shall, on or before the tenth day of
each month, pay all moneys collected pursuant to such title and
remaining to his credit in such banks, banking houses or trust companies
at the close of business on the last day of the preceding month into the
site investigation and construction account of the hazardous waste
remedial fund. In the event a municipality shall fail to make any
payment due to the state pursuant to such title and the commissioner
shall have certified that such municipality has failed to make such
payment, the comptroller is authorized and shall withhold from such
municipality any state aid payable to it to the extent necessary to meet
the certified amount of principal and surcharge due the commissioner and
shall immediately pay over to the design and construction account of the
hazardous waste remedial fund the amount so withheld.
10. No moneys of the fund derived from any form of tax or fee imposed
by title nine of article twenty-seven or article seventy-two of the
environmental conservation law or section one hundred seventy-four of
the navigation law shall be used for any purpose if such use, under
federal law, would preclude the collection of such tax or fee.
11. The industry fee transfer account, established pursuant to
subdivision one of this section, is to provide for an equal sharing
between the state and industry of the costs of debt service for bonds
and notes issued to finance hazardous waste remedial work other than
those costs attributable to or payable by responsible parties, a
municipality or the federal government. Such sharing shall be provided
fifty percent from moneys of the general fund and fifty percent from
fees and surcharges designated for this purpose pursuant to subdivisions
two and fourteen of this section. When debt service is paid on bonds and
notes authorized by the environmental quality bond act of 1986 and sold
to provide moneys for hazardous waste site remediation or by section
twelve hundred eighty-five-q of the public authorities law, the
comptroller shall transfer from the industry fee transfer account to the
general fund an amount equal to fifty percent of such debt service
payment.
12. (a) The comptroller shall, on July first, nineteen hundred
eighty-eight and on each succeeding July first until such time as the
surcharges required pursuant to subdivision fourteen of this section are
imposed, estimate the amount of revenues to be received by the industry
fee transfer account of this fund in the next succeeding twenty months
and the transfers which will be required to be made during the same
period. When calculating the estimate of industry fee transfer account
revenues available for the purpose of certifying, pursuant to this
subdivision, when such account's balance will be insufficient to make
the transfer required by subdivision eleven of this section, the
comptroller shall add to the amount estimated to actually be available
an additional credit factor as determined by paragraph (b) of this
subdivision. If the comptroller determines that the industry fee
transfer account will, at any time during the succeeding twenty month
period, lack sufficient funds to make the transfer required by
subdivision eleven of this section, the comptroller shall so certify to
the state super fund management board, created pursuant to section
27-1319 of the environmental conservation law, and to the governor and
the legislature.
(b) The additional credit factor required by paragraph (a) of this
subdivision shall be the sum of the following:
(i) prior to March thirty-first, nineteen hundred ninety-eight, an
amount equal to an amount estimated by the comptroller to be transferred
from the industry fee transfer account to the general fund during the
period March thirty-first, nineteen hundred ninety through March
thirty-first, nineteen hundred ninety-eight, pursuant to chapter
forty-one of the laws of nineteen hundred ninety as amended by chapter
one hundred sixty-six of the laws of nineteen hundred ninety-one,
chapter fifty-five of the laws of nineteen hundred ninety-two, chapter
fifty-seven of the laws of nineteen hundred ninety-three, chapter one
hundred seventy of the laws of nineteen hundred ninety-four, chapter
eighty-three of the laws of nineteen hundred ninety-five, chapter three
hundred nine of the laws of nineteen hundred ninety-six and a chapter of
the laws of nineteen hundred ninety-seven entitled "An act making
appropriations for the support of government and to amend chapter 63 of
the laws of 1996 relating to making appropriations for the support of
government, in relation to extending the effectiveness thereof; to amend
chapter 30 of the laws of 1996, relating to a retirement incentive, in
relation to payment schedules; to amend chapter 41 of the laws of 1990,
relating to authorizing and directing the transfer of hazardous waste
remedial fund industry fee transfer account balances and receipts to the
general fund, and the state finance law, in relation to industry fee
surcharges and the calculations relating thereto; to amend chapter 83 of
the laws of 1995, amending the state finance law and other laws relating
to state finances, in relation to the deposit of funds; and to authorize
the transfer and deposit of various moneys," which is in excess of
amounts estimated to be needed to make the transfers required by
subdivision eleven of this section during the same period and, after
March thirty-first, nineteen hundred ninety-eight, an amount equal to
the amount actually transferred from the industry fee transfer account
to the general fund during the period March thirty-first, nineteen
hundred ninety through March thirty-first, nineteen hundred
ninety-eight, pursuant to chapter forty-one of the laws of nineteen
hundred ninety, as amended by chapter one hundred sixty-six of the laws
of nineteen hundred ninety-one, chapter fifty-five of the laws of
nineteen hundred ninety-two, chapter fifty-seven of the laws of nineteen
hundred ninety-three, chapter one hundred seventy of the laws of
nineteen hundred ninety-four, chapter eighty-three of the laws of
nineteen hundred ninety-five, chapter three hundred nine of the laws of
nineteen hundred ninety-six and a chapter of the laws of nineteen
hundred ninety-seven entitled "AN ACT making appropriations for the
support of government and to amend chapter 63 of the laws of 1996
relating to making appropriations for the support of government, in
relation to extending the effectiveness thereof; to amend chapter 30 of
the laws of 1996, relating to a retirement incentive, in relation to
payment schedules; to amend chapter 41 of the laws of 1990, relating to
authorizing and directing the transfer of hazardous waste remedial fund
industry fee transfer account balances and receipts to the general fund,
and the state finance law, in relation to industry fee surcharges and
the calculations relating thereto; to amend chapter 83 of the laws of
1995, amending the state finance law and other laws relating to state
finances, in relation to the deposit of funds; and to authorize the
transfer and deposit of various moneys," which was in excess of the
amount required to be transferred during the same period pursuant to
subdivision eleven of this section; except that the comptroller shall
reduce this amount by an amount equal to the amount which would have
been debited against such calculated balance during the prior estimating
periods for transfers pursuant to subdivision eleven of this section, if
the amount transferred from the industry fee transfer account to the
general fund pursuant to chapter forty-one of the laws of nineteen
hundred ninety, as amended by chapter one hundred sixty-six of the laws
of nineteen hundred ninety-one, chapter fifty-five of the laws of
nineteen hundred ninety-two, chapter fifty-seven of the laws of nineteen
hundred ninety-three, chapter one hundred seventy of the laws of
nineteen hundred ninety-four, chapter eighty-three of the laws of
nineteen hundred ninety-five, chapter three hundred nine of the laws of
nineteen hundred ninety-six and a chapter of the laws of nineteen
hundred ninety-seven entitled "AN ACT making appropriations for the
support of government and to amend chapter 63 of the laws of 1996
relating to making appropriations for the support of government, in
relation to extending the effectiveness thereof; to amend chapter 30 of
the laws of 1996, relating to a retirement incentive, in relation to
payment schedules; to amend chapter 41 of the laws of 1990, relating to
authorizing and directing the transfer of hazardous waste remedial fund
industry fee transfer account balances and receipts to the general fund,
and the state finance law, in relation to industry fee surcharges and
the calculations relating thereto; to amend chapter 83 of the laws of
1995, amending the state finance law and other laws relating to state
finances, in relation to the deposit of funds; and to authorize the
transfer and deposit of various moneys," had been left on deposit in the
industry fee transfer account, and had been the only amount available to
cover the transfers which would have been made pursuant to subdivision
eleven of this section if an actual balance had been available in the
industry fee transfer account at such time.
(ii) an amount, as estimated by the comptroller, equal to the amount
of interest which would otherwise have been earned on the amount
determined by subparagraph (i) of this paragraph, if such amount had
been left on deposit in the industry fee transfer account and accrued
through the period for which the comptroller is estimating the available
account balances pursuant to paragraph (a) of this subdivision.
13. Upon the receipt of a certification provided pursuant to
subdivision twelve of this section, the state superfund management board
shall review and analyze the historical pattern of revenue received by
the industry fee transfer account and the long term projection of future
transfers from such account, and shall report on or before December
first of such year to the governor and the legislature its
recommendations, if any, as to the sources of additional revenues which
could be used to supplement the revenues to be received by such fund in
order to achieve the equal sharing of debt service costs as implemented
in subdivision nine of this section.
14. In the absence of further direction by law, effective April first
of the fiscal year immediately following the certification by the
comptroller made pursuant to subdivision twelve of this section,
surcharges in the following amount shall be imposed: (a) twenty-five
percent of the fees imposed by sections 72-0402 and 72-0502 of the
environmental conservation law. Notwithstanding any other provision of
law to the contrary, moneys collected from such surcharge shall be
deposited in their entirety to the industry fee transfer account
established pursuant to subdivision one of this section; (b) fifty
percent of the fees imposed by section 27-0923 of the environmental
conservation law, except for those fees contained in paragraphs b and c
of subdivision one, and paragraph b of subdivision two of such section,
which shall be exempt from such surcharge. Moneys collected from such
surcharge shall be deposited to the industry fee transfer account
established pursuant to subdivision one of this section.
15. On and after the date of such certification, the comptroller shall
maintain records with respect to such account to reflect each unpaid
transfer for the period during which it is unpaid. On and after such
date, any deposits in the industry fee transfer account shall be
immediately transferred to the general fund of the state until an amount
equal to the total of any unpaid transfers and accumulated interest
shall have been transferred to the general fund.
Training and education program on occupational safety and
health fund. 1. There is hereby established in the custody of the state
comptroller the training and education program on occupational safety
and health fund.
2. Such fund shall consist of moneys collected from special
compensation assessments collected pursuant to the provisions of section
one hundred fifty-one of the workers' compensation law.
3. Moneys of the fund shall be available to the New York state
occupational safety and health hazard abatement board for purposes of
carrying out the provisions of article twenty-nine of the labor law and
to the department of labor for worker protection activities under its
jurisdiction.
4. The moneys shall be paid out of the fund on the audit and warrant
of the comptroller on vouchers certified or approved by the chairperson
of the board or his or her designee or by the commissioner of labor or
his or her designee.
5. Notwithstanding the provisions of any general or special law, no
moneys shall be available from the fund until a certificate of
allocation and a schedule of amounts to be available therefor shall have
been issued by the director of the budget, and a copy of such
certificate filed with the comptroller. Such certificate may be amended
from time to time by the director of the budget and a copy of each such
amendment shall be filed with the comptroller.
Environmental quality bond act fund. 1. There is hereby
established in the custody of the state comptroller and the commissioner
of taxation and finance a special fund, to be known as the
"environmental quality bond act fund".
2. The comptroller shall establish two separate and distinct accounts
within the environmental quality bond act fund; (a) hazardous waste
remediation and municipal solid waste landfill closure account; and (b)
forest preserve, historic preservation, municipal park and
environmentally sensitive lands account.
3. All moneys received by the state from the sale of bonds or notes
for the purpose stated in paragraph a of section four of the
environmental quality bond act of nineteen hundred eighty-six shall be
deposited by the comptroller in the hazardous waste remediation and
municipal solid waste landfill closure account established by the
comptroller pursuant to the provisions of subdivision two of this
section.
4. All moneys received by the state from the sale of bonds or notes
for the purpose stated in paragraph b of section four of the
environmental quality bond act of nineteen hundred eighty-six shall be
deposited by the comptroller in the forest preserve, historic
preservation, municipal park and environmentally sensitive lands account
established by the comptroller pursuant to the provisions of subdivision
two of this section.
5. Moneys in any account of this fund, following appropriation by the
legislature and allocation by the director of the budget, shall be
available only for the reimbursement of expenditures made from
appropriations from the capital projects fund for the purpose as set
forth in the environmental quality bond act of nineteen hundred
eighty-six.
Forest preserve expansion fund. 1. There is hereby established
in the state treasury a special fund, to be known as the forest preserve
expansion fund, which shall consist of and into which shall be paid all
moneys derived from the sale of certain forest preserve lands specified
in section twenty-four of the public lands law, monies received from a
project sponsor of an eligible project for a health and safety land
account transaction pursuant to section 9-2101 of the environmental
conservation law and such other moneys as may be paid into said fund
pursuant to law. The moneys in such fund shall be expended only for the
acquisition of additional lands for the forest preserve within either
the Adirondack or Catskill park as now fixed by law. Upon appropriation
by the legislature, the department of environmental conservation may use
such moneys or any portion thereof for the acquisition of such
additional lands subject to the approval of title thereto by the
attorney general. All payments from such fund shall be made by the
department of taxation and finance after audit by and upon warrant of
the comptroller, on vouchers approved by the commissioner of
environmental conservation.
2. The commissioner of environmental conservation is authorized to
accept, in the name of the people of the state of New York, any gift or
bequest of moneys to be paid into such forest preserve expansion fund
and to be expended and disbursed as provided in subdivision one of this
section.
Mental health services fund. 1. There is hereby established in
the joint custody of the comptroller and the commissioner of taxation
and finance a debt service fund to be known as the "mental health
services fund".
2. The mental health services fund shall consist of all moneys
received from the mental hygiene facilities improvement fund income
account pursuant to paragraph f of subdivision three of section nine of
the facilities development corporation act and any other moneys made
available for purposes of the fund.
3. Moneys in the mental health services fund shall be kept separate
and shall not be commingled with any other moneys in the custody of the
comptroller. All deposits of such moneys shall be secured by obligations
of the United States or of the state of market value equal at all times
to the amount of the deposit and all banks and trust companies are
authorized to give such securities for such deposits.
4. Subject to the terms of any agreement between the facilities
development corporation and the New York state medical care facilities
finance agency any moneys in the mental health services fund may be
invested by the comptroller in obligations of the United States or the
state or obligations the principal and interest of which are guaranteed
by the United States or the state.
5. The comptroller shall from time to time, but in no event later than
the fifteenth day of each month, pay over for deposit in the mental
hygiene general fund state operations account, including moneys pursuant
to subdivision eight of this section, all moneys in the mental health
services fund in excess of the amount of money required to be maintained
on deposit in the mental health services fund. Subject to subdivision
nine of this section, the amount required to be maintained in such fund
shall be (i) twenty percent of the amount of the next payment coming due
relating to the mental health services facilities improvement program
under any agreement between the facilities development corporation and
the New York state medical care facilities finance agency multiplied by
the number of months from the date of the last such payment with respect
to payments under any such agreement required to be made semi-annually,
plus (ii) those amounts specified in any such agreement with respect to
payments required to be made other than semi-annually, including for
variable rate bonds, interest rate exchange or similar agreements or
other financing arrangements permitted by law. Concurrently with the
making of any such payment, the facilities development corporation shall
deliver to the comptroller, the director of the budget and the New York
state medical care facilities finance agency a certificate stating the
aggregate amount to be maintained on deposit in the mental health
services fund to comply in full with the provisions of this subdivision.
6. To secure the payment, subject to legislative appropriation, of any
money due or to become due relating to the mental health services
facilities improvement program in any year under any lease, sublease,
loan or other financing agreement between the facilities development
corporation and the New York state medical care facilities finance
agency, or, to pay to the New York state housing finance agency for the
refunding of mental hygiene improvement bonds issued pursuant to section
forty-seven-b of the private housing finance law, as the case may be,
the comptroller and the commissioner of taxation and finance may pledge
or assign to the New York state medical care facilities finance agency,
any or all moneys in the mental health services fund established
pursuant to this section, and any and all moneys which may be received
by the commissioner of taxation and finance and the comptroller and
credited to such mental health services fund in the future, and any
right, title and interest of the commissioner of taxation and finance
and the comptroller in and to the money in or to be deposited in such
mental health services fund.
7. The moneys in the mental health services fund shall be appropriated
and paid out on audit and warrant of the comptroller on the
certification of the chairman of the facilities development corporation
or such other officer or employee or officers or employees as such
comptroller and such chairman shall authorize to make such requisitions.
Payments shall be made to the New York state medical care facilities
finance agency at least five days prior to the date such agency is
required to make any debt service, interest rate exchange or similar
agreement, or any other financing arrangement payments with respect to
mental health services facilities improvement bonds, notes or other
obligations, or at such times as the comptroller and the agency shall
determine.
8. The amount of payment on such mental health services facilities
bonds pursuant to sections ninety-two-z and ninety-two-h of this
article, shall be transferred by the state comptroller from the mental
health services fund to the mental hygiene general fund state operation
account. The accumulation of moneys pursuant to this subdivision and
subsequent transfer to the mental hygiene general fund state operation
account shall be subordinate in all respects to payments to be made to
the New York state medical care facilities finance agency and to any
pledge or assignment pursuant to subdivision six of this section.
9. In determining the amounts required to be maintained in the mental
health services fund under subdivision five of this section in each
month, the amount of receipts associated with loans, leases and other
agreements with voluntary agencies accumulated and set aside in the
mental hygiene facilities improvement fund income account under
paragraph g of subdivision three of section nine of the facilities
development corporation act shall be taken into account as a credit but
only if such crediting does not result in the amounts required to be
maintained in the mental health services fund exclusive of any credit to
be less than the amount required under subdivision five of this section
in each month.
Centralized services fund. 1. There is hereby established in
the custody of the state comptroller a special fund to be known as the
centralized services fund.
2. (a) Such fund shall consist of all moneys appropriated for the
purpose of such fund, all moneys transferred to such fund pursuant to
law and all moneys required by the provisions of this section to be paid
to the credit of such fund.
(b) The state comptroller is authorized and directed to loan money by
transfer to such fund from the general fund or any other fund, which
loans shall be limited to the amounts immediately required to meet
disbursements, made in pursuance of an appropriation by law and
authorized by a certificate of approval issued by the director of the
budget with copies thereof filed with the comptroller and the chairs of
the senate finance committee and assembly ways and means committee. The
director of the budget shall not issue such a certificate unless he
shall have determined that the amounts to be so transferred are
receivable on account or are otherwise readily available for payment.
When making a loan, the comptroller shall establish appropriate accounts
and if the loan is not repaid by the end of the month, provide on or
before the fifteenth day of the following month to the director of the
budget, the chairs of the senate finance committee and assembly ways and
means committee, an accurate accounting and reporting of the financial
resources of such fund at the end of the month. Within ten days of the
receipt of such accounting and reporting, the director of the budget
shall provide to the chairs of the senate finance committee and assembly
ways and means committee a schedule of expected repayments and the
source of such repayment. Repayment shall be made by the comptroller by
transfer of the first cash receipts of such fund.
* 3. Moneys of the fund shall be available to the commissioner of
general services for the purchase of food, supplies and equipment for
state agencies, and for the purpose of furnishing or providing
centralized services to or for state agencies; provided further that
such moneys shall be available to the commissioner of general services
for purposes pursuant to items (d) and (f) of subdivision four of this
section to or for political subdivisions, public authorities, and public
benefit corporations. Beginning the first day of April, two thousand
two, moneys in such fund shall also be transferred by the state
comptroller to the revenue bond tax fund account of the general debt
service fund in amounts equal to those required for payments to
authorized issuers for revenue bonds issued pursuant to article five-C
and article five-F of this chapter for the purpose of lease purchases
and installment purchases by or for state agencies and institutions for
personal or real property purposes.
* NB Effective until July 31, 2029
* 3. Moneys of the fund shall be available to the commissioner of
general services for the purchase of food, supplies and equipment for
state institutions and other state agencies, and for the purpose of
furnishing or providing centralized services to or for state
institutions and other state agencies, public authorities, and public
benfit corporations. Beginning the first day of April, two thousand
two, moneys in such fund shall also be transferred by the state
comptroller to the revenue bond tax fund account of the general debt
service fund in amounts equal to those required for payments to
authorized issuers for revenue bonds issued pursuant to article five-C
of this chapter for the purpose of lease purchases and installment
purchases by or for state agencies and institutions for personal or real
property purposes.
* NB Effective July 31, 2029
* 4. The term "centralized services" as used in this section shall
mean and include only (a) communications services, (b) mail, messenger
and reproduction services, (c) computer services, (d) fuels, including
natural gas, hydrogen, biofuels and gasoline, and automotive services,
(e) renovation and maintenance services, (f) purchases of electricity,
renewable energy, renewable energy credits or attributes from the power
authority of the state of New York and, in consultation with the power
authority of the state of New York, from other suppliers, (g) real
property management services, (h) building design and construction
services, (i) parking services, (j) distribution of United States
department of agriculture donated foods to eligible recipients, pursuant
to all applicable statutes and regulations, (k) distribution of federal
surplus property donations to all eligible recipients, pursuant to
applicable statutes and regulations, and (l) payments and related
services for lease purchases and installment purchases by or for state
agencies and institutions for personal property purposes financed
through the issuance of certificates of participation. The services
defined in items (a) through (c), (e), (g) and (h) of this subdivision
shall be provided to state agencies and institutions only.
* NB Effective until July 31, 2029
* 4. The term "centralized services" as used in this section shall
mean and include only (a) communications services, (b) mail, messenger
and reproduction services, (c) computer services, (d) gasoline and
automotive services, (e) renovation and maintenance services, (f)
purchases of electricity from the power authority of the state of New
York, (g) real property management services, (h) building design and
construction services, (i) parking services, (j) distribution of United
States department of agriculture donated foods to eligible recipients,
pursuant to all applicable statutes and regulations, (k) distribution of
federal surplus property donations to all eligible recipients, pursuant
to applicable statutes and regulations and (l) payments and related
services for lease purchases and installment purchases by or for state
agencies and institutions for personal property purposes financed
through the issuance of certificates of participation. The services
defined in items (a) through (c), (e), (g) and (h) of this subdivision
shall be provided to state agencies and institutions only.
* NB Effective July 31, 2029
* 5. The amount expended from such fund for the above-stated purposes
shall be charged against the agency, political subdivision, public
authority or public benefit corporation above receiving such food,
supplies, equipment and services and all payments received therefor
shall be credited to such fund.
* NB Effective until July 31, 2029
* 5. The amount expended from such fund for the above-stated purposes
shall be charged against the state institution or agency, political
subdivision, public authority or public benefit corporation above
receiving such food, supplies, equipment and services and all payments
received therefor shall be credited to such fund.
* NB Effective July 31, 2029
* NB Law not the same as chapter text
6. Payments from such fund shall be made upon audit and warrant of the
state comptroller upon vouchers certified or approved by the
commissioner of general services in the manner provided by law.
7. If the state comptroller shall find at the expiration of the fiscal
year, commencing April first, nineteen hundred sixty-four and at the
expiration of each fiscal year thereafter that the total amount to the
credit of the fund is in excess of the sum of two million dollars, he
shall within thirty days thereafter, transfer to the general fund of the
state a sum equal to the amount of such excess.
Lake George park trust fund. 1. There is hereby established in
the joint custody of the state comptroller and the commissioner of
taxation and finance a fund to be known as the Lake George park trust
fund.
2. Such fund shall consist of all moneys appropriated for the purpose
of such fund and all moneys transferred to such fund pursuant to law
including section 43-0125 of the environmental conservation law and
section two thousand two hundred thirty-one of the vehicle and traffic
law. Any interest earned by the investment of moneys in such fund shall
be added to such fund, become a part of such fund, and be used for the
purpose of such fund.
3. Moneys of such fund shall be available for appropriation and
allocation only to the Lake George park commission for the purposes of
carrying out the provisions of article forty-three of the environmental
conservation law and for the acquisition by the commission of integral
environmental areas and open space resources within the Lake George park
or for grants to municipalities or nonprofit land trusts within such
park for the purposes of such acquisition.
4. The moneys of the fund shall be paid out on the audit and warrant
of the comptroller on vouchers certified or approved by the chairman of
the Lake George park commission or his duly designated representative.
5. Notwithstanding the provisions of any general or special law, no
moneys shall be available from the fund until a certificate of
allocation and a schedule of amounts to be available therefor shall have
been issued by the director of the budget, and a copy of such
certificate filed with the comptroller. Such certificate may be amended
from time to time by the director of the budget and a copy of each such
amendment shall be filed with the comptroller.
New York state local government records management improvement
fund. 1. There is hereby established in the joint custody of the state
comptroller and the commissioner of taxation and finance a special fund
to be known as the New York state local government records management
improvement fund.
2. Such fund shall consist of revenues derived from the imposition of
the additional fee authorized pursuant to the third undesignated
paragraph of subdivision (a) of section eight thousand eighteen,
subparagraph b of paragraph four of subdivision (a) of section eight
thousand twenty-one, subparagraph b of paragraph eleven of subdivision
(b) of section eight thousand twenty-one of the civil practice law and
rules, and subdivision one of section 7-614 of the administrative code
of the city of New York, all monies required by section 57.35 of the
arts and cultural affairs law to be paid into or credited to the fund,
any advances hereafter made by the state to the fund in anticipation of
being reimbursed by such fund, and any other monies credited or
transferred thereto from any other fund or sources pursuant to law.
3. The monies in such fund, when allocated, shall be available as
follows: (i) two million three hundred thousand dollars per year
adjusted annually to reflect the direct and indirect charges resulting
from negotiated salary increases may be used for payment of necessary
and reasonable expenses incurred by the commissioner of education in
carrying out the advisory services required in subdivision one of
section 57.23 of the arts and cultural affairs law and to implement
sections 57.21, 57.35 and 57.37 of the arts and cultural affairs law;
(ii) not less than five hundred thousand dollars per year shall be made
available to the Documentary Heritage program as provided in section 140
of the education law; (iii) not less than three hundred thousand dollars
per year shall be made available to the New York state archives
partnership trust established in chapter 758 of the laws of 1992; and
(iv) the remainder of the monies in the fund shall be used for the award
of grants to individual local governments or groups of cooperating local
governments as provided in section 57.35 of the arts and cultural
affairs law.
4. Monies shall be payable from the fund on the audit and warrant of
the comptroller on vouchers approved by the commissioner of education or
by an officer or employee of the commissioner of education designated by
the commissioner of education.
Firearm violence research fund. 1. There is hereby established
in the joint custody of the state comptroller and the commissioner of
taxation and finance a fund to be known as the firearm violence research
fund.
2. The firearm violence research fund shall consist of all moneys
credited or transferred thereto from any other fund or source, including
any federal, state, or private funds, pursuant to law for the purposes
of firearm violence research.
3. Moneys in the firearm violence research fund may be invested by the
comptroller pursuant to section ninety-eight-a of this article, and any
income received by the comptroller shall be used for the purposes of
such fund.
4. The moneys held in or credited to the fund shall be expended for
the purposes set forth in this section, and may not be interchanged or
commingled with any other account or fund but may be commingled with any
other fund or account for investment purposes.
5. Moneys in the firearm violence research fund, following
appropriation by the legislature, shall be available to the New York
firearm violence research institute for its activities as set forth in
section three hundred fifty-five-e of the education law.
Minority and women-owned business enterprise fund. 1. There is
hereby established in the joint custody of the state comptroller and the
commissioner of taxation and finance a special fund to be known as the
"minority and women-owned business enterprise fund".
2. Such funds shall consist of all moneys appropriated for the purpose
of such fund, all moneys transferred or paid to such fund pursuant to
law, including pursuant to section three hundred sixteen of the
executive law, and contributions consisting of grants, including grants
or other financial assistance from any agency of government and all
moneys required by the provisions of this section or any other law to be
paid into or credited to this fund.
3. Monies of the fund, following appropriation by the legislature,
shall be expended by the appropriate New York state offices, agencies,
or authorities to acquire software, employ personnel to audit,
investigate and prosecute minority and women-owned business enterprise
fraud and to underwrite minority and women-owned business enterprise
programs to assist minority and women business enterprise owners to
develop sustainable businesses, provided that expenditures for such
activities shall only be required under this section to the extent that
monies are available in the fund to support them.
Sewage treatment program management and administration fund.
1. There is hereby established in the joint custody of the state
comptroller and the commissioner of taxation and finance a fund to be
known as the "sewage treatment program management and administration
fund".
2. The sewage treatment program management and administration fund may
consist of (a) all moneys transferred to the state from the water
pollution control revolving fund pursuant to section twelve hundred
eighty-five-j of the public authorities law, (b) all or a portion of
moneys made available to New York state for the purposes of
administering and managing financial assistance provided to
municipalities from the water pollution control revolving fund pursuant
to the Federal Water Pollution Control Act, and (c) all other moneys
credited or transferred thereto from any other fund or source pursuant
to law. Notwithstanding the foregoing, no money reserved for planning
pursuant to section six hundred four (b) of the Federal Water Pollution
Control Act shall be deposited in the sewage treatment program
management and administration fund.
3. Moneys in the sewage treatment program management and
administration fund shall be kept separately from and shall not be
commingled with any other moneys in the custody of the state
comptroller.
4. Moneys in such fund, following appropriation by the legislature,
may be used, for the purpose of paying all costs of the department of
environmental conservation and New York state environmental facilities
corporation for management and administration of the sewage treatment
program established by section 17-1909 of the environmental conservation
law and of the water pollution control revolving fund established by
section twelve hundred eighty-five-j of the public authorities law.
Climate change adaptation fund. 1. There is hereby established
in the custody of the comptroller and the commissioner of taxation and
finance a special revenue fund to be known as the "climate change
adaptation fund" for the purpose of receiving moneys through cost
recovery demands and issuing funds for qualifying expenditures pursuant
to the climate change adaptation cost recovery program established in
article seventy-six of the environmental conservation law.
2. No monies shall be expended from the fund for any purpose except:
a. following appropriation by the legislature, qualifying expenditures
pursuant to the program, including their operation and maintenance, as
well as reasonable costs and expenses incurred by state entities for
administering and directly supporting the implementation of climate
change adaptive infrastructure projects under the program; provided,
however, that no more than one percent of the receipts of the fund may
be used for such administrative or implementation costs; and
b. Following appropriation or authorization by the legislature,
transfer to other funds for investments, payments or benefits directly
related to such climate change adaptive infrastructure projects, as
appropriate.
3. Any appropriation for qualifying expenditures shall indicate by
project type the amount of qualifying expenditures to be made available,
however, notwithstanding any other provision of law to the contrary,
amounts associated with various project types shall be fully
interchangeable within the overall appropriation.
4. Revenues in the fund shall be kept separate and shall not be
commingled with any other moneys in the custody of the comptroller or
the commissioner of taxation and finance. All deposits of such revenues
shall, if required by the comptroller, be secured by obligations of the
United States or of the state having a market value equal at all times
to the amount of such deposits and all banks and trust companies are
authorized to give security for such deposits. Any such revenues in such
fund may, upon the discretion of the comptroller, be invested in
obligations in which the comptroller is authorized to invest pursuant to
section ninety-eight-a of this article.
5. All payments of moneys from the fund shall be made on the audit and
warrant of the comptroller.
Community college tuition and instructional income fund. 1.
There is hereby established in the custody of the commissioner of
taxation and finance a special account to be known as the "community
college tuition and instructional income fund."
2. All moneys (i) received by any local sponsor of a community college
or any community college from tuition and instructional fees received
from students attending any such community college, (ii) appropriated or
made available by any local sponsor of a community college pursuant to
the provisions of subdivision five of section sixty-three hundred four
of the education law, and (iii) appropriated or made available from any
state aid or other financial assistance provided to a local sponsor or
community college by the state of New York, to the extent such moneys
are either (a) assigned by the local sponsor of such community college
to the dormitory authority, or (b) payable to the dormitory authority
pursuant to an agreement entered into by the dormitory authority and the
state university of New York pursuant to subdivision twenty-one of
section sixteen hundred seventy-eight of the public authorities law and
paragraph x of subdivision two of section three hundred fifty-five of
the education law shall be paid over to the commissioner of taxation and
finance and such funds shall be deposited by the commissioner of
taxation and finance to the credit of the community college tuition and
instructional income fund.
3. Moneys in the community college tuition and instructional income
fund shall be kept separate and shall not be commingled with any other
moneys in the hands of the commissioner of taxation and finance. All
deposits of such moneys shall, if required by the commissioner of
taxation and finance, be secured by obligations of the United States or
of the state of market value equal at all times to the amount of the
deposit and all banks and trust companies are authorized to give such
securities for such deposits.
4. Subject to the terms of any agreement between any local sponsor and
the dormitory authority, or between the state university of New York and
the dormitory authority, any such moneys in the community college
tuition and instructional income fund may, in the discretion of the
commissioner of taxation and finance, be invested by the commissioner of
taxation and finance in obligations of the United States or the state or
obligations the principal and interest of which are guaranteed by the
United States or the state, or in certificates of deposit fully secured
by similar obligations, or in accordance with the provisions of section
ninety-eight-b of this article.
5. The commissioner of taxation and finance shall at all times
maintain on deposit in the community college tuition and instructional
income fund the aggregate amount of money needed by each local sponsor
to comply in full with each obligation of each local sponsor under the
terms of each lease, sublease or agreement of each local sponsor with
the dormitory authority or with the terms of any agreement between the
state university of New York and the dormitory authority, which is then
in effect until the next succeeding June thirtieth.
The commissioner of taxation and finance shall make payments from the
moneys on deposit in the community college tuition and instructional
income fund to the authority in amounts and at the times required by
each obligation of each local sponsor under the terms of each lease,
sublease or agreement of each local sponsor with the dormitory authority
or at the times required by any agreement between the state university
of New York and the dormitory authority which is then in effect.
6. The commissioner of taxation and finance shall from time to time
but in no event later than the last day of each month of each year pay
over to each community college the moneys in excess of the amount of
money required to be maintained in the community college tuition and
instructional income fund pursuant to subdivision five of such section,
except those moneys resulting from the investment of funds paid by the
state of New York pursuant to the provisions of subdivision eight of
section sixty-three hundred four of the education law which moneys shall
be a credit to the state against future payments pursuant to such
statute. Prior to making any such transfer, the commissioner of taxation
and finance shall make and deliver to the director of the budget, the
chancellor of the state university and the dormitory authority his
certificate stating the amount to be maintained on deposit in the
community college tuition and instructional income fund for each
community college to comply in full with the provisions of subdivision
five of this section.
7. The provisions of this section shall not apply to the local sponsor
of any community college in the city of New York or to any community
college in the city of New York.
New York state emergency medical services training account. 1.
There is hereby established in the custody of the comptroller, a special
fund to be known as the "New York state emergency medical services
training account".
2. The account shall consist of all moneys appropriated for its
purpose, all moneys transferred to such account pursuant to law and all
moneys required by the provisions of this section or any other law to be
paid into or credited to such account, including all moneys received by
the account or donated to it. Moneys in the account shall be kept
separate and shall not be commingled with any other moneys otherwise
appropriated or received except as hereby provided.
3. Moneys of the account, when allocated, shall be available to the
department of health for the purpose of funding the training of
emergency medical services personnel, and funding as shall be provided
by appropriation for the state emergency medical services council,
regional emergency medical services councils, emergency medical services
program agencies or other emergency medical services training programs,
in order to carry out the purposes of articles thirty and thirty-A of
the public health law.
4. Not less than fifty percent of the monies of the account shall be
expended for the direct costs of providing emergency medical services
training at the local level. The legislature shall annually appropriate
from the remaining available monies, funding for the state emergency
medical services council, the regional emergency medical services
councils, the emergency medical services program agencies and the
department of health in order to carry out the purposes of articles
thirty and thirty-A of the public health law. At the end of any fiscal
year, any funds not encumbered for these purposes shall be reallocated
for the costs of training advanced life support personnel.
5. Nothing contained herein shall prevent the commissioner of health
or the comptroller from receiving grants, gifts or bequests for the
purposes of the fund as defined in this section and depositing them into
the account according to law.
State cemetery vandalism restoration, monument repair or
removal and administration fund. 1. There is hereby established in the
joint custody of the state comptroller and the commissioner of taxation
and finance a special fund to be known as the state cemetery vandalism
restoration, monument repair or removal and administration fund.
2. Such fund shall consist of all revenues received from the
assessment pursuant to paragraph (h) of section fifteen hundred seven of
the not-for-profit corporation law and all other moneys credited or
transferred thereto from any other fund or source pursuant to law.
3. Moneys of the fund may be expended for the purposes provided in
subparagraph three of paragraph (h) of section fifteen hundred seven of
the not-for-profit corporation law according to the requirements of such
paragraph (h). Moneys shall be paid out of the fund on the audit and
warrant of the state comptroller on vouchers certified or approved by
the secretary of state.
4. The fund shall be held within the business and licensing services
account as established in section ninety-seven-y of this article.
Nelson A. Rockefeller Empire State Plaza performing arts
center corporation fund. 1. There is hereby established in the custody
of the commissioner of taxation and finance a special account to be
known as the "performing arts center corporation fund".
2. All moneys of the corporation received in accordance with
subdivision four of this section shall be deposited to the credit of
such fund, provided that such deposit is consistent with any contract
awarded pursuant to chapter six hundred eighty-eight of the laws of
nineteen hundred seventy-nine as amended by a chapter of the laws of
nineteen hundred ninety-two. Said moneys shall be kept separate and
shall not be commingled with any other moneys in the custody of the
commissioner of taxation and finance.
3. The moneys in said account shall be retained by it and deposited in
a general account and such other accounts as the corporation may deem
necessary for the transaction of its business and shall be paid out on
checks signed by the chairperson of the corporation or by such other
member or officer as the corporation may authorize.
4. Notwithstanding any other provision of law, revenues received from
rentals of the performing arts center and related facilities and revenue
from any other fees and charges and any other funds so designated shall
be deposited into this fund.
Lawyers' fund for client protection of the state of New York.
1. There is hereby established in the custody of the state comptroller a
special fund to be known as the "lawyers' fund for clients protection of
the state of New York".
2. The full amount of the allocable portion of the biennial
registration fee collected pursuant to the provisions of section four
hundred sixty-eight-a of the judiciary law and such other monies as may
be credited or otherwise transferred from any other fund or source,
pursuant to law, including voluntary contributions, together with any
interest accrued thereon, shall be deposited to the credit of the
lawyers' fund for client protection of the state of New York. All
deposits of such revenues not otherwise required for the payment of
claims as hereinafter prescribed shall be secured by obligations of the
United States or of the state having a market value equal at all times
to the amount of such deposits and all banks and trust companies are
authorized to give security for such deposits. Any such revenues in such
fund, may be invested in obligations of the United States or of the
state, or in obligations the principal and interest on which are
guaranteed by the United States or by the state.
* § 97-v. The New York interest on lawyer account (IOLA) fund. 1.
There is hereby established in the custody of the state comptroller a
fiduciary fund to be known as the New York interest on lawyer account
(IOLA) fund. A board of trustees shall be appointed to administer the
New York IOLA fund.
2. The board shall consist of fifteen members appointed by the
governor. All members shall be residents of the state of New York and
shall be knowledgeable and supportive of the delivery of civil legal
services to the poor and the improvement of the administration of
justice. At least eight of the members shall be attorneys licensed to
practice law in the state of New York. Two members shall be appointed
upon the recommendation of the temporary president of the senate, at
least one of whom shall be an attorney; two members shall be appointed
upon the recommendation of the speaker of the assembly, at least one of
whom shall be an attorney; one member shall be appointed upon the
recommendation of the minority leader of the senate; and one member
shall be appointed upon the recommendation of the minority leader of the
assembly. Two members shall be appointed upon the recommendation of the
court of appeals, each of whom shall be an attorney. The governor shall
designate one of the members of the board as chairman.
a. The term of office shall be three years, provided, however, that of
the members first appointed, five shall be appointed for terms expiring
on December thirty-first, nineteen hundred eighty-four, five shall be
appointed for terms expiring on December thirty-first, nineteen hundred
eighty-five and five shall be appointed for terms expiring on December
thirty-first, nineteen hundred eighty-six. Vacancies shall be filled in
the manner of original appointments for the remainder of the term.
b. The members shall receive no compensation for their services as
members, but shall be reimbursed for their actual and necessary expenses
incurred in the performance of their duties.
c. The members shall be considered employees of the state for the
purposes of section seventeen of the public officers law.
d. No member of the senate or assembly shall be eligible to serve as a
member of the board.
3. a. The board shall have the power to receive, hold and manage any
moneys and property received from any source. It shall distribute funds
as grants and contracts to not-for-profit tax-exempt entities for the
purpose of delivering civil legal services to the poor and for purposes
related to the improvement of the administration of justice, including,
but not limited to, the provision of civil legal services to groups
currently underserved by legal services, such as the elderly and the
disabled, and the enhancement of civil legal services to the poor
through innovative and cost-effective means, such as volunteer lawyer
programs and support and training services.
b. No less than seventy-five percent of the total funds distributed in
any fiscal year shall be allocated to not-for-profit tax-exempt
providers for the purpose of delivering civil legal services to the
poor. The funds distributed annually to legal services providers shall
be allocated according to the geographical distribution of poor persons
throughout the state based on the latest available figures from the
United States department of commerce, bureau of census, as prescribed by
rules and regulations of the board of trustees.
c. The remaining funds shall be allocated for purposes related to the
improvement of the administration of justice, including, but not limited
to, the provision of civil legal services to groups currently
underserved by legal services, such as the elderly and the disabled, and
the enhancement of civil legal services to the poor through innovative
and cost-effective means, such as volunteer lawyer programs and support
and training services.
d. The board shall adopt rules and regulations for the administration
of the IOLA fund to carry out the purposes and provisions of this
section and of section four hundred ninety-seven of the judiciary law.
Such regulations shall be adopted in accordance with article two of the
state administrative procedure act.
e. The board may employ and remove such personnel as it may deem
necessary for the performance of its functions and fix their
compensation within the amounts made available therefor and may allocate
funds for the actual and necessary nonpersonnel administrative costs of
the program. No more than ten percent of the funds available in any
fiscal year shall be spent on personnel and related services, and on
necessary nonpersonnel administrative costs of the program provided,
however, that such limitations may be waived by the board by the
adoption of a resolution and such waiver shall remain in effect until
the board determines by a subsequent resolution that the program is
fully operational.
f. The board shall insure that grants and contracts are made with
not-for-profit providers of civil legal services for the poor to provide
stable, economical and high quality delivery of civil legal services to
the poor throughout the state.
g. Notwithstanding any statute or rule to the contrary, the board
shall maintain all papers, records, documents or other information
identifying an attorney, client or beneficial owner of an IOLA account
on a private and confidential basis and shall not disclose such
information unless such disclosure is necessary to accomplish the
purposes of this section and section four hundred ninety-seven of the
judiciary law, or unless disclosure is pursuant to compulsory legal
process.
h. All payments from the IOLA fund shall be made by the state
comptroller upon certification and authorization of the board of
trustees of the fund.
4. a. The board of trustees shall establish by regulation a specific
dollar amount equivalent to the cost of administering a segregated
interest bearing account for a client or beneficial owner. This dollar
amount may be used by participating attorneys as a guide when
determining whether the moneys are qualified funds.
b. The board of trustees shall also establish by regulation the
qualifications of a recipient of funds and the nature and scope of civil
legal services to be provided to poor persons by the funds disbursed
under this section.
5. If it shall appear to the satisfaction of the board of trustees
that, because of a mistake of fact, error in calculation or erroneous
interpretation of the provisions of this chapter or of section four
hundred ninety-seven of the judiciary law, or of any regulation adopted
by the board, a banking institution has remitted to the IOLA fund any
moneys not required by such provisions to be remitted, the board shall
refund such moneys upon application of any aggrieved party. Any such
refund shall be paid from the IOLA fund without interest and without the
deduction of any service charge, and shall be and constitute a full
satisfaction and discharge of any claim for such refund.
* NB There are 2 § 97-v's
Chemical dependence service fund. 1. There is hereby
established in the custody of the state comptroller a special fund to be
known as the chemical dependence service fund.
2. Such fund shall consist of all moneys appropriated for the purpose
of such fund, all moneys transferred to such fund pursuant to law,
contributions consisting of promises or grants of any money or property
of any kind or value, or any other thing of value, including grants or
other financial assistance from any agency of government and all moneys
required by the provisions of this section or any other law to be paid
into or credited to this fund.
3. Moneys of the fund, when allocated, shall be available to the
commissioner of the office of alcoholism and substance abuse services
and shall be used to provide support for (a) funded agencies approved by
the New York state office of alcoholism and substance abuse services,
(b) local school-based and community programs which provide chemical
dependence prevention and education services, and (c) law enforcement
assisted diversion of individuals with substance use disorders.
Consideration shall be given to innovative approaches to providing
chemical dependence services.
4. Notwithstanding the provisions of any general or special law, no
moneys shall be available from such chemical dependence service fund
until a certificate of allocation and a schedule of amounts to be
available therefor shall have been issued by the director of the budget,
upon the recommendation of the commissioner of the office of alcoholism
and substance abuse services, and a copy of such certificate filed with
the comptroller, the chairman of the senate finance committee and the
chairman of the assembly ways and means committee. Such certificate may
be amended from time to time by the director of the budget, upon the
recommendation of the commissioner of the office of alcoholism and
substance abuse services, and a copy of such amendment shall be filed
with the comptroller, the chairman of the senate finance committee and
the chairman of the assembly ways and means committee.
5. The moneys when allocated, shall be paid out of the fund on the
audit and warrant of the comptroller on vouchers certified or approved
by the commissioner of the office of alcoholism and substance abuse
services, or by an officer or employee of the office of alcoholism and
substance abuse services designated by the commissioner.
6. The commissioner of the office of alcoholism and substance abuse
services shall promulgate rules and regulations pertaining to the
allocation of moneys from this fund.
Statewide planning and research cooperative system; assessment
of annual fees on general hospitals. 1. Each general hospital shall be
assessed an annual fee by the commissioner of health calculated on the
basis of its proportionate share of the sum of total costs reported by
all general hospitals in the most recent calendar year for which
certified data are available. Such fee shall not exceed one-tenth of one
percent of the total costs reported by such general hospital. Where
rates of payment for general hospital services established pursuant to
section twenty-eight hundred seven-a of the public health law or
pursuant to section twenty-eight hundred seven-c of the public health
law have not been adjusted to reflect the proportionate share of costs
associated with such annual fee, rates shall be so adjusted. The
commissioner of health shall promulgate regulations establishing a time
schedule for payment of annual fees assessed on general hospitals. The
commissioner of health shall charge a user fee for the production of any
data to any person or organization, provided, however, that the
commissioner of health may waive such fee for the provision of reports,
to be defined in regulation, to a general hospital or its designee as
approved by the commissioner of health or third-party payor or health
systems agency to perform duties and functions provided for in
subdivision seven, excluding paragraph (s) of such subdivision, of
section twenty-nine hundred four-b of the public health law.
Notwithstanding any inconsistent provisions of any general or special
law, charges established pursuant to subdivision twelve of section
twenty-eight hundred seven-a of the public health law or pursuant to
paragraph (c) of subdivision one of section twenty-eight hundred seven-c
of the public health law shall be permitted to increase to reflect
increased costs resulting from the proportionate cost of the annual fees
assessed pursuant to this subdivision.
2. The sum of annual fees collected from general hospitals and user
fees shall be sufficient to provide all monies necessary to repay any
monies which may be appropriated to support the statewide planning and
research cooperative system, established under section two thousand
eight hundred sixteen of the public health law, in the manner provided
by law, provided, however, that such fees may be adjusted at any time in
the event that monies received exceed the appropriation. In the event
that monies available are not sufficient to fully make such repayments,
the commissioner of health shall, after notification and subsequent
consultation with the state hospital review and planning council and
subject to the approval of the director of the budget, modify, amend,
alter or otherwise adjust the scope of the activities undertaken and/or
the manner in which the activities are undertaken, or to the extent
allowed by law, after notification of and subsequent consultation with
the state hospital review and planning council and subject to the
approval of the director of the budget, modify, amend, alter or
otherwise adjust the fees assessed on general hospitals, within the
percent limitation set forth above, such that monies will be available
to make all necessary repayments. Whenever an adjustment in the annual
fee assessed on general hospitals is made, reimbursement rates shall
also be adjusted to reflect the increase or decrease in cost associated
with the annual fee.
3. The commissioner of health shall consult with the state hospital
review and planning council regarding the operation and continued
development of the statewide planning and research cooperative system.
4. Notwithstanding any inconsistent provision of this section, general
hospitals shall not be liable for payment of an allocable share of the
annual fees applicable on or after January first, nineteen hundred
eighty-eight based on services provided to persons eligible for payments
by state governmental agencies and rates of payment for state
governmental agencies established pursuant to section twenty-eight
hundred seven-c of the public health law shall not be adjusted to
reflect costs associated with the annual fees, provided, however, solely
for purposes of the calculations pursuant to subdivision two of this
section annual fees collected from general hospitals shall be deemed to
include the amount of the allocable share of such annual fees for which
the hospital is not liable for payment pursuant to this subdivision.
Business and licensing services account. 1. There is hereby
established within the miscellaneous special revenue fund in the joint
custody of the state comptroller and the commissioner of taxation and
finance an account to be known as the "business and licensing services
account".
2. The business and licensing services account shall consist of all
monies collected by the department of state from: (a) fees paid to it in
conjunction with its activities pursuant to the business corporation
law, the not-for-profit corporation law, or other corporate law, the
partnership law, the limited liability company law, and correlative
provisions of the executive law, the general business law and any other
law, consolidated or unconsolidated; (b) fees paid to it in conjunction
with its activities pursuant to the provisions of section ninety-six-a
of the executive law or pursuant to any other provision of law, for
services rendered in accordance with the provisions of the uniform
commercial code or article ten-A of the lien law; (c) fees charged for
the regulation, licensing, examination, certification, registration and
discipline activities of the department of state; (d) monies received
from licenses granted under section four hundred thirty-eight of the
judiciary law; and (e) fees collected pursuant to section three hundred
ninety-nine-pp of the general business law.
3. Monies within the business and licensing services account, upon
appropriation by the legislature, shall be available to the department
of state for the operation of the department in relation to (a) uniform
commercial code and related tax lien requirements, (b) corporations and
state records functions and services, including but not limited to
reviewing, filing, searching, certifying or copying of documents,
instruments and records rendered by the department in conjunction
therewith, (c) the regulation, licensing, examination, certification,
registration and discipline activities of the department of state, and
(d) implementation, operation and enforcement of articles seven-A,
eight-B and eight-C of the general business law.
4. Notwithstanding any other provisions of this section to the
contrary, moneys deposited pursuant to sections ninety-seven-r and
ninety-seven-nn of this article shall be available to the department of
state for the purposes set forth in such sections.
Arts capital grants fund. 1. A special fund to be known as the
"arts capital grants fund" is hereby established in the custody of the
state comptroller and the commissioner of taxation and finance.
2. The fund shall consist of all monies appropriated for its purpose,
all monies transferred to such fund pursuant to law, all monies required
by this section or any other provision of law to be paid into or
credited to the fund and any interest earnings which may accrue from the
investment of monies in the fund. Nothing contained herein shall prevent
the New York state council on the arts from receiving grants, gifts or
bequests for the purposes of the fund as defined in this section and
depositing them into the fund according to law.
3. Monies of the fund, when allocated, shall be available for
administrative costs of the council and to make grants to eligible
not-for-profit arts organizations as provided in section 3.07 of the
arts and cultural affairs law.
4. Monies shall be payable from the fund on the audit and warrant of
the comptroller on vouchers approved and certified by the chairman of
the New York state council on the arts.
The New York state "Discover Queens fund". 1. There is hereby
established, in the joint custody of the commissioner of taxation and
finance and the comptroller, a special fund to be known as the New York
state "Discover Queens fund".
2. Such fund shall consist of all revenues received pursuant to the
provisions of section four hundred four-v of the vehicle and traffic law
and all other moneys appropriated, credited or transferred thereto from
any other fund or source pursuant to law. Nothing contained herein shall
prevent the state from receiving grants, gifts or bequests for the
purposes of the fund as defined in this section and depositing them into
the fund according to law.
3. Monies of the fund shall be expended only for tourism promotion
projects which promote tourism in the county of Queens. Monies of the
fund shall be available for tourism promotion purposes, exclusive of
administrative expenses, to an entity designated by local law as
responsible for tourism promotion for the county of Queens, provided,
however, that such designated entity shall cause to be developed
annually a plan for tourism promotion approved by the commissioner of
the department of economic development. Such tourism promotion plan
shall include, but not be limited to, proposed expenditures for tourism
promotion projects promoting tourism in the county of Queens, and
evidence that such plan will not duplicate tourism promotions conducted
by the local tourism promotion agency.
4. Monies shall be payable from the fund on the audit and warrant of
the comptroller on vouchers approved and certified by the commissioner
of economic development.
5. To the extent practicable, the commissioner of economic development
shall ensure that all monies received during a fiscal year are expended
prior to the end of that fiscal year.
Criminal justice improvement account. 1. There is hereby
established in the joint custody of the state comptroller and the
commissioner of the department of taxation and finance a fund to be
known as the "criminal justice improvement account".
2. The criminal justice improvement account shall consist of monies
received by the state pursuant to section 60.35 of the penal law and
monies received by the state pursuant to section eighteen hundred nine
of the vehicle and traffic law from any court of the unified court
system other than town or village courts and all other fees, fines,
grants, bequests or other monies credited, appropriated or transferred
thereto from any other fund or source. Such account shall also consist
of all monies received by the division of criminal justice services
pursuant to subdivision ten of section one hundred sixty-eight-b of the
correction law.
3. Monies of the criminal justice improvement account, following
appropriation by the legislature and allocation by the director of the
budget shall be made available for local assistance services and
expenses of programs to provide services to crime victims and witnesses,
including operations of the office of victim services, and for payments
to victims in accordance with the federal crime control act of 1984, as
administered pursuant to article twenty-two of the executive law.
Municipal gun buyback program fund. 1. There is hereby
established, in the joint custody of the comptroller and the
commissioner of taxation and finance a fund to be known as the municipal
gun buyback program fund.
2. Such fund shall consist of all moneys appropriated for the purpose
of such fund, all other moneys required to be paid into, transferred or
credited to such fund, and all moneys received by the fund or donated to
it.
3. Moneys of the municipal gun buyback program fund shall be solely
available, following appropriation by the legislature and in accordance
with law to assist agencies, as defined in section two hundred
thirty-three of the executive law, to operate buyback programs according
to the rules and regulations of the superintendent of the state police.
Eminent domain account. 1. There is hereby established in the
joint custody of the state comptroller and the commissioner of taxation
and finance an eminent domain account.
2. The eminent domain account shall consist of all moneys deposited
pursuant to the provisions of subdivision (E) of section three hundred
four of the eminent domain procedure law, and all other moneys credited
or transferred thereto from any other fund or source pursuant to law.
3. The comptroller shall establish a sub-account for each deposit made
pursuant to the provision of subdivision (E) of section three hundred
four of the eminent domain procedure law.
4. Moneys of the account may be invested by the comptroller in any
obligation in which moneys of the state may be invested pursuant to the
provisions of section ninety-eight-a of this article and the interest
earnings shall be credited to the account.
5. Moneys of the account shall be payable to condemnees or otherwise
expended in accordance with the provisions of subdivision (E) of section
three hundred four of the eminent domain procedure law.
New York Great Lakes protection fund. 1. There is hereby
established in the joint custody of the state comptroller and the
commissioner of taxation and finance a fund to be known as the "New York
Great Lakes protection fund". Such fund shall consist of revenues
received from the Great Lakes protection fund and all other moneys,
credited or transferred thereto from any other fund or source pursuant
to law.
2. Moneys of the New York Great Lakes protection fund, within amounts
appropriated by the legislature, may be expended only for programs or
grants to supplement existing Great Lakes research and protection
programs consistent with the purposes of the Great Lakes protection fund
agreement including the following:
(a) Research on the economic, environmental and human health effects
of contamination in the Great Lakes;
(b) The collection and analysis of data on the Great Lakes;
(c) The development of new or improved environmental cleanup
technologies applicable to the Great Lakes;
(d) Research to assess the effectiveness of pollution control policies
affecting the Great Lakes; and
(e) The assessment of the health of the Great Lakes fish, wildlife,
waterfowl and other organisms.
3. Moneys shall be paid out of the fund on the audit and warrant of
the state comptroller on vouchers certified or approved by the
commissioner of the department of environmental conservation, as the
contract administrator for the New York Great Lakes protection program,
for which the department will enter into contracts with qualified
parties to carry out the program submitted by the Great Lakes Basin
advisory council.
4. Any income earned on moneys in the New York Great Lakes protection
fund shall be added to and used for the purposes of such fund.
Empire state entertainment diversity job training development
fund. 1. There is hereby established in the joint custody of the
commissioner of taxation and finance and the comptroller, a special fund
to be known as the empire state entertainment diversity job training
development fund.
2. Such fund shall consist of the funds transferred by the comptroller
to the fund from the general fund without appropriation, as determined
under subdivision (f) of section twenty-four and subdivision (e) of
section thirty-one of the tax law. Nothing contained herein shall
prevent the state from receiving grants, gifts, or bequests for the fund
and depositing them into the fund according to law.
3. Monies in the fund shall be expended only for job creation and
training programs approved by the commissioner of economic development
that support efforts to recruit, hire, promote, retain, develop and
train a diverse and inclusive workforce as production company employees
in the motion picture and television industry within the state of New
York including, but not limited to, those programs that promote
development in economically distressed areas of the state. The
commissioner of economic development shall promulgate regulations that
set forth relevant definitions, minimum standards and criteria for such
fund and eligible training programs.
4. Monies shall be payable from the fund on the audit and warrant of
the comptroller on vouchers approved and certified by the commissioner
of economic development.
Division for youth facilities improvement fund. 1. There is
hereby established in the joint custody of the state comptroller and the
commissioner of taxation and finance a fund to be known as the "division
for youth facilities improvement fund". Such fund shall consist of the
proceeds from the issuance of bonds and notes by the urban development
corporation authorized pursuant to the chapter of the laws of nineteen
hundred ninety which enacted this section and all other moneys
appropriated, credited or transferred thereto from any other fund or
source pursuant to law. Moneys within the division for youth facilities
improvement fund shall be held solely for the benefit of the division
for youth.
2. All moneys in the division for youth facilities improvement fund
shall be made available to the division for youth pursuant to an annual
appropriation or appropriations.
Tuition reimbursement fund. 1. There is hereby established in
the joint custody of the comptroller and the commissioner of taxation
and finance a fund to be known as the "tuition reimbursement fund".
2. There is hereby established in the joint custody of the comptroller
and the commissioner of taxation and finance two accounts of the tuition
reimbursement fund to be known as:
(a) the "tuition reimbursement account": for reimbursement of tuition
to certain students of proprietary vocational schools pursuant to
article one hundred one of the education law; and
(b) the "proprietary vocational school supervision account": for
services and expenses related to the supervision of proprietary
vocational schools pursuant to article one hundred one of the education
law.
3. (a) Notwithstanding any other law, rule, or regulation to the
contrary, the state comptroller is hereby authorized and directed to
receive for deposit to the credit of the accounts established in
subdivision two of this section moneys collected pursuant to article one
hundred one of the education law including, but not limited to, all
fees, assessments, penalties, fines, and settlements relating to the
supervision of proprietary vocational schools received after April
first, nineteen hundred ninety pursuant to such article and all other
moneys credited or transferred to such accounts from any other fund or
source pursuant to law.
(b) The comptroller is hereby authorized and directed to permit
interest earnings on any account balances on accounts established in
subdivision two of this section to accrue to the benefit of each of the
accounts.
4. Monies of the accounts established in subdivision two of this
section, following appropriation by the legislature, shall be available
to the education department and may be expended pursuant to article one
hundred one of the education law. Monies shall be paid out of such
accounts on the audit and warrant of the state comptroller pursuant to
such article.
* § 97-jj. Industrial and utility service account. 1. There is hereby
established in the joint custody of the state comptroller and the
commissioner of taxation and finance an industrial and utility service
account within the miscellaneous special revenue fund.
2. All moneys charged and received by the commissioner of taxation and
finance for services performed and information furnished relating to the
assessment or appraisal of any industrial or utility property for
purposes of the real property tax shall be deposited to the credit of
the industrial and utility service account.
3. Moneys within the industrial and utility service account, upon
appropriation by the legislature, shall be available to the commissioner
of taxation and finance for services and expenses of the office relating
to the calculation, determination and certification of railroad
ceilings, special franchise assessments and oil and gas unit of
production values.
* NB There are 2 § 97-jj's
Local services account. 1. There is hereby established in the
joint custody of the state comptroller and the commissioner of taxation
and finance a local services account within the miscellaneous special
revenue fund.
2. All revenue received by the commissioner of taxation and finance
from charge-backs and fees for services related to the real property
information system, fees for services related to the geographical
information systems and any other fees, fines and penalties collected by
the office and not assigned to another fund or account shall be
deposited to the credit of the local services account.
3. Moneys within the local services account, upon appropriation by the
legislature, shall be available to the commissioner of taxation and
finance for services and expenses of the commissioner relating to the
provision of technical and administrative assistance to local
governments.
Improvement of real property tax administration account. 1.
There is hereby established in the joint custody of the state
comptroller and the commissioner of taxation and finance an improvement
of real property tax administration account within the miscellaneous
special revenue fund.
2. Moneys within the improvement of real property tax administration
account, upon appropriation by the legislature, shall be available to
the commissioner of taxation and finance for all services and expenses
of the state office which relate to activities including, but not
limited to, preparation and certification of state equalization rates,
the administration of state technical and financial assistance to local
governments, review and certification of adjusted base proportions for
special assessing units and approved assessing units pursuant to
articles eighteen and nineteen of the real property tax law, the
determination of class equalization rates for portions within special
assessing units and approved assessing units pursuant to article twelve
of the real property tax law, continuance of the market value survey
cycle, maintenance of effort in the production of agricultural lands
value assessments, advisory appraisals, and assessor training and
certification.
* § 97-mm. State park infrastructure fund. 1. There is established in
the joint custody of the state comptroller and the commissioner of
taxation and finance a fund to be known as the state park infrastructure
fund.
2. Such fund shall consist of: (a) revenues received by the state
pursuant to section 13.15 and subdivisions two, two-a and two-b of
section 3.09 of the parks, recreation and historic preservation law
except those revenues required for the support of the patron services
account in the miscellaneous special revenue fund pursuant to
appropriation by the legislature; (b) all revenues received by the state
pursuant to section 13.16 of the parks, recreation and historic
preservation law; (c) all revenues received by the state pursuant to
contracts, leases, licenses and easements entered into by or with the
consent of the commissioner of parks, recreation and historic
preservation pursuant to section 13.06 of the parks, recreation and
historic preservation law; and (d) all other moneys credited or
appropriated for transfer thereto from any other fund or source
according to law.
3. Moneys in the fund, pursuant to appropriation by the legislature
and issuance of a certificate of availability by the director of the
budget, shall be made available for the following purposes: (a) payment
of debt service and related expenses authorized by and incurred pursuant
to section twelve hundred eighty-five-l of the public authorities law;
and (b) payment or reimbursement of costs associated with a state park
infrastructure project as such a project is defined in subdivision
thirty of section twelve hundred eighty-one of the public authorities
law.
4. Moneys in the state park infrastructure fund shall be kept separate
and shall not be commingled with any other moneys in the custody of the
comptroller. All deposits of such moneys shall, if required by the
comptroller, be secured by obligations of the United States or of the
state having a market value equal at all times to the amount of such
deposits and all banks and trust companies are authorized to give
security for such deposits. Any such moneys in such fund may, in the
discretion of the comptroller, be invested in obligations in which the
comptroller is authorized to invest pursuant to section ninety-eight-a
of this article.
5. All payments of moneys from the fund shall be made on the audit and
warrant of the comptroller.
* NB There are 2 § 97-mm's
* § 97-nn. Pet cemetery and pet crematorium inspection and licensing
fund. 1. There is hereby established in the joint custody of the
comptroller and the commissioner of taxation and finance an account to
be known as the pet cemetery and pet crematorium inspection and
licensing fund. Such account shall consist of all fees, penalties, fines
and settlements received after March first, nineteen hundred
ninety-three pursuant to article thirty-five-C of the general business
law and all other monies credited or transferred thereto from any other
fund or source pursuant to law.
2. Monies of the account shall be made available to the secretary of
state for the purpose of the operation of the pet cemetery and pet
crematorium inspection and licensing program pursuant to the provisions
of article thirty-five-C of the general business law. Monies shall be
paid out of the account on the audit and warrant of the state
comptroller pursuant to such article.
3. The fund shall be held within the business and licensing services
account as established in section ninety-seven-y of this article.
* NB There are 3 § 97-nn's
* § 97-oo. Biodiversity stewardship and research fund. 1. There is
hereby established in the joint custody of the state comptroller and the
commissioner of taxation and finance a fund to be known as the
biodiversity stewardship and research fund which shall consist of a
state land biodiversity stewardship account and a biodiversity research
account.
2. The state land biodiversity stewardship account and the
biodiversity research account shall consist of all moneys credited or
transferred thereto from any other fund or source pursuant to law for
the purposes of biodiversity stewardship, research or education.
3. Moneys in the biodiversity stewardship and research fund may be
invested by the comptroller pursuant to section ninety-eight-a of this
article, and any income received by the comptroller shall be used for
the purposes of such fund.
4. The moneys held in or credited to the fund shall be expended for
the purposes set forth in this section, and may not be interchanged or
commingled with any other account or fund but may be commingled with any
other fund or account for investment purposes.
5. Moneys in the state land biodiversity stewardship account,
following appropriation by the legislature, shall be available to the
department of environmental conservation, office of parks, recreation
and historic preservation, and the New York state museum within the
education department for the following purposes:
a. To undertake reviews pursuant to section 3-0302 of the
environmental conservation law and subdivision seventeen of section 3.09
of the parks, recreation and historic preservation law.
b. To identify lands of ecological significance that are candidates to
recommend to the governor and legislature for dedication to the state
nature and historical preserve trust pursuant to section 45-0113 of the
environmental conservation law or designation as park preserves or park
preservation areas pursuant to section 20.02 of the parks, recreation
and historic preservation law. Such moneys may be spent to conduct
surveys of state property boundaries.
c. To complete natural resource inventories and scientific studies to
identify, study and monitor occurrences of plants, animals and
ecological communities that are rare in New York state.
d. To develop and implement stewardship activities designed to
conserve and enhance plants, animals and ecological communities that are
rare in New York state, on state-owned lands including, but not limited
to, lands dedicated to the state nature and historical preserve trust
pursuant to section 45-0113 of the environmental conservation law and
lands designated park preserves or park preservation areas pursuant to
section 20.02 of the parks, recreation and historic preservation law.
e. To conduct studies and inventories of environmentally significant
state-owned underwater lands, including lands now or formally
underwater, currently under the jurisdiction of the office of general
services to facilitate the proper management and, where appropriate,
transfer of such lands to the department of environmental conservation
or the office of parks, recreation and historic preservation pursuant to
section seventy-five of the public lands law.
f. To support and administer the New York natural heritage program
created pursuant to section 11-0539 of the environmental conservation
law.
6. No more than two-thirds of the moneys deposited in the state land
biodiversity stewardship account may be used for personal service costs
incurred by the department of environmental conservation, office of
parks, recreation and historic preservation, and the New York state
museum within the education department for the purposes set forth in
subdivision five of this section. The remaining moneys deposited in the
account may be utilized to support projects undertaken by contracts with
non-profit conservation organizations, scientific institutions, and
other qualified entities for the purposes set forth in subdivision five
of this section.
7. Moneys in the biodiversity research account, following
appropriation by the legislature, shall be available to the New York
biodiversity research institute for biodiversity research, education,
and information transfer programs as set forth in section two hundred
thirty-five-a of the education law.
8. The expenses of the executive committee and scientific working
group shall be charged to the respective accounts equitably.
* NB There are 2 § 97-oo's
New York state emergency services revolving loan account. 1.
There is hereby established within the combined expendable trust
fund-020 in the custody of the state comptroller a new account to be
known as the "New York state emergency services revolving loan account".
2. The account shall consist of all moneys appropriated for its
purpose, all moneys transferred to such account pursuant to law, and all
moneys required by this section or any other law to be paid into or
credited to this account, including all moneys received by the account
or donated to it, payments of principal and interest on loans made from
the account, and any interest earnings which may accrue from the
investment or reinvestment of moneys from the account.
3. Moneys of the account, when allocated, shall be available to the
commissioner of the division of homeland security and emergency services
to make loans as provided in this section. Up to five percent of the
moneys of the account or two hundred fifty thousand dollars, whichever
is less, may be used to pay the expenses, including personal service and
maintenance and operation, in connection with the administration of such
loans.
4. (a) The commissioner of the division of homeland security and
emergency services, on recommendation of the state fire administrator,
may make, upon application duly made, up to the amounts available by
appropriation, loans for:
(i) Purchasing fire fighting apparatus. A loan for purchasing fire
fighting apparatus shall not exceed the lesser of three hundred
seventy-five thousand dollars or seventy-five percent of the cost of the
fire fighting apparatus; provided, however, that loans issued in
response to a joint application shall not exceed the lesser of five
hundred fifty thousand dollars or seventy-five percent of the cost of
the fire fighting apparatus.
(ii) Purchasing ambulances or rescue vehicles. A loan for purchasing
an ambulance or a rescue vehicle shall not exceed the lesser of two
hundred twenty-five thousand dollars or seventy-five percent of the cost
of the ambulance or rescue vehicle; provided, however, that loans issued
in response to a joint application shall not exceed the lesser of three
hundred fifty thousand dollars or seventy-five percent of the cost of
the ambulance or rescue vehicle.
(iii) Purchasing protective equipment or communication equipment. A
loan for purchasing protective equipment or communication equipment or
both shall not exceed two hundred thousand dollars. Communication
equipment purchased with such loan shall, to the maximum extent
practicable, be compatible with the communication equipment of adjacent
services and jurisdictions; provided, however, that loans issued in
response to a joint application shall not exceed two hundred sixty-five
thousand dollars.
(iv) Repairing or rehabilitating fire fighting apparatus, ambulances,
or rescue vehicles. A loan for repairing or rehabilitating fire fighting
apparatus, ambulances, or rescue vehicles shall not exceed the lesser of
two hundred thousand dollars or one hundred percent of the cost of the
repair or rehabilitation; provided, however, that loans issued in
response to a joint application shall not exceed the lesser of four
hundred thousand dollars or one hundred percent of the cost of the
repair or rehabilitation.
(v) Purchasing accessory equipment. A loan for purchasing accessory
equipment shall not exceed one hundred twenty-five thousand dollars;
provided, however, that loans issued in response to a joint application
shall not exceed one hundred seventy-five thousand dollars.
(vi) Renovating, rehabilitating or repairing facilities that house
firefighting equipment, ambulances, rescue vehicles and related
equipment. A loan for this purpose shall not exceed the lesser of two
hundred fifty thousand dollars or seventy-five percent of the cost of
the project; provided, however, that loans issued in response to a joint
application shall not exceed the lesser of five hundred thousand dollars
or seventy-five percent of the cost of the project.
(vii) Construction costs associated with the establishment of
facilities that house firefighting equipment, ambulances, rescue
vehicles and related equipment. A loan for this purpose shall not exceed
the lesser of five hundred thousand dollars or seventy-five percent of
the cost of the construction, or be used for the payment of fees for
design, planning, preparation of applications or other costs not
directly attributable to land acquisitions or construction; provided,
however, that loans issued in response to a joint application shall not
exceed the lesser of seven hundred fifty thousand dollars or
seventy-five percent of the cost of the construction, or be used for the
payment of fees for design, planning, preparation of applications or
other costs not directly attributable to land acquisitions or
construction.
(viii) Construction costs associated with the establishment of
facilities for the purpose of live fire training. A loan for this
purpose shall not be granted if another live fire training facility is
located within the boundaries of the county or within twenty-five miles.
A loan for this purpose shall not exceed the lesser of two hundred fifty
thousand dollars or seventy-five percent of the cost of construction,
provided, however, joint applications shall not exceed the lesser of
four hundred thousand dollars or seventy-five percent of the cost of
construction or be used for the payment of fees for design, planning,
preparation of applications or other costs not directly attributable to
land acquisitions or construction.
(b) No loan authorized by this section shall have an interest rate
exceeding two and one-half percent. No applicant shall receive a loan
for any purpose under paragraph (a) of this subdivision more than once
in any five-year period; provided, however, that joint applicants may
receive up to two loans in any five year period. The minimum amount of
any loan shall be five thousand dollars. The period of any loan shall
not exceed the period of probable usefulness, prescribed by section
11.00 of the local finance law, for the emergency equipment to be
purchased with the proceeds of the loan or, if no period be there
prescribed, five years. The total amount of any interest earned by the
investment or reinvestment of all or part of the principal of any loan
made under this section shall be returned to the commissioner of the
division of homeland security and emergency services for deposit in the
account and shall not be credited as payment of principal or interest on
the loan. The commissioner of the division of homeland security and
emergency services may require security for any loan and may specify the
priority of liens against any emergency equipment wholly or partially
purchased with moneys loaned under this section. The commissioner of the
division of homeland security and emergency services may make loans
under this section subject to such other terms and conditions the
commissioner of the division of homeland security and emergency services
deems proper.
(c) The commissioner of the division of homeland security and
emergency services shall have the power to make such rules and
regulations as may be necessary and proper to effectuate the purposes of
this section.
(d) The commissioner of the division of homeland security and
emergency services shall annually report by March fifteenth to the
governor and the legislature describing the activities and operation of
the loan program authorized by this section. Such report shall set forth
the number of loan applications received and approved; the number of
joint applications received and approved; the names of counties, cities,
towns, villages and fire districts receiving loans together with the
amount and purpose of the loan, the interest rate charged, and the
outstanding balance; and the balance remaining in the New York state
emergency services revolving loan account, along with fund revenues and
expenditures for the previous fiscal year, and projected revenues and
expenditures for the current and following fiscal years.
5. (a) Application for loans may be made by a town, village, city,
fire district, fire protection district, independent, not-for-profit
fire and ambulance corporation or county, other than a county wholly
contained within a city, provided that the application is otherwise
consistent with its respective powers. Applications may also be
submitted jointly by multiple applicants provided that the application
is otherwise consistent with each applicant's respective powers.
(b) Every application shall be in a form acceptable to the
commissioner of the division of homeland security and emergency
services. Every application shall accurately reflect the conditions
which give rise to the proposed expenditure and accurately reflect the
ability of the applicant to make such an expenditure without the
proceeds of a loan under this section.
(c) (i) The commissioner of the division of homeland security and
emergency services shall give preference to those applications which
demonstrate the greatest need, joint applications, and to those
applications the proceeds of which will be applied toward attaining
compliance with federal and state laws and may disapprove any
application which contains no adequate demonstration of need or which
would result in inequitable or inefficient use of the moneys in the
account.
(ii) In making determinations on loan applications, the commissioner
of the division of homeland security and emergency services shall assure
that loan fund moneys are equitably distributed among all sectors of the
emergency services community and all geographical areas of the state.
Loans for the purpose of personal protective firefighting equipment
shall be given preference for a period of two years from the date the
first loan is made. Not less than fifty percent of the loans annually
made shall be made to applicants whose fire protection or ambulance
service is provided by a fire department or ambulance service whose
membership is comprised exclusively of volunteers.
(d) An application or joint application shall not be approved:
(i) if the applicant or applicants are in arrears on any prior loan
under this section,
(ii) if it shall be shown that at any time in the prior ten years the
applicant or applicants used state funds to repay all or part of any
loan made under this section.
(e) The commissioner of the division of homeland security and
emergency services shall, to the maximum extent feasible, and consistent
with the other provisions of this section, seek to provide that loans
authorized by this section reflect an appropriate geographic
distribution, are distributed equitably and encourage regional
cooperation.
6. For purposes of this section, the following terms shall have the
accompanying meanings:
(a) "Fire companies" means (i) a fire company, the members of which
are firefighters, volunteer, paid or both, of a county, city, town,
village, fire district or fire department, or (ii) a fire corporation,
the members of which are firefighters, volunteer, paid or both,
providing fire protection pursuant to a fire protection contract within
a fire protection district of a town.
(b) "Volunteer ambulance service" means an individual, partnership,
association, corporation, municipality or any legal or public entity or
subdivision thereof engaged in providing emergency medical services and
the transportation of sick, disabled or injured persons by motor
vehicle, aircraft or other form of transportation to or from facilities
providing hospital services which is (i) operating not for pecuniary
profit or financial gain, and (ii) no part of the assets or income of
which is distributable to, or inures to the benefit of, its members,
directors or officers.
(c) "Ambulance" means a motor vehicle designed, appropriately
equipped, and used for carrying sick or injured persons.
(d) "Accessory equipment" means equipment necessary to support the
ordinary functions of fire fighting, emergency medical services, or
rescue activities other than communication equipment, protective
equipment, and motor vehicles together with their fixtures and
appointments.
(e) "Account" means the New York state emergency services revolving
loan account established by this section within the combined expendable
trust fund-020.
(f) "Communication equipment" means any voice or original transmission
system or telemetry system used to enhance fire fighter safety on the
grounds of a fire or other emergency.
(g) "Emergency equipment" means any or all of the following:
ambulances, accessory equipment, communication equipment, fire fighting
apparatus, protective equipment, and rescue vehicles.
(h) "Fire fighting apparatus" means elevated equipment, pumpers,
tankers, ladder trucks, hazardous materials emergency response vehicles,
or other such specially equipped motor vehicles used for fire
protection, together with the fixtures and appointments necessary to
support their functions.
(i) "Joint application" means an application submitted by two or more
towns, villages, cities, fire districts, fire protection districts,
not-for-profit fire and ambulance corporations or counties, other than a
county wholly contained within a city, for any purposes provided in
subdivision four of this section.
(j) "Protective equipment" means any clothing and devices that comply
with occupational safety and health administration standards (federal
occupational safety and health act regulations) used to protect
personnel who provide emergency services from injury while performing
their functions, including, but not limited to, helmets, coats, boots,
eyeshields, gloves and self contained respiratory protection devices.
(k) "Rescue vehicle" means a motor vehicle, other than an ambulance or
fire fighting apparatus, appropriately equipped and used to support fire
department operations and includes a vehicle specifically for carrying
accessory equipment.
Statewide public safety communications account. 1. There is
hereby established in the joint custody of the state comptroller and the
commissioner of taxation and finance a fund to be known as the
"statewide public safety communications account".
2. The statewide public safety communications account shall consist of
all monies deposited in this account pursuant to a subsequent chapter of
the laws of nineteen hundred ninety-eight, all monies appropriated for
its purpose, all monies transferred to such account pursuant to law, and
all monies deposited pursuant to any other law to be paid into or
credited to the account, including all monies received by the account or
donated to it.
Pet dealer licensing fund. 1. There is hereby established in
the joint custody of the state comptroller and the commissioner of
taxation and finance, a fund to be known as the "pet dealer licensing
fund".
2. Such fund shall consist of all monies collected pursuant to article
twenty-six-A of the agriculture and markets law, except for monies
collected pursuant to subdivision five of section four hundred three of
such article, and all other monies credited or transferred thereto from
any other fund or source pursuant to law.
3. Monies of the fund shall be expended solely for the purposes of
carrying out the provisions of article thirty-five-D of the general
business law and article twenty-six-A of the agriculture and markets
law. Monies shall be paid out of the fund on the audit and warrant of
the state comptroller on vouchers approved by the commissioner of
agriculture and markets. Any interest received by the comptroller on
monies on deposit in the pet dealer licensing fund shall be retained in
and become part of such fund.
Intervenor account. 1. There is hereby established in the
joint custody of the state comptroller and the commissioner of taxation
and finance an account to be known as the intervenor account.
2. Such account shall consist of all revenues received from siting
application fees for electric major utility transmission facilities
pursuant to section one hundred twenty-two of the public service law.
3. Moneys of the account, following appropriation by the legislature,
may be expended in accordance with the provisions of section one hundred
twenty-two of the public service law. Moneys shall be paid out of the
account on the audit and warrant of the state comptroller on vouchers
certified or approved by the chair of the public service commission.
Legislative computer services fund. 1. There is hereby
established in the joint custody of the state comptroller and the
commissioner of taxation and finance a fund to be known as the
legislative computer services fund.
2. Such fund shall consist of all revenues received from royalties and
receipts from computer related operations and all other moneys credited
or transferred thereto from any other fund or source pursuant to law.
3. Moneys of the fund, following appropriation by the legislature, may
be expended for services and expenses relative to research, development,
training of personnel and acquisition of support services directly
related to data processing capabilities of the legislature. Moneys shall
be paid out of the fund on the audit and warrant of the state
comptroller on vouchers certified or approved by the temporary president
of the senate or his or her designee and the speaker of the assembly or
his or her designee. Funds appropriated may be suballocated to any
legislative entity subject to the written approval of the temporary
president of the senate or his or her designee and the speaker of the
assembly or his or her designee.
Senate recyclable materials, information services and
conference fund. 1. There is hereby established in the joint custody of
the state comptroller and the commissioner of taxation and finance a
fund to be known as the senate recyclable materials, information
services and conference fund.
2. Such fund shall consist of all revenues received from the sale of
recyclable materials, fees received for the distribution of senate
documents, materials, computerized information and conference fees.
3. Moneys of the fund, following appropriation by the legislature, may
be expended for services and expenses including but not limited to waste
disposal, production and distribution of senate documents, materials and
computerized information, or expenses related to conferences sponsored
by the senate.
Assembly recyclable materials, information services and
conference fund. 1. There is hereby established in the joint custody of
the state comptroller and the commissioner of taxation and finance a
fund to be known as the assembly recyclable materials, information
services and conference fund.
2. Such fund shall consist of all revenues received from the sale of
recyclable materials, fees received for the distribution of assembly
documents, materials, computerized information and conference fees.
3. Moneys of the fund, following appropriation by the legislature, may
be expended for services and expenses including but not limited to waste
disposal, production and distribution of assembly documents, materials
and computerized information, or expenses related to conferences
sponsored by the assembly.
Animal population control fund. 1. There is hereby
established in the joint custody of the state comptroller and the
commissioner of taxation and finance a fund to be known as the "animal
population control fund".
2. Such fund shall consist of all moneys collected pursuant to
subdivision three of section one hundred ten of the agriculture and
markets law, and section one hundred seventeen-a of the agriculture and
markets law, and all other moneys credited or transferred thereto from
any other fund or source pursuant to law.
3. Moneys of the fund shall be expended for the purposes of carrying
out the provisions of section one hundred seventeen-a of the agriculture
and markets law. Moneys shall be paid out of the fund on the audit and
warrant of the state comptroller pursuant to subdivision four of this
section. Any interest received by the comptroller on moneys on deposit
in the animal population control fund shall be retained in and become
part of such fund.
4. The comptroller shall disperse the full balance of funds accrued
pursuant to subdivision two of this section to the administering entity
selected pursuant to subdivision one of section one hundred seventeen-a
of the agriculture and markets law on a quarterly basis for the purposes
of administering the animal population control program established
pursuant to such section.
Breast cancer research and education fund. 1. There is hereby
established in the joint custody of the commissioner of taxation and
finance and the comptroller, a special fund to be known as the "breast
cancer research and education fund".
2. Such fund shall consist of all revenues received by the department
of taxation and finance, pursuant to the provisions of section two
hundred nine-D and section six hundred twenty-seven of the tax law, all
moneys collected pursuant to section four hundred four-q of the vehicle
and traffic law, as added by chapter five hundred twenty-eight of the
laws of nineteen hundred ninety-nine, and all other moneys appropriated,
credited, or transferred thereto from any other fund or source pursuant
to law. For each state fiscal year, there shall be appropriated to the
fund by the state, in addition to all other moneys required to be
deposited into such fund, an amount equal to the amounts of monies
collected and deposited into the fund pursuant to sections two hundred
nine-D and six hundred twenty-seven of the tax law and section four
hundred four-q of the vehicle and traffic law, as added by chapter five
hundred twenty-eight of the laws of nineteen hundred ninety-nine, and
the amounts of moneys received and deposited into the fund from grants,
gifts and bequests during the preceding calendar year, as certified by
the comptroller. Nothing contained herein shall prevent the state from
receiving grants, gifts or bequests for the purposes of the fund as
defined in this section and depositing them into the fund according to
law.
2-a. On or before the first day of February each year, the comptroller
shall certify to the governor, temporary president of the senate,
speaker of the assembly, chair of the senate finance committee and chair
of the assembly ways and means committee, the amount of money deposited
in the breast cancer research and education fund during the preceding
calendar year as the result of revenue derived pursuant to sections two
hundred nine-D and six hundred twenty-seven of the tax law and section
four hundred four-q of the vehicle and traffic law, as added by chapter
five hundred twenty-eight of the laws of nineteen hundred ninety-nine,
and from grants, gifts and bequests.
2-b. On or before the first day of February each year, the
commissioner of health shall provide a written report to the temporary
president of the senate, speaker of the assembly, chair of the senate
finance committee, chair of the assembly ways and means committee, chair
of the senate committee on health, chair of the assembly health
committee, the state comptroller and the public. Such report shall
include how the monies of the fund were utilized during the preceding
calendar year, and shall include:
(i) the amount of money dispersed from the fund and the award process
used for such disbursements;
(ii) recipients of awards from the fund;
(iii) the amount awarded to each;
(iv) the purposes for which such awards were granted; and
(v) a summary financial plan for such monies which shall include
estimates of all receipts and all disbursements for the current and
succeeding fiscal years, along with the actual results from the prior
fiscal year.
3. Monies of the fund shall be expended only for breast cancer
research and educational projects. As used in this section, "breast
cancer research and education projects" means scientific research or
educational projects which, pursuant to section two thousand four
hundred eleven of the public health law, are approved by the department
of health, upon the recommendation of the health research science board.
4. Monies shall be payable from the fund on the audit and warrant of
the comptroller on vouchers approved and certified by the commissioner
of health.
5. To the extent practicable, the commissioner of health shall ensure
that all monies received during a fiscal year are expended prior to the
end of that fiscal year.
Federal revenue maximization contract fund. 1. There is
hereby established in the joint custody of the state comptroller and the
commissioner of taxation and finance a fund known as the federal revenue
maximization contract fund.
2. Such fund shall consist of those revenues specified by the
department of social services, subject to the approval of the director
of the budget, and properly received from the federal government on
account of federal revenue maximization activities conducted by the
department of social services and social services districts, both
directly and through their contractors, that are credited or transferred
thereto from any other fund or source pursuant to law.
3. Moneys in the fund, pursuant to appropriation by the legislature
and issuance of a certificate of approval by the director of the budget,
shall be made available for the following purposes:
(a) payment of fees, pursuant to a contract approved by the state
comptroller, to any contractor of the department of social services
providing federal revenue maximization services; and,
(b) payment or reimbursement of the federal share of social services
district expenditures based on social services district claims for
additional federal reimbursements submitted in accordance with section
one hundred thirty-one-g of the social services law and identified by
the commissioner of social services as federal revenue maximization
claims submitted on behalf of a city or county department or social
services district. Moneys shall be paid out of the fund on the audit
and warrant of the state comptroller on vouchers certified or approved
by the commissioner of social services and the director of the budget.
4. Notwithstanding any other provision of law to the contrary, any
federal revenues received by the state based on federal revenue
maximization contractor activities which reimburse social services
districts for activities which have been or will be subject to state
reimbursement shall be proportionately reduced by the amount of state
reimbursement received by the social services district or, as determined
by the commissioner of social services and the director of the budget,
by any other city or county agency.
5. Moneys in the federal revenue maximization contract fund shall be
kept separate and shall not be commingled with any moneys in the custody
of the comptroller. Further, the comptroller shall establish within the
federal revenue maximization contract fund a revenue maximization
contractor account and a local maximization account.
