S T A T E   O F   N E W   Y O R K
       ________________________________________________________________________
           S. 6357--A                                            A. 8557--A
                             S E N A T E - A S S E M B L Y
                                   January 21, 2014
                                      ___________
       IN  SENATE -- A BUDGET BILL, submitted by the Governor pursuant to arti-
         cle seven of the Constitution -- read twice and ordered  printed,  and
         when  printed to be committed to the Committee on Finance -- committee
         discharged, bill amended, ordered reprinted as amended and recommitted
         to said committee
       IN ASSEMBLY -- A BUDGET BILL, submitted  by  the  Governor  pursuant  to
         article  seven  of  the  Constitution -- read once and referred to the
         Committee on Ways and Means --  committee  discharged,  bill  amended,
         ordered reprinted as amended and recommitted to said committee
       AN  ACT to amend the highway law and to amend chapter 329 of the laws of
         1991, amending the state finance law and other laws  relating  to  the
         establishment  of  the  dedicated  highway  and  bridge trust fund, in
         relation to the consolidated  local  street  and  highway  improvement
         program  (CHIPS), suburban highway improvement program (SHIPS), multi-
         modal and Marchiselli programs; and to repeal  certain  provisions  of
         chapter  329  of  the laws of 1991 relating thereto (Part A); to amend
         part F of chapter 56 of the laws of 2011 permitting  authorized  state
         entities   to  utilize  the  design-build  method  for  infrastructure
         projects, in relation to allowing authorized local entities to utilize
         the design-build method for infrastructure projects, and  in  relation
         to  the effectiveness thereof (Part B); to amend part U1 of chapter 62
         of the laws of 2003 amending the vehicle and  traffic  law  and  other
         laws relating to increasing certain motor vehicle transaction fees, in
         relation to the effectiveness thereof; to amend chapter 84 of the laws
         of  2002,  amending the state finance law relating to the costs of the
         department of motor vehicles, in relation to  permanently  authorizing
         payment  of department of motor vehicle costs from the dedicated high-
         way and bridge  trust  fund;  to  amend  the  transportation  law,  in
         relation  to  disposition  of  revenues;  to amend the highway law, in
         relation to disposition of fees charged  in  connection  with  outdoor
         advertising  on  highways;  and  to  amend  the  state finance law, in
         relation to the dedication of revenues and the costs of rail and truck
         regulation (Part C); to amend chapter 58 of the laws of 2013, relating
         to the hours of operation of the  department  of  motor  vehicles  and
         providing  for  the repeal of such provisions upon expiration thereof,
         in relation to the effectiveness thereof (Part D); to amend the  vehi-
        EXPLANATION--Matter in ITALICS (underscored) is new; matter in brackets
                             [ ] is old law to be omitted.
                                                                  LBD12673-02-4
       S. 6357--A                          2                         A. 8557--A
         cle  and  traffic  law  and  the state finance law, in relation to the
         authorization of the department of motor vehicles to provide the acci-
         dent prevention course internet program; to amend chapter 751  of  the
         laws  of  2005, amending the insurance law and the vehicle and traffic
         law, relating to establishing the accident prevention course  internet
         technology  pilot  program,  in relation to the effectiveness thereof;
         and to repeal certain provisions of the vehicle and traffic law relat-
         ing thereto (Part E);  to  amend  the  vehicle  and  traffic  law,  in
         relation  to  complying  with federal requirements relating to medical
         certifications of commercial driver's license  holders  (Part  F);  to
         amend the public authorities law, in relation to toll collection regu-
         lations;  to  amend the public officers law, in relation to electronic
         toll collection data;  to  amend  the  vehicle  and  traffic  law,  in
         relation   to   liability   of  vehicle  owners  for  toll  collection
         violations; to amend the penal law, in relation to theft of  services;
         and  to  amend  chapter  774 of the laws of 1950, relating to agreeing
         with the state of New Jersey with respect  to  rules  and  regulations
         governing  traffic  on vehicular crossings operated by the port of New
         York authority, in relation to tolls and other charges  (Part  G);  to
         amend  chapter  67  of  the  laws  of 1992, amending the environmental
         conservation law relating to pesticide product registration timetables
         and fees, in relation to the effective date thereof; and to amend  the
         environmental  conservation law, in relation to pesticide registration
         fees and reporting (Part H); to amend the  environmental  conservation
         law,  the penal law, the vehicle and traffic law and the general obli-
         gations law, in relation to authorizing  crossbow  hunting,  landowner
         liability, printing contracts for hunting and fishing guides, issuance
         of  distinctive  "I love New York" plates, fees and general powers and
         duties of the department of environmental conservation; and to  repeal
         subdivisions 11 and 16 of section 11-0901 of the environmental conser-
         vation  law  relating  thereto  (Part I); to amend the agriculture and
         markets law, in relation to granting, suspending or revoking  licenses
         for food processing establishments (Part J); to authorize the New York
         state  energy  research and development authority to finance a portion
         of its research, development and demonstration and policy and planning
         programs from assessments on gas and electric corporations  (Part  K);
         to  authorize and direct the New York state energy research and devel-
         opment authority to make a payment  to  the  general  fund  of  up  to
         $913,000  (Part  L);  to amend the agriculture and markets law and the
         public authorities  law,  in  relation  to  requiring  power  transfer
         switches on gas stations located within one half mile from a strategic
         upstate  highway  (Part  M);  to amend chapter 21 of the laws of 2003,
         amending the executive law relating to  permitting  the  secretary  of
         state to provide special handling for all documents filed or issued by
         the  division  of corporations and to permit additional levels of such
         expedited service, in relation to extending the expiration date there-
         of (Part N); to amend the business corporation law  and  the  not-for-
         profit  corporation  law,  in relation to the transmission of incorpo-
         ration certificates to county clerks (Part O); to amend the  executive
         law,  in  relation to the national registry fee (Part P); to authorize
         the department of health to finance certain activities  with  revenues
         generated  from  an assessment on cable television companies (Part Q);
         to amend the public  service  law,  in  relation  to  authorizing  the
         department  of public service to increase program efficiencies; and to
         repeal certain provisions of the public service law  relating  thereto
         (Part  R);  to amend the public service law, in relation to the tempo-
       S. 6357--A                          3                         A. 8557--A
         rary state energy and utility service  conservation  assessment  (Part
         S);  to amend the insurance law, in relation to unauthorized providers
         of health services and the examination of providers of health services
         (Part  T);  to  amend the insurance law, the public health law and the
         financial services law, in relation  to  establishing  protections  to
         prevent  surprise  medical  bills  including network adequacy require-
         ments, claim submission requirements, access  to  out-of-network  care
         and  prohibition of excessive emergency charges (Part U); to amend the
         insurance law, in relation to licensing title insurance agents,  clos-
         ers  and  solicitors;  grants the superintendent of financial services
         the authority to require title insurance agents, closers, and  solici-
         tor  applicants  to  submit  to  fingerprinting; and to repeal certain
         provisions of such law relating thereto (Part V); to amend chapter  58
         of  the  laws  of 2012 amending the public authorities law relating to
         authorizing the dormitory authority to enter into certain  design  and
         construction  management  agreements, in relation to extending certain
         authority of the dormitory authority of the state of  New  York  (Part
         W);  to  amend  chapter  584  of the laws of 2011, amending the public
         authorities law relating to the powers and  duties  of  the  dormitory
         authority  of  the  state of New York relative to the establishment of
         subsidiaries for certain purposes, in relation  to  the  effectiveness
         thereof  (Part X); to amend the public health law, in relation to fees
         in connection with certain health care  facility  financings;  and  to
         repeal  section  2976-a of the public authorities law relating thereto
         (Part Y); to amend the New York state  urban  development  corporation
         act,  in  relation  to  extending  certain  provisions relating to the
         empire state economic development fund (Part Z); and to amend  chapter
         393 of the laws of 1994, amending the New York state urban development
         corporation  act,  relating  to the powers of the New York state urban
         development corporation to make loans, in relation to  the  effective-
         ness thereof (Part AA)
         THE  PEOPLE OF THE STATE OF NEW YORK, REPRESENTED IN SENATE AND ASSEM-
       BLY, DO ENACT AS FOLLOWS:
    1    Section 1. This act enacts into law major  components  of  legislation
    2  which are necessary to implement the state fiscal plan for the 2014-2015
    3  state  fiscal  year.  Each  component  is wholly contained within a Part
    4  identified as Parts A through AA. The effective date for each particular
    5  provision contained within such Part is set forth in the last section of
    6  such Part. Any provision in any section contained within a Part, includ-
    7  ing the effective date of the Part, which makes a reference to a section
    8  "of this act", when used in connection with that  particular  component,
    9  shall  be  deemed  to mean and refer to the corresponding section of the
   10  Part in which it is found. Section three of  this  act  sets  forth  the
   11  general effective date of this act.
   12                                   PART A
   13    Section 1. Subdivision (d) of section 11 of chapter 329 of the laws of
   14  1991  amending  the  state  finance  law  and other laws relating to the
   15  establishment of the dedicated highway and bridge trust fund, as amended
   16  by section 4 of part A of chapter 58 of the laws of 2012, is amended  to
   17  read as follows:
       S. 6357--A                          4                         A. 8557--A
    1    (d) Any such service contract (i) shall provide that the obligation of
    2  the  director  of  the budget or the state to fund or to pay the amounts
    3  therein provided for shall not constitute a debt of the state within the
    4  meaning of any constitutional or statutory provisions in the  event  the
    5  thruway  authority assigns or pledges service contract payments as secu-
    6  rity for its bonds or notes, (ii) shall be deemed executory only to  the
    7  extent moneys are available and SHALL PROVIDE that no liability shall be
    8  incurred  by  the state beyond the moneys available for the purpose, and
    9  that such obligation is subject to annual appropriation by the  legisla-
   10  ture, and (iii) shall provide that no funds shall be made available from
   11  the  proceeds  of  bonds or notes issued pursuant to this chapter unless
   12  the commissioner of transportation has certified to the [chairman of the
   13  thruway authority] DIRECTOR OF THE BUDGET that such funds shall be  used
   14  exclusively  for  the  purposes  authorized  by  subdivision (a) of this
   15  section, and/or construction, reconstruction  or  improvement  of  local
   16  highways,  bridges and/or highway-railroad crossings, including right of
   17  way acquisition, preliminary engineering, and  construction  supervision
   18  and  inspection,  where  the service life of the project is at least ten
   19  years or where the project is:   (1) microsurfacing,  (2)  paver  placed
   20  surface  treatment,  (3)  single course surface treatment involving chip
   21  seals and oil and stone and (4) double course surface treatment  involv-
   22  ing chip seals and oil and stone, and unless [the director of the budget
   23  has  certified to the chairman of the thruway authority that] a spending
   24  plan has been submitted by the commissioner of  transportation  and  has
   25  been approved by the director of the budget.
   26    S 2. Subdivision (g) of section 15 of chapter 329 of the laws of 1991,
   27  as  added  by section 9 of chapter 330 of the laws of 1991, is REPEALED,
   28  and subdivision (f) of section 15 of chapter 329 of the  laws  of  1991,
   29  amending the state finance law and other laws relating to the establish-
   30  ment of the dedicated highway and bridge trust fund, as added by section
   31  9 of chapter 330 of the laws of 1991, is amended to read as follows:
   32    (f)  The commissioner of transportation shall certify to the [New York
   33  state thruway authority] DIRECTOR OF  THE  BUDGET  AND  THE  COMPTROLLER
   34  amounts  eligible for repayments as specified herein. Such certification
   35  shall include any such information as may be necessary to  maintain  the
   36  federal tax exempt status of bonds, notes or other obligations issued by
   37  the  New  York  state  thruway  authority pursuant to section 380 of the
   38  public authorities law.
   39    S 3. Subdivision 1 of section 80-b of the highway law, as  amended  by
   40  chapter 161 of the laws of 2008, is amended to read as follows:
   41    1.  In  connection  with  the undertaking of any project for which the
   42  commissioner is authorized to  use  moneys  of  the  federal  government
   43  pursuant  to  the provisions of subdivision thirty-four-a of section ten
   44  and section eighty of this chapter to assure the effective discharge  of
   45  state responsibilities with respect to regional transportation needs, on
   46  highways, roads, streets, bicycle paths or pedestrian paths that are not
   47  on  the state highway system, the commissioner shall submit such project
   48  to the governing body or bodies of the affected municipality or  munici-
   49  palities  together  with  estimates  of  costs  thereof. If such project
   50  includes a municipal project, as that term is defined in accordance with
   51  article thirteen of the transportation law,  the  state  share  of  such
   52  municipal  project  shall  also  be included. If such project includes a
   53  project affecting a highway, road, street, bicycle  path  or  pedestrian
   54  path  not on the state highway system, the state share shall be equal to
   55  eighty percent of the difference between the total project cost and  the
   56  federal assistance, provided, however, the commissioner may increase the
       S. 6357--A                          5                         A. 8557--A
    1  state  share to an amount equal to one hundred percent of the difference
    2  between the total project cost  and  the  federal  assistance  where  he
    3  determines  that  the  need  for  the project results substantially from
    4  actions undertaken pursuant to section ten of this chapter.  [Except for
    5  individual  projects  where  the  non-federal share of a federally aided
    6  municipal project is less than five thousand dollars, no state or  local
    7  shares  of municipal streets and highways projects shall be payable from
    8  the non-fiduciary funds of the capital projects budget  of  the  depart-
    9  ment.] No such project shall proceed without the approval of the govern-
   10  ing  body of a municipality. Such governing body may request the commis-
   11  sioner to undertake the provision of such project. If  the  commissioner
   12  agrees  to  such  undertaking  he  shall notify the local governing body
   13  which shall appropriate sufficient moneys to pay the estimated amount of
   14  the municipal share. Such moneys shall be deposited with the state comp-
   15  troller who is authorized  to  receive  and  accept  the  same  for  the
   16  purposes  of  such  project,  subject to the draft or requisition of the
   17  commissioner. When the work of such  project  has  been  completed,  the
   18  commissioner  shall render to the governing body of such municipality an
   19  itemized statement showing in full (a) the amount of money that has been
   20  deposited by such municipality with the state comptroller  as  hereinbe-
   21  fore  provided,  and (b) all disbursements made pursuant to this section
   22  for such project. Any surplus moneys shall be paid to such  municipality
   23  on  the  warrant of the comptroller on vouchers therefor approved by the
   24  commissioner. When the work of such project has been completed and it is
   25  determined by the commissioner that the amount of the cost to  be  borne
   26  by the municipality is in excess of the amount deposited by such munici-
   27  pality  with  the  state comptroller, the commissioner shall then notify
   28  the municipality of the deficiency of funds. The municipality shall then
   29  within ninety days of the receipt of such notice, pay such amount to the
   30  state comptroller. For purposes of this section, the term "municipality"
   31  shall include a city, county, town, village or two or more of the  fore-
   32  going acting jointly.