6. Upon the identification, by the director of the budget, of moneys
resulting from federal revenue maximization activities conducted by the
department of social services, the comptroller shall apportion the
monies as follows:
(a) The first portion shall be deposited to the revenue maximization
contractor account, pursuant to the provisions of the applicable
contract with the department of social services or a social services
district. The director of the budget shall review and approve or
disapprove the amounts to be so deposited.
(b) The second portion shall be deposited to the local maximization
account, in amounts to be determined by the director of the budget in
consultation with the department of social services and any other state
department or agency, as necessary.
(c) Remaining moneys shall be deposited to the contingency reserve
fund.
7. Payments to a contractor of a department of social services, or a
social services district, who was engaged in revenue maximization
activities generating reimbursement specified for deposit in the federal
revenue maximization fund pursuant to subdivision three of this section,
shall be made only from the revenue maximization account.
Clean water/clean air bond fund. 1. There is hereby
established in the joint custody of the state comptroller and the
commissioner of taxation and finance a special fund to be known as the
"clean water/clean air bond fund".
2. The comptroller shall establish the following separate and distinct
accounts within the clean water/clean air bond fund: (a) safe drinking
water account; (b) clean water account; (c) solid waste account; (d)
environmental restoration account; and (e) air quality improvement
account.
3. All moneys received by the state from the sale of bonds or notes
for the purpose of the clean water/clean air bond fund shall be
deposited by the comptroller into the clean water/clean air bond fund
established pursuant to this section.
4. Moneys in this fund, following appropriation by the legislature and
allocation by the director of the budget, shall be available only for
the reimbursement of expenditures made from appropriations from the
capital projects fund for the purposes set forth in the Clean
Water/Clean Air Bond Act of 1996.
Clean water/clean air fund. 1. There is hereby established
in the joint custody of the comptroller and the commissioner of taxation
and finance a special fund to be known as the Clean Water/Clean Air
Fund.
2. Such fund shall consist of revenues collected in the state from the
tax on the conveyance of real property pursuant to section fourteen
hundred two of the tax law and deposited to the fund pursuant to section
fourteen hundred twenty-one of the tax law.
3. Revenues in the clean water/clean air fund shall be kept separate
and shall not be commingled with any other moneys in the custody of the
comptroller. All deposits of such revenues shall, if required by the
comptroller, be secured by obligations of the United States or of the
state having a market value equal at all times to the amount of such
deposits and all banks and trust companies are authorized to give
security for such deposits. Any such revenues in such fund may, upon the
discretion of the comptroller, be invested in obligations of the United
States or of the state or in obligations the principal of and interest
on which are guaranteed by the United States or by the state.
4. On or before each April first, and at least quarterly thereafter,
the director of the budget shall certify to the comptroller, the
chairperson of the senate finance committee and the chairperson of the
assembly ways and means committee a monthly amount projected to be
necessary to meet the total annual debt service requirements for the
current fiscal year on any bonds issued as authorized by the Clean
Water/Clean Air Bond Act of 1996. Such amount shall be calculated by
estimating the total annual debt service for the current fiscal year
less any amounts already retained to meet such requirement divided by
the number of months remaining in such year. Such monthly amount shall
be retained within such fund for transfer to the general debt service
fund for reimbursement of debt service on such bonds.
5. The comptroller shall transfer, as needed, to the general debt
service fund such moneys as are necessary to reimburse such fund for any
debt service disbursements made on such bonds. In the event that moneys
retained in the clean water/clean air fund are less than the amount
needed for such reimbursement, the comptroller shall offset such
shortfall from subsequent deposits in the clean water/clean air fund as
soon as the revenue is available.
6. No later than the last day of the month, the comptroller shall
transfer to the general fund any moneys received in such fund during the
month that are in excess of the monthly amount certified by the director
of the budget. Notwithstanding any other provision of law, the
comptroller shall, on the last day of each fiscal year pay to the
general fund all moneys remaining in such fund that are not needed for
reimbursement of debt service for the current fiscal year.
* § 97-ddd. Federal single audit chargeback account. There is hereby
established in the joint custody of the state comptroller and the
commissioner of taxation and finance an account to be known as the
federal single audit chargeback account in the internal services fund.
Notwithstanding any other law, rule or regulation to the contrary,
expenditures from the federal single audit chargeback account of the
division of the budget internal services fund shall be recovered by
charging those state departments and agencies responsible for their
respective percentages of costs associated with conducting and managing
the single audit, in accordance with a schedule of federal program audit
costs approved by the director of the budget.
* NB There are 3 § 97-ddd's
* § 97-eee. Clean water/clean air implementation fund. 1. There is
hereby established in the joint custody of the state comptroller and the
commissioner of taxation and finance a fund to be known as the "clean
water/clean air implementation fund."
2. Such fund shall consist of moneys credited or transferred thereto
from any other fund or source for deposit in the fund.
3. Moneys of the clean water/clean air implementation fund shall be
available, following appropriation by the legislature, to pay for the
costs of state departments, agencies, public authorities and public
benefit corporations to implement, manage and administer state
assistance payments for the state share of projects authorized pursuant
to chapter four hundred thirteen of the laws of nineteen hundred
ninety-six.
4. Moneys in the fund shall be kept separately from and shall not be
commingled with any other moneys in the custody of the state
comptroller.
5. All payments of moneys from the fund shall be made on the audit and
the warrant of the comptroller.
* NB There are 2 § 97-eee's
Summer school of the arts account. 1. There is hereby
established in the joint custody of the state comptroller and the
commissioner of the department of taxation and finance an account of the
miscellaneous special revenue fund to be known as the summer school of
the arts account.
2. Notwithstanding any other law, rule or regulation to the contrary,
the state comptroller is hereby authorized and directed to receive for
deposit to the credit of the summer school of the arts account, tuition,
fees, monies transferred from other funds and accounts pursuant to law
and charge backs to other state agencies and school districts for
services and programs of the summer school of the arts.
3. Moneys of this account, following appropriation by the legislature,
shall be available to the state education department for services and
expenses of the summer school of the arts.
Teacher certification program account. 1. There is hereby
established in the joint custody of the state comptroller and the
commissioner of the department of taxation and finance an account of the
miscellaneous special revenue fund to be known as the teacher
certification program account.
2. Notwithstanding any other law, rule or regulation to the contrary,
the state comptroller is hereby authorized and directed to receive for
deposit to the credit of the teacher certification account, fees related
to responsibilities of the education department pursuant to section
three thousand six of the education law including workload pursuant to
chapter six hundred fifty of the laws of nineteen hundred ninety
including all fees for teaching certificates, temporary licenses,
including temporary coaching licenses, temporary certificates and
continuing and duplicate certificates and penalties and fines pursuant
to subdivision seven of section three hundred five of the education law.
3. Moneys of this account, following appropriation by the legislature,
shall be available to the state education department for services and
expenses related to the administration of the teacher certification
program.
High school equivalency account. 1. There is hereby
established in the joint custody of the state comptroller and the
commissioner of the department of taxation and finance an account of the
miscellaneous special revenue fund to be known as the high school
equivalency account.
2. Notwithstanding any other law, rule or regulation to the contrary,
the state comptroller is hereby authorized and directed to receive for
deposit to the credit of the high school equivalency account, fees
established by the commissioner of education and approved by the
director of the budget to supplement administration of the general
educational development tests for the high school equivalency diploma.
3. Moneys of this account, following appropriation by the
legislature, shall be available to the state education department for
services and expenses related to the administration of the general
educational development tests for the high school equivalency diploma.
Indirect cost recovery account. 1. There is hereby
established in the joint custody of the state comptroller and the
commissioner of the department of taxation and finance an account of the
miscellaneous special revenue fund to be known as the indirect cost
recovery account.
2. Notwithstanding any other law, rule or regulation to the contrary,
the state comptroller is hereby authorized and directed to receive for
deposit to the credit of the indirect cost recovery account, charge
backs to the general fund - state purposes account, to special revenue
fund - other, to special revenue funds - federal, and to internal
services funds; moneys recovered from the sale of department
publications, fees for technical assistance services, fees for printing
services provided to other department units, other state agencies,
governmental bodies and other entities; and fees collected from outside
use of department of education facilities.
3. Moneys of this account, following appropriation by the
legislature, shall be available to the state education department for
policy, legal and administrative services provided to other department
units, other state agencies, governmental bodies and other entities.
Rome school for the deaf account. 1. There is hereby
established in the joint custody of the state comptroller and the
commissioner of the department of taxation and finance an account of the
miscellaneous special revenue fund to be known as the Rome school for
the deaf account.
2. Notwithstanding any other law, rule or regulation to the contrary,
the state comptroller is hereby authorized and directed to receive for
deposit to the credit of the Rome school for the deaf account, revenues
received pursuant to section forty three hundred fifty-seven of the
education law and fees from school districts, BOCES, other entities and
individuals for other appropriate education-related services.
3. Moneys of this account, following appropriation by the
legislature, shall be available to the state education department for
services and expenses related to the operation of the Rome school for
the deaf.
Batavia school for the blind account. 1. There is hereby
established in the joint custody of the state comptroller and the
commissioner of the department of taxation and finance an account of the
miscellaneous special revenue fund to be known as the Batavia school for
the blind account.
2. Notwithstanding any other law, rule or regulation to the contrary,
the state comptroller is hereby authorized and directed to receive for
deposit to the credit of the Batavia school for the blind account,
revenues received pursuant to section forty three hundred thirteen of
the education law and fees from school districts, BOCES, other entities
and individuals for other appropriate education-related services.
3. Moneys of this account, following appropriation by the
legislature, shall be available to the state education department for
services and expenses related to the operation of the Batavia school for
the blind.
Vocational rehabilitation fund. 1. There is hereby
established in the joint custody of the state comptroller and the
commissioner of the department of taxation and finance a fund to be
known as the vocational rehabilitation fund.
2. There is hereby established in the joint custody of the state
comptroller and the commissioner of the department of taxation and
finance two accounts of the vocational rehabilitation fund to be known
as:
(a) the workers' compensation death benefit accounts. Expenditures
from this account shall support services and expenses of the special
workers' compensation program. Notwithstanding any other law, rule or
regulation to the contrary, the comptroller is hereby authorized and
directed to deposit to the credit of this account all moneys collected
pursuant to subdivision nine of section fifteen of the workers'
compensation law; and
(b) the workers' compensation evaluation fees account. Expenditures
from this account shall support rehabilitation services for injured
workers. Notwithstanding any other law, rule or regulation to the
contrary, the comptroller is hereby authorized and directed to deposit
to the credit of this account fees charged to insurance carriers in
accordance with a fee schedule adopted by the board of regents.
3. Moneys of the accounts established in subdivision two of this
section, following appropriation by the legislature, shall be available
to the state education department for services and expenses of the
special workers' compensation program.
Archives records management account. 1. There is hereby
established in the joint custody of the state comptroller and the
commissioner of the department of taxation and finance an account of the
miscellaneous internal service fund to be known as the archives records
management account.
2. Notwithstanding any other law, rule or regulation to the contrary,
expenditures from the archives records management account shall support
records management activities pursuant to section 57.05 of the arts and
cultural affairs law. This account shall consist of fees charged to
state, local and miscellaneous agencies, in accordance with section
57.05 of the arts and cultural affairs law.
3. Notwithstanding any other law, rule or regulation to the contrary,
the comptroller is hereby authorized and directed to transfer to the
archives records management account, within forty-five days of enactment
of the state budget, fees for records management activities from various
state, local and miscellaneous agencies, and deposit in the archives
records management account such amounts as determined by a schedule of
fees developed by the commissioner of education and approved by the
director of the budget, pursuant to section 57.05 of the arts and
cultural affairs law.
4. Moneys of this account, following appropriation by the
legislature, shall be available to the state education department for
services and expenses of archives records management.
Office of the professions account. 1. There is hereby
established in the joint custody of the state comptroller and the
commissioner of taxation and finance an account of the miscellaneous
special revenue fund to be known as the office of the professions
account.
2. Notwithstanding any other law, rule or regulation to the contrary,
the state comptroller is hereby authorized and directed to receive for
deposit to the credit of the office of the professions account, payments
relating to the responsibilities of the education department pursuant to
title VIII of the education law, including fees for professional
licenses and registration, penalties for professional misconduct,
charges for test administration, verification and certification of
credentials, and restoration of revoked and annulled licenses and fees
related to foreign and out-of-state medical school evaluations and any
other related fees, surcharges and charges as established by statute or
by the commissioner's regulations pursuant to such title.
3. Moneys of this account, following appropriation by the legislature,
shall be available to the state education department for services and
expenses of the office of the professions.
Department of corrections and community supervision asset
forfeiture account. 1. There is hereby established in the joint custody
of the state comptroller and the department of corrections and community
supervision a special account within the miscellaneous special revenue
fund to be known as the department of corrections and community
supervision asset forfeiture account. Such account shall consist,
subject to necessary federal approval, of moneys received by the
department of corrections and community supervision through the
equitable sharing that is authorized in federal forfeiture actions.
2. The moneys of the account shall be available for purposes of
developing additional resources such as, but not limited to, obtaining
equipment, establishing training programs, or accessing existing
technology or databases.
3. The commissioner of the department of corrections and community
supervision shall report to the commissioner of the division of criminal
justice services, the director of the budget, the chairman of the senate
finance committee and the chairman of the assembly ways and means
committee by October first, nineteen hundred ninety-eight and every six
months thereafter, on the source and amounts of moneys in the account.
Such report shall describe the amount of moneys received by the federal
government and the department of corrections and community supervision
from the joint activities of the department and federal law enforcement
agencies, the law enforcement activities which led to such forfeiture
and the value of the assets so seized.
4. The moneys of such account shall be made available on the audit and
warrant of the comptroller on vouchers certified or approved by the
commissioner of the department of corrections and community supervision.
Education museum account. 1. There is hereby established
in the joint custody of the state comptroller and the commissioner of
the department of taxation and finance an account of the miscellaneous
special revenue fund to be known as the education museum account.
2. Notwithstanding any other law, rule or regulation to the contrary,
the state comptroller is hereby authorized and directed to receive for
deposit to the credit of the education museum account, fees, including
charge backs to other state agencies and department units; fees charged
for the use of museum facilities or for services including licenses or
certificates; charges for services and data interpretation; donations;
sales of photocopies, microform, data discs, publications or other
materials, including the sale of excess museum properties; public or
private funds received for research activities managed by the state
museum; and from public or private funds received as payment in lieu of
honorarium for services rendered by state education department employees
which are related to such employees official duties or responsibilities.
3. Moneys of this account, following appropriation by the
legislature, shall be available to the state education department for
services and expenses of the state museum.
Automation and printing chargeback account. 1. There is
hereby established in the joint custody of the state comptroller and the
commissioner of the department of taxation and finance an account of the
miscellaneous internal service fund to be known as the automation and
printing chargeback account.
2. Notwithstanding any other law, rule or regulation to the contrary,
the state comptroller is hereby authorized and directed to receive for
deposit to the credit of the automation and printing chargeback account
chargebacks to the general fund - state purposes account, to special
revenue fund - other, to special revenue funds - federal and to internal
services funds for centralized information technology and printing
services and moneys recovered from the sale of department publications,
fees for technical assistance services, fees for printing services
provided to other department units, other state agencies, governmental
bodies and other entities.
3. Moneys of this account, following appropriation by the
legislature, shall be available to the state education department for
services and expenses related to the administration of the automation
and printing chargeback account.
* § 97-rrr. School tax relief fund. 1. There is hereby established in
the joint custody of the comptroller and the commissioner of taxation
and finance a special fund to be known as the school tax relief fund.
2. Such fund shall consist of all monies credited or transferred
thereto from the general fund or from any other fund or sources pursuant
to law.
3. The monies in such fund shall be appropriated for school property
tax exemptions granted pursuant to the real property tax law and payable
pursuant to section thirty-six hundred nine-e of the education law.
4. All payments from the fund shall be made on the audit and warrant
of the comptroller on vouchers approved by the commissioner of the state
education department.
5. Notwithstanding the provisions of section one hundred seventy-one-a
of the tax law, as separately amended by chapters four hundred
eighty-one and four hundred eighty-four of the laws of nineteen hundred
eighty-one, and notwithstanding the provisions of chapter ninety-four of
the laws of two thousand eleven, or any other provisions of law to the
contrary, during the fiscal year beginning April first, two thousand
twenty-six, the state comptroller is hereby authorized and directed to
deposit to the fund created pursuant to this section from amounts
collected pursuant to article twenty-two of the tax law and pursuant to
a schedule submitted by the director of the budget, up to $1,294,911,000
as may be certified in such schedule as necessary to meet the purposes
of such fund for the fiscal year beginning April first, two thousand
twenty-six.
* NB There are 2 § 97-rrr's
Charter schools stimulus fund. There is hereby established
in the joint custody of the comptroller and the commissioner of taxation
and finance a fund to be known as the charter schools stimulus fund.
Such fund shall consist of all monies made available pursuant to
appropriation for this purpose, all monies transferred to such fund
pursuant to law, and grants, gifts and devises and donations from any
public or private source. The purpose of such fund is to provide
discretionary financial support, including grants and loans to charter
school applicants and to charter schools for start-up costs and for
costs associated with the acquisition, renovation, or construction of
school facilities.
Federal revenue maximization contract fund. 1. There is
hereby established in the joint custody of the state comptroller and the
commissioner of taxation and finance a fund to be known as the federal
revenue maximization contract fund.
2. Such fund shall consist of those revenues specified by the office
of temporary and disability assistance or the department of health, as
approved by the director of the budget, and properly received from the
federal government on account of federal revenue maximization activities
conducted by the former department of social services or the office of
temporary and disability assistance or the department of health, and
social services districts, both directly and through their contractors,
that are credited or transferred thereto from any other fund or source
pursuant to law.
3. Notwithstanding any provision of law to the contrary, to the extent
that federal revenues specified under subdivision two of this section
and related to medical assistance expenditures are properly received
under a federal revenue maximization contract which has been properly
executed by the department of health, and approved by the director of
the budget, and are used to reduce the state and local district cost of
medical assistance expenditures, the commissioner of health shall,
subject to the approval of the director of the budget, transfer such
specified revenues to the federal revenue maximization contract fund and
shall make all payments or transfers required by this section.
4. Moneys in the fund, pursuant to appropriation by the legislature
and issuance of a certificate of approval by the director of the budget
shall be made available for the following purposes:
(a) payment of fees, pursuant to a contract approved by the state
comptroller, to a contractor of the former department of social services
or the office of temporary and disability assistance or the department
of health providing federal revenue maximization services; and
(b) payment or reimbursement of the federal share of social services
district expenditures based on social services district claims for
additional federal reimbursements submitted in accordance with section
one hundred thirty-one-g of the social services law and identified by
the commissioner of the office of temporary and disability assistance or
the department of health, as federal revenue maximization claims
submitted on behalf of a city or county department or social services
district. Moneys shall be paid out of the fund on the audit and warrant
of the state comptroller on vouchers certified or approved by the
commissioner of the office of temporary and disability assistance or the
department of health and the director of the budget.
5. Notwithstanding any other provision of law to the contrary, any
federal revenues received by the state based on federal revenue
maximization contractor activities which reimburse social services
districts for activities which have been or will be subject to state
reimbursement shall be proportionately reduced by the amount of state
reimbursement received by the social services district, or, as
determined by the commissioner of the office of temporary and disability
assistance or the department of health and the director of the budget,
by any other city or county agency.
6. Moneys in the federal revenue maximization contract fund shall be
kept separate and shall not be commingled with any moneys in the custody
of the comptroller. Further, the comptroller shall establish within the
federal revenue maximization contract fund a revenue maximization
contractor account and a local maximization account.
7. Upon the identification, by the director of the budget, of moneys
resulting from federal revenue maximization activities conducted by the
former department of social services or the office of temporary and
disability assistance or the department of health, the state comptroller
shall apportion the moneys as follows:
(a) the first portion shall be deposited to the revenue maximization
contractor account, pursuant to the provisions of the applicable
contract with the former department of social services or the office of
temporary and disability assistance or the department of health, or a
social services district. The director of the budget shall review and
approve or disapprove the amounts to be so deposited;
(b) the second portion shall be deposited to the local maximization
account, in amounts to be determined by the director of the budget in
consultation with the commissioner of the office of temporary and
disability assistance and any other state department or agency, as
necessary; and
(c) remaining moneys shall be deposited to the contingency reserve
fund.
8. Payments to a contractor of the former department of social
services or the office of temporary and disability assistance or the
department of health or a social services district, who was engaged in
revenue maximization activities generating reimbursement specified for
deposit in the federal revenue maximization fund pursuant to subdivision
three of this section, shall be made only from the revenue maximization
contractor account.
9. Notwithstanding any law to the contrary, and in accordance with
section four of the state finance law, the comptroller is hereby
authorized and directed to transfer, upon request from the director of
the budget, $95,000,000 from any of the office of temporary and
disability assistance special revenue federal funds to the federal
revenue maximization fund (359) or the contingency reserve fund (005).
* § 97-uuu. Tax revenue arrearage account. 1. There is hereby
established in the joint custody of the state comptroller and the
commissioner of taxation and finance an account of the miscellaneous
special revenue fund to be known as the tax revenue arrearage account.
2. Such account shall consist of all moneys collected by any private
contractor to whom an outstanding tax liability owed by a taxpayer has
been referred for collection.
3. Moneys of the fund, following appropriation by the legislature, may
be expended to make payments to private contractors which have provided
collection services. After the payment of such contractor services the
state comptroller is authorized and directed to transfer the remaining
moneys in such account to the general fund or to any other fund of the
state to which tax payments are directed to be deposited pursuant to
statute, on the last day of each month. The commissioner of taxation and
finance shall certify to the state comptroller the amounts from such
account which are to be paid to the private contractors, from
appropriations provided therefore, and the amounts from such account
which are to be paid to the general fund or any other fund of the state
to which tax payments are directed to be deposited pursuant to statute.
4. Moneys shall be paid out of the fund upon audit and warrant of the
state comptroller on vouchers certified or approved by the commissioner.
* NB There are 2 § 97-uuu's
Universal prekindergarten reserve fund. 1. There is hereby
established in the joint custody of the comptroller and the commissioner
of taxation and finance a fund, to be known as the "universal
prekindergarten reserve fund".
2. Such fund shall consist of moneys transferred from the general fund
pursuant to paragraph f of subdivision ten of section thirty-six hundred
two-e of the education law on behalf of school districts eligible to
receive funds pursuant to such section which do not provide a universal
prekindergarten program or do not serve all aidable pupils in the
current school year. School districts reserving moneys within this fund
shall access such moneys for use in providing a universal
prekindergarten program pursuant to section thirty-six hundred two-e of
the education law based upon a plan approved by the commissioner of
education and the director of the budget. Notwithstanding any provision
of law to the contrary, any funds remaining on deposit in the universal
prekindergarten fund as of September fifteenth, two thousand two shall
be transferred to the general fund.
* § 97-www. Cuba lake management fund. 1. There is hereby established
in the joint custody of the state comptroller and commissioner of
taxation and finance a special fund to be known as the "Cuba lake
management fund".
2. The Cuba lake management fund shall consist of all revenues
collected from the rental, sale or lease of state lands within the Cuba
Lake district, as established by chapter two hundred sixty-three of the
laws of nineteen hundred eighty-one, and paid pursuant to a lease, sale,
or other agreement or application entered into or made after the
effective date of this section.
3. The monies of the Cuba lake management fund, following
appropriation by the legislature and the issuance of a certificate of
approval by the director of the budget, shall be made available for the
following purposes:
(a) payment of fees, pursuant to a contract approved in accordance
with all applicable statutes, to a contractor or contractors for capital
improvements to the lands and appurtenant structures necessary for the
continued protection and preservation of the impoundment area known as
the Oil Creek reservoir, including without limitation the spillway and
the dam;
(b) payment of fees, pursuant to a contract approved in accordance
with all applicable statutes, to the Cuba Lake district or other entity
identified by the commissioner of general services, for the purpose of
management of the Cuba Lake district, including, without limitation, for
the services of collection of rentals or other fees related to the use
or occupation of state owned lands within such district or fees and
costs related to the sale of state or Cuba Lake district owned lands or
for other such purpose as the commissioner of general services shall
determine; and
(c) payment of fees, pursuant to a contract approved in accordance
with all applicable statutes, to a contractor or contractors, which may
include the Cuba Lake district, for the establishment and maintenance of
public access to the waters of Cuba lake for the purposes of fishing,
boating and other recreational uses.
4. No monies deposited to the Cuba lake management fund shall be made
available for the purposes set forth in subdivision three of this
section until such time as the Cuba Lake district shall assume
responsibility for the collection and payment to the state of all
outstanding rentals or fees for the use and occupancy of state owned
lands within such district for any period prior to the effective date of
this section and for the collection and payment to the state for the
deposit into such fund of all rentals or fees for the use and occupancy
of state owned lands within the said Cuba Lake district for any period
subsequent to the effective date of this section.
5. Any income earned on moneys within the Cuba lake management fund
shall be added to and made available for the purposes of such fund.
6. Any monies deposited into the Cuba lake management fund, except for
monies obtained from the sale of state or Cuba Lake district owned lands
within the Cuba Lake district, in excess of the amounts necessary to
accomplish the purposes thereof shall, at the end of each state fiscal
year, be transferred to and deposited into the general fund of the
state.
7. Moneys shall be paid out of the Cuba lake management fund on the
audit and warrant of the state comptroller on vouchers certified or
approved by the commissioner of general services.
8. If after having assumed responsibility for the collection and
payment to the state of all outstanding rentals or fees, pursuant to
subdivision four of this section, and after having exerted its best
efforts to collect rentals or fees for the use and occupancy of state
owned lands within the Cuba Lake district, such district shall determine
that one or more accounts are not collectable by it, the Cuba Lake
district shall identify each such account to the commissioner of general
services with a request that such account be referred to the attorney
general for collection or eviction.
* NB There are 4 § 97-www's
* § 97-xxx. Additional mass transportation assistance fund. 1. There
is hereby established in the joint custody of the state comptroller and
the commissioner of tax and finance a fund to be known as the additional
mass transportation assistance fund.
2. Moneys in the additional mass transportation assistance fund shall
be used for the payment of operating assistance to the metropolitan
transportation authority for the operating expenses of the Long Island
rail road company and the Metro-North commuter railroad company which
includes the New York state portion of Harlem, Hudson, Port Jervis,
Pascack, and the New Haven commuter railroad services regardless of
whether the services are provided directly or pursuant to joint service
agreements.
* NB There are 2 § 97-xxx's
* § 97-yyy. Children and family services quality enhancement fund. 1.
There is hereby established in the joint custody of the state
comptroller and the commissioner of taxation and finance a special
revenue fund to be known as the children and family services quality
enhancement fund.
2. The children and family services quality enhancement fund shall
consist of moneys received by the state pursuant to subdivision ten of
section one hundred fifty-three-k of the social services law and
subdivision six of section three hundred eighty-seven of the social
services law, moneys donated or given to the state, and all other moneys
appropriated, credited or transferred thereto from any other fund or
source.
3. Moneys of the children and family services quality enhancement
fund, following appropriation by the legislature and allocation by the
director of the budget, shall be made available to the commissioner of
the office of children and family services for activities to increase
the availability and/or quality of children and family services programs
which may include, but not be limited to, staff recruitment, retention
and training activities, research projects and targeted services
expansion and/or demonstration projects to test innovative models for
service delivery including such areas as health, mental health and
substance abuse services.
4. The office of children and family services shall submit a report to
the governor and the legislature by January thirty-first, two thousand
three and annually thereafter detailing all expenditures made from the
children and family services quality enhancement fund during the
previous year, the status of any research projects and demonstration
projects funded by the quality enhancement fund, and the office's
priorities for allocating funds from the quality enhancement fund for
the current year.
* NB Repealed June 30, 2027
* NB There are 2 § 97-yyy's
Cultural education account. 1. There is hereby established
in the joint custody of the state comptroller and the commissioner of
taxation and finance an account of the miscellaneous special fund to be
known as the cultural education account.
2. The comptroller is authorized and directed to receive for deposit
to the credit of the cultural education account revenues designated for
such deposit by law including those derived from the surcharge
authorized by the third undesignated paragraph of subdivision (a) of
section eight thousand eighteen of the civil practice and law and rules,
subparagraph b of paragraph four of subdivision (a) of section eight
thousand twenty-one of such law, subparagraph b of paragraph eleven of
subdivision (b) of section eight thousand twenty-one of such law, and
subdivision a of section 7-604, subdivision 1 of section 7-614 of the
administrative code of the city of New York.
3. Moneys of this account, following appropriation by the legislature,
shall be available to support the following agencies and programs: (a)
the state education department for services and expenses of the cultural
education program including operating expenses and capital projects and
the New York state summer school of the arts subject to a plan approved
by the commissioner of education and the director of the budget; and (b)
the Nelson A. Rockefeller performing arts center corporation subject to
a plan approved by the director of the budget.
* § 97-cccc. Interest assessment surcharge fund. 1. There is hereby
established in the joint custody of the commissioner of taxation and
finance and the state comptroller a fund to be known as the "interest
assessment surcharge fund".
2. The interest assessment surcharge fund shall consist of all moneys
collected and received by the commissioner from employers pursuant to
section five hundred eighty-one-d of the labor law and of interest
earned upon moneys belonging to such fund and deposited or invested. All
moneys so collected shall be deposited in a bank, trust company or
industrial bank designated by the state comptroller. Moneys so deposited
shall be credited immediately to the account of the interest assessment
surcharge fund and shall be used for the purposes set forth in this
section. Moneys in such fund may be invested by the state comptroller in
accordance with the provisions of section ninety-eight of this article,
and shall be used for the purposes specified in this section. Any
balance in such fund shall not lapse but shall remain continuously
available for such purposes until full interest payments are paid to the
federal government in accordance with the provisions of this section.
3. Moneys in the interest assessment surcharge fund shall be kept
separate from and shall not be commingled with any other moneys in the
custody of the commissioner of taxation and finance and the state
comptroller. All deposits of such moneys shall, if required by the state
comptroller, be secured by obligations of the United States or of this
state of market value equal at all times to the amount of the deposit
and all banks and trust companies are authorized to give such securities
for such deposits.
4. Moneys of the fund shall be used exclusively for the purpose of
paying interest due on advances from the federal unemployment account
under Title XII of the Social Security Act (42 U.S. Code Sections 1321
to 1324) and thereafter crediting employer accounts as provided in
section five hundred eighty-one-d of the labor law. The moneys shall be
paid out of the fund on the audit and warrant of the state comptroller.
5. The interest assessment surcharge fund shall not be used in whole
or in part for any purpose or in any manner which (a) would permit its
substitution for, or a corresponding reduction in, federal funds that
would be available in its absence to finance expenditures for the
administration of this article; or (b) would cause the appropriate
agency of the United States government to withhold any part of an
administrative grant which would otherwise be made.
* NB There are 4 § 97-cccc's
* § 97-dddd. Community mental health support and workforce
reinvestment account. 1. There is hereby created in the custody of the
state comptroller and the commissioner of taxation and finance an
account of the special revenue fund to be known as the community mental
health support and workforce reinvestment account.
2. The commissioner of the office of mental health shall notify the
director of the budget when the number of children's psychiatric center
beds or adult, non-geriatric psychiatric center beds closed in any one
year exceeds the number of beds projected to be closed by the office of
mental health in the executive budget request submitted in the year
prior to the fiscal year for which the executive budget is being
submitted. Notwithstanding any other law, rule or regulation to the
contrary the director of the budget shall then transfer the amount of
actual state operations general fund appropriation reductions, including
personal service and nonpersonal service, directly attributed to the
closure of such beds, to the state comptroller who shall then credit
such appropriation reductions to the community mental health support and
workforce reinvestment account. The per bed appropriation reduction
shall be no less than one hundred ten thousand dollars on a full annual
basis.
3. Moneys of this account, following appropriation by the legislature,
shall be available to the office of mental health for disbursement to
local governments and not-for-profit operated mental health agencies for
services and expenses of community support and workforce reinvestment.
* NB Repealed March 31, 2027
* § 97-eeee. Rebuild and renew New York transportation bond fund. 1.
There is hereby established in the joint custody of the state
comptroller and the commissioner of taxation and finance a special fund
to be known as the "rebuild and renew New York transportation bond
fund."
2. The comptroller shall establish at least two separate and distinct
accounts within the rebuild and renew New York transportation bond fund
as follows, which shall include the following: (a) an account containing
all moneys received by the state from the sale of bonds and/or notes for
uses eligible pursuant to subdivision a of section four of the rebuild
and renew New York transportation bond act of two thousand five, enacted
by a chapter of the laws of two thousand five; and (b) an account
containing all moneys received by the state from the sale of bonds
and/or notes for uses eligible pursuant to subdivision b of section four
of the rebuild and renew New York transportation bond act of two
thousand five, enacted by a chapter of the laws of two thousand five.
3. Moneys in any account of this fund, following appropriation by the
legislature and allocation by the director of the budget, shall be
available only for reimbursement of expenditures made from
appropriations from the capital projects fund for the purpose of the
rebuild and renew New York transportation bond fund, as set forth in the
rebuild and renew New York transportation bond act of two thousand five.
4. No moneys received by the state from the sale of bonds and/or notes
sold pursuant to the rebuild and renew New York transportation bond act
of two thousand five shall be expended for any project until funds
therefor have been allocated pursuant to the provisions of this section
and copies of the appropriate certificates of approval filed with the
chair of the senate finance committee, the chair of the assembly ways
and means committee and the state comptroller.
* NB There are 3 § 97-eeee's
Medicaid training contract account. 1. There is hereby
established in the joint custody of the state comptroller and the
commissioner of taxation and finance an account of the miscellaneous
special revenue fund to be known as the "medicaid training contract
account".
2. Such account shall consist of monies received from a contract
management fee resulting from contracts relating to training of local
social services district and state staff for the medical assistance
program.
3. Moneys of this account, following appropriation by the legislature,
shall be available to the department of health for administrative
activities related to the development and management of training
contracts.
The student lending education account. 1. There is hereby
established in the joint custody of the state comptroller and the
commissioner of taxation and finance an account to be known as the
student lending education account.
2. Such account shall consist of all revenues generated pursuant to
section six hundred thirty of the education law and all other moneys
credited or transferred thereto from any other fund or source pursuant
to law.
3. Moneys of the account, following appropriation by the legislature
shall be made available to the state education department for the
purposes of: (a) supporting programs that educate students, potential
students, and parents of such students on the educational loan process,
including, but not limited to, available educational loan options,
understanding rates and terms of student loans, managing costs and
credit responsibilities, student loan repayment and loan consolidation;
and (b) reimbursing students from inflated educational loan prices
caused by revenue sharing agreements between such covered institution
and a lending institution. Money shall be paid out of the account on the
audit and warrant of the state comptroller on vouchers certified or
approved by the state education department.
* § 97-iiii. Patient safety center account. 1. There is hereby
established in the joint custody of the state comptroller and the
commissioner of taxation and finance an account of the miscellaneous
special revenue fund to be known as the "patient safety center account."
2. Such account shall consist of monies received from civil penalties
in excess of two thousand dollars per violation pursuant to subdivision
one of section twelve of the public health law and subdivision two of
section twelve-b of the public health law.
3. Moneys of this account, following appropriations by the
legislature, shall be available to the department of health for the
patient safety center created by title two of article twenty-nine-D of
the public health law.
* NB Expires April 1, 2029
Education assessment account. 1. There is hereby
established in the joint custody of the state comptroller and the
commissioner of taxation and finance an account of the miscellaneous
special revenue fund to be known as the "education assessment account".
2. Notwithstanding any other law, rule or regulation to the contrary,
the state comptroller is hereby authorized and directed to receive for
deposit to the credit of the education assessment account all revenues
received pursuant to an appropriation for such account, including but
not limited to funds transferred from another account.
3. Moneys of this account, following appropriation by the legislature,
shall be available to the state education department for services and
expenses relating to state assessments of elementary and secondary
school students, including but not limited to the state high school
equivalency diploma examination. Moneys of this account shall only be
available for expenditure pursuant to approval of an expenditure plan by
the director of the budget.
Intervenor account. 1. There is hereby established in the
joint custody of the state comptroller and the commissioner of taxation
and finance an account to be known as the intervenor account.
2. Such account shall consist of all revenues received from siting
application fees for electric generating facilities pursuant to sections
one hundred sixty-three and one hundred sixty-four of the public service
law.
3. Moneys of the account, following appropriation by the legislature,
may be expended in accordance with the provisions of sections one
hundred sixty-three and one hundred sixty-four of the public service
law. Moneys shall be paid out of the account on the audit and warrant of
the state comptroller on vouchers certified or approved by the chair of
the public service commission.
* § 97-llll. Interstate reciprocity for post-secondary distance
education account. 1. There is hereby established in the joint custody
of the state comptroller and the commissioner of taxation and finance an
account of the miscellaneous special revenue fund to be known as the
interstate reciprocity for post-secondary distance education account.
2. Notwithstanding any other law, rule or regulation to the contrary,
the state comptroller is hereby authorized and directed to receive for
deposit to the credit of the interstate reciprocity for post-secondary
distance education account, any appropriation and/or fees established in
the regulations of the commissioner of education for services and
expenses incurred by the education department in conducting evaluations
of post-secondary distance education conducted pursuant to the
interstate reciprocity agreement and processing any complaints related
thereto and/or for administering and/or participating in such interstate
agreement.
3. Notwithstanding any other law, rule or regulation to the contrary,
the state comptroller is hereby authorized and directed to receive for
deposit to the credit of the interstate reciprocity for post-secondary
distance education account, any appropriation and/or fees established in
the regulations of the commissioner of education for services and
expenses incurred by the education department in conducting evaluations,
processing complaints or other administrative functions related to
post-secondary distance education conducted by the department for
out-of-state institutions seeking approval to offer distance education
in New York state that do not participate in the interstate reciprocity
agreement. This fee may also include an application and processing
charge for those institutions seeking to establish a physical presence
in New York state.
* NB There are 2 § 97-llll's
Veterans remembrance and cemetery maintenance and operation
fund. 1. There is hereby established in the joint custody of the
commissioner of taxation and finance and the comptroller, a special fund
to be known as the "veterans remembrance and cemetery maintenance and
operation fund".
2. Such fund shall consist of all revenues received by the department
of taxation and finance, pursuant to the provisions of sections two
hundred-nine-H and six hundred twenty-seven-a of the tax law, and all
other moneys appropriated, credited, or transferred thereto from any
other fund or source pursuant to law. Nothing in this section shall
prevent the state from soliciting and receiving grants, gifts or
bequests for the purposes of the fund as defined in this section and
depositing them into the fund according to law.
2-a. On or before the first day of February each year, the
commissioner of the New York state department of veterans' services
shall provide a written report to the temporary president of the senate,
speaker of the assembly, chair of the senate finance committee, chair of
the assembly ways and means committee, chair of the senate committee on
veterans, homeland security and military affairs, chair of the assembly
veterans' affairs committee, the state comptroller and the public. Such
report shall include how the monies of the fund were utilized during the
preceding calendar year, and shall include:
(i) the amount of money dispersed from the fund and the award process
used for such disbursements;
(ii) recipients of awards from the fund;
(iii) the amount awarded to each;
(iv) the purposes for which such awards were granted; and
(v) a summary financial plan for such monies which shall include
estimates of all receipts and all disbursements for the current and
succeeding fiscal years, along with the actual results from the prior
fiscal year.
3. On or before the first day of February of each calendar year, the
comptroller shall certify to the governor, the temporary president of
the senate, the speaker of the assembly, the chair of the senate finance
committee and the chair of the assembly ways and means committee, the
amount of money deposited in the veterans remembrance and cemetery
maintenance and operation fund during the preceding calendar year as the
result of revenue derived pursuant to sections two hundred nine-H and
six hundred twenty-seven-a of the tax law, and from all grants, gifts
and bequests.
4. Moneys of the fund shall be expended only for the construction,
establishment, expansion, improvement, support, operation, maintenance
and the provision of perpetual care of state veterans cemeteries. As
used in this section, "the construction, establishment, expansion,
improvement, support, operation, maintenance and the provision of
perpetual care of state veterans cemeteries" shall include, but not be
limited to:
(a) The purchase, leasing or improvement of land for the purpose of
the construction, establishment, expansion, improvement, support,
operation, maintenance and the provision of perpetual care of state
veterans cemeteries;
(b) The purchase, leasing, construction or improvement of buildings or
infrastructure for the purpose of the construction, establishment,
expansion, improvement, support, operation, maintenance and the
provision of perpetual care of state veterans cemeteries;
(c) The purchase or leasing of equipment, tools, building materials,
landscaping materials, memorial headstones or markers, monuments,
columbarium niches, mausoleums, crypts, flags, flag poles, or related
remembrance or cemetery items for the construction, establishment,
expansion, improvement, support, operation, maintenance and the
provision of perpetual care of state veterans cemeteries;
(d) The payment of salaries, wages, benefits, professional service
fees, contract fees, association fees, or other charges necessary for
the construction, establishment, expansion, improvement, support,
operation, maintenance and the provision of perpetual care of state
veterans cemeteries; and/or
(e) The purchase of any other item or service necessary for the
construction, establishment, expansion, improvement, support, operation,
maintenance and the provision of perpetual care of a state veterans
cemetery.
5. Moneys shall be payable from the fund on the audit and warrant of
the comptroller on vouchers approved and certified by the commissioner
of the department of veterans' services.
6. Moneys in the veterans remembrance and cemetery maintenance and
operation fund shall be kept separate and shall not be commingled with
any other moneys in the custody of the commissioner of taxation and/or
the comptroller.
Commercial gaming revenue fund. 1. There is hereby
established in the joint custody of the comptroller and the commissioner
of taxation and finance an account in the miscellaneous special revenue
fund to be known as the "commercial gaming revenue fund".
2. Such account shall consist of all revenues received from the gaming
commission pursuant to paragraphs (a), (b), (c), (d) and (e) of
subdivision one of section thirteen hundred fifty-two of the racing,
pari-mutuel wagering and breeding law.
3. Moneys of the account shall be available as follows, unless
otherwise specified by the upstate New York gaming economic development
act of two thousand thirteen, following appropriation by the
legislature:
a. eighty percent of the moneys in such fund shall be appropriated or
transferred only for elementary and secondary education or real property
tax relief.
b. ten percent of the moneys in such fund, as attributable to a
specific licensed gaming facility, shall be appropriated or transferred
from the commercial gaming revenue fund equally between the host
municipality and host county of such facility.
c. ten percent of the moneys in such fund, as attributable to a
specific licensed gaming facility, shall be appropriated or transferred
from the commercial gaming revenue fund among counties within the
region, as defined by section one thousand three hundred ten of the
racing, pari-mutuel wagering and breeding law, hosting said facility for
the purpose of real property tax relief and for education assistance.
Such distribution shall be made among the counties on a per capita
basis, subtracting the population of host municipality and county.
4. Notwithstanding the foregoing, monies received pursuant to:
a. sections one thousand three hundred forty-five and one thousand
three hundred forty-eight of the racing, pari-mutuel wagering and
breeding law shall be exclusively appropriated to the office of
alcoholism and substance abuse services to be used for problem gambling
education and treatment purposes.
b. section one thousand three hundred forty-nine of the racing,
pari-mutuel wagering and breeding law shall be exclusively appropriated
to the commission for regulatory investigations.
c. section one thousand three hundred fifty of the racing, pari-mutuel
wagering and breeding law shall be exclusively appropriated to the
commission for costs regulation.
5. a. Moneys appropriated from the fund for the two thousand
fourteen--two thousand fifteen and two thousand fifteen--two thousand
sixteen school years, for the purposes of providing aid pursuant to
paragraph a of subdivision three of this section shall be apportioned
and paid by the education department on or after April first, two
thousand fifteen.
b. Each school district eligible to receive total foundation aid
pursuant to section thirty-six hundred two of the education law shall
receive a commercial gaming grant in an amount equal to the product of
the amount of the appropriation of such commercial gaming grants for the
current state fiscal year multiplied by the district's commercial gaming
ratio. The "commercial gaming ratio" shall be equal to the quotient of
the moneys apportioned for such district pursuant to section thirty-six
hundred nine-a of the education law as set forth in the school aid
computer listing produced by the commissioner in support of the enacted
state budget for the current school year, divided by the sum of such
moneys apportioned for all school districts as set forth in such school
aid computer listing in support of the enacted state budget for the
current school year.
Moneys to be appropriated from the fund in any state fiscal year,
commencing on and after April first, two thousand fifteen, for the
purposes of providing aid pursuant to this subparagraph shall be
apportioned and paid by the education department pursuant to section
thirty-six hundred nine-h of the education law.
6. Notwithstanding any provision of this section to the contrary, any
money deposited into this fund pursuant to section thirteen hundred
fifty-two of the racing, pari-mutuel wagering and breeding law shall be
distributed as specified in that section.
* § 97-oooo. Basic health program trust fund. 1. There is hereby
established in the joint custody of the comptroller and the commissioner
of taxation and finance a fund, to be known as the "basic health program
trust fund".
2. Such fund shall consist of moneys transferred from the federal
government pursuant to 42 U.S.C. § 18051(d) for the purpose of reducing
the premiums and cost-sharing of, or providing benefits for, eligible
individuals enrolled in the basic health program, established pursuant
to section three hundred sixty-nine-gg of the social services law.
3. Upon federal approval, all monies in such fund shall be used to
implement and operate the basic health plan, pursuant to section three
hundred sixty-nine-gg of the social services law, except to the extent
that the provisions of such section conflict or are inconsistent with
federal law, in which case the provisions of such federal law shall
supersede such state law provisions.
* NB There are 2 § 97-oooo's
* § 97-pppp. Lupus research and education fund. 1. There is hereby
established in the joint custody of the commissioner of taxation and
finance and the comptroller a fund to be known as the "lupus research
and education fund".
2. Such fund shall consist of all revenues received pursuant to
section four hundred four-y of the vehicle and traffic law, and all
other moneys appropriated, credited or transferred thereto from any
other fund or source pursuant to law. Nothing contained in this section
shall prevent the state from receiving grants, gifts or bequests for the
purposes of the fund as defined in this section and depositing them into
the fund according to law.
2-a. On or before the first day of February each year, the comptroller
shall certify to the governor, temporary president of the senate,
speaker of the assembly, chair of the senate finance committee and chair
of the assembly ways and means committee, the amount of money deposited
in the lupus research and education fund during the preceding calendar
year as the result of revenue derived pursuant to section four hundred
four-y of the vehicle and traffic law and from grants, gifts and
bequests.
2-b. On or before the first day of February each year, the
commissioner of health shall provide a written report to the temporary
president of the senate, speaker of the assembly, chair of the senate
finance committee, chair of the assembly ways and means committee, chair
of the senate committee on health, chair of the assembly health
committee, the state comptroller and the public. Such report shall
include how the monies of the fund were utilized during the preceding
calendar year, and shall include:
(i) the amount of money disbursed from the fund and the award process
used for such disbursements;
(ii) recipients of awards from the fund;
(iii) the amount awarded to each;
(iv) the purposes for which such awards were granted; and
(v) a summary financial plan for such moneys which shall include
estimates of all receipts and all disbursements for the current and
succeeding fiscal years, along with the actual results from the prior
fiscal year.
3. Moneys of the fund shall be expended only for lupus research
projects and lupus education projects approved by the department of
health in New York state. As used in this section, the term "lupus
research project" means scientific research approved by the department
of health into the causes and/or treatment of lupus, and the term "lupus
education project" means a project approved by the department of health
aimed toward educating the general public about the causes, symptoms,
and treatment of lupus.
4. Moneys shall be payable from the fund on the audit and warrant of
the comptroller on vouchers approved and certified by the commissioner
of health.
5. To the extent practicable, the commissioner of health shall ensure
that all moneys received during a fiscal year are expended prior to the
end of that fiscal year.
* NB There are 2 § 97-pppp's
Cystic fibrosis research and education fund. 1. There is
hereby established in the joint custody of the commissioner of taxation
and finance and the comptroller a fund to be known as the "cystic
fibrosis research and education fund".
2. Such fund shall consist of all revenues received pursuant to
section four hundred four-bb of the vehicle and traffic law, and all
other moneys appropriated, credited or transferred thereto from any
other fund or source pursuant to law. Nothing contained in this section
shall prevent the state from receiving grants, gifts or bequests for the
purposes of the fund as defined in this section and depositing them into
the fund according to law.
2-a. On or before the first day of February each year, the comptroller
shall certify to the governor, temporary president of the senate,
speaker of the assembly, chair of the senate finance committee and chair
of the assembly ways and means committee, the amount of money deposited
in the cystic fibrosis research and education fund during the preceding
calendar year as the result of revenue derived pursuant to section four
hundred four-bb of the vehicle and traffic law and from grants, gifts
and bequests.
2-b. On or before the first day of February each year, the
commissioner of health shall provide a written report to the temporary
president of the senate, speaker of the assembly, chair of the senate
finance committee, chair of the assembly ways and means committee, chair
of the senate committee on health, chair of the assembly health
committee, the state comptroller and the public. Such report shall
include how the monies of the fund were utilized during the preceding
calendar year, and shall include:
(i) the amount of money disbursed from the fund and the award process
used for such disbursements;
(ii) recipients of awards from the fund;
(iii) the amount awarded to each;
(iv) the purposes for which such awards were granted; and
(v) a summary financial plan for such moneys which shall include
estimates of all receipts and all disbursements for the current and
succeeding fiscal years, along with the actual results from the prior
fiscal year.
3. Moneys of the fund shall be expended only for cystic fibrosis
research projects and cystic fibrosis education projects approved by the
department of health in New York state. As used in this section, the
term "cystic fibrosis research project" means scientific research
approved by the department of health into the causes and/or treatment of
cystic fibrosis, and the term "cystic fibrosis education project" means
a project approved by the department of health aimed toward educating
the general public about the causes, symptoms, and treatment of cystic
fibrosis.
4. Moneys shall be payable from the fund on the audit and warrant of
the comptroller on vouchers approved and certified by the commissioner
of health.
5. To the extent practicable, the commissioner of health shall ensure
that all moneys received during a fiscal year are expended prior to the
end of that fiscal year.
Lupus education and prevention fund. 1. There is hereby
established in the joint custody of the commissioner of taxation and
finance and the comptroller, a special fund to be known as the "lupus
education and prevention fund".
2. Such fund shall consist of all revenues received by the department
of taxation and finance, pursuant to the provisions of section two
hundred nine-L and section six hundred thirty-f of the tax law, and all
other moneys appropriated, credited or transferred thereto from any
other fund or source pursuant to law. Nothing contained in this section
shall prevent the state from receiving grants, gifts or bequests for the
purposes of the fund as defined in this section and depositing them into
the fund according to law.
3. Monies of the fund shall be expended only for lupus education and
prevention projects. As used in this section, "lupus education and
prevention projects" means educational projects, including grants for
lupus education and prevention programs, which are approved by the
department of health.
4. Monies shall be payable from the fund on the audit and warrant of
the comptroller on vouchers approved and certified by the commissioner
of health.
5. To the extent practicable, the commissioner of health shall ensure
that all monies received during a fiscal year are expended prior to the
end of that fiscal year.
6. On or before the first day of February each year, the commissioner
of health shall provide a written report to the temporary president of
the senate, speaker of the assembly, chair of the senate finance
committee, chair of the assembly ways and means committee, chair of the
senate committee on health, chair of the assembly health committee, the
state comptroller and the public. Such report shall include how the
monies of the fund were utilized during the preceding calendar year, and
shall include:
(a) the amount of money disbursed from the fund and the award process
used for such disbursements;
(b) recipients of awards from the fund;
(c) the amount awarded to each;
(d) the purposes for which such awards were granted; and
(e) a summary financial plan for such monies which shall include
estimates of all receipts and all disbursements for the current and
succeeding fiscal years, along with the actual results from the prior
fiscal year.
* § 97-ssss. Leukemia, lymphoma and myeloma research, education and
treatment fund. 1. There is hereby established in the joint custody of
the commissioner of taxation and finance and the comptroller, a special
fund to be known as the "leukemia, lymphoma and myeloma research,
education and treatment fund".
2. Such fund shall consist of all revenues received by the department
of taxation and finance, pursuant to the provisions of section two
hundred nine-M and section six hundred thirty-g of the tax law and all
other moneys appropriated, credited, or transferred thereto from any
other fund or source pursuant to law. Nothing contained in this section
shall prevent the state from receiving grants, gifts or bequests for the
purposes of the fund as defined in this section and depositing them into
the fund according to law.
2-a. On or before the first day of February each year, the
commissioner of health shall provide a written report to the temporary
president of the senate, the speaker of the assembly, the chair of the
senate finance committee, the chair of the assembly ways and means
committee, the chair of the senate committee on health, the chair of the
assembly health committee, the state comptroller and the public. Such
report shall include how the monies of the fund were utilized during the
preceding calendar year, and shall include:
(i) the amount of money dispersed from the fund and the award process
used for such disbursements;
(ii) recipients of awards from the fund;
(iii) the amount awarded to each recipient;
(iv) the purposes for which such awards were granted; and
(v) a summary financial plan for such monies which shall include
estimates of all receipts and all disbursements for the current and
succeeding fiscal years, along with the actual results from the prior
fiscal year.
3. Monies of the fund shall be expended only for leukemia, lymphoma
and myeloma research, education and treatment projects. As used in this
section, "leukemia, lymphoma and myeloma research, education and
treatment projects" means research, education and treatment projects,
including grants for leukemia, lymphoma and myeloma research, education
and treatment, which, pursuant to section twenty-seven hundred
forty-seven of the public health law, are approved by the department of
health. Such grants may include, among others, grants to public and
private hospitals, medical centers, medical schools and other
organizations.
4. Monies shall be payable from the fund on the audit and warrant of
the comptroller on vouchers approved and certified by the commissioner
of health.
5. To the extent practicable, the commissioner of health shall ensure
that all monies received during a fiscal year are expended prior to the
end of that fiscal year.
* NB There are 2 § 97-ssss's
Clean water, clean air, and green jobs bond fund. 1. There
is hereby established in the joint custody of the state comptroller and
the commissioner of taxation and finance a special fund to be known as
the " clean water, clean air, and green jobs bond fund".
2. The state comptroller shall deposit into the clean water, clean
air, and green jobs bond fund all moneys received by the state from the
sale of bonds and/or notes for uses eligible pursuant to section four of
the clean water, clean air, and green jobs environmental bond act of
2022.
3. Moneys in the clean water, clean air, and green jobs bond fund,
following appropriation by the legislature and allocation by the
director of the budget, shall be available only for reimbursement of
expenditures made from appropriations from the capital projects fund for
the purpose of the clean water, clean air, and green jobs bond fund, as
set forth in the clean water, clean air, and green jobs environmental
bond act of 2022.
4. No moneys received by the state from the sale of bonds and/or notes
sold pursuant to the clean water, clean air, and green jobs
environmental bond act of 2022 shall be expended for any project until
funds therefor have been allocated pursuant to the provisions of this
section and copies of the appropriate certificates of approval filed
with the chair of the senate finance committee, the chair of the
assembly ways and means committee and the state comptroller.
State health innovation plan account. 1. There is hereby
established in the joint custody of the state comptroller and the
commissioner of the department of health an account of the miscellaneous
special revenue fund to be known as the state health innovation plan
account.
2. Notwithstanding any other law, rule or regulation to the contrary,
the state comptroller is hereby authorized and directed to receive for
deposit to the credit of the state health innovation plan account,
monies received pursuant to the state innovation model initiative from
the centers for medicare and medicaid innovation.
3. Moneys of this account, following appropriation by the legislature,
shall be available to the department of health for services and expenses
of the state health innovation plan.
Arts fund. 1. There is hereby created in the joint custody
of the state comptroller and the commissioner of taxation and finance a
fund to be known as the "arts fund".
2. Such fund shall consist of all revenues received by the department
of taxation and finance, pursuant to the provisions of section six
hundred thirty-g of the tax law and all other moneys appropriated,
credited, or transferred thereto from any other fund or source pursuant
to law. For each state fiscal year, there shall be appropriated to the
fund by the state, in addition to all other moneys required to be
deposited into such fund, an amount equal to the amounts of moneys
collected and deposited into the fund pursuant to section six hundred
thirty-g of the tax law during the preceding calendar year, as certified
by the comptroller. Nothing contained herein shall prevent the state
from receiving grants, gifts or bequests for the purposes of the fund as
defined in this section and depositing them into the fund according to
law.
3. Moneys of the fund may be invested by the state comptroller, and
income from the investments of moneys deposited to this fund pursuant to
section six hundred thirty-g of the tax law shall be credited solely to
this fund.
* § 97-aaaaa. Opioid stewardship fund. 1. There is hereby established
in the joint custody of the state comptroller and the commissioner of
taxation and finance an account of the miscellaneous special revenue
account to be known as the "opioid stewardship fund".
2. Moneys in opioid stewardship fund shall be kept separate and shall
not be commingled with any other moneys in the custody of the state
comptroller and the commissioner of taxation and finance.
3. The opioid stewardship fund shall consist of moneys appropriated
for the purpose of such account, moneys transferred to such account
pursuant to law, contributions consisting of promises or grants of any
money or property of any kind or value, or any other thing of value,
including grants or other financial assistance from any agency of
government and moneys required by the provisions of this section or any
other law to be paid into or credited to this account.
4. Moneys of the opioid stewardship fund, when allocated, shall be
available, subject to the approval of the director of the budget, to
support programs operated by the New York state office of alcoholism and
substance abuse services or agencies certified, authorized, approved or
otherwise funded by the New York state office of alcoholism and
substance abuse services to provide opioid treatment, recovery and
prevention and education services; and to provide support for the
prescription monitoring program registry as established pursuant to
section thirty-three hundred forty-three-a of the public health law.
5. At the request of the budget director, the state comptroller shall
transfer moneys to support the costs of opioid treatment, recovery,
prevention, education services, and other related programs, from the
opioid stewardship fund to any other fund of the state to support this
purpose.
6. (i) Notwithstanding the provisions of any general or special law,
no moneys shall be available from the opioid stewardship fund until a
certificate of allocation and a schedule of amounts to be available
therefor shall have been issued by the director of the budget, upon the
recommendation of the commissioner of the office of alcoholism and
substance abuse services, and a copy of such certificate filed with the
comptroller, the chairman of the senate finance committee and the
chairman of the assembly ways and means committee.
(ii) Such certificate may be amended from time to time by the director
of the budget, upon the recommendation of the commissioner of the office
of alcoholism and substance abuse services, and a copy of such amendment
shall be filed with the comptroller, the chairman of the senate finance
committee and the chairman of the assembly ways and means committee.
7. The moneys, when allocated, shall be paid out of the opioid
stewardship fund, pursuant to subdivision four of this section, and
subject to the approval of the director of the budget, on the audit and
warrant of the comptroller on vouchers certified or approved by (i) the
commissioner of the office of alcoholism and substance abuse services or
his or her designee; or (ii) the commissioner of the department of
health or his or her designee.
* NB Repealed June 30, 2029
Investment of state funds. The comptroller shall invest and keep
invested all moneys belonging to any and all funds which the comptroller
now is or hereafter shall be authorized to invest, in any of the
following securities:
1. Bonds and notes of the United States.
2. Bonds and notes of this state.
2-a. General obligation bonds and notes of any state other than this
state, provided that such bonds and notes receive the highest rating of
at least one independent rating agency designated by the comptroller.
3. Obligations for the payment of which the faith and credit of the
United States or of this state are pledged.
3-a. Notes, bonds, debentures, mortgages and other evidences of
indebtedness of the United States Postal Service; the federal national
mortgage association; federal home loan mortgage corporation; student
loan marketing association; federal farm credit system or any other
United States government sponsored agency, provided that at the time of
the investment such agency or its obligations are rated and the agency
receives, or its obligations receive, the highest rating of all
independent rating agencies that rate such agency or its obligations,
provided, however, that no more than five hundred million dollars may be
invested in the obligations of any one agency.
4. Judgments or awards of the court of claims of this state.
5. Stocks, bonds, or notes of any county, town, city, village, fire
district or school district of this state issued pursuant to law.
6. Mortgage bonds or any obligations for the payment of money, no
matter how designated, secured by another instrument representing a lien
on specific real property or a leasehold thereof, heretofore or
hereafter and at the time of the assignment thereof to the comptroller
insured by the federal housing administrator or any of his successors in
office and guaranteed by the United States under the provisions of the
national housing act, as amended or supplemented. Any such mortgage
bonds or obligations as aforesaid in which the comptroller has invested
or shall have invested pursuant to this subdivision shall be serviced by
the comptroller or in his discretion, by mortgagees, as such are defined
by the national housing act, as amended or supplemented, duly appointed
by him and subject to the inspection and supervision of some
governmental agency. The comptroller may receive and hold such
debentures and certificates or other obligations as are issued in
payment of such insurance or guarantee.
7. Bonds and notes of the Savings and Loan Bank of the state of New
York.
8. Bonds or notes of any housing authority of this state duly issued
pursuant to law.
9. Bonds or notes of any regulating district of this state duly issued
pursuant to law.
10. Bonds or notes of any drainage improvement district of this state
duly issued pursuant to law.
11. Bonds or notes of the authorities or commissions set forth below
when issued pursuant to law:
a. Port of New York Authority.
b. Niagara Frontier Authority.
c. Triborough bridge and tunnel authority.
d. Thousand Islands Bridge Authority.
e. New York State Bridge Authority.
f. New York City Tunnel Authority.
g. Lake Champlain Bridge Commission.
h. Lower Hudson Regional Market Authority.
i. Albany Regional Market Authority.
k. American Museum of Natural History Planetarium Authority.
l. Industrial Exhibit Authority.
m. Buffalo Sewer Authority.
n. Whiteface Mountain Authority.
o. Pelham-Portchester Parkway Authority.
p. Jones Beach State Parkway Authority.
q. Bethpage Park Authority.
r. Dormitory Authority.
s. Central New York Regional Market Authority.
t. Erie County Water Authority.
u. Suffolk County Water Authority.
v. New York State Thruway Authority.
w. Genesee Valley Regional Market Authority.
x. Onondaga county water authority.
y. Power Authority of the state of New York.
z. Ogdensburg Bridge and Port Authority.
aa. East Hudson Parkway Authority.
aa. Niagara Frontier Port Authority.
bb. Northwestern New York Water Authority.
cc. Metropolitan Commuter Transportation Authority.
dd. Niagara Frontier Transportation Authority.
dd. New York State Pure Waters Authority.
ee. Rochester-Genesee Regional Transportation Authority.
ff. Capital District Transportation Authority.
ff. Central New York Regional Transportation Authority.
12. Obligations of the International Bank for Reconstruction and
Development duly issued pursuant to law.
13. Obligations of the inter-American development bank duly issued
pursuant to law.
13-a. Obligations of the Asian Development Bank duly issued pursuant
to law.
13-b. Obligations of the African Development Bank duly issued pursuant
to law.
13-c. Obligations of the International Finance Corporation duly issued
pursuant to law.
* 14. Collateral trust notes issued by a trust company, all of the
capital stock of which is owned by not less than twenty savings banks of
the state of New York.
* NB There are 2 sb 14's
* 14. Bonds and notes issued for any of the corporate purposes of the
New York state housing finance agency.
* NB There are 2 sb 14's
15. Bonds and notes issued for any of the corporate purposes of the
New York state medical care facilities finance agency.
16. Bonds and notes issued for any of the corporate purposes of the
New York state project finance agency.
17. Bonds and notes issued for any of the corporate purposes of the
municipal assistance corporation for New York City.
18. Obligations of any corporation organized under the laws of any
state in the United States maturing within two hundred seventy days
provided that such obligations receive the highest rating of two
independent rating services designated by the comptroller and that the
issuer of such obligations has maintained such ratings on similar
obligations during the preceding six months provided, however, that the
issuer of such obligations need not have received such rating during the
prior six month period if such issuer has received the highest rating of
two independent rating services designated by the state comptroller and
is the successor or wholly owned subsidiary of an issuer that has
maintained such ratings on similar obligations during the preceding six
month period or if the issuer is the product of a merger of two or more
issuers, one of which has maintained such ratings on similar obligations
during the preceding six month period, provided, however, that no more
than five hundred million dollars may be invested in such obligations of
any one corporation.
19. Bankers' acceptances maturing within ninety days which are
eligible for purchase in the open market by federal reserve banks and
which have been accepted by a bank or trust company, which is organized
under the laws of the United States or of any state thereof and which is
a member of the federal reserve system and whose short-term obligations
meet the criteria outlined in subdivision eighteen of this section.
Provided, however, that no more than five hundred million dollars may be
invested in such bankers' acceptance of any one bank or trust company.
20. No-load money market mutual funds registered under the Securities
Act of 1933, as amended, and operated in accordance with Rule 2a-7 of
the Investment Company Act of 1940, as amended, provided that such funds
are limited to investments in obligations issued or guaranteed by the
United States of America or in obligations of agencies or
instrumentalities of the United States of America where the payment of
principal and interest are guaranteed by the United States of America
(including contracts for the sale and repurchase of any such
obligations), and are rated in the highest rating category by at least
one nationally recognized statistical rating organization, provided,
however, that no more than two hundred fifty million dollars may be
invested in such funds.
The comptroller, whenever he deems it for the best interest of any of
such funds, may dispose of any of the securities therein or investments
therefor, in making other investments authorized by law, and he may
exchange any such securities for those held in any other of such funds,
and the comptroller may take such action as may be necessary to obtain
the benefits of the insurance provided for in the national housing act,
and may draw his warrant upon the treasurer for the amount required for
such investments and exchanges.
Notwithstanding the provisions of any other general or special law,
the comptroller shall not invest the moneys of any fund in any security
or securities except as above described, provided, however, that: (a)
the comptroller may, in order to maximize the rate of return on
investments, invest the moneys belonging to the New York interest on
lawyer account fund in notes, securities and deposits of banking
institutions which accept IOLA accounts, and (b) the provisions of this
section shall not limit the types of investments that may be made with
moneys belonging to the volunteer ambulance service award fund
established by section two hundred nineteen-h of the general municipal
law.
Investment of general funds, bond proceeds, and other funds
not immediately required. 1. Except as otherwise provided in subdivision
two of this section, any moneys in the general fund of the state or
moneys received from the sale of any bonds or notes issued by the state,
any moneys in any fund or account of the state, heretofore or hereafter
established, the investment of which is not otherwise authorized and
which are not immediately required may be invested by the comptroller.
Such moneys may be invested only in obligations of the categories
specified in subdivisions one to five, both inclusive, and subdivision
seven, subdivision fourteen, as added by chapters seven hundred
ninety-seven and nine hundred thirty-two of the laws of nineteen hundred
sixty-three, respectively, subdivisions fifteen, sixteen and seventeen
of section ninety-eight of this article, maturing or redeemable at the
option of the holder within twelve years of the date of such investment,
subdivisions two-a, eighteen, nineteen and twenty of section
ninety-eight of this article or in a certificate of deposit of a bank or
trust company in this state. Any certificate of deposit shall be fully
secured by the issuer thereof depositing with the comptroller stocks,
bonds, or notes of any county, town, city, village, fire district or
school district of this state issued pursuant to law and maturing within
five years from the date of issuance of such certificate of deposit,
bonds or notes or direct or guaranteed obligation of the United States
of America or its agencies or of the state of New York or bonds and
notes issued for any of the corporate purposes of the municipal
assistance corporation for the city of New York in an amount equal to
the amount of such certificate of deposit. Any bonds, notes or
certificates of deposit purchased with moneys of the general fund shall
be available always to pay any lawful appropriation in force. Any bonds,
notes or certificates of deposit purchased with moneys received from the
sale of any bonds or notes issued by the state shall be available always
for the purposes or purpose for which such bonds or notes were issued.
Any bonds, notes or certificates of deposit purchased with moneys of any
other funds shall be available always for the purpose for which such
fund was created. Unless otherwise required by law, income received on
any moneys invested pursuant to this section shall be credited to the
fund or funds from which such moneys were invested, provided, however,
the comptroller is hereby precluded from crediting interest earnings to
funds/accounts which:
(a) are funded entirely from the general fund; or
(b) are, or were, authorized to receive temporary loans pursuant to
subdivision five of section four of the state finance law; or
(c) are federal funds, except such funds which are required to earn
such interest pursuant to a court order or federal law or regulation; or
(d) are agency funds, except such funds which are held pending the
outcome of litigation or are required to earn interest pursuant to a
court order, contractual obligation, or state or federal law or
regulation, or are appropriated.
Notwithstanding the provisions of paragraph (b) of this subdivision,
the comptroller shall credit or charge interest to fund/accounts which
are authorized to receive temporary loans if so requested by the state
department or division responsible for such fund/account within thirty
days of the beginning of each fiscal year or thirty days following the
final approval of any bill containing language authorizing such
temporary loans, whichever is later, and interest must be credited or
charged from the first day of such fiscal year. Within ten days of the
beginning of each month, the comptroller shall credit or charge interest
to such funds/accounts based upon the average daily balance of the
preceding month of such funds/accounts and shall provide notification to
the director of the budget and the chairs of the senate finance and
assembly ways and means committees of such funds/accounts to be credited
or charged interest.
Provided, however, that income received from the investment of moneys
of the local assistance account, the state purposes account and the
capital projects fund may be credited in whole or in part to one or more
of such funds to the extent necessary to reimburse first instance
appropriations for interest on temporary obligations issued on behalf of
the fund or funds to be credited. Notwithstanding any other provision of
this section or of any other general or special law, all moneys
available and retained on deposit for the payment of lottery prizes may
be invested in obligations by the comptroller as herein provided, except
that such obligations need not mature or be redeemable at the option of
the holder within seven years of the date of such investment. Income
received from such investments may be used for the payment of prizes
awarded and made payable in more than one payment, including prizes
awarded and made payable throughout the lifetime of the lottery prize
winner.
2. Notwithstanding any provision of law to the contrary, investment of
bond proceeds and other funds not immediately required may be invested
by the comptroller in linked deposits pursuant to article fifteen of
this chapter. If any moneys are invested by the comptroller in linked
deposits pursuant to article fifteen of this chapter, the comptroller
shall compute the monthly earnings for all funds, other than the general
fund, as if no such moneys had been invested in such linked deposits.
Indigent legal services fund. 1. There is hereby established
in the joint custody of the comptroller and the commissioner of taxation
and finance a special fund to be known as the indigent legal services
fund.
2. Such fund shall consist of all moneys appropriated for the purpose
of such fund, all other moneys required to be paid into or credited to
such fund, and all moneys received by the fund or donated to it.
(a) The purpose of such fund shall be to (i) assist counties and, in
the case of a county wholly contained within a city, such city, in
providing legal representation for persons who are financially unable to
afford counsel pursuant to article eighteen-B of the county law; (ii)
assist the state, in improving the quality of public defense services
and funding representation provided by assigned counsel paid in
accordance with section thirty-five of the judiciary law; and (iii)
provide support for the operations, duties, responsibilities and
expenses of the office of indigent legal services and the indigent legal
services board established, respectively, pursuant to sections eight
hundred thirty-two and eight hundred thirty-three of the executive law.
(b) State funds received by a county or city from such fund shall be
used to supplement and not supplant any local funds which such county or
city would otherwise have had to expend for the provision of counsel and
expert, investigative and other services pursuant to article eighteen-B
of the county law. All such state funds received by a county or city
shall be used to improve the quality of services provided pursuant to
article eighteen-B of the county law. Nothing in this paragraph shall
preclude a county from decreasing local funds as long as the county
demonstrates to the office of indigent legal services established by
section eight hundred thirty-two of the executive law that the quality
of services has been maintained or enhanced notwithstanding the use of
state funds.
(c) As used in this section, "local funds" shall mean all funds
appropriated or allocated by a county or, in the case of a county wholly
contained within a city, such city, for services and expenses in
accordance with article eighteen-B of the county law, other than funds
received from: (i) the federal government or the state; or (ii) a
private source, where such city or county does not have authority or
control over the payment of such funds by such private source.
3. Amounts distributed from such fund shall be limited to amounts
appropriated therefor and shall be distributed as follows:
(a) The office of court administration may expend a portion of the
funds available in such fund to provide assigned counsel paid in
accordance with section thirty-five of the judiciary law, up to an
annual sum of twenty-five million dollars.
(b) An annual amount of forty million dollars shall be made available
to the city of New York from such fund for the provision of services
pursuant to article eighteen-B of the county law; provided that the city
of New York shall continue to provide at minimum the aggregate amount of
funding for public defense services including, but not limited to, the
amount of funding for contractors of public defense services and
individual defense attorneys, that it provided, pursuant to article
eighteen-B of the county law during its two thousand nine--two thousand
ten fiscal year.
(c) Within the first fifteen days of March two thousand eleven, each
county other than a county wholly contained within the city of New York,
shall receive ninety percent of the amount paid to such county in March
two thousand ten. Within the first fifteen days of March two thousand
twelve, each county other than a county wholly contained within the city
of New York shall receive seventy-five percent of the amount paid to
such county in March two thousand ten. Within the first fifteen days of
March two thousand thirteen, each county other than a county wholly
contained within the city of New York shall receive fifty percent of the
amount paid to such county in March two thousand ten. Within the first
fifteen days of March two thousand fourteen, each county other than a
county wholly contained within the city of New York shall receive
twenty-five percent of the amount paid to such county in March two
thousand ten. For all state fiscal years following the two thousand
thirteen--two thousand fourteen fiscal year, there shall be no required
annual payments pursuant to this paragraph. Notwithstanding the
provisions of this paragraph, for each of the four required payments
made to counties within the first fifteen days of March two thousand
eleven, two thousand twelve, two thousand thirteen and two thousand
fourteen, Hamilton and Orleans counties shall receive such percentage
payments based on the amounts that each county would have received in
March two thousand ten had it satisfied the maintenance of effort
requirement set forth in paragraph (c) of subdivision four of this
section in effect on such date.
(d) Remaining amounts within such fund, after accounting for annual
payments required in paragraphs (a), (b) and (c) of this subdivision and
subparagraph (iii) of paragraph (a) of subdivision two of this section
shall be distributed in accordance with sections eight hundred
thirty-two and eight hundred thirty-three of the executive law.
Legal services assistance fund. 1. There is hereby established
in the joint custody of the state comptroller and the commissioner of
the department of taxation and finance a fund to be known as the legal
services assistance fund.
2. Such fund shall consist of all moneys appropriated for the purpose
of such fund, all other moneys required to be paid into or credited to
such fund, and all moneys received by such fund or donated to it.
3. Moneys of the legal services assistance fund shall be solely
available, following appropriation by the legislature and in accordance
with law to assist in the provision of and the reimbursement of expenses
incurred by local government agencies and not for profit providers or
their employees relating to providing criminal or civil legal services.
1332 state innovation program fund. 1. There is hereby
established in the joint custody of the state comptroller and the
commissioner of taxation and finance a special fund to be known as the
"1332 state innovation program fund".
2. Such fund shall be kept separate and shall not be commingled with
any other funds in the custody of the state comptroller and the
commissioner of taxation and finance.
3. Such fund shall consist of moneys transferred from the federal
government pursuant to 42 U.S.C. 18052 and an approved 1332 state
innovation program waiver application for the purpose implementing the
state plan under the 1332 state innovation program, established pursuant
to section three hundred sixty-nine-ii of the social services law.
4. Upon federal approval, all moneys in such fund shall be used to
implement and operate the 1332 state innovation program, pursuant to
section three hundred sixty-nine-ii of the social services law, except
to the extent that the provisions of such section conflict or are
inconsistent with federal law, in which case the provisions of such
federal law shall supersede such state law provisions.
Withholding of state assistance upon default in payment of bonds
held by the state. When any municipality shall be in default for a
period of more than six months on account of principal of its bonds or
on account of interest on such bonds, or on account of both such
principal and interest, and such bonds shall have been owned for not
less than two years by the state or by the state comptroller in trust,
or for the benefit of the New York state employees' retirement system or
of any fund of the state the allotment, apportionment and payment of
state assistance pursuant to the provisions of article four-A of this
chapter or of section one hundred twelve of the highway law to any such
municipality shall be withheld by the state comptroller in the following
manner. At the time of remittance of any installment or quarterly
payment of such state assistance the comptroller shall withhold payment
of installments or quarterly payments of such state assistance to such
municipality until the indebtedness due from such municipality to the
state or to the state comptroller as trustee or for the benefit of the
New York state employees' retirement system or of any fund of the state
shall be paid in full or until the installments or quarterly payments of
such state assistance or portions thereof so withheld shall equal the
amount so due from the municipality.
Justice court fund. 1. All moneys received by the comptroller
pursuant to section twenty hundred twenty-one of the uniform justice
court act, section twenty-seven of the town law, section 4-410 of the
village law, section eighteen hundred and three of the vehicle and
traffic law, section forty-five of the agriculture and markets law,
sections 71-0211, 71-0507 and 71-0521 of the environmental conservation
law, section fifty-two of the workers' compensation law, section 27.13
of the parks, recreation and historic preservation law, section two
hundred one of the navigation law and pursuant to this section shall
constitute a special fund to be held by the comptroller and to be known
as the justice court fund. Notwithstanding any general, special or local
law which provides for the direct payment of fines, penalties or
forfeitures to a state or local governmental unit, official or agency,
and except as provided in subdivision three of this section, all fines,
penalties or forfeitures received by a town or village justice court
shall be paid first to the state comptroller pursuant to this section
and the other aforementioned sections of law whereupon the state
comptroller shall distribute such moneys to the proper state or local
governmental unit, official or fund pursuant to subdivision two of this
section. The justice court fund shall be deposited to the credit of the
comptroller in one or more state banks, trust companies or savings banks
as may be designated by the comptroller at such rate of interest, if
any, as from time to time may be agreed upon by the depositories and the
comptroller.
2. The comptroller shall examine the reports accompanying the
remittances and shall determine the amounts which shall be credited to
or charged to the state, any special fund of the state, towns and
villages on account of fines, penalties, forfeited bail, fees or costs,
and shall on the last day of March, June, September and December of each
year, or as soon as practical thereafter, state an account with the
general fund of the state, the special funds of the state, towns and
villages, and shall pay to the general fund of the state, the special
funds of the state and towns and villages any balance to the credit
thereof and shall demand and receive from any town or village the amount
of any balance chargeable to such town or village. Such reports
accompanying the remittances may be filed in paper form or by electronic
transmission or in such other media form as the comptroller determines
offers reasonably the same degree of accountability and control provided
by the filing of a paper document.
3. The comptroller is hereby authorized to implement alternative
procedures, including guidelines in conjunction therewith, relating to
the remittance of fines, penalties, forfeitures and other moneys by town
and village justice courts, and by the Nassau and Suffolk counties
traffic and parking violations agencies, and by the city of Buffalo
traffic violations agency, and by the city of Rochester traffic
violations agency to the justice court fund and for the distribution of
such moneys by the justice court fund. Notwithstanding any law to the
contrary, the alternative procedures utilized may include:
a. electronic funds transfer;
b. remittance of funds by the justice court to the chief fiscal office
of the town or village, or, in the case of the Nassau and Suffolk
counties traffic and parking violations agencies, to the county
treasurer, or, in the case of the Buffalo traffic violations agency, to
the city of Buffalo comptroller, or in the case of the Rochester traffic
violations agency, to the city of Rochester treasurer, for distribution
in accordance with instructions by the comptroller; and/or
c. monthly, rather than quarterly, distribution of funds.
The comptroller may require such reporting and record keeping as he or
she deems necessary to ensure the proper distribution of moneys in
accordance with applicable laws. A justice court or the Nassau and
Suffolk counties traffic and parking violations agencies or the city of
Buffalo traffic violations agency or the city of Rochester traffic
violations agency may utilize these procedures only when permitted by
the comptroller, and such permission, once given, may subsequently be
withdrawn by the comptroller on due notice.
Withholding of state aid for school purposes upon default in
payment of obligations of the prospective recipient. Whenever a city,
city school district or school district, as such terms are used and
defined in the education law, or the public benefit corporation to which
the city of New York has assigned payments pursuant to section
twenty-seven hundred ninety-nine-tt of the public authorities law, shall
default in the payment of the principal of its bonds or notes issued for
school purposes or the payment of the interest on such bonds or notes or
in the payment of both the principal of and interest on such bonds or
notes, the allotment, apportionment and payment of state aid and
assistance pursuant to the education law, or pursuant to any other law
hereinafter enacted providing for state aid and assistance in lieu of or
substitution for the state aid and assistance presently provided
pursuant to the education law, to any such city, city school district or
school district, or to the city of New York or its school district in
the case of a default by such public benefit corporation, shall be
withheld by the state upon the following terms and conditions. In the
event a holder or owner of any such bond or note shall file with the
state comptroller a verified statement describing such bond or note and
alleging default in the payment thereof or the interest thereon or both
such principal and interest, it shall be the duty of the state
comptroller to immediately investigate the circumstances of the alleged
default and prepare and file in his office a certificate setting forth
his determinations with respect thereto and to serve a copy thereof by
registered mail upon the chief fiscal officer, as such term is defined
in the local finance law, of the city, city school district, or school
district which issued such bond or note, or in the case of such public
benefit corporation, upon the comptroller of the city of New York, the
chancellor of the school district of the city of New York, and the chief
fiscal officer of such public benefit corporation.
Such investigation by the state comptroller shall cover the current
status with respect to the payment of principal of and interest on all
such outstanding bonds and notes of such city, city school district,
school district, or public benefit corporation and the statement
prepared and filed by the state comptroller pursuant to the foregoing
provision shall set forth a description of all such bonds and notes of
such city, city school district school district, or public benefit
corporation found to be in default and the amount of principal and
interest thereon past due.
Upon the filing of such a certificate in the office of the state
comptroller, the state comptroller shall thereafter deduct and withhold
from the next succeeding allotment, apportionment or payment of such
state aid or assistance due such city, city school district or school
district, or due the city of New York or its school district in the case
of a default by such public benefit corporation, such amount thereof as
may be required to pay the principal of and interest on such bonds and
notes of such city, city school district, school district, or public
benefit corporation then in default. In the event such state aid or
assistance initially so withheld shall be insufficient to pay all of the
principal of and interest on such bonds or notes of such city, city
school district school district, or public benefit corporation so in
default, the state comptroller shall similarly deduct and withhold from
each succeeding allotment, apportionment or payment of such state aid or
assistance due such city, city school district, or school district, or
due the city of New York or its school district in the case of a default
by such public benefit corporation, such amount or amounts thereof as
may be required to pay all of the principal of and interest on such
bonds and notes then in default and to cure such default. Allotments,
apportionments and payments of such state aid so deducted or withheld by
the state comptroller shall be forwarded promptly to the paying agent or
agents for the bonds and notes in default of such city, city school
district school district, or public benefit corporation for the sole
purpose of the payment of defaulted principal of and interest on such
bonds or notes; provided, however, that in the event any such allotment,
apportionment or payment of such state aid so deducted or withheld shall
be less than the total amount of all principal and interest on the bonds
and notes in default with respect to which the same was so deducted or
withheld, then the state comptroller shall forward to each paying agent
an amount in the proportion that the amount of such bonds and notes in
default payable to such paying agent bears to the total amount of the
principal of and interest then in default on such bonds and notes of
such city, city school district, school district, or public benefit
corporation. The state comptroller shall promptly notify the chief
fiscal officer of such city, city school district or school district, or
in the case of such public benefit corporation, the comptroller of the
city of New York, the chancellor of the school district of the city of
New York, and the chief fiscal officer of such public benefit
corporation, of any payment or payments made to any paying agent or
paying agents of defaulted bonds or notes pursuant to this provision.
The state of New York hereby covenants with the purchasers and holders
and owners from time to time of bonds and notes issued by cities, city
school districts, school districts, and such public benefit corporations
for school purposes that it will not repeal, revoke or rescind the
provisions of this section or amend or modify the same so as to limit,
impair or impede the rights and remedies granted hereby; provided,
however, that nothing herein contained shall be deemed or construed as
requiring the state to continue the payment of state aid or assistance
to any city, city school district or school district or as limiting or
prohibiting the state from repealing or amending any law heretofore or
hereafter enacted relating to state aid or assistance, the manner and
time of payment or apportionment thereof, or the amount thereof.
Withholding of state aid upon failure of municipalities and
school districts to repay health insurance reserve receipts when
required. 1. In the event a county, city, town, village or school
district which has elected to receive distribution or distributions from
the health insurance reserve receipts fund, pursuant to an agreement
between such municipality or school district and the state and which has
elected to terminate its contractual agreement for health benefits with
the New York state department of civil service, or if called upon by the
New York state department of civil service, pursuant to such agreement,
to return such distribution within the time period and under the
conditions specified in such agreement, shall be in default of its
obligation to repay such distribution, the allotment, apportionment, and
payment of local assistance aid, education aid or other state aid as
appropriate and as determined by the comptroller shall be withheld by
the state upon the following terms and conditions.
2. In the event of the failure or inability of the municipality or
school district to repay its distribution pursuant to the contractual
agreement, the department of civil service shall forthwith make and
deliver to the comptroller of the state of New York a certificate
stating the amount due and not paid, and the state comptroller shall
thereafter deduct and withhold from the next succeeding allotments,
apportionments or payments of state aid or assistance due such
municipality or school district such amount or amounts thereof as may be
required to pay the amount due. The state shall not be obligated to pay,
by virtue of such withholdings, any additional or increased
apportionment or payment of state aid or assistance.
2-a. Notwithstanding the provisions of subdivision two of this section
or any other inconsistent provision of law, a school district or board
of cooperative educational services which is subject to the requirements
of this section may repay its distribution pursuant to a contractual
agreement authorized by this section over a period of ten state fiscal
years, in equal annual installments, payable by March thirty-first of
each year. For school districts or boards of cooperative educational
services which terminate the contractual agreement prior to July first,
nineteen hundred eighty-three, the first installment shall be paid prior
to March thirty-first, nineteen hundred eighty-four. For all other
school districts and boards of cooperative educational services, the
first installment shall be paid prior to March thirty-first first
succeeding the termination of such agreement. The comptroller shall not
withhold from state aid or other assistance due a school district or
board of cooperative educational services any amount of such
distribution due and owing as certified by the department of civil
service to the comptroller pursuant to subdivision two of this section,
until and unless such school district or board of cooperative
educational services fails to make an installment payment authorized by
this subdivision by March thirty-first of the applicable year. Upon
failure of a school district or board of cooperative educational
services to make an installment payment, the withholding provisions of
subdivision two of this section shall take effect to the extent of the
amount of that unpaid installment. The comptroller shall within sixty
days of the date on which this subdivision becomes effective or within
sixty days of any subsequent termination of the contractual agreement
notify the applicable school district or board of cooperative
educational services of the provisions of this subdivision, of the
amount due and owing, and the amount of each installment.
3. Notwithstanding any inconsistent provisions of law, the comptroller
shall establish a fund, to be called the health insurance reserve
receipts fund, to receive transfers of funds from the health insurance
carriers or the plan administrator or administrators of the New York
state employee health benefit plan, pursuant to contractual agreements
between such carriers and the New York state department of civil service
and/or from the health insurance fund. Moneys returned by the
municipalities and school districts or withheld from state aid by the
comptroller pursuant to provisions governing termination of the
contractual agreements shall be deposited in this fund. Disbursements
from the health insurance reserve receipts fund shall be for the purpose
of remitting to the carriers any moneys due them as a result of
termination of the state's contract with the carriers or termination of
agreements between the state and municipalities and school districts
and/or for the purpose of transferring funds to the health insurance
fund. Disbursements from such fund shall be made pursuant to the
procedures for authorization of expenditures contained in article eleven
of the civil service law upon the issuance of a certificate of approval
of availability by the director of the budget and subject to audit and
warrant of the comptroller.
* § 99-d. City university stabilization account. 1. There is hereby
established in the joint custody of the state comptroller and the
commissioner of taxation and finance an account to be known as the city
university stabilization account.
2. Such account shall consist of any and all unexpended and
unencumbered moneys in the fiduciary fund appropriated for the city
university of New York senior colleges, net of reductions for
deficiencies in tuition and fee collections as determined by the
director of the budget, available as of the last day of the city
university fiscal year as reduced pursuant to section six thousand two
hundred twenty-one of the education law to reflect any aggregate amount
established by the director of the budget less than the amount
appropriated. Such moneys shall be transferred by the state comptroller
into the stabilization account on or before the next fifteenth day of
September succeeding the last day of the city university fiscal year.
3. Moneys of the account shall only be available to the city
university of New York and following appropriation by the legislature,
shall be credited to the senior colleges and/or central administration
stabilization subaccounts from which the savings were achieved.
Notwithstanding section forty of this chapter, section six thousand two
hundred twenty-one of the education law or any other law to the
contrary, all appropriations made from this account to the city
university of New York shall remain in full force and effect for two
years from the effective date of the chapter in which the appropriations
were made. Moneys shall be paid out of the account on the audit and
warrant of the state comptroller on vouchers certified or approved by
the chancellor of the city university of New York or his or her
designee.
* NB There are 2 § 99-d's
State university stabilization account. 1. There is hereby
established in the joint custody of the state comptroller and the
commissioner of taxation and finance an account in the miscellaneous
special revenue fund to be known as the state university stabilization
account.
2. Such account shall consist (a) of any and all unexpended and
unencumbered moneys received by the state university of New York from
tuition, fees, user charges, or other sources and deposited into the
income offset account, and (b) any other undisbursed balance of the
general fund appropriation as of the last day of the state university
fiscal year as reduced pursuant to subparagraph six of paragraph c of
subdivision four of section three hundred fifty-five of the education
law to reflect any aggregate amount established by the director of the
budget less than the amount appropriated. Such moneys shall be
transferred by the state comptroller into the stabilization account on
or before September fifteenth within thirty days of such date. In
addition, all or a portion of the account balances in other state
university income accounts, except the dormitory income reimbursable
account, shall be transferred by the state comptroller, at the request
of the state university, to the stabilization account.
3. Moneys of the account shall only be available to the state
university of New York and following appropriation by the legislature,
shall be credited to the state operated institutions, statutory or
contract colleges, hospitals and/or system administration stabilization
subaccounts from which the savings were achieved. Notwithstanding
section forty of this chapter, section three hundred fifty-five of the
education law or any other law to the contrary, all appropriations made
from this account to the state university of New York shall remain in
full force and effect for two years from July first of the effective
year of the chapter in which the appropriations were made. Moneys shall
be paid out of the account on the audit and warrant of the state
comptroller on vouchers certified or approved by the chancellor of the
state university of New York or his or her designee.
Spinal cord injury research trust fund. 1. There is hereby
established in the joint custody of the state comptroller and the
commissioner of taxation and finance a fund to be known as the "spinal
cord injury research trust fund".
2. The fund shall consist of all monies appropriated for its purpose,
all monies required by this section or any other provision of law to be
paid into or credited to such fund, and monies of at least eight million
five hundred thousand dollars collected by the mandatory surcharges
imposed pursuant to subdivision one of section eighteen hundred nine of
the vehicle and traffic law. Nothing contained herein shall prevent the
department of health from receiving grants, gifts or bequests for the
purposes of the fund as defined in this section and depositing them into
the fund according to law.
3. Monies of the fund, when allocated, shall be available for
administrative costs of the spinal cord injury research board
established pursuant to title four of article two of the public health
law and for funding spinal cord injury research projects administered by
such board.
4. Monies shall be payable from the fund on the audit and warrant of
the state comptroller on vouchers approved and certified by the
commissioner of health.
* § 99-h. Tribal-state compact revenue account. 1. There is hereby
established in the joint custody of the comptroller and the commissioner
of taxation and finance an account in the miscellaneous special revenue
fund to be known as the "tribal-state compact revenue account".
2. Such account shall consist of all revenues resulting from
tribal-state compacts executed pursuant to article two of the executive
law, a tribal-state compact with the St. Regis Mohawk tribe executed
pursuant to chapter five hundred ninety of the laws of two thousand four
and the Oneida Settlement Agreement referenced in section eleven of the
executive law.
3. Moneys of the account, following the segregation of appropriations
enacted by the legislature, shall be available for purposes including
but not limited to: (a) reimbursements or payments to municipal
governments that host tribal casinos pursuant to a tribal-state compact
for costs incurred in connection with services provided to such casinos
or arising as a result thereof, for economic development opportunities
and job expansion programs authorized by the executive law; provided,
however, that for any gaming facility located in the county of Erie or
Niagara, the municipal governments hosting the facility shall
collectively receive a minimum of twenty-five percent of the negotiated
percentage of the net drop from electronic gaming devices the state
receives pursuant to the compact and provided further that for any
gaming facility located in the county or counties of Cattaraugus,
Chautauqua or Allegany, the municipal governments of the state hosting
the facility shall collectively receive a minimum of twenty-five percent
of the negotiated percentage of the net drop from electronic gaming
devices the state receives pursuant to the compact; and provided further
that pursuant to chapter five hundred ninety of the laws of two thousand
four, a minimum of twenty-five percent of the revenues received by the
state pursuant to the state's compact with the St. Regis Mohawk tribe
shall be made available to the counties of Franklin and St. Lawrence,
and affected towns in such counties. Each such county and its affected
towns shall receive fifty percent of the moneys made available by the
state; and provided further that the state shall annually make
twenty-five percent of the negotiated percentage of the net drop from
all gaming devices the state actually receives pursuant to the Oneida
Settlement Agreement confirmed by section eleven of the executive law
available to the county of Oneida, and a sum of three and one-half
million dollars to the county of Madison. Additionally, the state shall
distribute, for a period of nineteen and one-quarter years, an
additional annual sum of two and one-half million dollars to the county
of Oneida. Additionally, the state shall distribute the one-time eleven
million dollar payment actually received by the state pursuant to the
Oneida Settlement Agreement to the county of Madison by wire transfer
upon receipt of such payment by the state; and (b) support and services
of treatment programs for persons suffering from gambling addictions.
Moneys not segregated for such purposes shall be transferred to the
general fund for the support of government during the fiscal year in
which they are received.
3-a. Ten percent of any of the funds actually received by the state
pursuant to the tribal-state compacts and agreements described in
subdivision two of this section prior to the transfer of unsegregated
moneys to the general fund required by such subdivision, shall be
distributed to counties in each respective exclusivity zone provided
they do not otherwise receive a share of said revenues pursuant to this
section. Such distribution shall be made among such counties on a per
capita basis, excluding the population of any municipality that receives
a distribution pursuant to subdivision three of this section.
* NB There are 2 § 99-h's
Racing regulation account. 1. There is hereby established in
the joint custody of the comptroller and the gaming commission a special
revenue fund to be known as the "racing regulation account".
2. The racing regulation account shall consist of all money received
by the commission as regulatory fees and market origin fees pursuant to
the provisions of the racing, pari-mutuel wagering and breeding law.
3. Moneys of this account shall be available to the commission to pay
for the costs of carrying out the purposes of the racing, pari-mutuel
wagering and breeding law; provided, however, an amount equal to twelve
and eight-tenths percent of the amount received by the account from the
market origin fee imposed by subdivision six of section one thousand
twelve-a of the racing, pari-mutuel wagering and breeding law shall be
transferred to the state department of taxation and finance and the
department shall deem this transfer as a payment of a pari-mutuel tax.
4. All payments from the fund shall be made on the audit and warrant
of the comptroller.
Child performer's protection fund. 1. There is hereby
established in the joint custody of the state comptroller and the
commissioner of taxation and finance a special revenue fund known as the
"child performer's protection fund".
2. Such fund shall consist of the revenues received pursuant to
article four-A of the labor law, part seven of article seven of the
estates, powers and trusts law, and all other monies appropriated,
credited, or transferred thereto from any other fund or source pursuant
to law.
3. Monies of the fund shall be expended by the commissioner of labor
solely for the purpose of administering article four-A of the labor law.
Child performer's holding fund. 1. There is hereby established
in the joint custody of the state comptroller and the commissioner of
taxation and finance a special revenue fund known as the "child
performer's holding fund".
2. Such fund shall consist of revenues received and interest accrued
pursuant to part seven of article seven of the estates, powers and
trusts law, and all other monies appropriated, credited, or transferred
thereto from any other fund or source pursuant to law.
3. Monies of the fund shall be distributed to the child performer upon
receipt of the child performer trust fund pursuant to part seven of
article seven of the estates, powers and trusts law. The comptroller
shall notify the commissioner of the department of labor within thirty
days of receipt of the funds and the child performer's name and last
known address. Within thirty days of receipt of the funds, the
comptroller shall give notice to the parent or guardian about funds and
the procedures to transfer funds from the comptroller to the child
performer trust fund account in the name of the child performer. Monies
not claimed shall be used solely to fund programs for the health,
education and welfare of child performers. The comptroller shall submit
a report about the child performer's holding fund to the governor, the
temporary president of the senate and the speaker of the assembly
concerning the implementation of this section.
* § 99-l. Assisted living residence quality oversight fund. 1. There
is hereby established in the joint custody of the comptroller and the
commissioner of health a special fund to be known as the "assisted
living residence quality oversight fund".
2. Such fund shall consist of all moneys collected by the department
of health pursuant to article forty-six-B of the public health law. Any
interest earned by the investment of moneys in such fund shall be added
to such fund, become a part of such fund, and be used for the purpose of
such fund.
3. Moneys of such fund shall be available to the department of health
for the purpose of carrying out the provisions of article forty-six-B of
the public health law. Additionally, five hundred thousand dollars shall
be available to the state office for the aging for the long term care
ombudsman program for the purpose of carrying out the provisions of
article forty-six-B of the public health law.
4. The moneys of the fund shall be paid out on the audit and warrant
of the comptroller on vouchers certified or approved by the commissioner
of health.
* NB There are 2 § 99-l's
Highway construction and maintenance safety education fund. 1.
There is hereby established in the joint custody of the state
comptroller and the commissioner of taxation and finance a special
revenue fund to be known as the "highway construction and maintenance
safety education fund".
2. The fund shall consist of all monies appropriated for its purpose,
all monies required by this section or any other provision of law to be
paid into or credited to such fund, collected by the mandatory
surcharges imposed pursuant to subdivision one of section eighteen
hundred nine-d of the vehicle and traffic law. Nothing contained in this
section shall prevent the department of motor vehicles from receiving
grants or other appropriations for the purposes of the fund as defined
in this section and depositing them into the fund according to law.
3. Monies of the fund, when allocated, shall be disbursed to provide
education, advocacy and increased awareness of the laws pertaining to
maximum speed limits in highway construction and maintenance work areas
and may be used to execute contracts with private organizations for such
purposes. Such contracts shall be awarded upon competitive bids after
the issuance of requests for proposals.
Arts institutions revolving loan fund. 1. There is hereby
established within the custody of the state comptroller a new fund to be
known as the "arts institutions revolving loan fund".
2. The fund shall consist of all moneys appropriated for its purpose,
all moneys transferred to such fund pursuant to law, and all moneys
required by this section or any other law to be paid into or credited to
this fund, including all moneys received by the fund or donated to it,
and payments of principal on loans made from the fund.
3. Moneys of the fund, when allocated, shall be available to the
chairperson of the council on the arts to make loans as provided in this
section. Up to five percent of the moneys of the fund or fifty thousand
dollars, whichever is less, may be used to pay the expenses, including
personal service and maintenance and operation, in connection with the
administration of such loans.
4. (a) The chairperson of the council on the arts, on recommendation
of the members of the council may make, upon application duly made, up
to the amounts available by appropriation, loans for project support at
arts institutions.
(b) No loan authorized by this section shall have an interest rate
greater than two and one-half percent. The minimum amount of any loan
shall be five thousand dollars. The period of any loan shall not exceed
the period of one year. The chairperson of the council on the arts may
make loans under this section subject to such other terms and conditions
the council board deems proper.
(c) The council board shall have the power to make such rules and
regulations as may be necessary and proper to effectuate the purposes of
this section.
(d) The council board shall annually report by March fifteenth to the
governor and the legislature describing the activities and operation of
the loan program authorized by this section. Such report shall set forth
the number of loan applications received and approved; the names of the
arts institutions receiving loans together with the amount and purpose
of the loan, and the outstanding balance; and the balance remaining in
the arts institutions revolving loan fund.
5. (a) Application for loans may be made by an arts institution,
including but not limited to museums, orchestras, dance companies and
theatre groups.
(b) Every application shall be in the form acceptable to the chairman
of the council on the arts. Every application shall accurately reflect
the conditions which give rise to the proposed expenditure and
accurately reflect the ability of the applicant to make such an
expenditure without the proceeds of a loan under this section.
(c)(i) The council board shall give preference to those applications
which demonstrate the greatest need and benefit to the arts community
and public at large.
(ii) In making determinations on loan applications, the council board
shall assure that loan fund moneys are equitably distributed among all
sectors of the arts community and all geographical areas of the state.
(d) An application shall be referred by the chairperson of the council
on the arts to the council board as defined by article three of the arts
and cultural affairs law.
(e) An application shall not be approved:
(i) if the applicant is in arrears on any prior loan under this
section,
(ii) if it shall be shown that at any time in the prior ten years, the
applicant used state funds to repay all or part of any loan made under
this section.
(f) The council board shall, to the maximum extent feasible, and
consistent with the other provisions of this section, seek to provide
that loans authorized by this section reflect an appropriate geographic
distribution and are distributed equitably.
Volunteer firefighting and volunteer emergency services
recruitment and retention fund. 1. There is hereby established in the
joint custody of the commissioner of taxation and finance and the
comptroller, a special fund to be known as the "volunteer firefighting
and volunteer emergency services recruitment and retention fund".
2. Such fund shall consist of all revenues received by the department
of taxation and finance, pursuant to the provisions of sections two
hundred nine-G and six hundred thirty-b of the tax law and all other
moneys appropriated, credited, or transferred thereto from any other
fund or source pursuant to law. Nothing contained in this section shall
prevent the state from receiving grants, gifts or bequests for the
purposes of the fund as defined in this section and depositing them into
the fund according to law. Any interest received by the comptroller on
moneys on deposit in such fund shall be retained in and become part of
such fund.
2-a. On or before the first day of February each year, the state fire
administrator shall provide a written report to the temporary president
of the senate, speaker of the assembly, chair of the senate finance
committee, chair of the assembly ways and means committee, chair of the
senate committee on local government, chair of the assembly local
government committee, the state comptroller and the public. Such report
shall include how the monies of the fund were utilized during the
preceding calendar year, and shall include:
(i) the amount of money dispersed from the fund and the award process
used for such disbursements;
(ii) recipients of awards from the fund;
(iii) the amount awarded to each;
(iv) the purposes for which such awards were granted; and
(v) a summary financial plan for such monies which shall include
estimates of all receipts and all disbursements for the current and
succeeding fiscal years, along with the actual results from the prior
fiscal year.
3. Moneys in such fund shall be expended only to provide grants to
volunteer firefighting and volunteer emergency services organizations
and to statewide organizations which represent the interests of
volunteer firefighters and/or volunteer emergency services providers for
the purpose of encouraging the recruitment and retention of volunteer
firefighters and volunteer emergency services personnel. Such purposes
may include, but need not be limited to: development and implementation
of marketing plans, publicity campaigns, and community awareness
initiatives; design, production and distribution of promotional
merchandise, brochures and other materials; sponsorship of local
community events designed to help recruit volunteers; newspaper
publications, promotional mailings and other advertising designed to
help recruit volunteers.
4. Monies shall be payable from the fund on the audit and warrant of
the comptroller on vouchers approved and certified by the state fire
administrator.
5. To the extent practicable, the state fire administrator shall
ensure that all monies received during a fiscal year are expended prior
to the end of that fiscal year.
Youth facility per diem account. 1. There is hereby
established in the joint custody of the state comptroller and the
commissioner of taxation and finance an account in the miscellaneous
special revenue fund to be known as the "youth facility per diem
account".
2. The youth facility per diem account shall consist of all moneys
received by the state pursuant to section five hundred twenty-nine of
the executive law.
New York state medical indemnity fund account. 1. There is
hereby established in the custody of the commissioner of taxation and
finance a special account to be known as the "New York state medical
indemnity fund account".
2. All moneys received by the New York state medical indemnity fund
pursuant to title four of article twenty-nine-D of the public health law
from whatever source derived shall be deposited to the exclusive credit
of such fund account. Said moneys shall be kept separate and shall not
be commingled with any other moneys in the custody of the commissioner
of taxation and finance.
3. The moneys in said account shall be retained by the fund and shall
be released by the commissioner of taxation and finance only upon
certificates signed by the commissioner of health or his or her designee
and only for the purposes set forth in title four of article
twenty-nine-D of the public health law.
* § 99-u. New York state gaming commission account. 1. There is hereby
established in the joint custody of the comptroller and the executive
director of the New York state gaming commission an account in the
miscellaneous special revenue fund to be known as the "New York state
gaming commission account".
2. Such account shall consist of moneys transferred thereto from the
state lottery fund administration account, the regulation of racing
account, the bell jar collection account or the regulation of Indian
gaming account.
3. In no circumstance shall net proceeds of the lottery, including the
proceeds from video lottery gaming, be used for the payment of
non-lottery expenses of the New York gaming commission, administrative
or otherwise.
4. All moneys in the New York state gaming commission account shall be
available, subject to appropriation, for the payment of administrative
expenses of the New York state gaming commission.
* NB There are 2 § 99-u's
* § 99-v. Mortgage settlement proceeds trust fund. 1. There is hereby
established in the joint custody of the state comptroller and the
commissioner of taxation and finance a trust and agency fund known as
the "mortgage settlement proceeds trust fund".
2. Such fund shall consist of monies paid pursuant to the settlement
agreement dated November nineteenth, two thousand thirteen between J.P.
Morgan Securities LLC (f/k/a "Bear, Stearns & Co. Inc."), JPMorgan Chase
Bank, N.A., EMC Mortgage LLC (f/k/a "EMC Mortgage Corporation") and the
People of the State of New York and that were transferred thereto
pursuant to law from the department of law restitution fund and the
general fund.
3. Up to $439,549,965 of the monies of the fund shall be distributed
in accordance with a plan approved in a memorandum of understanding
executed by the director of the budget, the speaker of the assembly, and
the temporary president of the senate, or their designee, in
consultation with the commissioner of the division of housing and
community renewal, to provide compensation to the state of New York and
its communities for harms purportedly caused by the allegedly unlawful
conduct of J.P. Morgan Securities LLC (f/k/a "Bear, Sterns & Co. Inc."),
JPMorgan Chase Bank, N.A., EMC Mortgage LLC (f/k/a "EMC Mortgage
Corporation") for purposes intended to avoid preventable foreclosures,
to ameliorate the effects of the foreclosure crisis, to enhance law
enforcement efforts to prevent and prosecute financial fraud or unfair
or deceptive acts or practices, and to otherwise promote the interests
of the investing public. Such permissible purposes for allocation of the
funds include, but are not limited to, providing funding for housing
counselors, state and local foreclosure assistance hotlines, state and
local foreclosure mediation programs, legal assistance, housing
remediation and anti-blight projects, and for the training and staffing
of, and capital expenditures required by, financial fraud and consumer
protection efforts, and for any other purpose consistent with the terms
of the settlement agreement dated November nineteenth, two thousand
thirteen between J.P. Morgan Securities LLC (f/k/a "Bear, Stearns & Co.
Inc."), JPMorgan Chase Bank, N.A., EMC Mortgage LLC (f/k/a "EMC Mortgage
Corporation") and the People of the State of New York.
4. Up to $81,500,234 of the monies of the fund shall be distributed in
accordance with a plan developed by the attorney general to provide
compensation to the state of New York and its communities for harms
purportedly caused by the allegedly unlawful conduct of J.P. Morgan
Securities LLC (f/k/a "Bear, Stearns & Co. Inc."), JPMorgan Chase Bank,
N.A., EMC Mortgage LLC (f/k/a "EMC Mortgage Corporation"), for purposes
intended to avoid preventable foreclosures, to ameliorate the effects of
the foreclosure crisis, to enhance law enforcement efforts to prevent
and prosecute financial fraud or unfair or deceptive acts or practices,
and to otherwise promote the interests of the investing public. Such
permissible purposes for allocation of the funds include, but are not
limited to, providing funding for housing counselors, state and local
foreclosure assistance hotlines, state and local foreclosure mediation
programs, legal assistance, housing remediation and anti-blight
projects, and for the training and staffing of, and capital expenditures
required by, financial fraud and consumer protection efforts, and for
any other purpose consistent with the terms of the Settlement Agreement
dated November 19, 2013 between J.P. Morgan Securities LLC (f/k/a "Bear,
Stearns & Co. Inc.") JPMorgan Chase Bank, N.A., EMC Mortgage LLC (f/k/a
"EMC Mortgage Corporation") and the People of the State of New York.
* NB There are 2 § 99-v's
* § 99-w. Transit assistance for capital investments fund. 1. There is
hereby established in the joint custody of the state comptroller and the
commissioner of taxation and finance a special capital fund to be known
as the "transit assistance for capital investments fund."
2. The comptroller shall establish the following separate and distinct
account within the transit assistance for capital investments fund:
Metropolitan transit assistance for capital investments account
3. The transit assistance for capital investments fund shall consist
of all moneys collected therefor or credited or transferred thereto from
any other fund, account or source. Any interest received by the
comptroller on moneys on deposit in the transit assistance for capital
investments fund shall be retained in and become a part of such fund.
4. Moneys in the transit assistance for capital investments fund
shall, following appropriation by the legislature, be utilized for
capital purposes, including, but not limited to the planning and design,
acquisition, construction, reconstruction, replacement, improvement,
reconditioning, rehabilitation and preservation of mass transit
facilities, vehicles, related equipment and rolling stock with an
average service life of no less than five years.
5. Moneys deposited into the metropolitan transit assistance for
capital investments account shall be available to the metropolitan
transportation authority (MTA) and to all other public transportation
systems serving primarily within the metropolitan commuter
transportation district, as defined in section twelve hundred sixty-two
of the public authorities law, eligible to receive operating assistance
under the provisions of section eighteen-b of the transportation law
consistent with the uses outlined in subdivision four of this section.
6. Notwithstanding any other provision of law, no capital assistance
payment authorized under this section may be applied to operating
expenses.
7. All payments of money from the transit assistance for capital
investments fund shall be made in accordance with a formula to be
established by the commissioner of transportation with the approval of
the director of the budget.
8. All payments of moneys from the transit assistance for capital
investments fund shall be made on the audit and warrant of the
comptroller.
* NB There are 2 § 99-w's
New York achieving a better life experience (NY ABLE) savings
program trust fund. 1. There is hereby established in the sole custody
of the state comptroller a special fund to be known as the New York
achieving a better life experience (NY ABLE) savings program trust fund.
All payments from such fund shall be made in accordance with article
eighty-four of the mental hygiene law.
2. The fund shall be a trust fund and shall consist of a trust account
and an operating account. The trust account shall include amounts
received by the NY ABLE savings program pursuant to NY ABLE savings
agreements, administrative charges, fees, and all other amounts received
by the program from other sources, and interest and investment income
earned by the trust fund. The comptroller shall, from time to time, make
transfers from the trust account to the operating account for the
immediate payment of obligations under NY ABLE savings agreements,
operating expenses and administrative costs of the NY ABLE savings
program. Administrative costs shall be paid out of the operating account
according to the terms and conditions established pursuant to the
provisions of section 84.05 of the mental hygiene law.
3. (a) The comptroller, as trustee, shall invest the assets of the
trust fund with the care, skill, prudence and diligence under the
circumstances then prevailing that a prudent person acting in a like
capacity and familiar with such matters would use in the conduct of an
enterprise of a like character and with like aims.
(b) Trust fund assets shall be kept separate and shall not be
commingled with other assets, except as provided herein. The comptroller
may enter into contracts to provide for investment advice and
management, custodial services, and other professional services for the
administration and investment of the program. Administrative fees, costs
and expenses, including investment fees and expenses, shall be paid from
the assets of the fund.
4. The comptroller shall provide for the administration of the trust
fund, including maintaining participant records and accounts, and
providing annual audited reports. The comptroller may enter into
contracts to provide administrative services and reporting.
* § 99-y. SUNY Stony Brook Affiliation escrow fund. 1. Notwithstanding
any other provision of law, rule, regulation, or practice to the
contrary, there is hereby established in the joint custody of the
comptroller and the chancellor of the state university of New York
(SUNY) a trust and agency fund, to be known as the "SUNY Stony Brook
Affiliation escrow fund" which shall be available without fiscal year
limitation.
2. The SUNY Stony Brook Affiliation escrow fund shall consist of (i)
all monies generated through the activities of Stony Brook at
Southampton Hospital, including but not limited to patient revenue,
federal reimbursement, and other associated revenue sources, (ii) rent
payments made by Stony Brook University Hospital to the Southampton
Hospital Association under a certain lease agreement approved by the
director of the budget, the office of the New York state attorney
general and the office of the New York state comptroller and (iii) to
the extent permitted under the lease agreement referred to in paragraph
(ii) of this subdivision, working capital advances and capital
acquisition advances made by Stony Brook University Hospital to the
Southampton Hospital Association.
3. Monies of the SUNY Stony Brook Affiliation escrow fund shall be
expended only for the purposes of Stony Brook Hospital at Southampton.
* NB There are 3 § 99-y's
Cure childhood cancer research fund. 1. There is hereby
established in the joint custody of the commissioner of taxation and
finance and the comptroller a fund to be known as the "cure childhood
cancer research fund".
2. Such fund shall consist of all revenues received pursuant to the
provisions of section four hundred four-cc of the vehicle and traffic
law, all the revenues received by the department of taxation and finance
pursuant to section six hundred thirty-l of the tax law and all other
moneys appropriated, credited or transferred thereto from any other fund
or source pursuant to law. Nothing contained herein shall prevent the
state from receiving grants, gifts or bequests for the purposes of the
fund as defined in this section and depositing them into the fund
according to law.
2-a. On or before the first day of February each year, the comptroller
shall certify to the governor, temporary president of the senate,
speaker of the assembly, chair of the senate finance committee and chair
of the assembly ways and means committee, the amount of money deposited
in the cure childhood cancer research fund during the preceding calendar
year as the result of revenue derived pursuant to section four hundred
four-cc of the vehicle and traffic law and from grants, gifts and
bequests.
2-b. On or before the first day of February each year, the
commissioner of health shall provide a written report to the temporary
president of the senate, speaker of the assembly, chair of the senate
finance committee, chair of the assembly ways and means committee, chair
of the senate committee on health, chair of the assembly health
committee, the state comptroller and the public. Such report shall
include how the monies of the fund were utilized during the preceding
calendar year, and shall include:
(i) the amount of money disbursed from the fund and the award process
used for such disbursements;
(ii) recipients of awards from the fund;
(iii) the amount awarded to each;
(iv) the purposes for which such awards were granted; and
(v) a summary financial plan for such monies which shall include
estimates of all receipts and all disbursements for the current and
succeeding fiscal years, along with the actual results from the prior
fiscal year.
3. Monies of the fund shall be expended only for childhood cancer
research projects approved by the department of health in New York
state. As used in this section, the term "childhood cancer research
project" means scientific research into the causes, prevention,
screening, treatment and cure of childhood cancers.
4. Monies shall be payable from the fund on the audit and warrant of
the comptroller on vouchers approved and certified by the commissioner
of health.
5. To the extent practicable, the commissioner of health shall ensure
that all monies received during a fiscal year are expended prior to the
end of that fiscal year.
Retiree health benefit trust fund. 1. There is hereby
established in the joint custody of the commissioner of the department
of civil service and the state comptroller a special investment trust
fund to be known as the retiree health benefit trust fund, which shall
be classified as a fiduciary fund type.
2. For purposes of this section: (a) "commissioner" shall mean the
commissioner of the department of civil service;
(b) "state" shall mean the state of New York;
(c) "fund", or "trust", or "trust fund" shall mean the retiree health
benefit trust fund created by this section; and
(d) "retiree health benefits" shall mean benefits, except pensions or
other benefits funded through a public retirement system, provided or to
be provided by the state as compensation, whether pursuant to statute,
contract or other lawful authority, to its current or former officers or
employees, or their families or beneficiaries, after service to the
state has ended, including, but not limited to, health care benefits.
3. (a) Notwithstanding any provision of law to the contrary, the
retiree health benefit trust fund is established for the exclusive
benefit of retired state employees and their dependents.
(b) The sole purpose of the trust fund established pursuant to
subdivision one of this section shall be to fund the retiree health
benefits of retired state employees and their dependents.
4. (a) Payments into and from the trust fund established pursuant to
subdivision one of this section shall be made in accordance with this
section.
(b) Contributions to the trust, and any interest or other income or
earnings on contributions, shall be irrevocable before all liabilities
of the state government for retiree health benefits have been satisfied
and shall be solely dedicated to, and used solely for, providing retiree
health benefits and paying appropriate and reasonable expenses of
administering the trust. No assets, income, earnings or distributions of
the trust shall be subject to any claim of creditors of the state, or to
assignment or execution, attachment or any other claim enforcement
process initiated by or on behalf of such creditors. Except as otherwise
provided in subdivision eight of this section, the commissioner shall
not be responsible for the adequacy of the assets of the trust to meet
any other post-employment benefit. The trust may be terminated only when
all liabilities of the state for retiree health benefits have been
satisfied and there is no present or future obligation, contingent or
otherwise, of the state to provide such retiree health benefits. Upon
such termination, any remaining trust assets, after any proper expenses
of the trust have been paid, shall revert to the state.
(c) At the request of the director of the budget, the state
comptroller shall transfer monies from the general fund to the trust
fund up to and including an amount equivalent to one and fifty
one-hundredths of one per centum of the total actuarial accrued
liability included in the state of New York comprehensive annual
financial report.
(d) Any use of funds for retiree health benefits from such trust fund
shall not be subject to an appropriation and shall be transferred by the
state comptroller, at the request of the director of the budget, to the
extent funds are available in such trust fund, to the health insurance
fund for the sole and exclusive purpose of funding retiree health
benefits. The director of the budget shall notify both houses of the
legislature in writing thirty days prior to initiating transfers
pursuant to this authorization.
5. Investments. (a) The commissioner may establish a trust in joint
custody with the state comptroller for the purpose of accumulating
assets to fund the cost of providing retiree health benefits.
(b) The commissioner is hereby declared to be the trustee of the trust
established pursuant to subdivision one of this section, and the
commissioner shall delegate responsibility for managing the investments
of the trust fund established pursuant to subdivision one of this
section to the state comptroller. The state comptroller shall manage the
investments of the trust fund established pursuant to subdivision one of
this section in a careful and prudent manner consistent with the
guidelines and provisions of section ninety-eight this article.
(c) Any interest or other income or earnings resulting from the
investment of assets of the trust shall accrue to and become part of the
assets of the trust.
6. In accordance with paragraph (b) of subdivision five of this
section, the state comptroller shall develop, in consultation with the
state health insurance council, a written investment policy for
selecting investment options in a manner consistent with the investment
options prescribed in section ninety-eight of this article so that the
state comptroller may be able to invest fund monies in accordance with
such policy. Such policy shall include a statement of investment
objectives addressing, in the following order of priority, the ability
to timely meet disbursement requests without forced sale of assets,
safety of principal and attainment of market rates of return.
7. Neither the state nor the commissioner shall be liable for any loss
or expense suffered by the trust in the absence of bad faith, willful
misconduct or intentional wrongdoing. The commissioner shall be
considered to be acting as an officer of the state for purposes of
section seventeen of the public officers law, provided, however, that
the costs of any defense or indemnification of the commissioner arising
from the exercise of the functions of trustee shall be payable from the
assets of the trust.
8. Nothing contained in this section shall be interpreted or construed
to: (a) create any obligation in, impose any obligation on, or alter any
obligation of the state to provide retiree health benefits;
(b) limit or restrict the authority of the state to modify or
eliminate retiree health benefits;
(c) assure or deny retiree health benefits; or
(d) require the state to fund its liability for retiree health
benefits.
* § 99-bb. Armory rental account. 1. Notwithstanding sections eight,
eight-a and seventy of this chapter or any other provision of law, rule,
regulation or practice to the contrary, there is hereby established in
the joint custody of the state comptroller and the commissioner of
taxation and finance an armory rental account fund, which shall consist
of all moneys paid as rent pursuant to section one hundred eighty-three
of the military law.
2. Moneys within the armory rental account shall be available to the
adjutant general for services and expenses of the office relating to the
direct maintenance and operation of armories.
* NB There are 5 § 99-bb's
Solid waste fund. 1. Notwithstanding sections eight, eight-a
and seventy of this chapter or any other provision of law, rule,
regulation, or practice to the contrary, there is hereby established in
the joint custody of the state comptroller and the commissioner of
taxation and finance a solid waste fund, which shall be classified by
the state comptroller as an enterprise fund type, and which shall
consist of all moneys received from private entities by the commissioner
of general services for the sale of recyclables.
2. Moneys within the solid waste fund shall be available to the
commissioner of general services for services and expenses of the office
relating to the collection, processing and sale of recycled materials.
Special events fund. 1. Notwithstanding sections eight,
eight-a and seventy of this chapter and any other provision of law,
rule, regulation, or practice to the contrary, there is hereby
established in the joint custody of the state comptroller and the
commissioner of taxation and finance a special events fund, which shall
be classified by the state comptroller as an enterprise fund type, and
which shall consist of all moneys received from private entities and
individuals as fees for the use of physical space at state-owned
facilities, including, but not limited to, the Empire State Plaza and
Harriman Campus, and any other miscellaneous fees associated with the
use of such physical space at such state-owned facilities by private
entities and individuals.
2. Moneys within the special events fund shall be available to the
commissioner of general services for services and expenses of the office
relating to the use of state-owned facilities by private entities and
individuals.
Down's syndrome research fund. 1. There is hereby established
in the joint custody of the commissioner of taxation and finance and the
comptroller a fund to be known as the "Down's syndrome research fund".
2. Such fund shall consist of all revenues received pursuant to
section four hundred four-ee of the vehicle and traffic law and all
other moneys appropriated, credited or transferred thereto from any
other fund or source pursuant to law. Nothing contained in this section
shall prevent the state from receiving grants, gifts or bequests for the
purposes of the fund as defined in this section and depositing them into
the fund according to law.
2-a. On or before the first day of February each year, the comptroller
shall certify to the governor, temporary president of the senate,
speaker of the assembly, chair of the senate finance committee and chair
of the assembly ways and means committee, the amount of money deposited
in the Down's syndrome research fund during the preceding calendar year
as the result of revenue derived pursuant to section four hundred
four-ee of the vehicle and traffic law and from grants, gifts and
bequests.
2-b. On or before the first day of February each year, the
commissioner of the office for people with developmental disabilities
shall provide a written report to the temporary president of the senate,
speaker of the assembly, chair of the senate finance committee, chair of
the assembly ways and means committee, chair of the senate committee on
mental health and developmental disabilities, chair of the assembly
committee on mental health, the state comptroller and the public. Such
report shall include how the monies of the fund were utilized during the
preceding calendar year, and shall include:
(i) the amount of money disbursed from the fund and the award process
used for such disbursements;
(ii) recipients of awards from the fund;
(iii) the amount awarded to each;
(iv) the purposes for which such awards were granted; and
(v) a summary financial plan for such monies which shall include
estimates of all receipts and all disbursements for the current and
succeeding fiscal years, along with the actual results from the prior
fiscal year.
3. Monies of the fund shall be expended only for Down's syndrome
research projects approved by the office for people with developmental
disabilities in New York state. As used in this section, the term
"Down's syndrome research project" means scientific research approved by
the office for people with developmental disabilities into the causes,
prevention, screening, treatment and cure of Down's syndrome.
4. Monies shall be payable from the fund on the audit and warrant of
the comptroller on vouchers approved and certified by the commissioner
of the office for people with developmental disabilities.
5. To the extent practicable, the commissioner of the office for
people with developmental disabilities shall ensure that all monies
received during a fiscal year are expended prior to the end of that
fiscal year.
* § 99-ff. Parks retail stores fund. 1. Notwithstanding sections
eight, eight-a and seventy of this chapter and any other provision of
law, rule, regulation or practice to the contrary, there is hereby
established in the joint custody of the state comptroller and the
commissioner of tax and finance a parks retail stores fund, which shall
be classified by the state comptroller as an enterprise fund, and which
shall consist of all moneys received from private entities and
individuals from retail operations at state parks, recreational
facilities and historic sites operated by the office of parks,
recreation and historic preservation.
2. Moneys within the parks retail stores fund shall be made available
to the commissioner of parks, recreation and historic preservation for
services and expenses relating to the operation of retail stores and in
support of the sale of retail goods at state parks, recreational
facilities and historic sites.
* NB There are 2 § 99-ff's
Golf fund. 1. Notwithstanding sections eight, eight-a and
seventy of this chapter and any other provision of law, rule, regulation
or practice to the contrary, there is hereby established in the joint
custody of the state comptroller and the commissioner of tax and finance
a golf fund, which shall be classified by the state comptroller as an
enterprise fund, and which shall consist of all moneys collected from
private entities and individuals for the use of state-owned golf
courses, any other miscellaneous fees associated with the use of such
golf courses, and sale of retail goods and services at state owned golf
courses.
2. Moneys within the golf fund shall be made available to the
commissioner of parks, recreation and historic preservation for services
and expenses of the office of parks, recreation and historic
preservation relating to the direct maintenance and operation of state
owned golf courses, and in support of the sale of retail goods and
services at state owned golf courses.
* § 99-hh. Criminal justice discovery compensation fund. 1. There is
hereby established in the joint custody of the state comptroller and the
commissioner of taxation and finance a fund to be known as the criminal
justice discovery compensation fund.
3. (a) Monies of the criminal justice discovery compensation fund,
following appropriation by the legislature and allocation by the
director of the budget, shall be made available for local assistance
services and expenses related to discovery reform implementation,
including but not limited to, digital evidence transmission technology,
administrative support, computers, hardware and operating software, data
connectivity, development of training materials, staff training,
overtime costs, litigation readiness, and pretrial services. Eligible
entities shall include, but not be limited to counties, cities with
populations less than one million, and law enforcement and prosecutorial
entities within towns and villages.
(b) The director of the budget shall provide the amount of the monies
allocated pursuant to this section to the chief administrator of the
courts and the division of criminal justice services for the purpose of
completing the report required pursuant to subdivision six of section
two hundred sixteen of the judiciary law.
* NB There are 4 § 99-hh's
New York state cannabis revenue fund. 1. There is hereby
established in the joint custody of the state comptroller and the
commissioner of taxation and finance a special fund to be known as the
"New York state cannabis revenue fund".
2. Such fund shall consist of all revenues received by the department
of taxation and finance, pursuant to the provisions of article twenty-C
of the tax law and all other moneys credited or transferred thereto from
any other fund or source pursuant to law. Nothing contained in this
section shall prevent the state from receiving grants, gifts or bequests
for the purposes of the fund as defined in this section and depositing
them into the fund according to law.
2-a. Revenues deposited into this fund pursuant to section fifteen of
the cannabis law shall first be used to reimburse the state general fund
for any funds transferred to this fund from the state general fund for
the purposes of supporting expenditures authorized under paragraph (d)
of subdivision three of this section.
3. The moneys in such fund shall be expended for the following
purposes:
(a) Reasonable costs incurred by the department of taxation and
finance for administering and collecting the taxes imposed by this part.
(b) Reasonable costs incurred by the office of cannabis management and
the cannabis control board for implementing, administering, and
enforcing the marihuana regulation and taxation act.
(c) Actual and necessary costs incurred by the office of cannabis
management and the cannabis control board, and the urban development
corporation, related to the administration of incubators and other
assistance to qualified social and economic equity applicants including
the administration, capitalization, and provision of low and zero
interest loans to such applicants pursuant to section sixteen-ee of the
urban development corporation act. Such costs shall be paid out of
revenues received, including, but not limited to, from special license
fees paid by registered organizations pursuant to section sixty-three of
the cannabis law.
(d) subject to available appropriations and providing that no more
than fifty million dollars in funding, shall be made available, whether
directly or indirectly for investment in a private debt or equity fund
formed pursuant to subdivision thirty-two of section one thousand six
hundred seventy-eight of the public authorities law or to cover capital
costs associated with establishing conditional adult-use cannabis retail
dispensaries for operation by social equity licensees duly licensed
pursuant to article two of the cannabis law. Such capital costs shall
include all costs, including closely related ancillary costs, related to
the leasing, planning, design, construction, reconstruction,
rehabilitation, improvement, furnishing, and equipping of such adult-use
cannabis retail dispensaries, to the extent such work has been
undertaken or costs for such work incurred by: (i) the office of
cannabis management and the cannabis control board, (ii) the dormitory
authority of the state of New York, or any subsidiary thereof, under
agreement with the office of cannabis management and the cannabis
control board, or with the private debt or equity fund formed pursuant
to subdivision thirty-two of section one thousand six hundred
seventy-eight of the public authorities law, or (iii) the private debt
or equity fund formed pursuant to subdivision thirty-two of section one
thousand six hundred seventy-eight of the public authorities law. Any
repayment of the state's investment by the fund, as authorized in this
paragraph shall be deposited in the New York state cannabis revenue
fund.
(e) Beginning with the two thousand twenty-two--two thousand
twenty-three fiscal year and continuing through the two thousand
thirty-two--two thousand thirty-three fiscal year, the commissioner of
taxation and finance shall annually disburse the following sums for the
purposes of data collection and reporting:
(i) Reasonable costs incurred by the office of cannabis management to
track and report data related to the licensing of cannabis businesses,
including the geographic location, structure, and function of licensed
cannabis businesses, and demographic data, including race, ethnicity,
and gender, of applicants and license holders. The cannabis control
board shall publish reports on its findings annually and shall make the
reports available to the public.
(ii) Reasonable costs incurred by the department of criminal justice
services to track and report data related to any infractions,
violations, or criminal convictions that occur under any of the
remaining cannabis statutes. The department of criminal justice services
shall publish reports on its findings annually and shall make the
reports available to the public.
(iii) Reasonable costs incurred by agencies of the state, including
the state university of New York to research and evaluate the
implementation and effect of the cannabis law. No more than four percent
of these monies may be used for expenses related to administrative costs
of conducting such research, and to, if appropriate, make
recommendations to the legislature and governor regarding possible
amendments to the cannabis law. The recipients of these funds shall
publish reports on their findings at a minimum of every two years and
shall make the reports available to the public. The research funded
pursuant to this subdivision shall include but not necessarily be
limited to:
(A) the impact on public health, including health costs associated
with cannabis use, as well as whether cannabis use is associated with an
increase or decrease in use of alcohol or other drugs;
(B) the impact of treatment for cannabis use disorder and the
effectiveness of different treatment programs;
(C) public safety issues related to cannabis use, including, but not
limited to studying the effectiveness of the packaging and labeling
requirements and advertising and marketing restrictions contained in the
act at preventing underage access to and use of cannabis and cannabis
products, and studying the health-related effects among users of varying
potency levels of cannabis and cannabis products;
(D) cannabis use rates, maladaptive use rates for adults and youth,
and diagnosis rates of cannabis-related substance use disorders;
(E) cannabis market prices, illicit market prices, tax structures and
rates, including an evaluation of how to best tax cannabis based on
potency, and the structure and function of licensed cannabis businesses;
(F) whether additional protections are needed to prevent unlawful
monopolies or anti-competitive behavior from occurring in the cannabis
industry and, if so, recommendations as to the most effective measures
for preventing such behavior;
(G) the economic impacts in the private and public sectors, including
but not necessarily limited to, job creation, workplace safety,
revenues, taxes generated for state and local budgets, and criminal
justice impacts, including, but not necessarily limited to, impacts on
law enforcement and public resources, short and long term consequences
of involvement in the criminal justice system, and state and local
government agency administrative costs and revenue;
(H) the extent to which the regulatory agencies tasked with
implementing and enforcing the marihuana regulation and taxation act
have been able to implement the provisions of such act, consistent with
its intent and purposes, and whether different agencies might be able to
do so more effectively; and
(I) any environmental impacts and hazards related to cannabis
production.
(f) Reasonable costs incurred by the state police and the department
of motor vehicles to implement the provisions of section sixty of the
marihuana regulation and taxation act, to expand and enhance the drug
recognition expert training program and technologies utilized in the
process of maintaining road safety.
(g) Reasonable costs, subject to available appropriations, incurred by
the office of cannabis management, the cannabis advisory board, or the
urban development corporation to administer grants for qualified
community-based nonprofit organizations and approved local government
entities for the purpose of reinvesting in communities
disproportionately affected by past federal and state drug policies, in
accordance with the allowable uses of moneys deposited in the New York
state community grants reinvestment fund established by section
ninety-nine-kk of this article.
(h) Reasonable costs, subject to available appropriations, incurred by
the division of criminal justice services and the office of court
administration to implement the expungement provisions of sections
seventeen and twenty-four of the marihuana regulation and taxation act,
as added by a chapter of the laws of two thousand twenty-one which added
this section.
4. After the dispersal of moneys pursuant to subdivision three of this
section, the remaining moneys in the fund deposited during the prior
fiscal year shall be disbursed into the state lottery fund and two
additional sub-funds created within the cannabis revenue fund known as
the drug treatment and public education fund and the community grants
reinvestment fund, as follows:
(a) forty percent shall be deposited in the state lottery fund for
additional lottery grants to eligible school districts pursuant to
subparagraph four of paragraph b of subdivision four of section
ninety-two-c of this article, and shall be used to increase the total
amount of funding available for general support for public schools;
provided that notwithstanding any inconsistent provision of law, the
amounts appropriated for such additional lottery grants shall be
excluded from the calculation of: (i) the allowable growth amount
computed pursuant to paragraph dd of subdivision one of section
thirty-six hundred two of the education law; (ii) the preliminary growth
amount computed pursuant to paragraph ff of subdivision one of section
thirty-six hundred two of the education law; and (iii) the allocable
growth amount computed pursuant to paragraph gg of subdivision one of
section thirty-six hundred two of the education law;
(b) twenty percent shall be deposited in the drug treatment and public
education fund established by section ninety-nine-jj of this article;
and
(c) forty percent shall be deposited in the community grants
reinvestment fund established by section ninety-nine-kk of this article.
New York state drug treatment and public education fund. 1.
There is hereby established in the joint custody of the state
comptroller and the commissioner of taxation and finance a special fund
to be known as the "New York state drug treatment public education
fund".
2. Such fund shall consist of revenues received pursuant to the
provisions of section ninety-nine-ii of this article and all other
moneys credited or transferred thereto from any other fund or source
pursuant to law. Nothing contained in this section shall prevent the
state from receiving grants, gifts or bequests for the purposes of the
fund as defined in this section and depositing them into the fund
according to law.
3. The moneys in such fund shall be expended to the commissioner of
the office of addiction services and supports and disbursed, in
consultation with the commissioner of the department of health, the
office of mental health, the office of cannabis management and the
commissioner of education for the following purposes:
(a) Reasonable costs incurred, subject to available appropriations, by
the office of addiction services and supports, to administer funds in
accordance with the allowable uses in paragraphs (b), (c), (d) and (e)
of this subdivision.
(b) To develop and implement a youth-focused public health education
and prevention campaign, including school-based prevention, early
intervention, and health care services and programs to reduce the risk
of cannabis and other substance use by school-aged children;
(c) To develop and implement a statewide public health campaign
focused on the health effects of cannabis and legal use, including an
ongoing education and prevention campaign that educates the general
public, including parents, consumers and retailers, on the legal use of
cannabis, the importance of preventing youth access, the importance of
safe storage and preventing secondhand cannabis smoke exposure,
information for pregnant or breastfeeding women, and the overconsumption
of edible cannabis products;
(d) To provide substance use disorder treatment programs for youth and
adults, with an emphasis on programs that are culturally and gender
competent, trauma-informed, evidence-based and provide a continuum of
care that includes screening and assessment (substance use disorder as
well as mental health), early intervention, active treatment, family
involvement, case management, overdose prevention, prevention of
communicable diseases related to substance use, relapse management for
substance use and other co-occurring behavioral health disorders,
vocational services, literacy services, parenting classes, family
therapy and counseling services, medication-assisted treatments,
psychiatric medication and psychotherapy; and
(e) To evaluate the programs being funded to determine their
effectiveness.
4. On or before the first day of February each year, the commissioner
of the office of addiction services and supports shall provide a written
report to the temporary president of the senate, speaker of the
assembly, chair of the senate finance committee, chair of the assembly
ways and means committee, chair of the senate committee on alcoholism
and drug abuse, chair of the assembly alcoholism and drug abuse
committee, the state comptroller and the public. Such report shall
detail how the moneys of the fund were utilized during the preceding
calendar year, and shall include:
(a) the amount of money dispersed from the fund and the award process
used for such disbursements;
(b) recipients of awards from the fund;
(c) the amount awarded to each recipient of an award from the fund;
(d) the purposes for which such awards were granted; and
(e) a summary financial plan for such monies which shall include
estimates of all receipts and all disbursements for the current and
succeeding fiscal years, along with the actual results from the prior
fiscal year.
5. Moneys shall be payable from the fund on the audit and warrant of
the comptroller on vouchers approved and certified by the commissioner
of addiction services and supports.
New York state community grants reinvestment fund. 1. There
is hereby established in the joint custody of the state comptroller and
the commissioner of taxation and finance a special fund to be known as
the "New York state community grants reinvestment fund".
2. Such fund shall consist of all revenues received pursuant to the
provisions of section ninety-nine-ii of this article and all other
moneys credited or transferred thereto from any other fund or source
pursuant to law. Nothing contained in this section shall prevent the
state from receiving grants, gifts or bequests for the purposes of the
fund as defined in this section and depositing them into the fund
according to law.
3. The fund shall be governed and administered by the state cannabis
advisory board as set out under article two of the cannabis law.
4. The moneys in such fund shall be awarded by the state cannabis
advisory board and administered and disbursed by the office of cannabis
management and/or the urban development corporation to provide grants
for qualified community-based nonprofit organizations and approved local
government entities for the purpose of reinvesting in communities
disproportionately affected by past federal and state drug policies.
Such grants shall be used, including but not limited to, to support job
placement, job skills services, adult education, mental health
treatment, substance use disorder treatment, housing, financial
literacy, community banking, nutrition services, services to address
adverse childhood experiences, afterschool and child care services,
system navigation services, legal services to address barriers to
reentry, including, but not limited to, providing representation and
related assistance with expungement, vacatur, substitution and
resentencing of marihuana-related convictions, and linkages to medical
care, women's health services and other community-based supportive
services. The grants from this program may also be used to further
support the social and economic equity program created by article four
of the cannabis law and as established by the cannabis control board.
5. On or before the first day of February each year, the office of
cannabis management shall provide a written report to the temporary
president of the senate, speaker of the assembly, chair of the senate
finance committee, chair of the assembly ways and means committee, chair
of the senate committee on children and families, chair of the assembly
children and families committee, chair of the senate committee on labor,
chair of the assembly labor committee, chair of the senate committee on
health, chair of the assembly health committee, chair of the senate
committee on education, chair of the assembly education committee, the
state comptroller and the public. Such report shall detail how the
monies of the fund were utilized during the preceding calendar year, and
shall include:
(a) the amount of money available and dispersed from the fund and the
award process used for such disbursements;
(b) recipients of awards from the fund;
(c) the amount awarded to each recipient of an award from the fund;
(d) the purposes for which such awards were granted; and
(e) a summary financial plan for such monies which shall include
estimates of all receipts and all disbursements for the current and
succeeding fiscal years, along with the actual results from the prior
fiscal year.
6. Moneys shall be payable from the fund on the audit and warrant of
the comptroller on vouchers approved and certified by the office of
cannabis management.
New York state council on the arts cultural programs fund. 1.
There is hereby established in the joint custody of the state
comptroller and commissioner of taxation and finance a special fund to
be known as the "New York state council on the arts cultural program
fund".
2. Such fund shall consist of all revenues received by the state,
pursuant to the provisions of section twenty-four-c of the tax law and
all other moneys appropriated thereto from any other fund or source
pursuant to law. Nothing contained in this section shall prevent the
state from receiving grants, gifts or bequests for the purposes of the
fund as defined in this section and depositing them into the fund
according to law.
3. On or before the first day of February two thousand twenty-four,
the executive director of the New York state council on the arts shall
provide a written report to the temporary president of the senate, the
speaker of the assembly, the chair of the senate finance committee, the
chair of the assembly ways and means committee, the chair of the senate
committee on health, the chair of the assembly health committee, the
state comptroller and the public. Such report shall include how the
monies of the fund were utilized during the preceding calendar year, and
shall include:
(a) the amount of money disbursed from the fund and the award process
used for such disbursements;
(b) recipients of awards from the fund;
(c) the amount awarded to each;
(d) the purposes for which such awards were granted; and
(e) a summary financial plan for such monies which shall include
estimates of all receipts and all disbursements for the current and
succeeding fiscal years, along with the actual results from the prior
fiscal year.
4. Moneys shall be payable from the fund on the audit and warrant of
the comptroller on vouchers approved and certified by the executive
director of the New York state council on the arts.
5. The moneys in such fund shall be expended for the purpose of
supplementing art and cultural grant programs of the New York state
council on the arts, including but not limited to: arts education
programs, and art and cultural programs for children and adults,
including programs that increase access to art and cultural programs and
events in underserved communities.
Opioid settlement fund. 1. There is hereby established in the
joint custody of the state comptroller and the commissioner of taxation
and finance a special fund to be known as the "opioid settlement fund".
2. Money allocated to the opioid settlement fund shall be kept
separate and shall not be commingled with any other funds in the custody
of the state comptroller.
3. Money expended from such fund shall be used consistent with the
terms of any statewide opioid settlement agreements as defined in
section 25.18 of the mental hygiene law. Moneys of the fund shall be
used to supplement and not supplant or replace any other funds,
including federal or state funding, which would otherwise have been
expended for substance use disorder prevention, treatment, recovery or
harm reduction services or programs.
4. Notwithstanding subdivision eleven of section four of this chapter,
such fund shall consist of money received by the state pursuant to any
statewide opioid settlement agreements as defined in section 25.18 of
the mental hygiene law. All moneys shall remain in such fund unless and
until directed by statute or appropriation.
5. Notwithstanding subdivision eleven of section four of this chapter,
or subdivision sixteen of section sixty-three of the executive law,
moneys from the opioid settlement fund shall be available following
appropriation by the legislature and shall only be expended on eligible
expenditures as defined in section 25.18 of the mental hygiene law for
prevention, treatment, harm reduction and recovery services related to
substance use disorders and co-occurring mental illnesses in New York
state pursuant to the terms of the statewide opioid settlement
agreements as defined in section 25.18 of the mental hygiene law.
Funding shall be distributed regionally and to ensure adequate
geographic disbursement across the state in accordance with the
statewide opioid settlement agreements. In addition to programs and
services overseen by the office of addiction services and supports,
funding may also be expended on programs and services overseen by the
department of health, the office of mental health, the division of
housing and community renewal or any other agency that may oversee an
appropriate program or service that is considered an eligible
expenditure as provided under section 25.18 of the mental hygiene law.
Funding decisions shall include an emphasis on supporting programs that
are culturally, linguistically and gender competent, trauma-informed,
evidence-based and, where appropriate, employ individuals with lived
experience as part of the services provided.
Pharmacy benefit manager regulatory fund. 1. There is hereby
established in the joint custody of the state comptroller and the
commissioner of taxation and finance a special fund to be known as the
"pharmacy benefit manager (PBM) regulatory fund".
2. Money allocated to the PBM regulatory fund shall be kept separate
and shall not be commingled with any other funds in the custody of the
state comptroller.
3. Such fund shall consist of money received by the state as fees
under article twenty-nine of the insurance law or penalties ordered
under article twenty-nine of the insurance law and all other monies
appropriated, credited, or transferred thereto from any other fund or
source pursuant to law. All monies shall remain in such fund unless and
until directed by statute or appropriation.
* § 99-pp. Background check fund. 1. There is hereby established in
the joint custody of the state comptroller and commissioner of taxation
and finance a special fund to be known as the "background check fund".
2. Such fund shall consist of all revenues received by the
comptroller, pursuant to the provisions of section two hundred
twenty-eight of the executive law and all other moneys appropriated
thereto from any other fund or source pursuant to law. Nothing contained
in this section shall prevent the state from receiving grants, gifts or
bequests for the purposes of the fund as defined in this section and
depositing them into the fund according to law.
3. The moneys of the background check fund, following appropriation by
the legislature, shall be allocated for the direct costs associated with
performing background checks pursuant to section two hundred
twenty-eight of the executive law.
4. The state comptroller may invest any moneys in the background check
fund not expended for the purpose of this section as provided by law.
The state comptroller shall credit any interest and income derived from
the deposit and investment of moneys in the background check fund to the
background check fund.
5. (a) Any unexpended and unencumbered moneys remaining in the
background check fund at the end of a fiscal year shall remain in the
background check fund and shall not be credited to any other fund.
(b) To the extent practicable, any such remaining funds shall be used
to reduce the amount of the fee described in subdivision two of section
two hundred twenty-eight of the executive law.
* NB There are 3 § 99-pp's
* § 99-qq. Hazard mitigation state revolving loan fund. 1. There is
hereby established in the joint custody of the state comptroller and the
commissioner of taxation and finance a fund to be known as the "hazard
mitigation revolving loan fund".
2. The fund shall consist of all moneys appropriated therefore, all
moneys received by the state pursuant to a capitalization grant from the
federal emergency management agency in accordance with the Safeguarding
Tomorrow through Ongoing Risk Mitigation Act of 2020 (STORM Act) (P.L.
116-284), payments of principal and interest on loans made from the
fund, and interest earned on amounts in the fund.
3. Moneys of the account, when allocated, shall be available to the
commissioner of the Division of Homeland Security and Emergency Services
to make loans pursuant to section seven hundred nineteen of the
executive law.
* NB There are 2 §99-qq's
Air quality improvement fund. 1. There is hereby established
in the joint custody of the comptroller and the commissioner of taxation
and finance a fund to be known as the "air quality improvement fund".
2. Such fund shall consist of revenues received by the state pursuant
to section 19-0328 of the environmental conservation law and all other
moneys, appropriated, credited, or transferred thereto from any other
fund or source pursuant to law.
3. All moneys of the air quality improvement fund, following
appropriation by the legislature, shall be made available for the
purposes of reducing air pollution and improving or enhancing air
quality in affected communities, including but not limited to: (a)
measures related to achieving the national ambient air quality
standards, including community level projects to reduce or eliminate air
pollution from stationary and/or mobile sources of air pollution; and
(b) investments which are consistent with the strategies and community
emissions reduction programs prepared pursuant to section 75-0115 of the
environmental conservation law. Any moneys expended from the fund shall
ensure that disadvantaged communities, as defined in subdivision five of
section 75-0101 of the environmental conservation law, receive overall
benefits that approximate the proportion of disadvantaged communities in
the applicable federally designated area of nonattainment in New York,
provided that such communities shall not receive less than thirty-five
percent of the benefit of such funds.
4. Moneys shall be payable from the fund on the audit and warrant of
the comptroller on vouchers approved and certified by the commissioner
of environmental conservation.
* § 99-ss. Healthcare stability fund. 1. There is hereby established
in the joint custody of the state comptroller and the commissioner of
taxation and finance a special fund to be known as the "healthcare
stability fund" ("fund").
2. (a) The fund shall consist of monies received from the imposition
of the centers for medicare and medicaid services-approved MCO provider
tax established pursuant to section twenty-eight hundred seven-ff of the
public health law, and all other monies appropriated, credited, or
transferred thereto from any other fund or source pursuant to law.
(b) The pool administrator under contract with the commissioner of
health pursuant to section twenty-eight hundred seven-y of the public
health law shall collect moneys required to be collected as a result of
the implementation of the MCO provider tax.
3. Notwithstanding any provision of law to the contrary and subject to
available legislative appropriation and approval of the director of the
budget, monies of the fund may be available to the department of health
for the purpose of:
(a) funding the non-federal share of increased capitation payments to
managed care providers, as defined in section three hundred sixty-four-j
of the social services law, for the medical assistance program, pursuant
to a plan developed and approved by the director of the budget;
(b) funding the non-federal share of the medical assistance program,
including supplemental support for the delivery of health care services
to medical assistance program enrollees and quality incentive programs;
(c) reimbursement to the general fund for expenditures incurred in the
medical assistance program, including, but not limited to, reimbursement
pursuant to a savings allocation plan established in accordance with
section ninety-two of part H of chapter fifty-nine of the laws of two
thousand eleven, as amended; and
(d) transfer to the capital projects fund, or any other capital
projects fund of the state to support the delivery of health care
services.
4. The monies shall be paid out of the fund on the audit and warrant
of the comptroller on vouchers certified or approved by the commissioner
of health, or by an officer or employee of the department of health
designated by the commissioner.
5. Monies disbursed from the fund shall be exempt from the calculation
of department of health state funds medicaid expenditures under
subdivision one of section ninety-two of part H of chapter fifty-nine of
the laws of two thousand eleven, as amended.
6. Monies in such fund shall be kept separate from and shall not be
commingled with any other monies in the custody of the comptroller or
the commissioner of taxation and finance. Any monies of the fund not
required for immediate use may, at the discretion of the comptroller, in
consultation with the director of the budget, be invested by the
comptroller in obligations of the United States or the state. Any income
earned by the investment of such monies shall be added to and become a
part of and shall be used for the purposes of such fund.
7. The director of the budget shall provide quarterly reports to the
speaker of the assembly, the temporary president of the senate, the
chair of the senate finance committee and the chair of the assembly ways
and means committee, on the receipts and distributions of the healthcare
stability fund, including an itemization of such receipts and
disbursements, the historical and projected expenditures, and the
projected fund balance.
8. The comptroller shall provide the pool administrator with any
information needed, in a form or format prescribed by the pool
administrator, to meet reporting requirements as set forth in section
twenty-eight hundred seven-y of the public health law or as otherwise
provided by law.
* NB There are 3 § 99-ss's
Veterans' services fund. 1. There is hereby established in
the joint custody of the commissioner of taxation and finance, the
commissioner of veterans' services, and the comptroller, a special fund
to be known as the "veterans' services fund".
2. Such fund shall consist of all civil penalties imposed pursuant to
section three hundred forty-nine-f of the general business law, any
additional moneys appropriated, credited or transferred to such fund by
the legislature, and the amounts of moneys received and deposited into
the fund from grants, gifts and bequests during the preceding calendar
year, as certified by the comptroller. Nothing in this section shall
prevent the state from soliciting and receiving grants, gifts or
bequests for the purposes of the fund as defined in this section and
depositing them into the fund according to law. Any interest earned by
the investment of moneys in such fund shall be added to such fund,
become part of such fund, and be used for the purposes of such fund.
3. On or before the first day of February each year, the commissioner
of veterans' services shall provide a written report to the temporary
president of the senate, speaker of the assembly, chair of the senate
finance committee, chair of the assembly ways and means committee, chair
of the senate committee on veterans, homeland security and military
affairs, chair of the assembly veterans' affairs committee, the state
comptroller and the public. Such report shall include how the moneys of
the fund were utilized during the preceding calendar year, and shall
include:
(a) the amount of money dispersed from the fund and the award process
used for such disbursements;
(b) recipients of awards from the fund;
(c) the amount awarded to each;
(d) the purposes for which such awards were granted; and
(e) a summary financial plan for such moneys which shall include
estimates of all receipts and all disbursements for the current and
succeeding fiscal years, along with the actual results from the prior
fiscal year.
4. On or before the first day of February of each calendar year, the
comptroller shall certify to the governor, the temporary president of
the senate, the speaker of the assembly, the chair of the senate finance
committee and the chair of the assembly ways and means committee, the
amount of money deposited in the veterans' services fund during the
preceding calendar year as the result of revenue derived pursuant to
section three hundred forty-nine-f of the general business law, and from
all grants, gifts and bequests.
5. Moneys of the fund shall be expended only for the award of grants
to veterans' service organizations certified by the United States
department of veterans affairs to assist claimants in the preparation,
presentation, and prosecution of claims for United States department of
veterans affairs benefits, as determined by the department of veterans'
services.
6. Moneys shall be paid out of the fund on the audit and warrant of
the comptroller on vouchers approved and certified by the commissioner
of veterans' services. Any interest received by the comptroller on
moneys on deposit in the veterans' services fund shall be retained in
and become part of such fund.
ARTICLE 7 Accounts and Audits
Public accounts to be kept in dollars, dimes and cents. All
accounts and other computations of money in the treasury and other
public offices, whether state or local, shall be kept and made out, in
the money of account of the United States, that is to say : in dollars
or units, dimes or tenths, cents or hundredths, mills or thousandths; a
dime being the tenth part of a dollar, a cent the hundredth part of a
dollar, and a mill the thousandth part of a dollar.
Checks and accounts. Checks may be signed by the commissioner
of taxation and finance, and, if so authorized by such commissioner in
writing filed with the comptroller, by the head of the division of the
treasury of the department of taxation and finance and by such other
officers or persons employed in such department as the commissioner may
designate, which authorization may be revoked in like manner. The
comptroller shall countersign and enter in the proper books of his
department all checks so drawn and all receipts for money paid to the
treasury. Duplicate checks in lieu of issued checks lost or destroyed
may be executed to persons entitled to payment thereof upon such proofs
and conditions as the commissioner of taxation and finance and
comptroller may in their discretion require to indemnify the state
against loss. No such receipt shall be evidence of payment unless so
countersigned. The comptroller shall keep an account between the state
and the commissioner of taxation and finance, and therein charge such
commissioner with the balance in the treasury when he came into office,
and with all moneys received by him, and credit him with all warrants
drawn on and paid by him. He shall draw, in favor of the commissioner of
taxation and finance, on all corporations or companies in which the
state may own stock, for the dividends on such stock as they become due.
He shall procure from the books of the banks in which the commissioner
of taxation and finance makes his deposits, monthly statements of the
moneys received and paid out of the same. On the first Tuesday of every
month, or oftener if he deems it necessary, he shall carefully examine
the accounts of the debits and credits in the bank books kept by the
commissioner of taxation and finance. If he discovers any irregularity
or deficiency therein, he shall, unless rectified or explained to his
satisfaction, forthwith report the same to the governor.
Amounts of unpaid checks, drafts or debit cards to be paid into
abandoned property fund. Upon audit and statement of the comptroller,
the amounts of all checks or drafts on bank accounts of any funds of the
state, and the amounts of all debit cards issued on behalf of the state
for the purpose of paying a tax refund which checks or drafts have not
been paid or which debit cards have not been activated and which shall
have been outstanding for more than one year from the respective dates
thereof, shall be paid into the abandoned property fund pursuant to
subdivision four of section one thousand three hundred fifteen of the
abandoned property law. The proper disbursing officers or agents of such
funds shall notify the bank or banks on which such checks, drafts or
debit cards were drawn not to pay or permit the activation of the same.
The comptroller shall keep a record of all such checks, drafts or debit
cards and upon presentation to him by the lawful holder of any such
check, draft or debit card at any time, the amount of which shall thus
have been paid into the state treasury to the credit of the general
fund, the comptroller, to the extent appropriations are available, shall
issue a new check, draft or electronic payment to the payee upon
submission of proof satisfactory to the comptroller as to the legitimacy
of the claim and, if insufficient appropriations are available, shall
include in his next request for appropriations by the legislature the
amount or amounts of any such checks, drafts or debit cards so presented
to him, for the purpose of payment without interest to the lawful holder
or holders thereof.
State papers and securities. All papers relating to the duties
of the comptroller, and all deeds to the state, abstracts of title, and
state contracts, unless otherwise specially directed, shall be deposited
in the office of the comptroller. Upon request of the attorney-general,
the comptroller shall transfer to his custody all abstracts of title and
title searches relating to the ownership of real property. All leases,
bonds, mortgages, certificates of stock and other securities belonging
to the state also shall be deposited in the office of the comptroller,
but the commissioner of taxation and finance, jointly with the
comptroller, shall have custody thereof.
Examination and inventory of state securities. The comptroller,
from time to time, shall examine the securities on which money may be
due to the state, and make inquiries relating to the sufficiency of the
security for the payment of such money. He shall require the immediate
payment of all interest due, and the payment of such part of the
principal as he deems necessary for the security and interest of the
state. The commissioner of taxation and finance and the comptroller,
jointly, at the close of each fiscal year shall make an inventory of all
securities belonging to the state in duplicate and file it with the
department of taxation and finance and the department of audit and
control.
Deposits in banks. 1. All moneys received by the commissioner
of taxation and finance on account of the state, excepting such moneys
as are required by law to be deposited to the credit of the comptroller,
but including such moneys as are thereafter paid into the state treasury
by the comptroller, shall be deposited by the commissioner of taxation
and finance within three business days after the receipt thereof, either
as a demand deposit or an interest-bearing time deposit (other than a
time certificate of deposit), as the commissioner and the comptroller
may determine, in such banks, trust companies and industrial banks as in
the opinion of the commissioner and the opinion of the comptroller are
secure. The moneys so deposited shall be placed to the account of the
commissioner of taxation and finance. The commissioner shall keep a
bankbook in which shall be entered their account of deposit in and
moneys drawn from the banks and trust companies and industrial banks in
which deposits are made by the commissioner, which they shall exhibit to
the comptroller for inspection on the first Tuesday of every month and
oftener if required. The commissioner shall not draw any moneys from
such banks, trust companies or industrial banks unless by checks signed
and countersigned in the manner prescribed by section one hundred one,
unless otherwise provided by law. No moneys shall be paid by any such
bank, trust company or industrial bank out of any such deposit except
upon such checks. Moneys may be paid through electronic transfer in
accordance with procedures developed by the commissioner of taxation and
finance and the comptroller and consistent with the requirements of this
section for recording payments. Such payments through electronic
transfer shall be considered, for purposes of this chapter, to be moneys
drawn by check. Every such bank, trust company or industrial bank shall
transmit to the comptroller monthly statements of all moneys received
and paid by it on account of the commissioner of taxation and finance.
2. Every bank, trust company and industrial bank designated for the
deposit of state moneys under the provisions of this section shall,
before deposits are made:
a. Execute and file with the commissioner of taxation and finance a
bond to the state in such form and with such surety or sureties for such
sums as may be prescribed and approved by the commissioner of taxation
and finance and comptroller, for the safekeeping and prompt payment of
such moneys on legal demand therefor with interest, if any; or
b. In lieu of such surety bond, with the permission of the comptroller
and the commissioner of taxation and finance, deposit with the
comptroller outstanding unmatured:
(1) bonds or notes of the United States of America, or obligations,
the payment of which is guaranteed by the United States of America,
(2) bonds or notes of the state of New York,
(3) bonds or notes of any county, town, city, village, fire district
or school districts in the state of New York authorized to be issued by
law,
(4) bonds of the Port of New York Authority of any year,
(5) bonds of the Buffalo and Fort Erie Public Bridge Authority,
(6) bonds of the Triborough bridge and tunnel authority,
(7) bonds or notes of the New York state thruway authority,
(8) bonds, notes or other obligations of any municipal housing
authority in the state of New York authorized to be issued by law,
provided such bonds, notes or other obligations qualify under the
provisions of section forty-nine of the public housing law,
(9) bonds or notes of the Power Authority of the state of New York,
(10) bonds or notes of the Niagara Frontier Port Authority,
(11) bonds or notes of the Dormitory Authority of the state of New
York,
(12) bonds or notes of the New York state bridge authority,
(13) bonds or notes issued for any of the corporate purposes of the
New York state housing finance agency,
(14) bonds or notes of the Metropolitan Commuter Transportation
Authority,
(15) bonds or notes of the New York State Pure Waters Authority, for
which the commissioner of taxation and finance and the comptroller shall
deliver a certificate of deposit containing the conditions of such
deposit,
(16) bonds or notes of the Niagara Frontier Transportation Authority,
(17) bonds or notes of the Rochester-Genesee Regional Transportation
Authority,
(18) bonds or notes of the Capital District Transportation Authority,
(19) bonds or notes of the Central New York Regional Transportation
Authority,
20 Bonds or notes of the New York state project finance agency,
(21) Bonds or notes of the municipal assistance corporation for the
city of New York,
(22) bonds or notes issued for any of the corporate purposes of the
New York state medical care facilities finance agency, for which the
commissioner of taxation and finance and the comptroller shall deliver a
certificate of deposit containing the conditions of such deposit, or
(23) irrevocable letters of credit issued by a federal home loan bank.
c. With the permission of the comptroller and commissioner of taxation
and finance execute and file with the commissioner of taxation and
finance an undertaking to the effect that such bank, trust company or
industrial bank will safely keep and promptly pay over all such deposits
on legal demand therefor with interest, if any, and as collateral to
such undertaking deposit with the comptroller a certified check or
checks drawn on and certified by the federal reserve bank within the
state payable to his order in such amount or amounts as shall be agreed
upon by the comptroller and the depositary.
3. Notwithstanding any other general or special law, no bonds, notes
or other obligations, except as above described, shall be accepted as
security for moneys deposited pursuant to this section or section one
hundred six of this chapter. No general or special law which in
substance or in effect authorizes or requires the deposit of specified
bonds, notes or other obligations with any public officer or body of
this state for any purpose for which the deposit of bonds or other
obligations of this state may be authorized or required, shall be
construed to authorize or require the acceptance of such bonds, notes or
other obligations as security for moneys deposited pursuant to this
section or section one hundred six of this chapter.
4. The comptroller and the commissioner of taxation and finance may,
in their discretion, accept and substitute for any surety bond or
undertaking given, pursuant to this section, a bond or undertaking in
such form and with other surety or sureties, or other security as
required by this section, for such sums as may be prescribed and
approved by the comptroller and the commissioner of taxation and finance
for the safe keeping and prompt payment of such moneys on legal demand
therefor with interest, if any, and the comptroller and the commissioner
of taxation and finance may thereupon execute and deliver to the surety
or sureties, upon the former bond or undertaking, a release of such
surety or sureties from any liability accruing subsequent to the date of
such release. Such release shall not relieve such surety or sureties
from any obligation for losses incurred prior to the date thereof.
5. On the withdrawal of all moneys from any such depositary and a
closing and settlement of the account thereof, the commissioner of
taxation and finance and the comptroller may in their discretion certify
to such settlement and direct the release of such surety bond,
undertaking, certified check or checks, or other security to the
obligors or owner or owners entitled thereto.
6. The state comptroller, public authorities or public benefit
corporations of the state, and the commissioner of taxation and finance
may deposit public funds with a bank, trust company or national bank
located in a banking development district designated pursuant to section
ninety-six-d of the banking law. Subject to an agreement between such
body or officer and such bank, trust company or national bank located in
a banking development district, any such deposits made by the state or
any of its public authorities or public benefit corporations may earn a
fixed interest rate which is at or below such banking institution's
posted two year certificate of deposit rate.
Deposit of moneys by state officers, state institutions and
charitable and benevolent institutions. Such moneys received by the
commissioner of taxation and finance as are now deposited to the credit
of the comptroller pursuant to statute, and thereafter paid into the
state treasury, shall be deposited by him or her to the credit of the
comptroller in such bank or trust company as shall be designated by the
comptroller at such rate of interest, if any, as shall be agreed upon by
the depositary and the comptroller.
All other moneys received by the commissioner of taxation and finance
except as provided in section one hundred five of this article and all
moneys received by any other state officer or other person receiving
moneys belonging to the state, or for which such state officer or other
person may be responsible in his or her official capacity, and all
moneys received by any state institution, except for moneys received
pursuant to a clinical practice plan established pursuant to subdivision
fourteen of section two hundred six of the public health law and all
moneys received from the state by any charitable or benevolent
institution supported in whole or in part by the state, shall be
deposited to his, her, or its credit in such bank or trust company as
shall be designated by the comptroller at such rate of interest, if any,
as shall be agreed upon by the depositary and the comptroller.
Every bank or trust company designated by the comptroller for the
deposit of any such moneys
A. Shall give a bond with sufficient sureties for the security of such
deposit, to be approved by the comptroller and filed in his or her
office,
B. Or shall, in lieu of such surety bond, with the permission of the
comptroller deposit with the comptroller such outstanding unmatured
bonds or notes or such certified check or checks as are described in
section one hundred five of this article. The comptroller may, in his or
her discretion, accept and substitute for any surety bond or undertaking
given, pursuant to this section, a bond or undertaking in such form and
with other surety or sureties, or other security as required by this
section, for such sums as may be prescribed and approved by the
comptroller for the safe keeping and prompt payment of such moneys on
legal demand therefor with interest, if any, and the comptroller may
thereupon execute and deliver to the surety or sureties, upon the former
bond or undertaking, a release of such surety or sureties from any
liability accruing subsequent to the date of such release. Such release
shall not relieve such surety or sureties from any obligation for losses
incurred prior to the date thereof. On the withdrawal of all moneys from
any such depository and a closing and settlement of the account thereof,
the comptroller may in his or her discretion certify to such settlement
and release to the obligor or owner or owners entitled thereto, of such
surety bond, undertaking, certified check or checks, or other security
deposited with him or her.
C. Notwithstanding any other provisions of this section, the
comptroller shall not designate for the deposit of moneys by state
officers, state institutions and charitable and benevolent institutions
supported in whole or in part by the state a banking institution to
which the Community Reinvestment Act of 1977, United States P.L. 95-128,
applies unless such institution shall have received a record of
performance no lower than "satisfactory" as determined under such act in
accordance with section twenty-eight-b of the banking law.
D. In lieu of a security bond as prescribed under subdivision A of
this section or other security as prescribed under subdivision B of this
section, the comptroller may authorize a designated bank or trust
company to arrange for the redeposit of the moneys through a deposit
placement program that meets all of the following conditions:
(1) The designated bank or trust company arranges for the redeposit of
the moneys into deposit accounts with one or more banking institutions,
as defined in section nine-r of the banking law, for the account of the
state, and serves as custodian for the state with respect to the moneys
redeposited into such deposit accounts.
(2) Moneys held by a designated bank or trust company pending
redeposit pursuant to paragraph one of this subdivision that are in
excess of the amount insured by the federal deposit insurance
corporation shall be secured in accordance with subdivision A or B of
this section.
(3) The full amount of the moneys redeposited into deposit accounts
pursuant to paragraph one of this subdivision, plus accrued interest, if
any, shall be insured by the federal deposit insurance corporation.
(4) At the same time that the moneys are redeposited pursuant to
paragraph one of this subdivision, the designated bank or trust company
receives an amount of deposits from customers of other financial
institutions pursuant to the deposit placement program that are at least
equal to the amount of the moneys redeposited by the designated bank or
trust company.
This section shall not apply to any funds held by the superintendent
of financial services in a fiduciary capacity.
Public funds on deposit. All moneys in the possession,
custody, control or under the authority of the comptroller, the
commissioner of taxation and finance or other state officer, for the
security of the deposit whereof a bond or other security may be required
under the provisions of this chapter or any other statute, shall be
deemed to be public funds or public moneys under the laws of this state.
Monthly statement of balances in state depositories. The
commissioner of taxation and finance shall cause to be published in the
state bulletin, on or before the last day of each month, a detailed
statement of the balance in the several banks designated by any state
officer or board as a depository of state funds. Such statement shall
contain the name of each bank and the amount subject to draft at the
close of the month preceding such publication.
Application of federal moneys to expense of the audit and
disbursement thereof. Where a law of this state enacted or to be enacted
to supplement or aid in effecting the purposes of an act of congress
under which federal moneys are granted or allocated to this state or to
an agency thereof provides, in terms or effect, that the commissioner or
department of taxation and finance shall be the custodian and disbursing
agency of such moneys and that they shall be paid out on the audit and
warrant of the comptroller, and the cost of such additional service,
within an amount stated, is made a lawful charge against such moneys so
granted or allocated as part of the expense of administering such law
and act of congress, by authorized action of state or federal
authorities, the comptroller and such commissioner are hereby authorized
to accept and expend such moneys, within the amount so stated, for
employing any additional assistants and paying necessary expenses
required for the performance of such added duties. The director of the
budget shall allocate to the comptroller and the commissioner or
department of taxation and finance, respectively, the moneys, if any,
available for each; and so much thereof as may be used for additional
personal service shall be paid in accordance with schedules approved by
him.
Proofs required upon audit by the comptroller. 1. The
comptroller shall not draw his warrant for the payment of any sum
appropriated, except for salaries and other expenditures and
appropriations, the amounts of which are duly established and fixed by
law, until the person demanding the same presents to him a detailed
statement thereof in items and makes all reports required of him by law.
If such statement is for services rendered or articles furnished, it
must show when, where, to whom and under what authority they were
rendered or furnished; if for traveling expenses, the distance traveled,
between what places, the duty or business for the performance of which
the expenses were incurred, and the dates and items of each expenditure;
if for reimbursement of other necessary and incidental expenses, a bill
duly receipted must be attached to the statement. Each statement of
accounts must contain a certificate by or on behalf of the party
presenting the same to the effect that it is just, true and correct,
that no part thereof has been paid, except as stated therein, and that
the balance therein stated is actually due and owing. No payment shall
be made to any salaried state officer or commissioner having an office
established by law, for personal expenses incurred by him while in the
discharge of his duties as such officer or commissioner at the place
where such office is located. No manager, trustee or other officer of
any state charitable or other institution, receiving moneys from the
state treasury for the maintenance or support in whole or in part of
such institution, shall be interested in any purchase or sale by any of
such officers.
1-a. Notwithstanding the provisions of subdivision one of this section
the comptroller may authorize payment based on any invoice used in the
vendor's normal course of business without requiring certification.
2. The comptroller may fix for any state department, institution,
agency or any part thereof a per diem allowance in lieu of the
submission of an itemized travel expense claim.
3. The comptroller shall not draw his warrant for the payment of the
salary of any person except upon audit of a payroll, or other voucher,
therefor, approved by the department employing such person. Such
approval shall be in writing and signed by the head of such department
or by a person designated in writing by the head of such department to
act for him. Such designation shall be filed in the office of the
comptroller.
4. The comptroller shall not approve for payment any expenditure from
any fund except upon audit of such vouchers or other documents as are
necessary to insure that such payment is lawful and proper.
5. Notwithstanding the provisions of this or any other law, those
officers and employees of the state, other than those specified in
subdivision six of this section, who hold positions in the executive
branch for which there is in force on December thirty-first, nineteen
hundred eighty an appropriation which specifies an amount for a payment
in lieu of expenses, shall on and after January first, nineteen hundred
eighty-one not be eligible to receive such payment and shall instead
receive, and officers holding positions indicated in section one hundred
sixty-nine of the executive law shall receive, effective January first,
nineteen hundred eighty-five, a per diem allowance when in travel
status, in accordance with rules and regulations of the comptroller, of
seventy-five dollars or, effective April first, nineteen hundred
ninety-three, at the option of the officer or employee, reimbursement
for expenses incurred when in travel status, in accordance with rules
and regulations of the comptroller, in amounts which shall be equal to
the allowances provided to managerial or confidential employees under
procurement and disbursement guidelines of the comptroller, and shall
receive reimbursement for actual and necessary transportation expenses
when in travel status in accordance with rules and regulations of the
comptroller.
6. Notwithstanding the provisions of this or any other law, on and
after January first, nineteen hundred eighty-one, the heads of the
executive department, the department of law and the department of audit
and control and the lieutenant governor, upon certification to the
department of audit and control by such officer or his duly designated
representative that the amounts in lieu of expenses currently provided
or the currently provided payment in reimbursement of all necessary and
actual expenses incurred incidental to the performance of official
duties and obligations applicable on the effective date of this act have
been expended, shall receive reimbursement for actual, reasonable and
necessary expenses incurred incidental to the performance of official
duties and obligations for expenses in excess of such amounts in lieu of
expenses or such payments in reimbursement currently provided.
Reimbursement for such expenses provided by this subdivision in excess
of the amounts currently provided shall be obtained by submitting travel
or other expense claims to the comptroller, in accordance with rules and
regulations of the comptroller.
7. Notwithstanding the provisions of this or any other law, the heads
of the executive department, the department of law and the department of
audit and control and the lieutenant governor shall on and after January
first, nineteen hundred eighty-three, receive payment in reimbursement
for actual, reasonable and necessary expenses incurred incidental to the
performance of official duties and obligations. Such payment may be made
monthly in installments pursuant to a schedule approved by the director
of the budget; provided, however, that in no event shall the annual
amount of such payments exceed the amount of such expenses as certified
by such officer. Effective on that date payment in lieu of expenses
shall no longer be made.
8. The foregoing provisions of this section shall not be construed to
limit, in any manner, the right of the comptroller to demand such other
proofs as he shall deem necessary.
Alternative proofs authorized for audit by the comptroller.
1. Notwithstanding sections one hundred nine and one hundred ten of this
article, the comptroller may, by regulation, provide for a system
whereby state agencies, vendors and providers of services submit proofs
required for payment upon audit without the submission of vouchers or
invoices. Such proofs may be in the form of paperless vouchers,
electronic vouchers or in any other media form which the comptroller
reasonably determines offers the same degree of accountability and
control now provided by the provisions of sections one hundred nine and
one hundred ten of this article.
2. Prior to implementing any alternative method of proof for payment
upon audit described in subdivision one of this section, the comptroller
shall promulgate regulations in accordance with the state administrative
procedure act. In addition to those persons required to receive notice
pursuant to subdivision six-a of section two hundred two of the state
administrative procedure act, such notice and any amendments thereto
shall be provided to the chairman of the senate finance committee and
the chairman of the assembly ways and means committee.
3. The proofs described in this section shall constitute written
instruments, computer data or statements within the meaning of articles
one hundred fifty-six, one hundred seventy, one hundred seventy-five and
one hundred seventy-six of the penal law.
Certification or approval of accounts and vouchers. 1.
Certification or approval of the accounts or vouchers of a department,
or of a division, board, body, bureau, officer or employee in a
department, for personal service, maintenance, and operation, for
submission to the comptroller for audit, shall be made by the head of
the department, or by such authority or authorities in the department as
shall be designated by the head of the department by a rule or written
direction filed with the comptroller. The head of the department may
authorize one or more officers or employees in the department to make
such designations. Such authorization shall be in writing and shall be
effective upon approval by the comptroller and filing in his office.
2. For the purposes of this section, the heads of the commissions,
divisions and offices within the executive department shall be treated
as department heads.
Payment and refund of state moneys except upon audit by
comptroller prohibited. No moneys of the state, including moneys
collected in its behalf, and no moneys in the possession, custody or
control of any officer, agent, or agency of the state in his or its
representative capacity, and no moneys in or belonging to any fund or
depositary, title to which is vested in the state, shall hereafter be
paid, expended or refunded except upon audit by the comptroller. The
comptroller is hereby charged with the duty of compelling observance of
and compliance with the provisions of this section but any violation of
this section may be restrained upon the suit of any taxpayer with the
consent of the supreme court in appellate division on notice to the
attorney-general.