   33    S 4. Subdivision (e) of section 16 of chapter 329 of the laws of 1991,
   34  amending the state finance law and other laws relating to the establish-
   35  ment of a dedicated highway and bridge trust fund, as added by section 9
   36  of chapter 330 of the laws of 1991, is REPEALED.
   37    S  5.  Subdivision  (e)  of section 16-a of chapter 329 of the laws of
   38  1991, amending the state finance law and  other  laws  relating  to  the
   39  establishment  of a dedicated highway and bridge trust fund, as added by
   40  section 9 of chapter 330 of the laws of 1991, is REPEALED.
   41    S 6. Paragraph (a) of subdivision 5 of section  10-f  of  the  highway
   42  law,  as added by chapter 725 of the laws of 1993, is amended to read as
   43  follows:
   44    (a) Funding of municipal projects will be made  upon  the  application
   45  for  funding of prior expenditures in a format prescribed by the commis-
   46  sioner. [Funding of qualifying municipal project expenditures  shall  be
   47  made  from  the  proceeds  of  bonds,  notes or other obligations issued
   48  pursuant to section three hundred eighty of the public authorities law.]
   49  Such funding of state projects may be pursuant to agreements between the
   50  commissioner and the New York state thruway authority and  may  be  from
   51  the  proceeds  of  bonds,  notes or other obligations issued pursuant to
   52  section three hundred eighty-five of the public authorities law.
   53    S 7. Paragraph (a) of subdivision 5 of section  10-g  of  the  highway
   54  law,  as added by chapter 725 of the laws of 1993, is amended to read as
   55  follows:
       S. 6357--A                          6                         A. 8557--A
    1    (a) Funding of municipal projects will be made  upon  the  application
    2  for  funding of prior expenditures in a format prescribed by the commis-
    3  sioner. [Funding of qualifying municipal project expenditures  shall  be
    4  made  from  the  proceeds  of  bonds,  notes or other obligations issued
    5  pursuant to section three hundred eighty of the public authorities law.]
    6  Such funding of state projects may be pursuant to agreements between the
    7  commissioner  and  the  New York state thruway authority and may be from
    8  the proceeds of bonds, notes or other  obligations  issued  pursuant  to
    9  section three hundred eighty-five of the public authorities law.
   10    S 8. This act shall take effect immediately.
   11                                   PART B
   12    Section  1.  Sections  3, 4, 5, 7, 8, 10, 11, 13, 14, 15, 16 and 17 of
   13  part F of chapter 56 of the laws of  2011  permitting  authorized  state
   14  entities  to utilize the design-build method for infrastructure projects
   15  are amended to read as follows:
   16    S 3. For the purposes of this act:
   17    (a) "authorized state entity" shall mean the New  York  state  thruway
   18  authority, the department of transportation, the office of parks, recre-
   19  ation and historic preservation, the department of environmental conser-
   20  vation and the New York state bridge authority.
   21    (b)  "best  value"  shall  mean  the  basis for awarding contracts for
   22  services to the offerer that  optimize  quality,  cost  and  efficiency,
   23  price  and  performance  criteria, which may include, but is not limited
   24  to:
   25    1. The quality of the contractor's performance on previous projects;
   26    2.  The  timeliness  of  the  contractor's  performance  on   previous
   27  projects;
   28    3.  The  level of customer satisfaction with the contractor's perform-
   29  ance on previous projects;
   30    4. The contractor's record of performing previous projects  on  budget
   31  and ability to minimize cost overruns;
   32    5. The contractor's ability to limit change orders;
   33    6. The contractor's ability to prepare appropriate project plans;
   34    7. The contractor's technical capacities;
   35    8. The individual qualifications of the contractor's key personnel;
   36    9.  The  contractor's  ability  to assess and manage risk and minimize
   37  risk impact; and
   38    10. The contractor's past record of compliance with  article  15-A  of
   39  the executive law.
   40    Such  basis  shall reflect, wherever possible, objective and quantifi-
   41  able analysis.
   42    (c) "capital project" shall have the same  meaning  as  such  term  is
   43  defined by subdivision 2-a of section 2 of the state finance law.
   44    (d)  "cost  plus" shall mean compensating a contractor for the cost to
   45  complete a contract by reimbursing actual costs for labor, equipment and
   46  materials plus an additional amount for overhead and profit.
   47    (e) "design-build contract" shall mean a contract for the  design  and
   48  construction  of  a capital project with a single entity, which may be a
   49  team comprised of separate entities.
   50    (f) "procurement record" means documentation of the decisions made and
   51  the approach taken in the procurement process.
   52    (G) "AUTHORIZED LOCAL ENTITY" SHALL MEAN ANY  CITY,  TOWN  OR  VILLAGE
   53  WITH A POPULATION OF MORE THAN FIFTY THOUSAND, OR ANY COUNTY.
       S. 6357--A                          7                         A. 8557--A
    1    S  4. Notwithstanding the provisions of section 38 of the highway law,
    2  section 136-a of the state  finance  law,  section  359  of  the  public
    3  authorities  law,  section 7210 of the education law, SECTION 103 OF THE
    4  GENERAL MUNICIPAL LAW, and the  provisions  of  any  other  law  to  the
    5  contrary,  and  in  conformity  with  the  requirements  of this act, an
    6  authorized state OR LOCAL entity may utilize  the  alternative  delivery
    7  method  referred  to  as  design-build  contracts  for  capital projects
    8  related to  the  state's  OR  LOCAL  ENTITY'S  physical  infrastructure,
    9  including,  but  not limited to, the state's OR LOCAL ENTITY'S highways,
   10  bridges, dams, flood control projects, canals, and parks, including, but
   11  not limited to, to repair damage caused by natural disaster, to  correct
   12  health and safety defects, to comply with federal and state laws, stand-
   13  ards,  and  regulations,  to  extend  the  useful life of or replace the
   14  state's  OR  LOCAL  ENTITY'S  highways,  bridges,  dams,  flood  control
   15  projects, canals, and parks or to improve or add to the state's OR LOCAL
   16  ENTITY'S  highways,  bridges,  dams, flood control projects, canals, and
   17  parks; provided that for the contracts executed  by  the  department  of
   18  transportation,  the  office of parks, recreation and historic preserva-
   19  tion, or the department of environmental conservation, OR BY  ANY  LOCAL
   20  ENTITY,  the  total cost of each such project shall not be less than one
   21  million two hundred thousand dollars ($1,200,000); AND FURTHER  PROVIDED
   22  THAT  AUTHORIZED  LOCAL  ENTITIES  MAY  UTILIZE THE ALTERNATIVE DELIVERY
   23  METHOD REFERRED TO AS DESIGN-BUILD CONTRACTS ONLY FOR  CAPITAL  PROJECTS
   24  THAT ARE NOT SUBJECT TO SECTION 101 OF THE GENERAL MUNICIPAL LAW.
   25    S  5.  An  entity  selected  by an authorized state OR LOCAL entity to
   26  enter into a design-build contract shall be selected through a  two-step
   27  method, as follows:
   28    (a)  Step one. Generation of a list of entities that have demonstrated
   29  the general capability to perform the design-build contract.  Such  list
   30  shall  consist  of  a  specified number of entities, as determined by an
   31  authorized state OR LOCAL entity, and shall be generated based upon  the
   32  authorized  state  OR  LOCAL  entity's review of responses to a publicly
   33  advertised request for qualifications. The  authorized  state  OR  LOCAL
   34  entity's  request for qualifications shall include a general description
   35  of the project, the maximum number of entities to  be  included  on  the
   36  list, and the selection criteria to be used in generating the list. Such
   37  selection  criteria  shall  include the qualifications and experience of
   38  the design and construction team, organization,  demonstrated  responsi-
   39  bility,  ability  of  the  team or of a member or members of the team to
   40  comply with applicable requirements, including the provisions  of  arti-
   41  cles  145,  147  and 148 of the education law, past record of compliance
   42  with the labor law, and such other qualifications the  authorized  state
   43  OR  LOCAL entity deems appropriate which may include but are not limited
   44  to project  understanding,  financial  capability  and  record  of  past
   45  performance.  The  authorized  state  OR LOCAL entity shall evaluate and
   46  rate all entities responding to the request for qualifications.    Based
   47  upon  such  ratings, the authorized state OR LOCAL entity shall list the
   48  entities that shall receive a request for proposals in  accordance  with
   49  subdivision (b) of this section.  To the extent consistent with applica-
   50  ble federal law, the authorized state entity shall consider, when award-
   51  ing  any  contract  pursuant  to this section, the participation of: (i)
   52  firms certified pursuant to article 15-A of the executive law as minori-
   53  ty or women-owned businesses and the ability of other  businesses  under
   54  consideration  to work with minority and women-owned businesses so as to
   55  promote and assist participation by  such  businesses;  and  (ii)  small
       S. 6357--A                          8                         A. 8557--A
    1  business  concerns  identified  pursuant  to  subdivision (b) of section
    2  139-g of the state finance law.
    3    (b) Step two. Selection of the proposal which is the best value to the
    4  state  OR LOCAL ENTITY. The authorized state OR LOCAL entity shall issue
    5  a request for proposals to the entities listed pursuant  to  subdivision
    6  (a)  of  this section.  If such an entity consists of a team of separate
    7  entities, the entities that comprise such a team must  remain  unchanged
    8  from  the  entity  as listed pursuant to subdivision (a) of this section
    9  unless otherwise approved by the authorized state OR LOCAL  entity.  The
   10  request  for  proposals shall set forth the project's scope of work, and
   11  other requirements, as determined by the authorized state OR LOCAL enti-
   12  ty.  The request for proposals shall specify the criteria to be used  to
   13  evaluate  the  responses  and the relative weight of each such criteria.
   14  Such criteria shall include the proposal's  cost,  the  quality  of  the
   15  proposal's  solution,  the  qualifications and experience of the design-
   16  build entity, and other factors deemed pertinent by the authorized state
   17  OR LOCAL entity, which may include, but shall not  be  limited  to,  the
   18  proposal's  project  implementation,  ability  to complete the work in a
   19  timely and satisfactory  manner,  maintenance  costs  of  the  completed
   20  project,  maintenance  of  traffic  approach,  and community impact. Any
   21  contract awarded pursuant to this act shall be awarded to  a  responsive
   22  and  responsible  entity  that submits the proposal, which, in consider-
   23  ation of these and other specified  criteria  deemed  pertinent  to  the
   24  project,  offers  the best value to the state OR LOCAL ENTITY, as deter-
   25  mined by the authorized state OR LOCAL entity. Nothing herein  shall  be
   26  construed  to  prohibit  the  authorized  entity  from negotiating final
   27  contract terms and conditions including cost.
   28    S 7. Construction for each capital project undertaken by  the  author-
   29  ized  state  OR  LOCAL  entity  pursuant  to  this act shall be deemed a
   30  "public work" to be performed in accordance with the provisions of arti-
   31  cle 8 of the labor law, as well as subject to sections 200, 240, 241 and
   32  242 of the labor law and enforcement of prevailing wage requirements  by
   33  the New York state department of labor.
   34    S  8.  If  otherwise  applicable,  capital  projects undertaken by the
   35  authorized state OR LOCAL entity pursuant to this act shall  be  subject
   36  to  section  135  of  the state finance law and section 222 of the labor
   37  law.
   38    S 10. Capital projects undertaken by the  authorized  state  OR  LOCAL
   39  entity  pursuant  to  this  act  shall be subject to the requirements of
   40  article eight of the environmental conservation law, and, where applica-
   41  ble, the requirements of the national environmental policy act.
   42    S 11.  If otherwise applicable, capital  projects  undertaken  by  the
   43  authorized  state  entity  pursuant  to  this  act  shall be governed by
   44  sections 139-d, 139-j, 139-k, paragraph f of subdivision 1 and paragraph
   45  g of subdivision 9 of section 163 of the state finance law, AND  CAPITAL
   46  PROJECTS  UNDERTAKEN BY THE AUTHORIZED LOCAL ENTITY PURSUANT TO THIS ACT
   47  SHALL BE GOVERNED BY SECTION 103-D OF THE GENERAL MUNICIPAL LAW.
   48    S 13. Nothing contained in this act shall limit  the  right  or  obli-
   49  gation  of  the  authorized  state  OR  LOCAL  entity to comply with the
   50  provisions of any existing contract,  including  any  existing  contract
   51  with or for the benefit of the holders of the obligations of the author-
   52  ized  state OR LOCAL entity, or to award contracts as otherwise provided
   53  by law.
   54    S 14. Alternative construction awarding processes.  (i)  Notwithstand-
   55  ing  the  provisions  of  any  other law to the contrary, the authorized
   56  state OR LOCAL entity may award a construction contract:
       S. 6357--A                          9                         A. 8557--A
    1    1. To the contractor offering the best value; or
    2    2.  Utilizing  a cost-plus not to exceed guaranteed maximum price form
    3  of contract in which the authorized state OR LOCAL entity shall be enti-
    4  tled to monitor and audit all project costs. In establishing the  sched-
    5  ule and process for determining a guaranteed maximum price, the contract
    6  between the authorized state OR LOCAL entity and the contractor shall:
    7    (a)  describe  the  scope  of the work and the cost of performing such
    8  work;
    9    (b) include a detailed line item cost breakdown;
   10    (c) include a list of all drawings, specifications and other  informa-
   11  tion on which the guaranteed maximum price is based;
   12    (d)  include  the  dates for substantial and final completion on which
   13  the guaranteed maximum price is based; and
   14    (e) include a schedule of unit prices; or
   15    3. Utilizing a lump sum contract in which  the  contractor  agrees  to
   16  accept  a  set dollar amount for a contract which comprises a single bid
   17  without providing a cost breakdown for all costs such as for  equipment,
   18  labor, materials, as well as such contractor's profit for completing all
   19  items of work comprising the project.
   20    (ii) Capital projects undertaken by an authorized state OR LOCAL enti-
   21  ty  may include an incentive clause in the contract for various perform-
   22  ance objectives, but the incentive clause shall not include an incentive
   23  that exceeds the quantifiable value of the benefit received by the state
   24  OR LOCAL ENTITY. The authorized state OR LOCAL  entity  shall  establish
   25  such performance and payment bonds as it deems necessary.