Accounting systems; approval of contracts. 1. The comptroller
shall prepare and prescribe a system of accounting and a form of
accounts to be installed and observed in every state department and in
every state institution, which shall be accepted and followed by them
respectively, after thirty days' notice thereof. Such forms shall
include such a uniform method of bookkeeping, filing and rendering
accounts as may insure a uniform statement of purchase of like articles,
whether by the pound, measure or otherwise, as the interests of the
public service may require, and a uniform method of reporting in such
institutions and departments, the amount and value of all produce and
other articles of maintenance raised upon the lands of the state, or
manufactured in such institution, and which may enter into the
maintenance of such institution or department. All purchases for the use
of any department, office or work of the state government, shall be for
cash. Each voucher, whether for a purchase or for services or other
charge shall be filled up at the time it is taken. Where payment is not
made directly by the department of taxation and finance, proof in some
proper form shall be furnished on oath that the voucher was so filled up
at the time it was taken, and that the money stated therein to have been
paid, was in fact paid in cash or by check or draft on some specified
bank.
1-a. The system of accounting prescribed by the comptroller pursuant
to the provisions of subdivision one of this section shall be subject to
such internal control as the comptroller deems necessary.
2. (a) (i) Before any contract: (1) made for or by any state agency,
department, board, officer, commission, or institution, except the
office of general services or its customer agencies serviced by the
office of general services business services center, shall be executed
or become effective, whenever such contract exceeds fifty thousand
dollars in amount, it shall first be approved by the office of the
comptroller and filed in his or her office; (2) made for or by the
office of general services, whether for itself or for its customer
agencies serviced by the office of general services business services
center, shall be executed or become effective, whenever such contract
exceeds eighty-five thousand dollars in amount, it shall first be
approved by the comptroller and filed in his or her office; or (3)
established as a centralized contract through the office of general
services shall be executed or become effective, whenever such contract
exceeds one hundred twenty-five thousand dollars in amount, it shall
first be approved by the comptroller and filed in his or her office;
provided, however, before any purchase order or other procurement
transaction issued under such centralized contract, which exceeds two
hundred thousand dollars in amount shall be executed or become
effective, it shall first be approved by the comptroller and filed in
his or her office. Provided, further, however, that with the exception
of contracts identified in subparagraph (ii) of this paragraph the
comptroller shall make a final written determination with respect to
approval of such contract within ninety days of the submission of such
contract to his or her office unless the comptroller shall notify, in
writing, the state agency, department, board, officer, commission, or
institution, prior to the expiration of the ninety day period, and for
good cause, of the need for an extension of not more than fifteen days,
or a reasonable period of time agreed to by such state agency,
department, board, officer, commission, or institution and provided,
further, that such written determination or extension shall be made part
of the procurement record pursuant to paragraph f of subdivision one of
section one hundred sixty-three of this chapter.
(ii) Before any contract established as a centralized contract through
the office of general services, as provided for in item three of
subparagraph (i) of this paragraph, or any contract made in accordance
with subdivision five, six or paragraph b of subdivision sixteen of
section three hundred fifty-five of the education law, section three
hundred seventy-three of the education law, section sixty-two hundred
eighteen of the education law, or section sixty-two hundred seventy-five
of the education law, shall be executed or become effective, such
contract shall first be approved by the comptroller and filed in his or
her office. Provided, however, that the comptroller shall make a final
written determination with respect to approval of such contract within
seventy-five days of the submission of such contract to his or her
office unless the comptroller shall notify, in writing, the state
agency, department, board, officer, commission, or institution, prior to
the expiration of the seventy-five day period, and for good cause, of
the need for an extension of not more than fifteen days, or a reasonable
period of time agreed to by such state agency, department, board,
officer, commission, or institution and provided, further, that such
written determination or extension shall be made part of the procurement
record pursuant to paragraph f of subdivision one of section one hundred
sixty-three of this chapter.
(b) Whenever any liability of any nature shall be incurred by or for
any state department, board, officer, commission, or institution, notice
that such liability has been incurred shall be immediately given in
writing to the state comptroller.
3. A contract or other instrument wherein the state or any of its
officers, agencies, boards or commissions agrees to give a consideration
other than the payment of money, when the value or reasonably estimated
value of such consideration exceeds twenty-five thousand dollars, shall
not become a valid enforceable contract unless such contract or other
instrument shall first be approved by the comptroller and filed in his
office.
4. The provisions of this section shall be controlling, any other
general, special or local law inconsistent therewith notwithstanding,
unless this section is expressly and specifically referred to in such
other general, special or local law; except that any agreement or
contract negotiated pursuant to article fourteen of the civil service
law, in accordance with article twenty-four of the executive law or
otherwise, shall not be subject to the requirements of this section or
chapter and shall become effective and binding in accordance with the
provisions of said article fourteen.
Itemized accounts of public officers. The proper officer of
each department, board, commission and institution, shall, on or before
the fifteenth day of each month, render to the comptroller a detailed
and itemized account of all receipts and expenditures of such
department, board, commission or institution during the month next
preceding. Such account shall give in detail the source of all receipts,
including the sums received from any county, and shall be accompanied by
original and proper vouchers, unless such vouchers have been previously
filed with the comptroller.
Inspection of supplies. The officer or employee designated by a
state agency to perform the duty of inspecting supplies shall receive
and examine all articles purchased or received for the operation and
maintenance thereof, compare them with the bills for the same, ascertain
whether they correspond in weight, quality or quantity, and inspect the
supplies thus received. Such officer or employee shall enter each bill
of goods thus received in the appropriate books of the agency at the
time of receipt thereof. He shall make a full memorandum in such books
of any difference in weight, quality or quantity of any article received
from the bill thereof. No goods or other articles of purchase or
manufacture or farm or garden production shall be received unless so
entered in such books with the proper bill, invoice or statement,
according to the form of accounts and record prescribed by the
comptroller. In accounts for repairs or new work, the name of each
workman, the number of days employed and the rate and amount of wages
paid to him shall be given.
Cash advance accounts. 1. The state comptroller may, upon the
request of the head of a state department or agency, authorize the
establishment of cash advance accounts for such department or agency, in
an amount he deems sufficient.
2. Cash advance accounts may be established when in the judgment of
the state comptroller an advance account is necessary and proper to
achieve the purposes of the appropriation from which the cash advance
account will be established.
3. When a cash advance account is established for the purpose of
purchasing materials, supplies or services, the account may be used to
purchase such materials, supplies or services where the amount of a
single purchase does not exceed two hundred fifty dollars, in accordance
with such rules as shall be prescribed by the comptroller. The
comptroller shall audit before payment all vouchers, together with the
supporting documents, presented to him for reimbursement to the account
and approve them in the amount allowed by him and draw his warrant in
the amount thereof.
4. The head of the department, office or agency may designate an
employee to be in charge of the cash advance account. Such designation
shall be filed with the comptroller. Any person authorized to handle the
account shall be bonded, either by an individual or blanket undertaking.
5. If, in the judgment of the comptroller, the cash advance account is
being used for purposes other than authorized in this section or
otherwise improperly operated, he shall direct the officer responsible
for such account to return the cash advanced to establish the account.
6. The comptroller at any time may require the officer responsible to
account for the moneys in the cash advance account.
Rendition of accounts. The comptroller, from time to time,
shall require all public officers and other persons receiving moneys or
securities, or having the care and management of any property of the
state, of which an account is or is required to be kept in his office,
to render statements thereof to him; and all such officers or persons
shall render such statements at such time and in such form as he
requires, and at all times when required by law. He may require any one
presenting to him an account or claim for audit or settlement, to be
examined upon oath before him touching such account or claim, as to any
facts relating to its justness or correctness. He may issue a notice to
any person receiving moneys of the state for which he does not account
or to the legal representatives of such a person, requiring an account
and vouchers for the expenditure of such moneys to be rendered at a time
to be fixed not less than thirty nor more than ninety days from the date
of the service of the notice. Such notice shall be served by delivering
a copy thereof to such person or representative or leaving such copy at
his usual place of abode; and if such service is made by the sheriff of
the county, where the person served resided, the certificate of such
sheriff, and if made by any other person, the affidavit of such other
person, shall be presumptive evidence of such service.
Statements of accounts not rendered. The comptroller shall
state an account against every person who receives moneys belonging to
the state for which he does not account when required, charging him with
the amount received according to the best information which the
comptroller may have in regard thereto, with interest at six per centum
per annum from the time when the same was due and payable, and shall
deliver a certified copy of such account to the attorney-general for
prosecution, and such certified copy shall be presumptive evidence of
the indebtedness of such person to the state for the amount stated
therein. The person against whom an action is brought by the
attorney-general on any such account, shall be liable for and pay the
costs of the action whether final judgment therein shall be against him
or in his favor, unless he is sued as the representative of the person
originally accountable for such moneys.
Statements of accounts rendered. The comptroller shall
immediately examine the accounts rendered by every public officer or
other person receiving moneys belonging to the state, with the vouchers,
and audit, adjust and make a statement thereof. If any necessary
vouchers are wanting or defective, he shall give notice to such person
to furnish proper vouchers within not less than thirty nor more than
ninety days, and at the expiration of such time he shall audit, adjust
and make a statement of such accounts on the vouchers and proofs before
him. He shall transmit a copy of every account as settled to such
persons, and if any balance is stated therein to be due the state, and
is not paid to the treasurer within ninety days after its transmission
to such person, the comptroller shall deliver a certified copy of such
account to the attorney-general for prosecution. Such certified copy
shall be presumptive evidence of the indebtedness of such person to the
state for the balance so certified, and if on the trial of any action
brought thereon, the defendant gives any evidence other than such as was
produced to the comptroller before the statement of such accounts, and
by means thereof, the balance so stated is reduced or no balance is
found to be due, the defendant shall be liable for and pay the costs of
such action.
Statement of joint accounts. The comptroller may, in his
discretion, settle separately the accounts of one or more persons
receiving moneys of the state for which they are accountable to the
state. In such case no person shall plead as a defense to an action
brought for a balance certified to be due from him, the non-joinder of
any other person, or give in evidence upon the trial thereof the fact
that any other person was concerned with him in the receipt or
expenditure of such moneys.
Other remedies preserved. This article does not preclude the
state from the enforcement of any other remedy, for the recovery of any
debt due or to become due to the state.
Payments to state treasurer; financial statements. 1.
Notwithstanding any other provision of law to the contrary, every state
officer, employee, department, institution, commission, board or other
agency of the state receiving money for or on behalf of the state from
fees, penalties, forfeitures, costs, fines, refunds, reimbursements,
sales of property or otherwise, shall on the first day of each month pay
into the state treasury all such moneys received from the first through
the fifteenth day of the preceding month and on the fifteenth day of
each month pay into the state treasury all such moneys received from the
sixteenth day through the last day of the preceding month accompanied by
a detailed, certified statement thereof and on the same days file a
duplicate of such detailed, certified statement with the comptroller,
who shall keep an account of such moneys in his office, unless the
comptroller shall require, with respect to any one or more officers,
employees, departments, institutions, commissions, boards, or other
agencies of the state, that such payments and statements be made and
filed at more frequent intervals, in which case such payments and
statements shall be made and filed as required by the comptroller.
2. There are excepted from payment to the treasury as provided by
subdivision one of this section: (i) all moneys to which the provisions
of subdivision four of section four of this chapter apply unless such
moneys are held in a fund subject to appropriation; (ii) moneys held as
part of the principal of an endowment of the state university of New
York, units thereof and other state agencies; and (iii) moneys received
pursuant to a clinical practice plan established pursuant to subdivision
fourteen of section two hundred six of the public health law. In those
cases where such moneys are held in the custody of the state officer
other than the comptroller, the officer shall file with the comptroller,
at such times as the comptroller shall determine, a detailed statement,
in such form and content as the comptroller shall prescribe, for the
period covered by the statement. The comptroller shall from time to
time, but not less than once in every three years, examine the books and
accounts relating to such moneys heretofore or hereinafter established,
including its receipts, disbursements, investments, and any financial
matters. An independent audit of such moneys may be authorized by the
comptroller in lieu of his own examination, which examination shall be
undertaken within twelve months of such authorization.
3. The clerk of every court of record, the judge, magistrate or other
judicial officer of every court not of record or court of special
sessions, except the justice of the peace of a town or the police
justice of a village, receiving money for or on behalf of the state from
fines, penalties, forfeitures or otherwise, to which the state or any
officer, department, commission, board or other agency thereof is
entitled to all or any part of the proceeds, shall, between the first
and fifteenth days of each month, file with the comptroller a detailed
statement of the receipts and expenditures thereof for the preceding
month, or at such other times and for such other periods as the
comptroller may designate or prescribe.
3-a. On or before the twentieth day of October in each year commencing
with the twentieth of October, two thousand three, the comptroller shall
determine the difference between: (a) the aggregate receipts derived by
the state from mandatory surcharges collected by an administrative
tribunal or a town or village justice court pursuant to section eighteen
hundred nine of the vehicle and traffic law during the preceding year
ending September thirtieth, and (b) the aggregate receipts derived by
the state from such mandatory surcharge collected by an administrative
tribunal or a town or a village justice court in accordance with the
provisions of section eighteen hundred nine of the vehicle and traffic
law in effect immediately prior to April first, two thousand three
during the preceding year ending September thirtieth. Such difference
shall be thereupon transferred by the comptroller to the credit of the
indigent legal services fund established by section ninety-eight-b of
this chapter.
4. This section, as amended, shall be deemed to supersede any other
provision of this chapter or of any other general or special law
inconsistent therewith.
5. Notwithstanding any other provision of law to the contrary, before
depositing any revenues subject to this section in the treasury, all
state agencies shall reserve from such revenues an amount to be
determined by the comptroller which shall be used for the payment of
refunds. The money so reserved shall be paid to the comptroller who
shall deposit such money daily to his credit in accounts with such
responsible banks, banking houses or trust companies as he may
designate. Such accounts may be established in one or more of such
depositories. The comptroller shall require adequate security from all
such depositories. The comptroller shall maintain a system of account
showing the money deposited in each of the accounts established under
this subdivision. Refunds shall be paid from moneys in these accounts
pursuant to the provisions of subdivision fifteen of section eight of
this chapter.
6. Notwithstanding any other provision of law to the contrary, the
taxes, interest and penalties collected or received by the commissioner
of taxation and finance under sections four hundred seventy-one and four
hundred seventy-one-a of the tax law, and the revenue (including taxes,
interest and penalties) from the imposition of cigarette taxes by a
local government paid to the comptroller of the state of New York by
such local government, which are required to be deposited to the credit
of the tobacco control and insurance initiatives pool established by
section twenty-eight hundred seven-v of the public health law and moneys
received in the tobacco settlement fund established by section
ninety-two-x of this chapter shall be exempt from the provisions of this
section.
7. Notwithstanding any other provision of law to the contrary, moneys
received in the universal prekindergarten reserve fund established by
section ninety-seven-vvv of this chapter shall be exempt from the
provisions of this section.
Transmission of public moneys. The comptroller may make such
regulations and give such directions from time to time, respecting the
transmission to the treasury of moneys belonging to the state from the
several county treasurers and other public officers as in his judgment
is most conducive to the interests of the state. He may, in his
discretion, audit, allow and cause to be paid the expenses necessarily
incurred under or in consequence of such regulations and directions or
so much thereof as he deems equitable and just.
Independent audit of annual financial statements. 1. The
chairmen and ranking minority members of the senate finance committee
and the assembly ways and means committee, in order to ensure that the
provisions of this section and paragraph b of subdivision nine of
section eight of this chapter are complied with, shall function as an
audit committee for the purposes of receiving the results of each
independent audit prepared pursuant to section eight of this chapter.
2. The comptroller, the director of the budget, the state treasurer,
the commissioner of taxation and finance, and any other state officer or
employee shall make available upon request to such independent certified
public accountant all books and records relevant to such independent
audit.
3. The cost of the audit shall be paid out of amounts appropriated for
such purpose.
4. The scope of any audit performed pursuant to this section shall be
an audit of all of the basic financial statements and all of the
supporting schedules required by generally accepted accounting
principles to be included in a comprehensive annual financial report.
5. Each member of the audit committee shall be entitled to designate a
representative to attend meetings of such committee in his place, and to
vote or otherwise act on his behalf in his absence. Notice of such
designation shall be furnished in writing to such committee by the
designating member. A representative shall serve at the pleasure of the
designating member during the member's term of office. A representative
shall not be authorized to delegate any of his duties or functions to
any other person.
ARTICLE 7-A Citizen-taxpayer Actions
Legislative purpose. It is the purpose of the legislature to
recognize that each individual citizen and taxpayer of the state has an
interest in the proper disposition of all state funds and properties.
Whenever this interest is or may be threatened by an illegal or
unconstitutional act of a state officer or employee, the need for relief
is so urgent that any citizen-taxpayer should have and hereafter does
have a right to seek the remedies provided for herein.
Definitions. 1. Citizen. A "citizen" is any person who is a
resident of the state.
2. Taxpayer. A "taxpayer" is any citizen who has paid or is paying
state income or state sales taxes.
3. Person. A "person" is any individual, public or private
corporation, political subdivision, department or agency of the state or
any local government, the attorney general, an association, or any other
legal entity whatsoever.
Action for declaratory and equitable relief. 1.
Notwithstanding any inconsistent provision of law, any person, who is a
citizen taxpayer, whether or not such person is or may be affected or
specially aggrieved by the activity herein referred to, may maintain an
action for equitable or declaratory relief, or both, against an officer
or employee of the state who in the course of his or her duties has
caused, is now causing, or is about to cause a wrongful expenditure,
misappropriation, misapplication, or any other illegal or
unconstitutional disbursement of state funds or state property, except
that the provisions of this subdivision shall not apply to the
authorization, sale, execution or delivery of a bond issue or notes
issued in anticipation thereof by the state or any agency,
instrumentality or subdivision thereof or by any public corporation or
public benefit corporation.
2. A plaintiff in such an action may join as a party defendant the
recipient or intended recipient of such a wrongful expenditure,
misappropriation, misapplication, or any other illegal or
unconstitutional disbursement of state funds or state property.
Pleadings and procedure. 1. An action pursuant to this
article shall be brought in the supreme court in any county wherein the
disbursement has occurred, is likely to occur, or is occurring, or in
the county in which the state officer or employee has his or her
principal office.
2. The complaint in such action shall be either verified or supported
by affidavits.
3. Where the plaintiff in such action is a person other than the
attorney general, a copy of the summons and complaint shall be served
upon the attorney general.
4. An action under the provisions of this article shall be heard upon
such notice to such officer or employee as the court, justice or judge
shall direct, and shall be promptly determined. The action shall have
preference over all other causes in all courts.
Security for costs. At any stage of the action, upon motion
by the defendant, or upon its own initiative, the court may order the
plaintiff to give an undertaking for costs and taxable disbursements not
to exceed the sum of twenty-five hundred dollars. If plaintiff shall not
have given such undertaking at the expiration of sixty days from the
date of service of the order upon him or her, the court may, upon motion
of the defendant, dismiss the action and award costs to the defendant.
This section shall not apply to any action commenced by the attorney
general in the name of and on behalf of the people of the state.
Relief by the court. 1. The court may grant equitable or
declaratory relief, or both, including, but not limited to: enjoining
the activity complained of; restitution to the state of those public
funds disbursed or public property alienated; in the case of public
property wrongfully alienated, compelling payment of the full market
value; a declaration that a proposed disbursement or alienation of
property would be illegal; and such other and further relief as to the
court may seem just and proper.
2. The court, at the commencement of an action pursuant to this
article, or at any time subsequent thereto and prior to entry of
judgment, upon application by the plaintiff or the attorney general on
behalf of the people of the state, may grant a preliminary injunction
and impose such terms and conditions as may be necessary to restrain the
defendant if he or she threatens to commit or is committing an act or
acts which, if committed or continued during the pendency of the action,
would be detrimental to the public interest. A temporary restraining
order may be granted pending a hearing for a preliminary injunction
notwithstanding the requirements of section six thousand three hundred
thirteen of the civil practice law and rules, where it appears that
immediate and irreparable injury, loss, or damage will result unless the
defendant is restrained before a hearing can be had.
Termination of action. No action brought pursuant to this
article shall be compromised, discontinued or dismissed by consent,
default, or neglect to prosecute, except with approval of the court.
Costs and fees. 1. The court shall have the authority to fix
a reasonable sum to reimburse the plaintiff for costs and expenses,
including attorney fees in an action wherein judgment was rendered for
the plaintiff. Such attorney fees shall only be paid from the fund
established under section one hundred twenty-three-h of this article to
the extent of money available therein.
2. No intervenors, unless they are necessary parties, shall be awarded
attorney fees.
Existing rights and remedies preserved. Nothing in this
article shall abridge or alter rights of actions or remedies now or
hereafter existing.
Separability. If any provision of this article is held
invalid, such invalidity shall not affect other provisions which can be
given effect without the invalid provision.
ARTICLE 8 Fiscal Supervision of Certain Institutions
Fiscal supervision of certain institutions. Notwithstanding any
other provision of law relative to the supervision and control by
departments of any of the institutions under the jurisdiction and
control of the office of temporary and disability assistance, the
department of health, the department of mental hygiene and the
department of corrections and community supervision on the first day of
January, nineteen hundred thirty-nine and of any institution which shall
hereafter be under the jurisdiction of such departments, such department
shall have the powers and duties prescribed by this article with respect
to such institution. This section shall not impair or affect the powers
of the commissioner of general services under the provisions of article
eleven of this chapter with respect to estimates made pursuant to this
section so far as they constitute a requisition for material, equipment
or supplies.
Construction and repair of buildings of institutions reporting
to the departments having jurisdiction. As used in this section, the
term "departments having jurisdiction" shall be deemed to mean the
departments referred to in section one hundred twenty-five of this act,
except that with respect to construction, acquisition, reconstruction,
rehabilitation or improvement work at any state institution or facility
under the professional jurisdiction, supervision and control of the
department of mental hygiene, it shall not be deemed to mean the
department of mental hygiene unless such work is let by the commissioner
of general services as agent for the health and mental hygiene
facilities improvement corporation pursuant to an agreement with the
trustees of said corporation, as authorized by the health and mental
hygiene facilities improvement act.
1. All plans and specifications for the construction, alteration,
repair and improvement of buildings for institutions reporting to the
departments shall be prepared by the office of general services. The
departments having jurisdiction shall adopt or reject any such plans or
specifications, and no such work shall be begun until the plans and
specifications therefor have been adopted, but before the adoption
thereof, the departments having jurisdiction shall submit the same to
the board of visitors of the institution, if any, in case such board of
visitors is authorized by law to review such plans and specifications,
and shall allow such board a period of not more than thirty days in
which to submit a statement of their opinions and suggestions in regard
thereto.
2. Contracts for such work of construction, alteration, repair or
improvement may be let by the department having jurisdiction, or at the
request of such department by the commissioner of general services, but
in any event such letting shall be in accordance with the procedure set
forth in section eight of the public buildings law, with the approval of
the comptroller for the whole or any part of the work to be performed,
and, in its discretion, such contracts may be sublet. Special orders for
such work may be issued upon authorization by the department having
jurisdiction pursuant to section twenty of the public buildings law.
Copies of all such contracts and special orders shall be filed with the
department having jurisdiction, with the comptroller and with the board
of visitors, if any. All such contracts and special orders for the
construction, alteration, repair or improvement of buildings or plants
of such institutions shall contain a clause that the contract shall only
be deemed executory to the extent of the moneys available, and no
liability shall be incurred by the state beyond the moneys available for
the purpose. Except as provided in section twenty of the public
buildings law, all contracts in an amount greater than five thousand
dollars shall have the performance thereof secured by sufficient bond or
bonds, together with a bond or bonds for the payment of labor and
material as authorized by section one hundred thirty-seven of this
chapter, to be approved by the comptroller and filed in his office and
with the department having jurisdiction or the commissioner of general
services, as the case may be. No work done by special orders in an
amount less than twenty thousand dollars need have a bond. No work shall
be done by special order unless the commissioner has presented to the
comptroller evidence that he has made a diligent effort to obtain
competition sufficient to protect the interests of the state prior to
selecting the contractor to perform the work. In all cases in which
contracts to be let are for the purpose of connecting any such
institution with the system or line or lines maintained or operated by
any public service corporation or repairing or improving any such
connection, such public service corporation shall not be required to
give a certified check upon submitting its proposal as hereinbefore
provided nor to give any bond, nor shall any advertising for proposals
be necessary where the public service corporation is to perform the
work.
3. The work of construction, alteration, repair or improvement of
buildings or plant of any such state institution may be done by the
employment of incarcerated individual or outside labor, either or both,
and by purchase of materials in the open market whenever, in the opinion
of the comptroller, the department having jurisdiction and the
commissioner of general services, or an authorized representative of his
department, such course shall be more advantageous to the state. No
compensation shall be allowed for the employment of incarcerated
individual labor except convict labor.
4. Where money is appropriated for any specific purpose other than for
maintenance, and the work, materials, furniture, apparatus or other
supplies are not to be performed or purchased pursuant to conrtact or
special order duly made therefor, such money shall be expended pursuant
to special fund estimates made to the department having jurisdiction by
the superintendent of the institution for which such appropriation is
made. The provisions of this chapter relating to the estimates of the
expense required for such institutions shall apply to such estimates;
and when such work is to be performed in accordance with plans and
specifications prepared by the office of general services, or is to be
paid for from appropriations for the construction, alteration, repair or
improvement of buildings or plants, such estimates shall also be subject
to the approval of the office of general services. Except as above
specified all such work shall be done by contract or special order. The
form of the contract or special order shall be prescribed by the
commissioner of general services.
5. All payments on contracts and special orders, other than contracts
and special orders made on the approval of the office of general
services and special fund estimates, shall be made by the comptroller
after audit, on the voucher of the commissioner of general services as
the work progresses or the purchase of material is made. All payments on
contracts, as the work progresses, shall be made by the comptroller
after audit upon the certificate of the office of general services
accompanied by the voucher of the contractor to whom the money is due.
All final payments on contracts and special orders shall be made by the
comptroller after audit upon the certificate of the office of general
services with the approval of the department having jurisdiction.
6. No item of an appropriation made for the performance of such work
shall be available, except for advertising, unless one or more
contracts, special orders or special fund estimates shall first have
been made for completion of such work within the appropriation therefor.
Each original bid with an abstract thereof, shall accompany the copy of
the contract or special order which is to be filed with the comptroller.
Energy conservation in state-aided programs. 1. As used in
this section:
(a) "annual pro-rated project cost" shall mean the amount of
reimbursement per year which is sufficient to reimburse an eligible
facility, in accordance with its state aid rate, for the cost of an
energy conservation project by the final year of the payback period for
such project.
(b) "eligible facility" shall mean a facility, other than a hospital
or a residential health care facility as defined in article twenty-eight
of the public health law, which has a current operating certificate from
a state agency and which receives full or partial state reimbursement
for energy costs.
(c) "energy conservation measure" shall mean any construction,
alteration, repair or improvement of the capital assets of an eligible
facility for the purpose of reducing the consumption of energy, but
shall not include operating and maintenance measures.
(d) "energy conservation project" shall mean one or more energy
conservation measures selected for implementation by an eligible
facility.
(e) "operating and maintenance measures" shall mean cost-free or
low-cost procedures, or improvements or repairs to an eligible facility,
which are intended to reduce energy consumption and which do not impose
any costs on an eligible facility which are not reimbursable as
operating costs of the facility.
(f) "payback period" shall mean an estimated period of time, within
which the costs of an energy conservation measure or project will be
recovered from the savings generated by the reduced energy consumption
resulting therefrom.
(g) "state aid rate" shall mean the percentage of an eligible
facility's energy costs which are reimbursed by the state.
2. Notwithstanding any other provision of law, an eligible facility
shall be reimbursed for the costs of implementing energy conservation
projects in accordance with the provisions of this section.
3. (a) Prior to implementing any energy conservation project for which
reimbursement is sought pursuant to this section, an eligible facility
shall obtain an analysis of its energy usage and available opportunities
for energy conservation. Such analysis shall be conducted by an
architect or engineer licensed by the state of New York who has no
financial interest in the facility or in the production, promotion or
sale of any energy resource or any energy conservation product or
device.
(b) The required analysis shall be prepared after an on-site
examination of the facility by the architect or engineer. The analysis
shall include recommendations for energy conservation measures and
operating and maintenance measures appropriate for the facility, and
estimated payback periods for each recommended energy conservation
measure. For the purposes of this section, payback period calculations
shall take into account implementation of all recommended operating and
maintenance measures, shall be based on current energy prices, without
any adjustment for anticipated changes in such prices, and shall be
based on the average annual energy usage of the facility. The average
annual energy usage shall be based on the energy usage for the preceding
three years, provided, however, that if the facility has not been in
operation for the preceding three years, or if changes in the capacity
or usage of the facility in the preceding three years have substantially
altered the energy usage of the facility, the architect or engineer
shall make and document reasonable assumptions concerning the average
annual energy usage of the facility.
(c) The architect or engineer shall prepare a final report presenting
a single payback period for the energy conservation project for which
reimbursement is sought. The payback period shall be computed as
provided in paragraph (b) of this subdivision, and shall take into
account the interaction between conservation measures. The cost of such
project shall include:
(1) the actual costs of all energy conservation measures selected for
implementation by the eligible facility from among those recommended by
the architect or engineer;
(2) the fee, if any, charged by the architect or engineer; and
(3) if the facility intends to finance any energy conservation
measures by loan or other financing arrangement, the cost of securing
such loan or other financing arrangement, provided that no costs shall
be included in the cost of the project which are attributable to:
(i) a financing rate in excess of three percentage points above the
overpayment rate set by the commissioner of taxation and finance
pursuant to section one thousand ninety-six of the tax law; or
(ii) any term of a loan or financing arrangement which exceeds by more
than one year the payback period for the energy conservation project
being financed.
4. (a) In addition to any information which is ordinarily required for
purposes of reimbursement, an application for reimbursement pursuant to
this section shall include the analysis and final report of the
architect or engineer, along with any supporting documentation which the
agency may require to review such analysis and report, and a
certification by the facility director that all operating and
maintenance measures recommended by the architect or engineer have been
and will continue to be implemented, or that the failure to implement
any specific operating and maintenance measure will be justified to the
satisfaction of the agency.
(b) An eligible facility which complies with the provisions of this
section shall be reimbursed for not less than the annual pro-rated
project cost for an energy conservation project; provided, however, that
reimbursement in the final year of the payback period for an energy
conservation project may be in such lesser amount as is required to
fully reimburse an eligible facility for the cost of such project. Such
reimbursement may be made in such form and at such time as an agency may
require, in conformance with applicable law and regulations but not less
frequently than once annually.
(c) Notwithstanding any provision of this section, no reimbursement
shall be made to an eligible facility for any part of a payback period
in excess of ten years.
(d) An eligible facility which has received an approval for
reimbursement of a final report prepared pursuant to this section shall
not apply for any further energy conservation measures, not recommended
in such final report, for a period of two years from the date of such
approval.
5. (a) Notwithstanding the provisions of this section, an agency shall
only be required to reimburse eligible facilities for energy
conservation projects pursuant to this section to the extent that the
total amount of such reimbursement in any year, when combined with the
total amount of energy costs actually reimbursed in such year, does not
exceed the total amount budgeted for energy costs in such year;
provided, however, that nothing in this subdivision shall be construed
to preclude an agency from reimbursing energy conservation projects from
any funds, not originally budgeted for energy costs, which are made
available for such purpose, or from approving with a facility's consent
energy conservation projects, for which funds for reimbursement are not
immediately available, for the purpose of assigning priority to
reimbursement of such projects when funds become available.
6. All state agencies which reimburse eligible facilities for energy
costs shall encourage all such facilities to implement measures to
reduce energy consumption, and may make available information on energy
conservation. A state agency may provide each eligible facility under
its jurisdiction with a list of appropriate operating and maintenance
measures, and may require each such facility to certify that it will
implement appropriate operating and maintenance measures.
Disposition of unclaimed personal property. 1. Any personal
property, and any interest or increments accruing thereon, belonging or
credited to a person in any institution under the jurisdiction of the
office of children and family services, the department of health, the
department of mental hygiene, the executive department, or the
department of corrections and community supervision who shall have been
discharged from such institution or who shall have died or escaped
before discharge or before termination of sentence, which is in the
custody of the proper officer of such institution, shall, if unclaimed
by such discharged or escaped person or by the legal representative of
such deceased person for a period of six months after the discharge,
decease or escape of such person, be fully inventoried and a copy of
such inventory shall be filed with the commissioner of such department
having jurisdiction over such institution and with the state
comptroller.
2. Any such personal property consisting of money or intangible
property shall be paid or delivered forthwith, by such officer, to the
state comptroller pursuant to the provisions of section thirteen hundred
four of the abandoned property law.
3. Such commissioner shall cause any such property consisting of
tangible personal property, other than money, except such property as
such commissioner may determine to be valueless or of such little value
that the probable proceeds of a sale thereof would be less than the cost
of such sale, which property may be ordered destroyed by such
commissioner, to be sold at public or private sale as determined by such
commissioner, and the proceeds from such sale, less the expenses of such
sale, including the costs of any advertising, shall be paid to the state
comptroller pursuant to the provisions of section thirteen hundred four
of the abandoned property law.
ARTICLE 9 Contracts
Separate specifications for contract work for the state. Except
as otherwise provided in section two hundred twenty-two of the labor
law, every officer, board, department, commission or commissions,
charged with the duty of preparing specifications or awarding or
entering into contracts for the erection, construction or alteration of
buildings, for the state, when the entire cost of such work shall exceed
three million dollars in the counties of the Bronx, Kings, New York,
Queens, and Richmond; one million five hundred thousand dollars in the
counties of Nassau, Suffolk and Westchester; and five hundred thousand
dollars in all other counties within the state, must have prepared
separate specifications for each of the following three subdivisions of
the work to be performed:
1. Plumbing and gas fitting.
2. Steam heating, hot water heating, ventilating and air conditioning
apparatus.
3. Electric wiring and standard illuminating fixtures.
Such specifications must be so drawn as to permit separate and
independent bidding upon each of the above three subdivisions of work.
All contracts hereafter awarded by the state or a department, board,
commissioner or officer thereof, for the erection, construction or
alteration of buildings, or any part thereof, shall award the three
subdivisions of the above specified work separately to responsible and
reliable persons, firms or corporations engaged in these classes of
work. A contract for one or more buildings in any project shall be
awarded to the lowest responsible bidder for all the buildings included
in the specifications.
Each bidder on a public work contract, where the preparation of
separate specifications is not required, shall submit with its bid a
separate sealed list that names each subcontractor that the bidder will
use to perform work on the contract, and the agreed-upon amount to be
paid to each, for: (a) plumbing and gas fitting, (b) steam heating, hot
water heating, ventilating and air conditioning apparatus and (c)
electric wiring and standard illuminating fixtures. After the low bid is
announced, the sealed list of subcontractors submitted with such low bid
shall be opened and the names of such subcontractors shall be announced,
and thereafter any change of subcontractor or agreed-upon amount to be
paid to each shall require the approval of the public owner, upon a
showing presented to the public owner of legitimate construction need
for such change, which shall be open to public inspection. Legitimate
construction need shall include, but not be limited to, a change in
project specifications, a change in construction material costs, a
change to subcontractor status as determined pursuant to paragraph (e)
of subdivision two of section two hundred twenty-two of the labor law,
or the subcontractor has become otherwise unwilling, unable or
unavailable to perform the subcontract. The sealed lists of
subcontractors submitted by all other bidders shall be returned to them
unopened after the contract award.
Nothing in this section shall be construed to prevent the authorities
in charge of any state building, from performing any such branches of
work by or through their regular employees, or in the case of public
institutions, by the incarcerated individuals thereof.
Definitions. As used in this chapter, unless otherwise
indicated, the term "small business concern" shall mean a business which
is resident in this state, independently owned and operated, not
dominant in its field and employs one hundred or less persons.
Contracts in pursuance of appropriations. A contract or
contracts made in pursuance of an appropriation by the state for a
specific object shall be for the completion of the work contemplated by
the appropriation, and in the aggregate shall not exceed the amount of
such appropriation. A contract for a part of such work shall not be
binding upon the state until contracts are also made covering the entire
work contemplated by such appropriation, except that, (a) upon
certification by the agency having jurisdiction to the state comptroller
that sufficient appropriations remain for completion of the entire work
contemplated, preliminary work such as site preparation and
infrastructure work may be commenced for a project where the timeliness
thereof is of the essence and the director of the budget certifies to
such need and to the availability of appropriations, and except (b)
where it is expressly provided by such appropriation that a part of the
work may be done by day's labor. Except as provided in section
thirty-eight of the highway law, every such contract shall be
accompanied by a bond for the completion of the work, specified in the
contract, within the amount stipulated therein, which bond shall be
filed in the office of the state comptroller.
Contracts for architectural, engineering, geological,
landscape architecture and surveying services. 1. As used in this
section: the term "professional firm" shall be defined as any individual
or sole proprietorship, partnership, corporation, association or other
legal entity permitted by law to practice the professions of
architecture, engineering, geology, landscape architecture or surveying.
The term "state department" shall be defined as those state government
departments, divisions or commissions empowered by the state to enter
into contractual agreements on behalf of the state of New York.
2. It is the policy of New York state to negotiate contracts for
architectural and/or engineering services and/or geological and/or
landscape architecture and/or surveying services on the basis of
demonstrated competence and qualification for the type of professional
services required and at fair and reasonable fees.
3. In the procurement of architectural, engineering, geological,
landscape architecture and surveying services, the requiring state
department shall encourage professional firms engaged in the lawful
practice of the profession to submit an annual statement of
qualifications and performance data. The requiring state department for
each proposed project shall evaluate current statements of
qualifications and performance data on file with the department. If
desired, the requiring state department may conduct discussions with
three or more professional firms regarding anticipated design concepts
and proposed methods of approach to the assignment. The state department
shall select, in order of preference, based upon criteria established by
the requiring state department, no less than three professional firms
deemed to be the most highly qualified to provide the services required.
4. The requiring state department shall negotiate a contract with the
highest qualified professional firm for architectural and/or engineering
services and/or geological service and/or landscape architecture and/or
surveying services at compensation which the department determines in
writing to be fair and reasonable to the state of New York. In making
this decision, the department shall take into account the estimated
value of the services to be rendered, including the costs, the scope,
complexity, and professional nature thereof. The department shall not
refuse to negotiate with a professional firm solely because the ratio of
the "allowable indirect costs" to direct labor costs of the professional
firm or the hourly labor rate in any labor category of the professional
firm exceeds a limitation generally set by the department in the
determination of the reasonableness of the estimated cost of services to
be rendered by the professional firm, but rather the department should
also consider the reasonableness of cost based on the total estimated
cost of the service of the professional firm which should include, among
other things, all the direct labor costs of the professional firm for
such services plus all "allowable indirect costs," other direct costs,
and negotiated profit of the professional firm. "Allowable indirect
costs" of a professional firm are defined as those costs generally
associated with overhead which cannot be specifically identified with a
single project or contract and are considered reasonable and allowable
under specific state contract or allowability limits. Should the
requiring state department be unable to negotiate a satisfactory
contract with the professional firm considered to be the most qualified,
at a fee the department determines to be fair and reasonable to the
state of New York, negotiations with that professional firm shall be
formally terminated. The requiring state department shall then undertake
negotiations with the second most qualified professional firm. Failing
accord with the second most qualified professional firm, the department
shall formally terminate negotiations. The requiring state department
shall then undertake negotiations with the third most qualified
professional firm. Should the requiring state department be unable to
negotiate a satisfactory contract with any of the selected professional
firms, it shall select additional professional firms in order of their
competence and qualification and it shall continue negotiations in
accordance with this section until an agreement is reached.
5. This legislation shall only apply to engineering and/or
architectural services and/or geological and/or landscape architecture
and/or surveying services in excess of twenty-five thousand dollars.
* § 136-b. Selection of underwriters by state agencies. Whenever a
state agency, as defined in article fifteen-A of the executive law,
sells its bonds, notes or other securities at a private sale, in
selecting one or more underwriters to purchase such securities the state
agency shall consider, among other things, the participation of firms
certified pursuant to such article as minority or women-owned firms and
the ability of other firms under consideration to work with minority and
women-owned business enterprises so as to promote and assist
participation by such enterprises.
* NB Repealed July 1, 2028
Contracts for employee training and organizational
development services. The director of employee relations is hereby
authorized to enter into contracts for use by all state departments and
agencies for services to support employee training and organizational
development initiatives. Pursuant to procedures developed by the
director of employee relations in consultation with the state
comptroller, agencies shall be permitted to access such contracts
directly in a manner similar to that used for centralized commodity
contracts let by the commissioner of general services pursuant to
section one hundred sixty-three of the state finance law. Nothing
contained herein shall preclude the director of employee relations from
adherence to New York state bidding requirements or any other law, rule
or regulation governing the purchase of consultant services. Further,
nothing contained herein shall restrict or preclude state departments or
agencies from procuring such training and organizational development
services directly without consideration of contracts let by the director
of employee relations.
* § 136-d. Contracts involving industrial painting and industrial
coatings. 1. Any state agency contract for the application of industrial
painting or industrial coating shall include provisions regarding
contractor, subcontractor and worker certification as follows:
a. Contractors and subcontractors doing work involving industrial
painting and industrial coating shall certify that all work completed
meets the minimum standards established under this section by the office
of general services regarding industrial painting and industrial
coating.
b. Contractors and subcontractors doing work involving industrial
painting and industrial coating that require the disturbance of
lead-based paint or other hazardous materials shall certify that all
work conducted on the project meets the minimum standards established
under this section by the office of general services.
2. Any certifications required by this section shall be kept current
for the duration of the contract.
3. The office of general services shall establish guidelines
concerning the procurement of industrial paints and industrial coatings
as well as the qualifications required for the application of industrial
paints and industrial coatings by contractors and subcontractors
pursuant to section one hundred sixty-three of this chapter. Such
guidelines shall implement a certification process with minimum
standards for contractors and subcontractors to file with the
contracting agency upon completion of a project. When establishing
guidelines related to industrial paints and industrial coatings, the
office shall consider industry standards set forth by the Association
for Materials Protection and Performance (AMPP) or other similar
associations that set industry standards for protective coatings and
shall consult with affected contractors and subcontractors to consider
environmental impact as well as the impact on public health and safety.
The office of general services shall establish contractor and
subcontractor requirements for employees working on industrial painting
and industrial coating projects including, but not limited to, requiring
specific trainings or certifications for individual employees.
4. As used in this section, the term "state agency" shall mean the
same as defined in section one hundred sixty of this chapter.
* NB There are 2 § 136-d's
Bond to secure payment of certain claims arising from a public
improvement; enforcement. 1. In addition to other bond or bonds, if any,
required by law for the completion of a work specified in a contract for
the prosecution of a public improvement for the state of New York a
municipal corporation, a public benefit corporation or a commission
appointed pursuant to law, or in the absence of any such requirement,
the comptroller may or the other appropriate official, respectively,
shall nevertheless require prior to the approval of any such contract a
bond guaranteeing prompt payment of moneys due to all persons furnishing
labor or materials to the contractor or any subcontractors in the
prosecution of the work provided for in such contract. Whenever a
municipal corporation issues a permit subject to compliance with section
two hundred twenty of the labor law, such permittee or its contractor or
subcontractors furnishing workers shall post a payment bond subject to
this section. Provided, however, that all performance bonds and payment
bonds may, at the discretion of the head of the state agency, public
benefit corporation or commission, or his or her designee, be dispensed
with for the completion of a work specified in a contract for the
prosecution of a public improvement for the state of New York for which
bids are solicited where the aggregate amount of the contract is under
one hundred thousand dollars and provided further, that in a case where
the contract is not subject to the multiple contract award requirements
of section one hundred thirty-five of this article, such requirements
may be dispensed with where the head of the state agency, public benefit
corporation or commission finds it to be in the public interest and
where the aggregate amount of the contract awarded or to be awarded is
less than two hundred thousand dollars. Provided further, that in a case
where a performance or payment bond is dispensed with, twenty per centum
may be retained from each progress payment or estimate until the entire
contract work has been completed and accepted, at which time the head of
the state agency, public benefit corporation or commission shall,
pending the payment of the final estimate, pay not to exceed
seventy-five per centum of the amount of the retained percentage.
2. A copy of such payment bond shall be kept in the office of the head
of the department or bureau having charge of the public improvement in
connection with which the bond was given and a copy shall also be kept
in the office of the comptroller or other appropriate official; such
copies shall be open to public inspection.
3. Every person who has furnished labor or material, to the contractor
or to a subcontractor of the contractor, in the prosecution of the work
provided for in the contract and who has not been paid in full therefor
before the expiration of a period of ninety days after the day on which
the last of the labor was performed or material was furnished by him for
which the claim is made, shall have the right to sue on such payment
bond in his own name for the amount, or the balance thereof, unpaid at
the time of commencement of the action; provided, however, that a person
having a direct contractual relationship with a subcontractor of the
contractor furnishing the payment bond but no contractual relationship
express or implied with such contractor shall not have a right of action
upon the bond unless he shall have given written notice to such
contractor within one hundred twenty days from the date on which the
last of the labor was performed or the last of the material was
furnished, for which his claim is made, stating with substantial
accuracy the amount claimed and the name of the party to whom the
material was furnished or for whom the labor was performed. The notice
shall be served by delivering the same personally to the contractor or
by mailing the same by registered mail, postage prepaid, in an envelope
addressed to the contractor at any place where he maintains an office or
conducts his business or at his residence; provided, however, that where
such notice is actually received by the contractor by other means, such
notice shall be deemed sufficient.
4. (a) A payment bond required pursuant to this section may provide
that the place of trial of an action on the bond shall be in the county
in which the contract of the contractor who furnished the bond was to be
performed or if such contract was to be performed in more than one
county, then in any such county, and not elsewhere.
(b) Except as provided in section two hundred twenty-g of the labor
law, no action on a payment bond furnished pursuant to this section
shall be commenced after the expiration of one year from the date on
which the public improvement has been completed and accepted by the
public owner.
(c) In any action on a payment bond furnished pursuant to this
section, any judgment in favor of a subcontractor or material supplier
may include provision for the payment of interest upon the amount
recovered from the date when demand for payment was made pursuant to the
labor and material payment bond and provided further that the court may
determine and award reasonable attorney's fee to either party to such
action when, upon reviewing the entire record, it appears that either
the original claim or the defense interposed to such claim is without
substantial basis in fact or law.
5. (a) The expression "furnishes material" or other similar expression
wherever used in this section shall be deemed to include the reasonable
rental value for the period of actual use of machinery, tools or
equipment, and the value of compressed gases furnished for welding or
cutting, and the value of fuel and lubricants consumed by machinery
operating on the improvement, or by motor vehicles owned, operated or
controlled by the contractor or his subcontractors while engaged
exclusively in the transportation of materials to or from the
improvement for the purposes thereof.
(b) The expression "moneys due to persons furnishing labor to the
contractor or his subcontractors" includes all sums payable to or on
behalf of persons furnishing labor to the contractor or his
subcontractors, for wages, health, welfare, non-occupational disability,
retirement, vacation benefits, holiday pay, life insurance or other
benefits, payment of which is required pursuant to the labor law or by
the contract in connection with which the bond is furnished or by a
collective bargaining agreement between organized labor and the
contractor or subcontractor, and which are computed upon labor performed
in the prosecution of the contract. A trustee or other person authorized
to collect such payments shall have the right to sue on the payment bond
in his own name and subject to the same conditions as if he were the
person performing the labor upon which such sums are computed.
State contracts not to be assigned without consent. A clause
shall be inserted in all specifications or contracts hereafter made or
awarded by the state, or any public department or official thereof,
prohibiting any contractor, to whom any contract shall be let, granted
or awarded, as required by law, from assigning, transferring, conveying,
sub-letting or otherwise disposing of the same, or of his right, title
or interest therein, or his power to execute such contract to any other
person, company or corporation, without the previous consent in writing
of the department or official awarding the same.
If any contractor, to whom any contract is hereafter let, granted or
awarded, as required by law, by the state, or by any public department
or official thereof, shall, without the previous written consent
specified in the first paragraph of this section, assign, transfer,
convey, sublet or otherwise dispose of the same, or his right, title or
interest therein, or his power to execute such contract, to any other
person, company or other corporation, the state, public department or
official, as the case may be, which let, made, granted or awarded said
contract, shall revoke and annul such contract, and the state, public
department or officer, as the case may be, shall be relieved and
discharged from any and all liability and obligations growing out of
said contract to such contract, and to the person, company, or
corporation to whom he shall assign, transfer, convey, sublet or
otherwise dispose of the same, and said contractor, and his assignee,
transferee, or sub-lessee, shall forfeit and lose all moneys,
theretofore earned under said contract except so much as may be required
to pay his employees; provided that nothing herein contained shall be
construed to hinder, prevent or affect an assignment by such contract
for the benefit of his creditors, made pursuant to the statutes of this
state.
Notwithstanding the provisions of this section, the commissioner of
general services and state agencies may, with concurrence of the office
of state comptroller when the original contract was subject to the
office of state comptroller approval, waive prior written consent of an
assignment, transfer, conveyance, sublease or other disposition of
contracts or monies under a contract let pursuant to article eleven of
this chapter. Such waiver may be granted under circumstances where the
contractor verifies to the commissioner of general services or state
agency, as applicable, that the assignment, transfer, conveyance,
sublease or other disposition is due to but not necessarily limited to,
a reorganization, merger or consolidation of the contractor's business
entity or enterprise. The commissioner of general services and state
agencies retain the right, as provided herein, to accept or reject an
assignment, transfer, conveyance, sublease or other disposition by the
contractor.
Commencement of actions on state public works contracts. 1.
All contracts made and awarded by the state or by any state agency, as
defined in section one hundred seventy-nine-e of this chapter, for the
design, construction, reconstruction, demolition, alteration, repair,
maintenance or improvement of any public works, or for the inspection,
supervision or coordination of the foregoing services, shall provide
that the time within which an action on the contract against the
contractor must be commenced shall be computed from the date of
completion of the physical work; and shall further provide that the
contractor may notify the state or state agency in writing that such
physical work has been completed by specifying a completion date, which
date shall be no more than thirty days previous to the date of such
notice, in which case the completion date set forth in such notice shall
be deemed to be the date of completion of the physical work unless the
state or state agency, within thirty days of receipt of such notice,
notifies the contractor in writing of its disagreement.
2. In the event that the contractor fails to send the notice provided
for herein or the state or state agency disagrees in the manner provided
for herein, the date of completion of the physical work shall be
determined in any other manner provided by law.
3. The provisions of this section shall in no way modify the duties
and obligations of the state or of any state agency to comply with
article eleven-A of this chapter.
Retained percentages. 1. A clause shall be inserted in all
specifications or contracts hereafter made or awarded by the state, or
by any public department or official thereof for work to be executed
except as provided in section thirty-eight of the highway law in which
the execution and delivery by the contractor of a performance bond shall
be required, providing that the state shall retain five per centum of
the amount of each progress payment in accordance with section one
hundred thirty-nine-f of the state finance law.
2. The clause specified in subdivision one of this section may be
inserted in the specifications of any uncompleted public contract, of
the kind referred to in such subdivision, heretofore made or awarded by
the state or by any public department, or official thereof, with the
written consent of the commissioner of general services and of the
official of the public department by whom such contract was awarded and
of the contractor, provided the surety or sureties upon the performance
and labor and material bonds given by the contractor upon any such
contract shall consent in writing thereto and the retained percentage of
moneys earned under such contract shall, after the insertion of such
clause, be payable in accordance with the provisions set forth in said
clause.
3. Under any contract heretofore or hereafter made or awarded by the
state, or by any public department or official thereof, the contractor
may, from time to time, withdraw the whole or any portion of the amount
retained from payments to the contractor pursuant to the terms of the
contract, upon depositing with the state comptroller or, if so directed
by the state comptroller, with a bank or trust company which has entered
into an agreement with the state comptroller to provide the services
which the state comptroller is required to perform pursuant to the
provisions of this subdivision (1) United States treasury bonds, United
States treasury notes, United States treasury certificates of
indebtedness or United States treasury bills, (2) bonds or notes of the
state of New York, (3) bonds of any political subdivision in the state
of New York, (4) bonds of the New York state housing finance agency, or
(5) bonds of the New York state medical care facilities finance agency,
of a market value not exceeding par, at the time of deposit, equal to
the amount so withdrawn. The state comptroller shall, from time to time,
collect all interest or income on the obligations so deposited, and
shall pay the same, when and as collected, to the contractor who
deposited the obligations. If the deposit be in the form of coupon
bonds, the coupons as they respectively become due shall be clipped,
presented for payment, and the proceeds remitted to the contractor. The
contractor shall not be entitled to interest or coupons or income on any
of the deposited obligations, the proceeds of which shall be or shall
have been used, or applied by the state, or by any public department or
official thereof, pursuant to the terms of the contract. The state
comptroller or any such bank or trust company when authorized by the
state comptroller, may impose upon each contractor a service charge for
receiving, handling and disbursing obligations, funds and coupons
pursuant to the provisions of this subdivision in an amount to be
determined by the state comptroller. The provisions of this section, as
amended, shall supersede the provisions of any act inconsistent
herewith.
Ground for cancellation of contract by state. A clause shall
be inserted in all specifications or contracts hereafter made or awarded
by the state or any public department, agency or official thereof, for
work or services performed or to be performed, or goods sold or to be
sold, to provide that: (a) upon the refusal by a person, when called
before a grand jury, head of a state department, temporary state
commission or other state agency, or the organized crime task force in
the department of law, which is empowered to compel the attendance of
witnesses and examine them under oath, to testify in an investigation,
concerning any transaction or contract had with the state, any political
subdivision thereof, a public authority or with any public department,
agency or official of the state or of any political subdivision thereof
or of a public authority, to sign a waiver of immunity against
subsequent criminal prosecution or to answer any relevant question
concerning such transaction or contract; or (b) upon the conviction of
any person of a crime defined in article two hundred or four hundred
ninety-six or section 195.20 of the penal law,
(i) such person, and any firm, partnership or corporation of which he
is a member, partner, director or officer shall be disqualified from
thereafter selling to or submitting bids to or receiving awards from or
entering into any contracts with the state or any public department,
agency or official thereof, for goods, work or services, for a period of
five years after such refusal, a period of five years upon a conviction
of a misdemeanor defined in article two hundred or article four hundred
ninety-six or an attempt to commit a violation of section 195.20 of the
penal law, provided that in the event such conviction is the result of a
plea agreement resulting in a plea to such charge in lieu of a plea or
conviction of a felony defined in section 195.20, article two hundred or
article four hundred ninety-six of the penal law, all parties to such
agreement may agree that the period of such bar may be for a period of
up to ten years from the date of conviction, or upon conviction of a
felony defined in article two hundred or four hundred ninety-six or
section 195.20 of the penal law, for life, any convicted firm,
partnership or corporation is disqualified for its existence and to
provide also that
(ii) any and all contracts made with the state or any public
department, agency or official thereof, since the effective date of this
law, by such person, and by any firm, partnership or corporation of
which he is a member, partner, director or officer may be cancelled or
terminated by the state without incurring any penalty or damages on
account of such cancellation or termination, but any monies owing by the
state for goods delivered or work done prior to the cancellation or
termination shall be paid.
Disqualification to contract with state. 1. Any person who,
when called before a grand jury, head of a state department, temporary
state commission or other state agency, or the organized crime task
force in the department of law, which is empowered to compel the
attendance of witnesses and examine them under oath, to testify in an
investigation, concerning any transaction or contract had with the
state, any political subdivision thereof, a public authority or with a
public department, agency or official of the state or of any political
subdivision thereof or of a public authority, refuses to sign a waiver
of immunity against subsequent criminal prosecution or to answer any
relevant question concerning such transaction or contract, and any firm,
partnership or corporation of which any such person is a member,
partner, director or officer shall be disqualified from thereafter
selling to or submitting bids to or receiving awards from or entering
into any contracts with the state or any public department, agency or
official thereof, for goods, work or services, for a period of five
years after such refusal or until a disqualification shall be removed
pursuant to the provisions of section one hundred thirty-nine-c of this
article.
It shall be the duty of the officer conducting the investigation
before the grand jury, the head of a state department, the chair of the
temporary state commission or other state agency, or the organized crime
task force in the department of law before which the refusal occurs to
send notice of such refusal, together with the names of any firm,
partnership or corporation of which the person so refusing is known to
be a member, partner, officer or director, to the state commissioner of
transportation, except in the event the investigation concerns a public
building transaction or contract said notice shall be sent to the state
commissioner of general services, and the appropriate departments,
agencies and officials of the state, political subdivisions thereof or
public authorities with whom the person so refusing and any firm,
partnership or corporation of which he is a member, partner, director or
officer, is known to have a contract. However, when such refusal occurs
before a body other than a grand jury, notice of refusal shall not be
sent for a period of ten days after such refusal occurs. Prior to the
expiration of this ten day period, any person, firm, partnership or
corporation which has become liable to the cancellation or termination
of a contract or disqualification to contract on account of such refusal
may commence a special proceeding at a special term of the supreme
court, held within the judicial district in which the refusal occurred,
for an order determining whether the questions in response to which the
refusal occurred were relevant and material to the inquiry. Upon the
commencement of such proceeding, the sending of such notice of refusal
to answer shall be subject to order of the court in which the proceeding
was brought in a manner and on such terms as the court may deem just. If
a proceeding is not brought within ten days, notice of refusal shall
thereupon be sent as provided herein.
2. Any person who stands convicted of a felony defined in article two
hundred or four hundred ninety-six or section 195.20 of the penal law,
and any firm, partnership or corporation that stands convicted of such
crime shall be disqualified from thereafter selling to or submitting
bids to or receiving awards from or entering into any contracts with the
state or any public department, agency or official thereof, for goods,
work or services. In the event a person or firm, partnership or
corporation is so convicted, the office responsible for prosecuting such
offense shall send notice of such conviction to the state commissioner
of general services, and to the office of the state comptroller and such
appropriate departments, agencies and officials of the state, political
subdivisions thereof or public authorities with whom the person or the
firm, partnership or corporation is known to have a contract.
Removal of disqualification of public contractors by
petition. 1. Any firm, partnership or corporation which has become
subject to the cancellation or termination of a contract or
disqualification to contract on account of the refusal of a member,
partner, director or officer thereof to waive immunity when called to
testify, as provided in sections one hundred thirty-nine-a and one
hundred thirty-nine-b of this article, may, upon ten days' notice to the
attorney general and to the officer who conducted the investigation
before the grand jury, the head of a state department, the chairman of
the temporary state commission or other state agency, or the organized
crime task force in the department of law in which the refusal occurred,
commence a special proceeding at a special term of the supreme court
held within the judicial district in which the refusal occurred for an
order discontinuing the disqualification. The petition shall set forth
grounds, including that the cooperation by petitioner with the grand
jury or other body which conducted the investigation at the time of the
refusal was such, and the amount and degree of control and financial
interest, if any, in the petitioning firm, partnership or corporation by
the member, partner, officer or director who refused to waive immunity
is such, that it will not be in the public interest to cancel or
terminate petitioner's contracts or to continue the disqualification, as
provided in sections one hundred thirty-nine-a and one hundred
thirty-nine-b of this article.
A copy of the petition and accompanying papers shall be served with
the notices to be given pursuant to this subdivision.
1-a. Any firm, partnership, or corporation which has become subject to
the cancellation or termination of a contract or disqualification to
contract on account of conviction of a crime defined in article two
hundred or four hundred ninety-six or section 195.20 of the penal law,
as provided in sections one hundred thirty-nine-a and one hundred
thirty-nine-b of this article, may, upon thirty days' notice to the
district attorney who conducted the action that led to the conviction,
and the office of the state comptroller commence a special proceeding at
a special term of the supreme court held within the judicial district in
which the conviction was obtained for an order discontinuing such
disqualification. The petition shall set forth the grounds, including
that the firm, partnership, or corporation has taken sufficient actions
to remove from responsibility officers and employees who engaged in the
actions that formed the basis of the conviction, that the firm,
partnership, or corporation has taken appropriate and sufficient actions
to ensure that the actions that formed the basis of the conviction are
unlikely to recur, and that it will not be in the public interest to
cancel or terminate petitioner's contracts or to continue the
disqualification, as provided in sections one hundred thirty-nine-a and
one hundred thirty-nine-b of this article; provided further, at any time
after such cancellation or disqualification any such firm, partnership
or corporation may apply to the supreme court, upon notice as provided
herein for an immediate termination of disqualification upon a reversal
of the conviction upon which the debarment was imposed.
2. Upon the filing of such petition the court may stay as to
petitioner, pending a decision upon the petition, the cancellation or
termination of any contracts resulting from such refusal upon such terms
as to notice or otherwise as may be just.
3. At least two days prior to the return day, the officer who
conducted the investigation before the grand jury or other body and the
attorney general may file answers to the petition or move for judgment
dismissing the petition as a matter of law. On or before the return day
the petitioner may file a reply to the answer.
4. Upon the return day the court may, upon the petition and answer and
other papers filed, forthwith render such judgment as the case requires,
or if a triable issue of fact is duly raised, it shall forthwith be
tried before a court sitting without a jury or before a referee. The
provisions of statute or rule governing references in an action shall
apply to a reference under this subdivision.
5. The court shall render judgment dismissing the petition on the
merits or discontinuing the disqualification upon the ground that the
public interest would be served by its discontinuance, and granting such
other relief as to the cancellation or termination of contracts as may
be appropriate, but without costs to petitioner.
Statement of non-collusion in bids to the state. 1. Every bid
hereafter made to the state or any public department, agency or official
thereof, where competitive bidding is required by statute, rule or
regulation, for work or services performed or to be performed or goods
sold or to be sold, shall contain the following statement subscribed by
the bidder and affirmed by such bidder as true under the penalties of
perjury: Non-collusive bidding certification.
"(a) By submission of this bid, each bidder and each person signing on
behalf of any bidder certifies, and in the case of a joint bid each
party thereto certifies as to its own organization, under penalty of
perjury, that to the best of his knowledge and belief:
(1) The prices in this bid have been arrived at independently without
collusion, consultation, communication, or agreement, for the purpose of
restricting competition, as to any matter relating to such prices with
any other bidder or with any competitor;
(2) Unless otherwise required by law, the prices which have been
quoted in this bid have not been knowingly disclosed by the bidder and
will not knowingly be disclosed by the bidder prior to opening, directly
or indirectly, to any other bidder or to any competitor; and
(3) No attempt has been made or will be made by the bidder to induce
any other person, partnership or corporation to submit or not to submit
a bid for the purpose of restricting competition."
(a-1) Notwithstanding the foregoing, the statement of non-collusion
may be submitted electronically in accordance with the provisions of
subdivision seven of section one hundred sixty-three of the state
finance law.
(b) A bid shall not be considered for award nor shall any award be
made where (a) (1) (2) and (3) above have not been complied with;
provided however, that if in any case the bidder cannot make the
foregoing certification, the bidder shall so state and shall furnish
with the bid a signed statement which sets forth in detail the reasons
therefor. Where (a) (1) (2) and (3) above have not been complied with,
the bid shall not be considered for award nor shall any award be made
unless the head of the purchasing unit of the state, public department
or agency to which the bid is made, or his designee, determines that
such disclosure was not made for the purpose of restricting competition.
The fact that a bidder (a) has published price lists, rates, or
tariffs covering items being procured, (b) has informed prospective
customers of proposed or pending publication of new or revised price
lists for such items, or (c) has sold the same items to other customers
at the same prices being bid, does not constitute, without more, a
disclosure within the meaning of subparagraph one (a).
2. Any bid hereafter made to the state or any public department,
agency or official thereof by a corporate bidder for work or services
performed or to be performed or goods sold or to be sold, where
competitive bidding is required by statute, rule or regulation, and
where such bid contains the certification referred to in subdivision one
of this section, shall be deemed to have been authorized by the board of
directors of the bidder, and such authorization shall be deemed to
include the signing and submission of the bid and the inclusion therein
of the certificate as to non-collusion as the act and deed of the
corporation.
Security bonds; municipal projects. Whenever a security bond
is posted by a successful bidder for the faithful performance of a
municipal project, for which state aid is approved, the name and address
of the bonding company or person issuing the security bond, the number
of such bond, and such other information as may be required by the state
department or agency responsible for supervising the aid program
regarding the project, shall be transmitted to such department or
agency, where it shall be reviewed to determine its authenticity prior
to award of such contract. The original of such bond shall remain in the
office of the municipality. Upon request of such department or agency,
the superintendent of financial services shall render such assistance as
is necessary to determine the authenticity of the security bond.
Payment on public work projects. Notwithstanding the
provisions of any other law to the contrary, except the provisions of
section thirty-eight of the highway law, all contracts made and awarded
by the state, or by any public department, or by any public benefit
corporation or by any public corporation or official thereof, hereafter
referred to as the public owner, for construction, reconstruction or
alteration of any public work project shall provide for payment by the
public owner to the contractor and payment by the contractor to the
subcontractor in accordance with the following:
1. Payment by public owners to contractors. The contractor shall
periodically, in accordance with the terms of the contract, submit to
the public owner and/or his agent a requisition for a progress payment
for the work performed and/or materials furnished to the date of the
requisition, less any amount previously paid to the contractor. The
public owner shall in accordance with the terms of the contract approve
and promptly pay the requisition for the progress payment less an amount
necessary to satisfy any claims, liens or judgments against the
contractor which have not been suitably discharged and less any retained
amount as hereafter described. The public owner shall retain not more
than five per centum of each progress payment to the contractor except
that the public owner may retain in excess of five per centum but not
more than ten per centum of each progress payment to the contractor
provided that there are no requirements by the public owner for the
contractor to provide a performance bond and a labor and material bond
both in the full amount of the contract. The public owner shall pay,
upon requisition from the contractor, for materials pertinent to the
project which have been delivered to the site or off-site by the
contractor and/or subcontractor and suitably stored and secured as
required by the public owner and the contractor provided, the public
owner may limit such payment to materials in short and/or critical
supply and materials specially fabricated for the project each as
defined in the contract. When the work or major portions thereof as
contemplated by the terms of the contract are substantially completed,
the contractor shall submit to the public owner and/or his agent a
requisition for payment of the remaining amount of the contract balance.
Upon receipt of such requisition the public owner shall approve and
promptly pay the remaining amount of the contract balance less two times
the value of any remaining items to be completed and an amount necessary
to satisfy any claims, liens or judgments against the contractor which
have not been suitably discharged. As the remaining items of work are
satisfactorily completed or corrected, the public owner shall promptly
pay, upon receipt of a requisition, for these remaining items less an
amount necessary to satisfy any claims, liens or judgments against the
contractor which have not been suitably discharged. Any claims, liens
and judgments referred to in this section shall pertain to the project
and shall be filed in accordance with the terms of the applicable
contract and/or applicable laws.
1-a. Not later than forty-five business days after the date when the
project has reached substantial completion, as such term is defined in
the contract or as it is contemplated by the terms of the contract, the
public owner shall submit to the contractor a written list describing
all remaining items to be completed by the contractor. Not later than
five business days after receiving a written list describing all
remaining items to be completed by the contractor, the contractor shall
submit to each subcontractor from whom the contractor is withholding
retainage a written list of all remaining items required to be completed
by the subcontractor. Such list may include items in addition to those
items on the public owner's list.
1-b. Notwithstanding any other provision of this section to the
contrary, payment of the moneys due under a contract awarded (i) by a
state agency as defined in article eleven-A of this chapter or (ii) by a
corporation as defined in subdivision one of section twenty-eight
hundred eighty of the public authorities law which is subject to the
provision of this section shall be made in accordance with the
provisions of such article eleven-A, in the case of such state agencies,
or such section twenty-eight hundred eighty, in the case of such
corporations, provided failure to make such payment, as heretofore
prescribed, shall not be due to any fault, neglect, or omission on the
part of the contractor or by reason of the filing of any lien,
attachment, or other legal process against the money due such
contractor.
2. Payment by contractors to subcontractors. Within seven calendar
days of the receipt of any payment from the public owner, the contractor
shall pay each of his subcontractors and materialmen the proceeds from
the payment representing the value of the work performed and/or
materials furnished by the subcontractor and/or materialman and
reflecting the percentage of the subcontractor's work completed or the
materialman's material supplied in the requisition approved by the owner
and based upon the actual value of the subcontract or purchase order
less an amount necessary to satisfy any claims, liens or judgments
against the subcontractor or materialman which have not been suitably
discharged and less any retained amount as hereafter described. Failure
by the contractor to pay any subcontractor or materialman within seven
calendar days of the receipt of any payment from the public owner shall
result in the commencement and accrual of interest on amounts due to
such subcontractor or materialman for the period beginning on the day
immediately following the expiration of such seven calendar day period
and ending on the date on which payment is made by the contractor to
such subcontractor or materialman. Such interest payment shall be the
sole responsibility of the contractor, and shall be paid at the rate of
interest in effect on the date payment is made by the contractor.
Notwithstanding any other provision of law to the contrary, interest
shall be computed at the rate established in paragraph (b) of
subdivision one of section seven hundred fifty-six-b of the general
business law. The contractor shall retain not more than five per centum
of each payment to the subcontractor and/or materialman except that the
contractor may retain in excess of five per centum but not more than ten
per centum of each payment to the subcontractor provided that prior to
entering into a subcontract with the contractor, the subcontractor is
unable or unwilling to provide a performance bond and a labor and
material bond, both in the full amount of the subcontract, at the
request of the contractor. However, the contractor shall retain nothing
from those payments representing proceeds owed the subcontractor and/or
materialman from the public owner's payments to the contractor for the
remaining amounts of the contract balance as provided in subdivision one
of this section. If the contractor has failed to submit a requisition
for payment of the remaining amounts of the contract balance within
ninety days of substantial completion as provided in subdivision one of
this section, then any clause in the subcontract between the contractor
and the subcontractor or materialman which states that payment by the
contractor to such subcontractor or materialman is contingent upon
payment by the owner to the contractor shall be deemed invalid. Within
seven calendar days of the receipt of payment from the contractor, the
subcontractor and/or materialman shall pay each of his subcontractors
and materialmen in the same manner as the contractor has paid the
subcontractor, including interest as herein provided above. Nothing
provided herein shall create any obligation on the part of the public
owner to pay or to see to the payment of any moneys to any subcontractor
or materialman from any contractor nor shall anything provided herein
serve to create any relationship in contract or otherwise, implied or
expressed, between the subcontractor or materialman and the public
owner.
3. In the event that the terms of payment on a public works project as
provided in this section are pre-empted or superseded as a result of the
provisions of any federal statute, regulation or rule applicable to the
project, the terms of this section shall not apply.
4. Notwithstanding any other provision of this section or other law,
requirements for the furnishing of a performance bond or a payment bond
may be dispensed with at the discretion of the head of the state agency
or corporation, or his or her designee, where the public owner is a
state agency or corporation described in subdivision one-a of this
section and the aggregate amount of the contract awarded or to be
awarded is under fifty thousand dollars and, in a case where the
contract is not subject to the multiple contract award requirements of
section one hundred thirty-five of this article, such requirements may
be dispensed with where the head of the state agency or corporation
finds it to be in the public interest and where the aggregate amount of
the contract awarded or to be awarded is under two hundred thousand
dollars. Provided further, that in a case where a performance or payment
bond is dispensed with, twenty per centum may be retained from each
progress payment or estimate until the entire contract work has been
completed and accepted, at which time the head of the state agency or
corporation shall, pending the payment of the final estimate, pay not to
exceed seventy-five per centum of the amount of the retained percentage.
Obligations to make contracts available to small and
certified women and minority-owned business concerns. In every state
agency, department and authority which has let more than two million
dollars in service and construction contracts in the prior fiscal year,
the chief executive officer of that agency, department or authority
shall, with respect to those contracts let by his agency, department or
authority:
(a) undertake biannual studies submitted to the legislature, governor,
department of economic development, and office of general services, to
determine:
(i) whether current state policies and practices with respect to the
procurement of services and construction for that agency, department or
authority, including specifications and requirements for bid bonds,
preclude small-business and certified women and minority-owned business
concerns from the bidding process; and
(ii) the advisability of a revision of state policies with respect to
the procurement of services and construction for that agency, department
or authority to include alternatives such as breaking large contracts
into smaller contracts. Twelve months from the effective date of this
section, or twelve months from the close of the first fiscal year after
the effective date of this section in which that agency, department or
authority has let more than two million dollars in service and
construction contracts, as the case may be, the chief executive officer
of that agency, department or authority shall submit recommendations to
the governor and the legislature with respect to the need for
legislation based on the findings of the study conducted pursuant to
this subdivision.
(b) identify all small-business and certified women and minority-owned
business concerns which, in the judgment of the chief executive officer
of that agency, department or authority, can bid on those contracts
which are usually and customarily let by that agency, department or
authority with a reasonable expectation of success. Such chief executive
officers shall carry out the provisions of this subdivision:
(i) in consultation with the department of commerce of the United
States and all agencies and departments of the United States which, in
the judgment of the chief executive officer of that agency, department
or authority contract for services and construction similar in nature to
the services and construction contracted for by that agency, department
or authority; and
(ii) with the cooperation of:
(1) the office of general services of the state;
(2) the department of economic development;
(3) all agencies, departments and authorities of the state which, in
the judgment of the chief executive officer of the surveying agency,
department or authority contract for services and construction similar
in nature to the services and construction contracted for by the
surveying agency, department or authority; and
(4) all agencies, departments, or authorities of all political
subdivisions of the state which, in the judgment of the chief executive
officer of the surveying agency, department or authority contract for
services and construction similar in nature to the services and
construction contracted for by the surveying agency, department or
authority; and
(iii) by utilizing a study of those agency, department or authority
contracts successfully bid upon by small-business and certified women
and minority-owned business concerns at the time the survey is taken;
and
(iv) by utilizing all other resources available to the chief executive
officer of that agency, department or authority.
Twelve months from the effective date of this section, or twelve
months from the close of the first fiscal year after the effective date
of this section in which that agency, department or authority has let
more than two million dollars in service and construction contracts, as
the case may be, the chief executive officer of that agency, department
or authority shall submit a report to the governor and the legislature
setting forth in detail the efforts which that agency, department or
authority has made to identify New York small-business and certified
women and minority-owned business concerns which can bid on those
contracts which are usually and customarily let for bid by that agency,
department or authority with a reasonable expectation of success, which
report shall set forth the number of small-business concerns and
certified women and minority-owned business which were identified
pursuant to subdivision (c) of this section on contracts usually and
customarily let by that agency, department or authority in the last
fiscal year.
(c) maintain a list of small-business and certified women and
minority-owned business concerns identified pursuant to subdivision (b)
of this section, which shall be known as the service directory of
small-businesses and certified women and minority-owned businesses and
which shall be revised at least annually. Except as otherwise provided
in this paragraph, at least annually the chief executive officer of that
agency, department or authority shall mail notice to those businesses
listed in such directory explaining the opportunities for
small-businesses and certified women and minority-owned businesses to
sell services and provide construction services to that agency,
department or authority and describing procedures necessary for
competing for contracts from such agency, department or authority. Such
notice shall solicit such businesses to request to be given notice, in
the same manner in which other businesses which receive such notice are
given notice, of opportunities to bid on contracts let by that agency,
department or authority. When such request is received by the chief
executive officer of that agency, department or authority, the chief
executive officer of that agency, department or authority shall cause
such business to receive notice of opportunities to bid on contracts let
by that agency, department or authority in the same manner as other
businesses which receive such notice are given such notice.
Notwithstanding any other provision of law, no business need be given
the annual notice explaining opportunities for small-businesses and
certified women and minority-owned businesses to sell services and
provide construction services to that agency, department or authority if
it is receiving regular notices of opportunities to bid on contracts let
by that agency, department or authority.
(d) label those invoices of small-business and certified women and
minority-owned business concerns which that agency, department or
authority processes so as to promote the expeditious payment for
services and construction provided by such businesses on a priority
basis.
Participation in an international boycott prohibited. 1. A
clause shall be inserted in all specifications or contracts hereafter
made or awarded by the state or any public department, agency or
official thereof, for work or services performed or to be performed, for
goods sold or to be sold, in an amount exceeding five thousand dollars,
pursuant to which any contractor, to whom any contract shall be let,
granted or awarded, agrees, as a material condition of the contract,
that neither such contractor nor any substantially owned or affiliated
person, firm, partnership or corporation has participated or is
participating or shall participate in an international boycott in
violation of the provisions of the United States export administration
act of nineteen hundred sixty-nine, as amended, or the export
administration act of nineteen hundred seventy-nine, as amended, or the
regulations of the United States department of commerce promulgated
thereunder.
2. Any such contract shall be rendered forfeit and void by the state
comptroller, if, subsequent to execution, such person, firm, partnership
or corporation has been convicted of a violation of the provisions of
the United States export administration act of nineteen hundred
sixty-nine, as amended, or the export administration act of nineteen
hundred seventy-nine, as amended, or the regulations promulgated
thereunder or has been found upon the final determination of the United
States commerce department or any other appropriate agency of the United
States to have violated the provisions of either such federal act or
such regulations.
3. Nothing contained in this section shall operate to impair any
existing contract, except that any renewal, amendment or modification of
such contract occurring on or after the effective date of this section
shall be subject to the conditions specified in this section.
4. The comptroller of the state shall have the power to issue rules
and regulations pursuant to this section.
Obligations with respect to procurement contracts with New
York state and foreign business enterprises. 1. As used in this section,
the following terms shall have the following meanings, unless a
different meaning appears from the context:
(a) "Foreign business enterprise" shall mean a business enterprise,
including a sole proprietorship, partnership or corporation, which
offers for sale, lease or other form of exchange, goods sought by the
state agency or department and which are substantially produced outside
New York state, or services sought by the state agency or department and
which are substantially performed outside New York state.
(b) "New York state business enterprise" shall mean a business
enterprise, including a sole proprietorship, partnership, or
corporation, which offers for sale or lease or other form of exchange,
goods which are sought by the state agency or department and which are
substantially manufactured, produced or assembled in New York state, or
services which are sought by the state agency or department and which
are substantially performed within New York state.
(c) "New York resident" shall mean a natural person who maintains a
fixed, permanent and principal home located within New York state and to
which such person, whenever temporarily located, always intends to
return.
(d) "Procurement contract" shall have the same meaning as that set
forth in subdivision two of section one hundred forty-one of the
economic development law.
2. In every state agency and department, the chief executive officer
shall:
(a) notify the commissioner of economic development of the award of a
procurement contract for the purchase of goods or services from a
foreign business enterprise in an amount equal to or greater than one
million dollars simultaneously with notifying the successful bidder
therefor. No state agency or department shall thereafter enter into a
procurement contract for said goods or services until at least fifteen
days has elapsed, except for procurement contracts awarded on an
emergency or critical basis, or where the commissioner of economic
development waives the provisions of this sentence. The notification to
the commissioner of economic development shall include the name, address
and telephone and facsimile number of the foreign business enterprise, a
brief description of the goods or services to be obtained pursuant to
the proposed procurement contract, the amount of the proposed
procurement contract, the term of the proposed procurement contract, and
the name of the individual at the foreign business enterprise or acting
on behalf of the same who is principally responsible for the proposed
procurement contract. Such notification shall be used by the
commissioner of economic development solely to provide notification to
New York state business enterprises of opportunities to participate as
subcontractors and suppliers on such procurement contracts, to promote
and encourage the location and development of new business in the state,
to assist New York state business enterprises in obtaining offset
credits from foreign countries, and to otherwise investigate, study and
undertake means of promoting and encouraging the prosperous development
and protection of the legitimate interest and welfare of New York state
business enterprises, industry and commerce.
(b) include in all bid documents provided to potential bidders a
statement that information concerning the availability of New York state
subcontractors and suppliers is available from the New York state
department of economic development, which shall include the directory of
certified minority and women-owned businesses, and it is the policy of
New York state to encourage the use of New York state subcontractors and
suppliers, and to promote the participation of minority and women-owned
businesses, where possible, in the procurement of goods and services.
(c) provide annually, on or before the first business day of June of
each year, to the department of economic development information
pertaining to procurement contracts entered into in an amount equal to
or greater than one hundred thousand dollars by such agency or
department during the previous year. Such information shall include the
subject matter and value of such contracts, designation of each
contractor as a New York state business enterprise or a foreign business
enterprise, the process used to select such contractors, as well as the
status of such contracts; and
(d) adopt policies to promote the participation by New York state
business enterprises and New York state residents in procurement
contracts, with the cooperation of the department of economic
development and the community services division of the department of
labor including, but not limited to, providing through cooperative
efforts with contractors for the notification of New York state business
enterprises of opportunities to participate as subcontractors and
suppliers on procurement contracts in an amount estimated to be equal to
or greater than one million dollars and for the notification of New York
state residents of employment opportunities arising in New York state
out of procurement contracts in an amount estimated to be equal to or
greater than one million dollars; and promulgating procedures which will
assure compliance by contractors with such notification. Once awarded
the contract, such contractors shall document their efforts to encourage
the participation of New York state business enterprises as suppliers
and subcontractors on procurement contracts equal to or greater than one
million dollars. Documented efforts by a successful contractor shall
consist of and be limited to showing that such contractor has (a)
solicited bids, in a timely and adequate manner, from New York state
business enterprises including certified minority and women-owned
business, or (b) contacted the New York state department of economic
development to obtain listings of New York state business enterprises,
or (c) placed notices for subcontractors and suppliers in newspapers,
journals and other trade publications distributed in New York state, or
(d) participated in bidder outreach conferences. If the contractor
determines that New York state business enterprises are not available to
participate on the contract as subcontractors or suppliers, the
contractor shall provide a statement indicating the method by which such
determination was made. If the contractor does not intend to use
subcontractors on the contract, the contractor shall provide a statement
verifying such intent. Such contractors shall also provide notification
to New York state residents of employment opportunities through listing
any such positions with the community services division, or providing
for such notification in such manner as is consistent with existing
collective bargaining contracts or agreements. On or before the
effective date of this section, each state agency or department shall
submit such policies to the division of the budget and copies thereof to
the department of audit and control, the department of economic
development, the senate finance committee and the assembly ways and
means committee.
(e) include in each set of documents soliciting bids on procurement
contracts to let by the state agency or department a statement notifying
potential bidders located in foreign countries that the state agency or
department may assign or otherwise transfer offset credits created by
such procurement contract to third parties located in New York state;
provide for the assignment or other form of transfer of offset credits
created by such procurement contracts, directly or indirectly, to third
parties located in New York state, in accordance with the written
directions of the commissioner of economic development; and provide for
the state agency or department to otherwise cooperate with the
department of economic development in efforts to get foreign countries
to recognize offset credits assigned or transferred to third parties
located in New York state created by such procurement contracts.
(f) promulgate procedures which will assure compliance with the
federal equal employment opportunity act of 1972 (P.L.92-261), as
amended, by contractors of the state agency or department.
* § 139-j. Restrictions on contacts during the procurement process. 1.
For the purposes of this section, the following terms will have the
following meanings unless specified otherwise.
a. "Governmental entity" shall mean: (1) any department, board,
bureau, commission, division, office, council, committee or officer of
the state, whether permanent or temporary; (2) each house of the state
legislature; (3) the unified court system; (4) any public authority,
public benefit corporation or commission created by or existing pursuant
to the public authorities law; (5) any public authority or public
benefit corporation, at least one of whose members is appointed by the
governor or who serves as a member by virtue of holding a civil office
of the state; (6) a municipal agency, as that term is defined in
paragraph (ii) of subdivision (s) of section one-c of the legislative
law; or (7) a subsidiary or affiliate of such a public authority.
b. "Article of procurement" shall mean a commodity, service,
technology, public work, construction, revenue contract, the purchase,
sale or lease of real property or an acquisition or granting of other
interest in real property, that is the subject of a governmental
procurement.
c. "Contacts" shall mean any oral, written or electronic communication
with a governmental entity under circumstances where a reasonable person
would infer that the communication was intended to influence the
governmental entity's conduct or decision regarding the governmental
procurement.
d. "Proposal" shall mean any bid, quotation, offer or response to a
governmental entity's solicitation of submissions relating to a
procurement.
e. "Governmental procurement" shall mean: (i) the public announcement,
public notice, or public communication to any potential vendor of a
determination of a need for a procurement, which shall include, but not
be limited to, the public notification of the specifications, bid
documents, request for proposals, or evaluation criteria for a
procurement contract, (ii) solicitation for a procurement contract,
(iii) evaluation of a procurement contract, (iv) award, approval, denial
or disapproval of a procurement contract, or (v) approval or denial of
an assignment, amendment (other than amendments that are authorized and
payable under the terms of the procurement contract as it was finally
awarded or approved by the comptroller, as applicable), renewal or
extension of a procurement contract, or any other material change in the
procurement contract resulting in a financial benefit to the offerer.
f. "Restricted period" shall mean the period of time commencing with
the earliest posting, on a governmental entity's website, in a newspaper
of general circulation, or in the procurement opportunities newsletter
in accordance with article four-C of the economic development law of
written notice, advertisement or solicitation of a request for proposal,
invitation for bids, or solicitation of proposals, or any other method
provided for by law or regulation for soliciting a response from
offerers intending to result in a procurement contract with a
governmental entity and ending with the final contract award and
approval by the governmental entity and, where applicable, the state
comptroller.
g. "Procurement contract" shall mean any contract or other agreement,
including an amendment, extension, renewal or change order to an
existing contract (other than amendments, extensions, renewals, or
change orders that are authorized and payable under the terms of the
contract as it was finally awarded or approved by the comptroller, as
applicable), for an article of procurement involving an estimated
annualized expenditure in excess of fifteen thousand dollars. Grants,
article eleven-B state finance law contracts, program contracts between
not-for-profit organizations, as defined in article eleven-B of this
chapter, and the unified court system, intergovernmental agreements,
railroad and utility force accounts, utility relocation project
agreements or orders, contracts governing organ transplants, contracts
allowing for state participation in trade shows, and eminent domain
transactions shall not be deemed procurement contracts.
h. "Offerer" shall mean the individual or entity, or any employee,
agent or consultant or person acting on behalf of such individual or
entity, that contacts a governmental entity about a governmental
procurement during the restricted period of such governmental
procurement whether or not the caller has a financial interest in the
outcome of the procurement; provided, however, that a governmental
agency or its employees that communicates with the procuring agency
regarding a governmental procurement in the exercise of its oversight
duties shall not be considered an offerer.
i. "Revenue contract" shall mean any written agreement between a
governmental entity, as that term is defined in subparagraphs one, four,
five, six or seven of paragraph a of this subdivision, and an offerer
whereby the governmental entity gives or grants a concession or a
franchise.
j. "Unified court system" shall, for the purposes of this section
only, mean the unified court system of the state of New York, or the
office of court administration, where appropriate, other than town and
village justice courts in jurisdictions with a population under fifty
thousand, when it acts solely in an administrative capacity to engage in
governmental procurements and shall not include the unified court system
or any court of the state judiciary when it acts to hear and decide
cases of original or appellate jurisdiction or otherwise acts in its
judicial, as opposed to administrative, capacity.
2. Every governmental entity that undertakes a governmental
procurement shall:
a. at the same time that a restricted period is imposed, designate,
with regard to each governmental procurement, a person or persons who
are knowledgeable about the procurement and who may be contacted by
offerers relative to the governmental procurement;
b. make any determinations on any governmental procurement: (1) in a
manner consistent with the principles provided for under subdivision two
of section one hundred sixty-three of this chapter, or, if the
governmental entity is a public benefit corporation, as that term is
defined in section sixty-six of the general construction law, and the
majority of the members consist of persons either appointed by the
governor or who serve as members by virtue of holding a civil office of
the state, the procurement guidelines adopted pursuant to section
twenty-eight hundred seventy-nine of the public authorities law, and (2)
free from any conduct that would be prohibited by subdivision five of
section seventy-three or section seventy-four of the public officers
law, or of other applicable ethics code provisions that are equivalent
to subdivision five of section seventy-three or section seventy-four of
the public officers law where the public officials that are involved in
the governmental procurement are not subject to subdivision five of
section seventy-three or section seventy-four of the public officers
law;
3. Each offerer that contacts a governmental entity about a
governmental procurement shall only make permissible contacts with
respect to the governmental procurement, which shall mean that the
offerer:
a. shall contact only the person or persons who may be contacted by
offerers as designated by the governmental entity pursuant to paragraph
a of subdivision two of this section relative to the governmental
procurement, except that the following contacts are exempted from the
provisions of this paragraph and do not need to be directed to a
designated contact pursuant to section one hundred thirty-nine-k of this
article:
(1) the submission of written proposals in response to a request for
proposals, invitation for bids or any other method for soliciting a
response from offerers intending to result in a procurement contract;
(2) the submission of written questions by a method set forth in a
request for proposals, or invitation for bids, or any other method for
soliciting a response from offerers intending to result in a procurement
contract, when all written questions and responses are to be
disseminated to all offerers who have expressed an interest in the
request for proposals, or invitation for bids, or any other method for
soliciting a response from offerers intending to result in a procurement
contract;
(3) participation in a demonstration, conference or other means for
exchange of information in a setting open to all potential bidders
provided for in a request for proposals, invitation for bids, or any
other method for soliciting a response from offerers intending to result
in a procurement contract;
(4) complaints by an offerer regarding the failure of the person or
persons designated by the procuring governmental entity pursuant to this
section to respond in a timely manner to authorized offerer contacts
made in writing to the office of general counsel of the procuring
governmental entity, provided that any such written complaints shall
become a part of the procurement record;
(5) offerers who have been tentatively awarded a contract and are
engaged in communications with a governmental entity solely for the
purpose of negotiating the terms of the procurement contract after being
notified of tentative award;
(6) contacts between designated governmental entity staff of the
procuring governmental entity and an offerer to request the review of a
procurement contract award;
(7) (a) contacts by offerers in protests, appeals or other review
proceedings (including the apparent successful bidder or proposer and
his or her representatives) before the governmental entity conducting
the procurement seeking a final administrative determination, or in a
subsequent judicial proceeding; or
(b) complaints of alleged improper conduct in a governmental
procurement to the attorney general, inspector general, district
attorney, or court of competent jurisdiction; or
(c) protests, appeals or complaints to the state comptroller's office
during the process of contract approval, where the state comptroller's
approval is required, provided that the state comptroller shall make a
record of such communications and any response thereto which shall be
entered into the procurement record pursuant to section one hundred
sixty-three of this chapter; or
(d) complaints of alleged improper conduct in a governmental
procurement conducted by a municipal agency or local legislative body to
the state comptroller's office;
(8) communications between offerers and governmental entities that
solely address the determination of responsibility by a governmental
entity of an offerer;
(9) Any communications relating to a governmental procurement made
under section one hundred sixty-two of the state finance law undertaken
by (i) the non-profit-making agencies appointed pursuant to paragraph e
of subdivision six of section one hundred sixty-two of the state finance
law by the commissioner of the office of children and family services,
the commission for the blind, or the commissioner of education, and (ii)
the qualified charitable non-profit-making agencies for the blind, and
qualified charitable non-profit-making agencies for other severely
disabled persons as identified in subdivision two of section one hundred
sixty-two of this chapter; provided, however, that any communications
which attempt to influence the issuance or terms of the specifications
that serve as the basis for bid documents, requests for proposals,
invitations for bids, or solicitations of proposals, or any other method
for soliciting a response from offerers intending to result in a
procurement contract with a state agency, the state legislature, the
unified court system, a municipal agency or local legislative body shall
not be exempt from the provisions of this paragraph;
(10) Complaints by minority-owned business enterprises or women-owned
business enterprises, certified as such by the division of minority and
women's business development, to the minority and women-owned business
enterprise statewide advocate concerning the procuring governmental
entity's failure to comply with the requirements of section three
hundred fifteen of the executive law;
(11) Communications between the minority and women-owned business
enterprise statewide advocate and the procuring governmental entity in
furtherance of an investigation of the minority and women-owned business
enterprise statewide advocate pursuant to section three hundred twelve-a
of the executive law.
provided, however, that nothing in this subdivision shall be construed
as recognizing or creating any new rights, duties or responsibilities or
abrogating any existing rights, duties or responsibilities of any
governmental entity as it pertains to implementation and enforcement of
article eleven of this chapter or any other provision of law dealing
with the governmental procurement process, and that nothing in this
subdivision shall be interpreted to limit the authority of a
governmental entity involved in a government procurement by exercise of
an oversight function from providing information to offerers regarding
the status of the review, oversight, or approval of a governmental
procurement that has been submitted to or is under review by that
governmental entity.
b. shall not attempt to influence the governmental procurement in a
manner that would result in a violation or an attempted violation of
subdivision five of section seventy-three or section seventy-four of the
public officers law, or of other applicable ethics code provisions that
are equivalent to subdivision five of section seventy-three or section
seventy-four of the public officers law where the public officials that
are involved in the governmental procurement are not subject to
subdivision five of section seventy-three or section seventy-four of the
public officers law;
4. Violations of paragraph a of subdivision three of this section
shall include any contacts during the restricted period of a
governmental procurement between the offerer and any member, officer or
employee of any governmental entity other than the entity conducting the
governmental procurement; provided, however, that nothing in this
section shall be deemed to prohibit an offerer from communicating with a
member of the state legislature or legislative staff about a
governmental procurement being conducted by a governmental entity other
than the state legislature, or a member of the state legislature or
legislative staff contacting a governmental entity about a governmental
procurement being conducted by a governmental entity other than the
state legislature, provided that the member of the state legislature or
legislative staff is acting in his or her official capacity.
5. Governmental entity staff may consult the model guidelines that may
be established by the advisory council on procurement lobbying pursuant
to section one-t of the legislative law in implementing this section.
6. a. Every governmental entity shall incorporate a summary of the
policy and prohibitions regarding permissible contacts during a
governmental procurement pursuant to subdivision three of this section,
and copies of rules and regulations and applicable governmental entity
guidelines and procedures regarding permissible contacts during a
governmental procurement pursuant to subdivision three of this section
into their solicitation of proposals or bid documents or specifications
for all procurement contracts.
b. Every governmental entity shall seek written affirmations from all
offerers as to the offerer's understanding of and agreement to comply
with the governmental entity's procedures relating to permissible
contacts during a governmental procurement pursuant to subdivision three
of this section. Such a written affirmation by an offerer shall be
deemed to apply to any amendments to a procurement submitted by the
governmental entity after an initial affirmation is received with an
initial bid.
7. Notwithstanding any law to the contrary, prior to conducting an
award of a procurement contract, a governmental entity conducting a
governmental procurement shall make a final determination of
responsibility of the proposed awardee in accordance with paragraph f of
subdivision nine of section one hundred sixty-three of this chapter, or,
if the governmental entity is a public benefit corporation, as that term
is defined in section sixty-six of the general construction law, and the
majority of the members consist of persons either appointed by the
governor or who serve as members by virtue of holding a civil office of
the state, according to the procurement guidelines adopted pursuant to
subparagraph (iii) of paragraph (b) of subdivision three of section
twenty-eight hundred seventy-nine of the public authorities law;
provided, however, that nothing in this subdivision shall be construed
as abrogating or diminishing any existing rights, duties or
responsibilities of any governmental entity as it pertains to
determinations of responsibility.
8. Any member, officer or employee of a governmental entity who
becomes aware that an offerer has violated the provisions of subdivision
three of this section with regard to permissible contacts during any
governmental procurement shall immediately notify the ethics officer,
inspector general, if any, or other official of the procuring
governmental entity responsible for reviewing or investigating such
matters. If an offerer violates the provisions of subdivision three of
this section with regard to permissible contacts at a governmental
entity other than the governmental entity conducting the governmental
procurement, the member, officer or employee who becomes aware of the
violation shall notify the ethics officer, inspector general, if any, or
other official of the governmental entity responsible for reviewing or
investigating such matters where that member, officer or employee works,
who shall in turn notify the ethics officer, inspector general, if any,
or other official of the procuring governmental entity responsible for
reviewing or investigating such matters at the procuring governmental
entity.
9. Every governmental entity shall establish a process for review by
its ethics officer, inspector general, if any, or other official
responsible for reviewing or investigating any allegations of violations
of the provisions of subdivision three of this section with regard to
permissible contacts on governmental procurements, and for the
imposition of sanctions if such violations have been found to exist.
10. a. Upon notification of any allegation of a violation of the
provisions of subdivision three of this section with regard to
permissible contacts on governmental procurements, the governmental
entity's ethics officer, inspector general, if any, or other official of
the procuring governmental entity responsible for reviewing or
investigating such matters shall immediately investigate such allegation
and, if sufficient cause exists to believe that such allegation is true,
shall give the offerer reasonable notice that an investigation is
ongoing and an opportunity to be heard in response to the allegation.
b. A finding that an offerer has knowingly and willfully violated the
provisions of subdivision three of this section shall result in a
determination of non-responsibility for such offerer, and such offerer
and its subsidiaries, and any related or successor entity with
substantially similar function, management, board of directors, officers
and shareholders (hereinafter, for the purposes of this paragraph
"offerer"), shall not be awarded the procurement contract, unless the
governmental entity finds that the award of the procurement contract to
the offerer is necessary to protect public property or public health or
safety, and that the offerer is the only source capable of supplying the
required article of procurement within the necessary timeframe,
provided, that the governmental entity shall include in the procurement
record a statement describing the basis for such a finding. Any
subsequent determination of non-responsibility due to violation of this
section within four years of a determination of non-responsibility due
to a violation of this section shall result in the offerer being
rendered ineligible to submit a proposal on or be awarded any
procurement contract for a period of four years from the date of the
second final determination. Every governmental entity shall ensure that
its solicitations of proposals for procurement contracts require
offerers to disclose findings of non-responsibility due to violations of
the provisions of subdivision three of this section within the previous
four years by any governmental entity. The failure of offerers to timely
disclose accurate and complete information or otherwise cooperate with
the governmental entity in administering this provision shall be
considered by the governmental entity in its determination of
responsibility; provided, further, that the governmental entity shall
not award a contract to an offerer who fails to timely disclose accurate
and complete information or otherwise cooperate with the governmental
entity in administering this provision unless the governmental entity
finds that the award of the procurement contract to the offerer is
necessary to protect public property or public health or safety, and
that the offerer is the only source capable of supplying the required
article of procurement within the necessary timeframe, provided, that
the governmental entity shall include in the procurement record a
statement describing the basis for such a finding. Upon a determination
of non-responsibility or debarment due to a violation of this section,
the governmental entity shall notify the office of general services,
which shall keep a list of all offerers who have been determined to be
nonresponsible bidders or debarred due to violations of this section;
the office of general services shall make publicly available such list
and shall publish such list on its web site.
c. If a violation of the provisions of subdivision three of this
section is found to have knowingly and willfully occurred, then the
ethics officer or inspector general, if any, or other official of the
procuring governmental entity responsible for reviewing or investigating
such matters shall report instances of employee violation of the
guidelines and procedures regarding implementation of subdivision two of
this section to the governmental entity's head.
11. Nothing in this section shall be deemed to prevent: (a) contacts
by offerers in protests, appeals or other review proceedings (including
the apparent successful bidder or proposer and his or her
representatives) before the governmental entity conducting the
procurement seeking a final administrative determination, or in a
subsequent judicial proceeding; or
(b) complaints of alleged improper conduct in a governmental
procurement to the attorney general, inspector general, district
attorney, or court of competent jurisdiction; or
(c) written protests, appeals or complaints to the state comptroller's
office during the process of contract approval, where the state
comptroller's approval is required by law, and where such communications
and any responses thereto are made in writing and shall be entered in
the procurement record pursuant to section one hundred sixty-three of
this chapter; or
(d) complaints of alleged improper conduct in a governmental
procurement conducted by a municipal agency or local legislative body to
the state comptroller's office;
provided, however, that nothing in this subdivision shall be construed
as recognizing or creating any new rights, duties or responsibilities or
abrogating any existing rights, duties or responsibilities of any
governmental entity as it pertains to implementation and enforcement of
article eleven of this chapter or any other provision of law dealing
with the governmental procurement process.
* NB Repealed July 31, 2028
* § 139-k. Disclosure of contacts and responsibility of offerers. 1.
For purposes of this section, the following terms will have the
following meanings unless specified otherwise.
a. "Governmental entity" shall mean: (1) any department, board,
bureau, commission, division, office, council, committee or officer of
the state, whether permanent or temporary; (2) each house of the state
legislature; (3) the unified court system; (4) any public authority,
public benefit corporation or commission created by or existing pursuant
to the public authorities law; (5) a public authority or public benefit
corporation, at least one of whose members is appointed by the governor
or who serves as a member by virtue of holding a civil office of the
state; (6) municipal agency, as that term is defined in paragraph (ii)
of subdivision (s) of section one-c of the legislative law; or (7) a
subsidiary or affiliate of such a public authority.
b. "Article of procurement" shall mean a commodity, service,
technology, public work, construction, revenue contract, the purchase,
sale or lease of real property or an acquisition or granting of other
interest in real property, that is the subject of a governmental
procurement.
c. "Contacts" shall mean any oral, written or electronic communication
with a governmental entity under circumstances where a reasonable person
would infer that the communication was intended to influence the
governmental entity's conduct or decision regarding the governmental
procurement.
d. "Proposal" shall mean any bid, quotation, offer or response to a
governmental entity's solicitation of submissions relating to a
procurement.
e. "Governmental procurement" shall mean: (i) the public announcement,
public notice, or public communication to any potential vendor of a
determination of a need for a procurement, which shall include, but not
be limited to, the public notification of the specifications, bid
documents, request for proposals, or evaluation criteria for a
procurement contract, (ii) solicitation for a procurement contract,
(iii) evaluation of a procurement contract, (iv) award, approval, denial
or disapproval of a procurement contract, or (v) approval or denial of
an assignment, amendment (other than amendments that are authorized and
payable under the terms of the procurement contract as it was finally
awarded or approved by the comptroller, as applicable), renewal or
extension of a procurement contract, or any other material change in the
procurement contract resulting in a financial benefit to the offerer.
f. "Restricted period" shall mean the period of time commencing with
the earliest posting, on a governmental entity's website, in a newspaper
of general circulation, or in the procurement opportunities newsletter
in accordance with article four-C of the economic development law of
written notice, advertisement or solicitation of a request for proposal,
invitation for bids, or solicitation of proposals, or any other method
provided for by law or regulation for soliciting a response from
offerers intending to result in a procurement contract with a
governmental entity and ending with the final contract award and
approval by the governmental entity and, where applicable, the state
comptroller.
g. "Procurement contract" shall mean any contract or other agreement,
including an amendment, extension, renewal, or change order to an
existing contract (other than amendments, extensions, renewals, or
change orders that are authorized and payable under the terms of the
contract as it was finally awarded or approved by the comptroller, as
applicable), for an article of procurement involving an estimated
annualized expenditure in excess of fifteen thousand dollars. Grants,
article eleven-B state finance law contracts, program contracts between
not-for-profit organizations, as defined in article eleven-B of this
chapter, and the unified court system, intergovernmental agreements,
railroad and utility force accounts, utility relocation project
agreements or orders, contracts governing organ transplants, contracts
allowing for state participation in a trade show, and eminent domain
transactions shall not be deemed procurement contracts.
h. "Offerer" shall mean the individual or entity, or any employee,
agent or consultant or person acting on behalf of such individual or
entity, that contacts a governmental entity about a governmental
procurement during the restricted period of such governmental
procurement whether or not the caller has a financial interest in the
outcome of the procurement; provided, however, that a governmental
agency or its employees that communicates with the procuring agency
regarding a governmental procurement in the exercise of its oversight
duties shall not be considered an offerer.
i. "Revenue contract" shall mean any written agreement between a
governmental entity, as that term is defined in subparagraphs one, four,
five, six or seven of paragraph a of this subdivision, and an offerer
whereby the governmental entity gives or grants a concession or a
franchise.
j. "Unified court system" shall, for the purposes of this section
only, mean the unified court system of the state of New York, or the
office of court administration, where appropriate, other than town and
village justice courts in jurisdictions with a population under fifty
thousand, when it acts solely in an administrative capacity to engage in
governmental procurements and shall not include the unified court system
or any court of the state judiciary when it acts to hear and decide
cases of original or appellate jurisdiction or otherwise acts in its
judicial, as opposed to administrative, capacity.
2. Each governmental entity shall ensure that solicitation of
proposals or bid documents or specifications, or contract documents, as
applicable, for procurement contracts shall require offerers to disclose
findings of non-responsibility made within the previous four years by
any governmental entity where such prior finding of non-responsibility
was due to: (a) a violation of section one hundred thirty-nine-j of this
article, or (b) the intentional provision of false or incomplete
information to a governmental entity.
3. The failure of an offerer to timely disclose accurate or complete
information to a governmental entity pursuant to subdivision two of this
section shall be considered by such governmental entity in its
determination of the responsibility of such offerer. No procurement
contract shall be awarded to any such offerer, its subsidiaries, and any
related or successor entity with substantially similar function,
management, board of directors, officers and shareholders (hereinafter,
for the purposes of this subdivision, "offerer"), unless the
governmental entity finds that the award of the procurement contract to
the offerer is necessary to protect public property or public health or
safety, and that the offerer is the only source capable of supplying the
required article of procurement within the necessary timeframe,
provided, that the governmental entity shall include in the procurement
record a statement describing the basis for such a finding.
4. Upon any contact in the restricted period, the governmental entity
shall obtain the name, address, telephone number, place of principal
employment and occupation of the person or organization making the
contact and inquire and record whether the person or organization making
such contact was the offerer or was retained, employed or designated by
or on behalf of the offerer to appear before or contact the governmental
entity about the governmental procurement. All recorded contacts shall
be included in the procurement record for the procurement contract.
5. Any procurement contract award subject to the provisions of this
section and section one hundred thirty-nine-j of this article shall
contain a certification by the offerer that all information provided to
the procuring governmental entity with respect to this section is
complete, true and accurate, and each such procurement contract shall
contain a provision authorizing the governmental entity to terminate
such contract in the event such certification is found to be
intentionally false or intentionally incomplete. The governmental entity
shall include in the procurement record a statement describing the basis
for any action taken pursuant to such termination provision.
6. Any communications received by a governmental entity from members
of the state legislature, or legislative staffs, when acting in their
official capacity, shall not be considered to be a "contact" within the
meaning of this section and shall not be recorded by a governmental
entity pursuant to this section.
* NB Repealed July 31, 2028
Statement on sexual harassment, in bids. 1. (a) Every bid
hereafter made to the state or any public department or agency thereof,
where competitive bidding is required by statute, rule or regulation,
for work or services performed or to be performed or goods sold or to be
sold, shall contain the following statement subscribed by the bidder and
affirmed by such bidder as true under the penalty of perjury:
"By submission of this bid, each bidder and each person signing on
behalf of any bidder certifies, and in the case of a joint bid each
party thereto certifies as to its own organization, under penalty of
perjury, that the bidder has and has implemented a written policy
addressing sexual harassment prevention in the workplace and provides
annual sexual harassment prevention training to all of its employees.
Such policy shall, at a minimum, meet the requirements of section two
hundred one-g of the labor law."
(b) Every bid hereafter made to the state or any public department or
agency thereof, where competitive bidding is not required by statute,
rule or regulation, for work or services performed or to be performed or
goods sold or to be sold, may contain, at the discretion of the
department, agency or official, the certification required pursuant to
paragraph (a) of this subdivision.
2. Notwithstanding the foregoing, the statement required by paragraph
(a) of subdivision one of this section may be submitted electronically
in accordance with the provisions of subdivision seven of section one
hundred sixty-three of this chapter.
3. A bid shall not be considered for award nor shall any award be made
to a bidder who has not complied with subdivision one of this section;
provided, however, that if the bidder cannot make the foregoing
certification, such bidder shall so state and shall furnish with the bid
a signed statement which sets forth in detail the reasons therefor.
4. Any bid hereafter made to the state or any public department,
agency or official thereof, by a corporate bidder for work or services
performed or to be performed or goods sold or to be sold, where such bid
contains the statement required by subdivision one of this section,
shall be deemed to have been authorized by the board of directors of
such bidder, and such authorization shall be deemed to include the
signing and submission of such bid and the inclusion therein of such
statement as the act and deed of the corporation.
Statement on gender-based violence and the workplace, in
bids. 1. (a) Every bid hereafter made to the state or any public
department or agency thereof, where competitive bidding is required by
statute, rule or regulation, for work or services performed or to be
performed or goods sold or to be sold, shall contain the following
statement subscribed by the bidder and affirmed by such bidder as true
under the penalty of perjury:
"By submission of this bid, each bidder and each person signing on
behalf of any bidder certifies, and in the case of a joint bid each
party thereto certifies as to its own organization, under penalty of
perjury, that the bidder has and has implemented a written policy
addressing gender-based violence and the workplace and has provided such
policy to all of its employees, directors and board members. Such policy
shall, at a minimum, meet the requirements of subdivision 11 of section
five hundred seventy-five of the executive law."
(b) Every bid hereafter made to the state or any public department or
agency thereof, where competitive bidding is not required by statute,
rule or regulation, for work or services performed or to be performed or
goods sold or to be sold, may contain, at the discretion of the
department, agency or official, the certification required pursuant to
paragraph (a) of this subdivision.
2. Notwithstanding the foregoing, the statement required by paragraph
(a) of subdivision one of this section may be submitted electronically
in accordance with the provisions of subdivision seven of section one
hundred sixty-three of this chapter.
3. A bid shall not be considered for award, nor shall any award be
made to a bidder who has not complied with subdivision one of this
section; provided, however, that if the bidder cannot make the foregoing
certification, such bidder shall so state and shall furnish with the bid
a signed statement which sets forth in detail the reasons therefor.
4. Any bid hereafter made to the state or any public department,
agency or official thereof, by a corporate bidder for work or services
performed or to be performed or goods sold or to be sold, where such bid
contains the statement required by subdivision one of this section,
shall be deemed to have been authorized by the board of directors of
such bidder, and such authorization shall be deemed to include the
signing and submission of such bid and the inclusion therein of such
statement as the act and deed of the corporation.
Disposition of deposit accompanying bid. Whenever as a
condition precedent to the reception or consideration of a proposal for
construction, alteration, repair or improvement for the state or any
department or officer thereof, a deposit of a certified check, money,
bonds, corporate stock, certificates of indebtedness, or otherwise, is
required, a bidder under such proposal may withdraw his bid if no award
of the contract be made within forty-five days after the receipt of the
bids, and upon such withdrawal his deposit shall be forthwith returned
to him. A check, money, corporate stock, bond, or other security, the
deposit of which is required by statute to secure a bid upon such a
proposal shall be retained under the jurisdiction of the comptroller
until returned to the bidder, or forfeited as provided by the law
pursuant to which such proposal was made. The provisions of this section
shall supersede the provisions of any act inconsistent herewith.
Claims against contractors. A contractor under a contract
heretofore or hereafter made or awarded by the state or by any public
department or official thereof, in case any claim or notice of claim for
injury or damage to person or property, arising out of or in connection
with the performance of such contract, be made to or filed with the
state or any public department or official thereof, may file with the
comptroller an undertaking in the terms and manner prescribed in this
section, and thereupon the comptroller shall be authorized to make
payments to such contractor pursuant to the terms of such contract. Such
undertaking shall be executed with such sureties, in such form and for
such amount as the comptroller may prescribe, and shall be conditioned
for the payment by such contractor of any judgment which may be
recovered in an action brought upon such claim.
Workmen's compensation insurance on public works. Each contract
to which the state, any public department or official thereof, or a
commission appointed pursuant to law is a party and which is of such a
character that the employees engaged thereon are required to be insured
by the provisions of the workmen's compensation law shall contain a
stipulation that the same shall be void and of no effect unless the
person or corporation making or performing the same shall secure
compensation for the benefit of, and keep insured during the life of
said contract, such employees, in compliance with the provisions of such
law.
Deposits on plans and specifications for contracts for public
work. 1. Notwithstanding any inconsistent provision of any general or
special law, the board, division, department, bureau, agency, officer or
commission of the state charged with the duty of preparing plans and
specifications for and awarding or entering into contracts for the
performance of public work may require the payment of a fixed sum of
money, not exceeding one hundred dollars, for each copy of such plans
and specifications, by persons or corporations desiring a copy thereof.
Any person or corporation desiring a copy of such plans and
specifications and making the deposit required by this section shall be
furnished with one copy of the plans and specifications. Notwithstanding
the foregoing, where payment is required it shall be waived upon request
by minority- and women-owned business enterprises certified pursuant to
article fifteen-A of the executive law or by service-disabled
veteran-owned business enterprises certified pursuant to article three
of the veterans' services law. Such payment may also be waived when such
plans and specifications are made available and obtained electronically
or in any non-paper form from the board, division, department, bureau,
agency, officer or commission of the state.
2. If a proposal is duly submitted by any person or corporation making
the deposit required by subdivision one and such proposal is accompanied
by a certified check or other security in accordance with the
requirements contained in the plans and specifications or in the public
advertisement for bids, and provided the amount of such deposit is fifty
dollars or more, the full amount of such deposit for one copy of the
plans and specifications shall be returned to such person or corporation
within thirty days following the award of the contract covered by such
plans and specifications or the rejection of the bid of such person or
corporation provided, however, that such person or corporation shall
have returned the plans and specifications in good condition within the
thirty days. If the amount of such deposit is fifty dollars or more,
partial reimbursement, in an amount equal to the full amount of such
deposit for one set of plans and specifications per unsuccessful bidder
or non-bidder less the actual cost of reproduction of the plans and
specifications as determined by the board, division, department, bureau,
agency, officer or commission of the state charged with the duty of
preparing the plans and specifications, shall be made for all other
copies of the plans and specifications within thirty days following the
award of the contract or the rejection of the bids covered by such plans
and specifications. The full amount of any such deposit made by a
successful bidder shall be refunded to said successful bidder regardless
of the amount of such deposit.
Opening and reading of bids for contracts for public work;
criminal conspiracies. 1. Notwithstanding any inconsistent provisions of
any general or special law, contracts for public work in excess of five
thousand dollars shall be awarded by any board, officer, agency,
department or commission of the state only after advertisement for bids
shall contain a statement of the time and place where all bids received
in pursuance of such notice will be publicly opened and read and,
pursuant to such notice, all bids received shall be publicly opened and
read at the time and place so specified.
2. A person or corporation who conspires to prevent competitive
bidding on a contract for public work or purchase advertised for bidding
shall be guilty of a misdemeanor as provided in section one hundred
three-e of the general municipal law.
Acceptance of final payment under a state contract. No
provision contained in a construction contract awarded by any state
department or agency shall bar the commencement of an action for breach
of contract on the sole ground of the contractor's acceptance of final
payment under such contract provided that a detailed and verified
statement of claim is served upon the public body concerned not later
than forty days after the mailing of such final payment. The statement
shall specify the items upon which the claim will be based and any such
claim shall be limited to such items. Any provision of subdivision four,
section ten of the court of claims act to the contrary notwithstanding,
an action founded upon such statement of claim shall be filed within six
months after the mailing of the final payment. No payment to the
contractor shall limit or qualify any defense, claim or counterclaim
otherwise available to the public body relating to the contract
involved.
Certain construction contracts involving steel. 1.
Notwithstanding any other provisions of law, all contracts over one
hundred thousand dollars in value made and awarded by any department or
agency of the state for the construction, reconstruction, alteration,
repair, maintenance or improvement of any public works shall require
that structural steel, reinforcing steel and/or other major steel items
to be incorporated in the work of the contract shall be produced or made
in whole or substantial part in the United States, its territories or
possessions.
2. Notwithstanding the provisions of subdivision one of this section,
all contracts over one million dollars in value and made and awarded by
the department of transportation, the office of general services, and
the state university of New York construction fund for the construction,
reconstruction, alteration, repair, maintenance or improvement of any
surface roads or bridges, shall contain a provision that the structural
iron and structural steel used or supplied in the performance of the
contract or any subcontract thereto and permanently incorporated into
such surface road or bridge, shall be produced or made in whole or
substantial part in the United States, its territories or possessions.
In the case of a structural iron or structural steel product all
manufacturing must take place in the United States, from the initial
melting stage through the application of coatings, except metallurgical
processes involving the refinement of steel additives. For the purposes
of this section, "permanently incorporated" shall mean an iron or steel
product that is required to remain in place at the end of the project
contract, in a fixed location, affixed to the public work to which it
was incorporated. Iron and steel products that are capable of being
moved from one location to another are not permanently incorporated into
a public work.
3. The provisions of this section shall not apply if the head of the
department or agency constructing the public works, in his or her sole
discretion, determines that such provisions would not be in the public
interest, would result in unreasonable costs or that such iron or steel,
including without limitation structural iron and structural steel,
cannot be produced or made in the United States in sufficient and
reasonably available quantities and of satisfactory quality, or would
result in the loss or reduction of federal funding for the subject
contract or the ability to obtain such federal funding would be limited
or jeopardized by compliance with this section; or there is an immediate
or emergency need existing for the structural steel or structural iron;
or the structural steel or structural iron is not manufactured in the
United States in sufficient and reasonably available quantities or of
satisfactory quality or design to meet the department's or agency's
requirements; or obtaining such steel or iron in the United States would
increase the cost of the contract by an unreasonable amount; or such
steel or iron is necessary for the operation of or repairs of critical
infrastructure that is necessary to avoid a delay in the delivery of
critical services that could compromise the public welfare; or a
reciprocal trade agreement or treaty has been negotiated by the state or
by the United States government on behalf of or including this state
with a foreign nation or government for nondiscriminatory governmental
procurement practices or policies with such foreign nation or
government.
4. Nothing in this section is intended to contravene any existing
treaties, laws, trade agreements, or regulations of the United States or
subsequent trade agreements entered into between any foreign countries
and the state or the United States.
5. Any agency subject to the provisions of this section shall be
authorized to establish rules and regulations for the effective
administration of this section, provided however, nothing in this
section shall be interpreted to require a contractor to certify that the
structural iron or structural steel used in a road or bridge pursuant to
this section is made in whole or in substantial part in the United
States.
Mentor-protege program. 1. In every state agency, department
and authority which has let more than ten million dollars in service and
construction contracts in the prior fiscal year, the chief executive
officer of that agency, department or authority shall develop a
mentor-protege program to foster long-term relationships between
approved mentor firms, and small business concerns and minority and
women-owned businesses certified pursuant to article fifteen-A of the
executive law, in order to enhance the capabilities of small and
minority and women-owned business concerns, improve their success in
contracting with the state or receiving subcontracts under a state
contract, and to create sources of reliable contractors and
subcontractors ready to perform larger jobs and responsibilities.
Participation in the program shall be voluntary for both the mentor firm
and the protege firm.
2. The chief executive officer of each agency, department or
authority, in consultation with the division of minority and women's
business development and the division for small-business shall develop
requirements for:
(a) approval of contractors participating in the program established
pursuant to subdivision one of this section, to be known, for the
purposes of such program, as "mentor firms". Mentor firms must
demonstrate commitment and ability to assist protege firms, including
favorable financial health, good character, and experience in
contracting with the state. Once approved, a mentor firm must annually
certify that it continues to possess good character and a favorable
financial position. Incentives for mentor firms to participate in the
program may include: (i) where contracts are awarded by best value,
additional evaluation points as specified in the request for proposal;
and (ii) where protege firms are certified minority and women-owned
businesses, credit towards fulfillment of minority and women-owned
business participation requirements, including without limitation
additional credit towards fulfillment of minority and women-owned
business subcontracting participation goals based on costs incurred by a
mentor firm in providing assistance to a certified minority and
women-owned business protege firm.
(b) approval for small and certified minority and women-owned business
concerns receiving assistance under the program established pursuant to
subdivision one of this section, to be known, for the purposes of such
program, as "protege firms". A protege firm may have only one mentor at
a time and may participate in the mentor-protege program for a maximum
of five years.
(c) a process by which each mentor firm, before providing assistance
to a protege firm under the program, shall enter into a mentor-protege
agreement regarding the assistance to be provided by the mentor firm,
for a period as determined by the chief executive officer of the agency,
department or authority. A mentor firm may provide a protege firm with
assistance and training in general business management; financial
management, engineering, safety and technical matters; bonding
assistance or bonding waivers; subcontracts; rent-free use of facilities
and/or equipment; joint venture arrangements; and any other assistance
as determined by the chief executive officer of the agency, department
or authority. Mentor-protege agreements shall be approved by the chief
executive officer of the agency, department or authority, and shall
provide that either party may terminate the agreement with thirty days
advance notice and notice to the chief executive officer. No
determination of affiliation or control may be found between a protege
firm and its mentor firm based on the mentor-protege agreement or any
assistance provided pursuant to such agreement.
Certain contracts involving personal protective equipment and
medical supplies. 1. Notwithstanding any other provisions of law, all
contracts over fifty thousand dollars in value made and awarded by any
department or agency of the state for the purchase of personal
protective equipment or medical supplies shall require that the personal
protective equipment or medical supply items be produced or made in
whole or substantial part in the United States.
2. For purposes of this section:
(a) "personal protective equipment" means all equipment worn to
minimize exposure to medical hazards, including gloves, masks, face
shields, eye protection, respirators, medical hair and shoe coverings,
and disposable gowns and aprons.
(b) "medical supplies" means materials necessary to respond to health
emergencies or pandemics, including and without limitation ventilators,
medical test kits, and vaccines.
(c) "United States" means the United States, its territories, or
possessions.
3. The provisions of this section shall not apply if the head of the
department or agency purchasing the personal protective equipment or
medical supplies, in his or her sole discretion, determines that such
provisions would not be in the public interest; that obtaining such
personal protective equipment or medical supplies in the United States
would increase the cost of the contract by an unreasonable amount; that
such personal protective equipment or medical supplies cannot be
produced or made in the United States in sufficient and reasonably
available quantities and of satisfactory quality or design to meet the
department's or agency's requirements; or that purchasing personal
protective equipment or medical supplies manufactured outside of the
United States is necessary to avoid a delay in the delivery of critical
services that could compromise the public welfare.
4. Nothing in this section is intended to contravene any existing
treaties, laws, trade agreements, or regulations of the United States or
subsequent trade agreements entered into between any foreign countries
and the state or the United States.
5. Subject to the provisions of this section, the department of
economic development, in consultation with the office of general
services and the division of the budget, shall be authorized to
establish rules and regulations for the effective administration of this
section.
Tower technician protections. 1. Definitions. For the purposes
of this article, the following terms shall have the following meanings:
(a) "State agency" or "state agencies" means all state departments,
boards, commissions, offices or institutions.
(b) "Telecommunications tower" means any freestanding tower, monopole
or similar structure or facility used for the provision of wireless
services including ancillary telecommunications equipment required to
integrate such structure or facility into an existing or proposed
wireless network.
(c) "Tower technician" means any telecommunications professional who
installs, repairs, and maintains telecommunications towers and
equipment.
(d) "Contractor" means any person, firm, partnership, corporation,
association, company, organization or other entity, including a
construction manager, general or prime contractor, joint venture, or any
combination thereof, which enters into a construction contract with a
state agency.
(e) "Tower services" means any work performed by a tower technician on
state-owned telecommunications towers.
2. Tower technician protections. Any construction contract for tower
services entered into by a state agency and a private entity shall
include training requirements for all tower technicians performing work
pursuant to the construction contract with the state agency. The
training requirements for tower technicians shall be determined by the
office of general services in consultation with any party deemed
necessary by the office of general services. Such training requirements
shall be published on the office of general services website.
3. A contractor shall provide confirmation to the state agency that
all tower technicians performing tower services pursuant to the contract
have received the training required by subdivision two of this section
prior to commencing work pursuant to the contract. Such confirmation
shall include a list of tower technicians and the dates when each
required training was completed.
4. Nothing in this section shall be deemed to diminish the rights,
privileges, or remedies of any employee under any collective bargaining
agreement to the contrary.
ARTICLE 10 Mortgages
Foreclosure of mortgages by the state. The comptroller shall
cause all mortgages belonging to the state upon which default is made in
the payment of principal or interest, to be foreclosed, whenever, in his
judgment, it may be necessary for the protection of the interest of the
state. All actions or proceedings for that purpose shall be prosecuted
or conducted by the attorney-general.
When comptroller shall bid in premises. If on a sale on any
such foreclosure, there is not bid and paid or received the amount
unpaid on the mortgage, for principal and interest and the costs and
expenses of the foreclosure, the comptroller may cause the sale to be
postponed and have the value of the premises appraised by two competent
and disinterested persons selected by him. If the premises are appraised
at a sum equal to or exceeding the amount unpaid to the state, including
the costs of the foreclosure and expenses of the appraisal, the
comptroller on the sale thereof, shall bid for the state such amount, if
necessary to prevent a sale of the premises at a less sum. If the
premises are appraised at a sum less than such amount, the comptroller
may bid the amount of the appraisement and no more. If the premises are
struck off for a sum less than such amount, no greater sum shall be
credited to the mortgagor or any other person, on account of such sale
than the sum bid for the premises sold, deducting therefrom all costs
and expenses of the sale and appraisal. The appraisers shall receive a
reasonable compensation for their services, to be allowed by the
comptroller and paid out of the treasury.
Conditions of sale. At a sale under such foreclosure the
comptroller shall require the purchaser to pay, at the time of the sale,
the costs and expenses thereof, and at least one-fourth of the amount so
unpaid; and for securing the remainder of the moneys due the state, on
the execution of a deed or of the affidavits of sale to the purchaser,
he may accept from the purchaser a bond and mortgage to the state on the
premises sold, payable in six equal annual instalments, with annual
interest at six per centum. If the mortgaged premises sell for a greater
sum than the amount so unpaid and the costs and expenses of the sale,
the comptroller shall also require the purchaser at the time of the sale
to make payment of such surplus. The expense incurred by the
attorney-general in any action or proceeding for the foreclosure of any
such mortgage, shall be paid to him out of the treasury.
Sale in parcels. On any such foreclosure, if any person having
title to a part of the mortgaged premises, by conveyance from or through
the mortgagor, delivers to the comptroller an affidavit stating that he
has such title, and describing with certainty such part, the comptroller
on the sale under such foreclosure shall cause to be first sold that
part of the mortgaged premises not specified in the affidavit. If the
part so sold does not produce enough to satisfy the amount so unpaid and
costs and expenses he shall immediately cause such part or parts of the
premises as have been conveyed by the mortgagor and described in any
such affidavit, to be sold, and if more than one part of such premises
has been so conveyed, and an affidavit made as herein required, the
comptroller shall cause such parts to be sold in the inverse order of
the dates of such conveyances, if it is necessary to sell them,
commencing with the part last conveyed by the mortgagor, and such sale
shall cease when the proceeds of the sale are sufficient to satisfy the
amount so unpaid and such costs and expenses.
Separate accounts for lands purchased or mortgaged. The
comptroller on application to him for that purpose, shall open an
account in his office against any person, for a part or subdivision of a
lot of land purchased from or mortgaged to the state, for the
proportionate part of the moneys on any such part or subdivision, and
thereafter give credit on the several parts or subdivisions, as the
persons making payments may require. He may credit any prior payment to
a part or subdivision, if such payment appears by satisfactory proof to
have been originally intended to be paid on such part or subdivision or
by or for the use of the person claiming the credit, whether so
expressed in the receipts or not. No part of any such payments shall be
applied to the reduction of the principal unpaid on any such part or
subdivision, unless the payments exceed the interest, calculated on the
principal due on such part, or subdivision, to the day when such part or
subdivision is to be paid off, or a new account opened therefor. If
separate receipts be given by the treasurer, for any payments which are
claimed to be credited to the account of any such part or subdivision,
the receipts shall be delivered to the comptroller and filed in his
office. Separate accounts shall not be opened under this section unless
a map and survey of the whole lot is filed with the comptroller, showing
particularly the part or subdivision for which such account is to be
opened, and satisfactory proof furnished the comptroller that the
residue of the lot is sufficient security for the sum remaining unpaid
thereon.
Discharge and cancellation of mortgages by the state. The
treasurer's receipt, countersigned by the comptroller, setting forth
that the whole sum secured by the mortgage held by the state has been
paid, shall be a sufficient discharge of the mortgage, and the officer
in whose office such mortgage is recorded shall record such receipt as a
satisfaction of the mortgage and satisfy the mortgage of record. When
any part or subdivision of any lot mortgaged to or purchased from the
state, for which a separate account has been opened, is paid, the
comptroller shall execute a discharge of such part or subdivision from
such mortgage.
If a map and survey of the whole lot is filed with the comptroller
showing particularly a part or subdivision for which no separate account
has been opened, and the owner thereof pays into the treasury its full
proportion of principal and interest unpaid, and satisfactory proof is
furnished the comptroller that the residue of the lot is sufficient
security for the sum remaining unpaid, he may execute a like discharge
of such part or subdivision.
The comptroller may cancel and discharge any mortgage, on satisfactory
proof that the moneys loaned and secured by such mortgage have been
fully paid to the officers authorized by law to receive the same if the
mortgage remains uncancelled and undischarged of record.
Surplus moneys on sale of lands mortgaged to the state. If
real property mortgaged to the state, or purchased for the benefit of
the state, or for which a certificate has been given to a former
purchaser, is sold by the comptroller or the commissioner of general
services for a greater sum than the amount due to the state, with the
costs and expenses of the foreclosure or resale, the surplus moneys
received after a conveyance has been executed to the purchaser, shall be
paid to the person legally entitled to such real property at the time of
the foreclosure or of the forfeiture of the original contract.
On the sale of such real property by the comptroller or the
commissioner of general services, the comptroller shall give credit to
the mortgagor on his bond or to the original purchaser on his contract,
for the amount at which such property has been sold, after deducting
therefrom all the costs, charges and expenses of the sale. If
interfering claims to such surplus moneys be made, they shall be
referred by the comptroller to the attorney-general, whose decision as
to the rights of the respective claimants shall be final and conclusive
as to any claim against the state. The comptroller shall not pay any
moneys authorized by this section to be refunded, except on satisfactory
proof, by affidavit or otherwise, of the legal right of the person in
whose favor such warrant is applied for.
Release of part of mortgaged premises. If the owner of
mortgaged premises sell a part thereof, the comptroller, on application
and with the consent of the mortgagor or such owner may release the part
of the mortgaged premises sold from the lien of the mortgage. Such
release, however, shall not be given unless a sum approved by the
comptroller shall be first paid upon the mortgage and unless the part of
the mortgaged premises remaining unsold, exclusive of buildings and
prior liens, is worth double the residue of the mortgage debt. The
comptroller shall execute such release in the usual form, which, when
acknowledged, shall be recorded by the county clerk and a minute thereof
made upon a margin of the mortgage.
Power of comptroller to maintain actions. The comptroller may,
at any time before the sale of the mortgaged premises, bring an action
to restrain the commission of waste by any person upon the mortgaged
premises, or to correct any mistake or omission in the description
thereof, or to recover the amount due on a mortgage. At any time before
payment and discharge of mortgage or before sale, if any person cuts or
removes or injures the timber, fences, buildings or other fixtures
belonging to such mortgaged premises, or threatens so to do, the
comptroller may maintain a like action for damages or an injunction.
Assignments of mortgages; releases from judgments. The
comptroller, on the written request of the owner in actual possession of
real property mortgaged to the state, may assign such mortgage, with the
bond or other instrument accompanying the same, on payment into the
treasury of the amount of principal and interest unpaid on such
mortgage. The comptroller, with the consent of the attorney-general, if
satisfied that the interests of the state will not be prejudiced
thereby, may release any portion of any real property subject to a
judgment in favor of the people of the state from the lien created by
such judgment.
ARTICLE 11 State Purchasing
Definitions. As used in this article, the following terms shall
have the following meanings unless specified otherwise:
1. "Centralized contract" means any contract for the purchase of
commodities or services, established or approved by the commissioner of
general services as meeting the state's requirements including, but not
limited to, any contract let by the federal government, other state or
local governments or purchasing consortia.
2. "Commissioner" means the commissioner of general services.
3. "Commodity" or "commodities" means material goods, supplies,
products, construction items, electronic information resources or other
standard articles of commerce which are the subject of any purchase or
other exchange.
4. "Construction item" means any item or material used in construction
and which is procured directly by a state agency or by a person other
than a municipality under contract with a state agency.
5. "Costs" as used in this article shall be quantifiable and may
include, without limitation, the price of the given good or service
being purchased; the administrative, training, storage, maintenance or
other overhead associated with a given good or service; the value of
warranties, delivery schedules, financing costs and foregone opportunity
costs associated with a given good or service; and the life span and
associated life cycle costs of the given good or service being
purchased. Life cycle costs may include, but shall not be limited to,
costs or savings associated with construction, energy use, maintenance,
operation, and salvage or disposal.
6. "Price" unless otherwise specified means the amount of money set as
consideration for the sale of a commodity or service and may include,
but is not limited to, when applicable and when specified in the
solicitation, delivery charges, installation charges and other costs.
7. "Service" or "services" means the performance of a task or tasks
and may include a material good or a quantity of material goods, and
which is the subject of any purchase or other exchange. For the purposes
of this article, technology shall be deemed a service. Services, as
defined in this article, shall not apply to those contracts for
architectural, engineering or surveying services, or those contracts
approved in accordance with article eleven-B of this chapter.
8. "Small business concern" or "small business" means a business which
is resident in this state, independently owned and operated, not
dominant in its field and employs one hundred or less persons.
9. "State agency" or "state agencies" means all state departments,
boards, commissions, offices or institutions but excludes, however, for
the purposes of subdivision five of section three hundred fifty-five of
the education law, the state university of New York and excludes, for
the purposes of subdivision a of section sixty-two hundred eighteen of
the education law, the city university of New York; provided, however,
that the state university of New York and the city university of New
York shall be subject to the provisions of section one hundred
sixty-five-a of this article. Furthermore, such term shall not include
the legislature or the judiciary.
10. "Technology" means either a good or a service or a combination
thereof, used in the application of any computer or electronic
information or interconnected system that is used in the acquisition,
storage, manipulation, management, movement, control, display,
switching, interchange, transmission, or reception of data or voice
including, but not limited to, hardware, software, information
appliances, firmware, programs, systems, networks, infrastructure,
media, and related material used to automatically and electronically
collect, receive, access, transmit, display, store, record, retrieve,
analyze, evaluate, process, classify, manipulate, manage, assimilate,
control, communicate, exchange, convert, coverage, interface, switch, or
disseminate data of any kind or form, and shall include all associated
consulting, management, facilities, maintenance and training. Goods may
be either new or used.
State procurement council. 1. a. The state procurement council
shall continuously strive to improve the state's procurement process.
Such council shall consist of twenty-one members, including the
commissioner, the state comptroller, the director of the budget, the
chief diversity officer and the commissioner of economic development, or
their respective designees; seven members who shall be the heads of
other large and small state agencies chosen by the governor, or their
respective designees; one member, appointed by the governor,
representing a not-for-profit New York-based organization engaged in the
marketing and/or promotion of New York grown farm and agricultural
products or a not-for-profit New York-based organization engaged solely
in the advocacy, marketing and/or promotion of organic New York grown
farm and agricultural products to be limited to a two year term; and
eight at large members appointed as follows: three appointed by the
temporary president of the senate, one of whom shall be a representative
of local government and one of whom shall be a representative of private
business; three appointed by the speaker of the assembly, one of whom
shall be a representative of local government and one of whom shall be a
representative of private business; one appointed by the minority leader
of the senate; and, one appointed by the minority leader of the
assembly; and two non-voting observers appointed as follows: one
appointed by the temporary president of the senate and one appointed by
the speaker of the assembly. The non-voting observers shall be provided,
contemporaneously, all documentation and materials distributed to
members. The council shall be chaired by the commissioner and shall meet
at least quarterly.
b. The at large members shall each serve a term of three years;
provided, however, that for their initial appointments, the temporary
president of the senate and the speaker of the assembly shall each
designate one member to serve a term of one year, one member to serve a
term of two years and one member to serve a term of three years. Any
vacancy among the at large members shall be filled by appointment
pursuant to paragraph a of this subdivision for the unexpired balance of
the term. The non-voting observers shall each serve a term of three
years. All the initial appointments made pursuant to this section shall
be deemed to have been made and to have been effective for all purposes
on the fourth day of June, nineteen hundred ninety-six.
c. The members of the council shall serve without compensation, except
that each of them shall be allowed the necessary and actual expenses
incurred in the performance of any of their duties hereunder.
d. The council may conduct any business authorized herein when a
quorum of the members are represented in session.
2. The council shall:
a. Evaluate and make recommendations to the commissioner for the
development of specifications for commodities and services to be
acquired by or for state agencies through centralized contracts,
including, but not limited to, evaluations and recommendations on
minimum purchase quantities and standards for quality, function and
utility;
b. Establish and maintain guidelines which, in the manner provided by
this article, enable state agencies to acquire products directly from
vendors or suppliers other than those participating in a centralized
contract when such products are not required by this article to be
acquired from a preferred source and when such products are available in
substantially similar function, form or utility and at prices or other
terms more economically beneficial for the purposes of the acquiring
state agency;
c. Identify to the commissioner any deficiencies in products or
services made available to state agencies through centralized contracts,
including, at the discretion of the council, matters relating to
specifications developed and employed for procurement of products or
services through centralized contracts;
d. Establish and, from time to time, amend guidelines concerning state
procurement and provide for the appropriate distribution and
dissemination of such guidelines and other information concerning all
matters relating to procurement of products, construction items or
services for state agencies;
e. Recommend to the commissioner necessary legislative changes or
modifications to existing or proposed rules, regulations and procedures
which would simplify, accelerate or otherwise improve the state's
procurement process and make specific recommendations to the
commissioner by September thirtieth, nineteen hundred ninety-five for
the improvement of the New York state printing and public documents law;
f. Act as a clearinghouse for the purpose of identification of
potential cost reductions and other efficiencies through the combination
of similar procurement requirements of state agencies;
g. Consult with and advise the commissioner on strategic technology
investments that will facilitate electronic access to the terms and
conditions of existing procurement contracts, promote electronic
commerce including, but not limited to, payment to vendors, promote and
enhance the efficiency of the procurement of products and services by or
for state agencies and produce useful information that supports state
procurement operations, management, analysis and decision making
including, but not limited to, data concerning the status and use of
procurement contracts and the number and type of contracts and award
recipients;
h. Establish and, from time to time, amend guidelines for purchases of
commodities, by the commissioner or state agencies. Such guidelines
shall ensure the wise and prudent use of public money in the best
interest of the taxpayers of the state; and guard against favoritism,
improvidence, extravagance, fraud and corruption;
i. Establish and, from time to time, amend guidelines for the
procurement of services and technology in accordance with the provisions
of this article. Such guidelines shall ensure the wise and prudent use
of public money in the best interest of the taxpayers of the state;
guard against favoritism, improvidence, extravagance, fraud and
corruption; and ensure that service contracts are awarded on the basis
of best value, including, but not limited to, the following criteria:
quality, cost, and efficiency;
j. Consult with and advise the commissioner on new opportunities to
acquire commodities and services including, but not limited to, regional
or statewide equipment or facility maintenance services, professional
services, coordination and cooperation with other centralized purchasing
entities, and coordination of reuse of surplus property;
k. Report by December thirty-first, nineteen hundred ninety-five and
thereafter biennially to the governor, the legislature and the director
of the budget, the significant findings of the council including, but
not limited to, substantial savings generated by council initiatives and
the recommendations of the council concerning the state's procurement
practices; and
l. Undertake other related activities as are necessary to effectuate
this article including the development of a strategic plan for the
improvement of state procurement.
m. Establish and, from time to time, amend guidelines with respect to
publishing by state agencies of quarterly listings of projected
procurements having a value greater than five thousand dollars but less
than fifty thousand dollars in the procurement opportunities newsletter
established by article four-C of the economic development law.
n. Recommend to the commissioner necessary legislative changes or
modifications to existing or proposed rules, regulations and procedures
that would increase access to the state's procurement process by
minority-owned business enterprises and women-owned business enterprises
and create model language to be used by agencies when issuing requests
for bids or proposals to other solicitations or offers that would
increase the ability of small businesses to participate in state
procurements.
3. The commissioner may, when he or she deems it necessary to
implement the provisions and intent of this article, adopt
recommendations made by the council and may, at the request of the state
procurement council, promulgate rules and regulations pursuant to the
state administrative procedure act to give effect to such
recommendations. When the commissioner adopts recommendations made by
the council but does not promulgate rules and regulations implementing
such recommendations, the commissioner shall publish said
recommendations or a summary thereof in the state register. If the
commissioner modifies or rejects any recommended rule or regulation, he
or she shall notify the council providing a written explanation thereof.
4. The commissioner shall report to the governor, the legislature and
the director of the budget by December thirty-first, nineteen hundred
ninety-five and thereafter annually on any modifications to or
rejections of the rules and regulations proposed by the council.
5. Nothing in this section shall be deemed to alter, supersede, modify
or amend any provision of this article which establishes preferential
status for any producer or supplier of commodities or services.
Preferred sources. 1. Purpose. To advance special social and
economic goals, selected providers shall have preferred source status
for the purposes of procurement in accordance with the provisions of
this section. Procurement from these providers shall be exempted from
the competitive procurement provisions of section one hundred
sixty-three of this article and other competitive procurement statutes.
Such exemption shall apply to commodities produced, manufactured or
assembled, including those repackaged to meet the form, function and
utility required by state agencies, in New York state and, where so
designated, services provided by those sources in accordance with this
section.
2. Preferred status. Preferred status as prescribed in this section
shall be accorded to:
a. Commodities produced by the correctional industries program of the
department of corrections and community supervision and provided to the
state pursuant to subdivision two of section one hundred eighty-four of
the correction law;
b. Commodities and services produced by any qualified charitable
non-profit-making agency for the blind approved for such purposes by the
commissioner of the office of children and family services;
c. Commodities and services produced by any special employment program
serving mentally ill persons, which shall not be required to be
incorporated and which is operated by facilities within the office of
mental health and is approved for such purposes by the commissioner of
mental health;
* d. Commodities and services produced by any qualified charitable
non-profit-making agency for other disabled persons approved for such
purposes by the commissioner of education, or incorporated under the
laws of this state and approved for such purposes by the commissioner of
education;
* NB Effective until October 4, 2028
* d. Commodities and services produced by any qualified charitable
non-profit-making agency for other severely disabled persons approved
for such purposes by the commissioner of education, or incorporated
under the laws of this state and approved for such purposes by the
commissioner of education;
* NB Effective October 4, 2028
* e. Commodities and services produced by a qualified veterans' entity
providing job and employment-skills training to veterans where such a
entity is operated by the United States department of veterans affairs
and is manufacturing products or performing services within this state
and where such entity is approved for such purposes by the commissioner
of education; or
* NB Effective until October 4, 2028
* e. Commodities and services produced by a qualified veterans'
workshop providing job and employment-skills training to veterans where
such a workshop is operated by the United States department of veterans
affairs and is manufacturing products or performing services within this
state and where such workshop is approved for such purposes by the
commissioner of education; or
* NB Effective October 4, 2028
* f. Commodities and services produced by any qualified charitable
non-profit-making entity for veterans approved for such purposes by the
commissioner of education, or incorporated under the laws of this state
and approved for such purposes by the commissioner of education.
* NB Effective until October 4, 2028
* f. Commodities and services produced by any qualified charitable
non-profit-making workshop for veterans approved for such purposes by
the commissioner of education, or incorporated under the laws of this
state and approved for such purposes by the commissioner of education.
* NB Effective October 4, 2028
3. Public list of services and commodities provided by preferred
sources.
a. By December thirty-first, nineteen hundred ninety-five, the
commissioner, in consultation with the commissioners of corrections and
community supervision, the office of children and family services, the
office of temporary and disability assistance, mental health and
education, shall prepare a list of all commodities and services that are
available and are being provided as of said date, for purchase by state
agencies, public benefit corporations or political subdivisions from
those entities accorded preference or priority status under this
section. Such list may include references to catalogs and other
descriptive literature which are available directly from any provider
accorded preferred status under this section. The commissioner shall
make this list available to prospective vendors, state agencies, public
benefit corporations, political subdivisions and other interested
parties. Thereafter, new or substantially different commodities or
services may only be made available by preferred sources for purchase by
more than one state agency, public benefit corporation or political
subdivision after addition to said list.
b. After January first, nineteen hundred ninety-six, upon the
application of the commissioner of corrections and community
supervision, the commissioner of the office of children and family
services, the office of temporary and disability assistance, the
commissioner of mental health or the commissioner of education, or a
non-profit-making facilitating agency designated by one of the said
commissioners pursuant to paragraph e of subdivision six of this
section, the state procurement council may recommend that the
commissioner: (i) add commodities or services to, or (ii) in order to
insure that such list reflects current production and/or availability of
commodities and services, delete at the request of a preferred source,
commodities or services from, the list established by paragraph a of
this subdivision. The council may make a non-binding recommendation to
the relevant preferred source to delete a commodity or service from such
list. Additions may be made only for new services or commodities, or for
services or commodities that are substantially different from those
reflected on said list for that provider. The decision to recommend the
addition of services or commodities shall be based upon a review of
relevant factors as determined by the council including costs and
benefits to be derived from such addition and shall include an analysis
by the office of general services conducted pursuant to subdivision six
of this section. Unless the state procurement council shall make a
recommendation to the commissioner on any such application within one
hundred twenty days of receipt thereof, such application shall be deemed
recommended. In the event that the state procurement council shall deny
any such application, the commissioner or non-profit-making agency which
submitted such application may, within thirty days of such denial,
appeal such denial to the commissioner of general services who shall
review all materials submitted to the state procurement council with
respect to such application and who may request such further information
or material as is deemed necessary. Within sixty days of receipt of all
information or materials deemed necessary, the commissioner shall render
a written final decision on the application which shall be binding upon
the applicant and upon the state procurement council.
c. The list maintained by the office of general services pursuant to
paragraph a of this subdivision shall be revised as necessary to reflect
the additions and deletions of commodities and services approved by the
state procurement council.
4. Priority accorded preferred sources. Except as provided in the New
York state printing and public documents law, priority among preferred
sources shall be accorded as follows:
a. (i) When commodities are available, in the form, function and
utility required by a state agency, public authority, commission, public
benefit corporation or political subdivision, said commodities must be
purchased first from the correctional industries program of the
department of corrections and community supervision;
* (ii) When commodities are available, in the form, function and
utility required by, a state agency or political subdivision or public
benefit corporation having their own purchasing agency, and such
commodities are not available pursuant to subparagraph (i) of this
paragraph, said commodities shall then be purchased from approved
charitable non-profit-making agencies for the blind, provided, however,
the preferred source shall perform fifty percent or more of the work;
* NB Effective until October 4, 2028
* (ii) When commodities are available, in the form, function and
utility required by, a state agency or political subdivision or public
benefit corporation having their own purchasing agency, and such
commodities are not available pursuant to subparagraph (i) of this
paragraph, said commodities shall then be purchased from approved
charitable non-profit-making agencies for the blind;
* NB Effective October 4, 2028
* (iii) When commodities are available, in the form, function and
utility required by, a state agency or political subdivision or public
benefit corporation having their own purchasing agency, and such
commodities are not available pursuant to subparagraphs (i) and (ii) of
this paragraph, said commodities shall then be purchased from a
qualified non-profit-making agency for other disabled persons, a
qualified special employment program for mentally ill persons, or a
qualified veterans' entity; provided, however, the preferred source
shall perform fifty percent or more of the work;
* NB Effective until October 4, 2028
* (iii) When commodities are available, in the form, function and
utility required by, a state agency or political subdivision or public
benefit corporation having their own purchasing agency, and such
commodities are not available pursuant to subparagraphs (i) and (ii) of
this paragraph, said commodities shall then be purchased from a
qualified non-profit-making agency for other severely disabled persons,
a qualified special employment program for mentally ill persons, or a
qualified veterans' workshop;
* NB Effective October 4, 2028
b. * When services are available, in the form, function and utility
required by, a state agency or political subdivision or public benefit
corporation having their own purchasing agency, equal priority shall be
accorded the services rendered and offered for sale by qualified
non-profit-making agencies for the blind and those for the other
disabled, by qualified special employment programs for mentally ill
persons and by qualified veterans' entities; provided, however, the
preferred source shall perform fifty percent or more of the work. In the
case of services:
* NB Effective until October 4, 2028
* When services are available, in the form, function and utility
required by, a state agency or political subdivision or public benefit
corporation having their own purchasing agency, equal priority shall be
accorded the services rendered and offered for sale by qualified
non-profit-making agencies for the blind and those for the other
severely disabled, by qualified special employment programs for mentally
ill persons and by qualified veterans' workshops. In the case of
services:
* NB Effective October 4, 2028
(i) state agencies or political subdivisions or public benefit
corporations having their own purchasing agency shall make reasonable
efforts to provide a notification describing their requirements to those
preferred sources, or to the facilitating entity identified in paragraph
e of subdivision six of this section, which provide the required
services as indicated on the official public list maintained by the
office of general services pursuant to subdivision three of this
section;
(ii) if, within ten days of the notification required by subparagraph
(i) of this paragraph, one or more preferred sources or facilitating
entities identified in paragraph e of subdivision six of this section
submit a notice of intent to provide the service in the form, function
and utility required, said service shall be purchased in accordance with
this section. If more than one preferred source or facilitating entity
identified in paragraph e of subdivision six of this section submits
notification of intent and meets the requirements, costs shall be the
determining factor for purchase among the preferred sources;
(iii) if, within ten days of the notification required by subparagraph
(i) of this paragraph, no preferred source or facilitating entity
identified in paragraph e of subdivision six of this section indicates
intent to provide the service, then the service shall be procured in
accordance with section one hundred sixty-three of this article. If,
after such period, a preferred source elects to bid on the service,
award shall be made in accordance with section one hundred sixty-three
of this article or as otherwise provided by law.
c. For the purposes of commodities and services produced by special
employment programs operated by facilities approved or operated by the
office of mental health, facilities within the office of mental health
shall be exempt from the requirements of subparagraph (i) of paragraph a
of this subdivision. When such requirements of the office of mental
health cannot be met pursuant to subparagraph (ii) or (iii) of paragraph
a of this subdivision, or paragraph b of this subdivision, the office of
mental health may purchase commodities and services which are
competitive in price and comparable in quality to those which could
otherwise be obtained in accordance with this article, from special
employment programs operated by facilities within the office of mental
health or other programs approved by the office of mental health.
5. Prices charged by the department of corrections and community
supervision. The prices to be charged for commodities produced by the
correctional industries program of the department of corrections and
community supervision shall be established by the commissioner of
corrections and community supervision in accordance with section one
hundred eighty-six of the correction law.
a. The prices established by the commissioner of corrections and
community supervision shall be based upon costs as determined pursuant
to this subdivision, but shall not exceed a reasonable fair market price
determined at or within ninety days before the time of sale. Fair market
price as used herein means the price at which a vendor of the same or
similar product or service who is regularly engaged in the business of
selling such product or service offers to sell such product or service
under similar terms in the same market. Costs shall be determined in
accordance with an agreement between the commissioner of corrections and
community supervision and the director of the budget.
b. A purchaser of any such product or service may, at any time prior
to or within thirty days of the time of sale, appeal the purchase price
in accordance with section one hundred eighty-six of the correction law,
on the basis that it unreasonably exceeds fair market price. Such an
appeal shall be decided by a majority vote of a three-member price
review board consisting of the director of the budget, the commissioner
of corrections and community supervision and the commissioner or their
representatives. The decision of the review board shall be final.
6. Prices charged by agencies for the blind, other disabled and
veterans' entity.
a. Except with respect to the correctional industries program of the
department of corrections and community supervision, it shall be the
duty of the commissioner to determine, and from time to time review, the
prices of all commodities and to approve the price of all services
provided by preferred sources as specified in this section offered to
state agencies, political subdivisions or public benefit corporations
having their own purchasing office. The commissioner's price review and
approval shall not be required for any purchases below one hundred
thousand dollars.
b. In determining and revising the prices of such commodities or
services, consideration shall be given to the reasonable costs of labor,
materials and overhead necessarily incurred by such preferred sources
under efficient methods of procurement, production, performance and
administration; however, the prices of such products and services shall
be as close to prevailing market price as practicable, but in no event
greater than fifteen percent above the prevailing market prices for the
same or equivalent commodities or services.
c. Such qualified charitable non-profit-making agencies for the blind
and other disabled may make purchases of materials, equipment or
supplies, except printed material, from centralized contracts for
commodities in accordance with the conditions set by the office of
general services; provided that the qualified charitable
non-profit-making agency for the blind or other disabled shall accept
sole responsibility for any payment due the vendor.
d. Such qualified charitable non-profit-making agencies for the blind
and other disabled may make purchases of materials, equipment and
supplies directly from the correctional industries program administered
by the commissioner of corrections and community supervision, subject to
such rules as may be established from time to time pursuant to the
correction law; provided that the qualified charitable non-profit-making
agency for the blind or other disabled shall accept sole responsibility
for any payment due the department of corrections and community
supervision.
e. The commissioner of the office of children and family services
shall appoint the New York state commission for the blind, or other
non-profit-making agency, other than the agency representing the other
disabled, to facilitate the distribution of orders among qualified
non-profit-making charitable agencies for the blind. The state
commissioner of education shall appoint a non-profit-making agency,
other than the agency representing the blind, to facilitate the
distribution of orders among qualified non-profit-making charitable
agencies for the other disabled and the veterans' entities. The state
commissioner of mental health shall facilitate the distribution of
orders among qualified special employment programs operated or approved
by the office of mental health serving mentally ill persons.
f. The commissioner may request the state comptroller to conduct
audits and examinations to be made of all records, books and data of any
agency for the blind or the other disabled, any special employment
program for mentally ill persons or any veterans' entity qualified under
this section to determine the costs of manufacture or the rendering of
services and the manner and efficiency of production and administration
of such agency or special employment program or veterans' entity with
relation to any product or services purchased by a state agency or
political subdivision or public benefit corporation and to furnish the
results of such audit and examination to the commissioner for such
action as he or she may deem appropriate under this section.
7. Partnering with preferred sources. Private vendors may be accorded
preferred source status but only when a proposal to a soliciting agency
for commodities or services includes a binding agreement with one or
more of the entities accorded preferred source status under this
section. The binding agreement shall provide that:
(i) The preferred source shall perform the majority of the work
necessary to such offering, and
(ii) The partnering proposal includes bona fide long term employment
opportunities for persons who are clients of an entity accorded
preferred source status herein, and
(iii) The partnering proposal offers the solicited services or
commodities at a price less than the price that otherwise would be
charged by the preferred source.
8. The council shall report to the governor, legislative fiscal
committees and the director of the budget by December thirty-first,
nineteen hundred ninety-five and thereafter annually, a separate list
concerning the denial of any application made pursuant to paragraph b of
subdivision three of this section, the reasons for such denial, whether
such denial was appealed to the commissioner, and the final decision by
the commissioner on such application.
9. The provisions of this section shall supersede inconsistent
provisions of any general, special or local law, or the provisions of
any charter.
The New York state buy American salt act. 1. Use of American
materials. (a) Notwithstanding any other provision of law, when
soliciting a contract for the purchase of rock salt or sodium chloride,
any department or agency of the state may award such contract to the
responsible and reliable bidder offering to supply rock salt or sodium
chloride that is mined or hand harvested in the United States, and which
offer is within ten percent of the lowest price or best value offer,
rather than to the lowest responsible and reliable bidder.
(b) If it has been determined by a court or federal or state agency
that any person intentionally:
(i) affixed a label bearing a "Made in America" inscription, or any
inscription with the same meaning, to any rock salt, or sodium chloride
product used in projects to which this section applies, sold in or
shipped to the United States that was not mined or hand harvested in the
United States; or
(ii) represented that any rock salt, or sodium chloride product
procured in a contract to which this section applies that was not
produced in the United States, was produced in the United States; then
that person shall be ineligible to receive any contract or subcontract
with this state pursuant to the debarment or suspension provisions
provided under section one hundred thirty-nine-a of this chapter.
(c) This section shall be applied in a manner consistent with the
state's obligations under any applicable international agreements
pertaining to government procurement.
2. Definitions. For the purposes of this section, the following words
shall have the following meanings unless specified otherwise:
(a) "Public agency" means a governmental entity as that term is
defined in section one hundred thirty-nine-j of this chapter;
(b) "Mined or hand harvested in the United States" means: extracted or
collected from land or ponds within the boundary of the United States,
from the initial separation from the earth through the addition of any
additives necessary for commercial sale;
(c) "United States" means the United States of America and includes
all territory, continental or insular, subject to the jurisdiction of
the United States.
* § 163. Purchasing services and commodities. 1. Definitions. For the
purposes of this section, the following terms shall have the following
meanings unless otherwise specified:
a. "Consortium" means like entities which agree to collectively
purchase commodities at a lower price than would be otherwise achievable
through purchase by such entities pursuant to other provisions of this
article.
b. "Emergency" means an urgent and unexpected requirement where health
and public safety or the conservation of public resources is at risk.
c. "Responsible" or "responsibility" means the financial ability,
legal capacity, integrity, and past performance of a business entity and
as such terms have been interpreted relative to public procurements.
d. "Responsive" means a bidder or other offerer meeting the minimum
specifications or requirements as prescribed in a solicitation for
commodities or services by a state agency.
e. "Specification" or "requirement" means any description of the
physical or functional characteristics or the nature of a commodity or
construction item, any description of the work to be performed, the
service or products to be provided, the necessary qualifications of the
offerer,the capacity and capability of the offerer to successfully carry
out the proposed contract, or the process for achieving specific results
and/or anticipated outcomes or any other requirement necessary to
perform the work. It may include a description of any obligatory
testing, inspection or preparation for delivery and use, and may include
federally required provisions and conditions where the eligibility for
federal funds is conditioned upon the inclusion of such federally
required provisions and conditions. Specifications shall be designed to
enhance competition, ensuring the commodities or services of any offerer
are not given preference except where required by this article.
f. "Procurement record" means documentation of the decisions made and
the approach taken in the procurement process.
g. "Sole source" means a procurement in which only one offerer is
capable of supplying the required commodities or services.
h. "Single source" means a procurement in which although two or more
offerers can supply the required commodities or services, the
commissioner or state agency, upon written findings setting forth the
material and substantial reasons therefor, may award a contract or
non-technical amendment to a contract to one offerer over the other. The
commissioner or state agency shall document in the procurement record
the circumstances leading to the selection of the vendor, including the
alternatives considered, the rationale for selecting the specific vendor
and the basis upon which it determined the cost was reasonable.
i. "Lowest price" means the basis for awarding contracts for
commodities among responsive and responsible offerers.
j. "Best value" means the basis for awarding contracts for services to
the offerer which optimizes quality, cost and efficiency, among
responsive and responsible offerers. Such basis shall reflect, wherever
possible, objective and quantifiable analysis. Such basis may also
identify a quantitative factor for offerers that are small businesses,
certified minority- or women-owned business enterprises as defined in
subdivisions one, seven, fifteen and twenty of section three hundred ten
of the executive law or service-disabled veteran-owned business
enterprises as defined in subdivision one of section forty of the
veterans' services law to be used in evaluation of offers for awarding
of contracts for services.
k. "Authorized user" or "non-state agency purchaser" means (i) any
officer, body or agency of the state or of a political subdivision or a
district therein, or fire company or volunteer ambulance service as such
are defined in section one hundred of the general municipal law, to make
purchases of commodities, services and technology through the office of
general services' centralized contracts, pursuant to the provisions of
section one hundred four of the general municipal law; (ii) any county
extension service association as authorized under subdivision eight of
section two hundred twenty-four of the county law; (iii) any association
or other entity as specified in and in accordance with section one
hundred nine-a of the general municipal law; (iv) any association,
consortium or group of privately owned or municipal, federal or state
owned or operated hospitals, medical schools, other health related
facilities or voluntary ambulance services, which have entered into a
contract and made mutual arrangements for the joint purchase of
commodities, services and technology pursuant to section twenty-eight
hundred three-a of the public health law; (v) any institution for the
instruction of the deaf or of the blind listed in section forty-two
hundred one of the education law; (vi) any qualified non-profit-making
agency for the blind approved by the commissioner of the office of
children and family services or the office of temporary and disability
assistance; (vii) any qualified charitable non-profit-making agency for
the severely disabled approved by the commissioner of education; (viii)
any hospital or residential health care facility as defined in section
twenty-eight hundred one of the public health law; (ix) any private
not-for-profit mental hygiene facility as defined in section 1.03 of the
mental hygiene law; (x) any public authority or public benefit
corporation of the state, including the port authority of New York and
New Jersey and the interstate environmental commission; (xi) any public
library, association library, library system, cooperative library
system, the New York Library Association, and the New York State
Association of Library Boards or any other library except those which
are operated by for profit entities; (xii) any other association or
entity as specified in state law, to make purchases of commodities,
services and technology through the office of general services'
centralized contracts. Such qualified non-profit-making agencies for the
blind and severely disabled may make purchases from the correctional
industries program of the department of corrections and community
supervision subject to rules pursuant to the correction law.
2. Operating principles. The objective of state procurement is to
facilitate each state agency's mission while protecting the interests of
the state and its taxpayers and promoting fairness in contracting with
the business community. The state's procurement process shall be guided
by the following principles:
a. To promote purchasing from responsive and responsible offerers,
including small businesses.
b. To be based on clearly articulated procedures which require a clear
statement of product specifications, requirements or work to be
performed; a documentable process for soliciting bids, proposals or
other offers; a balanced and fair method, established in advance of the
receipt of offers, for evaluating offers and awarding contracts;
contract terms and conditions that protect the state's interests and
promote fairness in contracting with the business community; and a
regular monitoring of vendor performance.
c. To encourage the investment of the private and not-for-profit
sectors in New York state by making reasonable efforts to ensure that
offerers are apprised of procurement opportunities; by specifying the
elements of a responsive bid and disclosing the process for awarding
contracts including, if applicable, the relative importance and/or
weight of cost and the overall technical criterion for evaluating
offers; and by ensuring the procurement is conducted accordingly.
d. To ensure that contracts are awarded consistent with the best
interests of the state. e. To ensure that officers and employees of
state entities do not benefit financially or otherwise from the award of
state contracts.
f. To ensure regular and critical review of the efficiency, integrity
and effectiveness of the overall process.
3. General provisions for purchasing commodities.
a. State agency procurement practices for commodities shall
incorporate the following:
(i) The purchase of commodities by state agencies including the office
of general services shall be conducted in a manner which accords first
priority to preferred sources in accordance with the provisions of this
article, second priority to centralized contracts, third priority to
agency or multi-agency established contracts and fourth priority to
other means of contracting.
(ii) Commodities contracts shall be awarded on the basis of lowest
price to a responsive and responsible offerer; or, in the case of
multiple awards, in accordance with paragraph c of subdivision ten of
this section.
(iii) The commissioner shall be responsible for the standardization
and centralized purchase of commodities required by state agencies in a
manner which maximizes the purchasing value of public funds.
(iv) The commissioner is authorized to permit purchases of commodities
and services for authorized users through the office of general
services' centralized contracts. Such authorized users so empowered
shall accept sole responsibility for any payment due with respect to
such purchases.
(v) Consistent with guidelines issued by the state procurement
council, state agencies may competitively purchase commodities procured
in accordance with this article in lieu of using centralized contracts
when the resultant price is less than the centralized contract price.
(vi) When justified by price, state agencies, and hospitals and
facilities managed and controlled by state agencies eligible pursuant to
section twenty-eight hundred three-a of the public health law, shall be
eligible to make purchases pursuant to guidelines issued by the state
procurement council from a consortium or comparable entity in lieu of
using centralized contracts for commodities.
(vii) The commissioner is authorized to enter into contracts pursuant
to the provisions of section twenty-eight hundred three-a of the public
health law.
b. The commissioner shall:
(i) determine, in cooperation with the state procurement council and
state agencies, the identity, form, function and utility of those
commodities which shall be made available on or through centralized
contracts. Criteria may include, but need not be limited to, the
availability of a volume discount, prior use of the commodity among
state agencies and the relative cost of establishing the contract, its
anticipated use and expected actual savings for the state. The
commissioner may also act as a broker for state agencies to procure
commodities.
(ii) determine the number and scope of centralized contracts for
commodities to be let during any period, including the letting of
multiple contracts to ensure the sufficient variety and uninterrupted
availability of commodities for state agency use.
(iii) maintain lists of firms which produce or manufacture or offer
for sale commodities in the form, function and utility required by state
agencies. The commissioner shall ensure such lists are updated
regularly. With the assistance of the department of economic development
and other state agencies, beginning on July first, two thousand one,
ensure the availability to all authorized purchasers of a centralized
list which identifies commodities offered by New York state's small
businesses and a centralized list which identifies commodities and
services offered by businesses certified pursuant to article fifteen-A
of the executive law. Such lists shall be updated semiannually and
designed to enable effective identification of New York state's small
businesses and businesses certified pursuant to article fifteen-A of the
executive law.
(iv) ensure the specification of commodities for centralized contracts
reflect the form, function and utility required by state agencies and
conform, wherever possible, to industry standards. Where necessary, the
commissioner may develop specifications for commodities. When not
otherwise forthcoming from a particular firm or industry, the
commissioner may request information from businesses for the purpose of
establishing or improving a specification. The office of general
services may assist agencies in developing specifications for
agency-procured commodity contracts when industry standards are not
available or appropriate. In all cases, specifications shall be
consistent with the requirements of state agencies.
(v) With the assistance of the department of economic development and
other state agencies, provide a training program once per year, in each
economic development region, as established in article eleven of the
economic development law, beginning January first, two thousand one, for
those businesses certified pursuant to article fifteen-A of the
executive law and those interested in becoming certified. Such training
program shall provide assistance with respect to participation as a
vendor in the procurement process, as established in this article, and
including without limitation educating minority and women contractors
about surety bonding requirements on state contracts, and identifying
resources available to such contractors in obtaining their first bond
and in increasing their bonding capacity, including but not limited to
the federal small business administration bond guarantee program.
(vi) With the assistance of the department of economic development and
other state agencies, provide training once per year for staff of each
state agency's minority and women business development office, or if an
agency does not have such an office, then an agency's representative.
Such training program shall consist of a meeting with such agencies'
representatives to inform each agency of how to encourage procurement of
commodities and services from businesses certified pursuant to article
fifteen-A of the executive law.
(vii) assist the department of agriculture and markets and the
department of economic development in providing a training program once
per year, in each economic development region, established in article
eleven of the economic development law, to encourage and increase
participation in the procurement process, pursuant to this article, by
small businesses, as defined in section one hundred thirty-one of the
economic development law, including farms, selling food or food
products, animal or plant fiber products grown, produced, harvested, or
processed in New York state or textile products manufactured from animal
or plant fiber grown or produced predominantly in New York state and
assist such businesses in identifying such food, food products, or
animal or plant fiber products and textile products which may help to
meet state agencies' needs.
(viii) maintain a list of contractors which produce or manufacture or
offer for sale environmentally-sensitive cleaning and maintenance
products in the form, function and utility generally used by elementary
and secondary schools in accordance with specifications or guidelines
promulgated pursuant to section four hundred nine-i of the education
law.
(ix) review and consider prior to issuance of bid solicitations the
term of the proposed contract based on factors, including, but not
limited to; (A) the nature of the commodity, (B) the complexity of the
procurement, (C) the identity and type of purchasers, (D) the
suitability of the contract for adding additional contractors during the
term, and (E) the estimated contract value. This determination shall be
documented in the procurement record.
(x) reasonably consider aggregate amount of public sales by potential
vendors.
(xi) review and consider the feasibility of creating regional
contracts for commodities being procured by the state.
(xii) maintain a procurement record for each centralized contract
procurement identifying, with supporting documentation, decisions made
by the commissioner during the procurement process. The procurement
record shall include, but not be limited to, each contract amendment,
and the justification for each.
(xiii) maintain a list of New York-based firms which produce or
manufacture or offer for sale animal or plant fiber textile products
containing animal or plant fiber grown or produced predominantly in New
York state in the form, function and utility generally purchased for use
by state agencies.
c. When commodities are not available in the form, function and
utility required by state agencies through preferred sources or
centralized contracts, a state agency may, independently or in
conjunction with other state agencies, procure commodities in accordance
with the provisions of this section. State agencies may maintain
listings of firms, including those certified pursuant to article
fifteen-A of the executive law, or may use the office of general
services' listing of firms and may request assistance from the office of
general services. It shall be the responsibility of state agencies to
periodically advise the office of general services of those
agency-procured commodities which, due to the frequency of purchase or
related factors, should be made available through centralized contracts.
d. The commissioner may make, or cause to be made by a duly authorized
representative, any investigation which he or she may deem proper for
acquiring the necessary information from a state agency, except state
agencies where the head of the agency is not appointed by the governor,
including but not limited to the state education department, the
department of law, and the department of audit and control, for the
exercise of his or her powers and duties under this section. For such
purposes the commissioner may subpoena and compel the attendance of
witnesses before him or her, or an authorized representative, and may
compel the production of books, papers, records or documents. The
commissioner or a duly authorized representative may take and hear
proofs and testimony and, for that purpose, the commissioner or the duly
authorized representative may administer oaths. In addition, the
commissioner or the duly authorized representative:
(i) Shall have access at all reasonable times to offices of state
agencies;
(ii) May examine all books, papers, records and documents in any such
state agency as pertain directly to the purchase, control or
distribution of commodities; and
(iii) May require any state agency to furnish such data, information
or statement as may be necessary.
4. General provisions for purchasing services. State agency
procurement practices for services shall incorporate the following:
a. The purchase of services by state agencies including the office of
general services shall be conducted in a manner which accords first
priority to preferred sources in accordance with the provisions of this
article when the services required are available in the form, function
and utility required by state agencies through a preferred source.
b. (i) Centralized contracts for services may be procured by the
office of general services at the request of state agencies or as
determined by the commissioner. The purchase of services by state
agencies, except state agencies where the head of the agency is not
appointed by the governor, including but not limited to the state
education department, the department of law, and the department of audit
and control, shall be conducted in a manner that accords second priority
to centralized contracts meeting form, function and utility required by
said agency, third priority to agency or multi-agency established
contracts and fourth priority to other means of contracting.
(ii) The commissioner shall:
(A) review and consider prior to issuance of bid solicitations the
term of the proposed contract based on factors, including, but not
limited to, (a) the nature of the service, (b) the complexity of the
procurement, (c) the identity and type of purchasers, (d) the
suitability of the contract for adding additional contractors during the
term, and (e) the estimated contract value. This determination shall be
documented in the procurement record.
(B) reasonably consider the aggregate amount of public sales by
potential vendors.
(C) review and consider the feasibility of creating regional contracts
for services being procured by the state.
(D) maintain a procurement record for each centralized contract
procurement identifying with supporting documentation, decisions made by
the commissioner during the procurement process. The procurement records
shall include, but not be limited to, each contract amendment, and the
justification for each.
c. When services are not available from preferred sources consistent
with the provisions of this article in the form, function or utility
required by state agencies, state agencies may procure services
independently or in conjunction with other state agencies in accordance
with the provisions of this section.
d. Service contracts shall be awarded on the basis of best value to a
responsive and responsible offerer; or, in the case of multiple awards,
in accordance with paragraph c of subdivision ten of this section.
e. The commissioner is authorized to permit purchases of services for
authorized users through the office of general services' centralized
contracts. Such authorized users so empowered shall accept sole
responsibility for any payment due with respect to such purchases.
g. All state agencies shall require all contractors, including
sub-contractors, that provide services for state purposes pursuant to a
contract, to submit an annual employment report for each contract for
services that includes for each employment category within the contract
the number of employees employed to provide services under the contract,
the number of hours they work and their total compensation under the
contract. Employment reports shall be submitted to the agency that
awarded the contract, the department of civil service and the department
of audit and control and shall be available for public inspection and
copying pursuant to section eighty-seven of the public officers law
provided that in disclosing such reports pursuant to the public officers
law, the agency making the disclosure shall redact the name or social
security number of any individual employee that is included in such
document.
5. Process for conducting state procurements. The process for
conducting state procurements for services and commodities shall be as
follows:
Determination of need. State agencies shall be responsible for
determining the need for a given service or commodity:
(i) For commodities, upon such determination of need, state agencies
shall ascertain whether the commodity is available in the form, function
and utility consistent with their needs from preferred sources and if
so, shall purchase said commodity from a preferred source in accordance
with the provisions of this article. If not so available, state agencies
shall determine whether the commodity is available in the form, function
and utility consistent with their needs on a centralized contract and if
so, except as provided in subparagraph (v) of paragraph a of subdivision
three of this section, shall purchase said commodity using the
centralized contract. If a commodity is not available in the form,
function and utility consistent with the needs of the state agency from
a preferred source or a centralized contract or as provided for in
subparagraph (v) of paragraph a of subdivision three of this section,
the state agency may procure the commodity independently or in
conjunction with another state agency in accordance with paragraph c of
subdivision three of this section.
(ii) For services, upon such determination of need, state agencies
shall ascertain whether the service is available in the form, function
and utility consistent with their needs from preferred sources and, if
so, shall purchase said service through the preferred source in
accordance with the provisions of this article. If not so available,
state agencies the heads of which are appointed by the governor:
(A) Shall purchase the service if it is available in the form,
function and utility consistent with their needs using an established
centralized contract procured by either the office of general services
or another state agency;
(B) May request that the office of general services procure such a
service, particularly with respect to those services having utility
and/or benefit to more than one state agency; or
(C) May procure the service independently or in conjunction with
another state agency.
6. Discretionary buying thresholds. Pursuant to guidelines established
by the state procurement council:
(a) the commissioner may purchase services and commodities for the
office of general services or its customer agencies serviced by the
office of general services business services center in an amount not
exceeding one hundred fifty thousand dollars without a formal
competitive process;
(b) state agencies may purchase services and commodities in an amount
not exceeding one hundred fifty thousand dollars without a formal
competitive process;
(c) state agencies may purchase commodities or services from small
business concerns, or commodities or technology that are recycled or
remanufactured in an amount not exceeding five hundred thousand dollars
without a formal competitive process;
(d) state agencies may purchase commodities or services from those
certified pursuant to article fifteen-A of the executive law and article
three of the veterans' services law in an amount not exceeding one
million five hundred thousand dollars without a formal competitive
process; and
(e) state agencies may purchase commodities that are food, including
milk and milk products, or animal or plant fiber products, grown,
produced, harvested, or processed in New York state or textile products
manufactured from animal or plant fiber grown or produced predominantly
in New York state in an amount not to exceed two hundred thousand
dollars without a formal competitive process.