   26    S   15.   Prequalified  contractors.  (a)  Notwithstanding  any  other
   27  provision of law, the authorized state OR LOCAL entity  may  maintain  a
   28  list  of  prequalified contractors who are eligible to submit a proposal
   29  pursuant to this act and entry into  such  list  shall  be  continuously
   30  available. Prospective contractors may be prequalified as contractors to
   31  provide  particular  types  of  construction, in accordance with general
   32  criteria established by the authorized state OR LOCAL entity  which  may
   33  include,  but shall not be limited to, the experience, past performance,
   34  ability to undertake the type and complexity of work, financial capabil-
   35  ity,  responsibility,  compliance  with  equal  employment   opportunity
   36  requirements   and   anti-discrimination  laws,  and  reliability.  Such
   37  prequalification may  be  by  categories  designed  by  size  and  other
   38  factors.
   39    (b) A contractor who is denied prequalification or whose prequalifica-
   40  tion is revoked or suspended by the authorized state OR LOCAL entity may
   41  appeal  such  decision to the authorized state entity. If such a suspen-
   42  sion extends for more than three months, it shall be deemed a revocation
   43  of the prequalification.  The  authorized  state  OR  LOCAL  entity  may
   44  proceed with the contract award during any appeal.
   45    S  16.  Nothing  in  this act shall affect existing powers of New York
   46  state public entities OR  LOCAL  ENTITIES  to  use  alternative  project
   47  delivery methods.
   48    S  17. This act shall take effect immediately [and shall expire and be
   49  deemed repealed 3 years after such date, provided  that,  projects  with
   50  requests for qualifications issued prior to such repeal shall be permit-
   51  ted to continue under this act notwithstanding such repeal].
   52    S 2. This act shall take effect immediately.
   53                                   PART C
       S. 6357--A                         10                         A. 8557--A
    1    Section  1.    Section 13 of part U1 of chapter 62 of the laws of 2003
    2  amending the vehicle and traffic law and other laws relating to increas-
    3  ing certain motor vehicle transaction fees, as amended by section  2  of
    4  part B of chapter 58 of the laws of 2013, is amended to read as follows:
    5    S  13.  This  act shall take effect immediately; provided however that
    6  sections one through seven of this act, the amendments to subdivision  2
    7  of  section  205  of  the tax law made by section eight of this act, and
    8  section nine of this act shall expire and be deemed repealed  on  [March
    9  31]  APRIL  1,  2015;  provided further, however, that the amendments to
   10  subdivision 3 of section 205 of the tax law made  by  section  eight  of
   11  this act shall expire and be deemed repealed on March 31, 2018; provided
   12  further,  however,  that  the  provisions  of section eleven of this act
   13  shall take effect April 1, 2004 and shall expire and be deemed  repealed
   14  on [March 31] APRIL 1, 2015.
   15    S  2.  Section 2 of part B of chapter 84 of the laws of 2002, amending
   16  the state finance law relating to the costs of the department  of  motor
   17  vehicles, as amended by section 1 of part E of chapter 59 of the laws of
   18  2009, is amended to read as follows:
   19    S  2.  This act shall take effect April 1, 2002; provided, however, if
   20  this act shall become a law after such date it shall take  effect  imme-
   21  diately and shall be deemed to have been in full force and effect on and
   22  after  April  1,  2002;  provided  further, however, that this act shall
   23  expire and be deemed repealed on [March 31] APRIL 1, 2015.
   24    S 3. Subdivision 4 of section 94 of the transportation law, as amended
   25  by section 1 of part D of chapter 101 of the laws of 2001, is amended to
   26  read as follows:
   27    4. All fees charged and collected by the commissioner hereunder  shall
   28  be deposited [to the miscellaneous special revenue fund - transportation
   29  regulation  account for the purposes established in this section] BY THE
   30  COMPTROLLER INTO THE SPECIAL OBLIGATION RESERVE AND PAYMENT  ACCOUNT  OF
   31  THE  DEDICATED  HIGHWAY  AND  BRIDGE  TRUST FUND ESTABLISHED PURSUANT TO
   32  SECTION EIGHTY-NINE-B OF THE STATE FINANCE LAW.
   33    S 4. Subdivision 4 of section 135 of the transportation law, as  added
   34  by chapter 166 of the laws of 1991, is amended to read as follows:
   35    4.  All revenues collected pursuant to this section shall be deposited
   36  [to the  miscellaneous  special  revenue  fund--rail  safety  inspection
   37  account]  BY  THE  COMPTROLLER  INTO  THE SPECIAL OBLIGATION RESERVE AND
   38  PAYMENT ACCOUNT OF THE DEDICATED HIGHWAY AND BRIDGE  TRUST  FUND  ESTAB-
   39  LISHED  PURSUANT  TO  SECTION EIGHTY-NINE-B OF THE STATE FINANCE LAW for
   40  the purposes established in this section.  Fees will be based on  reven-
   41  ues  from the preceding calendar year and shall be assessed on or before
   42  July first and are payable by September first of each year. On or before
   43  January first of each year following assessment of fees pursuant to this
   44  section, the commissioner shall report to the railroad companies  annual
   45  costs associated with this assessment.
   46    S  5. Subdivision 5 of section 144 of the transportation law, as added
   47  by chapter 635 of the laws of 1983, is amended to read as follows:
   48    5. For furnishing a certification of any  paper,  record  or  official
   49  document,  one  dollar. No fees shall be charged or collected for copies
   50  of papers, records or official documents, furnished to  public  officers
   51  for  use  in  their  official capacity, or for the annual reports of the
   52  commissioner in the ordinary course of distribution, but the commission-
   53  er may fix reasonable charges for copies of  papers,  records,  official
   54  documents  and  other  publications  furnished or issued to others under
   55  this authority. All fees  charged  and  collected  by  the  commissioner
   56  [shall  belong  to  the  people  of the state and shall be paid monthly,
       S. 6357--A                         11                         A. 8557--A
    1  accompanied by a detailed statement thereof, into the  treasury  of  the
    2  state  to the credit of the general fund] PURSUANT TO THIS SECTION SHALL
    3  BE DEPOSITED BY THE COMPTROLLER INTO THE SPECIAL OBLIGATION RESERVE  AND
    4  PAYMENT  ACCOUNT  OF  THE DEDICATED HIGHWAY AND BRIDGE TRUST FUND ESTAB-
    5  LISHED PURSUANT TO SECTION EIGHTY-NINE-B OF THE STATE FINANCE LAW.
    6    S 6. Section 145 of the transportation law is amended by adding a  new
    7  subdivision 8 to read as follows:
    8    8. ALL PENALTIES CHARGED AND COLLECTED BY THE COMMISSIONER PURSUANT TO
    9  THIS  SECTION  SHALL  BE  DEPOSITED  BY THE COMPTROLLER INTO THE SPECIAL
   10  OBLIGATION RESERVE AND PAYMENT ACCOUNT  OF  THE  DEDICATED  HIGHWAY  AND
   11  BRIDGE  TRUST  FUND  ESTABLISHED PURSUANT TO SECTION EIGHT-NINE-B OF THE
   12  STATE FINANCE LAW.
   13    S 7. Section 88 of the highway law is amended by adding a new subdivi-
   14  sion 13 to read as follows:
   15    13. ALL FEES COLLECTED BY THE COMMISSIONER PURSUANT  TO  THIS  SECTION
   16  SHALL  BE  DEPOSITED  BY  THE  COMPTROLLER  INTO  THE SPECIAL OBLIGATION
   17  RESERVE AND PAYMENT ACCOUNT OF THE DEDICATED HIGHWAY  AND  BRIDGE  TRUST
   18  FUND  ESTABLISHED PURSUANT TO SECTION EIGHTY-NINE-B OF THE STATE FINANCE
   19  LAW.
   20    S 8. Paragraph (a) of subdivision 3  of  section  89-b  of  the  state
   21  finance law, as amended by section 2 of part B of chapter 58 of the laws
   22  of 2012, is amended to read as follows:
   23    (a)  The  special obligation reserve and payment account shall consist
   24  (i) of all moneys required to be deposited in the dedicated highway  and
   25  bridge  trust  fund  pursuant  to the provisions of sections two hundred
   26  five, two hundred  eighty-nine-e,  three  hundred  one-j,  five  hundred
   27  fifteen  and  eleven  hundred  sixty-seven  of the tax law, section four
   28  hundred one of the vehicle and traffic law, and  section  thirty-one  of
   29  chapter fifty-six of the laws of nineteen hundred ninety-three, (ii) all
   30  fees, fines or penalties collected by the commissioner of transportation
   31  pursuant  to  section  fifty-two, section three hundred twenty-six, [and
   32  subdivisions five, eight and twelve  of]  section  eighty-eight  of  the
   33  highway law, subdivision fifteen of section three hundred eighty-five of
   34  the  vehicle  and traffic law, section two of the chapter of the laws of
   35  two thousand three that  amended  this  paragraph,  subdivision  (d)  of
   36  section  three  hundred  four-a,  paragraph  one  of subdivision (a) and
   37  subdivision (d) of section three  hundred  five,  subdivision  six-a  of
   38  section  four  hundred fifteen and subdivision (g) of section twenty-one
   39  hundred twenty-five of the vehicle and traffic law, section  fifteen  of
   40  this  chapter,  excepting  moneys deposited with the state on account of
   41  betterments performed pursuant to subdivision twenty-seven  or  subdivi-
   42  sion  thirty-five  of section ten of the highway law, AND SECTIONS NINE-
   43  TY-FOUR, ONE HUNDRED THIRTY-FIVE, ONE HUNDRED FORTY-FOUR AND ONE HUNDRED
   44  FORTY-FIVE OF THE TRANSPORTATION LAW, (iii) any moneys collected by  the
   45  department  of  transportation  for services provided pursuant to agree-
   46  ments entered into in  accordance  with  section  ninety-nine-r  of  the
   47  general  municipal  law, and (iv) any other moneys collected therefor or
   48  credited or transferred thereto from any other fund, account or source.
   49    S 9. Paragraph (a) of subdivision 3  of  section  89-b  of  the  state
   50  finance law, as amended by section 3 of part B of chapter 58 of the laws
   51  of 2012, is amended to read as follows:
   52    (a)  The  special obligation reserve and payment account shall consist
   53  (i) of all moneys required to be deposited in the dedicated highway  and
   54  bridge  trust  fund  pursuant  to the provisions of sections two hundred
   55  eighty-nine-e, three hundred one-j,  five  hundred  fifteen  and  eleven
   56  hundred  sixty-seven  of  the  tax  law, section four hundred one of the
       S. 6357--A                         12                         A. 8557--A
    1  vehicle and traffic law, and section thirty-one of chapter fifty-six  of
    2  the  laws  of  nineteen  hundred  ninety-three,  (ii) all fees, fines or
    3  penalties collected by the commissioner of  transportation  pursuant  to
    4  section  fifty-two,  section three hundred twenty-six, [and subdivisions
    5  five, eight and twelve of] section  eighty-eight  of  the  highway  law,
    6  subdivision  fifteen of section three hundred eighty-five of the vehicle
    7  and traffic law, section  fifteen  of  this  chapter,  excepting  moneys
    8  deposited with the state on account of betterments performed pursuant to
    9  subdivision  twenty-seven  or  subdivision thirty-five of section ten of
   10  the highway law, AND SECTIONS NINETY-FOUR, ONE HUNDRED THIRTY-FIVE,  ONE
   11  HUNDRED  FORTY-FOUR AND ONE HUNDRED FORTY-FIVE OF THE TRANSPORTATION LAW
   12  (iii) any moneys collected  by  the  department  of  transportation  for
   13  services provided pursuant to agreements entered into in accordance with
   14  section  ninety-nine-r  of the general municipal law, and (iv) any other
   15  moneys collected therefor or credited or transferred  thereto  from  any
   16  other fund, account or source.