6-a. Discretionary purchases. Notwithstanding the provisions of
subdivision two of section one hundred twelve of this chapter relating
to the dollar threshold requiring the state comptroller's approval of
contracts, the commissioner of general services may make purchases or
enter into contracts for the acquisition of commodities and services for
the office of general services or its customer agencies serviced by the
office of general services business services center having a value not
exceeding one hundred fifty thousand dollars without prior approval by
any other state officer or agency in accordance with procedures and
requirements set forth in this article.
6-b. Determination of threshold amount. For determination of threshold
amount purposes of determining whether a purchase is within the
discretionary thresholds established by subdivision six of this section,
the commissioner and state agencies shall consider the reasonably
expected aggregate amount of all purchases of the same commodities or
services to be made within the twelve-month period commencing on the
date of purchase. Purchases of services or commodities shall not be
artificially divided for the purpose of satisfying the discretionary
buying thresholds established by subdivision six of this section. A
change to or a renewal of a discretionary purchase shall not be
permitted if the change or renewal would bring the reasonably expected
aggregate amount of all purchases of the same commodities or services
from the same provider within the twelve-month period commencing on the
date of the first purchase to an amount greater than the discretionary
buying threshold amount.
6-c. Pursuant to the authority provided in subdivision six of this
section, for the purchase of commodities that are food, including milk
and milk products, or animal or plant fiber products, grown, produced,
harvested, or processed in New York state or textile products
manufactured from animal or plant fiber grown or produced predominantly
in New York state, where such commodities exceed one hundred fifty
thousand dollars in value, state agencies must advertise the
discretionary purchase on the state agency website for a reasonable
period of time and make the discretionary purchase based on the lowest
price that meets the state agency's form, function and utility.
6-d. Pursuant to the authority provided in subdivision six of this
section, state agencies shall report annually on a fiscal year basis by
July first of the ensuing year to the director of the division of
minority and women-owned business development the total number and total
value of contracts awarded to businesses certified pursuant to article
fifteen-A of the executive law, and with respect to contracts awarded to
businesses certified pursuant to article three of the veterans' services
law such information shall be reported to the division of
service-disabled veteran-owned business enterprises for inclusion in
their respective annual reports. Additionally, such report from state
agencies shall clearly distinguish contracts entered into using the
authority provided under paragraph (d) of subdivision six of this
section, including the number of contracts, the percentage of the total
dollar value of contracts awarded to minority and women-owned business
entities and service disabled and veteran-owned business entities
relative to the previous fiscal year's total awards for all commodities
and services and services purchases, a comparison of the percentage of
procurements awarded pursuant to such paragraph during the fiscal year
relative to the percentage of such purchases awarded in the previous
fiscal year, a comparison of the participation rate and total dollar
value of awards to minority and women-owned business enterprises and
service-disabled veteran-owned businesses using the expanded authority
under such paragraph relative to such participation rate and total
dollar value of awards pursuant to the previous authorization levels.
7. Method of procurement. Consistent with the requirements of
subdivisions three and four of this section, state agencies shall select
among permissible methods of procurement including, but not limited to,
an invitation for bid, request for proposals or other means of
solicitation pursuant to guidelines issued by the state procurement
council. State agencies may accept bids electronically including
submission of the statement of non-collusion required by section one
hundred thirty-nine-d of this chapter, and the statement of
certification required by section one hundred thirty-nine-l and section
one hundred thirty-nine-m of this chapter. Except where otherwise
provided by law, procurements shall be competitive, and state agencies
shall conduct formal competitive procurements to the maximum extent
practicable. State agencies shall document the determination of the
method of procurement and the basis of award in the procurement record.
Where the basis for award is the best value offer, the state agency
shall document, in the procurement record and in advance of the initial
receipt of offers, the determination of the evaluation criteria, which
whenever possible, shall be quantifiable, and the process to be used in
the determination of best value and the manner in which the evaluation
process and selection shall be conducted.
7-a. Notwithstanding the electronic bid provisions set forth in
subdivision seven of this section, starting April first, two thousand
twenty-three, and ending March thirty-first, two thousand twenty-seven,
state agencies may require electronic submission as the sole method for
the submission of bids for commodity, service and technology contracts,
including submission of the statement of non-collusion required by
section one hundred thirty-nine-d of this chapter, and the statement of
certification required by section one hundred thirty-nine-l and section
one hundred thirty-nine-m of this chapter, and may require electronic
signatures on all documents required for submission of a bid, any
resulting contracts, and required submissions during the term of any
contract. Prior to requiring the electronic submission of bids, the
agency shall make a determination, which shall be documented in the
procurement record, that electronic submission affords a fair and equal
opportunity for offerers to submit responsive offers, and that the
electronic signature complies with the provisions of article three of
the state technology law.
7-b. On or before December first, two thousand twenty-six, the
commissioner of the office of general services shall submit to the
speaker of the assembly and the temporary president of the senate and
post on the website of the office of general services a report
including, but not limited to, the following information:
(a) which state agencies required electronic submission as the sole
method by which bids could be submitted for the period from April first,
two thousand twenty-three through March thirty-first, two thousand
twenty-six;
(b) the number and types of contracts for which such state agencies
required electronic submission as the sole method by which bids could be
submitted for the period from April first, two thousand twenty-three
through March thirty-first, two thousand twenty-six;
(c) the estimated savings to the state as a result of such state
agencies requiring electronic submission as the sole method by which
bids could be submitted in response to a solicitation and the basis on
which the estimate is made;
(d) to the extent practicable, the size, industry, minority- and
women-owned business enterprise composition, service-disabled
veteran-owned business enterprise composition, and geographic
distribution of those vendors that submitted bids in response to
solicitations from state agencies where electronic submission was the
sole method by which bids could be submitted for the period from April
first, two thousand twenty-three through March thirty-first, two
thousand twenty-six;
(e) to the extent practicable, the size, industry, minority- and
women-owned business enterprise composition, service-disabled
veteran-owned business enterprise composition, and geographic
distribution of those vendors that submitted non-electronic bids in
response to solicitations from state agencies where electronic
submission was accepted but not required for the period from April
first, two thousand twenty-three through March thirty-first, two
thousand twenty-six; and
(f) recommendations for the future use of electronic bidding as a
permissible method of procurement.
8. Public notice. All procurements by state agencies, including,
without limitation, the state university of New York and the city
university of New York, in excess of one hundred fifty thousand dollars
shall be advertised in the state's procurement opportunities newsletter
in accordance with article four-C of the economic development law.
9. Soliciting and accepting offers. For purchases from sources other
than preferred sources and for purchases in excess of the discretionary
buying threshold established in subdivision six of this section:
a. The commissioner or a state agency shall select a formal
competitive procurement process in accordance with guidelines
established by the state procurement council and document its
determination in the procurement record. The process shall include, but
is not limited to, a clear statement of need; a description of the
required specifications governing performance and related factors; a
reasonable process for ensuring a competitive field; a fair and equal
opportunity for offerers to submit responsive offers; and a balanced and
fair method of award. Where the basis for the award is best value,
documentation in the procurement record shall, where practicable,
include a quantification of the application of the criteria to the
rating of proposals and the evaluation results, or, where not
practicable, such other justification which demonstrates that best value
will be achieved.
b. The solicitation shall prescribe the minimum specifications or
requirements that must be met in order to be considered responsive and
shall describe and disclose the general manner in which the evaluation
and selection shall be conducted. Where appropriate, the solicitation
shall identify the relative importance and/or weight of cost and the
overall technical criterion to be considered by a state agency in its
determination of best value.
c. Where provided in the solicitation, state agencies may require
clarification from offerers for purposes of assuring a full
understanding of responsiveness to the solicitation requirements. Where
provided for in the solicitation, revisions may be permitted from all
offerers determined to be susceptible of being selected for contract
award, prior to award. Offerers shall be accorded fair and equal
treatment with respect to their opportunity for discussion and revision
of offers. A state agency shall, upon request, provide a debriefing to
any unsuccessful offerer that responded to a request for proposal or an
invitation for bids, regarding the reasons that the proposal or bid
submitted by the unsuccessful offerer was not selected for an award. The
opportunity for an unsuccessful offerer to seek a debriefing shall be
stated in the solicitation.
(i) A debriefing shall be requested by the unsuccessful offerer within
fifteen calendar days of release by the state agency of a notice in
writing or electronically that the offerer's offer is unsuccessful.
(ii) Such notice shall be provided to all unsuccessful offerers by the
state agency for the specific procurement.
(iii) The state agency, upon a request made within fifteen days of
release of the written or electronic notice from the unsuccessful
offerer for a debriefing, shall schedule the debriefing to occur within
a reasonable time of such request. Debriefings shall be conducted by the
state agency with the unsuccessful offerer in-person, provided, however,
the parties may mutually agree to utilize other means such as, but not
limited to, by telephone, video-conferencing or other types of
electronic communications. State agency personnel participating in the
debriefing discussion shall have been involved with and knowledgeable
about the procurement and the evaluation and selection of the successful
offerer or offerers.
(iv) Such debriefing shall include, but need not be limited to: (A)
the reasons that the proposal, bid or offer submitted by the
unsuccessful offerer was not selected for award; (B) the qualitative and
quantitative analysis employed by the agency in assessing the relative
merits of the proposals, bids or offers; (C) the application of the
selection criteria to the unsuccessful offerer's proposal; and (D) when
the debriefing is held after the final award, the reasons for the
selection of the winning proposal, bid or offer. The debriefing shall
also provide, to the extent practicable, general advice and guidance to
the unsuccessful offerer concerning potential ways that their future
proposals, bids or offers could be more responsive.
d. All offers may be rejected. Where provided in the solicitation,
separable portions of offers may be rejected.
e. Every offer shall be firm and not revocable for a period of sixty
days from the bid opening, or such other period of time specified in the
solicitation to the extent not inconsistent with section 2-205 of the
uniform commercial code. Subsequent to such sixty day or other specified
period, any offer is subject to withdrawal communicated in a writing
signed by the offeror.
f. Prior to making an award of contract, each state agency shall make
a determination of responsibility of the proposed contractor which shall
supplement, as appropriate, but not supersede the determination of
responsibility that may be required pursuant to section one hundred
thirty-nine-k of this chapter.
g. A procurement record shall be maintained for each procurement
identifying, with supporting documentation, decisions made by the
commissioner or state agency during the procurement process. The
procurement record shall include, but not be limited to each contract
amendment and the justification for each.
10. Letting of contracts. Contracts for commodities shall be awarded
on the basis of lowest price to a responsive and responsible offerer.
Contracts for services shall be awarded on the basis of best value from
a responsive and responsible offerer. Multiple awards for services and
commodities shall be conducted in accordance with paragraph c of this
subdivision.
a. Selection and award shall be a written determination in the
procurement record made by the commissioner or a state agency in a
manner consistent with the provisions of the solicitation. In the event
two offers are found to be substantially equivalent, price shall be the
basis for determining the award recipient or, when price and other
factors are found to be substantially equivalent, the determination of
the commissioner or agency head to award a contract to one or more of
such bidders shall be final. The basis for determining the award shall
be documented in the procurement record.
b. (i) Single or sole source procurements for services or commodities,
or procurements made to meet emergencies arising from unforeseen causes,
may be made without a formal competitive process and shall only be made
under unusual circumstances and shall include a determination by the
commissioner or the state agency that the specifications or requirements
for said purchase have been designed in a fair and equitable manner. The
purchasing agency shall document in the procurement record, subject to
review by the state comptroller, the bases for a determination to
purchase from a single source or sole source, or the nature of the
emergency giving rise to the procurement.
(ii) State agencies shall minimize the use of single source
procurements and shall use single source procurements only when a formal
competitive process is not feasible. State agencies shall document in
the procurement record the circumstances and the material and
substantial reasons why a formal competitive process is not feasible.
The term of a single source procurement contract shall be limited to the
minimum period of time necessary to ameliorate the circumstances which
created the material and substantial reasons for the single source
award. Not later than thirty days after the contract award, state
agencies shall, for all single source procurement contracts, make
available for public inspection on the agency website, a summary of the
circumstances and material and substantial reasons why a competitive
procurement is not feasible. Any information which the contracting
agency is otherwise prohibited by law from disclosing pursuant to
sections eighty-seven and eighty-nine of the public officers law, shall
be redacted from the documentation published on the agency website.
c. The commissioner or state agency may elect to award a contract to
one or more responsive and responsible offerers provided, however, that
the basis for the selection among multiple contracts at the time of
purchase shall be the most practical and economical alternative and
shall be in the best interests of the state, and further provided that
the requirements set forth herein shall not preclude the commissioner
from establishing multiple award contracts for reasons including
increased opportunities for small businesses to participate in state
contracts.
d. It shall be in the discretion of the commissioner or state agency
to require a bond or other guarantee of performance, and to approve the
amount, form and sufficiency thereof.
e. The commissioner may authorize purchases required by state agencies
or other authorized purchasers by letting a contract pursuant to a
written agreement, or by approving the use of a contract let by any
department, agency or instrumentality of the United States government
and/or any department, agency, office, political subdivision or
instrumentality of any state or states. A state agency purchaser shall
document in the procurement record its rationale for the use of a
contract let by any department, agency or instrumentality of the United
States government or any department, agency, office, political
subdivision or instrumentality of any other state or states. Such
rationale shall include, but need not be limited to, a determination of
need, a consideration of the procurement method by which the contract
was awarded, an analysis of alternative procurement sources including an
explanation why a competitive procurement or the use of a centralized
contract let by the commissioner is not in the best interest of the
state, and the reasonableness of cost.
f. The commissioner is authorized to let centralized contracts, in
accordance with the procedures of this section, for joint purchasing by
New York state and any department, agency or instrumentality of the
United States government and/or any state including the political
subdivisions thereof; provided however that any entity incurring a
liability under such contract shall be responsible for discharging said
liability.
11. Reasonableness of results. It shall be the responsibility of the
head of each state agency to periodically sample the results of the
procurement process to test for reasonableness; to ensure that the
results withstand public scrutiny and that the quality and the price of
the purchase makes sense; and to ensure that purchasing is conducted in
a manner consistent with the best interests of the state.
12. Review by the office of the state comptroller. Review by the
office of the state comptroller shall be in accordance with section one
hundred twelve of this chapter. If the contracting agency has not
complied with one or more provisions of this article, the state
comptroller may approve the awarded contract if:
a. the contracting agency determines that the noncompliance was a
non-material deviation from one or more provisions of this article. For
the purposes of this subdivision "non-material deviation" shall mean
that such noncompliance did not prejudice or favor any vendor or
potential vendor, such noncompliance did not substantially affect the
fairness of the competitive process, and that a new procurement would
not be in the best interest of the state. Such determination by the
contracting agency and the state comptroller shall be documented in the
procurement record; and
b. the state comptroller concurs in such determination.
13. Technological procurement improvements. The state procurement
council may request that the office of general services provide, or
recommend to the state comptroller to provide for the utilization of
technological advances and efficiencies in the procurement process
including, but not limited to, electronic ordering and payment,
procurement cards and similar improvements.
14. Reporting by the state comptroller. To support transparency in the
state's procurement process and prudent procurement management,
oversight and policy-making, the state comptroller shall submit a report
to the state procurement council, the governor, the commissioner of the
office of general services, the director of the budget, and the
legislative fiscal committees containing data related to state agency
contracts. Such report shall be made annually, on a fiscal year basis by
the first of July of the next succeeding year.
a. For state agency contracts, such report shall include:
(i) a list of all active contracts as of the end of the fiscal year;
(ii) a list of all contracts reviewed by the office of the state
comptroller during the fiscal year;
(iii) a list of contract award protests reviewed by the office of the
state comptroller and the resolution thereof; and
(iv) for consulting contracts subject to approval of the state
comptroller, a report of planned and actual employment under each
contract.
b. The lists required pursuant to subparagraphs (i) and (ii) of
paragraph a of this subdivision shall include, to the extent reasonably
available, the following information related to each contract:
(i) the state agency letting the contract;
(ii) the state agency for which the contract is let, if different;
(iii) whether an agency contract or centralized contract;
(iv) vendor name and address;
(v) a description of the contract. For contracts let under section
nine of the public buildings law, the description shall denote the scope
of work of the contract and the nature of the emergency for which it was
let;
(vi) contract start and end dates;
(vii) the dollar value of the contract;
(viii) for contracts subject to approval by the state comptroller,
whether approved or non-approved, the date of such
approval/non-approval, and if non-approved, the reason or reasons
therefor;
(ix) life to date and fiscal year expenditures against the contract
and by which agencies;
(x) major contract category, including, but not limited to,
consultant, construction, equipment, grants, leases, land claim,
miscellaneous services, printing, repayment agreements, revenue
agreements, intergovernmental agreements, and commodities;
(xi) source selection method, including "lowest price", "best value",
sole source, single source, negotiated and/or emergency procurement;
(xii) number of bids/proposals received by the contracting agency; and
(xiii) subtotals as deemed applicable.
c. The report required pursuant to subparagraph (iv) of paragraph a of
this subdivision shall include:
(i) information required to be reported by the contractor annually by
the employment category within the contract, including the planned
number of employees to provide services under the contract, the planned
number of hours to be worked under the contract, and the total
compensation planned under the contract; and
(ii) information required to be reported by the contractor annually
pursuant to paragraph g of subdivision four of this section,
specifically, the actual number of employees, by employment category
within the contract, employed to provide services under the contract,
the number of hours worked and total compensation under the contract.
d. For the purposes of the report required pursuant to subparagraph
(iv) of paragraph a of this subdivision, a "contract for consulting
services" shall mean any contract entered into by a state agency for
analysis, evaluation, research, training, data processing, computer
programming, engineering, environmental health and mental health
services, accounting, auditing, paralegal, legal, or similar services.
Such report shall be available for public inspection and copying
pursuant to section eighty-seven of the public officers law provided
that in disclosing such reports pursuant to the public officers law, the
agency making the disclosure shall redact the name, social security
number and other personal information of any individual employee or
consultant that is included in such document.
e. The information required by this subdivision shall be provided in
electronic format in such form as prescribed by the state comptroller
such that the data can be searched and sorted.
f. All reports required under this subdivision shall be available for
public inspection and copying pursuant to section eighty-seven of the
public officers law provided that in disclosing such reports pursuant to
the public officers law, the agency making the disclosure shall redact
the name or social security number of any individual employee that is
included in such document.
15. Reporting by agencies. a. State agencies shall report annually, on
a fiscal year basis, by July first of the ensuing year to the state
procurement council, the governor, the legislative fiscal committees and
the state comptroller the total number and total dollar value of single
source contracts awarded by the agency during the fiscal year, and the
percentage such contracts represent of the agency's total number and
total dollar value of contract awards during the reporting period.
b. Each state agency shall include with its report an assessment by
the agency head of the agency's efforts to minimize the award of single
source contracts.
c. All reports required under this subdivision shall be available for
public inspection and copying pursuant to section eighty-seven of the
public officers law provided that in disclosing such reports pursuant to
the public officers law, the agency making the disclosure shall redact
the name or social security number of any individual employee that is
included in such document.
* NB Repealed June 30, 2031
Vendor preparation of specifications for technology
procurements; prohibitions. If a vendor prepares and furnishes
specifications for a state agency technology procurement proposal, to be
used in a competitive acquisition, such vendor shall not be permitted to
bid on such procurement, either as a prime vendor or as a subcontractor.
Contracts for evaluation of offers for products or services shall not be
awarded to a vendor that would then evaluate its own offers for products
or services. Such restrictions shall not apply where:
1. The vendor is the sole source or single source of the product or
service;
2. More than one vendor has been involved in preparing the
specifications for a procurement proposal;
3. A vendor has furnished at government request specifications or
information regarding a product or service they provide, but such vendor
has not been directly requested to write specifications for such product
or service or an agency technology procurement proposal; or
4. The state agency together with the office of information technology
services determines that the restriction is not in the best interest of
the state. Such office shall notify each member of the advisory council
established in article one of the state technology law of any such
waiver of these restrictions.
* § 163-b. Environmentally-sensitive cleaning and maintenance
products. The commissioner of general services shall maintain a list of
contractors which produce or manufacture or offer for sale
environmentally-sensitive cleaning and maintenance products in the form,
function and utility generally used by elementary and secondary schools
in accordance with specifications or guidelines promulgated pursuant to
section four hundred nine-i of the education law.
* NB Effective June 30, 2031
Purchase or lease of zero emission vehicles and charging or
fueling infrastructure. 1. (a) Each state agency shall include
requirements in any procurement for the purchase or lease of zero
emission vehicles and charging or fueling infrastructure that the
components and parts used or supplied in the performance of the contract
or any subcontract thereto shall be produced or made in whole or
substantial part in the United States, its territories or possessions
and that final assembly of the zero emission vehicles and charging or
fueling infrastructure shall occur in the United States, its territories
or possessions.
(b) The commissioner of general services, in consultation with the New
York state energy research and development authority, may waive the
contracting requirements set forth in paragraph (a) of this subdivision
if the commissioner of general services determines that the requirements
would not be in the public interest, would result in unreasonable costs,
or that obtaining such zero emission vehicles and charging or fueling
infrastructure components and parts in the United States, its
territories or possessions, would increase the cost of a contract for
zero emission vehicles and charging or fueling infrastructure by an
unreasonable amount, or such zero emission vehicles and charging or
fueling infrastructure components and parts cannot be produced, made, or
assembled in the United States, its territories or possessions, in
sufficient and reasonably available quantities or of satisfactory
quality. Such determination must be made on an annual basis no later
than December thirty-first after providing notice and an opportunity for
public comment, and be made publicly available, in writing, on the
website of the office of general services with a detailed explanation of
the findings leading to such determination. If the commissioner of
general services has issued determinations for three consecutive years
that no such waiver is warranted pursuant to this paragraph, then the
commissioner of general services shall no longer be required to provide
the annual determination required by this paragraph.
2. (a) Nothing in this section shall alter the rights or benefits, and
privileges, including but not limited to terms and conditions of
employment, civil service status, and collective bargaining unit
membership, of any current employees of the state or any agency.
(b) Nothing in this section shall result in: (i) the discharge,
displacement, or loss of position, including partial displacement such
as a reduction in the hours of non-overtime work, wages, or employment
benefits; (ii) the impairment of existing collective bargaining
agreements; (iii) the transfer of existing duties and functions; or (iv)
the transfer of future duties and functions, of any currently employed
worker of the state or any agency who agrees to be retrained.
(c) Prior to the beginning of the initial procurement process for zero
emission vehicles, each state agency shall create and implement a
workforce development report that: (i) estimates the number of current
positions in the agency that would be substantially changed as a result
of the proposed purchase or lease of zero emission vehicles, and the
number of positions expected to be created by the purchase or lease over
the intended life of the proposed purchase or lease; (ii) identifies
gaps in skills of its current workforce that are needed to operate and
maintain zero emission vehicles; (iii) includes a comprehensive plan to
transition, train, or retrain employees that are impacted by the
proposed purchase or lease; and (iv) contains an estimated budget to
transition, train, or retrain employees that are impacted by the
proposed purchase or lease.
(d) Nothing in this section shall: (i) limit the rights of employees
pursuant to a collective bargaining agreement, or (ii) alter the
existing representational relationships among collective bargaining
representatives or the bargaining relationships between the employer and
any collective bargaining representative. Employees of public entities
serving in positions in newly created titles shall be assigned to the
appropriate bargaining unit.
(e) Prior to beginning the initial procurement process for zero
emission vehicles, the office of employee relations, in consultation
with the state agencies involved, shall inform the employees' collective
bargaining representative of any potential impact on its members or
unit, including positions that may be affected as a result of the
proposed purchase or lease.
Decarbonization plans for state-owned fleet vehicles. 1. Each
state agency shall prepare a state fleet decarbonization plan for
purchase or lease of state agency vehicles. The state fleet
decarbonization plans for light-duty non-emergency vehicles shall be
prepared on or before December thirty-first, two thousand twenty-three,
and the state fleet decarbonization plans for medium- and heavy-duty
vehicles shall be prepared on or before December thirty-first, two
thousand twenty-five. Such plans shall include interim targets for
achieving fleet decarbonization goals.
2. All state agency light-duty non-emergency vehicles shall be zero
emission vehicles by no later than December thirty-first, two thousand
thirty-five, and all state agency medium- and heavy-duty vehicles shall
be zero emission vehicles by no later than December thirty-first, two
thousand forty, unless a zero emission vehicle is not feasible for a
particular application.
* § 163-e. Restriction on purchasing certain technology which poses a
security threat. 1. (a) Notwithstanding any inconsistent provision of
law, the state and any department, bureau, board, commission, authority,
and any other agency or instrumentality of the state shall not enter
into or renew any contract or agreement to procure technology, including
hardware, systems, devices, software, or services that include embedded
or incidental information technology, which are prohibited from federal
procurement pursuant to section 889 of Public Law 115-232 of 2018.
(b) The term "technology" shall have the same meaning as such term is
defined in subdivision ten of section one hundred sixty of this article.
2. The office of information technology services shall, in
consultation with the division of homeland security and emergency
services and the office of general services, establish and update
regularly a list of restricted technology. Technology on this list shall
not be procured by any state agency, state or local authority, or
political subdivision unless a waiver is issued pursuant to subdivision
three of this section or the office of information technology services
determines that the technology shall only be restricted in limited
circumstances.
The list shall:
(a) contain technologies that pose a security risk to the state of New
York or its political subdivisions. In determining whether technology
poses such a risk, the office of information technology services shall
consult relevant federal sources, including the department of defense
inspector general report no. DODIG-2019-106, as well as any other source
that shall be determined to be relevant; and
(b) be published online and communicated to all relevant procurement
officers in all state agencies, state authorities, and political
subdivisions.
3. The office of information technology services, in collaboration
with the division of homeland security and emergency services, the
office of general services, the division of military and naval affairs,
and the chief cyber officer, may provide a waiver from this section if:
(a) any such entity determines the waiver is in the interests of the
state or political subdivision;
(b) no compliant product or service is available to be procured as,
and when, needed at United States market prices or a price that is not
considered prohibitively expensive; and
(c) such waiver could not reasonably be expected to compromise the
security or integrity of a computer network operated by an
instrumentality of the state.
(d) Any state agency, state or local authority, or political
subdivision seeking a waiver from any federal agency authorized under
section 889 of Public Law 115-232 of 2018 must provide notice of any
such waiver granted to the office of information technology services
within thirty days of waiver approval.
4. An unmanned aerial vehicle or other equipment or service relating
to the operation of an unmanned aerial vehicle from a business or entity
that would otherwise be subject to restriction under subdivision one or
two of this section must be exempt from such restriction if:
(a) any photograph, image, recording or other information collected by
the state agency, state or local authority, or political subdivision
from the operation of the unmanned aerial vehicle or other equipment or
service relating to the operation of the unmanned aerial vehicle:
(i) is stored and maintained exclusively within the United States; and
(ii) is not accessible to the business or entity that would otherwise
be subject to restriction; or
(iii) is operated using software developed and maintained in the
United States.
(b) the provisions of this subdivision shall not be construed to
discourage the purchase or acquisition of any unmanned aerial vehicle or
other equipment or service relating to the operation of an unmanned
aerial vehicle that is manufactured in the United States.
5. Nothing in this section shall be construed:
(a) to require any technology resident in equipment, systems, or
services as of the day before the effective date of this section to be
removed or replaced;
(b) to prohibit or limit the utilization of such technology throughout
the lifecycle of such existing equipment; or
(c) to require the recipient of a state contract, grant, loan, or loan
guarantee to replace technology resident in equipment, systems, or
services before the effective date of this section.
* NB Effective December 19, 2027
Exemptions. Services and commodities such as are incident to
the performance of a contract for labor and material and which are
subject to the jurisdiction of the public service commission or subject
to the jurisdiction of another similar entity shall be exempt from the
provisions of this article with respect to purchasing and contracting so
long as no competition exists for the particular service required by the
state agency.
Purchasing restrictions. 1. Definitions. a. "Non-tropical
hardwood species" shall mean any and all hardwood that grows in any
geographically temperate regions, as defined by the United States Forest
Service, and is similar to tropical hardwood in density, texture, grain,
stability or durability. Non-tropical hardwoods, the use or purchase of
which shall be preferred under this article, shall include, but not be
limited to the following species:
Scientific Name Common Name
Fraxinus americana Ash
Tila americana Basswood
Fagus grandifolia Beech
Betula papyrifera Birch
Juglans cinerea Butternut
Prunus serotina Cherry
Populus spp. Cottonwood
Ulmus spp. Elms
Nyssa sylvatica Black gum
Liquidambar styracifula Red gum
Celtis laevigata Hackberry
Hicoria spp. Hickory
Acer spp. Maples
Quercus spp. Oaks
Hicoria spp. Pecan
Liriodendron tulipi fera Yellow Poplar
Platanus occidentalis Sycamore
Juglans nigra Black Walnut
b. "Tropical hardwood" shall mean any and all hardwood, scientifically
classified as angiosperm, that grows in any tropical moist forest.
Tropical hardwoods shall be the following species:
Scientific Name Common Name
Vouacapous americana Acapu
Pericopsis elata Afrormosis
Shorea almon Almon
Peltogyne spp. Amaranth
Guibourtia ehie Amazaque
Aningeris spp. Aningeria
Dipterocarpus grandiflorus Apilong
Ochroma lagopus Balsa
Virola spp. Banak
Anisoptera thurifera Bella Rose
Guibourtis arnoldiana Benge
Deterium Senegalese Boire
Priora copaifera Cativo
Antiaris africana Chenchen
Dalbergis retusa Concobola
Cordia spp. Cordia
Diospyros spp. Ebony
Aucoumes klaineana Gaboon
Chlorophors excelsa Iroko
Acacia koa Koa
Pterygota macrocarpa Koto
Shorea negrosensis Red Lauan
Pentacme contorta White Lauan
Shores ploysprma Tanguile
Terminalia superba Limba
Aniba duckei Louro
Kyaya ivorensis Africa Mahogany
Swletenia macrophylla Amer. Mahogany
Tieghemella leckellii Makora
Distemonanthus benthamianus Movingui
Pterocarpus soyauxii African Padauk
Pterocarpus angolensis Angola Padauk
Aspidosperma spp. Peroba
Peltogyne spp. Purpleheart
Gonystylus spp. Ramin
Dalbergia spp. Rosewood
Entandrophragm a cylindricum Sapela
Shores phillippinensis Sonora
Tectona grandis Teak
Lovoa trichilloides Tigerwood
Milletia laurentii Wenge
Microberlinia brazzavillensis Zebrawood
c. "Tropical rain forests" shall mean any and all forests classified
by the scientific term "Tropical moist forests", the classification
determined by the equatorial region of the forest and average rainfall.
d. "Tropical wood products" shall mean any wood products, wholesale or
retail, in any form, including but not limited to veneer, furniture,
cabinets, paneling, moldings, doorskins, joinery, or sawnwood, which are
composed of tropical hardwood except plywood.
e. "Secondary materials" means any material recovered from or
otherwise destined for the waste stream, including, but not limited to,
post-consumer material, industrial scrap material and overstock or
obsolete inventories from distributors, wholesalers and other companies
but such term does not include those materials and by-products generated
from, and commonly reused within, an original manufacturing process.
2. Prohibition on purchase of tropical hardwoods.
a. Except as hereinafter provided, the state and any governmental
agency or political subdivision or public benefit corporation of the
state shall not purchase or obtain for any purpose any tropical
hardwoods or tropical hardwood products, wholesale or retail, in any
form.
b. The provisions of paragraph a of this subdivision shall not apply
to:
(i) Any hardwoods purchased from a sustained, managed forest; or
(ii) Any binding contractual obligations for purchase of commodities
entered into prior to August twenty-fifth, nineteen hundred ninety-one;
or
(iii) The purchase of any tropical hardwood or tropical hardwood
product for which there is no acceptable non-tropical hardwood species;
or
(iv) Where the contracting officer finds that no person or entity
doing business in the state is capable of providing acceptable
non-tropical hardwood species sufficient to meet the particular contract
requirements; or
(v) Where the inclusion or application of such provisions will violate
or be inconsistent with the terms or conditions of a grant, subvention
or contract in an agency of the United States or the instructions of an
authorized representative of any such agency with respect to any such
grant, subvention or contract; or
(vi) Where inclusion or application of such provisions results in a
substantial cost increase to the state, government agency, political
subdivision, public corporation or public benefit corporation.
c. (i) In the case of any bid proposal or solicitation, request for
bid or proposal or contract for the construction of any public work,
building maintenance or improvement for or on behalf of the state and
any governmental agency or political subdivision or public benefit
corporation of the state, it shall not require or permit the use of any
tropical hardwood or wood product.
(ii) Every bid proposal, solicitation, request for bid or proposal and
contract for the construction of any public work, building maintenance
or improvement shall contain a statement that any bid, proposal or other
response to a solicitation for bid or proposal which proposes or calls
for the use of any tropical hardwood or wood product in performance of
the contract shall be deemed non-responsive.
d. The provisions of paragraph c of this subdivision shall not apply:
(i) To bid packages advertised and made available to the public or any
competitive and sealed bids received or entered into prior to August
twenty-fifth, nineteen hundred ninety-one; or
(ii) To any amendment, modification or renewal of a contract, which
contract was entered into prior to August twenty-fifth, nineteen hundred
ninety-one, where such application would delay timely completion of a
project or involve an increase in the total monies to be paid under that
contract; or
(iii) Where the contracting officer finds that:
(A) No person or entity doing business in the state is capable of
performing the contract using acceptable non-tropical hardwood species;
or
(B) The inclusion or application of such provisions will violate or be
inconsistent with the terms or conditions of a grant, subvention or
contract with an agency of the United States or the instructions of an
authorized representative of any such agency with respect to any such
grant, subvention or contract; or
(C) The use of tropical woods is deemed necessary for purposes of
historical restoration and there exists no available acceptable
non-tropical wood species.
3. Purchasing of commodities for state use.
a. For the purposes of this subdivision, the following terms shall
have the meanings set forth herein. "Recycled commodity" shall mean any
commodity that has been manufactured from secondary materials as defined
in subdivision one of section two hundred sixty-one of the economic
development law and that meets secondary material content requirements
adopted by the office of general services, which shall be consistent, to
the extent practicable, with regulations promulgated pursuant to section
27-0717 of the environmental conservation law or, if no such
requirements have been adopted or no such product is available, meets
the secondary material content requirements adopted by any state agency
with respect to a specific commodity procurement by such agency.
"Remanufactured" shall mean any commodity that has been restored to its
original performance standards and function and is thereby diverted from
the solid waste stream, retaining, to the extent practicable, components
that have been through at least one life cycle and replacing consumable
or normal wear components. "Recyclable" shall mean any commodity that
can be collected, separated, or otherwise recovered from the solid waste
stream for reuse, remanufacture or assembly of another commodity,
through a widely available and easily accessible program.
b. Consistent with determinations of need required by subdivision five
of section one hundred sixty-three of this article, the commissioner and
state agencies shall purchase recycled, remanufactured or recyclable
commodities when such commodities meet their form, function and utility
and shall consider the cost of the commodity over its lifecycle. The
commissioner and a state agency shall also have the authority to
determine that for reasons of public health or safety, a recycled,
remanufactured or recyclable commodity should not be purchased. Such
determinations shall be documented in the procurement record.
(i) A state agency shall purchase recycled commodities at a cost
premium only if (A) the cost premium associated with a commodity which
has recycled content does not exceed ten percent above the cost of a
commodity made without recycled content or, (B) the cost of a recycled
commodity that contains at least fifty percent secondary materials
generated from the waste stream in New York state, does not exceed a
cost premium of fifteen percent above the cost of a comparable
commodity.
(ii) A state agency shall not be required to purchase recyclable or
remanufactured commodities at a cost premium unless such commodity also
constitutes a "recycled commodity" as defined in this subdivision and
that as such a recycled commodity, it has been offered for sale in
conformance with the standards for application of a cost premium for
recycled commodities as set forth in clauses (A) and (B) of subparagraph
(i) of this paragraph.
c. The commissioner shall periodically review the general
specifications in order to eliminate, wherever feasible, discriminations
against the procurement of commodities manufactured with recovered
materials or remanufactured materials; and shall annually review the
paper specifications to consider increasing the percentage of recycled
paper in paper commodity purchases.
d. Whenever the commissioner or other state agencies shall purchase or
cause the purchase of printing on recycled paper, he or she shall
require, to the extent feasible, the printed material to meet the
requirements of subdivision two of section 27-0717 of the environmental
conservation law and regulations promulgated pursuant thereto, and to
include a printed statement or symbol which indicates that the document
is printed on recycled paper.
e. Each state agency shall devise, institute and maintain a program to
source separate waste paper generated within state office facilities.
Such a program shall include marketing arrangements and appropriate
procedures to ensure the recovery of discarded paper in a uncontaminated
condition.
f. Each state agency shall devise and institute a program to source
separate all other waste generated within state office facilities that
is not covered by paragraph e of this subdivision. Such program shall
include marketing arrangements and appropriate procedures to ensure the
maximum recovery of such waste.
g. In addition to carrying out the provisions of paragraphs e and f of
this subdivision, the commissioner shall identify and implement specific
steps which will reduce, to the maximum extent practicable, waste
generated in state facilities and maximize the recovery and reuse of
secondary materials from such facilities. Such steps and their
implementation shall be reviewed from time to time but no less
frequently than annually or upon receiving recommendations for
additional steps from the department of environmental conservation or
the environmental facilities corporation.
h. All state agencies shall fully cooperate with the commissioner in
all phases of implementing the provisions of this section.
i. The commissioner shall report annually to the governor and the
legislature by September first concerning the quantities of recycled
paper purchased by the office of general services and by state agencies
pursuant to paragraph c of this subdivision, and concerning the amounts
of waste recycled from state offices and other facilities pursuant to
paragraphs e and f of this subdivision, the extent of waste reduction,
the percentage of the total waste stream which is recycled, the kinds of
materials eliminated from the waste stream, the full avoided costs of
proper collection and disposal costs of implementing the programs under
this section, the specific activities undertaken, goals for the
subsequent year resulting from the implementation of steps pursuant to
paragraph g of this subdivision, and remaining issues and areas for
improvement. Such reports shall be widely disseminated as a means of
assisting those outside state government in the design and
implementation of waste reduction and recycling programs, through
discussion of the state's experience in implementing all program aspects
such as collection, sorting, handling, storage and marketing, and the
resulting accomplishments.
j. The commissioner shall submit to the director of the budget, the
chairman and ranking minority member of the senate finance committee and
the chairman and ranking minority member of the assembly ways and means
committee an evaluation of all the source separation programs
implemented under this subdivision, for paper and other waste prepared
by an independent entity. Such evaluation shall be submitted by
September first, nineteen hundred ninety-six and by September first,
every two years thereafter.
4. Special provisions for purchase of available New York food
products.
a. Except as otherwise provided in this subdivision, when letting
contracts for the purchase of food products on behalf of facilities and
institutions of the state, solicitation specifications of the office of
general services and any other agency, department, office, board or
commission may require provisions that mandate that all or some of the
required food products are grown, produced or harvested in New York
state, or that any processing of such food products take place in
facilities located within New York state.
(i) All such solicitations for the purchase of food products shall
include the list of food products developed by the commissioner of
agriculture and markets pursuant to paragraph b of this subdivision; and
(ii) notice that such food products are available in sufficient
quantities for competitive purchasing and that the list was developed to
assist the state in increasing purchases of New York state food
products.
b. The commissioner of agriculture and markets shall determine, using
uniform criteria, those food products for which the requirements of this
subdivision are deemed beneficial and shall promulgate and forward to
the appropriate agencies a list of such food products, and shall in
addition ascertain those periods of time each year that those food
products are available in sufficient quantities for competitive
purchasing and shall forward such information to purchasing agencies.
The commissioner of agriculture and markets shall update such list as
often as is deemed by him or her to be necessary.
c. (i) Prior to issuing a solicitation for such food products,
purchasing agencies shall advise the commissioner of agriculture and
markets of the quantities of each food product on the list promulgated
by the commissioner of agriculture and markets to fulfill that agency's
purchasing needs.
(ii) The commissioner of agriculture and markets will then make a
determination of whether those products required by the purchasing
agency are available in sufficient quantities to satisfy the purchasing
agency's requirements.
(iii) Upon a determination by the commissioner of agriculture and
markets that the food products required by the purchasing agency are
available in sufficient quantities to fulfill the agency's purchasing
needs, the purchasing agency may include in its solicitation a
requirement that all or some of those food products are grown, produced
or harvested in New York state, or that any processing of such food
products take place in facilities located within New York state.
(iv) Upon a determination by the commissioner of agriculture and
markets that such food products are not available in sufficient
quantities to fulfill the agency's purchasing needs, the purchasing
agency shall issue a solicitation that does not require that all or some
of those food products are grown, produced or harvested in New York
state, or that any processing of such food products take place in
facilities located within New York state. In such cases, the purchasing
agency may include such requirements in the next contract for such food
products that is let if at such time those food products are available
in sufficient quantities. If at that time, those food products are not
available in sufficient quantities, the requirement shall again be
waived until such time as the products are available.
(v) In the event that the purchasing agency receives no offers that
meet the agency's requirement that all or some of the food products are
grown, produced or harvested in New York state, or that any processing
of such food products take place in facilities located within New York
state, it may waive the provisions of this subdivision and award a
contract in accordance with other applicable statutes. In addition, if
the commissioners of agriculture and markets, economic development and
any such individual agency shall agree as to the deleterious economic
impact of specifications requiring such purchases, such agencies may
waive the provisions of this subdivision for such purchases.
d. The commissioner, and the commissioner of agriculture and markets,
shall issue regulations for the implementation of this subdivision,
including but not limited to:
(i) establishing guidelines that will assist agencies in increasing
their use and purchase of New York state food products;
(ii) publishing such purchasing guidelines on the office of general
services website, disseminating such guidelines to agencies and training
contracting personnel on implementing such guidelines; and
(iii) providing for monitoring of implementation.
e. Notwithstanding any other section of law, rule, regulation or
statute, the department of agriculture and markets shall supply
information required by paragraph b of this subdivision to the office of
general services and to all other appropriate agencies.
f. (i) With each offer, the offerer shall certify that the food
products provided pursuant to that solicitation will be in conformity
with the provisions of the percentage required to meet or exceed the
requirements in the solicitation specifying that all or some of the food
products be grown, produced, or harvested within New York state or that
any processing of such food products take place in facilities located
within New York state.
(ii) Any successful offerer who fails to comply with the provisions of
this subdivision, at the discretion of such agency, board, office or
commission, shall forfeit the right to bid on contracts let under the
provisions of this subdivision for a period of time to be determined by
the commissioner and the commissioner of agriculture and markets.
(iii) Every successful offerer shall:
(1) review the list of New York state food products developed pursuant
to paragraph b of this subdivision to determine whether any such
products are being provided under their contracts;
(2) report to the procuring agency all of the food products and
processed food procured under such contracts, categorized by specific
type, together with the dollar value of each such type procured under
such contract, to the extent practicable and known to such vendor; and
(3) for each such type of food product or processed food included on
the list of New York state food products, report to the procuring
agency, to the extent practicable and known to such vendor:
(a) any such New York state food product procured under such contract,
together with the dollar value of each such type procured under such
contract;
(b) any such food product from outside of New York state procured
under such contract during its listed New York state availability
period, together with the dollar value of each such type procured under
such contract; and
(c) any other such food product from outside of New York state or
processed food from facilities outside of New York state procured under
such contract from outside New York state, together with the dollar
value of each such type procured under such contract.
g. No later than December first of each year the commissioner shall
annually report to the governor and legislature on the implementation of
this subdivision. Such report shall include, at minimum:
(i) a description of the office's efforts to improve and increase the
tracking of information relating to New York state food procured by
agencies; and
(ii) the information collected pursuant to paragraph f of this
subdivision, compiled to provide the following, disaggregated by food
product and processed food:
(a) the total dollar value of New York state food products procured by
agencies;
(b) the total dollar value of food products from outside of New York
state procured by agencies during their listed New York state
availability periods; and
(c) the total dollar value of all other food products from outside of
New York state and processed food from facilities outside of New York
state.
h. The commissioner and the commissioner of agriculture and markets,
shall advise and assist the chancellor of the state university of New
York in extending the benefits of the provisions of this subdivision to
the university and shall modify any regulations or procedures heretofore
established pursuant to this subdivision, in order to facilitate such
participation.
4-a. Favored source status for New York state labelled wines. a. In
order to advance specific economic goals, New York state labelled wines,
as defined in subdivision twenty-a of section three of the alcoholic
beverage control law, shall have favored source status for the purposes
of procurement in accordance with the provisions of this subdivision.
Procurement of these New York state labelled wines shall be exempt from
the competitive procurement provisions of section one hundred
sixty-three of this article and other competitive procurement statutes.
Such exemption shall apply to New York state labelled wines as defined
in subdivision twenty-a of section three of the alcoholic beverage
control law produced by a licensed winery as defined in section
seventy-six of the alcoholic beverage control law.
b. The commissioner of taxation and finance, in consultation with the
commissioners of the state liquor authority shall prepare a list of
wines that are eligible as determined by the criteria in paragraph a of
this subdivision and that are available and are being provided, for
purchase by state agencies, public benefit corporations, commissions or
political subdivisions from those entities which produce such New York
state labelled wine. Such list may include references to catalogs and
other descriptive literature which are available directly from any
winery that produces wine accorded favored source status under this
subdivision. The commissioner shall make this list available to
prospective vendors, state agencies, public benefit corporations,
political subdivisions and other interested parties. Any wines that meet
the criteria under paragraph a of this subdivision shall be eligible for
this favored source status.
c. The state procurement council in consultation with the
commissioners of the state liquor authority, and upon application from a
winery, will determine if a particular New York state labelled wine
meets the required criteria under paragraph a of this subdivision for
favored source status, and if so, such wine shall be added to the list
of favored source status New York state labelled wines. In order to
insure that such list reflects current production and/or availability of
commodities and services, the state procurement council may delete at
the request of a winery a favored wine from the list established by the
criteria in paragraph a of this subdivision. The state procurement
council will also determine if a particular wine no longer meets the
required definition under paragraph a of this subdivision for favored
source status, and if it does not, such wine shall be deleted from the
list of favored source status or favored wines.
d. The commissioners of the state liquor authority, in consultation
with the commissioner of taxation and finance and office of general
services, shall make every effort to encourage state agencies, public
authorities and political subdivisions when they purchase any quantity
of wine to purchase those wines that have been granted favored source
status as determined by the commissioners of the state liquor authority
and the state procurement council.
e. The list shall be maintained by the office of general services in
accordance with provisions of section one hundred sixty-two of this
article and shall be revised as necessary to reflect the additions and
deletions of wines as determined by the state procurement council.
5. Nondiscrimination in employment in Northern Ireland.
a. For the purposes of this subdivision "MacBride Fair Employment
Principles" shall mean those principles relating to nondiscrimination in
employment and freedom of work place opportunity which would require
employers doing business in Northern Ireland to:
(i) increase the representation of individuals from underrepresented
religious groups in the work force, including managerial, supervisory,
administrative, clerical and technical jobs;
(ii) take steps to promote adequate security for the protection of
employees from underrepresented religious groups both at the workplace
and while traveling to and from work;
(iii) ban provocative religious or political emblems from the work
place;
(iv) publicly advertise all job openings and make special recruitment
efforts to attract applicants from underrepresented religious groups;
(v) establish layoff, recall and termination procedures which do not
in practice favor a particular religious group;
(vi) abolish all job reservations, apprenticeship restrictions and
differential employment criteria which discriminate on the basis of
religion;
(vii) develop training programs that will prepare substantial numbers
of current employees from underrepresented religious groups for skilled
jobs, including the expansion of existing programs and the creation of
new programs to train, upgrade and improve the skills of workers from
underrepresented religious groups;
(viii) establish procedures to assess, identify and actively recruit
employees from underrepresented religious groups with potential for
further advancement; and
(ix) appoint a senior management staff member to oversee affirmative
action efforts and develop a timetable to ensure their full
implementation.
b. (i) With respect to contracts described in subparagraphs (ii) and
(iii) of this paragraph, and in accordance with such subparagraphs,
state agencies as defined in this article shall not contract for the
supply of commodities, service or construction with any contractor who
does not agree to stipulate to the following, if there is another
contractor who will contract to supply commodities, services or
construction of comparably quality at a comparable price or cost: the
contractor and any individual or legal entity in which the contractor
holds a ten percent or greater ownership interest and any individual or
legal entity that holds a ten percent or greater ownership interest in
the contractor either (A) have no business operations in Northern
Ireland, or (B) shall make lawful steps in good faith to conduct any
business operations they have in Northern Ireland in accordance with
MacBride Fair Employment Principles, and shall permit independent
monitoring of their compliance with such principles.
(ii) In the case of contracts let by a competitive process, whenever
the responsive and responsible offerer having the lowest price or best
value offer has not agreed to stipulate to the conditions set forth in
this subdivision and another responsive and responsible offerer who has
agreed to stipulate to such conditions has submitted an offer within
five percent of the lowest price or best value offer for a contract to
supply commodities, services or construction of comparable quality, the
contracting entity shall refer such offers to the commissioner of
general services, who may determine, in accordance with applicable law
and rules, that it is in the best interest of the state that the
contract be awarded to other than the lowest price or best value offer.
(iii) In the case of contracts let by other than a competitive process
for goods or services involving an expenditure of an amount greater than
the discretionary buying threshold as specified in section one hundred
sixty-three of this article, or for construction involving an amount
greater than fifteen thousand dollars, the contracting entity shall not
award to a proposed contractor who has not agreed to stipulate to the
conditions set forth in this subdivision unless the entity seeking to
use the commodities, services or construction determines that the
commodities, services or construction are necessary for the entity to
perform its functions and there is no other responsible contractor who
will supply commodities, services or construction of comparable quality
at a comparable price. Such determinations shall be made in writing and
shall be public documents.
c. Upon receiving information that a contractor who has made the
stipulation required by this subdivision is in violation thereof, the
contracting entity shall review such information and offer the
contractor an opportunity to respond. If the contracting entity finds
that a violation has occurred, it shall take such action as may be
appropriate and provided for by law, rule or contract, including, but
not limited to, imposing sanctions, seeking compliance, recovering
damages or declaring the contractor in default.
d. As used in this subdivision, the term "contract" shall not include
contracts with governmental and non-profit organizations, contracts
awarded pursuant to emergency procurement procedures or contracts,
resolutions, indentures, declarations of trust or other instruments
authorizing or relating to the authorization, issuance, award, sale or
purchase of bonds, certificates of indebtedness, notes or other fiscal
obligations, provided that the policies of this subdivision shall be
considered when selecting a contractor to provide financial or legal
advice, and when selecting managing underwriters in connection with such
activities.
e. The provisions of this subdivision shall not apply to contracts for
which the state or other contracting entity receives funds administered
by the United States department of transportation, except to the extent
Congress has directed that the department of transportation not withhold
funds from states and localities that choose to implement selective
purchasing policies based on agreement to comply with the MacBride Fair
Employment Principles, or to the extent that such funds are not
otherwise withheld by the department of transportation.
6. Special provisions relating to retaliating against other
jurisdictions which discriminate against New York state enterprises in
their procurement of products and services.
a. As used in this subdivision, the following terms shall have the
following meanings unless a different meaning appears from the context:
(i) "Discriminatory jurisdiction" shall mean any other country,
nation, province, state or political subdivision thereof which employs a
preference or price distorting mechanism to the detriment of or
otherwise discriminates against a New York state business enterprise in
the procurement of commodities and services by the same or a
non-governmental entity influenced by the same. Such discrimination may
include, but is not limited to, any law, regulation, procedure or
practice, terms of license, authorization, or funding or bidding rights
which requires or encourages any agency or instrumentality of the state
or political subdivision thereof or nongovernmental entity influenced by
the same to discriminate against a New York state business enterprise.
(ii) "Foreign business enterprise" shall mean a business enterprise,
including a sole proprietorship, partnership, or corporation, which
offers for sale, lease or other form of exchange, commodities sought by
any state agency and which are substantially produced outside New York
state or services, other than construction services, sought by any state
agency and which are substantially performed outside New York state. For
purposes of construction services, foreign business enterprise shall
mean a business enterprise, including a sole proprietorship, partnership
or corporation, which has its principal place of business outside New
York state.
(iii) "New York state business enterprise" shall mean a business
enterprise, including a sole proprietorship, partnership, or
corporation, which offers for sale or lease or other form of exchange,
commodities which are substantially manufactured, produced or assembled
in New York state, or services, other than construction services, which
are substantially performed within New York state. For purposes of
construction services, a New York state business enterprise shall mean a
business enterprise, including a sole proprietorship, partnership, or
corporation, which has its principal place of business in New York
state.
b. The commissioner of economic development shall have the power and
it shall be his or her duty to prepare a list of all discriminatory
jurisdictions. The commissioner of economic development shall add to or
delete from said list any jurisdiction upon good cause shown. The
commissioner of economic development shall deliver a copy of the list to
the commissioner, all state agencies, and every public authority and
public benefit corporation, a majority of the members of which consist
of persons either appointed by the governor or who serve as members by
virtue of holding a civil office of the state, or a combination thereof.
c. In including any additional business enterprises on solicitations
for the procurement of commodities or services, the commissioner and all
state agencies shall not include any foreign business enterprise which
has its principal place of business located in a discriminatory
jurisdiction contained on the list prepared by the commissioner of
economic development pursuant to paragraph b of this subdivision,
except, however, business enterprises which are New York state business
enterprises as defined by this subdivision.
d. A state agency shall not enter into a contract with a foreign
business enterprise, as defined by this subdivision, which has its
principal place of business located in a discriminatory jurisdiction
contained on the list prepared by the commissioner of economic
development pursuant to paragraph b of this subdivision. The provisions
of this paragraph and paragraph c of this subdivision may be waived by
the head of the state agency if the head of the state agency determines
in writing that it is in the best interests of the state to do so. The
head of the state agency shall deliver each such waiver to the
commissioner of economic development.
e. The commissioner may waive the application of the provisions of
paragraph c of this subdivision whenever he or she determines in writing
that it is in the best interests of the state to do so.
7. Special provisions regarding the purchasing of apparel or sports
equipment by the state university of New York and the city university of
New York.
a. Notwithstanding any other provision of law, the various units of
the state university of New York, the city university of New York and
community colleges shall have authority to:
(i) Determine that a bidder on a contract for the purchase of apparel
or sports equipment is not a responsible bidder as defined in section
one hundred sixty-three of this article based upon either of the
following considerations:
(A) the labor standards applicable to the manufacture of the apparel
or sports equipment, including but not limited to employee compensation,
working conditions, employee rights to form unions, and the use of child
labor, or
(B) the bidder's failure to provide information sufficient for the
state agency or corporation to determine the labor conditions applicable
to the manufacture of the apparel or sports equipment.
(ii) Include in the internal policies and procedures governing
procurement of apparel or sports equipment, where such procurement is
not further required to be made pursuant to the competitive bidding
requirements of section one hundred sixty-three of this article, a
prohibition against the purchase of apparel or sports equipment from any
vendor based upon either or both of the following considerations:
(A) the labor standards applicable to the manufacture of the apparel
or sports equipment, including but not limited to employee compensation,
working conditions, employee rights to form unions, and the use of child
labor, or
(B) the bidder's failure to provide sufficient information for said
state agencies to determine the labor standards applicable to the
manufacture of the apparel or sports equipment.
b. For the purposes of this subdivision the term:
(i) "apparel" shall mean goods, such as, but not limited to, sports
uniforms, including gym uniforms, required school uniforms, shoes,
including, but not limited to, athletic shoes or sneakers, sweatshirts,
caps, hats, and other clothing, whether or not imprinted with a school's
name or logo, academic regalia, lab coats and staff uniforms; and
(ii) "sports equipment" shall mean equipment, such as, but not limited
to, balls, bats and other goods intended for use by those participating
in sports and games.
8. Mercury-free motor vehicles. The commissioner and state agencies
shall grant a preference and give priority to the purchase of motor
vehicles which are mercury-free taking into consideration competition,
price, availability and performance.
9. End point device security. (a) For the purposes of this subdivision
"end point device" shall mean personal computing goods that include
desktops, laptops, all-in-ones, tablets, mobile or cellular telephones,
thin clients, and monitors of various sizes; printers; and
multi-functional devices that include imaging devices that combine
operations such as copying, printing, scanning and faxing into one
machine.
(b) The commissioner and all state agencies, when procuring end point
devices, shall be consistent with any relevant standards, guidelines, or
guidance developed as part of the National Institute of Standards and
Technology (NIST) Cybersecurity Framework.
Iran divestment. 1. As used in this section, the following
definitions shall apply:
(a) "Energy sector" of Iran means activities to develop petroleum or
natural gas resources or nuclear power in Iran.
(b) "Financial institution" means the term as used in Section 14 of
the Iran Sanctions Act of 1996 (Public Law 104-172; 50 U.S.C. 1701
note).
(c) "Investment" means a commitment or contribution of funds or
property, a loan or other extension of credit; and the entry into or
renewal of a contract for goods or services.
(d) "Iran" includes the government of Iran and any agency or
instrumentality of Iran.
(e) "Person" means any of the following:
(1) A natural person, corporation, company, limited liability company,
business association, partnership, society, trust, or any other
nongovernmental entity, organization, or group.
(2) Any governmental entity or instrumentality of a government,
including a multilateral development institution, as defined in Section
1701(c)(3) of the International Financial Institutions Act (22 U.S.C.
262r(c)(3)).
(3) Any successor, subunit, parent entity, or subsidiary of, or any
entity under common ownership or control with, any entity described in
subparagraph one or two of this paragraph.
2. For purposes of this section, a person engages in investment
activities in Iran if:
(a) The person provides goods or services of twenty million dollars or
more in the energy sector of Iran, including a person that provides oil
or liquefied natural gas tankers, or products used to construct or
maintain pipelines used to transport oil or liquefied natural gas, for
the energy sector of Iran; or
(b) The person is a financial institution that extends twenty million
dollars or more in credit to another person, for forty-five days or
more, if that person will use the credit to provide goods or services in
the energy sector in Iran and is identified on a list created pursuant
to paragraph (b) of subdivision three of this section as a person
engaging in investment activities in Iran as described in paragraph (a)
of this subdivision.
3. (a) A person that is identified on a list created pursuant to
paragraph (b) of this subdivision as a person engaging in investment
activities in Iran as described in subdivision two of this section,
shall not be deemed a responsive bidder or offerer pursuant to section
one hundred sixty-three of this article.
(b) (1) Not later than one hundred twenty days after the effective
date of this section, the commissioner shall develop or contract to
develop, using credible information available to the public, a list of
persons it determines engage in investment activities in Iran as
described in subdivision two of this section. If the commissioner has
contracted to develop the list, the list shall be finally developed not
later than one hundred twenty days after this section shall take effect.
Such list, when completed, shall be posted on the website of the office
of general services.
(2) The commissioner shall update the list every one hundred eighty
days.
(3) Before finalizing an initial list pursuant to subparagraph one of
this paragraph or an updated list pursuant to subparagraph two of this
paragraph, the commissioner shall do all of the following before a
person is included on the list:
(A) Provide ninety days' written notice of the commissioner's intent
to include the person on the list. The notice shall inform the person
that inclusion on the list would make the person a non-responsive bidder
or offerer. The notice shall specify that the person, if it ceases its
engagement in investment activities in Iran as described in subdivision
two of this section, may be removed from the list.
(B) The commissioner shall provide a person with an opportunity to
comment in writing that it is not engaged in investment activities in
Iran. If the person demonstrates to the commissioner that the person is
not engaged in investment activities in Iran as described in subdivision
two of this section, the person shall not be included on the list.
(4) The commissioner shall make every effort to avoid erroneously
including a person on the list.
(5) A person that has a contract with the New York state common
retirement fund, the New York state and local employees' retirement
system, the New York state and local police and fire retirement system,
or the New York state teachers' retirement system, shall not be deemed a
person that engages in investment activities in Iran as described in
subdivision two of this section on the basis of those contracts or
investments with such retirement systems, provided however, that nothing
in this subparagraph shall prevent the New York state common retirement
fund, the New York state and local employees' retirement system, New
York state and local police and fire retirement system or the New York
state teachers' retirement system from pursuing a policy of divestment
in the Iranian economy.
(c) Notwithstanding paragraph (a) of this subdivision, a state agency
may permit a person engaged in investment activities in Iran as
described by subdivision two of this section to be deemed a responsive
bidder or offerer, on a case-by-case basis with a state agency if:
(1) The investment activities in Iran were made before the effective
date of this section, the investment activities in Iran have not been
expanded or renewed after the effective date of this section, and the
person has adopted, publicized, and is implementing a formal plan to
cease the investment activities in Iran and to refrain from engaging in
any new investments in Iran; or
(2) The state agency makes a determination that the commodities or
services are necessary for the state agency to perform its functions and
that, absent such an exemption, the state agency would be unable to
obtain the commodities or services for which the contract is offered.
Such determination shall be entered into the procurement record.
4. (a) A state agency shall require a person that submits a bid or
offer in response to a notice of procurement, or that proposes to renew
an existing procurement contract with a state agency or proposes to
assume the responsibility of a contractor pursuant to a procurement
contract with a state agency or otherwise proposes to enter into a
contract with a state agency with respect to a contract for commodities,
services, construction, or contracts entered pursuant to sections six
and seven of the New York state printing and public documents law,
section eight of the public buildings law, or section thirty-eight of
the highway law, to certify, at the time the bid is submitted or the
contract is renewed or assigned, that the person or the assignee is not
identified on a list created pursuant to paragraph (b) of subdivision
three of this section. A state agency shall include certification
information in the procurement record.
(b) A person that submits a bid or offer in response to a notice of
procurement or that proposes to renew an existing procurement contract
with a state agency or proposes to assume the responsibility of a
contractor pursuant to a procurement contract with a state agency, or
otherwise proposes to enter into a contract with a state agency with
respect to a contract for commodities, services, construction, or
contracts entered pursuant to sections six and seven of the New York
state printing and public documents law, section eight of the public
buildings law, or section thirty-eight of the highway law shall not
utilize, on the contract with the state agency, any subcontractor that
is identified on a list created pursuant to paragraph (b) of subdivision
three of this section.
5. Upon receiving information that a person who has made the
certification required by subdivision four of this section is in
violation thereof, the state agency shall review such information and
offer the person an opportunity to respond. If the person fails to
demonstrate that is has ceased its engagement in the investment which is
in violation of this act within ninety days after the determination of
such violation, then the state agency shall take such action as may be
appropriate and provided for by law, rule or contract, including, but
not limited to, imposing sanctions, seeking compliance, recovering
damages or declaring the contractor in default.
6. The commissioner shall report to the governor and the legislature
annually on or before October first, on the status of the federal
"Comprehensive Iran Sanctions, Accountability, and Divestment Act of
2010" (Public Law 111-195), "the Iran divestment act of 2012", and any
rules or regulations adopted thereunder.
Requirements for financed equipment acquisition or financed
creation or improvement of information technology systems and related
research and development. 1. a. No financed equipment acquisition may be
approved by the state comptroller unless the acquisition has been
approved by the director of the budget and the outright purchase cost of
the equipment is at least fifty thousand dollars for new financed
equipment acquisitions during the fiscal year nineteen hundred
eighty-eight--eighty-nine, and at least one hundred thousand dollars for
new financed acquisitions during subsequent fiscal years provided,
however, that the comptroller may issue regulations establishing higher
minimum outright purchase costs. Multiple items of the same type of
equipment or related items of equipment procured pursuant to a single
request for proposals may be grouped under one or several contracts as
part of a procurement package to reach the applicable minimum. The
financing of the creation or improvement of information technology
systems and related research and development is authorized pursuant to
this section.
b. Notwithstanding the provisions of paragraph a of this subdivision,
which shall not apply to financed equipment acquisitions for units of
the state university and city university of New York, no financed
equipment acquisition may be approved by the state comptroller for such
units until the director of the budget has determined whether such
financed equipment acquisition shall be financed by certificates of
participation pursuant to section sixty-six-b of this chapter. The
director of the budget shall make such determination no later than
thirty days following the submission of documentation, satisfactory to
the director from the state university or city university of New York.
If within such period of time the director does not indicate that such
financed equipment acquisition shall be financed by certificates of
participation, the state university or city university of New York may
proceed with a financed equipment acquisition in accordance with any
other applicable provision of law. The board of trustees of the city
university of New York and the board of trustees of the state university
of New York shall each promulgate regulations in consultation with the
comptroller and subject to the approval of the director of the budget
regarding the circumstances under which units of the respective
universities may use certificates of participation or other financed
equipment acquisitions. Such regulations shall include but not be
limited to: the establishment of minimum finance acquisition cost;
restrictions on the use of certificates of participation; and annual
ceilings on financed equipment acquisitions. Each board shall file
copies of its regulations with the director of the budget, the
comptroller, and the chairs of the senate finance committee and the
assembly ways and means committee.
2. The director of the budget shall transmit to the state comptroller
and the chairs of the senate finance committee and assembly ways and
means committee a quarterly report on new financed equipment
acquisitions approved by the director of the budget during the previous
quarter. The report shall identify the following:
a. The agency and program procuring the equipment.
b. A brief description of the equipment.
c. The cost of the equipment if purchased outright.
d. The interest rates and terms of such financing.
e. The total lease purchase or installment purchase payments for the
equipment.
f. The lease purchase or installment purchase payments by fiscal year
for the current fiscal year and the next five fiscal years.
g. The anticipated source of funds to make lease purchase or
installment purchase payments.
Transfer and disposal of personal property. Personal property
of the state which has been determined to be no longer useful may be
disposed of as set forth in this section.
1. The head of a state agency having custody or control of such
property, except vehicles, may: (a) dispose of such property in
accordance with applicable express statutory provisions, (b) reuse such
property within the same state agency, (c) use the property in part
payment on a new item which may include, but shall not be limited to,
use as a trade-in or use in a guaranteed brokerage arrangement, (d) with
the consent of the commissioner, place such property in the custody or
control of the office of general services for reuse by other state
agencies or for other disposition, or (e) where the fair market value of
such property is less than an amount established from time to time by
the commissioner, dispose of such property by such means as the head of
such state agency deems to be in the best interest of the state. Records
of each disposition shall be retained by the state agency disposing of
such property and shall be subject to audit. Where personal property has
been purchased from special funds, a state agency, upon designation of
the source of funds from which such property was purchased, may
condition the disposal of such property on the reimbursement of such
special fund in the amount of the fair market value of such property.
All proceeds realized on sale or other transfer and not otherwise
authorized to be deposited in a special fund, shall be deposited in the
general fund of the state.
2. The head of a state agency having custody or control of vehicles
which have been determined to be no longer useful shall dispose of such
vehicles in accordance with applicable express statutory provisions or
shall place such vehicles in the custody or control of the commissioner
unless otherwise directed by such commissioner.
3. The commissioner may dispose of any personal property of the state
by sale or by such other means as he or she deems to be in the best
interest of the state except that personal property other than vehicles
which have been placed in the custody or control of such commissioner by
a state agency shall first be made available for reuse by other state
agencies by advertising such availability as widely as possible among
state agencies. A record of each disposition shall be retained and shall
be subject to audit. The commissioner may also from time to time
establish a fair market value level below which personal property
determined to be no longer useful may be disposed of immediately by
state agencies through such means as, in the discretion of such
agencies, are in the best interest of the state.
4. (a) Prior to the public sale of surplus state personal property and
if the commissioner has determined that personal property of the state
shall be sold, the office of general services must first offer to sell
such property to municipalities of the state. The availability of
surplus personal property, and the offer to sell such property, shall be
advertised to municipalities on the office of general services' website
for a minimum of seven days. A municipality shall immediately advise the
commissioner whether or not the municipality wishes to acquire such
personal property. If it wishes to acquire such personal property, a
municipality shall have thirty days to arrange delivery of such property
and to conclude the negotiation of the sale. If two or more
municipalities notify the commissioner of their wish to acquire such
personal property, such personal property shall be sold to the highest
offer complying with the terms of the sale as set by the commissioner.
All proceeds of such sales shall be deposited to the credit of the
general fund of the state unless otherwise required by law. A record of
each sale shall be retained and shall be subject to audit. After the
thirty day period for municipalities to arrange delivery of such
property and to conclude the negotiation of the sale, the property may
be disposed of pursuant to paragraph (b) of this subdivision. For the
purposes of this section, "municipality" shall mean a city, county, town
or village.
(b) Where the commissioner has determined that there are no interested
municipalities pursuant to paragraph (a) of this subdivision, the
availability of such property shall be advertised at least once prior to
sale in a local newspaper. Such advertisement shall identify the
property, the place where the terms of sale may be obtained and the date
upon which offers will be received. In cases of emergency or special
circumstances, such notice may be waived if at least three separate and
independent offers are solicited and obtained. Notwithstanding the
provisions of this section, where the property will be sold by public
auction over the internet, such notice may be waived if notification of
the availability of such property is provided on the office of general
services' website five business days prior to sale. Every such sale
shall be made to the highest offer complying with the terms of sale and
all proceeds of such sales shall be deposited to the credit of the
general fund of the state unless otherwise required by law. A record of
each sale shall be retained and shall be subject to audit.
5. The secretary of the senate shall also have the power, at the
request of any member of the senate who shall hereafter resign or whose
term of office shall hereafter terminate, or the surviving spouse of
such member, to sell to such member, or to such surviving spouse, the
chair last occupied by such member in the senate at a cost set at the
discretion of the secretary of the senate, depositing any moneys
received from such sale in the state treasury; provided, however, that a
written request therefor, accompanied by the payment herein provided, be
submitted to the secretary of the senate within ninety days after any
such resignation or termination of term of office; and provided further
that not more than one such chair may be thus sold, regardless of any
service subsequently rendered as a member of the senate. In the event
that any member of the senate dies leaving no surviving spouse, the
secretary of the senate shall have the power to sell such chair, upon
the terms and conditions hereinabove prescribed, and in the following
order of priority: (i) to any person designated by such member in a
writing filed with the secretary of the senate, or (ii) to a child of
such member, if any, in the order of seniority, (iii) to any parent or
parents of such member, (iv) to siblings of such member, in the order of
seniority.
6. The clerk of the assembly shall have the power, at the request of
any member of the assembly who shall hereafter resign or whose term of
office shall hereafter terminate, or the surviving spouse of such
member, to sell to such member, or to such surviving spouse, the chair
last occupied by such member in the assembly at a cost set at the
discretion of the clerk of the assembly, depositing any moneys received
from such sale in the state treasury; provided, however, that a written
request therefor, accompanied by the payment herein provided, be
submitted to the clerk of the assembly within ninety days after such
resignation or termination of term of office; and provided further that
not more than one such chair may be thus sold, regardless of any service
subsequently rendered as a member of the assembly. In the event that any
member of the assembly dies leaving no surviving spouse, the clerk of
the assembly shall have the power to sell such chair, upon the terms and
conditions hereinabove prescribed, and in the following order of
priority: (i) to any person designated by such member in a writing filed
with the clerk of the assembly, or (ii) to a child of such member, if
any, in the order of seniority, (iii) to any parent or parents of such
member, (iv) to siblings of such member, in the order of seniority.
7. The commissioner shall have the power, at the request of a former
governor or head of a state department or agency, or the surviving
spouse of such a former official, to sell to such former official, or to
his or her surviving spouse, selected articles of furniture, in use by
such former official at the termination of his services as governor or
head of a state department or agency in the private offices of the
governor in the executive chamber or in the office occupied by such
former head of a state department or agency, for the reasonable value
thereof as articles of furniture as determined by the commissioner,
depositing any moneys received from such sale in the state treasury;
provided, however, that a written request therefor, specifying the
articles to be purchased, be submitted to the commissioner within ninety
days after the termination of such service.
8. The provisions of subdivision one of this section shall not apply
to the transfer of library books and journals, provided, however, that
in the event any such items are to be transferred or disposed of in a
manner other than as provided by such subdivision, the head of the
department having custody or control of the library book or journal
shall certify that it is no longer needed by the department and a record
of the transfer or disposal, including such certification, shall be
filed with and kept by the office of general services.
9. The application of subdivisions one and three of this section to
the transfer of computers, computer software and computer equipment, not
required for trade-in, reuse within the agency, or requested by another
state agency, shall be in conformity with section one hundred
sixty-eight of this article. Disposal of computer equipment pursuant to
paragraph (e) of subdivision one of this section, or disposal of
computer equipment by an agency in the exercise of its discretion
according to subdivision three of this section shall be deemed to be in
the best interest of the state if in conformity with section one hundred
sixty-eight of this article, or if the head of the disposing agency
demonstrates the existence of a greater state interest in an alternate
disposal.
The management of surplus computer equipment. 1. General
definitions. As used in this section:
(a) "Computer" means a computer central processing unit (CPU) and,
where attached to a CPU, such computer cases, computer memory, cards and
other peripheral devices as may reasonably be viewed functionally as one
unit.
(b) "Computer software" means executable computer programs and related
data files on computer-related media, including but not limited to
floppy disks, hard disks, optical and magneto-optical computer data
storage devices.
(c) "Computer equipment" means computers, computer memory, cards, and
associated peripheral devices, including but not limited to floppy disk
drives, hard disk drives, printers, modems, computer-related cables and
networking devices, scanners, computer monitors, and computer software.
2. The commissioner is authorized to dispose of surplus computer
equipment in accordance with this section whenever the potential
educational usefulness substantially exceeds its monetary value, as
provided in guidelines promulgated pursuant to subdivision two of
section three hundred eighteen of the education law.
3. The commissioner shall ensure that all state entities over which
the office has inventory control or with which the office has an
association are aware of the computer recycling program.
4. At regular intervals, at least twice annually, the office shall
deliver to the state education department an inventory of surplus
computer equipment that is available for distribution contemplated by
this section.
5. The office shall, at suitable intervals, arrange for the transfer
of surplus computer equipment to the state education department, or, in
cooperation with the commissioner of education and on his behalf,
directly to institutions conducting educational programs in accordance
with section three hundred eighteen of the education law.
ARTICLE 11-A Interest Payments On Certain Amounts Owed By State
Legislative intent. Firms and organizations that do business
with the state of New York expect and deserve to be paid in a prompt and
timely manner. Unjustified delays in paying vendors, construction
contractors, and providers of service may discourage such firms and
organizations from doing business with the state of New York and may
ultimately increase the costs to the state government of purchasing
materials, equipment, and supplies; undertaking construction and
reconstruction projects; and obtaining a wide variety of professional
and other specialized services including those that are provided to
persons in need. Consequently, this legislation sets standards for the
payment of bills incurred by state agencies within specified periods of
time and requires interest payments in situations where contract
payments do not conform to these standards. Consistent with accepted
business practices and with sound principles of fiscal management, it is
the intent of this legislation to encourage state agencies in all three
branches of state government to make payments at least as expeditiously
as they currently do and further to reduce existing payment processing
times whenever feasible, while at the same time permitting the state
agencies to perform proper and reasonable financial oversight activities
designed to ensure that the state government receives the quality of
goods and services to which it is entitled and to ensure that public
funds are spent in a prudent and responsible manner.
Definitions. As used in this article, the following terms
shall have the following meanings unless otherwise specified:
1. "Contract" means an enforceable agreement entered into by a
contractor and a state agency.
2. "Contractor" means any person, partnership, firm, corporation, or
association:
a. selling materials, equipment, or supplies or leasing property or
equipment to a state agency;
b. constructing, reconstructing, rehabilitating, or repairing
buildings or highways for, or on behalf of, a state agency; or
c. rendering or providing services pursuant to a contract with a state
agency.
3. "Designated payment office" means the office designated by the
state agency to which a proper invoice is to be submitted by a
contractor.
4. "Payment date" means the date on which a check for payment pursuant
to a contract is dated.
5. "Proper invoice" means a written request for a contract payment
that is submitted by a contractor setting forth the description, price,
and quantity of goods, property, or services delivered or rendered, in
such form and supported by such other substantiating documentation as
the state comptroller or individual state agency may reasonably require.
6. "Receipt of an invoice" means (a) the date on which a proper
invoice is actually received in the designated payment office, or (b)
the date on which the state agency receives the purchased goods,
property, or services covered by the proper invoice, whichever is later,
or (c) in regard to final payments on highway construction contracts,
the date determined in accordance with the provisions of paragraph (g)
of subdivision seven of section thirty-eight of the highway law.
7. "Required payment date" means the date by which a contract payment
must be made in order for the state government not to become liable for
interest payments, pursuant to subdivision two or subdivision five of
section one hundred seventy-nine-f of this article.
8. "Set-off" means the reduction by the comptroller of a payment due
to a contractor by an amount equal to the amount of an unpaid legally
enforceable debt owed by the contractor to the state of New York.
9. "State agency" means any department, board, bureau, commission,
division, office, council, institution, or committee in the executive,
legislative, or judicial branches of state government; the city
university of New York when acting on behalf of any of its senior
colleges; the facilities development corporation; or the state
university construction fund.
10. "State funds" means funds held in joint custody by the state
comptroller and the state commissioner of taxation and finance.
Determination of eligibility for payment of interest on
amounts owed to contractors. 1. Each state agency which is required to
make a payment from state funds pursuant to a contract and which does
not make such contract payment by the required payment date shall make
an interest payment to the contractor in accordance with this article on
the amount of the contract payment which is due, unless failure to make
such contract payment is the result of a lien, attachment, or other
legal process against the money due said contractor, or unless the
amount of the interest payment as computed in accordance with the
provisions of section one hundred seventy-nine-g of this article is less
than ten dollars. A pro rata share of such interest shall be paid by the
contractor or subcontractor, as the case may be, to subcontractors and
materialmen in a proportion equal to the percentage of their pro rata
share of the contract payment. Such pro rata share of interest shall be
due to such subcontractors and materialmen only for those payments which
are not paid to such subcontractors and materialmen prior to the date
upon which interest begins to accrue between the state agency and the
contractor. Such pro rata share of interest shall be computed daily
until such payments are made to the subcontractors and materialmen.
2. The required payment date shall be thirty calendar days, excluding
legal holidays, provided, however, that for a small business the
required payment date shall be fifteen calendar days, excluding legal
holidays, absent a showing by the contracting agency of circumstances
beyond its control, provided that the small business submits its invoice
electronically, in conformance with the policies and procedures of the
accounting and financial management system of state government and
identifies that it is seeking expedited payment as a small business, or
in the case of final payments on highway construction contracts
seventy-five calendar days, excluding legal holidays, after receipt of
an invoice for the amount of the contract payment due; except when:
(a) the state comptroller in the course of his or her audit determines
that there is reasonable cause to believe that payment may not properly
be due, in whole or in part;
(b) in accordance with specific statutory or contractual provisions,
payment must be preceded by an inspection period or by an audit to
determine the resources applied or used by a contractor in fulfilling
the terms of the contract;
(c) the necessary state government appropriation required to authorize
payment has yet to be enacted;
(d) a proper invoice must be examined by the federal government prior
to payment;
(e) the goods or property have not been delivered or the services have
not been rendered by the contractor in compliance with the terms or
conditions of the contract;
(f) the required payment date is modified in accordance with
subdivision three of this section; or
(g) in the case of final payments on highway construction contracts
the commissioner of transportation determines that the contractor has
failed to properly submit the necessary documents and other submissions
prescribed by the contract specifications and requirements, by the
provisions of subdivision eight of section thirty-eight of the highway
law, and by all other applicable state and federal laws in order to
enable the department of transportation to process the final payment
properly and expeditiously.
Any time taken to satisfy or rectify any of the types of conditions
described in paragraphs (a) through (e) or (g) of this subdivision shall
extend the required payment date by an equal period of time, provided,
however, that for small businesses, the required payment date shall be
fifteen calendar days, excluding legal holidays, after such conditions
have been satisfied or rectified, and provided further that all
reasonable and practicable efforts shall be taken to satisfy or rectify
such conditions as soon as possible.
3. Each state agency shall have fifteen calendar days after receipt of
an invoice by the state agency at its designated payment office, or in
the case of an invoice received from a small business, seven calendar
days, to notify the contractor of (a) defects in the delivered goods,
property, or services, (b) defects in the invoice, or (c) suspected
improprieties of any kind; and the existence of such defects or
improprieties shall prevent the commencement of the time period
specified in subdivision two of this section. When a state agency fails
to notify a contractor of such defects or suspected improprieties within
fifteen calendar days, or seven calendar days if such contractor is a
small business, of receiving the invoice, the number of days allowed for
payment of the corrected proper invoice will be reduced by the number of
days between the fifteenth day, or seventh day if payment of such proper
invoice is for a small business, and the day that notification was
transmitted to the contractor. If the state agency, in such situations,
fails to provide reasonable grounds for its contention that a defect or
impropriety exists, the required payment date shall be calculated from
the date of receipt of an invoice.
4. Notwithstanding any provision of the public service law or any
tariffs promulgated pursuant to that law to the contrary, the provisions
of this article shall provide the sole basis for determining and making
interest payments on invoices submitted by public utilities to state
agencies.
5. A proper invoice submitted by the contractor shall be required to
initiate any payment, except where the contract provides that the
contractor will be paid at predetermined intervals without having to
submit an invoice for each such scheduled payment, in which case the
state agency responsible for making the purchase shall submit an
approvable voucher to the state comptroller for the payment that is due
and, for the purposes of determining eligibility for payment of interest
and subject to the exception and time-to-rectify provisions of
subdivision two of this section, the required payment date shall be the
payment due date specified in accordance with the contract.
6. As used in this section, "small business" shall mean a business
whose primary place of business is in New York state, has a significant
business presence in the state, is independently owned and operated, not
dominant in its field, and employs no more than two hundred employees at
the time of payment. The small business shall, upon request, provide the
contracting entity with sufficient documentation to reflect and confirm
its status as a small business.
Computation of interest payment. Interest payments on amounts
due to a contractor pursuant to this article shall be paid to the
contractor for the period beginning on the day after the required
payment date and ending on the payment date for those payments required
according to this article and shall be paid at the rate of interest in
effect on the date when the interest payment is made. Notwithstanding
any other provision of law to the contrary, interest shall be computed
at the rate equal to the overpayment rate set by the commissioner of
taxation and finance pursuant to subsection (e) of section one thousand
ninety-six of the tax law.
Determination of appropriations against which interest
payments are to be charged. Except in situations when federal law or the
provisions of section one hundred seventy-nine-o of this article require
otherwise, an interest payment required by this article shall be paid
from the same appropriation as that from which the related proper
invoice is paid; provided, however, (1) that the interest payment shall
not reduce the amount of money that otherwise will be payable to the
contractor under the terms of the relevant contract and (2) that if the
obligation to make an interest payment is incurred in whole or in part
because it takes the department of audit and control more than eight
calendar days, excluding legal holidays, from the date it receives an
approvable voucher from another state agency to process a contract
payment, then the portion of the total interest payment that is
attributable to delays by the department of audit and control shall be
paid from funds made available to the department of audit and control.
Notwithstanding any other provision of law to the contrary, if the
amount of money available from any such appropriation to the state
agency which received the proper invoice is insufficient to pay the
interest and if for any reason it is not feasible for the director of
the budget to exercise the transfer or interchange authority established
by section fifty-one or ninety-three of this chapter, the director of
the budget may issue a certificate or certificates transferring or
interchanging within a fund such amount as is needed to pay the interest
to said appropriation within such fund from the unspent balance of any
appropriation that is available to the same state agency. In exercising
the latter transfer or interchange authority, the director of the budget
shall transfer or interchange amounts that are not needed to accomplish
the purposes for which the appropriation was made, except, however, the
director of the budget may, to the extent he deems it practicable,
transfer or interchange amounts from appropriations that otherwise would
be available for the administration and operations of the state agency
which incurred the interest payment. Any such certificate or
certificates issued by the director of the budget shall be sent to the
state comptroller and copies shall be filed with the chairman of the
senate finance committee and the chairman of the assembly ways and means
committee.
Exclusion of interest from reimbursement rates. Any interest
paid to a contractor pursuant to the provisions of this article shall
not be included as revenue for the purposes of determining any
reimbursement rates applicable to such contractor.
Disclaimer of state responsibility for interest payments
incurred by contractors. In the event that an interest payment is made
by a contractor in the course of transacting business with any entity
other than a state agency, such interest shall not be an obligation of
the state and the state shall not reimburse the contractor for such
interest, nor shall any moneys expended for such interest payments be
counted toward any matching requirement applicable to grants or payments
of state funds unless expressly permitted by statute or regulation.
Acceptance of payment. The acceptance of payment, in whole or
in part, by a contractor shall not be deemed to constitute a waiver of
interest otherwise due under the provisions of this article nor to
supersede the provisions of section one hundred forty-five of this
chapter.
Provisions to control. No contract entered into after July
first, nineteen hundred eighty-four shall contain any provision
requiring the payment of interest in a manner inconsistent with this
article, and any provision contained in such contract which waives the
right to the payment of interest is hereby declared to be contrary to
public policy and wholly void.
Duties of the comptroller. 1. The state comptroller shall:
a. Promulgate such rules and regulations as may be necessary to carry
out the comptroller's responsibilities under this article.
b. Develop and implement a procedure for calculating the amount of
interest, if any, due to any contractor pursuant to the provisions of
this article. Such procedure shall include provisions for calculating
(i) the amount of time, in calendar days, between the date of receipt of
a proper invoice by the state agency and the date on which an approvable
voucher was delivered to the state comptroller; (ii) the amount of time
between the date on which an approvable voucher was delivered to the
state comptroller and the payment date; (iii) the amount of interest, if
any, chargeable to the state agency involved pursuant to this article;
and (iv) the amount of interest, if any, chargeable to the department of
audit and control pursuant to this article.
c. Develop and implement a procedure for paying such interest in not
more than seven days from the payment date on those proper invoices for
which interest is due and for which the director of the budget does not
issue a certificate or certificates increasing, transferring, or
interchanging funds so that an interest payment can be made pusuant to
this article. The comptroller shall also develop and implement a
procedure for paying such interest in not more than fourteen days from
the payment date on those proper invoices for which interest is due and
for which the director of the budget does issue a certificate or
certificates increasing, transferring, or interchanging funds so that an
interest payment can be made pursuant to this article.
d. Develop and implement a procedure by which every state agency will
notify contractors promptly and directly whenever the state comptroller
rejects a voucher and returns it to the state agency due to an error or
omission in the voucher by the contractor.
2. Nothing contained in this section shall be deemed to preclude the
comptroller from subsequently promulgating, developing, or amending
rules and regulations or procedures pursuant to, and consistent with,
this article.
3. The state comptroller shall submit a detailed special report to the
governor and the legislature which shall include the number and amounts
of interest payments made for each state agency, the number of interest
chargeable days and the number of days taken to process the contract
payment, the extent to which those delays occurred because the state
agency took longer than allotted pursuant to the provisions of this
article to process the affected invoices and the extent to which those
delays occurred because the department of audit and control took longer
than allotted pursuant to the provisions of this article to process the
related vouchers, and a summary of the principal reasons that such late
payments occurred. The report shall be delivered to the governor and
legislature within sixty calendar days after the conclusion of each
fiscal year.
Judicial review. Any determination made by a state agency
pursuant to subdivision three of section one hundred seventy-nine-f of
this article shall be subject to judicial review in a proceeding
pursuant to article seventy-eight of the civil practice law and rules.
Such proceedings shall only be commenced in the absence, or upon
completion, of other review procedures specified in the applicable
contract or by applicable regulations.