   17    S  10.  Paragraph  a  of  subdivision  5  of section 89-b of the state
   18  finance law, as amended by section 60 of part HH of chapter  57  of  the
   19  laws of 2013, is amended to read as follows:
   20    a.  Moneys  in  the  dedicated  highway  and  bridge trust fund shall,
   21  following appropriation by the legislature, be  utilized  for:    recon-
   22  struction,  replacement, reconditioning, restoration, rehabilitation and
   23  preservation of state, county, town, city and village  roads,  highways,
   24  parkways,  and  bridges  thereon,  to  restore  such facilities to their
   25  intended  functions;  construction,  reconstruction,   enhancement   and
   26  improvement  of  state, county, town, city, and village roads, highways,
   27  parkways, and bridges thereon, to address current and projected capacity
   28  problems including costs for  traffic  mitigation  activities;  aviation
   29  projects authorized pursuant to section fourteen-j of the transportation
   30  law  and  for payments to the general debt service fund of amounts equal
   31  to amounts required for service contract payments  related  to  aviation
   32  projects  as provided and authorized by section three hundred eighty-six
   33  of the public authorities law; programs to assist small and minority and
   34  women-owned firms engaged  in  transportation  construction  and  recon-
   35  struction  projects,  including  a  revolving  fund  for working capital
   36  loans, and a bonding guarantee assistance  program  in  accordance  with
   37  provisions of this chapter; matching federal grants or apportionments to
   38  the state for highway, parkway and bridge capital projects; the acquisi-
   39  tion  of  real property and interests therein required or expected to be
   40  required in connection with such projects; preventive maintenance activ-
   41  ities necessary to ensure that highways, parkways and  bridges  meet  or
   42  exceed their optimum useful life; expenses of control of snow and ice on
   43  state  highways  by  the  department of transportation including but not
   44  limited to personal services, nonpersonal services and fringe  benefits,
   45  payment  of  emergency aid for control of snow and ice in municipalities
   46  pursuant to section fifty-five of the highway law, expenses  of  control
   47  of  snow and ice on state highways by municipalities pursuant to section
   48  twelve of the highway law, and  for  expenses  of  arterial  maintenance
   49  agreements  with  cities pursuant to section three hundred forty-nine of
   50  the highway law; personal services,  NONPERSONAL  SERVICES,  and  fringe
   51  benefit  costs  of  the  department  of  transportation  for  bus safety
   52  inspection activities, RAIL  SAFETY  INSPECTION  ACTIVITIES,  AND  TRUCK
   53  SAFETY INSPECTION ACTIVITIES; costs of the department of motor vehicles,
   54  including but not limited to personal and nonpersonal services; costs of
   55  engineering and administrative services of the department of transporta-
   56  tion,  including  but  not  limited  to  fringe  benefits;  the contract
       S. 6357--A                         13                         A. 8557--A
    1  services provided by private firms in accordance with  section  fourteen
    2  of  the  transportation law; personal services and nonpersonal services,
    3  for activities including but not limited to the preparation of  designs,
    4  plans,  specifications and estimates; construction management and super-
    5  vision activities; costs of appraisals, surveys,  testing  and  environ-
    6  mental  impact  statements  for  transportation  projects;  expenses  in
    7  connection with buildings, equipment, materials and facilities  used  or
    8  useful  in  connection  with  the  maintenance, operation, and repair of
    9  highways,  parkways  and  bridges  thereon;  and  project   costs   for:
   10  construction,  reconstruction, improvement, reconditioning and preserva-
   11  tion of rail freight facilities and intercity rail passenger  facilities
   12  and equipment; construction, reconstruction, improvement, reconditioning
   13  and   preservation  of  state,  municipal  and  privately  owned  ports;
   14  construction, reconstruction, improvement, reconditioning and  preserva-
   15  tion  of municipal airports; privately owned airports and aviation capi-
   16  tal facilities, excluding airports operated by the state or operated  by
   17  a bi-state municipal corporate instrumentality for which federal funding
   18  is  not  available  provided  the project is consistent with an approved
   19  airport layout  plan;  and  construction,  reconstruction,  enhancement,
   20  improvement,  replacement,  reconditioning,  restoration, rehabilitation
   21  and preservation of state, county, town, city and village  roads,  high-
   22  ways,  parkways  and bridges; and construction, reconstruction, improve-
   23  ment, reconditioning and  preservation  of  fixed  ferry  facilities  of
   24  municipal  and  privately owned ferry lines for transportation purposes,
   25  and the payment of debt service required on any bonds,  notes  or  other
   26  obligations  and  related  expenses  for  highway,  parkway,  bridge and
   27  project costs for: construction, reconstruction,  improvement,  recondi-
   28  tioning  and  preservation of rail freight facilities and intercity rail
   29  passenger  facilities  and  equipment;   construction,   reconstruction,
   30  improvement,  reconditioning  and  preservation  of state, municipal and
   31  privately owned ports; construction, reconstruction, improvement, recon-
   32  ditioning  and  preservation  of  municipal  airports;  privately  owned
   33  airports and aviation capital facilities, excluding airports operated by
   34  the  state or operated by a bi-state municipal corporate instrumentality
   35  for which federal funding is  not  available  provided  the  project  is
   36  consistent  with  an  approved airport layout plan; construction, recon-
   37  struction, enhancement, improvement, replacement, reconditioning, resto-
   38  ration, rehabilitation and preservation of state, county, town, city and
   39  village roads, highways, parkways and bridges; and construction,  recon-
   40  struction,  improvement,  reconditioning and preservation of fixed ferry
   41  facilities of municipal and privately owned ferry lines for  transporta-
   42  tion  purposes,  purposes  authorized  on or after the effective date of
   43  this section. Beginning with disbursements made on and after  the  first
   44  day  of  April, nineteen hundred ninety-three, moneys in such fund shall
   45  be available to pay such costs or expenses made  pursuant  to  appropri-
   46  ations or reappropriations made during the state fiscal year which began
   47  on  the first of April, nineteen hundred ninety-two. Beginning the first
   48  day of April, nineteen hundred ninety-three, moneys in such  fund  shall
   49  also  be  used  for  transfers  to the general debt service fund and the
   50  revenue bond tax fund of amounts equal to that respectively required for
   51  service contract  and  financing  agreement  payments  as  provided  and
   52  authorized  by  section  three  hundred eighty of the public authorities
   53  law, section eleven of chapter three hundred twenty-nine of the laws  of
   54  nineteen  hundred ninety-one, as amended, and sections sixty-eight-c and
   55  sixty-nine-o of this chapter.
       S. 6357--A                         14                         A. 8557--A
    1    S 11. Paragraph a of subdivision  5  of  section  89-b  of  the  state
    2  finance  law, as amended by section 60-a of part HH of chapter 57 of the
    3  laws of 2013, is amended to read as follows:
    4    a.  Moneys  in  the  dedicated  highway  and  bridge trust fund shall,
    5  following appropriation by the legislature, be  utilized  for:    recon-
    6  struction,  replacement, reconditioning, restoration, rehabilitation and
    7  preservation of state, county, town, city and village  roads,  highways,
    8  parkways,  and  bridges  thereon,  to  restore  such facilities to their
    9  intended  functions;  construction,  reconstruction,   enhancement   and
   10  improvement  of  state, county, town, city, and village roads, highways,
   11  parkways, and bridges thereon, to address current and projected capacity
   12  problems including costs for  traffic  mitigation  activities;  aviation
   13  projects authorized pursuant to section fourteen-j of the transportation
   14  law  and  for payments to the general debt service fund of amounts equal
   15  to amounts required for service contract payments  related  to  aviation
   16  projects  as provided and authorized by section three hundred eighty-six
   17  of the public authorities law; programs to assist small and minority and
   18  women-owned firms engaged  in  transportation  construction  and  recon-
   19  struction  projects,  including  a  revolving  fund  for working capital
   20  loans, and a bonding guarantee assistance  program  in  accordance  with
   21  provisions of this chapter; matching federal grants or apportionments to
   22  the state for highway, parkway and bridge capital projects; the acquisi-
   23  tion  of  real property and interests therein required or expected to be
   24  required in connection with such projects; preventive maintenance activ-
   25  ities necessary to ensure that highways, parkways and  bridges  meet  or
   26  exceed their optimum useful life; expenses of control of snow and ice on
   27  state  highways  by  the  department of transportation including but not
   28  limited to personal services, nonpersonal services and fringe  benefits,
   29  payment  of  emergency aid for control of snow and ice in municipalities
   30  pursuant to section fifty-five of the highway law, expenses  of  control
   31  of  snow and ice on state highways by municipalities pursuant to section
   32  twelve of the highway law, and  for  expenses  of  arterial  maintenance
   33  agreements  with  cities pursuant to section three hundred forty-nine of
   34  the highway law; personal services,  NONPERSONAL  SERVICES,  and  fringe
   35  benefit  costs  of  the  department  of  transportation  for  bus safety
   36  inspection activities, RAIL  SAFETY  INSPECTION  ACTIVITIES,  AND  TRUCK
   37  SAFETY  INSPECTION  ACTIVITIES;  costs of engineering and administrative
   38  services of the department of transportation, including but not  limited
   39  to  fringe  benefits; the contract services provided by private firms in
   40  accordance with section fourteen of  the  transportation  law;  personal
   41  services  and  nonpersonal  services,  for  activities including but not
   42  limited to the preparation of designs, plans, specifications  and  esti-
   43  mates;  construction  management  and  supervision  activities; costs of
   44  appraisals, surveys, testing and  environmental  impact  statements  for
   45  transportation  projects;  expenses in connection with buildings, equip-
   46  ment, materials and facilities used or useful  in  connection  with  the
   47  maintenance,  operation,  and  repair  of highways, parkways and bridges
   48  thereon; and project costs for:  construction, reconstruction,  improve-
   49  ment,  reconditioning  and  preservation  of rail freight facilities and
   50  intercity rail passenger facilities and equipment; construction,  recon-
   51  struction, improvement, reconditioning and preservation of state, munic-
   52  ipal  and  privately owned ports; construction, reconstruction, improve-
   53  ment, reconditioning and preservation of municipal  airports;  privately
   54  owned airports and aviation capital facilities, excluding airports oper-
   55  ated  by the state or operated by a bi-state municipal corporate instru-
   56  mentality for which  federal  funding  is  not  available  provided  the
       S. 6357--A                         15                         A. 8557--A
    1  project  is  consistent  with  an  approved  airport  layout  plan;  and
    2  construction,  reconstruction,  enhancement,  improvement,  replacement,
    3  reconditioning,  restoration,  rehabilitation and preservation of state,
    4  county,  town,  city  and village roads, highways, parkways and bridges;
    5  and construction, reconstruction, improvement, reconditioning and  pres-
    6  ervation  of  fixed  ferry  facilities  of municipal and privately owned
    7  ferry lines for transportation purposes, and the payment of debt service
    8  required on any bonds, notes or other obligations and  related  expenses
    9  for highway, parkway, bridge and project costs for: construction, recon-
   10  struction,  improvement, reconditioning and preservation of rail freight
   11  facilities  and  intercity  rail  passenger  facilities  and  equipment;
   12  construction,  reconstruction, improvement, reconditioning and preserva-
   13  tion of state, municipal and privately owned ports; construction, recon-
   14  struction, improvement, reconditioning  and  preservation  of  municipal
   15  airports;  privately  owned  airports  and  aviation capital facilities,
   16  excluding airports operated by the  state  or  operated  by  a  bi-state
   17  municipal  corporate  instrumentality  for  which federal funding is not
   18  available provided the project is consistent with  an  approved  airport
   19  layout  plan;  construction,  reconstruction,  enhancement, improvement,
   20  replacement, reconditioning, restoration, rehabilitation  and  preserva-
   21  tion  of state, county, town, city and village roads, highways, parkways
   22  and bridges; and construction, reconstruction, improvement, recondition-
   23  ing and preservation of fixed ferry facilities of municipal and private-
   24  ly owned ferry lines for transportation purposes, purposes authorized on
   25  or after the effective date of this section.  Beginning  with  disburse-
   26  ments  made  on and after the first day of April, nineteen hundred nine-
   27  ty-three, moneys in such fund shall be available to pay  such  costs  or
   28  expenses made pursuant to appropriations or reappropriations made during
   29  the  state  fiscal  year  which  began  on  the first of April, nineteen
   30  hundred ninety-two. Beginning the first day of April,  nineteen  hundred
   31  ninety-three,  moneys  in  such fund shall also be used for transfers to
   32  the general debt service fund and the revenue bond tax fund  of  amounts
   33  equal  to  that respectively required for service contract and financing
   34  agreement payments as provided and authorized by section  three  hundred
   35  eighty  of  the  public authorities law, section eleven of chapter three
   36  hundred twenty-nine of the  laws  of  nineteen  hundred  ninety-one,  as
   37  amended, and sections sixty-eight-c and sixty-nine-o of this chapter.
   38    S  12.    This  act  shall  take effect immediately, provided that the
   39  amendments to paragraph (a) of subdivision 3  of  section  89-b  of  the
   40  state  finance law made by section eight of this act shall be subject to
   41  the expiration and reversion of such paragraph pursuant to section 13 of
   42  part U1 of chapter 62 of the laws of 2003, as amended,  when  upon  such
   43  date  the  provisions of section nine of this act shall take effect; and
   44  provided further that the amendments to paragraph a of subdivision 5  of
   45  section  89-b  of  the state finance law made by section ten of this act
   46  shall be subject to the  expiration  and  reversion  of  such  paragraph
   47  pursuant  to  section  2 of part B of chapter 84 of the laws of 2002, as
   48  amended, when upon such date the provisions of section  eleven  of  this
   49  act shall take effect.
   50                                   PART D
   51    Section  1.  Section  2  of  part D of chapter 58 of the laws of 2013,
   52  relating to the hours of operation of the department of  motor  vehicles
   53  and providing for the repeal of such provisions upon expiration thereof,
   54  is amended to read as follows:
       S. 6357--A                         16                         A. 8557--A
    1    S  2.  This act shall take effect immediately [and shall expire and be
    2  deemed repealed two years after such date].
    3    S 2. This act shall take effect immediately.
    4                                   PART E
    5    Section  1.  The  article  heading  of article 12-C of the vehicle and
    6  traffic law, as added by chapter 751 of the laws of 2005, is amended  to
    7  read as follows:
    8                  ACCIDENT PREVENTION COURSE INTERNET, AND
    9                      OTHER TECHNOLOGY [PILOT] PROGRAM
   10    S  2.  Sections  399-m  and  399-o  of the vehicle and traffic law are
   11  REPEALED.
   12    S 3. Sections 399-k and 399-l of the vehicle and traffic law, as added
   13  by chapter 751 of the laws of 2005, are amended to read as follows:
   14    S  399-k.  Accident  prevention  course  internet  technology  [pilot]
   15  program.  The commissioner shall establish and implement a comprehensive
   16  [pilot] program to [review and study] ALLOW internet, and other technol-
   17  ogies  as  approved  by  the  commissioner, as a training method for the
   18  administration and completion of an approved accident prevention  course
   19  for the purposes of granting point and insurance premium reduction bene-
   20  fits.
   21    S  399-l.  Application.  Applicants  for  participation in the [pilot]
   22  program established pursuant to this article shall be among those  acci-
   23  dent  prevention  course sponsoring agencies that have a course approved
   24  by the commissioner pursuant to article twelve-B of this title [prior to
   25  the effective date of this article and which deliver] AND HAVE SATISFAC-
   26  TORILY DELIVERED such course to the public FOR A PERIOD OF ONE YEAR  AND
   27  CONTINUE  TO  DELIVER  SUCH COURSE, UNLESS EXEMPTED BY THE COMMISSIONER.
   28  [Provided, however, the commissioner may,  in  his  or  her  discretion,
   29  approve  applications  after  such  date.]  In  order to be approved for
   30  participation in such [pilot] program, the course must comply  with  the
   31  provisions  of  law,  rules  and  regulations  applicable thereto.   The
   32  commissioner may, in his  or  her  discretion,  impose  a  fee  for  the
   33  submission  of  each  application  to participate in the [pilot] program
   34  established pursuant to this article. Such fee shall  not  exceed  seven
   35  thousand  five  hundred  dollars.  The  proceeds  from such fee shall be
   36  deposited in the accident prevention course internet technology  [pilot]
   37  program  fund  as  established  by  section  eighty-nine-g  of the state
   38  finance law.
   39    S 4. Subdivision 2 of section 399-n of the vehicle and traffic law, as
   40  added by chapter 751 of the laws of 2005, is amended to read as follows:
   41    2. The commissioner is authorized to impose a fee upon  each  accident
   42  prevention  course  sponsoring  agency approved for participation in the
   43  [pilot] program, which shall not exceed eight dollars for  each  student
   44  who  completes  an  accident  prevention  course by means of the [pilot]
   45  program established pursuant to this article.
   46    S 5. The section heading, subdivisions 1 and 3 of section 89-g of  the
   47  state  finance  law,  as  added  by chapter 751 of the laws of 2005, are
   48  amended to read as follows:
   49    Accident prevention course  internet,  and  other  technology  [pilot]
   50  program fund. 1. There is hereby established in the joint custody of the
   51  state comptroller and the commissioner of taxation and finance a special
   52  fund  to be known as the "accident prevention course internet, and other
   53  technology [pilot] program fund".
       S. 6357--A                         17                         A. 8557--A
    1    3. The moneys in the accident prevention course  internet,  and  other
    2  technology  [pilot] program fund shall be kept separate and shall not be
    3  commingled with any other moneys in the custody of the  commissioner  of
    4  taxation and finance and the state comptroller.