Court actions or other legal processes. 1. Notwithstanding
any other provision of law to the contrary, the liability of the state
government, insofar as incurring an obligation to make an interest
payment to a contractor pursuant to the terms of this article is
concerned, shall not extend beyond the date of a notice of intention to
file a claim, the date of a notice of a claim, or the date commencing a
legal action for the payment of such interest, whichever occurs first.
Any such interest payment owed by the state government in accordance
with the provisions of this article as of such date shall be paid as
directed by the court and, to the extent that the interest payment is
attributable to processing delays caused by the state agency which
received the proper invoice or by processing delays caused by the
department of audit and control, such interest payment shall be made
from funds available to said state agency or to the department of audit
and control at the time of final judgment.
2. With respect to the court actions or other legal processes referred
to in subdivision one of this section, any interest obligation incurred
by the state government after the date specified in such subdivision
pursuant to any provision of law other than this article shall be
determined as prescribed by such separate provision of law, shall be
paid as directed by the court, and shall be paid from any appropriation
available for that purpose.
Inapplicability of the provisions. The provisions of this
article shall not apply to payments due and owing by the state:
1. under the eminent domain procedure law;
2. as interest allowed on judgments rendered by a court pursuant to
any provision of law other than those provisions contained in this
article;
3. to the federal government; to any state agency or its related
instrumentalities; to any duly constituted unit of local government
including, but not limited to, counties, cities, towns, villages, school
districts, special districts, or any of their related instrumentalities;
to any public authority or public benefit corporation; or to employees
of state agencies when acting in, or incidental to, their public
employment capacity;
4. to contractors of third party payment agreements including, but not
limited to, the fiscal agent or fiscal intermediary designated pursuant
to section three hundred sixty-seven-b of the social services law;
5. to entities which receive state funds through any intermediary
organization other than a state agency; or
6. in situations where the comptroller exercises a legally authorized
set-off against all or part of the payment due the contractor.
ARTICLE 11-B Prompt Contracting and Interest Payments For Not-for-profit Organizations
Definitions. As used in this article the following terms
shall have the following meanings unless otherwise specified:
1. "Contract" means an enforceable agreement entered into by a
not-for-profit organization and a state agency or any agent acting for
such state agency in the procurement process.
2. "Contract approval process" means all activities required to take
place prior to the final execution of a contract. Such process shall
include, but not be limited to, the submission of program plans, the
issuance of certificates of approval, the development and issuance of an
RFP as herein defined or other bid document, review and approval of all
responses to the RFP, notification of a contract award, and the
preparation, signing and approval of a contract by all required state
officials and the not-for-profit organizations.
3. "Certificate of approval" means the document approved by the
director of the budget that authorizes an agency to expend funds in
accordance with section forty-nine of this chapter.
4. "Fully-executed contract" means a contractual agreement signed by
both a state agency and a not-for-profit organization, subsequently
approved by the office of the state comptroller and placed on file in
that office, which is thereafter enforceable by law.
5. "Advance payment" means a payment or payments made by a state
agency to a not-for-profit organization for services rendered pursuant
to a written directive or as the result of exercising an advance payment
provision included in a contract or renewal contract.
6. "Program plan" means the document developed by a state agency,
which shall include for each program: (a) the amounts to be allocated
for renewal of contracts; (b) the amounts to be allocated for new
contracts; (c) the method by which all contracts will be awarded, such
methods shall include, but not be limited to, requests for proposals,
preferred provider, and sole source; (d) the timetable for the selection
of providers and contract development, including but not limited to,
timetables for RFP development and response and provider notification;
and (e) the timetable for promulgation of regulations as may be required
for implementation. The plan must also include an outline of goals and
objectives for any program undertaken by a not-for-profit organization
or groups of organizations on behalf of the state.
7. "Not-for-profit organization" or "organization" means a domestic
corporation incorporated pursuant to or otherwise subject to the
not-for-profit corporation law, a charitable organization registered
with the secretary of state, a special act corporation created pursuant
to chapter four hundred sixty-eight of the laws of eighteen hundred
ninety-nine, as amended, a special act corporation formed pursuant to
chapter two hundred fifty-six of the laws of nineteen hundred seventeen,
as amended, a corporation authorized pursuant to an act of congress
approved January fifth, nineteen hundred five, (33 stat. 599), as
amended, a corporation established by merger of charitable organizations
pursuant to an order of the supreme court, New York county dated July
twenty-first, nineteen hundred eighty-six and filed in the department of
state on July twenty-ninth, nineteen hundred eighty-six, or a
corporation having tax exempt status under section 501(c)(3) of the
United States Internal revenue code, and shall further be deemed to mean
and include any federation of charitable organizations.
8. "RFP" means a request for proposals issued by a state agency for
the purpose of soliciting not-for-profit organizations to operate a
program or perform a service through a contract with a state agency.
9. "Renewal contract" means the documents necessary to continue in
effect an existing contract between a state agency and not-for-profit
organization, including any simplified contract documents in a form
approved by the office of the state comptroller.
10. "Program" means a provision of law authorizing a state agency to
undertake activities that are to be accomplished in whole or in part
through contracts with not-for-profit organizations.
11. "Program appropriation" means any and all appropriations to an
agency for a single program purpose or the same or similar program
purposes. Provided, however, the term program appropriations shall not
include an appropriation in the capital projects budget or an
appropriation to be expended by a state agency under a construction
contract to which the state agency is a party.
12. "Scheduled commencement date" means the beginning date of the term
of a contract as stated in the contract or in a written directive.
13. "State agency" means any department, board, bureau, commission,
division, office, council, institution or committee in the executive
branch of government, the urban development corporation or the natural
heritage trust to which an appropriation is made for the purposes of
carrying out a program as defined herein.
14. "Written directive" means a written request by a state agency to a
not-for-profit organization authorizing such organization either to
begin providing services during the negotiation of a contract or to
continue providing services during the negotiation of a renewal
contract. All written directives shall state that payment for the
services provided is subject to the availability of appropriations,
execution of either the contract or renewal contract, and approval of
the contract or renewal contract by the comptroller and the attorney
general.
Program plan submission. 1. Each state agency receiving an
appropriation of state or federal funds for any program shall produce
and immediately thereafter submit a program plan to the division of the
budget, the senate finance committee and the assembly ways and means
committee. Such program plan shall be submitted not more than forty-five
days following the latest date on which any of the appropriations
covered by the program plan become law except as provided by section one
hundred seventy-nine-x of this article.
2. The division of the budget shall have not more than ninety days
following the latest date on which any of the appropriations covered by
the program plan become law to issue a certificate of approval for each
item of appropriation included in the program plan. A copy of such
certificate of approval shall be forwarded to the senate finance
committee, the assembly ways and means committee and the office of the
state comptroller.
Time frames for the implementation of new programs and the
execution of new contracts. 1. A state agency shall have not more than
one hundred fifty days following the latest date on which any of the
appropriations covered by the program plan become law to execute
contracts with not-for-profit organizations pursuant to the program
plan. Upon execution of each contract by the state agency and the
not-for-profit organization, the contract shall immediately be delivered
to the attorney general for approval. The attorney general shall within
fifteen days of receipt either approve such contract or disapprove and
return the contract to the state agency with reasons therefor. Upon
approval, the contract shall be delivered to the comptroller who shall
within fifteen days of receipt either approve and file such contract or
disapprove and return the contract to the state agency with his reasons
therefor.
2. In those instances where an RFP is not the method of contracting
identified in the program plan a state agency shall not have more than
one hundred twenty days following the latest date on which any of the
appropriations covered by the program plan become law to execute
contracts with not-for-profit organizations pursuant to the program
plan.
3. Upon receipt of a contract disapproved by either the attorney
general or comptroller a state agency shall immediately notify the
affected not-for-profit organization and shall undertake, in conjunction
with the not-for-profit organization, those actions necessary and
appropriate, if any, to remedy any deficiencies in the contract.
Time frames for the execution of renewal contracts. 1. (a) A
state agency administering a contract shall notify the not-for-profit
organization by mail of the agency's preliminary intention, subject to
enactment of an appropriation, to renew or terminate the contract no
later than ninety days prior to the end of the contract or any periods
specified therein that require further contract documents in order to
continue payments under the contract or thirty days after an
appropriation providing funding for continued payments shall become law,
whichever is later. In the event an appropriation is not necessary to
renew the contract, such notification shall be mailed no later than
ninety days prior to the end of the current contract. In the event an
appropriation is necessary and a state budget has been enacted on or
before the beginning of the state fiscal year in which the contract is
to be renewed or terminated, which provides sufficient funding to the
state agency to enable it to renew the contract, such notification shall
be mailed no later than ninety days prior to the end of the current
contract. In the event a state budget has not been enacted by the
beginning of the state fiscal year in which the contract is to be
renewed or terminated, such notification shall be mailed the later of:
(i) thirty days after the enactment of a state budget which provides
sufficient funding to the state agency to enable it to renew the
contract; or (ii) ninety days prior to the end of the contract or any
period specified therein that require further contract documents in
order to continue payments under the contract.
(b) In the event that a state agency is unable to comply with the time
frames set forth in paragraph (a) of this subdivision due to unusual
circumstances beyond the control of the state, no payment of interest
shall be due to the not-for-profit organization. Such state agency shall
document the unusual circumstances which are the basis for its inability
to comply in a written notice to the office of the state comptroller,
division of the budget and the not-for-profit organization on or before
the date set forth in this subdivision for renewal of the contract. For
the purposes of this paragraph, "unusual circumstances" does not mean
such state agency's: (i) failure to plan for implementation of a
program; (ii) failure to assign sufficient staff resources to implement
a program; (iii) failure to establish a schedule for the implementation
of a program; or (iv) failure to anticipate any other reasonably
foreseeable circumstance.
(c) Not more than twenty days after the receipt of such written
notice, the comptroller shall determine whether unusual circumstances
beyond the control of the state warrant the denial of interest. The
comptroller shall thereupon inform such state agency, the division of
the budget, and such not-for-profit organization of such determination.
If such determination concludes that the circumstances do not warrant a
denial of interest, such state agency shall then immediately submit for
the comptroller's approval a voucher requesting the payment of interest
to such not-for-profit organization as required by section one hundred
seventy-nine-v of this article.
2. The notice required by subdivision one of this section shall be in
the form of a letter or may be the renewal contract. If the agency does
not intend to renew the contract, such notification shall be in writing
with reasons provided therefor. If the agency does not intend to renew
the contract and does not notify the not-for-profit organization as
required, the contract is deemed to continue and shall remain in effect
until such time as the agency notifies the not-for-profit organization
in the manner set forth in this subdivision. Expenses incurred during
the extension shall be reimbursable under the terms of the existing
contract.
3. Upon notifying a not-for-profit organization of its intent to renew
a contract with such not-for-profit organization, the state agency shall
negotiate a renewal contract and shall issue a written directive to the
organization. The state agency shall take all necessary steps to insure
that simplified contract documents are used to the maximum extent
feasible.
4. A state agency shall submit any renewal contract to the attorney
general no later than sixty days prior to the commencement date of the
succeeding contract for his approval and the attorney general shall
within fifteen days either approve such renewal contract or disapprove
and return the renewal contract to the state agency with his reasons
therefor. Upon approval of the attorney general all renewal contracts
shall be delivered to the comptroller. Provided, however, a state agency
shall submit any renewal contract consisting of simplified contract
documents directly to the comptroller no later than sixty days prior to
the commencement date of the succeeding contract. The comptroller shall
within fifteen days after receipt of a renewal contract either approve
such contract or disapprove and return such contract to the state agency
with his reasons therefor. Immediately upon receiving notice of approval
of the renewal contract from the comptroller, the state agency shall
mail notification of such approval to the not-for-profit organization.
5. Any state agency in receipt of a renewal contract disapproved by
the attorney general or comptroller shall immediately notify the
affected not-for-profit organization and undertake, in conjunction with
the organization, those actions necessary and appropriate, if any, to
remedy any deficiencies in the contract.
Advance payments. 1. When a state agency administering a
contract shall advise the not-for-profit organization of the agency's
intention to renew the contract, the not-for-profit organization, may,
upon receipt of a written directive, be entitled to an advance payment
pending execution of the renewal contract if such contract is not fully
executed by the commencement date of the succeeding contract; the
written directive shall specifically set forth the dollar amount and the
period of time covered by the advance payment. Such advance payment
shall offset future payments due to the organization for services
provided during the term of the prospective renewal contract and shall
not exceed the maximum contract amount set forth in said renewal
contract.
2. A state agency providing an advance payment pursuant to subdivision
one of this section shall submit a written directive, a voucher and such
other documents as may be required to the comptroller for approval.
Interest payments. 1. A not-for-profit organization shall be
entitled to interest payments pursuant to this section: (a) on those
moneys that would be due under the terms of the contract or renewal
contract from the scheduled commencement date or the date the
organization begins to provide services, whichever is later, until the
date the payment is made under the contract or renewal contract; or (b)
if a not-for-profit organization borrows funds to provide services
pursuant to a written directive by a state agency, provided however that
a not-for-profit organization may only receive interest payments on such
funds when such not-for-profit organization has received a written
directive but has been denied payment pursuant to section one hundred
seventy-nine-u of this article or did not obtain a loan from the
not-for-profit short-term revolving loan fund.
2. Such organizations shall receive such interest payments at a rate
equal to the rate set by the commissioner of taxation and finance for
corporate taxes pursuant to paragraph one of subsection (e) of section
one thousand ninety-six of the tax law. In order for a state agency to
approve reimbursement of a not-for-profit organization at a rate other
than the interest rate stated in this section the not-for-profit
organization shall submit documentation indicating the rate at which
such funds were borrowed, the lender of such funds and any other
information requested by the state agency, attorney general or the
comptroller. The comptroller may disallow such portions of the interest
that the comptroller deems unreasonable.
3. Any interest payments made pursuant to subdivisions one and two of
this section shall be made from appropriations for state operations that
are available for the administrative programs of the state agency which
contracted with the not-for-profit organization. In no event shall
interest payments be made from amounts appropriated for program
purposes.
4. The interest payment shall not reduce the amount of money that
otherwise will be payable to the not-for-profit organization under the
terms of the relevant contract.
5. No interest payments shall be made if the not-for-profit
organization receives an advance payment pursuant to section one hundred
seventy-nine-u of this article; provided, however, that if the contract
is not fully executed at the end of the period covered by such advance
payment, the not-for-profit organization may be eligible for interest
payments in respect of services performed after such period.
6. Should the attorney general or the comptroller disapprove a
contract or renewal contract, the provisions of this section shall not
be applicable.
7. a. If the timeframes for processing a contract are met and the
state agency is liable for interest due to a retroactive contract start
date, the state agency and the not-for-profit organization may mutually
agree to waive any interest owed to the not-for-profit organization
under the provisions of this article. Waiver of interest shall not be a
prerequisite to execution of such contract. If interest is so waived,
the state agency shall immediately provide the office of the state
comptroller, division of the budget and the not-for-profit organization
with the written waiver of interest agreement signed by the
not-for-profit organization and documentation (i) showing that the
applicable timeframes set forth in section one hundred seventy-nine-s or
one hundred seventy-nine-t of this article have been met, and (ii)
explaining the reason for a retroactive contract start date.
b. Not more than twenty days after the receipt of such written waiver
of interest agreement and required documentation, the comptroller shall
determine whether the waiver of interest is warranted. The comptroller
shall thereupon inform such state agency, the division of the budget,
and such not-for-profit organization of such determination. If such
determination concludes that a waiver of interest is unwarranted, such
state agency shall then immediately submit for the comptroller's
approval a voucher requesting the payment of interest to such
not-for-profit organization as required by this section. If such voucher
is not received within thirty days after the comptroller's
determination, the comptroller shall assess the amount of unpaid
interest in the manner prescribed by this section.
Notification and suspension. 1. Any determination or
notification pursuant to the provisions of this article shall be in
writing and shall immediately be provided to any directly affected
not-for-profit organization, the chairman of the senate finance
committee, the chairman of the assembly ways and means committee and the
state comptroller who shall include such notification in the procurement
record.
2. In the event that a state agency, including the comptroller,
division of budget, or the attorney general shall determine that
extenuating circumstances exist which prevent such agency from complying
with the time frames required by this article, such agency shall
immediately provide written notification of such determination to any
directly affected not-for-profit organization, the office of the state
comptroller, the chairman of the senate finance committee and the
chairman of the assembly ways and means committee. Such written
notification shall include an explanation of the circumstances and shall
state the specific amount of the time for which the specified provisions
of this article relating to time frames shall be suspended. Except as
provided in subdivision three of this section, no suspension shall be
valid unless it shall state such specific amount of time, provided that
the cumulative length of suspensions declared by any state agency
pursuant to this section, except such subdivision three, when added
together shall not be valid if declared for a period greater than four
and one-half months in any fiscal year.
3. Upon determining that significant and substantive differences exist
between the state agency and the not-for-profit organization in the
negotiation of a contract or renewal contract or when the state agency
makes a determination that the not-for-profit organization is not
negotiating in good faith, such agency may suspend the written directive
and any subsequent interest payments or subsequent advance payments
required to be provided pursuant to this article. Upon such suspension
the state agency shall be required to provide the affected
not-for-profit organization with written notification of such
determination and the reasons therefor, and also to provide such notice
to the comptroller, who shall include it in the procurement record.
Federal funds. The provisions of this article as they relate
to federal funds shall only be applicable to the extent a state agency
is in receipt of federal funds for a particular program; provided
however, the provisions of this article shall be applicable to federal
funds, including but not limited to funds such as petroleum overcharge
moneys, only to the extent that any required federal or court review or
approval process concerning the use of such funds has been completed,
and no notification of disapproval has been received by a state agency.
Any time frame contained within the provisions of this article shall run
from the date of the notification to a state agency of receipt of
federal funds, or the completion of any required federal or court review
or approval process, whichever is applicable, provided however that a
not-for-profit organization receiving federal funds to which such
timeframes are applicable shall be entitled to interest payments
pursuant to section one hundred seventy-nine-v of this article or after
one hundred twenty days following the state's receipt of federal funds
for the program, whichever is later.
Duties of the comptroller. 1. The state comptroller shall:
(a) promulgate such rules and regulations as may be necessary to carry
out the comptroller's responsibilities under this article including
provisions for repayment; and (b) develop and implement a procedure for
calculating the amount of interest, if any, due to any not-for-profit
organization pursuant to the provisions of this article.
2. Nothing contained in this section shall be deemed to preclude the
comptroller from subsequently promulgating, developing, or amending
rules and regulations or procedures pursuant to, and consistent with,
this article.
Not-for-profit short-term revolving loans. 1. The state
comptroller is authorized to provide loans from the not-for-profit
short-term revolving loan fund established by section ninety-seven-jj of
this chapter to any not-for-profit organization in receipt of a written
directive from a state agency. The state comptroller may provide such a
loan to a not-for-profit organization upon receipt of a written
agreement providing reasonable assurances of repayment that is
satisfactory to the comptroller. Such loan shall not bear interest and
repayment of such loan may be prorated over the term of the expected or
renewal contract, provided the term of the loan does not exceed one
year. The amount of each such loan shall not exceed one-half of the
first quarter payment of the subject contract.
2. The state comptroller shall only make loans after finding that the
not-for-profit organization has a written directive from a state agency
and cannot provide or continue to provide services without a loan from
the not-for-profit short-term revolving loan fund.
3. The state comptroller shall promulgate rules and regulations within
ninety days of the enactment date of this act for the operation of the
not-for-profit short-term revolving loan fund which shall include, but
not be limited to, the criteria to be used in determining not-for-profit
organizations eligible for assistance; a procedure and any necessary
information that not-for-profit organizations need to submit
applications for a loan from the not-for-profit short-term revolving
loan fund; a schedule for reviewing such applications, not to exceed
thirty days, and notification to an applicant of approval or disapproval
of such application for interim funding, and any other requirements
deemed necessary by the state comptroller.
4. Any not-for-profit organization receiving a loan from the
not-for-profit short-term revolving loan fund shall be ineligible to
receive interest from a state agency, notwithstanding the provisions of
section one hundred seventy-nine-v of this article and shall be
ineligible to receive advance payments, notwithstanding section one
hundred seventy-nine-u of this article.
Advisory committee. There is hereby established a
not-for-profit contracting advisory committee. The advisory committee
shall consist of sixteen members which shall include eight appointed
members, four to be appointed by the governor who shall be
representatives of not-for-profit organizations providing services in
the state, and two each to be appointed by the governor upon
recommendation of the temporary president of the senate and speaker of
the assembly, and eight ex officio members of the committee, one each
designated from the division of the budget, the department of law, the
office of the state comptroller, and the education department. The
governor shall also designate four members from among the following
agencies: the department of state, the office of children and family
services, the office of temporary and disability assistance, the
department of health, the office of mental hygiene, the office for
people with developmental disabilities, and the department of labor. The
governor shall designate an appointee to serve as chair of the
committee. The advisory committee shall meet at least quarterly and upon
its own initiative may: comment and report on the implementation and
operation of the not-for-profit short-term revolving loan fund; advise
the governor, comptroller and state agencies on the implementation and
operation of this article; evaluate the benefits of requiring all state
agencies to use standard contract language and the extent to which
standard language may be effectively included in contracts with
not-for-profit organizations; review annually the report of the office
of the state comptroller made pursuant to section one hundred
seventy-nine-bb of this article; and propose any legislation they deem
necessary to improve the fund and this article. The committee shall
report to the governor and the legislature with recommendations on
improving the contracting procedures with not-for-profit organizations
which receive state funds through the intermediary of municipalities.
Such reports shall be due annually not later than December first.
Reports. 1. Each state agency contracting with
not-for-profit organizations shall annually prepare and transmit a
report to the office of the state comptroller by March thirty-first of
each year. Such report, which shall be made available to the public by
the office of the state comptroller, shall include, but not be limited
to, information regarding the number of programs affected by this
article, the ability of the state agency to meet the time frames
described within this article, the number of programs, contracts,
renewal contracts both complying and failing to comply with the time
frames set forth in this article and the amount of interest paid. The
office of the state comptroller shall prepare an annual report examining
the effectiveness and implementation of prompt contracting and payment
as required by this article. In addition to examining the effectiveness
and implementation of this article, the office of the state comptroller
shall make any recommendations they deem necessary to improve existing
contracting and payment methods between state agencies and
not-for-profit organizations. The office of the state comptroller shall
transmit such report by May thirty-first of each year to the governor,
the temporary president and minority leader of the senate, the speaker
and the minority leader of the assembly, the director of the division of
the budget, the chairman of the senate finance committee and the
chairman of the assembly ways and means committee.
2. The office of the state comptroller shall, not later than one year
after the date on which the act enacting this article shall have become
a law, report to the governor, the temporary president and minority
leader of the senate, the speaker and minority leader of the assembly,
the director of the division of the budget, the chairman of the senate
finance committee and the chairman of the assembly ways and means
committee on the impact of the not-for-profit short-term revolving loan
fund in avoiding negative impacts on working capital or cash flow
problems experienced by not-for-profit organizations when entering into
contracts with state agencies. In examining the impact of the loan fund
on not-for-profit organizations providing services on behalf of state
agencies, the comptroller shall make any recommendation deemed
necessary, including, but not limited to, whether: prompt contracting
and payment by state agencies has reduced the financial strain on
not-for-profit organizations; the amount of money in the loan fund
should be increased; the maximum loan a not-for-profit organization may
receive from the loan fund should be increased; not-for-profit
organizations providing services pursuant to contracts with public
benefit corporations should be able to access the loan fund; and, any
additional legislation is necessary to further improve the loan fund.
Such report shall also include information regarding the number of loans
made by the fund, the amount of each loan and any other pertinent
information pertaining to the operation of the loan fund.
3. The office of the state comptroller and the office of management
and productivity shall jointly prepare a report examining the issue of
prompt contracting for seasonal programs and shall make recommendations
for action which will assure expeditious contracting and payment to
ensure stability of funding and provision of service. Such report shall
be delivered to the governor, the temporary president and minority
leader of the senate, the speaker and minority leader of the assembly,
the director of the division of the budget, the chairman of the senate
finance committee and the chairman of the assembly ways and means
committee not later than thirty days after the date on which the act
enacting this article shall have become a law.
Judicial review. Any state agency action or failure to act
with respect to the contract approval process in implementation of a
program under the provisions of this article shall be subject to
judicial review in an action pursuant to article seventy-eight of the
civil practice law and rules brought by a not-for-profit organization
which provides services that would or could assist a state agency in
carrying out activities with respect to such program.
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.
Other provisions for contracts and appropriations. 1.
Notwithstanding any other provision of this article to the contrary, for
the purposes of calculating timeframes as provided in section one
hundred seventy-nine-s of this article, the enactment date of an
appropriation which finances a contract with a not-for-profit
organization which has been identified for a state agency without the
use of a request for proposals shall be deemed to be the date on which
such not-for-profit organization is identified.
2. Notwithstanding any other provision of this article, no state
agency shall be liable for interest payments on contracts executed
pursuant to appropriations made in whole or in part for liabilities
incurred in a prior fiscal year.
3. A modification to a contract that would result in a transfer of
funds among program activities or budget cost categories but does not
affect the amount, consideration, scope or other terms of such contract
shall not, by itself, require such contract and modification to be
submitted to the comptroller for review; provided, however, where the
amount of such modification is, as a portion of the total value of the
contract, equal to or greater than ten percent for contracts of less
than five million dollars, or five percent for contracts of more than
five million dollars, the comptroller may require that such modification
be submitted to him or her for review.
ARTICLE 12 Court Funds
Examination of money and securities paid into court. The
comptroller may examine the books, accounts and vouchers of every bank,
trust company or other depository in the state in anywise relating to
moneys or securities so paid into court or directed to be paid into
court by statute. Where such moneys or securities have not been paid to
the commissioner of finance of the city of New York or to any county
treasurer of the state, the comptroller upon application duly made shall
be entitled to an order directing the payment and transfer of all such
moneys or securities from any such public official, bank, trust company
or depository to the commissioner of finance of such city or to the
treasurer of the proper county.
Title of successor of custodian of court funds. On the
expiration of the official term of a public officer, or where a vacancy
occurs in his office, by death or otherwise, all public stock, bonds,
mortgages, and other securities deposited into court and held by him,
vest in his successor in office; and all money paid into court and
deposited in a bank, trust company or other depository, to his credit,
vests in, and must be carried to, the account of his successor in
office.
Deposit and investment of money paid into court. All funds or
moneys paid into court shall be deposited in such savings bank, trust
company, bank, banking association or with such banker, as shall be
designated by the state comptroller, as soon as received by the
custodian thereof. But the money must be deposited in the county where
the fund belongs, where it can be done conveniently and safely and with
advantage to the parties interested. All moneys so paid into court may
be invested by the several county treasurers and in the city of New York
by the commissioner of finance without a specific direction of the court
having jurisdiction, in securities that are legal investments for
trustees, when the said county treasurers or commissioner of finance
deem it for the best interests of the funds to make such investments.
All moneys paid into a court of the unified court system, other than a
town or village court, pursuant to the provisions of title P of the
criminal procedure law, which remain in the court's custody, shall,
during such custody, be deposited in an interest-bearing account, and
all interest thereupon received shall be paid to the state commissioner
of taxation and finance on a monthly basis no later than ten days after
the last day of each month.
Custodian's books of account of court funds. Every officer
having charge of moneys, securities or other property in the custody of
the court, shall keep a book or books in which he shall make an exact
account thereof. Such book or books shall state the name of the court,
the title of the case, the date of receipt, from whom received, the
amount of money, if any, and a description of the securities or other
property received, if any, and each addition of interest; also the date
and description of each order for payment and the dates and amounts of
payments thereunder and to whom paid; also an account of each change of
investment, if any.
Annual reports to comptroller of custodian of court funds.
Every treasurer or financial officer who has in his charge or possession
or under his control, or who keeps a record of money, bonds, stocks,
mortgages or any other securities or property deposited into court and
held by him, must, once in each year, make a report to the state
comptroller at the time and in the form and manner which he may
prescribe, containing a true statement of his accounts for the preceding
year or from the time of the last report. This report must be verified
by the oath of such officer, and must be accompanied by the certificate
of the proper officer of each bank or trust company, stating the exact
amount on deposit with such corporation. Every savings bank, bank or
trust company having in its possession, pursuant to an order of a court
of record, money, bonds, stocks, mortgages or any other securities or
property which were not first deposited in court and delivered to a
county treasurer or commissioner of finance of the city of New York,
must, once in each year, make a report to the comptroller at such time
as he shall prescribe, stating separately for each case the name of the
court, the title of the action or proceeding, the date of the receipt,
from whom received, for whom received, the amount of money, if any, a
description of the securities or other property, each addition of
interest and each change of investment, the amount so held at the date
of report, the date and description of each other directing payment and
the dates and amounts of payments thereunder and to whom made. Every
officer, or bank or trust company mentioned in this section, shall
furnish any additional report to the comptroller or to the court at such
time and in such detail as may be required.
Annual report to chief administrator of the courts by custodian
of court funds. On or before the first day of February in each year the
county treasurer in each county and the commissioner of finance of the
city of New York shall file a report duly verified with the chief
administrator of the courts containing a statement of all moneys in his
or her hands on the first day of January preceding that have been paid
into court or received by him or her to the credit of any action or
proceeding, specifically stating the securities in which the moneys so
paid into court are invested or the depositories in which such moneys
are deposited.
ARTICLE 13 New York False Claims Act
Short title. This article shall be known and may be cited as
the "New York false claims act".
Definitions. As used in this article, the following terms shall
mean:
1. "Claim" (a) means any request or demand, whether under a contract
or otherwise, for money or property that
(i) is presented to an officer, employee or agent of the state or a
local government; or
(ii) is made to a contractor, grantee, or other recipient, if the
money or property is to be spent or used on the state or a local
government's behalf or to advance a state or local government program or
interest, and if the state or local government (A) provides or has
provided any portion of the money or property requested or demanded; or
(B) will reimburse such contractor, grantee, or other recipient for any
portion of the money or property which is requested or demanded;
(b) does not include requests or demands for money or property that
the state or a local government has already paid to an individual as
compensation for government employment or as an income subsidy with no
restrictions on that individual's use of the money or property.
2. "False claim" means any claim which is, either in whole or part,
false or fraudulent.
3. "Knowing and knowingly" (a) means that a person, with respect to
information:
(i) has actual knowledge of the information;
(ii) acts in deliberate ignorance of the truth or falsity of the
information; or
(iii) acts in reckless disregard of the truth or falsity of the
information; and
(b) require no proof of specific intent to defraud, provided, however
that acts occurring by mistake or as a result of mere negligence are not
covered by this article.
4. "Obligation" means an established duty, whether or not fixed,
arising from an express or implied contractual, grantor-grantee, or
licensor-licensee relationship, from a fee-based or similar
relationship, from statute or regulation, or from the retention of any
overpayment.
5. "Material" means having a natural tendency to influence, or be
capable of influencing the payment or receipt of money or property.
6. "Local government" means any New York county, city, town, village,
school district, board of cooperative educational services, local public
benefit corporation or other municipal corporation or political
subdivision of the state, or of such local government.
7. "Original source" means a person who (a) prior to a public
disclosure under paragraph (b) of subdivision nine of section one
hundred ninety of this article has voluntarily disclosed to the state or
a local government the information on which allegations or transactions
in a cause of action are based, or (b) who has knowledge that is
independent of and materially adds to the publicly disclosed allegations
or transactions, and who has voluntarily provided the information to the
state or a local government before or simultaneous with filing an action
under this article.
8. "Person" means any natural person, partnership, corporation,
association or any other legal entity or individual, other than the
state or a local government.
9. "State" means the state of New York and any state department,
board, bureau, division, commission, committee, public benefit
corporation, public authority, council, office or other governmental
entity performing a governmental or proprietary function for the state.
Liability for certain acts. 1. Subject to the provisions of
subdivision two of this section, any person who:
(a) knowingly presents, or causes to be presented a false or
fraudulent claim for payment or approval;
(b) knowingly makes, uses, or causes to be made or used, a false
record or statement material to a false or fraudulent claim;
(c) conspires to commit a violation of paragraph (a), (b), (d), (e),
(f) or (g) of this subdivision;
(d) has possession, custody, or control of property or money used, or
to be used, by the state or a local government and knowingly delivers,
or causes to be delivered, less than all of that money or property;
(e) is authorized to make or deliver a document certifying receipt of
property used, or to be used, by the state or a local government and,
intending to defraud the state or a local government, makes or delivers
the receipt without completely knowing that the information on the
receipt is true;
(f) knowingly buys, or receives as a pledge of an obligation or debt,
public property from an officer or employee of the state or a local
government knowing that the officer or employee violates a provision of
law when selling or pledging such property;
(g) knowingly makes, uses, or causes to be made or used, a false
record or statement material to an obligation to pay or transmit money
or property to the state or a local government; or
(h) knowingly conceals or knowingly and improperly avoids or decreases
an obligation to pay or transmit money or property to the state or a
local government, or conspires to do the same; shall be liable to the
state or a local government, as applicable, for a civil penalty of not
less than six thousand dollars and not more than twelve thousand
dollars, as adjusted to be equal to the civil penalty allowed under the
federal False Claims Act, 31 U.S.C. sec. 3729, et seq., as amended, as
adjusted for inflation by the Federal Civil Penalties Inflation
Adjustment Act of 1990, as amended (28 U.S.C. 2461 note; Pub. L. No.
101-410), plus three times the amount of all damages, including
consequential damages, which the state or local government sustains
because of the act of that person.
2. The court may assess not more than two times the amount of damages
sustained because of the act of the person described in subdivision one
of this section, if the court finds that:
(a) the person committing the violation of this section had furnished
all information known to such person about the violation, to those
officials responsible for investigating false claims violations on
behalf of the state and any local government that sustained damages,
within thirty days after the date on which such person first obtained
the information;
(b) such person fully cooperated with any government investigation of
such violation; and
(c) at the time such person furnished information about the violation,
no criminal prosecution, civil action, or administrative action had
commenced with respect to such violation, and the person did not have
actual knowledge of the existence of an investigation into such
violation.
3. A person who violates this section shall also be liable for the
costs, including attorneys' fees, of a civil action brought to recover
any such penalty or damages.
4. (a) This section shall apply to tax law violations only if: (i) the
net income or sales of the person against whom the action is brought
equals or exceeds one million dollars for any taxable year subject to
any action brought pursuant to this article; and (ii) the damages
pleaded in such action exceed three hundred and fifty thousand dollars;
provided that for purposes of applying paragraph (h) of subdivision one
of this section to a tax law violation, the person is alleged to have
knowingly concealed or knowingly and improperly avoided an obligation to
pay taxes to the state or a local government.
(b) The attorney general shall consult with the commissioner of the
department of taxation and finance prior to filing or intervening in any
action under this article that is based on a violation of the tax law.
If the state declines to participate or to authorize participation by a
local government in such an action pursuant to subdivision two of
section one hundred ninety of this article, the qui tam plaintiff must
obtain approval from the attorney general before making any motion to
compel the department of taxation and finance to disclose tax records.
Civil actions for false claims. 1. Civil enforcement actions.
The attorney general shall have the authority to investigate violations
under section one hundred eighty-nine of this article. If the attorney
general believes that a person has violated or is violating such
section, then the attorney general may bring a civil action on behalf of
the people of the state of New York or on behalf of a local government
against such person. A local government also shall have the authority to
investigate violations that may have resulted in damages to such local
government under section one hundred eighty-nine of this article, and
may bring a civil action on its own behalf, or on behalf of any
subdivision of such local government, to recover damages sustained by
such local government as a result of such violations. No action may be
filed pursuant to this subdivision against the federal government, the
state or a local government, or any officer or employee thereof acting
in his or her official capacity. The attorney general shall consult with
the office of medicaid inspector general prior to filing any action
related to the medicaid program.
2. Qui tam civil actions. (a) Any person may bring a qui tam civil
action for a violation of section one hundred eighty-nine of this
article on behalf of the person and the people of the state of New York
or a local government. No action may be filed pursuant to this
subdivision against the federal government, the state or a local
government, or any officer or employee thereof acting in his or her
official capacity.
For purposes of subparagraphs (i) and (iv) of paragraph (a) of
subdivision eight of section seventy-three of the public officers law,
any activity by a former government employee in connection with the
securing of rights, protections or benefits related to preparing or
filing an action under this article shall not be deemed to be an
appearance or practice before any agency.
(b) A copy of the complaint and written disclosure of substantially
all material evidence and information the person possesses shall be
served on the state pursuant to subdivision one of section three hundred
seven of the civil practice law and rules. Any complaint filed in a
court of the state of New York shall be filed in supreme court in
camera, shall remain under seal for at least sixty days, and shall not
be served on the defendant until the court so orders. The seal shall not
preclude the attorney general, a local government, or the qui tam
plaintiff from serving the complaint, any other pleadings, or the
written disclosure of substantially all material evidence and
information possessed by the person bringing the action, on relevant
state or local government agencies, or on law enforcement authorities of
the state, a local government, or other jurisdictions, so that the
actions may be investigated or prosecuted, except that such seal applies
to the agencies or authorities so served to the same extent as the seal
applies to other parties in the action.
If the allegations in the complaint allege a violation of section one
hundred eighty-nine of this article involving damages to a local
government, then the attorney general may at any time provide a copy of
such complaint and written disclosure to the attorney for such local
government; provided, however, that if the allegations in the complaint
involve damages only to a city with a population of one million or more,
or only to the state and such a city, then the attorney general shall
provide such complaint and written disclosure to the corporation counsel
of such city within thirty days.
The state may elect to supersede or intervene and proceed with the
action, or to authorize a local government that may have sustained
damages to supersede or intervene, within sixty days after it receives
both the complaint and the material evidence and information; provided,
however, that if the allegations in the complaint involve damages only
to a city with a population of one million or more, then the attorney
general may not supersede or intervene in such action without the
consent of the corporation counsel of such city. The attorney general
shall consult with the office of the medicaid inspector general prior to
superseding or intervening in any action related to the medicaid
program. The attorney general may, for good cause shown, move the court
for extensions of the time during which the complaint remains under seal
under this subdivision. Any such motions may be supported by affidavits
or other submissions in camera.
(c) Prior to the expiration of the sixty day period or any extensions
obtained under paragraph (b) of this subdivision, the attorney general
shall notify the court that he or she:
(i) intends to file a complaint against the defendant on behalf of the
people of the state of New York or a local government, and thereby be
substituted as the plaintiff in the action and convert the action in all
respects from a qui tam civil action brought by a private person into a
civil enforcement action by the attorney general under subdivision one
of this section;
(ii) intends to intervene in such action, as of right, so as to aid
and assist the plaintiff in the action; or
(iii) if the action involves damages sustained by a local government,
intends to grant the local government permission to: (A) file and serve
a complaint against the defendant, and thereby be substituted as the
plaintiff in the action and convert the action in all respects from a
qui tam civil action brought by a private person into a civil
enforcement action by the local government under subdivision one of this
section; or (B) intervene in such action, as of right, so as to aid and
assist the plaintiff in the action.
The attorney general shall provide the local government with a copy of
any such notification at the same time the court is notified.
(d) If the state notifies the court that it intends to file a
complaint against the defendant and thereby be substituted as the
plaintiff in the action, or to permit a local government to do so, such
complaint, whether filed separately or as an amendment to the qui tam
plaintiff's complaint, must be filed within thirty days after the
notification to the court. For statute of limitations purposes, any such
complaint filed by the state or a local government shall relate back to
the filing date of the complaint of the qui tam plaintiff, to the extent
that the cause of action of the state or local government arises out of
the conduct, transactions, or occurrences set forth, or attempted to be
set forth, in the complaint of the qui tam plaintiff.
(e) If the state notifies the court that it intends to intervene in
the action, or to permit a local government to do so, then such motion
to intervene, whether filed separately or as an amendment to the qui tam
plaintiff's complaint, shall be filed within thirty days after the
notification to the court. For statute of limitations purposes, any
complaint filed by the state or a local government, whether filed
separately or as an amendment to the qui tam plaintiff's complaint,
shall relate back to the filing date of the complaint of the qui tam
plaintiff, to the extent that the cause of action of the state or local
government arises out of the conduct, transactions, or occurrences set
forth, or attempted to be set forth, in the complaint of the qui tam
plaintiff.
(f) If the state declines to participate in the action or to authorize
participation by a local government, the qui tam action may proceed
subject to judicial review under this section, the civil practice law
and rules, and other applicable law.
The qui tam plaintiff shall provide the state or any applicable local
government with a copy of any document filed with the court on or about
the date it is filed, or any order issued by the court on or about the
date it is issued. A qui tam plaintiff shall notify the state or any
applicable local government within five business days of any decision,
order or verdict resulting in judgment in favor of the state or local
government.
3. Time to answer. If the state decides to participate in a qui tam
action or to authorize the participation of a local government, the
court shall order that the qui tam complaint be unsealed and served at
the time of the filing of the complaint or intervention motion by the
state or local government. After the complaint is unsealed, or if a
complaint is filed by the state or a local government pursuant to
subdivision one of this section, the defendant shall be served with the
complaint and summons pursuant to article three of the civil practice
law and rules. A copy of any complaint which alleges that damages were
sustained by a local government shall also be served on such local
government. The defendant shall be required to respond to the summons
and complaint within the time allotted under rule three hundred twenty
of the civil practice law and rules.
4. Related actions. When a person brings a qui tam action under this
section, no person other than the attorney general, or a local
government attorney acting pursuant to subdivision one of this section
or paragraph (b) of subdivision two of this section, may intervene or
bring a related civil action based upon the facts underlying the pending
action; provided, however, that nothing in this subdivision shall be
deemed to deny persons the right, upon leave of court, to file briefs
amicus curiae.
5. Rights of the parties of qui tam actions. (a) If the attorney
general elects to convert the qui tam civil action into an attorney
general enforcement action, then the state shall have the primary
responsibility for prosecuting the action. If the attorney general
elects to intervene in the qui tam civil action then the state and the
person who commenced the action, and any local government which
sustained damages and intervenes in the action, shall share primary
responsibility for prosecuting the action. If the attorney general
elects to permit a local government to convert the action into a civil
enforcement action, then the local government shall have primary
responsibility for investigating and prosecuting the action. If the
action involves damages to a local government but not the state, and the
local government intervenes in the qui tam civil action, then the local
government and the person who commenced the action shall share primary
responsibility for prosecuting the action. Under no circumstances shall
the state or a local government be bound by an act of the person
bringing the original action. Such person shall have the right to
continue as a party to the action, subject to the limitations set forth
in paragraph (b) of this subdivision. Under no circumstances shall the
state be bound by the act of a local government that intervenes in an
action involving damages to the state. If neither the attorney general
nor a local government intervenes in the qui tam action then the qui tam
plaintiff shall have the responsibility for prosecuting the action,
subject to the attorney general's right to intervene at a later date
upon a showing of good cause.
(b)(i) The state may move to dismiss the action notwithstanding the
objections of the person initiating the action if the person has been
served with the motion to dismiss and the court has provided the person
with an opportunity to be heard on the motion. If the action involves
damages to both the state and a local government, then the state shall
consult with such local government before moving to dismiss the action.
If the action involves damages sustained by a local government but not
the state, then the local government may move to dismiss the action
notwithstanding the objections of the person initiating the action if
the person has been served with the motion to dismiss and the court has
provided the person with an opportunity to be heard on the motion.
(ii) The state or a local government may settle the action with the
defendant notwithstanding the objections of the person initiating the
action if the court determines, after an opportunity to be heard, that
the proposed settlement is fair, adequate, and reasonable with respect
to all parties under all the circumstances. Upon a showing of good
cause, such opportunity to be heard may be held in camera.
(iii) Upon a showing by the attorney general or a local government
that the original plaintiff's unrestricted participation during the
course of the litigation would interfere with or unduly delay the
prosecution of the case, or would be repetitious or irrelevant, or upon
a showing by the defendant that the original qui tam plaintiff's
unrestricted participation during the course of the litigation would be
for purposes of harassment or would cause the defendant undue burden,
the court may, in its discretion, impose limitations on the original
plaintiff's participation in the case, such as:
(A) limiting the number of witnesses the person may call;
(B) limiting the length of the testimony of such witnesses;
(C) limiting the person's cross-examination of witnesses; or
(D) otherwise limiting the participation by the person in the
litigation.
(c) Notwithstanding any other provision of law, whether or not the
attorney general or a local government elects to supersede or intervene
in a qui tam civil action, the attorney general and such local
government may elect to pursue any remedy available with respect to the
criminal or civil prosecution of the presentation of false claims,
including any administrative proceeding to determine a civil money
penalty or to refer the matter to the office of the medicaid inspector
general for medicaid related matters. If any such alternate civil remedy
is pursued in another proceeding, the person initiating the action shall
have the same rights in such proceeding as such person would have had if
the action had continued under this section.
(d) Notwithstanding any other provision of law, whether or not the
attorney general elects to supersede or intervene in a qui tam civil
action, or to permit a local government to supersede or intervene in the
qui tam civil action, upon a showing by the state or local government
that certain actions of discovery by the person initiating the action
would interfere with the state's or a local government's investigation
or prosecution of a criminal or civil matter arising out of the same
facts, the court may stay such discovery for a period of not more than
sixty days. Such a showing shall be conducted in camera. The court may
extend the period of such stay upon a further showing in camera that the
state or a local government has pursued the criminal or civil
investigation or proceedings with reasonable diligence and any proposed
discovery in the civil action will interfere with the ongoing criminal
or civil investigation or proceedings.
6. Awards to qui tam plaintiff. (a) If the attorney general elects to
convert the qui tam civil action into an attorney general enforcement
action, or to permit a local government to convert the action into a
civil enforcement action by such local government, or if the attorney
general or a local government elects to intervene in the qui tam civil
action, then the person or persons who initiated the qui tam civil
action collectively shall be entitled to receive between fifteen and
twenty-five percent of the proceeds recovered in the action or in
settlement of the action. The court shall determine the percentage of
the proceeds to which a person commencing a qui tam civil action is
entitled, by considering the extent to which the plaintiff substantially
contributed to the prosecution of the action. Where the court finds that
the action was based primarily on disclosures of specific information
(other than information provided by the person bringing the action)
relating to allegations or transactions in a criminal, civil or
administrative hearing, in a legislative or administrative report,
hearing, audit or investigation, or from the news media, the court may
award such sums as it considers appropriate, but in no case more than
ten percent of the proceeds, taking into account the significance of the
information and the role of the person or persons bringing the action in
advancing the case to litigation. Where the court finds that the action
was based on disclosure of specific information related to the use of
government funds during a declaration of a state of emergency, the court
shall increase the percentage of the proceeds to which the person
commencing such qui tam civil action is entitled by up to five percent
more than the maximum percentage allowed pursuant to this paragraph. Any
such person shall also receive an amount for reasonable expenses that
the court finds to have been necessarily incurred, reasonable attorneys'
fees, and costs pursuant to article eighty-one of the civil practice law
and rules. All such expenses, fees, and costs shall be awarded against
the defendant.
(b) If the attorney general or a local government does not elect to
intervene or convert the action, and the action is successful, then the
person or persons who initiated the qui tam action which obtains
proceeds shall be entitled to receive between twenty-five and thirty
percent of the proceeds recovered in the action or settlement of the
action. The court shall determine the percentage of the proceeds to
which a person commencing a qui tam civil action is entitled, by
considering the extent to which the plaintiff substantially contributed
to the prosecution of the action. Where the court finds that the action
was based on disclosure of specific information related to the use of
government funds during a declaration of a state of emergency, the court
shall increase the percentage of the proceeds to which the person
commencing such qui tam civil action is entitled by up to ten percent
more than the maximum percentage allowed pursuant to this paragraph.
Such person shall also receive an amount for reasonable expenses that
the court finds to have been necessarily incurred, reasonable attorneys'
fees, and costs pursuant to article eighty-one of the civil practice law
and rules. All such expenses, fees, and costs shall be awarded against
the defendant.
(c) With the exception of a court award of costs, expenses or
attorneys' fees, any payment to a person pursuant to this paragraph
shall be made from the proceeds.
(d) If the attorney general or a local government does not proceed
with the action and the person bringing the action conducts the action,
the court may award to the defendant its reasonable attorneys' fees and
expenses if the defendant prevails in the action and the court finds
that the claim of the person bringing the action was clearly frivolous,
clearly vexatious, or brought primarily for purposes of harassment.
7. Costs, expenses, disbursements and attorneys' fees. In any action
brought pursuant to this article, the court may award any local
government that participates as a party in the action an amount for
reasonable expenses which the court finds to have been necessarily
incurred, plus reasonable attorneys' fees, plus costs pursuant to
article eighty-one of the civil practice law and rules. All such
expenses, fees and costs shall be awarded directly against the defendant
and shall not be charged from the proceeds, but shall only be awarded if
a local government prevails in the action.
8. Exclusion from recovery. If the court finds that the qui tam civil
action was brought by a person who planned or initiated the violation of
section one hundred eighty-nine of this article upon which the action
was brought, then the court may, to the extent the court considers
appropriate, reduce the share of the proceeds of the action which the
person would otherwise be entitled to receive under subdivision six of
this section, taking into account the role of such person in advancing
the case to litigation and any relevant circumstances pertaining to the
violation. If the person bringing the qui tam civil action is convicted
of criminal conduct arising from his or her role in the violation of
section one hundred eighty-nine of this article, that person shall be
dismissed from the qui tam civil action and shall not receive any share
of the proceeds of the action. Such dismissal shall not prejudice the
right of the attorney general to supersede or intervene in such action
and to civilly prosecute the same on behalf of the state or a local
government.
9. Certain actions barred. (a) The court shall dismiss a qui tam
action under this article if:
(i) it is based on allegations or transactions which are the subject
of a pending civil action or an administrative action in which the state
or a local government is already a party;
(ii) the state or local government has reached a binding settlement or
other agreement with the person who violated section one hundred
eighty-nine of this article resolving the matter and such agreement has
been approved in writing by the attorney general, or by the applicable
local government attorney; or
(iii) against a member of the legislature, a member of the judiciary,
or a senior executive branch official if the action is based on evidence
or information known to the state when the action was brought.
(b) The court shall dismiss a qui tam action under this article,
unless opposed by the state or an applicable local government, or unless
the qui tam plaintiff is an original source of the information, if
substantially the same allegations or transactions as alleged in the
action were publicly disclosed:
(i) in a state or local government criminal, civil, or administrative
hearing in which the state or a local government or its agent is a
party;
(ii) in a federal, New York state or New York local government report,
hearing, audit, or investigation that is made on the public record or
disseminated broadly to the general public; provided that such
information shall not be deemed "publicly disclosed" in a report or
investigation because it was disclosed or provided pursuant to article
six of the public officers law, or under any other federal, state or
local law, rule or program enabling the public to request, receive or
view documents or information in the possession of public officials or
public agencies;
(iii) in the news media, provided that such allegations or
transactions are not "publicly disclosed" in the "news media" merely
because information of allegations or transactions have been posted on
the internet or on a computer network.
10. Liability. Neither the state nor any local government shall be
liable for any expenses which any person incurs in bringing a qui tam
civil action under this article.
Monies recovered. Notwithstanding any law to the contrary,
all monies recovered or obtained under this article by a state agency or
state official or employee acting in their official capacity shall be
subject to subdivision eleven of section four of this chapter.
Medicaid fraud recovery reporting. The attorney general shall
make an annual report to the temporary president of the senate, speaker
of the assembly, chair of the senate finance committee, chair of the
assembly ways and means committee, chair of the senate health committee,
and chair of the assembly health committee by April fifteenth of each
year. Such report shall include the amount of monies recovered by the
medicaid fraud control unit pursuant to the false claims act for the
preceding calendar year.
Remedies. 1. Any current or former employee, contractor, or
agent of any private or public employer who is discharged, demoted,
suspended, threatened, harassed or in any other manner discriminated
against in the terms and conditions of employment, or otherwise harmed
or penalized by an employer, or a prospective employer, because of
lawful acts done by the employee, contractor, agent, or associated
others in furtherance of an action brought under this article or other
efforts to stop one or more violations of this article, shall be
entitled to all relief necessary to make the employee, contractor or
agent whole. Such relief shall include but not be limited to:
(a) an injunction to restrain continued discrimination;
(b) hiring, contracting or reinstatement to the position such person
would have had but for the discrimination or to an equivalent position;
(c) reinstatement of full fringe benefits and seniority rights;
(d) payment of two times back pay, plus interest; and
(e) compensation for any special damages sustained as a result of the
discrimination, including litigation costs and reasonable attorneys'
fees.
2. For purposes of this section, a "lawful act" shall include, but not
be limited to, obtaining or transmitting to the state, a local
government, a qui tam plaintiff, or private counsel solely employed to
investigate, potentially file, or file a cause of action under this
article, documents, data, correspondence, electronic mail, or any other
information, even though such act may violate a contract, employment
term, or duty owed to the employer or contractor, so long as the
possession and transmission of such documents are for the sole purpose
of furthering efforts to stop one or more violations of this article.
Nothing in this subdivision shall be interpreted to prevent any law
enforcement authority from bringing a civil or criminal action against
any person for violating any provision of law.
3. An employee, contractor or agent described in subdivision one of
this section may bring an action in the appropriate supreme court for
the relief provided in this section.
Limitation of actions, burden of proof. 1. A civil action under
this article shall be commenced no later than ten years after the date
on which the violation of this article is committed. Notwithstanding any
other provision of law, for the purposes of this article, an action
under this article is commenced by the filing of the complaint.
(1-a) For purposes of applying rule three thousand sixteen of the
civil practice law and rules, in pleading an action brought under this
article the qui tam plaintiff shall not be required to identify specific
claims that result from an alleged course of misconduct, or any specific
records or statements used, if the facts alleged in the complaint, if
ultimately proven true, would provide a reasonable indication that one
or more violations of section one hundred eighty-nine of this article
are likely to have occurred, and if the allegations in the pleading
provide adequate notice of the specific nature of the alleged misconduct
to permit the state or a local government effectively to investigate and
defendants fairly to defend the allegations made.
2. In any action brought under this article, the state, a local
government that participates as a party in the action, or the person
bringing the qui tam civil action, shall be required to prove all
essential elements of the cause of action, including damages, by a
preponderance of the evidence.
Other law enforcement authority and duties. This article shall
not:
1. preempt the authority, or relieve the duty, of other law
enforcement agencies to investigate and prosecute suspected violations
of law;
2. prevent or prohibit a person from voluntarily disclosing any
information concerning a violation of this article to any law
enforcement agency; or
3. limit any of the powers granted elsewhere in this chapter and other
laws to the attorney general or state agencies or local governments to
investigate possible violations of this article and take appropriate
action against wrongdoers.
Regulations. The attorney general is authorized to adopt such
rules and regulations as is necessary to effectuate the purposes of this
article.
ARTICLE 14 Salaries and Employee Benefits
Payment of salaries. 1. The salaries of all officers of the
state, and the wages of all employees thereof shall be due from and
payable by the state bi-weekly, commencing with the fiscal year of the
state beginning April first, nineteen hundred fifty-six.
Nothing contained in this section shall prevent the staggering of
payments of salaries and wages on different days of the bi-weekly
periods for administrative convenience. This section shall not be
construed to apply to the members of the faculties, supervising staffs
and other employees of the New York state colleges, schools and
experiment stations administered by Cornell university and Alfred
university.
2. Notwithstanding the provisions of subdivision one of this section,
where the state and an employee organization representing state officers
and employees who are in positions which are in collective negotiating
units established pursuant to article fourteen of the civil service law
enter into an agreement providing for an alternative procedure for the
payment of salaries to such employees or where the director of employee
relations shall authorize an alternative procedure for the payment of
salaries to state officers or employees in the executive branch who are
in positions which are not in collective negotiating units, such
alternative procedure shall be implemented in lieu of the procedure
specified in subdivision one of this section. Notwithstanding any other
provision of law to the contrary, where the state and an employee
organization representing officers and employees in the executive branch
who are in positions which are in collective negotiating units
established pursuant to article fourteen of the civil service law enter
into an agreement, or where the director of employee relations shall
authorize for officers and employees in the executive branch who are in
positions which are not in collective negotiating units, the alternate
procedure specified herein shall be terminated for officers and
employees hired on or after July first, two thousand thirty. The
alternate procedure specified herein shall also be terminated for: (i)
nonjudicial officers and employees of the unified court system hired on
or after July first, two thousand thirty, if the chief administrator of
the courts so elects; (ii) employees of the senate hired on or after
July first, two thousand thirty, if the temporary president of the
senate so elects; (iii) employees of the assembly hired on or after July
first, two thousand thirty, if the speaker of the assembly so elects;
and (iv) employees of joint legislative employers hired on or after July
first, two thousand thirty, if the temporary president of the senate and
the speaker of the assembly mutually so elect for all such joint
legislative employers. Any election made pursuant to paragraph (i),
(ii), (iii), or (iv) of this subdivision shall be in writing and filed
with the state comptroller not later than thirty days after the
enactment of this legislation.
2-a (a). Notwithstanding the provisions of any other law:
(1). For the payrolls covering officers and employees of the state,
except as provided in subparagraph (2) of this pargagraph: commencing
with the institutional payroll period commencing December 27, 1990, and
the administrative payroll period commencing on January 3, 1991, payment
on the payment date of the five payroll periods commencing with such
dates shall be for nine-tenths of that amount paid each payroll period
until a total of five-tenths of salary for one payroll period that would
be paid but for this subdivision has been withheld. Thereafter, starting
with the sixth payroll period after December 27, 1990, or January 3,
1991, as appropriate, payment shall be in the same manner as in effect
prior to December 27, 1990, or January 3, 1991.
(2) The provisions of subparagraph (1) of this paragraph shall apply
to officers and employees of the state subject to paragraph (1) of
subdivision b of section five of chapter 353 of the laws of 1982
commencing with the payroll period (and corresponding payment date)
immediately following the completion of the procedure for the payment of
salaries and wages established by the comptroller pursuant to such
paragraph of chapter 353 of the laws of 1982.
(3) Where salary has been withheld pursuant to this subdivision, in
lieu of such salary, an officer or employee who retires or otherwise
separates from service, or the beneficiary of an employee who dies,
shall be entitled to a lump sum payment equal to the salary so withheld
at the rate of basic annual salary in effect at the time of death,
retirement, or other separation from service for each day or part
thereof for which salary was withheld pursuant to this section, but in
no case shall such lump sum payment be less than the amount of salary
originally withheld.
(b) (1) "Officers and employees of the state" shall mean (i) officers
and employees of the executive branch (including the state university
and the senior colleges of the city university of New York); (ii)
officers and employees of the statutory or contract colleges of the
state (but in the case of a statutory or contract college for which
state payment is made by reimbursement instead of direct payroll
payment, such reimbursement shall be reduced and paid in a manner
consistent with the provisions of paragraph (a) of this subdivision);
(iii) nonjudicial officers and employees of the unified court system if
the chief administrator of the courts so elects; (iv) employees of the
senate if the temporary president of the senate so elects; (v) employees
of the assembly if the speaker of the assembly so elects; (vi) employees
of joint legislative employers if the temporary president of the senate
and the speaker of the assembly mutually so elect for all such joint
legislative employers. Any election made, pursuant to (iii), (iv), (v)
or (vi) shall be in writing and filed with the state comptroller not
later than seven days from the date of enactment of this act; in the
case of an entity described in (iii) through (vi) for which an election
is not made, other equivalent demonstrable savings shall be effected for
the fiscal year ending March 31, 1991.
(2) "Employees of the senate, assembly or a joint legislative
employer" shall be as defined in section 7-d of the legislative law
(including sections 7-a and 7-b of such law) or by any other provision
of law which classifies employees of an entity to be legislative
employees for all purposes; such term shall not include senators or
members of the assembly.
(3) "Joint legislative employer" shall mean legislative commissions,
committees, task forces, councils or similar bodies whose membership is
comprised of both senators and assembly members, or which consists of
commissioners, or the majority of whose membership is appointed by one
or more of the following: the temporary president of the senate, the
speaker of the assembly, the minority leader of the senate, and/or the
minority leader of the assembly. The temporary president of the senate
and speaker of the assembly shall be the joint legislative employer of
the employees of the legislature referred to in sections 7-a and 7-b of
the legislative law.
(c) For officers and employees hired after the effective date of this
act, the withholding of five days of salary shall be accomplished in the
same manner provided in paragraph (a) of this section provided, however,
such withholding shall be taken on the first five payment dates in which
such new employees would otherwise have received their salary.
Notwithstanding any other provision of law to the contrary, where the
state and an employee organization representing officers and employees
in the executive branch who are in positions which are in collective
negotiating units established pursuant to article fourteen of the civil
service law enter into an agreement, or where the director of employee
relations shall authorize for officers or employees in the executive
branch who are in positions which are not in collective negotiating
units, officers and employees hired on or after July first, two thousand
twenty-four, shall not be subject to the withholding of five days of
salary on their first five payment dates as specified herein. Such
withholding shall not be taken for: (i) nonjudicial officers and
employees of the unified court system hired on or after July first, two
thousand twenty-four, if the chief administrator of the courts so
elects; (ii) employees of the senate hired on or after July first, two
thousand twenty-four, if the temporary president of the senate so
elects; (iii) employees of the assembly hired on or after July first,
two thousand twenty-four, if the speaker of the assembly so elects; and
(iv) employees of joint legislative employers hired on or after July
first, two thousand twenty-four, if the temporary president of the
senate and the speaker of the assembly mutually so elect for all such
joint legislative employers. Any election made pursuant to subparagraph
(i), (ii), (iii), or (iv) of this paragraph shall be in writing and
filed with the state comptroller not later than thirty days after the
enactment of this legislation.
2-b. (a) For nonjudicial officers and employees of the unified court
system: commencing with the earliest administratively feasible payroll
period (and corresponding payment date) subsequent to the date this
subdivision becomes a law, payment on the payment date of the five
payroll periods commencing thereon shall be for nine-tenths of that
amount paid each payroll period until a total of five-tenths of salary
for one payroll period that would be paid but for this provision has
been withheld. For nonjudicial officers and employees hired after the
date this subdivision becomes a law, the withholding of five days of
salary shall be accomplished in the same manner described above,
provided, however, such withholding shall be made on the first five
payment dates in which such new officers or employees would otherwise
have received their salary. Notwithstanding any other provision of law
to the contrary, such withholding shall not be taken for nonjudicial
officers and employees of the unified court system hired on or after
July first, two thousand twenty-four, if the chief administrator of the
courts so elects. Any election made pursuant to this subdivision shall
be in writing and filed with the state comptroller not later than thirty
days after the enactment of this legislation.
(b) Where salary has been withheld pursuant to this subdivision, in
lieu of such salary, an officer or employee who retires or otherwise
separates from service, or the beneficiary of an employee who dies,
shall be entitled to a lump sum payment equal to the salary so withheld
at the rate of basic annual salary in effect at the time of death,
retirement, or other separation from service for each day or part
thereof for which salary was withheld pursuant to this section, but in
no case shall such lump sum payment be less than the amount of salary
originally withheld.
3. (a) In any case where a state employee has, as a result of an
administrative error by the state, received salary or other compensation
payments in excess of that to which he or she was entitled, the state
will not attempt to recover such overpayment, except in those cases
described in paragraph (b) of this subdivision. Notwithstanding the
foregoing, the state will, where such overpayment is still continuing,
immediately reduce such employee's current salary so that the salary
paid to such employee prospectively is the salary which the employee is
entitled to receive.
(b) Nothing contained in paragraph (a) of this subdivision shall
prevent the state from recovering, by offset or otherwise, any
overpayment made (i) for a period when the employee was neither
performing services for the state nor on approved leave or (ii) under
circumstances where the comptroller reasonably determines that the
employee knew, or that a reasonable employee should have known, that the
salary paid to him or her was in excess of that which he or she was
entitled to receive.
4. (a) (i) Upon the written request from a state employee hired on or
before January first, two thousand twenty-three, the comptroller may
cause, in accordance with the rules and regulations promulgated pursuant
to paragraph (b) of this subdivision, such employee's net salary, or any
portion thereof designated by the employee, to be deposited directly in
a bank for any purpose to an account in the name of such employee, on
forms provided by the comptroller, and duly filed in accordance with
such regulations.
(ii) On and after January first, two thousand twenty-three, the
comptroller shall cause, in accordance with the rules and regulations
promulgated pursuant to paragraph (b) of this subdivision, a state
employee's net salary to be deposited directly in a bank for any purpose
to an account in the name of such employee, and into which such employee
has authorized such employee's net salary be deposited, on forms
provided by the comptroller, and duly filed in accordance with such
regulations. Provided, however, such employee may submit a request for
exemption from the provisions of this subparagraph on a form provided by
the comptroller.
(iii) The net salary of such state employee shall be paid in the form
of a paper check until the employee provides the account information for
a bank account in such employee's name which is authorized by the
employee for the purpose of the direct deposit of his or her salary
pursuant to this subdivision.
(iv) Nothing set forth in this subdivision shall be construed to
impede, infringe upon, or supersede an agreement providing for the
payment of salaries between the state and an employee organization
representing state officers and employees who are in positions which are
in collective negotiating units pursuant to article fourteen of the
civil service law.
(b) The comptroller is hereby authorized to promulgate reasonable
rules and regulations, as may be necessary, to administer the direct
deposit of employees' salaries. In regard to the deposit of a portion of
an employee's net salary, such regulations may establish a minimum
dollar amount and may limit the maximum number of partial deposits
allowed.
(c) Any employee who requests to have their salary deposited directly
in a bank pursuant to this section, may opt out of receiving a paper pay
stub and may instead receive electronic confirmation of the information
that would otherwise be included in the pay stub.
(d) The comptroller is hereby authorized to promulgate reasonable
rules and regulations, as may be necessary, to administer the electronic
confirmation referenced in paragraph (c) of this subdivision. The
comptroller shall provide notice of the electronic confirmation system
in each employee's paper pay stub.
(e) As used in this subdivision, the term "bank" shall include any
financial institution which is a member of the New York automated
clearing house or any other financial institution designated by the
comptroller.
5. Notwithstanding any law to the contrary, by agreement between the
state and an employee organization entered into pursuant to article
fourteen of the civil service law, or by an interest arbitration award
binding the state and an employee organization pursuant to article
fourteen of the civil service law, or by the director of budget for
state officers and employees in the executive branch who are in
positions which are not in collective negotiating units, plans may be
established to reduce the basic annual salary, hourly rate or per diem
for any employee within the purview of such agreement, interest
arbitration award, or the budget director's authority. Any plan or plans
established under this section will be implemented when the budget
director notifies the director of the governor's office of employee
relations and delivers such plan or plans to the comptroller, at which
point the comptroller will take the necessary actions to reduce,
restore, or repay compensation, provided however, that the comptroller
must take such actions wholly within the fiscal year that such plan
requires. After the cessation of such plan, the comptroller shall
restore such salary, hourly rate or per diem to the amount in effect
immediately before the commencement of such plan.
Deductions from salaries. 1. The comptroller of the state is
hereby authorized to deduct from the salary of any employee of the state
such amount as such employee may specify in writing filed with the
comptroller within the minimum and maximum amounts prescribed by the
comptroller for the purchase for such employee of United States bonds
and for contribution to federated community campaigns for health,
welfare and recreational purposes on behalf of such employee and to the
account of such employee with such federated community campaign. The
comptroller is hereby authorized to make such rules and regulations
governing the purchase of said bonds and contributions to federated
community campaigns as he deems necessary, such rules and regulations to
be incorporated in the employee's written authorization of payroll
deduction filed in a manner determined by the comptroller. Any such
written authorization may be withdrawn by such employee at any time upon
filing written notice of such withdrawal in a manner determined by the
comptroller. As used in this section, "federated community campaign"
means a charitable non-profit organization which solicits funds for
distribution among a substantial number of charitable non-profit
organizations, which has been approved as such by the commissioner of
general services. The commissioner of general services shall approve no
more than one federated community campaign within a county or group of
counties in which such campaign is operating. He shall not approve a
federated community campaign in any county or group of counties where,
in his opinion and judgment, the number of state employees to be
solicited by such campaign is too small to make deductions or
contributions by the comptroller practicable or feasible. The
commissioner of general services shall have power to make such
reasonable rules and regulations not inconsistent with the law, as may
be necessary for the exercise of his authority under this section.
2. The comptroller is hereby authorized to deduct from the salary of
any employee of the state such amount as such employee may specify in
writing filed in a manner determined by the comptroller for the payment
of membership dues in a duly organized association or organization of
civil service employees or faculty members of the state university and
to transmit the sums so deducted to the said association or
organization. Any such written authorization shall remain in effect in
accordance with subdivision one of section two hundred eight of the
civil service law. The foregoing notwithstanding, and subject to the
provisions of article fourteen of the civil service law, such deductions
and transmittals shall be terminated as to one or more such associations
or organizations in accordance with the written directions of the
director of employee relations, not more than thirty days after receipt
by the comptroller of such directions. The deductions and transmittals
which were the subject of such directions shall not thereafter be
resumed without the written approval of such director.
3. The comptroller is hereby authorized to deduct from the salary of
any employee of the state in the executive branch whose position is
designated managerial or confidential pursuant to article fourteen of
the civil service law, employees covered by section nineteen of the
correction law, employees in the professional service in the state
university which are designated, stipulated or excluded from negotiating
units as managerial or confidential as defined pursuant to article
fourteen of the civil service law, employees covered by paragraph (a) of
subdivision one of section two hundred fifteen of the executive law or
in the division of military and naval affairs of the executive
department or excluded from representation rights under article fourteen
of the civil service law pursuant to rules or regulations of the public
employment relations board, judges and justices of the unified court
system and nonjudicial employees thereof not in collective negotiating
units, such amount as such employee may specify in writing filed in a
manner determined by the comptroller for the payment of insurance
premiums for a group insurance plan, or a wholesale, franchise or
similar mass-marketed insurance policy or program and transmit
deductions so withheld to the insurance or other company, organization,
or agency issuing or administering said policy. Any such written
authorization may be withdrawn by the employee at any time upon filing
written notice of such withdrawal in a manner determined by the
comptroller, or such deduction may be terminated on notice to the
comptroller by the insurance or other company, organization or agency in
accordance with the terms of the policy.
4. The comptroller is hereby authorized to deduct from the salary of
any employee of the state such amount as such employee may specify in
writing to be filed with the payroll officer of the employee's agency
within the minimum and maximum amounts specified by the comptroller for
the repayment of defaulted higher education guaranteed student loans,
national defense or national direct student loans owed to higher
education services corporation or to the state by the employee or for
the payment of fees, fines, penalties and other obligations owed to the
state by the employee, including recurring parking permit fees, and for
payment to credit unions in payment for shares, repayment of loans and,
subject to regulations of the comptroller, other purposes within the
powers of a credit union except for payment for any form of insurance
policy other than life insurance ancillary to a loan and to transmit the
sums so deducted to such credit unions or to the state agency designated
by the employee. Any such written authorization may be withdrawn by such
employee at any time upon filing written notice of such withdrawal with
the payroll officer of the employee's agency and with the state agency
designated to receive the amounts deducted. The comptroller is hereby
authorized to make such rules and regulations as may be necessary to
provide for credit union and other deductions which may include but need
not be limited to requirements insuring that computations and other
appropriate clerical work shall be performed by the credit union or
state agency, limiting the frequency of changes in the amount of payroll
deductions, indemnifying the state and establishing minimum membership
standards so that payroll deductions are practicable and feasible. As
used in this subdivision, the term "credit union" shall mean an
organization defined by subdivision nine of section two of the banking
law or a credit union chartered by the United States and having its
principal office in the state of New York.
5. Where, and to the extent that, an agreement between the state and
an employee organization entered into pursuant to article fourteen of
the civil service law so provides, the comptroller, after receipt of
written directions of the director of employee relations, is authorized
to deduct from the salary of any employee of the state such amount as
such employee may specify in writing filed in a manner determined by the
comptroller for the payment of insurance premiums for a group insurance
plan, or a wholesale, franchise or similar mass-marketed insurance
policy or program issued to or sponsored by an association of civil
service employees or an employee organization certified or recognized by
the state pursuant to said article, and transmit deductions so withheld
to the insurance company issuing said policy or policies, or to the
employee organization, in accordance with the provisions of such
agreement. Any such written authorization may be withdrawn by the
employee at any time upon filing written notice of such withdrawal in a
manner determined by the comptroller, or such deduction may be
terminated on notice to the comptroller by the insurance carrier, in
accordance with the terms of the policy.
6. Notwithstanding any other law to the contrary, where, and to the
extent that, an agreement between the state and an employee organization
pursuant to article fourteen of the civil service law authorizes
participation in an individual retirement account plan by employees
covered by such agreement, the comptroller, after receipt of written
directions from the director of employee relations where such agreement
covers employees in the executive branch or from the chief administrator
of the courts where such agreement covers employees in the judicial
branch, is authorized to deduct from the salary of any employee covered
by such an agreement an amount that the employee may specify in writing
filed in a manner determined by the comptroller for contribution to such
plan in accordance with the Economic Recovery Tax Act of 1981 (P.L.
97-34) and transmit deductions so withheld to the financial organization
issuing such plan in accordance with the provisions of such agreement.
For the purposes of this subdivision, subject to the rules and
regulations promulgated by the comptroller, the term "financial
organization" shall mean an organization authorized to do business in
the state of New York and which is an authorized fiduciary to act as a
trustee under an individual retirement account plan established pursuant
to the provisions of an act of congress entitled "Employee Retirement
Income Security Act of 1974" as such provisions may be amended from time
to time, and (i) is licensed or chartered by the state department of
financial services, (ii) is chartered by an agency of the federal
government, (iii) is subject to the jurisdiction and regulation of the
securities and exchange commission of the federal government, or (iv) is
any other entity otherwise authorized to act in this state as a trustee
of an individual retirement account plan established pursuant to the
provisions of an act of congress entitled "Employee Retirement Income
Security Act of 1974" as such provisions may be amended from time to
time; provided, however, that any contributions made pursuant to this
section shall be made to a financial organization whose offices are
located in this state. Any such written authorization may be withdrawn
by the employee at any time upon filing written notice of such
withdrawal in a manner determined by the comptroller or such deduction
may be terminated on notice to the comptroller by the financial
organization in accordance with the terms of such plan. Notwithstanding
this subdivision, an organization defined by subdivision nine of section
two of the banking law or a credit union chartered by the United States
and having its principal office in the state of New York and which is
otherwise entitled under this section to receive payments deducted from
the salary of a state employee shall have the right to, and continue to
have the right to, receive such payments for the purpose of individual
retirement account plans offered by such organizations.
7. Notwithstanding any other law to the contrary, where, and to the
extent that, an agreement between the state and an employee organization
entered into pursuant to article fourteen of the civil service law so
provides on behalf of employees in the collective negotiating unit
designated as the professional services negotiating unit established
pursuant to article fourteen of the civil service law authorizes
participation in an annuity contract by employees covered by such
agreement, the comptroller, after receipt of written directions from the
director of employee relations, is authorized to deduct from the salary
of any employee covered by such an agreement an amount that the employee
may specify in writing filed in a manner determined by the comptroller
for contribution to such plan or plans in accordance with section four
hundred three (b) of the Internal Revenue Code (26 USC § 403(b)) and
transmit deductions so withheld to the financial organization or
organizations issuing such plan in accordance with the provisions of
such agreement. For the purposes of this subdivision, subject to the
rules and regulations promulgated by the comptroller, the term
"financial organization" shall mean an organization authorized to do
business in the state of New York and which (i) is licensed or chartered
by the state department of financial services, (ii) is chartered by an
agency of the federal government, or (iii) is subject to the
jurisdiction and regulation of the securities and exchange commission of
the federal government; provided, however, that any contribution made
pursuant to this section shall be made to a financial organization whose
offices are located in this state. Any such written authorization may be
withdrawn by the employee at any time upon filing written notice of such
withdrawal in a manner determined by the comptroller or such deduction
may be terminated on notice to the comptroller by the financial
organization in accordance with the terms of such plan.
8. Notwithstanding any other inconsistent provision of law, where and
to the extent that any agreement between the state and an employee
organization entered into pursuant to article fourteen of the civil
service law so provides on behalf of employees in the collective
negotiating unit designated as the professional services negotiating
unit established pursuant to article fourteen of the civil service law,
the comptroller, after receipt of written directions of the director of
employee relations, is authorized to deduct from the salary of any such
employee, who (i) is enrolled in the state health insurance program or
(ii) is enrolled in a plan for drug prescription coverage or other
benefits sponsored by the employee benefit fund established pursuant to
section two hundred nine of this article, such amounts as specified by
the director of employee relations and to transmit deductions so
withheld to said employee benefit fund.
9. The comptroller is hereby authorized to deduct from the salary of
any employee of the state such amount as such employee may specify in
writing to be filed with the payroll officer of the employee's agency
within the minimum and maximum amounts specified by the comptroller for
contributions to campus-related foundations and to transmit the sums so
deducted to such campus-related foundations. Any such written
authorization may be withdrawn by such employee at any time upon filing
written notice of such withdrawal with the payroll officer of the
employee's agency. The comptroller is hereby authorized to make such
rules and regulations as may be necessary to provide for deductions for
campus-related foundations. As used in this subdivision, the term
"campus-related foundation" shall mean a non-profit corporation
organized and existing pursuant to the education law or the
not-for-profit corporation law for the benefit of a state-operated
campus of the state university of New York or for the benefit of a
community college operating under the program of the state university of
New York.
10. Notwithstanding any other inconsistent provision of law, where and
to the extent that any agreement between the state and an employee
organization entered into pursuant to article fourteen of the civil
service law so provides on behalf of employees in the collective
negotiating units designated as the security services unit or the
security supervisors unit established pursuant to article fourteen of
the civil service law, the comptroller, after the receipt of written
directions of the director of employee relations, is authorized to
deduct from the salary of any such employee covered by such an agreement
an amount which the employee may specify in writing filed in a manner
determined by the comptroller and transmit deductions so withheld to a
bank participating in a loan or investment program in accordance with
the provisions of such agreement. Any such written authorization may be
withdrawn by the employee at any time upon filing written notice of such
withdrawal in a manner determined by the comptroller, or such deduction
may be terminated on notice to the comptroller by the bank, in
accordance with the terms of the loan. As used in this subdivision, the
term "bank" shall mean an organization defined by subdivision one or six
of section two of the banking law.
11. Notwithstanding any other inconsistent provision of law, the
comptroller, after receipt of written directions of the director of
employee relations, is authorized to deduct from the salary of any
employee of the state in the executive branch whose position is
designated managerial or confidential pursuant to article fourteen of
the civil service law, employees covered by section nineteen of the
correction law, employees in the professional service in the state
university which are designated, stipulated or excluded from negotiating
units as managerial or confidential as defined pursuant to article
fourteen of the civil service law, employees covered by paragraph (a) of
subdivision one of section two hundred fifteen of the executive law or
in the division of military and naval affairs of the executive
department or excluded from representation rights under article fourteen
of the civil service law pursuant to rules or regulations of the public
employment relations board, employees of the legislature, judges and
justices of the unified court system and nonjudicial employees thereof
not in collective negotiating units, such amount as such employee may
specify in writing filed with the payroll officer of such employee's
agency for the payment of child care fees for services at child care
centers designated by the director of employee relations and transmit
deductions so withheld to such designated child care center providing
such services. Any such written authorization may be withdrawn by the
employee at any time upon filing written notice of such withdrawal with
the payroll officer of such employee's agency, or such deduction may be
terminated on notice to the payroll officer of such employee's agency by
the child care center.
12. Notwithstanding any other inconsistent provision of law, where,
and to the extent that, an agreement between the state and an employee
organization entered into pursuant to article fourteen of the civil
service law so provides, the comptroller, after receipt of written
directions of the director of employee relations, is authorized to
deduct from the salary of any employee covered by such an agreement such
amount as such employee may specify in writing filed with the payroll
officer of such employee's agency for the payment of child care fees for
services at child care centers designated by the director of employee
relations and transmit deductions so withheld to such designated child
care center providing such services. Any such written authorization may
be withdrawn by the employee at any time upon filing written notice of
such withdrawal with the payroll officer of such employee's agency, or
such deduction may be terminated on notice to the payroll officer of
such employee's agency by the child care center.
* 13. The comptroller is hereby authorized to deduct from the salary
of any state employee such amount as such employee may specify in
writing to be filed with the payroll officer of the employee's agency
for the purpose of making payments on outstanding Perkins loans
(formerly national direct student loans) owed to the state university of
New York or the city university of New York and to transmit deductions
so withheld to the appropriate collecting agent of the state university
of New York or the city university of New York. Any such written
authorization may be withdrawn by such employee at any time upon filing
written notice of such withdrawal with the comptroller. The comptroller
is hereby authorized to make such rules and regulations as may be
necessary to provide for deductions for this purpose.
* NB There are 2 sb 13's
* 13. The comptroller is authorized to deduct from the salary of any
employee of the state in the legislative branch and any employee in the
executive or judicial branch whose position is designated managerial or
confidential pursuant to article fourteen of the civil service law, any
employee covered by section nineteen of the correction law, employees in
the professional service in the state university which are designated,
stipulated or excluded from negotiating units as managerial or
confidential as defined pursuant to article fourteen of the civil
service law, employees covered by paragraph (a) of subdivision one of
section two hundred fifteen of the executive law or in the division of
military and naval affairs of the executive department or excluded from
representation rights under article fourteen of the civil service law
pursuant to rules or regulations of the public employment relations
board or any employee represented by an employee organization who elects
pursuant to an agreement entered into between the state and the employee
organization to participate in such state authorized individual
retirement plan such amount as such employee may specify in writing
filed in a manner determined by the comptroller for contribution to an
authorized individual retirement plan as determined pursuant to section
two hundred eight of this article and to transmit deductions so withheld
to the financial organization which operates such authorized individual
retirement plan. Any such written authorization may be withdrawn by the
employee at any time upon filing written notice of such withdrawal in a
manner determined by the comptroller or such deduction may be terminated
on notice to the comptroller by the financial organization in accordance
with the terms of such plan.
* NB There are 2 sb 13's
14. Notwithstanding any other law, rule or regulation to the contrary,
where, and to the extent that, an agreement between the state and an
employee organization entered into pursuant to article fourteen of the
civil service law provides, the comptroller, after receiving written
direction from the director of employee relations, is authorized to
deduct from the salary of any employee such amount as such employee
covered by such agreement may specify in writing filed in a manner
determined by the comptroller for contribution to a political action
committee designated by such employee organization and transmit such
deduction so withheld to the political action committee or to such
employee organization, as appropriate. Any such written authorization
may be withdrawn by the employee at any time upon filing written notice
of such withdrawal in a manner determined by the comptroller or such
deduction may be terminated on notice to the comptroller by such
employee organization.
15. The comptroller is hereby authorized to deduct from the salary of
any employee of the division of state police such amount as such
employee may specify in writing, to be filed with the payroll office of
the division of state police, for the purpose of contributing to the
Trooper Foundation - State of New York, Inc., and/or NYS Troopers PBA
Signal 30 Fund Inc., and/or New York State Police Investigators
Association Emergency Assistance Fund, Inc. Any such written
authorization may be withdrawn by an employee at any time upon filing
written notice of such withdrawal with the payroll office of the
division of state police. The comptroller is hereby authorized to make
such rules and regulations as may be necessary to provide for deductions
for this purpose.
16. The comptroller is hereby authorized to deduct from the salary of
any state employee such amount as such employee may specify in writing
to be filed with the payroll officer of the employee's agency for the
purpose of making payments on outstanding education loans made pursuant
to part V of article fourteen of the education law and to transmit
deductions so withheld to the appropriate collecting agent designated by
the higher education services corporation for receipt thereof. Any such
written authorization may be withdrawn by such employee at any time upon
filing written notice of such withdrawal with the comptroller. The
comptroller is hereby authorized to make such rules and regulations as
may be necessary to provide for deductions for this purpose.
17. Notwithstanding any other provision of law to the contrary, where,
and to the extent that an agreement entered into pursuant to article
fourteen of the civil service law between the state and the employee
organization representing the collective negotiating unit consisting of
troopers in the division of state police and the collective negotiating
unit consisting of commissioned and non-commissioned officers in the
division of state police so provides, the comptroller, after receipt of
written directions from the director of employee relations, is
authorized to deduct, for the purposes of making restitution for damage
or loss of equipment, from the salary of any employee covered by such an
agreement such amount as determined by the employer to cover the
restitution for such damaged or lost equipment.
Flexible benefits program for certain state officers and
employees. 1. This section shall be applicable to employees as defined
in subdivision one of section eleven of chapter four hundred sixty of
the laws of nineteen hundred eighty-two, as amended and employees and
officers of public authorities and public benefit corporations, annual
employees of the legislative branch, and judges and justices of the
unified court system and non-judicial employees of the unified court
system whose positions are not in collective negotiating units under
article fourteen of the civil service law who elect to participate in
the benefits of the employee benefit program provided by paragraph (a)
of subdivision two of section eleven of chapter four hundred sixty of
the laws of nineteen hundred eighty-two, as amended.
2. The director of employee relations, in consultation with the
director of the budget and the president of the civil service
commission, is authorized to establish a flexible benefits program
consistent with sections seventy-nine, one hundred five, one hundred
six, one hundred twenty-five and one hundred twenty-nine of the internal
revenue code and regulations adopted pursuant thereto, and implement
such program subject to the approval of the director of the budget.
3. At the request of an employee as defined in subdivision one of this
section, the comptroller shall, by payroll deduction, defer the payment
of part of the compensation of such employee as provided in a written
statement by the employee for the purpose of establishing and
maintaining a flexible spending account as authorized in subdivision two
of this section, and shall transfer the amount so deferred to the
authorized program administrator.
4. The term "program administrator" shall mean that agent, as
determined by the director of employee relations, responsible for the
maintenance and management of flexible spending accounts as authorized
in subdivision two of this section.
5. Moneys held in such accounts for the employees of each such
participating employer shall be held by the program administrator as
agent for the participating employee and shall be accounted for
separately and shall remain the property of such participating employer.
Notwithstanding any law to the contrary, moneys may be paid out of such
accounts without any appropriation by law. All payments of moneys from
such accounts shall be made only in accordance with the flexible
benefits program audit of the state comptroller. Any unexpended balances
in such accounts at the end of a plan year as that term is so defined by
the internal revenue service shall be returned to the control of the
participating employer and, in the case of the state, to the general
fund.
6. To the extent permitted by section one hundred twenty-five of the
internal revenue code and regulations adopted pursuant thereto, any
salary deferred by an employee as defined in subdivision one of this
section under a flexible benefits program established pursuant to this
section shall be considered part of annual compensation for the purpose
of computing retirement benefits.
7. Notwithstanding any other law, rule, or regulation to the contrary,
where, and to the extent that, an agreement between the state and an
employee organization entered into pursuant to article fourteen of the
civil service law on behalf of employees in a collective negotiating
unit established pursuant to article fourteen of the civil service law
provides for flexible benefits provided by this section, such flexible
benefit program shall be established in accordance with such agreement.
Qualified transportation fringe benefit program for certain
state officers and employees. 1. This section shall apply to employees
as set forth in subdivision one of section two hundred one-a of this
article.
2. The director of employee relations, in consultation with the
director of the budget and the president of the civil service
commission, is authorized to establish a qualified transportation fringe
benefit program consistent with section 132 of the internal revenue code
and regulations adopted pursuant thereto, and implement such program
subject to the approval of the director of the budget.
3. At the request of an employee as defined in subdivision one of this
section, the comptroller shall, by payroll deduction, reduce the amount
of compensation elected by the employee pursuant to program regulations
and section 132(f) of the internal revenue code for the purpose of
providing the employee with a qualified transportation fringe benefit as
authorized in subdivision two of this section, and shall transfer the
amount so reduced to the authorized program administrator.
4. The term "program administrator" shall mean that agent, as
determined by the director of employee relations, responsible for the
maintenance and management of the qualified transportation fringe
benefit program as authorized in subdivision two of this section.
5. Moneys deducted from the salaries of employees of participating
employers shall be held by the program administrator as agent for the
participating employer and shall be accounted for separately.
Notwithstanding any law to the contrary, such moneys may be paid out by
the program administrator without any appropriation by law. All payments
of moneys by the program administrator shall be made only in accordance
with the qualified transportation fringe benefit program upon audit of
the state comptroller.
6. To the extent permitted by section 132 of the internal revenue code
and regulations adopted pursuant thereto, any salary deducted from a
participating employee's annual compensation for the purpose of
providing such employee with a qualified transportation fringe benefit
shall be considered part of annual compensation for the purpose of
computing retirement benefits.
7. Notwithstanding any other law, rule, or regulation to the contrary,
where, and to the extent that, an agreement between the state and an
employee organization entered into pursuant to article fourteen of the
civil service law on behalf of employees in a collective negotiating
unit established pursuant to article fourteen of the civil service law
provides for a qualified transportation fringe benefit provided by this
section, such qualified transportation fringe benefit shall be
established in accordance with such agreement.
Qualified transportation fringe benefit program for employees
of the city university of New York. 1. The city university of New York
is authorized to establish a qualified transportation fringe benefit
program consistent with section 132 of the internal revenue code and
regulations adopted pursuant thereto.
2. Following the establishment of a qualified transportation fringe
benefit program as authorized by subdivision one of this section,
employees of the city university of New York shall be permitted to use
pre-tax earnings to purchase qualified transportation benefits, in
accordance with federal law and shall thereupon be entitled to such
personal income tax benefits as may be authorized by such law.
Reimbursement for travel and moving expenses upon transfer,
reassignment or promotion. 1. Subject to the regulations hereinafter
mentioned, when a geographical change in the location of the principal
place of employment of a state officer or employee occurs as a result of
his transfer or reassignment made at the order or request of a
department or agency for the convenience of the state, and such change
reasonably requires a change in the place of his abode, such officer or
employee shall be eligible for reimbursement for travel and moving
expenses incurred in transporting himself, his family and his household
effects to his new place of abode. Such reimbursement shall not be
payable in the case of transfer or reassignment for disciplinary
reasons, or in the case of temporary transfers or reassignments,
including assignments made for training purposes.
2. Subject to the regulations hereinafter mentioned, when a
geographical change in the location of the principal place of employment
of a state officer or employee occurs as a result of his promotion on a
permanent basis to a technical, scientific, educational, professional or
administrative position, and such change reasonably requires a change in
the place of his abode, he shall be eligible for reimbursement for
travel and moving expenses incurred in transporting himself, his family
and household effects to his new place of abode.
3. No payment shall be made to an officer or employee otherwise
eligible to receive travel and moving expenses pursuant to this section
unless he shall agree in writing to return to the state monies received
for such expenses in the event that he resigns or voluntarily separates
from the position to which he is transferred, reassigned or promoted
within one year after such transfer, reassignment or promotion. The
return of such funds to the state shall not be required when the
resignation or voluntary separation is the result of a promotion to a
higher grade state position in the same occupational field occurring
more than six months following the transfer, reassignment or promotion,
or by a promotion at any time in the same geographical area if he would
have been eligible for reimbursement of travel and moving expenses upon
such promotion to such position from the position held by him
immediately prior to the transfer, reassignment or promotion for which
reimbursement was paid. Monies owing to the state pursuant to this
subdivision may be deducted from any monies due or accruing to the
employee on resignation or separation or, if necessary, may be recovered
by appropriate legal proceedings.
4. Reimbursement of travel and moving expenses pursuant to this
section shall be payable from monies appropriated and available to
departments and agencies. Reimbursement of travel and moving expenses of
employees whose salaries are paid from a fund other than the general
fund shall be a proper charge against such other fund. Such
reimbursement shall not be deemed to constitute salary for any of the
purposes of the civil service law.
5. The director of the budget shall, with the approval of the director
of employee relations, prescribe and amend such regulations as may be
necessary to carry out the provisions of this section. Such regulations
may include, but need not be limited to, provisions (a) prescribing
standards, criteria, and procedures for determining eligibility for
reimbursement of travel and moving expenses in accordance with the
provisions of this section, and, if deemed advisable by the budget
director, enumerating positions or classes or groups of positions for
which he has determined that, upon transfer, reassignment or promotion,
travel and moving expenses shall or shall not be payable under this
section;
(b) fixing maximum dollar limitations on reimbursement for travel and
moving expenses pursuant to this section;
(c) excluding or limiting reimbursement for expenses for moving less
than a prescribed minimum distance, for moving household goods and
possessions in excess of a prescribed maximum weight, or for storage or
living expenses.
Reimbursement of travel expenses of persons attending
interviews for appointment in state service. 1. The appointing authority
of a department or agency of the state, subject to the regulations
hereinafter mentioned and to the extent that appropriations are
available therefor, may reimburse persons for travel expenses incurred
in travel necessary to attend interviews conducted by such department or
agency for appointment to positions in the service of the state for
which there exists in New York state a shortage of qualified candidates.
Positions in the competitive class for which there are shortages of
qualified candidates shall be determined by the state department of
civil service; for positions outside the competitive class such
determination shall be made by the head of the department or agency in
which the positions are authorized. The comptroller shall adopt and may
from time to time amend regulations for carrying into effect the
provisions of this section. Such regulations may limit reimbursement
hereunder to travel expenses incurred in travel in excess of a
prescribed minimum distance, or may otherwise limit the amount of such
expenses for which any person may be reimbursed.
2. The reimbursement of travel expenses to a person attending an
interview conducted by a department or agency of the state shall be made
from monies appropriated and available to such department or agency for
travel expenses. Travel expenses shall be payable after audit and upon
the warrant of the comptroller in accordance with the provisions of this
chapter.
Reimbursement for travel and moving expenses upon initial
appointment to state service. 1. The appointing authority of a
department or agency of the state, subject to the regulations
hereinafter mentioned and to the extent that appropriations are
available therefor, may reimburse a state officer or employee, upon his
initial appointment to a technical, scientific, educational,
professional or administrative position in the service of the state for
which there exists in New York state a shortage of qualified candidates,
for travel and moving expenses incurred in transporting himself, his
family and his household effects to his new place of abode, provided
such appointment reasonably requires a change in the place of his abode.
Positions in the competitive class for which there are shortages of
qualified candidates shall be determined by the state department of
civil service; for positions outside the competitive class such
determination shall be made by the head of the department or agency in
which the positions are authorized.
2. No payment shall be made to an officer or employee otherwise
eligible to receive travel and moving expenses pursuant to this section
unless he shall agree in writing to return to the state monies received
for such expenses in the event that he resigns or voluntarily separates
from the position to which he is initially appointed within one year of
the effective date of such appointment. The return of such funds to the
state shall not be required when the resignation or voluntary separation
is the result of a transfer, reassignment, or promotion to another state
position in the same occupational field occurring more than six months
following the initial appointment, or by a transfer, reassignment or
promotion at any time in the same geographic area if he would have been
eligible for reimbursement of travel and moving expenses upon an
original appointment to the position to which he was transferred,
reassigned or promoted. Monies owing to the state pursuant to this
subdivision may be deducted from any monies due or accruing to the
employee on resignation or separation or, if necessary, may be recovered
by appropriate legal proceedings.
3. The director of the budget shall prescribe and amend regulations
providing for reimbursement for travel and moving expenses upon initial
appointment to the state service. Such regulations may include, but need
not be limited to, provisions
(a) prescribing standards, criteria, and procedures for determining
eligibility for reimbursement of travel and moving expenses, and
(b) enumerating positions or classes or groups of positions for which
travel or moving expenses shall or shall not be payable, and
(c) fixing maximum dollar limitations on reimbursement for travel and
moving expenses, and
(d) excluding or limiting reimbursement for expenses of moving less
than a prescribed minimum distance or of moving household goods and
possessions in excess of a prescribed maximum weight, or for storage or
living expenses.
4. Nothing in this section shall affect or impair the eligibility of
any officer or employee of the state for the reimbursement of travel and
moving expenses in accordance with the provisions of section two hundred
two of this article.
5. Reimbursement of travel and moving expenses pursuant to this
section shall be payable from monies appropriated and available to
departments and agencies. Reimbursement of travel and moving expenses of
employees whose salaries are paid from a fund other than the general
fund shall be a proper charge against such other fund. Such
reimbursement shall not be deemed to constitute salaries for any of the
purposes of the civil service law.
Payment of relocation allowance to certain members of the state
police upon transfer within state service. 1. A member of the New York
state police eligible for reimbursement for moving and travel expenses
pursuant to the provisions of section two hundred two of this article
and the regulations promulgated by the director of the budget pursuant
to the provisions of such section shall be granted a relocation
allowance in lieu of reimbursement of expenses incidental to moving not
reimbursable under section two hundred two of this article.
2. Such allowance shall equal three per cent of the basic annual
compensation of such member in the position to which he is promoted,
transferred or reassigned, exclusive of any differential paid, provided,
however, that in no case shall such allowance exceed five hundred
dollars if such position is below the rank of lieutenant or eight
hundred dollars if such position is the rank of lieutenant or above.
3. No payment shall be made to a member otherwise eligible to receive
a relocation allowance pursuant to this section unless he shall agree in
writing to return to the state monies received for such expenses in the
event that he resigns or voluntarily separates from the position to
which he is transferred, reassigned or promoted within one year after
such transfer, reassignment or promotion. The return of such funds to
the state shall not be required when the resignation or voluntary
separation is the result of a promotion to a higher grade state position
in the same occupational field occurring more than six months following
the transfer, reassignment or promotion, or by a promotion at any time
in the same geographic area if he would have been eligible for a
relocation allowance upon such promotion to such position held by him
immediately prior to the transfer, reassignment or promotion for which a
relocation allowance was paid. Monies owing to the state pursuant to
this subdivision may be deducted from any monies due or accruing to the
member on resignation or separation or, if necessary, may be recovered
by appropriate legal proceedings.
4. Nothing in this section shall affect or impair the eligibility of
any member for reimbursement of travel and moving expenses in accordance
with the provisions of section two hundred two of this article.
5. Relocation allowances paid pursuant to this section shall be
payable from monies appropriated and available to the division of state
police. Relocation allowances of members whose salaries are paid from a
fund other than the general fund shall be a proper charge against such
other fund. Such allowance shall not be deemed to constitute salary for
any of the purposes of the civil service law.
Employee benefit fund; administrative services, operational
services, or institutional services. 1. Definitions. As used in this
section, unless otherwise expressly stated:
a. "Director" shall mean the director of employee relations.
b. "Employee" shall mean any person in the service of the state of New
York who is appointed to and serving in a position contained within the
collective negotiating units designated as the administrative services
unit, the operational services unit or the institutional services unit
established pursuant to article fourteen of the civil service law who is
otherwise eligible for health insurance coverage pursuant to law and the
rules and regulations of the department of civil service, except that it
shall not mean seasonal employees whose employment is expected to last
less than six months, employees in temporary positions of less than six
months duration, or employees holding appointments otherwise expected to
last less than six months.
2. Where and to the extent that, an agreement between the state and an
employee organization entered into pursuant to article fourteen of the
civil service law so provides on behalf of employees and upon audit and
warrant of the comptroller, the director shall provide for the payment
of monies quarterly to such employee organization for the establishment
and maintenance of an employee benefit fund established by the employee
organization for the employees in the negotiating units covered by the
controlling provision of such agreement providing for such employee
benefit fund, such amount to be determined consistent with the procedure
established in said agreement but, on the basis of the number of
employees as defined herein on the payroll during the payroll period the
last day of which ends no later than twenty-one calendar days before the
beginning of the quarter next following such day as determined by the
comptroller. The amount, which will be determined pursuant to this
section, for employees who are paid from first instance funds, or from
special or administrative funds, will be paid from the appropriations as
provided by law, in which case the comptroller will establish procedures
to ensure repayment from first instance general state charge
appropriations or from said special or administrative funds. The
director may enter into an agreement with an employee organization which
sets forth the specific terms and conditions for the establishment and
administration of an employee benefit fund as a condition for the
transmittal of monies pursuant to this section.
3. Such employee organization shall periodically as specified by the
director, supply a description of the benefits purchased or provided by
the employee benefit fund, the utilization experience of the benefit
fund, the amount disbursed for or the cost of such benefits and such
other information as may be requested by the director.
4. The employee organization shall report to the comptroller, in the
form and manner as he may direct, the amount it expended for the
purchase of or providing for such benefits for any period specified by
the comptroller. The comptroller is hereby authorized to audit the books
of the employee organization with respect to any monies transmitted to
it pursuant to this section.
5. Neither the state nor any officer or employee of the state
(including "employee" as defined herein and any other employee of the
state) shall be a party to any contract or agreement entered into by any
employee organization providing for benefits purchased in whole or in
part with monies transmitted to such employee organization pursuant to
this section. No benefit provided pursuant to such contracts or
agreements shall be payable by the state and all such benefits shall be
paid by the responsible parties to such agreements or contracts pursuant
to the terms and conditions of such agreements or contracts. The
employee organization shall be a fiduciary with respect to an employee
benefit fund established pursuant to this section.
6. Nothing herein shall be deemed to diminish, impair or reduce any
benefit otherwise payable to any employee established or authorized by
law, rule or regulation by reason of such employee's lack of eligibility
to participate in any benefit program established by an employee
organization pursuant to this section.
7. In the event it is determined that the monies transmitted to an
employee organization pursuant to this section is income for which
payroll deductions are required for income tax withholdings from the
salary or wages of employees pursuant to law, the comptroller shall
determine the amount of such withholdings required and deduct the amount
so required to be withheld from the salary or wages of the employees
concerned.
8. The employee organization shall indemnify the state for any claims
whatsoever paid by it arising from the establishment, administration or
discontinuation of any employee benefit provided pursuant to this
section, together with reasonable costs of litigation arising therefrom.
9. Insofar as the provisions of this section are inconsistent with the
provisions of any other act, general or special, the provisions of this
section shall be controlling.
Employee benefit fund; negotiating unit created by chapter
four hundred three of the laws of nineteen hundred eighty-three. 1.
Definitions. As used in this section, unless otherwise expressly stated:
a. "Director" shall mean the director of employee relations.
b. "Employee" shall mean any person in the service of the state of New
York who is appointed to and serving in a position contained within the
collective negotiating unit created by chapter four hundred three of the
laws of nineteen hundred eighty-three established by article fourteen of
the civil service law who is otherwise eligible for health insurance
coverage pursuant to law and the rules and regulations of the department
of civil service, except that it shall not mean seasonal employees whose
employment is expected to last less than six months, employees in
temporary positions of less than six months duration, or employees
holding appointments otherwise expected to last less than six months.
c. "Retiree" shall mean any person who was an employee of the state of
New York on or after April first, nineteen hundred eighty-four in the
negotiating unit created by chapter four hundred three of the laws of
nineteen hundred eighty-three and who immediately upon termination of
employment with the state is eligible to receive a service retirement
benefit from either the New York state employees' retirement system or
the New York city employees' retirement system.
2. Where, and to the extent that, an agreement between the state and
an employee organization entered into pursuant to article fourteen of
the civil service law so provides on behalf of employees and upon audit
and warrant of the comptroller, the director shall provide for the
payment of monies quarterly to such employee organization for the
establishment and maintenance of an employee benefit fund established by
the employee organization for the employees in the negotiating unit
covered by the controlling provision of such agreement, such amount to
be determined consistent with the procedure established in said
agreement, on the basis of the number of employees as defined herein on
the payroll during the payroll period the last day of which ends no
later than twenty-one calendar days before the beginning of the quarter
next following such day as determined by the comptroller. The amount,
which will be determined pursuant to this section, for employees who are
paid from special or administrative funds, will be paid from the
appropriations as provided by law, in which case the comptroller will
establish procedures to ensure repayment from general state charge
appropriations or from said special or administrative funds. The
director may enter into an agreement with an employee organization which
sets forth the specific terms and conditions for the establishment and
administration of an employee benefit fund as a condition for the
transmittal of monies pursuant to this section.
3. Such employee organization shall periodically as specified by the
director, supply a description of the benefits purchased or provided by
the employee benefit fund, the utilization experience of the benefit
fund, the amount disbursed for or the cost of such benefits and such
other information as may be requested by the director.
4. The employee organization shall report to the comptroller, in the
form and manner as he may direct, the amount expended for the purchase
of or providing for such benefits for any period specified by the
comptroller. The comptroller is hereby authorized to audit the books of
the employee organization with respect to any monies transmitted to it
pursuant to this section.
5. Neither the state nor any officer or employee of the state
(including "employee" as defined herein and any other employee of the
state) shall be a party to any contract or agreement entered into by any
employee organization providing for benefits purchased in whole or in
part with monies transmitted to such employee organization pursuant to
this section. No benefit provided pursuant to such contracts or
agreements shall be payable by the state and all such benefits shall be
paid by the responsible parties to such agreements or contracts of such
agreements or contracts. The employee organization shall be a fiduciary
with respect to an employee benefit fund established pursuant to this
section.
6. Nothing herein shall be deemed to diminish, impair or reduce any
benefit otherwise payable to any employee established or authorized by
law, rule or regulation by reason of such employee's lack of eligibility
to participate in any benefit program established by an employee
organization pursuant to this section.
7. In the event it is determined that the monies transmitted to an
employee organization pursuant to this section is income for which
payroll deductions are required for income tax withholdings from the
salary or wages of employees pursuant to law, the comptroller shall
determine the amount of such withholdings required and deduct the amount
so required to be withheld from the salary or wages of the employees
concerned.
8. The employee organization shall indemnify the state for any claims
whatsoever paid by it arising from the establishment, administration or
discontinuation of any employee benefit provided pursuant to this
section, together with reasonable costs of litigation arising therefrom.
9. Insofar as the provisions of this section are inconsistent with the
provisions of any other act, general or special, the provisions of this
section shall be controlling.
Employee benefit fund; professional, scientific and technical
services. 1. Definitions. As used in this section, unless otherwise
expressly stated:
a. "Director" shall mean the director of employee relations.
b. "Employee" shall mean any person in the service of the state of New
York who is appointed to and serving in a position in the collective
negotiating unit designated as the professional, scientific and
technical services unit established pursuant to article fourteen of the
civil service law who is otherwise eligible for health insurance
coverage pursuant to law and the rules and regulations of the department
of civil service, except that it shall not mean seasonal employees whose
employment is expected to last less than six months, employees in
temporary positions of less than six months duration, or employees
holding appointments otherwise expected to last less than six months.
2. Where, and to the extent that, an agreement between the state and
an employee organization entered into pursuant to article fourteen of
the civil service law so provides on behalf of employees and upon audit
and warrant of the comptroller, the director shall provide for the
payment of monies quarterly to such employee organization for the
establishment and maintenance of an employee benefit fund established by
the employee organization for the employees in the negotiating unit
covered by the controlling provision of such agreement providing for
such employee benefit fund, such amount to be determined consistent with
the procedure established in said agreement and on the basis of the
number of employees on the payroll during the payroll period the last
day of which ends no later than twenty-one calendar days before the
beginning of the quarter next following such day as determined by the
comptroller unless there is an agreement entered into pursuant to such
article fourteen between the state and such employee organization for
the determination during a different payroll period of the number of
employees in positions which are on an appointment cycle which does not
place them on payroll at the time that such number of employees would
otherwise be determined. The amount, which will be determined pursuant
to this section, for employees who are paid from special or
administrative funds, will be paid from the appropriations as provided
by law, in which case the comptroller will establish procedures to
ensure repayment from said special or administrative funds. The director
may enter into an agreement with an employee organization which sets
forth the specific terms and conditions for the establishment and
administration of an employee benefit fund as a condition for the
transmittal of monies pursuant to this section.
3. Such employee organization shall periodically as specified by the
director, supply a description of the benefits purchased or provided by
the employee benefit fund, the utilization experience of the benefit
fund, the amount disbursed for or the cost of such benefits and such
other information as may be requested by the director.
4. The employee organization shall report to the comptroller, in the
form and manner as he may direct, the amount it expended for the
purchase of or providing for such benefits for any period specified by
the comptroller. The comptroller is hereby authorized to audit the books
of the employee organization with respect to any monies transmitted to
it pursuant to this section.
5. Neither the state nor any officer or employee of the state
(including "employee" as defined herein and any other employee of the
state) shall be a party to any contract or agreement entered into by any
employee organization providing for benefits purchased in whole or in
part with monies transmitted to such employee organization pursuant to
this section. No benefit provided pursuant to such contracts or
agreements shall be payable by the state and all such benefits shall be
paid by the responsible parties to such agreements or contracts pursuant
to the terms and conditions of such agreements or contracts. The
employee organization shall be a fiduciary with respect to an employee
benefit fund established pursuant to this section.
6. Nothing herein shall be deemed to diminish, impair or reduce any
benefit otherwise payable to any employee established or authorized by
law, rule or regulation by reason of such employee's lack of eligibility
to participate in any benefit program established by an employee
organization pursuant to this section.
7. In the event it is determined that the monies transmitted to an
employee organization pursuant to this section is income for which
payroll deductions are required for income tax withholdings from the
salary or wages of employees pursuant to law, the comptroller shall
determine the amount of such withholdings required and deduct the amount
so required to be withheld from the salary or wages of the employees
concerned.
8. The employee organization shall indemnify the state for any claims
whatsoever paid by it arising from the establishment, administration or
discontinuation of any employee benefit provided pursuant to this
section, together with reasonable costs of litigation arising therefrom.
9. Insofar as the provisions of this section are inconsistent with the
provisions of any other act, general or special, the provisions of this
section shall be controlling.
Employee benefit fund; security services. 1. Definitions. As
used in this section, unless otherwise expressly stated:
a. "Director" shall mean the director of employee relations.
b. "Employee" shall mean any person serving on a full-time annual
salaried basis in the service of the state of New York who is appointed
to and serving in a position in the collective negotiating unit
designated as the security services unit or the security supervisors
unit established pursuant to article fourteen of the civil service law.
2. Where and to the extent that an agreement between the state and an
employee organization entered into pursuant to article fourteen of the
civil service law or an interest arbitration award issued pursuant to
subdivision four of section two hundred nine of the civil service law
between the state and an employee organization so provides on behalf of
employees in the collective negotiating unit designated as the security
services unit established pursuant to article fourteen of the civil
service law, and upon audit and warrant of the comptroller, the director
shall provide for the payment of moneys to such employee organization
for the establishment and maintenance of an employee benefit fund
established by the employee organization for the employees in the
negotiating unit covered by the controlling provision of such agreement
or award providing for such employee benefit fund, such amount to be
determined consistent with said agreement or award as determined in
accordance with the contractual methodology for the following state
fiscal years: fiscal year two thousand twenty-three--two thousand
twenty-four, fiscal year two thousand twenty-four--two thousand
twenty-five and fiscal year two thousand twenty-five--two thousand
twenty-six. The amount, which will be determined pursuant to this
section, for employees who are paid from special or administrative
funds, other than the general fund or the capital projects fund of the
state, will be paid from the appropriations as provided by law, in which
case the comptroller will establish procedures to ensure repayment from
said special or administrative funds. The director may enter into an
agreement with an employee organization which sets forth the specific
terms and conditions for the establishment and administration of an
employee benefit fund as a condition for the transmittal of moneys
pursuant to this section.
2-a. Where and to the extent that an agreement between the state and
an employee organization entered into pursuant to article fourteen of
the civil service law or an interest arbitration award issued pursuant
to subdivision four of section two hundred nine of the civil service law
so provides on behalf of employees in the collective negotiating unit
designated as the security supervisors unit established pursuant to
article fourteen of the civil service law, and upon audit and warrant of
the comptroller, the director shall provide for the payment of moneys to
such employee organization for the establishment and maintenance of an
employee benefit fund established by the employee organization for the
employees in the negotiating unit covered by the controlling provision
of such agreement providing for such employee benefit fund, such amount
to be determined consistent with said agreement on the basis of the
number of full-time annual salaried employees, as determined by the
comptroller, on the payroll on the last day of the payroll period in
which March first, two thousand twenty-three falls for payments to be
made on April first, two thousand twenty-three and, on the last day of
the payroll period in which March first, two thousand twenty-four falls
for payments to be made on April first, two thousand twenty-four and, on
the last day of the payroll period in which March first, two thousand
twenty-five falls for payments to be made on April first, two thousand
twenty-five. The amount, which will be determined pursuant to this
section, for employees who are paid from special or administrative
funds, other than the general fund or the capital projects fund of the
state, will be paid from the appropriations as provided by law, in which
case the comptroller will establish procedures to ensure repayment from
said special or administrative funds. The director may enter into an
agreement with an employee organization which sets forth the specific
terms and conditions of the establishment and administration of an
employee benefit fund as a condition for the transmittal of moneys
pursuant to this section. Such agreement shall provide that any
contributions paid to the employee organization for the establishment
and maintenance of the employee benefit fund pursuant to this section on
behalf of eligible members of this unit shall be offset by contributions
already made on behalf of those members in each of the covered years,
where applicable.
3. Such employee organization shall periodically as specified by the
director, supply a description of the benefits purchased or provided by
the employee benefit fund, the utilization experience of the benefit
fund, the amount disbursed for or the cost of such benefits and such
other information as may be requested by the director.
4. The employee organization shall report to the comptroller, in the
form and manner as he may direct, the amount it expended for the
purchase of or providing for such benefits for any period specified by
the comptroller. The comptroller is hereby authorized to audit the books
of the employee organization with respect to any moneys transmitted to
it pursuant to this section.
5. Neither the state nor any officer or employee of the state shall be
a party to any contract or agreement entered into by any employee
organization providing for benefits purchased in whole or in part with
moneys transmitted to such employee organization pursuant to this
section. No benefit provided pursuant to such contracts or agreements
shall be payable by the state and all such benefits shall be paid by the
responsible parties to such agreements or contracts pursuant to the
terms and conditions of such agreements or contracts. The employee
organization shall be a fiduciary with respect to employee benefit fund
established pursuant to this section.
6. Nothing herein shall be deemed to diminish, impair or reduce any
benefit otherwise payable to any employee established or authorized by
law, rule or regulation by reason of such employee's lack of eligibility
to participate in any benefit program established by an employee
organization pursuant to this section.
7. In the event it is determined that the moneys transmitted to an
employee organization pursuant to this section is income for which
payroll deductions are required for income tax withholdings from the
salary or wages of employees pursuant to law, the comptroller shall
determine the amount of such withholdings required and deduct the amount
so required to be withheld from the salary or wages of the employees
concerned.
8. The employee organization shall indemnify the state for any claims
whatsoever paid by it arising from the establishment, administration or
discontinuation of any employee benefit provided pursuant to this
section, together with reasonable costs of litigation arising therefrom.
9. Insofar as the provisions of this section are inconsistent with the
provisions of any other law, general or special, the provisions of this
section shall be controlling.
Employee benefit fund; division of state police. 1.
Definitions. As used in this section, unless otherwise expressly stated:
a. "Director" shall mean the director of employee relations.
b. "Employee" shall mean any person in the service of the state of New
York in the division of state police who is appointed to and serving on
a full-time annual salaried basis in a position in the collective
negotiating units consisting of troopers; commissioned and
non-commissioned officers; and investigators, senior investigators and
investigative specialists established pursuant to article fourteen of
the civil service law.
2. a. Where, and to the extent that, the agreement between the state
and an employee organization entered into pursuant to article fourteen
of the civil service law so provides on behalf of the employees in the
collective negotiating unit consisting of commissioned and
non-commissioned officers in the division of state police, established
pursuant to article fourteen of the civil service law, and upon audit
and warrant of the state comptroller, the director shall provide for the
payment of monies to such employee organization for the establishment
and maintenance of an employee benefit fund established by the employee
organization for the employees in the negotiating unit covered by the
controlling provisions of such agreement providing for such employee
benefit fund. Such amounts are to be determined consistent with said
agreement, including any and all monies agreed to be transferred in said
agreement, and on the basis of the number of full-time annual salaried
employees, other than full-time seasonal employees, on the payroll on
March first, two thousand twenty-three for payments to be made on April
first, two thousand twenty-three, the number of full-time annual
salaried employees, other than full-time seasonal employees, on the
payroll on March first, two thousand twenty-four for payments to be made
on April first, two thousand twenty-four, and the number of full-time
annual salaried employees, other than full-time seasonal employees, on
the payroll on March first, two thousand twenty-five for payments to be
made on April first, two thousand twenty-five. The amounts, which will
be determined pursuant to this section, for employees who are paid from
special or administrative funds, other than the general fund or the
capital projects fund of the state, will be paid from the appropriations
as provided by law, in which case the state comptroller will establish
procedures to ensure repayment from said special or administrative
funds. The director shall enter into an agreement with the employee
organization that sets forth the specific terms and conditions for the
transmittal of monies pursuant to this section. Payments made pursuant
to this paragraph and paragraph a-1 of this subdivision shall be made to
the same fund as set forth in the agreement between the director and the
employee organization that represents the employees covered by the
provisions of this paragraph and paragraph a-1 of this subdivision.
a-1. Where, and to the extent that, the agreement between the state
and an employee organization entered into pursuant to article fourteen
of the civil service law so provides on behalf of employees in the
collective negotiating unit consisting of troopers in the division of
state police, established pursuant to article fourteen of the civil
service law, and upon audit and warrant of the state comptroller, the
director shall provide for the payment of monies to such employee
organization for the establishment and maintenance of an employee
benefit fund established by the employee organization for the employees
in the negotiating unit covered by the controlling provisions of such
agreement providing for such employee benefit fund. Such amounts are to
be determined consistent with said agreement, including any and all
monies agreed to be transferred in said agreement, and on the basis of
the number of full-time annual salaried employees, other than full-time
seasonal employees, on the payroll on March first, two thousand
twenty-three for payments to be made on April first, two thousand
twenty-three, the number of full-time annual salaried employees, other
than full-time seasonal employees, on the payroll on March first, two
thousand twenty-four for payments to be made on April first, two
thousand twenty-four, and the number of full-time annual salaried
employees, other than full-time seasonal employees, on the payroll on
March first, two thousand twenty-five for payments to be made on April
first, two thousand twenty-five. The amounts, which will be determined
pursuant to this section, for employees who are paid from special or
administrative funds, other than the general fund or the capital
projects fund of the state, will be paid from the appropriations as
provided by law, in which case the state comptroller will establish
procedures to ensure repayment from said special or administrative
funds. The director shall enter into an agreement with the employee
organization that sets forth the specific terms and conditions for the
transmittal of monies pursuant to this section. Payments made pursuant
to this paragraph and paragraph a of this subdivision shall be made to
the same fund as set forth in the agreement between the director and the
employee organization that represents the employees covered by the
provisions of this paragraph and paragraph a of this subdivision.
* b. Pursuant to the terms of an agreement negotiated between the
executive branch of the state of New York and the employee organization
representing the collective negotiating unit consisting of
investigators, senior investigators, and investigative specialists in
the division of state police, and upon audit and warrant of the state
comptroller, the director shall provide for the payment of monies to
such employee organization for the establishment and maintenance of an
employee benefit fund established by the employee organization for the
employees in the collective negotiating unit covered by the controlling
provisions of such agreement providing for such employee benefit fund,
such amount to be determined consistent with said agreement, including
any and all monies agreed to be transferred in said agreement, and on
the basis of the number of full-time annual salaried employees, other
than full-time seasonal employees, on the payroll on March first, two
thousand eleven, for payments to be made on April first, two thousand
eleven, and on the payroll on March first, two thousand twelve, for
payments to be made on April first, two thousand twelve and on the
payroll on March first, two thousand thirteen, for payments to be made
on April first, two thousand thirteen and on the payroll on March first,
two thousand fourteen, for payments to be made on April first, two
thousand fourteen and on the payroll on March first, two thousand
fifteen, for payments to be made on April first, two thousand fifteen
and on the payroll on March first, two thousand sixteen for payments to
be made on April first, two thousand sixteen and on the payroll on March
first, two thousand seventeen for payments to be made on April first,
two thousand seventeen. The amount, which will be determined pursuant to
this section, for employees who are paid from special or administrative
funds, other than the general fund or the capital projects fund of the
state, will be paid from the appropriations as provided by law, in which
case the state comptroller shall establish procedures to ensure
repayment from said special or administrative funds. The director shall
enter into an agreement with an employee organization, which sets forth
the specific terms and conditions for the transmittal of monies pursuant
to this section.
* NB Effective until certain conditions are met as set forth in
chapter 182 of 2025 § 26
* b. Pursuant to the terms of an agreement negotiated between the
executive branch of the state of New York and the employee organization
representing the collective negotiating unit consisting of
investigators, senior investigators, and investigative specialists in
the division of state police, and upon audit and warrant of the state
comptroller, the director shall provide for the payment of monies to
such employee organization for the establishment and maintenance of an
employee benefit fund established by the employee organization for the
employees in the collective negotiating unit covered by the controlling
provisions of such agreement providing for such employee benefit fund,
such amount to be determined consistent with said agreement, including
any and all monies agreed to be transferred in said agreement, and on
the basis of the number of full-time annual salaried employees, other
than full-time seasonal employees, on the payroll for the payroll period
that includes March first, two thousand twenty-three, for payments to be
made on April first, two thousand twenty-three, and on the payroll for
the payroll period that includes March first, two thousand twenty-four,
for payments to be made on April first, two thousand twenty-four, and on
the payroll for the payroll period that includes March first, two
thousand twenty-five, for payments to be made on April first, two
thousand twenty-five. The amount, which will be determined pursuant to
this section, for employees who are paid from special or administrative
funds, other than the general fund or the capital projects fund of the
state, will be paid from the appropriations as provided by law, in which
case the state comptroller shall establish procedures to ensure
repayment from said special or administrative funds. The director shall
enter into an agreement with an employee organization, which sets forth
the specific terms and conditions for the transmittal of monies pursuant
to this section.
* NB Effective upon certain conditions being met as set forth in
chapter 182 of 2025 § 26
3. Such employee organization shall periodically as specified by the
director, supply a description of the benefits purchased or provided by
the employee benefit fund, the utilization experience of the benefit
fund, the amount disbursed for or the cost of such benefits and such
other information as may be requested by the director.
4. The employee organization shall report to the comptroller, in the
form and manner as he may direct, the amount it expended for the
purchase of or providing for such benefits for any period specified by
the comptroller. The comptroller is hereby authorized to audit the books
of the employee organization with respect to any moneys transmitted to
it pursuant to this section.
5. Neither the state nor any officer or employee of the state shall be
a party to any contract or agreement entered into by any employee
organization providing for benefits purchased in whole or in part with
moneys transmitted to such employee organization pursuant to this
section. No benefit provided pursuant to such contracts or agreements
shall be payable by the state and all such benefits shall be paid by the
responsible parties to such agreements or contracts pursuant to the
terms and conditions of such agreements or contracts. The employee
organization shall be a fiduciary with respect to the employee benefit
fund established pursuant to this section.
6. Nothing herein shall be deemed to diminish, impair or reduce any
benefit otherwise payable to any employee established or authorized by
law, rule or regulation by reason of such employee's lack of eligibility
to participate in any benefit program established by an employee
organization pursuant to this section.
7. In the event it is determined that the moneys transmitted to an
employee organization pursuant to this section is income for which
payroll deductions are required for income tax withholdings from the
salary or wages of employees pursuant to law, the comptroller shall
determine the amount of such withholdings required and deduct the amount
so required to be withheld from the salary or wages of the employees
concerned.
8. The employee organization shall indemnify the state for any claims
whatsoever paid by it arising from the establishment, administration or
discontinuation of any employee benefit provided pursuant to this
section, together with reasonable costs of litigation arising therefrom.
9. Insofar as the provisions of this section are inconsistent with the
provisions of any other act, general or special, the provisions of this
section shall be controlling.
Employee benefit fund; division of military and naval
affairs. 1. Definitions. As used in this section, unless otherwise
expressly stated:
a. "Director" shall mean the director of employee relations.
b. "Employee" shall mean any person in the service of the state of New
York who is appointed to and serving in a position contained within the
collective negotiating unit designated as the division of military and
naval affairs unit established pursuant to article fourteen of the civil
service law who is otherwise eligible for health insurance coverage
pursuant to law and the rules and regulations of the department of civil
service, except that it shall not mean seasonal employees whose
employment is expected to last less than six months, employees in
temporary positions of less than six months duration, or employees
holding appointments otherwise expected to last less than six months.
2. Where and to the extent that, an agreement between the state and an
employee organization entered into pursuant to article fourteen of the
civil service law so provides on behalf of employees and upon audit and
warrant of the comptroller, the director shall provide for the payment
of moneys quarterly to such employee organization for the establishment
and maintenance of an employee benefit fund established by the employee
organization for the employees in the negotiating unit covered by the
controlling provision of such agreement providing for such employee
benefit fund, such amount to be determined consistent with the procedure
established in said agreement but, on the basis of the number of
employees as defined herein on the payroll during the payroll period the
last day of which ends no later than twenty-one calendar days before the
beginning of the quarter next following such day as determined by the
comptroller. The amount, which will be determined pursuant to this
section, for employees who are paid from first instance funds, or from
special or administrative funds, will be paid from the appropriations as
provided by law, in which case the comptroller will establish procedures
to ensure repayment from first instance general state charge
appropriations or from said special or administrative funds. The
director may enter into an agreement with an employee organization which
sets forth the specific terms and conditions for the establishment and
administration of an employee benefit fund as a condition for the
transmittal of moneys pursuant to this section.
3. Such employee organization shall periodically as specified by the
director, supply a description of the benefits purchased or provided by
the employee benefit fund, the utilization experience of the benefit
fund, the amount disbursed for or the cost of such benefits and such
other information as may be requested by the director.
4. The employee organization shall report to the comptroller, in the
form and manner as he may direct, the amount it expended for the
purchase of or providing for such benefits for any period specified by
the comptroller. The comptroller is hereby authorized to audit the books
of the employee organization with respect to any moneys transmitted to
it pursuant to this section.
5. Neither the state nor any officer or employee of the state
(including "employee" as defined herein and any other employee of the
state) shall be a party to any contract or agreement entered into by any
employee organization providing for benefits purchased in whole or in
part with moneys transmitted to such employee organization pursuant to
this section. No benefit provided pursuant to such contracts or
agreements shall be payable by the state and all such benefits shall be
paid by the responsible parties to such agreements or contracts pursuant
to the terms and conditions of such agreements or contracts. The
employee organization shall be a fiduciary with respect to an employee
benefit fund established pursuant to this section.
6. Nothing herein shall be deemed to diminish, impair or reduce any
benefit otherwise payable to any employee established or authorized by
law, rule or regulation by reason of such employee's lack of eligibility
to participate in any benefit program established by an employee
organization pursuant to this section.
7. In the event it is determined that the moneys transmitted to an
employee organization pursuant to this section is income for which
payroll deductions are required for income tax withholdings from the
salary or wages of employees pursuant to law, the comptroller shall
determine the amount of such withholdings required and deduct the amount
so required to be withheld from the salary or wages of the employees
concerned.
8. The employee organization shall indemnify the state for any claims
whatsoever paid by it arising from the establishment, administration or
discontinuation of any employee benefit provided pursuant to this
section, together with reasonable costs of litigation arising therefrom.
9. Insofar as the provisions of this section are inconsistent with the
provisions of any other act, general or special, the provisions of this
section shall be controlling.
Employee benefit fund; agency police services unit. 1. As
used in this section, unless otherwise expressly stated:
(a) "Director" shall mean the director of employee relations.
(b) "Employee" shall mean any person serving on a full-time annual
salaried basis in the service of the state of New York who is appointed
to and serving in a position in the collective negotiating unit
designated as the agency police services unit and is a police officer
pursuant to subdivision thirty-four of section 1.20 of the criminal
procedure law.
2. Where and to the extent that an agreement between the state and an
employee organization entered into pursuant to article fourteen of the
civil service law or an interest arbitration award issued pursuant to
subdivision four of section two hundred nine of the civil service law
between the state and an employee organization so provides on behalf of
employees in the collective negotiating unit designated as the agency
police services unit established pursuant to article fourteen of the
civil service law, and upon audit and warrant of the comptroller, the
director shall provide for the payment of moneys to such employee
organization for the establishment and maintenance of an employee
benefit fund established by the employee organization for the employees
in the negotiating unit covered by the controlling provision of such
agreement or award providing for such employee benefit fund, such amount
to be determined consistent with said agreement or award on the basis of
the number of full-time annual salaried employees, as determined by the
comptroller, on the payroll on March first, two thousand twenty-three
for payments to be made on April first, two thousand twenty-three, on
the payroll on March first, two thousand twenty-four for payments to be
made on April first, two thousand twenty-four, and on the payroll on
March first, two thousand twenty-five for payments to be made on April
first, two thousand twenty-five. The amount, which will be determined
pursuant to this section, for employees who are paid from special or
administrative funds, other than the general fund or the capital
projects fund of the state, will be paid from the appropriations as
provided by law, in which case the comptroller will establish procedures
to ensure repayment from said special or administrative funds. The
director shall enter into an agreement with an employee organization
which sets forth the specific terms and conditions for the establishment
and administration of an employee benefit fund as a condition for the
transmittal of moneys pursuant to this section.
3. Such employee organization shall periodically as specified by the
director, supply a description of the benefits purchased or provided by
the employee benefit fund, the utilization experience of the benefit
fund, the amount disbursed for or the cost of such benefits and such
other information as may be requested by the director.
4. The employee organization shall report to the comptroller, in the
form and manner as he or she may direct, the amount it expended for the
purchase of or providing for such benefits for any period specified by
the comptroller. The comptroller is hereby authorized to audit the books
of the employee organization with respect to any moneys transmitted to
it pursuant to this section.
5. Neither the state nor any officer or employee of the state shall be
a party to any contract or agreement entered into by any employee
organization providing for benefits purchased in whole or in part with
moneys transmitted to such employee organization pursuant to this
section. No benefit provided pursuant to such contracts or agreements
shall be payable by the state and all such benefits shall be paid by the
responsible parties to such agreements or contracts pursuant to the
terms and conditions of such agreements or contracts. The employee
organization shall be a fiduciary with respect to the employee benefit
fund established pursuant to this section.
6. Nothing in this section shall be deemed to diminish, impair or
reduce any benefit otherwise payable to any employee established or
authorized by law, rule or regulation by reason of such employee's lack
of eligibility to participate in any benefit program established by an
employee organization pursuant to this section.
7. In the event it is determined that the moneys transmitted to an
employee organization pursuant to this section is income for which
payroll deductions are required for income tax withholdings from the
salary or wages of employees pursuant to law, the comptroller shall
determine the amount of such withholdings required and deduct the amount
so required to be withheld from the salary or wages of the employees
concerned.
8. The employee organization shall indemnify the state for any claims
whatsoever paid by it arising from the establishment, administration or
discontinuation of any employee benefit provided pursuant to this
section, together with reasonable costs of litigation arising therefrom.
9. Insofar as the provisions of this section are inconsistent with the
provisions of any other law, general or special, the provisions of this
section shall be controlling.
Authorized individual retirement plans. 1. a. The term
"authorized individual retirement plan" as used in this section shall
mean an individual retirement plan, as defined in the Economic Recovery
Tax Act of 1981 (P.L. 97-34), established and maintained by one or more
financial organizations with which a committee established herein has
contracted pursuant to this section for the purposes of employee
contribution by payroll deductions.
b. The term "financial organization" as used in this section shall
mean an organization that is authorized to do business in the state of
New York, and is licensed or chartered by the state department of
financial services, is chartered by an agency of the federal government,
or is subject to the jurisdiction of the securities and exchange
commission.
2. The president of the civil service commission is authorized to
enter into contracts, on behalf of the state, with one or more financial
organizations to provide for authorized individual retirement plans in
which employees of the state eligible to authorize payroll deductions by
subdivision seven of section two hundred one of this article may
participate. Any such contract shall be administered on behalf of the
state by the president of the civil service commission and shall be
subject to audit by the comptroller. No such contract shall take effect
until it has been submitted to and approved by the director of the
budget and then approved by the comptroller.
Employee benefit fund; professional services. 1. Definitions.
As used in this section, unless otherwise expressly stated:
a. "Director" shall mean the director of employee relations.
b. "Employee" shall mean any person in the service of the state of New
York who is appointed to and serving in a position contained within the
collective negotiating unit designated as the professional services
negotiating unit in the state university of New York established
pursuant to article fourteen of the civil service law who is eligible
for full or partial per capita contributions to an employee benefit fund
pursuant to the terms of an agreement between the state and an employee
organization representing employees in such negotiating unit.
2. Where, on the effective date of this section, and to the extent
that, an agreement between the state and an employee organization
entered into pursuant to article fourteen of the civil service law so
provides on behalf of employees in the collective negotiating unit
designated as the professional services negotiating unit in the state
university of New York established pursuant to article fourteen of the
civil service law, and upon audit and warrant of the comptroller, the
director shall provide for the payment of monies quarterly to such
employee organization for the establishment and maintenance of an
employee benefit fund established by the employee organization for the
employees in the negotiating unit covered by the controlling provisions
of such agreement providing for such employee benefit fund, such amount
to be determined consistent with the procedure established in said
agreement but, on the basis of the number of employees as defined herein
on the payroll during the payroll period the last day of which ends no
later than twenty-one calendar days before the beginning of the quarter
next following such day as determined by the comptroller and the state
university of New York unless there is an agreement entered into
pursuant to such article fourteen between the state and such employee
organization for the determination during a different payroll period of
the number of employees in positions which are on an appointment cycle
which does not place them on payroll at the time that such number of
employees would otherwise be determined. The amount, which will be
determined pursuant to this section, for employees who are paid from
special or administrative fund or funds of the state, other than the
general fund or the capital projects fund of the state, will be paid
from the appropriations as provided by law, in which case the
comptroller will establish procedures to ensure repayment from said
special or administrative funds. The director may enter into an
agreement with an employee organization which sets forth the specific
terms and conditions for the establishment and administration of an
employee benefit fund as a condition for the transmittal of monies
pursuant to this section.
3. Such employee organization shall periodically as specified by the
director of employee relations, supply a description of the benefits
purchased or provided by the employee benefit fund, the utilization
experience of the benefit fund, the amount disbursed for or the cost of
such benefits and such other information as may be requested by the
director of employee relations.
4. The employee organization shall report to the comptroller, in the
form and manner as he may direct, the amount it expended for the
purchase of or providing for such benefits for any period specified by
the comptroller. The comptroller is hereby authorized to audit the books
of the employee organization with respect to any monies transmitted to
it pursuant to this section.
5. Neither the state nor any officer or employee of the state shall be
a party to any contract or agreement entered into by any employee
organization providing for benefits purchased in whole or in part with
monies transmitted to such employee organization pursuant to this
section. No benefit provided pursuant to such contracts or agreements
shall be payable by the state and all such benefits shall be paid by the
responsible parties to such agreements or contracts pursuant to the
terms and conditions of such agreements or contracts. The employee
organization shall be a fiduciary with respect to an employee benefit
fund established pursuant to this section.
6. Nothing herein shall be deemed to diminish, impair or reduce any
benefit otherwise payable to any employee established or authorized by
law, rule or regulation by reason of such employee's lack of eligibility
to participate in any benefit program established by an employee
organization pursuant to this section.
7. In the event it is determined that the monies transmitted to an
employee organization pursuant to this section is income for which
payroll deductions are required for income tax withholdings from the
salary or wages of employees pursuant to law, the comptroller shall
determine the amount of such withholdings required and deduct the amount
so required to be withheld from the salary or wages of the employees
concerned.
8. The employee organization shall indemnify the state for any claims
whatsoever paid by it arising from the establishment, administration or
discontinuation of any employee benefit provided pursuant to this
section, together with reasonable costs of litigation arising therefrom.
9. Insofar as the provisions of this section are inconsistent with the
provisions of any other act, general or special, the provisions of this
section shall be controlling.
Workers' compensation supplementation allowance. 1.
Notwithstanding any other law, rule or regulation to the contrary,
where, and to the extent that, an agreement between the state or the New
York state canal corporation and an employee organization entered into
pursuant to article fourteen of the civil service law on behalf of
employees in a collective negotiating unit established pursuant to
article fourteen of the civil service law provides for the payment of a
supplement to the workers' compensation award, such supplement shall be
paid in accordance with such agreement. Officers and employees serving
in positions in the executive branch which are designated managerial or
confidential pursuant to article fourteen of the civil service law,
civilian state employees of the division of military and naval affairs
of the executive department whose positions are not in, or are excluded
from representation rights in any recognized or certified negotiating
unit, those excluded from representation rights under article fourteen
of the civil service law pursuant to rules and regulations of the public
employment relations board and officers and employees of the legislature
shall receive a supplement to the workers' compensation award provided,
however, that officers and employees serving in positions in the
executive branch which are designated managerial or confidential
pursuant to article fourteen of the civil service law, civilian state
employees of the division of military and naval affairs of the executive
department whose positions are not in, or are excluded from
representation rights in any recognized or certified negotiating unit
and those excluded from representation rights under article fourteen of
the civil service law pursuant to rules and regulations of the public
employment relations board shall receive such supplement only with
respect to an absence resulting from an occupational injury or disease
occurring on or before June thirtieth, nineteen hundred ninety-two. Such
supplement shall be paid in accordance with rules and regulations to be
promulgated by the president of the civil service commission.
For the sole purpose of retirement credit, retirement contribution and
final average salary under the retirement and social security law, an
employee's compensation for the period during which he or she receives
such supplement and such award shall be deemed to be the full
compensation or salary such employee would have earned or been entitled
to receive had he or she not received the workers' compensation benefit
provided by such agreement. During the period of time an employee
receives payment of such supplement and workers' compensation award,
such employee shall be deemed on the payroll in full status for those
purposes provided for in such agreement.
2. Notwithstanding any other law, rule or regulation to the contrary,
where, and to the extent that, an agreement between the state or the New
York state canal corporation and an employee organization entered into
pursuant to article fourteen of the civil service law on behalf of
employees in a collective negotiating unit established pursuant to
article fourteen of the civil service law so provides, an employee
placed on an authorized leave without pay during the course of an
absence resulting from an occupational injury or disease found to be
compensable by the workers' compensation board shall be deemed to be on
the payroll at such employee's prevailing rate of annual compensation
for the purpose of retirement credit and employer contributions to the
retirement system. Officers and employees serving in positions in the
executive branch which are designated managerial or confidential
pursuant to article fourteen of the civil service law, civilian state
employees of the division of military and naval affairs of the executive
department whose positions are not in, or are excluded from
representation rights in any recognized or certified negotiating unit
and those excluded from representation rights under article fourteen of
the civil service law pursuant to rules and regulations of the public
employment relations board who are placed on an authorized leave without
pay during the course of an absence resulting from an occupational
injury or disease found to be compensable by the workers' compensation
board occurring on or after July first, nineteen hundred ninety-two,
shall be deemed to be on the payroll at such officer's or employee's
prevailing rate of compensation for the purpose of retirement credit and
employer contributions to the retirement system. Any employee
contribution relating to the retirement credit provided by this
subdivision shall be paid directly by such employee to the retirement
system pursuant to the rules and regulations of the comptroller. The
retirement credit provided by this subdivision shall only apply to a
period of authorized leave without pay occurring during the first twelve
months of absence related to such occupational injury or disease.
3. Notwithstanding subdivision two of this section and any other law,
rule or regulation to the contrary, where, and to the extent that, an
agreement between the state and an employee organization on behalf of
state employees in the professional, scientific and technical
negotiating unit established pursuant to article fourteen of the civil
service law so provides, an employee who participates in the medical
evaluation program established pursuant to such negotiated agreement and
is placed on an authorized leave without pay during the course of an
absence resulting from an occupational injury or disease found to be
compensable by the workers' compensation board shall be deemed to be on
the payroll at such employee's prevailing rate of annual compensation
for the purposes of retirement credit and employer contributions to the
retirement system. Any employee contribution relating to the retirement
credit provided by this subdivision shall be paid directly by such
employee to the retirement system pursuant to the rules and regulations
of the comptroller. The retirement credit provided by this subdivision
shall only apply to a period of authorized leave without pay occurring
during the first twelve months of absence related to such occupational
injury or disease.
Severance benefits for certain state officers and employees.
1. Notwithstanding any other law, rule or regulation to the contrary,
where, and to the extent that, an agreement between the state and an
employee organization entered into pursuant to article fourteen of the
civil service law on behalf of employees in a collective negotiating
unit established pursuant to article fourteen of the civil service law
provides for the payment of a severance benefit in the form of a lump
sum payment or an educational stipend as a consequence of the state
contracting for goods and services, such severance benefit shall be paid
in accordance with such agreement. A severance benefit in the form of a
lump sum payment shall be repaid to the state under the circumstances
and in the manner specified by such agreement.
2. Notwithstanding any other law, rule or regulation to the contrary,
officers and employees serving in positions in the executive branch
which are designated managerial or confidential pursuant to article
fourteen of the civil service law, civilian state employees of the
division of military and naval affairs of the executive department whose
positions are not in, or are excluded from representation rights in any
recognized or certified negotiating unit and those excluded from
representation rights under article fourteen of the civil service law
pursuant to rules and regulations of the public employment relations
board whose permanent positions in the competitive, non-competitive or
labor classes are abolished as a consequence of the state contracting
for goods and services may receive a severance benefit in the form of a
lump sum payment or an educational stipend. Such severance benefit shall
be paid in accordance with rules and regulations to be promulgated by
the president of the civil service commission. A severance benefit in
the form of a lump sum payment shall be repaid to the state under the
circumstances and in the manner specified by such rules and regulations.
3. Any severance benefit paid pursuant to this section shall not be
deemed salary for any purposes of the civil service law or the
retirement and social security law.
* § 210. Optional payment election. Notwithstanding any other
provision of law to the contrary, where the state and an employee
organization representing officers and employees in the executive branch
who are in positions which are in collective negotiating units
established pursuant to article fourteen of the civil service law enter
into an agreement, or where the director of employee relations shall
authorize for officers and employees in the executive branch who are in
positions which are not in collective negotiating units, new employees
hired on or after July first, two thousand twenty-six, may elect to
receive an optional payment, which shall be in an amount determined by
such agreement or for officers and employees in the executive branch who
are in positions which are not in collective negotiating units, at a
rate to be determined by the director of the division of the budget.
Such payment shall not be considered basic annual salary and shall not
be included as compensation for retirement purposes. Such payment shall
be recovered to the state within the first fourteen pay periods after
such payment. The payment specified herein shall also be implemented
for: (a) nonjudicial officers and employees of the unified court system
hired on or after July first, two thousand twenty-six, if the chief
administrator of the courts so elects; (b) employees of the senate hired
on or after July first, two thousand twenty-six, if the temporary
president of the senate so elects; (c) employees of the assembly hired
on or after July first, two thousand twenty-six, if the speaker of the
assembly so elects; and (d) employees of joint legislative employers
hired on or after July first, two thousand twenty-six, if the temporary
president of the senate and the speaker of the assembly mutually so
elect for all such joint legislative employers. Any election made
pursuant to subdivision (a), (b), (c), or (d) of this section shall be
in writing and filed with the state comptroller no later than September
thirtieth, two thousand twenty-five.
* NB Repealed upon implementation of terminating the alternate
procedure set forth in state finance law § 200 sb 2
ARTICLE 15 Excelsior Linked Deposit Act
Short title. This article shall be known and may be cited as
the "excelsior linked deposit act".
Definitions. When used in this article, unless a different
meaning clearly appears from the context, the following terms shall have
the following meanings:
1. "Authorized depositor" means the comptroller with respect to linked
deposits made by the comptroller and the commissioner of taxation and
finance with respect to linked deposits made by the commissioner of
taxation and finance.
2. "Census" means the decennial census performed by the bureau of the
census of the United States department of commerce.
3. "Census bureau" means the bureau of the census of the United States
department of commerce.
4. "Certified business" means a business located in an empire zone
created pursuant to article eighteen-B of the general municipal law and
certified pursuant to such article as eligible for the benefits referred
to in section nine hundred sixty-six of such article.
5. "Certified minority-or women-owned business" means any minority-or
women-owned business enterprise as defined in section three hundred ten
of the executive law and certified pursuant to section three hundred
fourteen of the executive law.
6. "Comptroller" means the comptroller of the state of New York.
7. "Defense industry manufacturer" means a manufacturing firm as
defined in subdivision eighteen of this section, twenty-five percent or
more of the gross revenues of which derive, either directly as a prime
contractor or indirectly as a subcontractor of a prime contractor, from
department of defense or other military contracts.
8. "Department" means the department of economic development.
9. "Department of defense" means the United States department of
defense.
10. "Empire zone" means an empire zone created pursuant to article
eighteen-B of the general municipal law.
11. "Eligible business" means:
(a) a manufacturing firm or agricultural business which employs five
hundred or fewer employees within the state on a full-time basis; or
(b) any certified business in an empire zone which business employs
one hundred or fewer employees within the state on a full-time basis; or
(b-1) during the whole or any portion of a period in which an area
continues to be designated as a renewal community, any renewal community
business located in such area that employs one hundred or fewer
employees within the state on a full-time basis; or
(b-2) during the whole or any portion of a period in which an area
continues to be designated as an empowerment zone, any business located
in such area that employs one hundred or fewer employees within the
state on a full-time basis; or
(b-3) during the whole or any portion of a period in which an area
continues to be designated as an enterprise community, any business
located in such area that employs one hundred or fewer employees within
the state on a full-time basis; or
(c) any firm seeking financing through the program for an export
project, which firm employs one hundred or fewer employees within the
state on a full-time basis; or
(d) any business located in a highly distressed area, which business:
(i) is not a retail business, unless financing provided through the
program would promote the preservation of existing jobs or an increase
in the overall number of retail jobs in the area; and
(ii) employs one hundred or fewer employees within the state on a
full-time basis; or
(e) any certified minority-or women-owned business seeking financing
necessary to carry out a procurement contract with an agency or
authority or other entity of the state or federal government; or
(f) any service business that is independently owned and operated, is
not dominant in its field, employs one hundred or fewer persons on a
full-time basis within the state, and is seeking financing through the
program for a project that will result in the retention or creation of
permanent private sector jobs within the state, other than a business
that sells a service rendered at a facility personally by an individual
for another individual, directly, without the intervention of a third
party, or a professional service business such as health, legal,
accounting, engineering, or architectural services; or
(g) a qualifying technology or innovation business which business
employs one hundred or fewer employees within the state on a full-time
basis and engages in:
(1) biotechnologies, which shall be defined as technologies involving
the scientific manipulation of living organisms, especially at the
molecular and/or the sub-molecular genetic level, to produce products
conducive to improving the lives and health of plants, animals, and
humans; and the associated scientific research, pharmacological,
mechanical, and computational applications and services connected with
these improvements;
(2) information and communication technologies, equipment and systems
that involve advanced computer software and hardware, visualization
technologies, and human interface technologies;
(3) advanced materials and processing technologies that involve the
development, modification, or improvement of one or more materials or
methods to produce devices and structures with improved performance
characteristics or special functional attributes, or to activate, speed
up, or otherwise alter chemical, biochemical, or medical processes;
(4) electronic and photonic devices and components for use in
producing electronic, optoelectronic, mechanical equipment and products
of electronic distribution with interactive media content;
(5) energy efficiency, renewable energy and environmental
technologies, products, devices and services; or
(6) small scale systems integration and packaging; or
* (h) a community development financial institution.
* NB There are 2 par (h)'s
* (h) any certified service-disabled veteran-owned business
enterprises seeking financing necessary to carry out a procurement
contract with an agency or authority or other entity of the state or
federal government.
* NB There are 2 par (h)'s
12. "Eligible projects" means:
(a) export projects designed to increase a firm's export activities;
or
(b) for manufacturing, agricultural and service firms, projects which
involve the preparation of strategic plans for improving productivity
and competitiveness; the introduction of modern equipment and/or an
expansion of facilities as part of a modernization plan; the
introduction of advanced technologies to improve productivity and
quality; improvements in production processes and operations, including
agricultural operations; introduction of computerized information,
reporting and control systems; reorganization or improvement of work
place systems and the introduction of total quality and employee
participation programs; development and introduction of new products;
identification and development of new markets, including entry into
foreign markets; financial restructuring for purposes of enabling
modernization activities; buyouts of viable companies by employees or
local owners residing in the state; and the provision of working capital
for other modernization activities that will improve the competitiveness
and productivity of a firm and result in the creation or retention of
jobs; or
(c) for certified businesses located in empire zones, for retail
businesses located in highly distressed areas, for eligible businesses
that are defined in paragraph (b-1) of subdivision eleven of this
section that are located in a renewal community, for eligible businesses
that are defined in paragraph (b-2) of subdivision eleven of this
section that are located in an empowerment zone, and for eligible
businesses that are defined in paragraph (b-3) of subdivision eleven of
this section that are located in an enterprise community, projects that
will create or retain full-time, permanent jobs within the empire zone
or empowerment zone or enterprise community or highly distressed area or
renewal community, as the case may be; or
(d) for defense industry manufacturers, projects designed to reduce
dependence on department of defense and other military contracts and to
change or diversify production in order to take advantage of any market
other than that serving the department of defense or other military
procurers; or
(e) for certified minority-and women-owned businesses, projects to
provide financing necessary to carry out a procurement contract with an
agency or authority or other entity of the state or federal government;
or
* (f) projects in which community development financial institutions
make loans.
* NB There are 2 par (f)'s
* (f) for certified service-disabled veteran-owned business
enterprises, projects to provide financing necessary to carry out a
procurement contract with an agency or authority or other entity of the
state or federal government.
* NB There are 2 par (f)'s
12-a. "Empowerment zone" means an area within the state that has been
designated by such term pursuant to section 1391 of the federal Internal
Revenue Code (26 United States Code § 1391) under the federal Community
Renewal Tax Relief Act of 2000.
12-b. "Enterprise community" means an area within the state that has
been designated by such term pursuant to section 1391 of the federal
Internal Revenue Code (26 United States Code § 1391) under the federal
Community Renewal Tax Relief Act of 2000.
13. "Highly distressed area" means: (a) a census tract or tracts or
block numbering area or areas or such census tract or block numbering
area contiguous thereto which, according to the most recent census data
available, has:
(i) a poverty rate of at least twenty percent for the year to which
the data relates or at least twenty percent of the households receiving
public assistance; and
(ii) an unemployment rate of at least one and twenty-five one
hundredths times the statewide unemployment rate for the year to which
the data relates; or
(b) a city, town, village or county within a city with a population of
one million or more for which: (i) the ratio of the full value property
wealth, as determined by the comptroller for the most recent year
determined, per resident to the statewide average full value property
wealth per resident; and (ii) the ratio of the income per resident, as
shown in the most recent census to the statewide average income per
resident; are each fifty-five percent or less of the statewide average;
provided, however, that an empire zone shall not be considered a highly
distressed area for purposes of this article.
14. "Lender" means:
(a) any commercial bank which is or shall become an approved
depository of state funds under the provisions of section one hundred
five of this chapter and which agrees to participate in the program; or
(b) any thrift or credit union which an authorized depositor
determines is eligible to accept linked deposits based upon criteria
applied by the authorized depositor in making determinations under
section one hundred five of this chapter, and which agrees to
participate in the program, provided that any linked deposit in such
thrift or credit union shall be secured in the same manner as moneys
deposited pursuant to section one hundred five of this chapter and such
thrifts or credit unions shall pledge assets or furnish other security
satisfactory in form and amount to the authorized depositor for the
repayment of moneys. Until April first, nineteen hundred ninety-six, in
the determination of thrifts eligible to accept linked deposits, the
authorized depositor shall give priority to applications by those
thrifts seeking to make linked loans in economic development regions in
which fewer than ten linked loans have been made on or before April
first, nineteen hundred ninety-five. Provided, however, that the
granting of such priority shall in no way relieve an authorized
depositor of his or her duty and obligation to review all thrift
applications from all economic development regions in the state on a
timely basis.
(c) any farm credit system institution which agrees to participate in
the program.
(d) the New York business development corporation.
15. "Linked deposit" means a deposit, or for farm credit system
institutions and the New York business development corporation an
investment eligible to be held by such institution or corporation placed
with a lender by the comptroller or the commissioner of taxation and
finance for a period of four years at the linked deposit interest rate,
provided the lender agrees to:
(a) lend the equivalent value of such deposit to an eligible business
at the interest rate provided in section two hundred eighteen of this
article; and
(b) permit the deposit to be comprised of a series of ninety day
deposits each bearing an interest rate equal to the linked deposit
interest rate fixed at the time the original deposit is placed.
This article and the related statutes that refer to this article do
not grant thrifts, credit unions, farm credit system institutions or the
New York business development corporation eligibility to accept public
funds or public moneys from public entities for investment purposes. For
farm credit system institutions, the linked deposit program is available
for loans with an agricultural purpose as defined by the farm credit act
of nineteen hundred seventy-one, as amended and regulations promulgated
thereunder. A linked deposit is intended to enable a lender to make a
linked loan to an eligible business and such deposit earns a yield lower
than posted rates in order to accomplish the goals of this article.
16. "Linked deposit interest rate" means:
(a) for a linked deposit made in connection with a linked loan to a
certified business in an empire zone or to an eligible business located
in a highly distressed area or to an eligible business that is defined
in paragraph (b-1) of subdivision eleven of this section that is located
in a renewal community or defined in paragraph (b-2) of such subdivision
that is located in an empowerment zone or defined in paragraph (b-3) of
such subdivision that is located in an enterprise community, or a
qualifying technology or innovation business as defined in paragraph (g)
of subdivision eleven of this section, respectively for eligible
projects defined in paragraph (c) of subdivision twelve of this section
or a certified minority- or women-owned business enterprise for an
eligible project defined in paragraph (e) of subdivision twelve of this
section or to a defense industry manufacturer for a project defined in
paragraph (d) of subdivision twelve of this section, a fixed rate of
interest which is three hundred basis points below the lender's posted
four year certificate of deposit rate or, if the lender does not offer a
four year certificate of deposit, is three hundred basis points below
the average statewide rate for four year certificates of deposit as
determined by the commissioner of economic development;
(b) for a linked deposit made in connection with any linked loan other
than those specified in paragraph (a) of this subdivision, a fixed rate
of interest which is two hundred basis points below the lender's posted
four year certificate of deposit rate, or if the lender does not offer a
four year certificate of deposit, is two hundred basis points below the
average statewide rate for four year certificates of deposit as
determined by the commissioner of economic development.
17. "Linked loan" means a loan for purposes of an eligible project, in
an amount equal to a linked deposit and bearing interest for the first
four years at the interest rate provided in section two hundred eighteen
of this article.
18. "Manufacturing firm" means a firm involved with extracting,
smelting, recovering, developing, preparing, compounding, converting,
assembling or producing in any manner, minerals, raw materials, products
or substances of any kind or nature, and shall include facilities
related thereto for storage, warehousing or distribution, for research
and development or for the discovery of new, and the refinement of
known, substances, processes, and products.
19. "Program" means the excelsior linked deposit program.
20. "Thrift" means any savings bank or savings and loan association,
federal savings bank or federal savings and loan association.
21. "Economic development region" shall refer to those regions
established by the department of economic development pursuant to
section two hundred thirty of the economic development law.
22. "Renewal community" means an area within the state that has been
designated by such term in accordance with section 1400E of the federal
Internal Revenue Code (26 United States Code § 1400E) under the federal
Community Renewal Tax Relief Act of 2000.
23. "Renewal community business" means a business that is designated
by such term pursuant to section 1400G of the federal Internal Revenue
Code (26 United States Code § 1400G) under the federal Community Renewal
Tax Relief Act of 2000.
24. "Credit union" means any credit union chartered under article
eleven of the banking law or any federal credit union.
25. "Community development financial institution" means an
organization as defined in 12 U.S.C. 4702(5)(a).
26. "Certified service-disabled veteran-owned business enterprise"
means any service-disabled veteran-owned business enterprise as provided
for in article three of the veterans' services law.
Establishment and purpose; linked deposit program
authorization. The excelsior linked deposit program is hereby created.
The purpose of the program is to encourage and assist eligible
businesses within the state to undertake eligible projects that will
materially contribute to improving their performance and
competitiveness. The comptroller is hereby authorized to use any moneys
of the state the comptroller is authorized to invest pursuant to section
ninety-eight-a of this chapter as linked deposits for the program. Not
more than one billion dollars of such moneys shall be on deposit
pursuant to the program at any given time. The commissioner of taxation
and finance is hereby authorized to use funds in the linked deposit
program fund established pursuant to section ninety-two-v of this
chapter as linked deposits for the program. Not more than one hundred
million dollars from the linked deposit program fund shall be on deposit
pursuant to the program at any given time.
Responsibilities of commissioner of economic development,
comptroller, commissioner of taxation and finance and superintendent of
financial services. 1. The commissioner of economic development shall
administer the program pursuant to section two hundred nineteen of this
article, including all decisions with respect to the application and use
of the program for eligible projects; market and promote the program
pursuant to section two hundred twenty-three of this article; after
consulting with the comptroller, the commissioner of taxation and
finance and the superintendent of financial services, issue rules and
regulations for the operation of the program pursuant to section two
hundred twenty-four of this article.
2. The comptroller's responsibilities for the program shall be limited
to: pursuant to sections two hundred fourteen and two hundred nineteen
of this article, placing moneys on deposit at the request of the
commissioner of economic development for the purposes of the program and
administering such deposits in accordance with sections ninety-eight-a
and one hundred five of this chapter and with the comptroller's
established procedures; and entering into deposit agreements with
lenders pursuant to section two hundred nineteen of this article.
3. The commissioner of taxation and finance's responsibilities for the
program shall be limited to: pursuant to sections two hundred fourteen
and two hundred nineteen of this article, placing linked deposit program
fund moneys on deposit at the request of the commissioner of economic
development for the purposes of the program and administering such
deposits in accordance with sections ninety-eight-a and one hundred five
of this chapter and with the commissioner of taxation and finance's
established procedures; and entering into deposit agreements with
lenders pursuant to section two hundred nineteen of this article.
4. The superintendent of financial services' responsibilities for the
program shall be limited to marketing and promoting the program pursuant
to section two hundred twenty-three of this article.
Term of program. 1. The program shall exist for a term which
expires on the date this article expires pursuant to chapter seven
hundred five of the laws of nineteen hundred ninety-three which added
this article. Linked loans may be made only during the term of the
program and linked deposits shall mature no later than four years after
the expiration of the term of the program.
2. The authorized depositor may permit funds released from a linked
deposit relating to a linked loan to be made available for additional
linked deposits under this program.
Linked loans. Linked loans shall be made by lenders pursuant to
the program only to eligible businesses in connection with eligible
projects. A linked loan shall be limited to a maximum amount of four
million dollars. An eligible business may receive more than one linked
loan. During the life of the linked loan program, the total amount of
money that a business can borrow from the linked program is six million
dollars. The credit decision for making a linked loan shall be made
solely by the lender. Notwithstanding the length of the term of a linked
loan, the linked deposit relating to the linked loan shall be for a
period of not more than four years.
Interest rate for linked loans; no lender's fees. 1. Linked
loans made to certified businesses in empire zones or to eligible
businesses in highly distressed areas or to eligible businesses that are
defined in paragraph (b-1) of subdivision eleven of section two hundred
thirteen of this article that are located in a renewal community or
defined in paragraph (b-2) of such subdivision that are located in an
empowerment zone or defined in paragraph (b-3) of such subdivision that
are located in an enterprise community, respectively for eligible
projects defined in paragraph (c) of subdivision twelve of section two
hundred thirteen of this article or to service-disabled veteran-owned
business enterprises for an eligible project defined in paragraph (f) of
subdivision twelve of section two hundred thirteen of this article or to
minority- or women-owned business enterprises for an eligible project
defined in paragraph (e) of subdivision twelve of section two hundred
thirteen of this article or to a defense industry manufacturer for a
project defined in paragraph (d) of subdivision twelve of section two
hundred thirteen of this article or to an eligible business pursuant to
paragraph (a) of subdivision eleven of section two hundred thirteen of
this article that produces products defined in subdivision two of
section three hundred one of the agriculture and markets law for an
eligible project as defined in paragraph (b) of subdivision twelve of
section two hundred thirteen of this article shall bear interest at a
fixed rate equal to three percentage points below the fixed interest
rate the lender would have charged for the loan in the absence of a
linked deposit based on its usual credit considerations. All other
linked loans shall bear interest at a fixed rate equal to two percentage
points below the fixed interest rate the lender would have charged for
the loan in the absence of a linked deposit based on its usual credit
considerations. Lenders shall certify to the commissioner of economic
development that the rate to be charged on a linked loan is two
percentage points or three percentage points, as the case may be, below
the interest rate the lender would have charged for the loan in the
absence of a linked deposit.
2. Lenders who make loans pursuant to the program shall not be
entitled to charge any discount, points, origination fees, handling
fees, service charges, refinancing fees or penalties or any charge other
than those normally charged and in such amounts normally charged by the
lender for loans of the type being made without regard to the program.
Application procedure. 1. The commissioner of economic
development shall establish procedures and other requirements for
participation in the program, and shall provide a simplified application
form to the participating lenders for linked deposits. Such form shall
reflect the qualifying information required by this article for eligible
businesses and shall contain a statement by the applicant that inability
to obtain the reduced interest rate provided by the program would impede
the ability of the applicant to undertake the eligible project. Upon
completion of any application for a linked deposit, the lender shall
send the application, together with the interest rate certification
required pursuant to section two hundred eighteen of this article, to
the commissioner of economic development who shall either approve or
reject the application within twenty-eight days. The commissioner of
economic development shall evaluate each application based upon the
following criteria:
(a) the significance of the eligible project for improving the
competitive position and profitability of the eligible business;
(b) the materiality of a reduced cost of borrowing through a linked
loan to the ability of the eligible business to undertake the eligible
project;
(c) the number of jobs likely to be created or retained, or other
substantial economic benefits likely to be achieved as a result of the
linked loan; and
(d) such other criteria as the commissioner of economic development
determines relevant.
2. If the deposit application is approved by the commissioner of
economic development, the commissioner shall notify an authorized
depositor that the commissioner has determined that the application
satisfies the requirements of this article, and the commissioner shall
request the authorized depositor to deposit funds with the lender in
accordance with section ninety-eight-a of this chapter and with the
authorized depositor's established procedures. Such deposits shall be
secured in accordance with the provisions of section one hundred five of
this chapter, and lenders receiving such deposits shall satisfy, in the
sole judgment of the authorized depositor, all collateral and other
requirements generally applied by the authorized depositor to funds
invested by it. The notified authorized depositor and the lender shall
enter into a written deposit agreement. In no event shall any defect in
any such agreement be asserted as a defense by a borrower on a linked
loan made pursuant to the program.
Renewal of linked deposit. A lender may, on behalf of a
borrower, apply to the commissioner of economic development to request a
renewal of the linked deposit for an additional four year period to
correspond with a second four year period of a borrower's linked loan.
The commissioner may grant such application if the commissioner
determines that the borrower, during the second four year period of the
linked loan, will create additional industrial modernization benefits or
additional export trade benefits or additional jobs. If the commissioner
of economic development grants such application, the commissioner shall
notify the authorized depositor who made the linked deposit that the
commissioner has determined that the application satisfies the
requirements of this article and shall request the authorized depositor
to continue the linked deposit with the lender for an additional four
year period in accordance with section ninety-eight-a of this chapter
and with the authorized depositor's established procedures. Such linked
deposit shall continue to be secured in accordance with the provisions
of section one hundred five of this chapter. The fixed interest rate on
the continued linked deposit shall be the linked deposit interest rate
in effect on the first day of the continuation of the linked deposit.
The authorized depositor and the lender shall enter into a written
deposit agreement governing the continuation of the linked deposit. The
interest rate payable on the linked loan for the second four year period
shall be, in the case of a certified business in an economic development
zone or an eligible business located in an economically distressed area
or federal empowerment zone or enterprise or renewal community or a
minority or women-owned business enterprise or service-disabled
veteran-owned business enterprises, three percentage points below the
interest rate the lender would have charged for the loan in effect on
the first day of the continuation of the linked deposit; or in the case
of a business not located in an economic development zone or
economically distressed area or federal empowerment zone or enterprise
or renewal community or which is not a minority or women-owned business
enterprise, service-disabled veteran-owned business enterprises, two
percentage points below the interest rate the lender would have charged
for the loan in the absence of a linked deposit in effect on the first
day of the continuation of the linked deposit.
Liability; early repayment and withdrawal. Nothing contained in
this article shall impose liability on the state or any of its
departments or employees for payment or delays in payment of the
principal or interest of a linked loan. Any delay in payments or any
default on a linked loan shall in no way affect the linked deposit
agreement between the lender and the authorized depositor. However, in
the event the interest rate of the linked loan shall be increased as a
consequence of default or renegotiation, or the loan shall be charged
off, the lender shall give the authorized depositor prompt notice of
such event, and the authorized depositor shall thereafter withdraw the
linked deposit upon not less than seven days' prior written notice to
the lender. Upon early repayment of a linked loan, the lender shall
within thirty days give the authorized depositor notice of such early
repayment, and the authorized depositor shall thereafter withdraw the
linked deposit upon not less than seven days' prior written notice to
the lender, and the interest rate payable on the linked deposit from the
date of early repayment of the linked loan to the date of withdrawal of
the linked deposit shall be the interest rate upon which the linked
deposit interest rate was calculated without regard to the applicable
basis point reduction.
Monitoring and report. 1. The commissioner of economic
development shall monitor the activities of participating lenders and
businesses and may require periodic reports or other information the
commissioner of economic development deems necessary from participating
lenders and businesses on the status of the linked loans and the
projects to ensure compliance with the provisions and the intent of this
article.
2. On or before February first, nineteen hundred ninety-five, and
annually thereafter the commissioner of economic development shall
submit to the governor, the temporary president of the senate and the
speaker of the assembly a report regarding the activities of the
program. Such report shall contain a statement of the cost of the
program to the state and to the public authorities, considered as a
whole, because of reduced rates on funds invested in linked deposits.
Such report shall also include, but shall not be limited to, the number
and type of linked loans under the program and the amount thereof; the
number and types of lenders making linked loans and of firms receiving
linked loans; the geographic distribution of such lenders and firms; the
approximate number of jobs created or retained as a result of the
program; actions taken by the department of economic development and the
department of financial services to secure the increased participation
of lenders in economic development regions in which fewer than ten
linked loans have been made on or before April first, nineteen hundred
ninety-five; actions taken by the department of economic development to
secure the increased participation of public authorities and public
benefit corporations pursuant to section ninety-two-v of this chapter;
as well as any information the commissioner determines useful in
evaluating the economic benefits of the program.
Promotion of program. The department, through its regional
offices and with the assistance of the department of financial services
and other appropriate state agencies and public benefit corporations,
shall actively market and promote awareness of the program in all
geographical areas of the state among banks, banking organizations,
manufacturing firms, manufacturing organizations, and regional and local
economic development agencies. In soliciting lenders to participate in
the program, on or before April first, nineteen hundred ninety-six, the
commissioner of economic development shall give priority to the
solicitation of lenders seeking to make linked loans in economic
development regions in which fewer than ten linked loans have been made
on or before April first, nineteen hundred ninety-five. Provided,
however, that the granting of such priority shall in no way relieve the
commissioner of economic development of the duty and obligation to
solicit lenders from all economic development regions of the state.
Rules and regulations. The commissioner of economic development
shall, in consultation with the comptroller, the commissioner of
taxation and finance and the superintendent of financial services,
promulgate rules and regulations necessary and reasonable for the
operation of the program.
ARTICLE 16 Water Pollution Control Linked Deposit Program Act
Short title. This article shall be known and may be cited as
the "water pollution control linked deposit program act".
Definitions. When used in this article, unless the context
clearly indicates otherwise, the following terms shall have the
following meanings:
1. "Corporation" means the New York state environmental facilities
corporation, as continued by section twelve hundred eighty-two of the
public authorities law.
2. "Eligible borrower" means any recipient, including any entity
receiving or eligible to receive an agricultural assessment pursuant to
article twenty-five-AA of the agriculture and markets law and any
individual or small business eligible to undertake an eligible project
related to residential and small business on-site wastewater treatment
systems.
3. "Eligible project" shall mean a project for the implementation of a
management program established under section 319 of the Federal Water
Pollution Control Act related to agricultural operations, the upgrade or
replacement of residential and small business on-site wastewater
treatment systems with a system approved by the state or local
department of health, or the abandonment of residential and small
business on-site wastewater treatment systems and connection to a sewer,
when a sewer becomes available.
4. "Lender" means any state or federally-chartered savings bank,
savings and loan association, federal savings bank, federal savings and
loan association, farm credit system institution, or commercial bank or
trust company designated by the corporation to participate in the
program.
5. "Linked deposit" means financial assistance undertaken by the
corporation for the construction of an eligible project through a
deposit, or for a farm credit system institution an investment eligible
to be held by such institution, placed with a lender by the corporation
bearing interest at the linked deposit interest rate, provided the
lender has agreed to:
(a) lend the equivalent value of such deposit to an eligible borrower
at the linked loan interest rate; and
(b) permit the deposit to be comprised of a series of certificates of
deposit each bearing an interest rate equal to the linked deposit
interest rate fixed at the time the original linked deposit is placed.
Each linked deposit shall be continuously and fully secured by direct
obligations of the state or the United States of America or by
obligations the principal and interest on which are guaranteed by the
state or the United States of America.
This article and related statutes that refer to this article do not
grant savings banks, savings and loan associations, farm credit system
institutions, federal savings banks, or federal savings and loan
associations eligibility to accept public funds or public moneys from
public entities for investment purposes. A linked deposit is intended to
enable a lender to make a linked loan to an eligible borrower and such
deposit earns a yield lower than posted rates in order to accomplish the
goals of this article.
6. "Linked deposit interest rate" means a fixed rate of interest which
is below the market rate.
7. "Linked loan" means a loan for purposes of an eligible project, in
an amount equal to a linked deposit and bearing interest at the linked
loan interest rate.
8. "Linked loan interest rate" means a fixed rate below the fixed
interest rate the lender would have charged for the loan in the absence
of a linked deposit based on its usual credit considerations.
9. "Program" means the water pollution control linked deposit program.
10. "Recipient" means any person which is: (a) an individual or small
business which is eligible to undertake an eligible project related to
residential and small business on-site wastewater treatment systems; or
(b) an entity receiving or eligible to receive an agricultural
assessment pursuant to article twenty-five-AA of the agriculture and
markets law which is eligible to undertake an eligible project; or (c)
any two or more of the foregoing which are acting jointly in connection
with an eligible project.
11. "Residential and small business on-site wastewater treatment
system" means a system serving a residence or small business that
provides for the treatment and/or disposition of the combination of
human and sanitary waste with water not exceeding one thousand gallons
per day.
12. "Small business" means any business which is resident in this
state, independently owned and operated, not dominant in its field, and
employing not more than one hundred individuals.
Establishment and purpose; water pollution control linked
deposit program authorization. The water pollution control linked
deposit program is hereby created. The purpose of this program is to
encourage and assist eligible borrowers within the state to undertake
eligible projects that reduce, control or prevent water pollution. The
corporation is hereby authorized to use funds in the water pollution
control revolving fund established pursuant to section twelve hundred
eighty-five-j of the public authorities law not to exceed ten million
dollars per fiscal year for the water pollution control linked deposit
program.
Linked loans. Linked loans shall be made by lenders pursuant to
the program only to eligible borrowers in connection with eligible
projects. No such loans shall be made after September thirtieth, two
thousand eleven. The credit decisions for making a linked loan shall be
made solely by the lender.
Linked loans interest rate; limitation on lender's fees. 1.
Linked loans shall bear interest at the linked loan interest rate.
Lenders shall certify to the corporation that the linked loan interest
rate is below the interest rate the lender would have charged for the
loan in the absence of a linked deposit.
2. Lenders who make linked loans shall not be entitled to charge any
discount, points, origination fees, handling fees, service charges,
refinancing fees or penalties or any charge other than those normally
charged and in such amounts normally charged by the lender for loans of
the type being made without regard to the program.
Application procedure. 1. The corporation shall provide an
application form to lenders for linked deposits. Such form shall reflect
the qualifying information as developed by the commissioner of
agriculture and markets for eligible borrowers involved in agricultural
operations and as developed by the secretary of state for eligible
borrowers involved in residential and small business on-site wastewater
treatment system projects. The lender shall forward the completed
application, its finding that the borrower is creditworthy, and the
interest rate certification required pursuant to section two hundred
thirty-nine of this article, to the corporation which, in consultation
with the state or the department of agriculture and markets, shall
either approve or reject the application within thirty days. Upon
approval of any project application, the department of environmental
conservation shall list such project on the intended use plan pursuant
to section 17-1909 of the environmental conservation law. Failure to
approve within thirty days shall be deemed a rejection of any
application. The corporation shall evaluate each application based upon
the availability of funds for the linked deposit.
2. If the linked loan application receives the approval of the
corporation's board and any other approvals required by state or federal
law, the corporation shall deposit funds with the lender pursuant to the
terms of a written deposit agreement or an appropriate agreement with a
farm credit system institution, as the corporation and lender shall
determine.
Early maturity. Unless otherwise agreed to by the corporation,
the linked deposit shall automatically mature on the thirtieth calendar
day after the occurrence of any event, monetary or non-monetary, which,
whether declared by the lender or not, constitutes a default under any
term or terms of the linked loan and such default remains uncured as of
such thirty calendar days. Upon early repayment of a linked loan, the
linked deposit shall automatically mature with payment due to the
corporation on or before the last day of the month in which prepayment
occurs.
Monitoring and reporting. 1. The corporation shall require
periodic reports or other information the corporation deems necessary
from lenders and borrowers on the status of the linked loan and the
eligible projects to ensure compliance with the provisions and the
intent of this article.
2. On or before February first, two thousand ten, and annually
thereafter, the corporation shall submit to the governor, the temporary
president of the senate and the speaker of the assembly a report
regarding the activities of the programs. Such report shall include, but
shall not be limited to, the number and type of linked loans under each
of the programs and the amount thereof; the number and type of lenders
making linked loans and of borrowers receiving linked loans; the
geographic distribution of such lenders and borrowers; as well as any
information the corporation determines useful in evaluating the benefits
of the programs.
Rules and regulations. The corporation may promulgate rules and
regulations necessary and reasonable for the operation of the programs.
ARTICLE 20 Laws Repealed; When to Take Effect
Laws repealed. Chapter fifty-eight of the laws of nineteen
hundred nine, entitled "An act in relation to state finance,
constituting chapter fifty-six of the consolidated laws," and all acts
amendatory thereof, and chapter five hundred forty-five of the laws of
nineteen hundred thirty-five, entitled "An act to protect investments of
the state by withholding apportionments of certain taxes payable to
municipalities," are hereby repealed.
When to take effect. This chapter shall take effect
immediately.