    5    S 6. Section 5 of chapter 751 of the laws of 2005, amending the insur-
    6  ance  law  and the vehicle and traffic law, relating to establishing the
    7  accident prevention course internet technology pilot program, is amended
    8  to read as follows:
    9    S 5. This act shall take effect on the one hundred eightieth day after
   10  it shall have become a law [and shall expire and be deemed repealed five
   11  years after the date that the accident prevention course  internet,  and
   12  other  technology  pilot  program  is established and implemented by the
   13  commissioner of motor vehicles pursuant to article 12-C of  the  vehicle
   14  and  traffic  law, as added by section three of this act]; provided that
   15  any rules and regulations necessary to implement the provisions of  this
   16  act on its effective date are authorized and directed to be completed on
   17  or  before  such  date;  and provided, further, that the commissioner of
   18  motor vehicles shall notify the legislative bill drafting commission  of
   19  the  date  he  or she establishes and implements the accident prevention
   20  course internet technology pilot program pursuant to article 12-C of the
   21  vehicle and traffic law, as added by section three of this act, in order
   22  that such commission may maintain an accurate and timely effective  data
   23  base of the official text of the laws of the state of New York in furth-
   24  erance  of effecting the provisions of section 44 of the legislative law
   25  and section 70-b of the public officers law.
   26    S 7. This act shall take effect immediately;  provided  that  sections
   27  one through five of this act shall take effect May 18, 2014.
   28                                   PART F
   29    Section  1.  Subdivision 3 of section 510-a of the vehicle and traffic
   30  law is amended by adding a new paragraph (f) to read as follows:
   31    (F) A COMMERCIAL DRIVER'S LICENSE SHALL BE SUSPENDED  BY  THE  COMMIS-
   32  SIONER  IF  THE  HOLDER  FAILS  TO  AMEND THE LICENSE TO ADD OR REMOVE A
   33  LICENSE RESTRICTION AS DIRECTED BY  THE  COMMISSIONER.  SUCH  SUSPENSION
   34  SHALL  REMAIN  IN  EFFECT  UNTIL  THE  HOLDER OF THE COMMERCIAL DRIVER'S
   35  LICENSE AMENDS HIS OR HER LICENSE AS DIRECTED BY THE  COMMISSIONER.  THE
   36  COMMISSIONER  SHALL  DIRECT  THE  HOLDER  OF  SUCH  COMMERCIAL  DRIVER'S
   37  LICENSE, BY FIRST CLASS MAIL TO THE ADDRESS OF SUCH PERSON ON FILE  WITH
   38  THE  DEPARTMENT  OR AT THE CURRENT ADDRESS PROVIDED BY THE UNITED STATES
   39  POSTAL SERVICE, TO AMEND HIS  OR  HER  COMMERCIAL  DRIVER'S  LICENSE  BY
   40  ADDING  OR  REMOVING  A SPECIFIED RESTRICTION, AND THAT FAILURE TO AMEND
   41  SUCH LICENSE AS DIRECTED SHALL RESULT IN THE SUSPENSION OF  HIS  OR  HER
   42  COMMERCIAL DRIVER'S LICENSE NO EARLIER THAN THIRTY DAYS FROM THE DATE OF
   43  THE NOTICE TO SUCH HOLDER.
   44    S 2. Subdivision 1-a of section 509 of the vehicle and traffic law, as
   45  added  by  section  1  of  part  J of chapter 59 of the laws of 2006, is
   46  amended to read as follows:
   47    1-a. Whenever a license is required  to  operate  a  commercial  motor
   48  vehicle,  no person shall operate a commercial motor vehicle without the
   49  proper endorsements for the specific vehicle being operated or  for  the
   50  passengers  or  type  of  cargo being transported; OR WITHOUT THE PROPER
   51  RESTRICTIONS OR WITH RESTRICTIONS THAT ARE INAPPLICABLE TO  OR  INAPPRO-
   52  PRIATE FOR THE HOLDER FOR HIS OR HER OPERATION OF COMMERCIAL MOTOR VEHI-
   53  CLES.
   54    S 3. This act shall take effect immediately.
       S. 6357--A                         18                         A. 8557--A
    1                                   PART G
    2    Section 1. Section 2985 of title 11 of article 9 of the public author-
    3  ities law is designated title 11-A and such title is amended by adding a
    4  new title heading to read as follows:
    5                              TOLL COLLECTIONS
    6    S  2.  Subdivision 1 of section 2985 of the public authorities law, as
    7  added by chapter 379 of the laws of 1992, is amended to read as follows:
    8    1. Notwithstanding any other provision of law, every public  authority
    9  which  operates  a  toll highway bridge and/or tunnel facility is hereby
   10  authorized and empowered to impose monetary liability [on the owner of a
   11  vehicle] for failure [of an operator thereof] to comply  with  the  toll
   12  collection  regulations  of such public authority in accordance with the
   13  provisions of this section.
   14    S 3. Subdivision 3 of section 2985 of the public authorities  law,  as
   15  added by chapter 379 of the laws of 1992, is amended to read as follows:
   16    3.  For  purposes  of  this  section,  the term "owner" shall mean any
   17  person, corporation, partnership, firm, agency, association,  lessor  or
   18  organization who, at the time of the violation OR WHEN THE OBLIGATION TO
   19  PAY  THE  TOLL IS INCURRED and with respect to the vehicle identified in
   20  the notice of liability: (a) is the beneficial  or  equitable  owner  of
   21  such vehicle; or (b) has title to such vehicle; or (c) is the registrant
   22  or co-registrant of such vehicle which is registered with the department
   23  of motor vehicles of this state or any other state, territory, district,
   24  province,  nation  or  other jurisdiction; or (d) subject to the limita-
   25  tions set forth in subdivision ten of this section, uses such vehicle in
   26  its vehicle renting and/or leasing business; and includes (e)  a  person
   27  entitled  to  the  use and possession of a vehicle subject to a security
   28  interest in another person. For  purposes  of  this  section,  the  term
   29  "photo-monitoring  system" shall mean a vehicle sensor installed to work
   30  in conjunction with  a  toll  collection  facility  which  automatically
   31  produces  one or more photographs, one or more microphotographs, a vide-
   32  otape or other recorded images of each vehicle at the time it is used or
   33  operated in [violation of toll collection regulations] OR  UPON  A  TOLL
   34  FACILITY.  For purposes of this section, the term "toll collection regu-
   35  lations"  shall  mean: those rules and regulations of a public authority
   36  providing  for  and  requiring  the  payment  of  tolls  and/or  charges
   37  prescribed  by  such public authority for the use of bridges, tunnels or
   38  highways under its jurisdiction or those  rules  and  regulations  of  a
   39  public  authority  making it unlawful to refuse to pay or to evade or to
   40  attempt to evade the payment of all or part of any  toll  and/or  charge
   41  for  the  use  of bridges, tunnels or highways under the jurisdiction of
   42  such public authority. For purposes of this section, the term  "vehicle"
   43  shall  mean every device in, upon or by which a person or property is or
   44  may be transported or drawn upon a highway, except devices  used  exclu-
   45  sively upon stationary rails or tracks.
   46    S  4.  Subdivision 4 of section 2985 of the public authorities law, as
   47  added by chapter 379 of the laws of 1992, is amended to read as follows:
   48    4. A certificate, sworn to or affirmed  by  an  agent  of  the  public
   49  authority  which  charged  that  the  violation occurred, or a facsimile
   50  thereof, based upon inspection of [photographs, microphotographs,  vide-
   51  otape or other recorded images] DATA OR IMAGES produced by [a photo-mon-
   52  itoring]  AN  ELECTRONIC  TOLL  COLLECTION system OR OTHER RECORDS MAIN-
   53  TAINED BY OR ON BEHALF OF THE PUBLIC AUTHORITY REGARDING TOLL VIOLATIONS
   54  shall be prima facie evidence of the facts contained therein  and  shall
   55  be  admissible in any proceeding charging a violation of toll collection
       S. 6357--A                         19                         A. 8557--A
    1  regulations, provided that any [photographs, microphotographs, videotape
    2  or other recorded images] SUCH DATA, IMAGES, OR RECORDS evidencing  such
    3  a  violation  shall  be  available  for  inspection  and  admission into
    4  evidence  in  any  proceeding  to  adjudicate  the  liability  for  such
    5  violation.
    6    S 5. Subdivision 5 of section 2985 of the public authorities  law,  as
    7  added by chapter 379 of the laws of 1992, is amended to read as follows:
    8    5.  An  owner  found  liable  for a violation of toll collection regu-
    9  lations pursuant to this section shall for a first violation thereof  be
   10  liable  for  THE FULL AMOUNT OF THE ASSESSED TOLLS AND OTHER CHARGES AND
   11  FEES IN ADDITION TO a monetary penalty not to exceed [fifty] ONE HUNDRED
   12  dollars or two times the toll evaded whichever is greater; for a  second
   13  violation  thereof  both  within  eighteen months be liable for THE FULL
   14  AMOUNT OF THE ASSESSED TOLLS AND OTHER CHARGES AND FEES IN ADDITION TO a
   15  monetary penalty not to exceed [one] TWO hundred dollars or  five  times
   16  the  toll  evaded  whichever  is  greater;  for  a  third  or subsequent
   17  violation thereof all within eighteen months  be  liable  for  THE  FULL
   18  AMOUNT OF THE ASSESSED TOLLS AND OTHER CHARGES AND FEES IN ADDITION TO a
   19  monetary  penalty  not  to exceed [one] THREE hundred [fifty] dollars or
   20  ten times the toll evaded whichever is greater.
   21    S 6. Paragraphs (a), (b) and (d) of subdivision 7 of section  2985  of
   22  the public authorities law, as added by chapter 379 of the laws of 1992,
   23  are amended to read as follows:
   24    (a)  A  notice  of liability shall be sent by first class mail to each
   25  person alleged to be  liable  as  an  owner  for  a  violation  of  toll
   26  collection regulations. Such notice shall be mailed no later than [thir-
   27  ty] ONE HUNDRED TWENTY days after the alleged violation. Personal deliv-
   28  ery  on the owner shall not be required. A manual or automatic record of
   29  mailing prepared in the ordinary course of business shall be prima facie
   30  evidence of the mailing of the notice.
   31    (b) A notice of liability shall contain the name and  address  of  the
   32  person  alleged  to  be  liable  as  an  owner  for  a violation of toll
   33  collection regulations pursuant to this section, the registration number
   34  AND STATE OF REGISTRATION of the vehicle involved in such violation, the
   35  [location where such violation took place, the date and time] LOCATIONS,
   36  DATES AND TIMES of EACH USE OF THE FACILITY THAT FORMS THE BASIS OF such
   37  violation, THE AMOUNT OF THE ASSESSED TOLLS AND OTHER CHARGES AND  FEES,
   38  and  the identification number of the [photo-monitoring] ELECTRONIC TOLL
   39  COLLECTION system which recorded the [violation] VEHICLE BEING  USED  OR
   40  OPERATED ON THE TOLL FACILITY or other document locator number.
   41    (d)  The  notice  of  liability  shall be prepared and mailed by OR ON
   42  BEHALF OF the public authority having jurisdiction over the toll facili-
   43  ty where the violation of toll collection regulations occurred.
   44    S 7. Subdivision 8 of section 2985 of the public authorities  law,  as
   45  added by chapter 379 of the laws of 1992, is amended to read as follows:
   46    8.  Adjudication  of the liability imposed upon owners by this section
   47  shall be by the entity having jurisdiction over violations of the  rules
   48  and  regulations of the public authority serving the notice of liability
   49  or where authorized by an administrative  tribunal  and  all  violations
   50  shall  be  heard  and determined in the county in which the violation is
   51  alleged to have occurred, or in New York city and upon  the  consent  of
   52  both  parties,  in  any  county within New York city in which the public
   53  authority operates or maintains a facility, and in the  same  manner  as
   54  charges  of  other  regulatory  violations  of  such public authority or
   55  pursuant to the rules and regulations of such administrative tribunal as
   56  the case may be. THE ENTITY OR ADMINISTRATIVE TRIBUNAL THAT  ADJUDICATES
       S. 6357--A                         20                         A. 8557--A
    1  LIABILITY  FOR A VIOLATION SHALL COLLECT THE FULL AMOUNT OF THE ASSESSED
    2  TOLLS AND OTHER CHARGES AND FEES IN ADDITION  TO  THE  MONETARY  PENALTY
    3  OWED,  AND SHALL PAY TO THE PUBLIC AUTHORITY WHOSE TOLL COLLECTION REGU-
    4  LATIONS  WERE  VIOLATED  THE FULL AMOUNT OF THE ASSESSED TOLLS AND OTHER
    5  CHARGES AND FEES AND ONE-HALF OF THE MONETARY PENALTY.
    6    S 8. Subdivision 10 of section 2985 of the public authorities law,  as
    7  amended  by  chapter  666  of  the  laws  of 1993, is amended to read as
    8  follows:
    9    10. An owner who is a lessor of a vehicle to which a notice of liabil-
   10  ity was issued pursuant to subdivision seven of this section  shall  not
   11  be  liable  for the violation of the toll collection regulation provided
   12  that he or she sends to the public  authority  [serving  the  notice  of
   13  liability  and  to the court or other entity having jurisdiction] OR ITS
   14  DULY AUTHORIZED AGENT FOR THIS PURPOSE a copy of the  rental,  lease  or
   15  other  such  contract document covering such vehicle on the date of [the
   16  violation] USE OF A TOLL FACILITY, with the  name  and  address  of  the
   17  lessee   clearly  legible,  within  thirty  days  after  receiving  [the
   18  original] notice of  [liability]  USE  OF  THE  TOLL  FACILITY  BY  SUCH
   19  VEHICLE.    Failure to send such information within such thirty day time
   20  period shall render the lessor liable for the penalty prescribed by this
   21  section. Where the lessor complies with the provisions of this  subdivi-
   22  sion,  the lessee of such vehicle on the date of such [violation] USE OF
   23  THE TOLL FACILITY shall be deemed to be the owner of  such  vehicle  for
   24  purposes  of  this  section  and  shall  be subject to liability for the
   25  violation of toll collection  regulations[,  provided  that  the  public
   26  authority  mails  a  notice  of  liability to the lessee within ten days
   27  after the court, or other entity having jurisdiction, deems  the  lessee
   28  to  be  the  owner].  For purposes of this subdivision the term "lessor"
   29  shall mean any person, corporation, firm, partnership,  agency,  associ-
   30  ation  or  organization  engaged  in  the business of renting or leasing
   31  vehicles to any lessee under a  rental  agreement,  lease  or  otherwise
   32  wherein  the  said  lessee has the exclusive use of said vehicle for any
   33  period of time. For purposes of  this  subdivision,  the  term  "lessee"
   34  shall  mean  any person, corporation, firm, partnership, agency, associ-
   35  ation or organization that rents, leases or contracts for the use of one
   36  or more vehicles and has exclusive use thereof for any period of time.
   37    S 9. Subdivision 11 of section 2985 of the public authorities law,  as
   38  added by chapter 379 of the laws of 1992, is amended to read as follows:
   39    11. Except as provided in subdivision ten of this section, if a person
   40  receives  a  notice  of liability pursuant to this section it shall be a
   41  valid defense to an allegation of liability  for  a  violation  of  toll
   42  collection  regulations  that  the individual who received the notice of
   43  liability pursuant to this section was not the owner of the  vehicle  at
   44  the time the [violation occurred] OBLIGATION FOR PAYMENT OF THE TOLL AND
   45  OTHER CHARGES WAS INCURRED.  If the owner liable for a violation of toll
   46  collection  regulations pursuant to this section was not the operator of
   47  the vehicle at the time of the violation,  the  owner  may  maintain  an
   48  action for indemnification against the operator.
   49    S 10. Subdivision 12 of section 2985 of the public authorities law, as
   50  added by chapter 379 of the laws of 1992, is amended to read as follows:
   51    12.  "Electronic  toll  collection  system"  shall  mean  a  system of
   52  collecting tolls or OTHER charges  [which  is  capable  of  charging  an
   53  account  holder the appropriate toll or charge by transmission of infor-
   54  mation from an electronic device on a motor vehicle to  the  toll  lane,
   55  which  information is used to charge the account the appropriate toll or
   56  charge] USING ELECTRONIC DATA AND IMAGES.   In adopting  procedures  for
       S. 6357--A                         21                         A. 8557--A
    1  the preparation and mailing of a notice of liability, the public author-
    2  ity having jurisdiction over the toll facility shall adopt guidelines to
    3  ensure  adequate  and  timely  notice  to all electronic toll collection
    4  system  account  holders  to  inform them when their accounts are delin-
    5  quent. An owner who is an  account  holder  under  the  electronic  toll
    6  collection  system  shall  not  be  found liable for a violation of this
    7  section unless such authority has first sent a notice of delinquency  to
    8  such account holder and the account holder was in fact delinquent at the
    9  time of the violation.
   10    S 11. Section 2985 of the public authorities law is amended  by adding
   11  three new subdivisions 15, 16 and 17 to read as follows:
   12    15.    IN  ADDITIONAL  TO  ANY  MONETARY LIABILITY THAT MAY BE IMPOSED
   13  PURSUANT TO THIS SECTION, A PUBLIC AUTHORITY THAT OPERATES A TOLL  HIGH-
   14  WAY,  BRIDGE  OR  TUNNEL  FACILITY IS HEREBY AUTHORIZED AND EMPOWERED TO
   15  IMPOSE AN ADMINISTRATIVE FEE OR FEES ON AN  OWNER,  AN  OPERATOR  OR  AN
   16  ACCOUNT HOLDER THAT HAS VIOLATED TOLL COLLECTION REGULATIONS.
   17    16.  ANY  NOTICE REQUIRED TO BE SENT PURSUANT TO THIS SECTION BY FIRST
   18  CLASS MAIL MAY INSTEAD BE SENT, WITH CONSENT,  BY  ELECTRONIC  MEANS  OF
   19  COMMUNICATION. A MANUAL OR AUTOMATIC RECORD OF ELECTRONIC COMMUNICATIONS
   20  PREPARED  IN THIS ORDINARY COURSE OF BUSINESS SHALL BE ADEQUATE EVIDENCE
   21  OF ELECTRONIC NOTICE.
   22    17. THE NEW YORK STATE THRUWAY AUTHORITY AND THE NEW YORK STATE BRIDGE
   23  AUTHORITY ARE AUTHORIZED TO ADOPT RULES AND REGULATIONS TO ESTABLISH  AN
   24  ADMINISTRATIVE  TRIBUNAL  TO  ADJUDICATE  THE  LIABILITY  OF  OWNERS FOR
   25  VIOLATION OF TOLL COLLECTION REGULATIONS AS DEFINED IN AND IN ACCORDANCE
   26  WITH THE PROVISIONS OF THIS SECTION AND THE APPLICABLE TOLL  REGULATIONS
   27  OF SUCH AUTHORITIES. SUCH TRIBUNAL SHALL HAVE, WITH RESPECT TO VIOLATION
   28  OF TOLL COLLECTION REGULATIONS OF SUCH AUTHORITIES, NON-EXCLUSIVE JURIS-
   29  DICTION OVER VIOLATIONS OF THE RULES AND REGULATIONS WHICH MAY FROM TIME
   30  TO  TIME  BE  ESTABLISHED  BY  SUCH  AUTHORITIES  IN ACCORDANCE WITH THE
   31  PROVISIONS OF THIS SECTION. VIOLATIONS SHALL BE HEARD AND DETERMINED  IN
   32  THE  COUNTY IN WHICH THE VIOLATION IS ALLEGED TO HAVE OCCURRED OR IN THE
   33  COUNTY IN WHICH THE PUBLIC AUTHORITY HAS ITS PRIMARY OR REGIONAL  ADMIN-
   34  ISTRATIVE  OFFICES  AND REGULATIONS MAY PROVIDE FOR THE CONDUCT OF HEAR-
   35  INGS VIA VIDEOCONFERENCING.
   36    S 12. Subdivision 2 of section  87  of  the  public  officers  law  is
   37  amended by adding a new paragraph (n) to read as follows:
   38    (N)  ARE  DATA  OR  IMAGES  PRODUCED  BY AN ELECTRONIC TOLL COLLECTION
   39  SYSTEM UNDER AUTHORITY OF SECTION TWO THOUSAND NINE HUNDRED  EIGHTY-FIVE
   40  OF THE PUBLIC AUTHORITIES LAW.
   41    S  13.  Subdivision 4-d of section 510 of the vehicle and traffic law,
   42  as added by chapter 379 of the laws of  1992,  is  amended  to  read  as
   43  follows:
   44    4-d. Suspension of registration for failure to answer or pay penalties
   45  with  respect to certain violations. Upon the receipt of a notification,
   46  IN THE MANNER AND FORM PRESCRIBED BY  THE  COMMISSIONER,  from  a  court
   47  [or],  an  administrative  tribunal,  A  PUBLIC  AUTHORITY, OR ANY OTHER
   48  PUBLIC ENTITY IMPOSING VIOLATIONS, that an  owner  of  a  motor  vehicle
   49  failed  to  appear  on  the  return  date  or  dates or a new subsequent
   50  adjourned date or dates or failed to pay any penalty imposed by a  court
   51  or  failed to comply with the rules and regulations of an administrative
   52  tribunal following entry of a final decision or decisions,  in  response
   53  to  [five]  THREE  or more notices of liability or other process, issued
   54  within an eighteen month period FROM ANY AND ALL JURISDICTIONS  charging
   55  such owner with a violation of toll collection regulations in accordance
   56  with  the provisions of section two thousand nine hundred eighty-five of
       S. 6357--A                         22                         A. 8557--A
    1  the  public  authorities  law  or  sections  sixteen-a,  sixteen-b   and
    2  sixteen-c  of chapter seven hundred seventy-four of the laws of nineteen
    3  hundred fifty, OR OTHER COMPARABLE LAW, the commissioner or his  OR  HER
    4  agent shall suspend the registration of the vehicle or vehicles involved
    5  in  the  violation  or  the  privilege of operation of any motor vehicle
    6  owned by the registrant. Such suspension shall take effect no less  than
    7  thirty days from the date on which notice thereof is sent by the commis-
    8  sioner  to  the  person whose registration or privilege is suspended and
    9  shall remain in effect until such registrant has appeared in response to
   10  such notices of liability or has paid such penalty or in the case of  an
   11  administrative  tribunal, the registrant has complied with the rules and
   12  regulations following the entry of a final decision or decisions.
   13    S 14. Subdivision 8 of section 402 of the vehicle and traffic law,  as
   14  amended  by  chapter 61 of the laws of 1989 and as renumbered by chapter
   15  648 of the laws of 2006, is amended and a new subdivision 9 is added  to
   16  read as follows:
   17    8.  [The]  EXCEPT AS PROVIDED IN SUBDIVISION NINE OF THIS SECTION, THE
   18  violation of this section shall be punishable by a fine of not less than
   19  twenty-five nor more than two hundred dollars.
   20    9. THE VIOLATION OF THIS SECTION ON  A  TOLL  HIGHWAY,  BRIDGE  AND/OR
   21  TUNNEL  FACILITY  SHALL  BE  PUNISHABLE  BY  A FINE OF NOT LESS THAN ONE
   22  HUNDRED NOR MORE THAN FIVE HUNDRED DOLLARS.
   23    S 15. Subparagraph (i) of paragraph a of subdivision  5-a  of  section
   24  401  of  the vehicle and traffic law, as amended by section 9 of chapter
   25  189 of the laws of 2013, is amended to read as follows:
   26    (i) If at the time of application for a registration or renewal there-
   27  of there is a certification from a  court,  parking  violations  bureau,
   28  traffic  and  parking  violations  agency  or administrative tribunal of
   29  appropriate jurisdiction  [or  administrative  tribunal  of  appropriate
   30  jurisdiction] that the registrant or his or her representative failed to
   31  appear  on the return date or any subsequent adjourned date or failed to
   32  comply with the rules and  regulations  of  an  administrative  tribunal
   33  following  entry  of a final decision in response to a total of three or
   34  more summonses or other process in the aggregate, issued within an eigh-
   35  teen month period, charging either that:  (i)  such  motor  vehicle  was
   36  parked, stopped or standing, or that such motor vehicle was operated for
   37  hire  by  the registrant or his or her agent without being licensed as a
   38  motor vehicle for hire by the appropriate local authority, in  violation
   39  of  any of the provisions of this chapter or of any law, ordinance, rule
   40  or regulation made by a local authority;  or  (ii)  the  registrant  was
   41  liable  in accordance with section eleven hundred eleven-a of this chap-
   42  ter or section eleven hundred eleven-b of this chapter for  a  violation
   43  of  subdivision (d) of section eleven hundred eleven of this chapter; or
   44  (iii) the registrant  was  liable  in  accordance  with  section  eleven
   45  hundred  eleven-c  of  this  chapter  for  a  violation  of  a  bus lane
   46  restriction as defined in such  section,  or  (iv)  the  registrant  was
   47  liable  in accordance with section eleven hundred eighty-b of this chap-
   48  ter for a violation of subdivision (c) or (d) of section eleven  hundred
   49  eighty  of  this chapter; OR (V) THE REGISTRANT WAS LIABLE IN ACCORDANCE
   50  WITH SECTION TWO THOUSAND NINE HUNDRED EIGHTY-FIVE OF THE PUBLIC AUTHOR-
   51  ITIES LAW OR SECTIONS SIXTEEN-A, SIXTEEN-B OR SIXTEEN-C OF CHAPTER SEVEN
   52  HUNDRED SEVENTY-FOUR OF THE LAWS OF NINETEEN HUNDRED FIFTY, the  commis-
   53  sioner or his or her agent shall deny the registration or renewal appli-
   54  cation  until  the  applicant provides proof from the court, traffic and
   55  parking violations agency or administrative tribunal wherein the charges
   56  are pending that an appearance or answer has been made or in the case of
       S. 6357--A                         23                         A. 8557--A
    1  an administrative tribunal that he or she has complied  with  the  rules
    2  and  regulations  of  said tribunal following entry of a final decision.
    3  Where an application is denied pursuant to this section, the commission-
    4  er  may, in his or her discretion, deny a registration or renewal appli-
    5  cation to any other person for the same vehicle and may deny a registra-
    6  tion or renewal application for any other motor  vehicle  registered  in
    7  the  name  of  the  applicant where the commissioner has determined that
    8  such registrant's intent has been to evade the purposes of this subdivi-
    9  sion and where the commissioner has reasonable grounds to  believe  that
   10  such  registration  or  renewal  will  have  the effect of defeating the
   11  purposes of this subdivision. Such denial shall only remain in effect as
   12  long as the summonses remain unanswered, or in the case of  an  adminis-
   13  trative  tribunal,  the  registrant  fails  to comply with the rules and
   14  regulations following entry of a final decision.
   15    S 15-a. Paragraph a of subdivision 5-a of section 401 of  the  vehicle
   16  and traffic law, as amended by section 9-a of chapter 189 of the laws of
   17  2013, is amended to read as follows:
   18    a. If at the time of application for a registration or renewal thereof
   19  there  is  a  certification  from  a court or administrative tribunal of
   20  appropriate jurisdiction that the registrant or  his  or  her  represen-
   21  tative  failed  to appear on the return date or any subsequent adjourned
   22  date or failed to comply with the rules and regulations of  an  adminis-
   23  trative  tribunal  following  entry of a final decision in response to a
   24  total of three or more summonses or  other  process  in  the  aggregate,
   25  issued  within  an eighteen month period, charging either that: (i) such
   26  motor vehicle was parked, stopped or standing, or that such motor  vehi-
   27  cle  was operated for hire by the registrant or his or her agent without
   28  being licensed as a motor vehicle for  hire  by  the  appropriate  local
   29  authority,  in  violation of any of the provisions of this chapter or of
   30  any law, ordinance, rule or regulation made by  a  local  authority;  or
   31  (ii) the registrant was liable in accordance with section eleven hundred
   32  eleven-b  of  this chapter for a violation of subdivision (d) of section
   33  eleven hundred eleven of this  chapter;  or  (iii)  the  registrant  was
   34  liable  in accordance with section eleven hundred eleven-c of this chap-
   35  ter for a violation of  a  bus  lane  restriction  as  defined  in  such
   36  section;  or  (iv)  the registrant was liable in accordance with section
   37  eleven hundred eighty-b of this chapter for a violation  of  subdivision
   38  (b), (c), (d), (f) or (g) of section eleven hundred eighty of this chap-
   39  ter;  OR  (V)  THE  REGISTRANT WAS LIABLE IN ACCORDANCE WITH SECTION TWO
   40  THOUSAND NINE HUNDRED EIGHTY-FIVE  OF  THE  PUBLIC  AUTHORITIES  LAW  OR
   41  SECTIONS  SIXTEEN-A,  SIXTEEN-B  OR  SIXTEEN-C  OF CHAPTER SEVEN HUNDRED
   42  SEVENTY-FOUR OF THE LAWS OF NINETEEN HUNDRED FIFTY, the commissioner  or
   43  his  or  her  agent  shall  deny the registration or renewal application
   44  until the applicant provides proof  from  the  court  or  administrative
   45  tribunal  wherein  the  charges are pending that an appearance or answer
   46  has been made or in the case of an administrative tribunal  that  he  or
   47  she has complied with the rules and regulations of said tribunal follow-
   48  ing  entry  of a final decision. Where an application is denied pursuant
   49  to this section, the commissioner may, in his or her discretion, deny  a
   50  registration  or  renewal  application  to any other person for the same
   51  vehicle and may deny a registration or renewal application for any other
   52  motor vehicle registered in the name of the applicant where the  commis-
   53  sioner  has  determined  that such registrant's intent has been to evade
   54  the purposes of this subdivision and where the commissioner has  reason-
   55  able  grounds to believe that such registration or renewal will have the
   56  effect of defeating the purposes of this subdivision. Such denial  shall
       S. 6357--A                         24                         A. 8557--A
    1  only  remain in effect as long as the summonses remain unanswered, or in
    2  the case of an administrative tribunal, the registrant fails  to  comply
    3  with the rules and regulations following entry of a final decision.
    4    S  15-b.  Paragraph a of subdivision 5-a of section 401 of the vehicle
    5  and traffic law, as amended by section 9-b of chapter 189 of the laws of
    6  2013, is amended to read as follows:
    7    a. If at the time of application for a registration or renewal thereof
    8  there is a certification from a  court  or  administrative  tribunal  of
    9  appropriate  jurisdiction  that  the  registrant or his or her represen-
   10  tative failed to appear on the return date or any  subsequent  adjourned
   11  date  or  failed to comply with the rules and regulations of an adminis-
   12  trative tribunal following entry of a  final  decision  in  response  to
   13  three  or  more  summonses  or  other process, issued within an eighteen
   14  month period, charging that such motor vehicle was  parked,  stopped  or
   15  standing, or that such motor vehicle was operated for hire by the regis-
   16  trant  or his or her agent without being licensed as a motor vehicle for
   17  hire by the appropriate local authority, in  violation  of  any  of  the
   18  provisions  of this chapter or of any law, ordinance, rule or regulation
   19  made by a local authority, or the registrant was  liable  in  accordance
   20  with  section eleven hundred eleven-c of this chapter for a violation of
   21  a bus lane restriction as defined in such section, or the registrant was
   22  liable in accordance with section eleven hundred eighty-b of this  chap-
   23  ter  for a violation of subdivision (b), (c), (d), (f) or (g) of section
   24  eleven hundred eighty of this chapter, OR THE REGISTRANT WAS  LIABLE  IN
   25  ACCORDANCE  WITH  SECTION  TWO  THOUSAND NINE HUNDRED EIGHTY-FIVE OF THE
   26  PUBLIC AUTHORITIES LAW OR SECTIONS SIXTEEN-A, SIXTEEN-B OR SIXTEEN-C  OF
   27  CHAPTER  SEVEN  HUNDRED  SEVENTY-FOUR  OF  THE  LAWS OF NINETEEN HUNDRED
   28  FIFTY, the commissioner or his or her agent shall deny the  registration
   29  or renewal application until the applicant provides proof from the court
   30  or  administrative  tribunal  wherein  the  charges  are pending that an
   31  appearance or answer has been made or in the case of  an  administrative
   32  tribunal  that  he or she has complied with the rules and regulations of
   33  said tribunal following entry of a final decision. Where an  application
   34  is  denied pursuant to this section, the commissioner may, in his or her
   35  discretion, deny a registration or  renewal  application  to  any  other
   36  person  for  the  same  vehicle  and  may deny a registration or renewal
   37  application for any other motor vehicle registered in the  name  of  the
   38  applicant  where  the commissioner has determined that such registrant's
   39  intent has been to evade the purposes of this subdivision and where  the
   40  commissioner has reasonable grounds to believe that such registration or
   41  renewal  will have the effect of defeating the purposes of this subdivi-
   42  sion. Such denial shall only remain in effect as long as  the  summonses
   43  remain  unanswered,  or  in  the case of an administrative tribunal, the
   44  registrant fails to comply with  the  rules  and  regulations  following
   45  entry of a final decision.
   46    S  15-c.  Paragraph a of subdivision 5-a of section 401 of the vehicle
   47  and traffic law, as amended by section 9-c of chapter 189 of the laws of
   48  2013, is amended to read as follows:
   49    a. If at the time of application for a registration or renewal thereof
   50  there is a certification from a  court  or  administrative  tribunal  of
   51  appropriate  jurisdiction  that  the  registrant  or  his representative
   52  failed to appear on the return date or any subsequent adjourned date  or
   53  failed  to  comply  with  the rules and regulations of an administrative
   54  tribunal following entry of a final decision in  response  to  three  or
   55  more summonses or other process, issued within an eighteen month period,
   56  charging  that  such  motor  vehicle was parked, stopped or standing, or
       S. 6357--A                         25                         A. 8557--A
    1  that such motor vehicle was operated for hire by the registrant  or  his
    2  agent  without  being licensed as a motor vehicle for hire by the appro-
    3  priate local authority, in violation of any of the  provisions  of  this
    4  chapter  or  of  any  law, ordinance, rule or regulation made by a local
    5  authority, or the registrant was liable in accordance with section elev-
    6  en hundred eighty-b of this chapter for violations of  subdivision  (b),
    7  (c),  (d),  (f) or (g) of section eleven hundred eighty of this chapter,
    8  OR THE REGISTRANT WAS LIABLE IN ACCORDANCE  WITH  SECTION  TWO  THOUSAND
    9  NINE  HUNDRED  EIGHTY-FIVE  OF  THE  PUBLIC  AUTHORITIES LAW OR SECTIONS
   10  SIXTEEN-A, SIXTEEN-B OR SIXTEEN-C OF CHAPTER SEVEN HUNDRED  SEVENTY-FOUR
   11  OF  THE  LAWS  OF  NINETEEN HUNDRED FIFTY, the commissioner or his agent
   12  shall deny the registration or renewal application until  the  applicant
   13  provides  proof  from  the  court or administrative tribunal wherein the
   14  charges are pending that an appearance or answer has been made or in the
   15  case of an administrative tribunal that he has complied with  the  rules
   16  and  regulations  of  said tribunal following entry of a final decision.
   17  Where an application is denied pursuant to this section, the commission-
   18  er may, in his discretion, deny a registration or renewal application to
   19  any other person for the same vehicle and may  deny  a  registration  or
   20  renewal  application  for any other motor vehicle registered in the name
   21  of the applicant where the commissioner has determined that such  regis-
   22  trant's  intent  has  been to evade the purposes of this subdivision and
   23  where the commissioner has  reasonable  grounds  to  believe  that  such
   24  registration  or  renewal will have the effect of defeating the purposes
   25  of this subdivision. Such denial shall only remain in effect as long  as
   26  the  summonses  remain  unanswered,  or in the case of an administrative
   27  tribunal, the registrant fails to comply with the rules and  regulations
   28  following entry of a final decision.
   29    S  15-d.  Paragraph a of subdivision 5-a of section 401 of the vehicle
   30  and traffic law, as separately amended by chapters 339 and  592  of  the
   31  laws of 1987, is amended to read as follows:
   32    a. If at the time of application for a registration or renewal thereof
   33  there  is  a  certification  from  a court or administrative tribunal of
   34  appropriate jurisdiction  that  the  registrant  or  his  representative
   35  failed  to appear on the return date or any subsequent adjourned date or
   36  failed to comply with the rules and  regulations  of  an  administrative
   37  tribunal  following  entry  of  a final decision in response to three or
   38  more summonses or other process, issued within an eighteen month period,
   39  charging that such motor vehicle was parked,  stopped  or  standing,  or
   40  that  such  motor vehicle was operated for hire by the registrant or his
   41  agent without being licensed as a motor vehicle for hire by  the  appro-
   42  priate  local  authority,  in violation of any of the provisions of this
   43  chapter or of any law, ordinance, rule or regulation  made  by  a  local
   44  authority,  OR  THE REGISTRANT WAS LIABLE IN ACCORDANCE WITH SECTION TWO
   45  THOUSAND NINE HUNDRED EIGHTY-FIVE  OF  THE  PUBLIC  AUTHORITIES  LAW  OR
   46  SECTIONS  SIXTEEN-A,  SIXTEEN-B  OR  SIXTEEN-C  OF CHAPTER SEVEN HUNDRED
   47  SEVENTY-FOUR OF THE LAWS OF NINETEEN HUNDRED FIFTY, the commissioner  or
   48  his  agent  shall deny the registration or renewal application until the
   49  applicant provides proof from the court or administrative tribunal wher-
   50  ein the charges are pending that an appearance or answer has  been  made
   51  or  in  the case of an administrative tribunal that he has complied with
   52  the rules and regulations of said tribunal following entry  of  a  final
   53  decision.  Where  an application is denied pursuant to this section, the
   54  commissioner may, in his discretion,  deny  a  registration  or  renewal
   55  application  to  any  other  person  for the same vehicle and may deny a
   56  registration or renewal application for any other motor  vehicle  regis-
       S. 6357--A                         26                         A. 8557--A
    1  tered in the name of the applicant where the commissioner has determined
    2  that  such  registrant's  intent  has been to evade the purposes of this
    3  subdivision and where the commissioner has reasonable grounds to believe
    4  that  such registration or renewal will have the effect of defeating the
    5  purposes of this subdivision. Such denial shall only remain in effect as
    6  long as the summonses remain unanswered, or in the case of  an  adminis-
    7  trative  tribunal,  the  registrant  fails  to comply with the rules and
    8  regulations following entry of a final decision.
    9    S 16. The vehicle and traffic law is amended by adding a  new  section
   10  518 to read as follows:
   11    S 518. RECIPROCAL AGREEMENTS CONCERNING SUSPENSION OR DENIAL OF REGIS-
   12  TRATION  OF  A  MOTOR  VEHICLE  FOR  VIOLATIONS OF TOLL COLLECTION REGU-
   13  LATIONS. 1. THE COMMISSIONER MAY EXECUTE A RECIPROCAL COMPACT OR  AGREE-
   14  MENT  REGARDING  TOLL  COLLECTION  VIOLATIONS  WITH  THE  MOTOR  VEHICLE
   15  ADMINISTRATOR OR OTHER AUTHORIZED OFFICIAL OF ANOTHER STATE  NOT  INCON-
   16  SISTENT  WITH  THE PROVISIONS OF THIS CHAPTER. SUCH COMPACT OR AGREEMENT
   17  SHALL PROVIDE THAT IF  A  REGISTRATION  OF  A  MOTOR  VEHICLE  WOULD  BE
   18  SUSPENDED  PURSUANT TO SUBDIVISION FIVE-A OF SECTION FOUR HUNDRED ONE OF
   19  THIS CHAPTER, OR PURSUANT TO A COMPARABLE LAW OR REGULATION  OF  ANOTHER
   20  STATE,  OR  IF  THE  REGISTRATION OR RENEWAL OF A MOTOR VEHICLE WOULD BE
   21  DENIED PURSUANT TO SUBDIVISION FOUR-D OF SECTION 510 OF THIS ARTICLE, OR
   22  PURSUANT TO A COMPARABLE LAW OR REGULATION OF ANOTHER STATE, BECAUSE  AN
   23  OWNER  OF  A  MOTOR  VEHICLE (A) FAILED TO APPEAR, (B) FAILED TO PAY ANY
   24  PENALTY IMPOSED BY A COURT, OR (C) FAILED TO COMPLY WITH THE  RULES  AND
   25  REGULATIONS  OF  AN  ADMINISTRATIVE  TRIBUNAL FOLLOWING ENTRY OF A FINAL
   26  DECISION IN RESPONSE TO THREE OR MORE  NOTICES  OF  LIABILITY  OF  OTHER
   27  PROCESS  ISSUED  WITHIN  AN EIGHTEEN-MONTH PERIOD IN ACCORDANCE WITH THE
   28  PROVISIONS OF SECTION TWO  THOUSAND  NINE  HUNDRED  EIGHTY-FIVE  OF  THE
   29  PUBLIC  AUTHORITIES  LAW  OR SECTIONS ONE THROUGH SIXTEEN AND SIXTEEN-A,
   30  SIXTEEN-B AND SIXTEEN-C OF CHAPTER SEVEN  HUNDRED  SEVENTY-FOUR  OF  THE
   31  LAWS OF NINETEEN HUNDRED FIFTY, OR WITH ANY COMPARABLE LAW OR REGULATION
   32  OF ANOTHER STATE, THEN THE STATE ISSUING THE REGISTRATION SHALL LIKEWISE
   33  SUSPEND THE REGISTRATION OR DENY THE REGISTRATION OR RENEWAL, UNTIL SUCH
   34  REGISTRANT  OR  APPLICANT  HAS  APPEARED  IN RESPONSE TO SUCH NOTICES OF
   35  LIABILITY, OR HAS PAID SUCH PENALTY, OR, IN THE CASE OF  AN  ADMINISTRA-
   36  TIVE  TRIBUNAL,  THE REGISTRANT OR APPLICANT HAS COMPLIED WITH THE RULES
   37  AND REGULATIONS FOLLOWING THE ENTRY OF A FINAL DECISION OR DECISIONS.
   38    2. SUCH COMPACT OR AGREEMENT SHALL ALSO PROVIDE SUCH TERMS AND  PROCE-
   39  DURES AS ARE NECESSARY AND PROPER TO FACILITATE ITS ADMINISTRATION.  ANY
   40  SUCH  COMPACT  OR  AGREEMENT SHALL SPECIFY THE VIOLATIONS SUBJECT TO THE
   41  COMPACT OR AGREEMENT, AND SHALL INCLUDE A  DETERMINATION  OF  COMPARABLE
   42  VIOLATIONS  IN  EACH STATE IF ANY SUCH VIOLATIONS ARE OF A SUBSTANTIALLY
   43  SIMILAR NATURE BUT ARE NOT DENOMINATED OR  DESCRIBED  IN  PRECISELY  THE
   44  SAME WORDS IN EACH PARTY STATE.
   45    3.  THE  WORD  "STATE" WHEN USED IN THIS SECTION SHALL MEAN ANY STATE,
   46  TERRITORY, A POSSESSION OF THE UNITED STATES, DISTRICT  OF  COLUMBIA  OR
   47  ANY PROVINCE OF CANADA.
   48    S  17.  Paragraph b of subdivision 2 of section 240 of the vehicle and
   49  traffic law, as added by chapter 715 of the laws of 1972, is amended  to
   50  read as follows:
   51    b.  No  charge  may  be  established  except upon proof by substantial
   52  evidence; EXCEPT THAT FOR AN ALLEGATION OF LIABILITY IN ACCORDANCE  WITH
   53  SECTION  TWO THOUSAND NINE HUNDRED EIGHTY-FIVE OF THE PUBLIC AUTHORITIES
   54  LAW OR SECTIONS SIXTEEN-A, SIXTEEN-B  AND  SIXTEEN-C  OF  CHAPTER  SEVEN
   55  HUNDRED  SEVENTY-FOUR  OF  THE LAWS OF NINETEEN HUNDRED FIFTY, NO CHARGE
       S. 6357--A                         27                         A. 8557--A
    1  MAY BE ESTABLISHED EXCEPT UPON PROOF BY  PREPONDERANCE  OF  EVIDENCE  AS
    2  SUBMITTED.
    3    S  18.  Subdivision 3 of section 165.15 of the penal law is amended to
    4  read as follows:
    5    3. With intent to obtain railroad, subway, bus, air, taxi or any other
    6  public transportation service OR TO  USE  ANY  HIGHWAY,  PARKWAY,  ROAD,
    7  BRIDGE  OR TUNNEL without payment of the lawful charge OR TOLL therefor,
    8  or to avoid payment of the lawful charge OR TOLL for such transportation
    9  service which has been rendered to him OR HER OR FOR  SUCH  USE  OF  ANY
   10  HIGHWAY,  PARKWAY, ROAD, BRIDGE OR TUNNEL, he OR SHE obtains or attempts
   11  to obtain such service OR USE or avoids or  attempts  to  avoid  payment
   12  therefor  by  force,  intimidation,  stealth,  deception  or  mechanical
   13  tampering, or by unjustifiable failure or refusal to pay; or
   14    S 19. Subdivision 10 of section 1209-a of the public authorities  law,
   15  as  amended  by  chapter  379 of the laws of 1992, is amended to read as
   16  follows:
   17    10. Funds. [All] EXCEPT FOR PENALTIES, EVADED TOLLS AND OTHER  CHARGES
   18  COLLECTED  AND  PAID  TO  THE  TRIBOROUGH BRIDGE AND TUNNEL AUTHORITY IN
   19  ACCORDANCE WITH THE PROVISIONS OF  SECTION  TWO  THOUSAND  NINE  HUNDRED
   20  EIGHTY-FIVE  OF  THIS  CHAPTER,  ALL penalties collected pursuant to the
   21  provisions of this section shall be paid to the authority to the  credit
   22  of a transit crime fund which the authority shall establish. Any sums in
   23  this fund shall be used to pay for programs selected by the board of the
   24  authority,  in  its  discretion,  to  reduce the incidence of crimes and
   25  infractions on transit facilities, or to improve the enforcement of laws
   26  against such crimes and infractions. Such funds shall be in addition  to
   27  and  not in substitution for any funds provided by the state or the city
   28  of New York for such purposes.
   29    S 20. Section 1209-a of the  public  authorities  law  is  amended  by
   30  adding a new subdivision 11 to read as follows:
   31    11.  NOTICE.  ANY NOTICE OR COMMUNICATION REQUIRED TO BE SENT PURSUANT
   32  TO THIS SECTION BY REGISTERED MAIL OR CERTIFIED MAIL MAY INSTEAD BE SENT
   33  BY FIRST CLASS MAIL OR, WITH CONSENT, BY ELECTRONIC  MEANS  OF  COMMUNI-
   34  CATION.
   35    S 21. Section 2 of chapter 774 of the laws of 1950, relating to agree-
   36  ing  with  the state of New Jersey with respect to rules and regulations
   37  governing traffic on vehicular crossings operated by  the  port  of  New
   38  York authority, is amended to read as follows:
   39    S  2.  No  traffic  shall  be permitted in or upon vehicular crossings
   40  except upon the payment of such tolls and other charges as may from time
   41  to time be prescribed by the port authority. It is hereby declared to be
   42  unlawful for any person to refuse to pay, or to evade or to  attempt  to
   43  evade the payment of such tolls or other charges.  THE OBLIGATION TO PAY
   44  SUCH  TOLLS  AND  OTHER CHARGES IS INCURRED AT THE TIME OF ENTRY INTO OR
   45  USE OF THE PARTICULAR VEHICULAR CROSSING.
   46    S 22. Section 16-a of chapter 774 of the laws  of  1950,  relating  to
   47  agreeing  with  the  state of New Jersey with respect to rules and regu-
   48  lations governing traffic on vehicular crossings operated by the port of
   49  New York authority, as added by chapter 379 of  the  laws  of  1992,  is
   50  amended to read as follows:
   51    S  16-a.  Owner  liability for failure of operator to comply with toll
   52  collection regulations of the port authority. Notwithstanding any  other
   53  provision  of  law  and  in  accordance with the provisions of [section]
   54  SECTIONS 16-b AND 16-C of this act, an owner of a vehicle  may  be  held
   55  liable  for  failure  of  an  operator  thereof  to comply with the toll
   56  collection regulations of the port authority of New York and New  Jersey
       S. 6357--A                         28                         A. 8557--A
    1  (hereinafter  called  port  authority).  The owner of a vehicle shall be
    2  liable pursuant to this section if such vehicle  was  used  or  operated
    3  with  the  permission  of the owner, express or implied, in violation of
    4  the  toll  collection  regulations  of  the  port  authority,  and  such
    5  violation is evidenced by information obtained from  a  photo-monitoring
    6  system,  provided,  however,  that no owner of a vehicle shall be liable
    7  where the operator of such vehicle has been convicted of a violation  of
    8  those toll collection regulations for the same incident.
    9    S  23.  Section  16-b  of chapter 774 of the laws of 1950, relating to
   10  agreeing with the state of New Jersey with respect to  rules  and  regu-
   11  lations governing traffic on vehicular crossings operated by the port of
   12  New  York authority, as added by chapter 379 of the laws of 1992, subdi-
   13  vision f as amended by chapter 666 of the laws of 1993,  is  amended  to
   14  read as follows:
   15    S 16-b. Imposition of liability for failure of operator to comply with
   16  toll  collection  regulations  of  the port authority. The liability set
   17  forth in section 16-a of this act, shall be imposed upon an owner for  a
   18  violation  by an operator of the toll collection regulations of the port
   19  authority occurring within the territorial limits of the  state  of  New
   20  York in accordance with the following:
   21    a. For the purposes of this section AND SECTIONS 16-A AND 16-C OF THIS
   22  ACT,  the  term "owner" shall mean any person, corporation, partnership,
   23  firm, agency, association, lessor, or organization who, at the  time  of
   24  the  violation [in any city in which a vehicle is operated] OR THE OBLI-
   25  GATION FOR PAYMENT OF THE TOLL CHARGES IS INCURRED:  (i) is the  benefi-
   26  cial or equitable owner of such vehicle; or (ii) has title to such vehi-
   27  cle;  or  (iii) is the registrant or co-registrant of such vehicle which
   28  is registered with the department of motor vehicles of this state or any
   29  other state, territory, district, province, nation  or  other  jurisdic-
   30  tion;  or  (iv) subject to the limitations set forth in subdivision f of
   31  this section, uses such vehicle in its vehicle  renting  and/or  leasing
   32  business;  and  includes (v) a person entitled to the use and possession
   33  of a vehicle subject to a security interest in another person.  For  the
   34  purposes  of  this  section,  the term "operator" shall mean any person,
   35  corporation, firm, partnership,  agency,  association,  organization  or
   36  lessee that uses or operates a vehicle with or without the permission of
   37  the  owner,  and  an  owner  who  operates his or her own vehicle.   FOR
   38  PURPOSES OF THIS SECTION AND SECTION 16-A OF THIS ACT, THE  TERM  "ELEC-
   39  TRONIC  TOLL COLLECTION SYSTEM" SHALL MEAN A SYSTEM FOR COLLECTING TOLLS
   40  OR OTHER CHARGES USING ELECTRONIC DATA AND IMAGES. For purposes of  this
   41  section,  the term "photo-monitoring system" shall mean a vehicle sensor
   42  installed to work in conjunction with a toll collection  facility  which
   43  automatically  produces one or more photographs, one or more microphoto-
   44  graphs, a videotape, or other recorded images of  each  vehicle  at  the
   45  time  it  is used or operated in [violation of the toll collection regu-
   46  lations of the port authority] OR UPON VEHICULAR CROSSINGS  OPERATED  BY
   47  THE  PORT  AUTHORITY. For purposes of this section AND SECTIONS 16-A AND
   48  16-C OF THIS ACT, the term "toll  collection  regulations  of  the  port
   49  authority" shall refer to the traffic regulations for interstate vehicu-
   50  lar  crossings operated by the port authority as set forth in this chap-
   51  ter and in chapter 192 of the laws of New Jersey of  1950,  and  specif-
   52  ically  that  section  of  the  laws  which prohibits traffic in or upon
   53  vehicular crossings operated by  the  port  authority  except  upon  the
   54  payment  of  such  tolls  and  other charges as may from time to time be
   55  prescribed by the port authority and which further makes it unlawful for
   56  any person to refuse to pay, or to evade or  to  attempt  to  evade  the
       S. 6357--A                         29                         A. 8557--A
    1  payment  of  such  tolls or other charges.  For purposes of this section
    2  AND SECTION 16-A OF THIS ACT, the term "vehicle" shall mean every device
    3  in, upon, or by which a person or property is or may be  transported  or
    4  drawn  upon  a highway[, except devices used exclusively upon stationary
    5  rails or tracks].
    6    b. A certificate, sworn to or affirmed by an agent of the port author-
    7  ity, or a facsimile thereof,  based  upon  inspection  of  [photographs,
    8  microphotographs,  videotape  or  other  recorded images] DATA OR IMAGES
    9  produced by [a photo-monitoring system] ITS ELECTRONIC  TOLL  COLLECTION
   10  SYSTEM OR OTHER RECORDS MAINTAINED BY OR ON BEHALF OF THE PORT AUTHORITY
   11  REGARDING  TOLL  VIOLATIONS  shall  be prima facie evidence of the facts
   12  contained therein and shall be admissible in any proceeding  charging  a
   13  violation of toll collection regulations of the port authority, provided
   14  that  any  [photographs,  microphotographs,  videotape or other recorded
   15  images] SUCH DATA, IMAGES, OR RECORDS evidencing such a violation  shall
   16  be  available for inspection and admission into evidence in any proceed-
   17  ing to adjudicate the liability for such violation.
   18    c. An imposition of liability pursuant to this section shall be  based
   19  upon  a preponderance of evidence as submitted. An imposition of liabil-
   20  ity pursuant to this section shall not be  deemed  a  conviction  of  an
   21  operator  and  shall  not  be  made  part of the motor vehicle operating
   22  record, furnished pursuant to section 354 of  the  vehicle  and  traffic
   23  law,  of  the person upon whom such liability is imposed nor shall it be
   24  used for insurance purposes in the provision of motor vehicle  insurance
   25  coverage.
   26    d.  (i)  A  notice  of liability shall be sent by first class mail OR,
   27  WITH CONSENT, BY  ELECTRONIC  MEANS  OF  COMMUNICATION  to  each  person
   28  alleged  to  be  liable  [as  an owner] for a violation pursuant to this
   29  section of the toll collection regulations of the port  authority.  Such
   30  notice  shall be [mailed] SENT no later than [thirty] ONE HUNDRED TWENTY
   31  days after the alleged violation. Personal delivery [on the owner] shall
   32  not be required. A manual or automatic record of [mailing]  SENDING  THE
   33  NOTICE  prepared in the ordinary course of business shall be prima facie
   34  evidence of the [mailing] SENDING of the notice.
   35    (ii) A notice of liability shall contain the name and address  of  the
   36  person  alleged  to  be liable [as an owner] for a violation of the toll
   37  collection regulations of the port authority pursuant to  this  section,
   38  the  registration  number  AND  STATE  OF  REGISTRATION  of  the vehicle
   39  involved in such violation, the  [location  where  such  violation  took
   40  place,  the date and time] LOCATIONS, DATES AND TIMES OF EACH USE OF THE
   41  VEHICULAR CROSSING THAT FORMS THE BASIS of such violation, THE AMOUNT OF
   42  THE ASSESSED TOLLS AND OTHER CHARGES, and the identification  number  of
   43  the  [photo-monitoring  system]  ELECTRONIC TOLL COLLECTION SYSTEM which
   44  recorded the [violation] USE or other document locator number.
   45    (iii) The notice of liability shall contain information  advising  the
   46  person  charged  of  the manner and the time in which he may contest the
   47  liability alleged in the notice. Such notice  of  liability  shall  also
   48  contain  a warning to advise the persons charged that failure to contest
   49  in the manner and time provided shall be deemed an admission of  liabil-
   50  ity and that a default judgment may be entered thereon.
   51    (iv)  The  notice  of liability shall be prepared and [mailed] SENT by
   52  the port authority or its duly authorized agent.
   53    e. If an owner receives a notice of liability pursuant to this section
   54  for any time period during which the vehicle was reported to the  police
   55  department  as  having  been  stolen,  it shall be a valid defense to an
   56  allegation of liability for a violation of  the  toll  collection  regu-
       S. 6357--A                         30                         A. 8557--A
    1  lations  of the port authority that the vehicle had been reported to the
    2  police as stolen prior to the time the violation occurred  and  had  not
    3  been  recovered by such time. If an owner receives a notice of liability
    4  pursuant  to  this  section for any time period during which the vehicle
    5  was stolen, but not as yet reported to the police as having been stolen,
    6  it shall be a  valid  defense  to  an  allegation  of  liability  for  a
    7  violation  of toll collection regulations of the port authority pursuant
    8  to this section that the vehicle was reported as stolen within two hours
    9  after discovery of the theft by the owner. For purposes of asserting the
   10  defense provided by this subdivision, it  shall  be  sufficient  that  a
   11  certified  copy  of  the  police report on the stolen vehicle be sent by
   12  first class mail to the court or other entity having jurisdiction.
   13    f. An owner, as defined in subdivision a of this  section,  who  is  a
   14  lessor  of  a vehicle to which a notice of liability was issued pursuant
   15  to subdivision d of this section shall not be liable  pursuant  to  this
   16  section for the violation of the toll collection regulations of the port
   17  authority  provided  that he or she sends to the port authority [serving
   18  the notice of liability and to the court or other entity  having  juris-
   19  diction]  OR  ITS  DULY  AUTHORIZED AGENT FOR THIS PURPOSE a copy of the
   20  rental, lease or other such contract document covering such  vehicle  on
   21  the date of the [violation] USE OF THE VEHICULAR CROSSING, with the name
   22  and  address  of  the  lessee  clearly legible, within thirty days after
   23  receiving from the port authority or  its  duly  authorized  agent  [the
   24  original]  FOR THIS PURPOSE notice of [liability] THE USE OF THE VEHICU-
   25  LAR CROSSING BY SUCH VEHICLE. Failure to send  such  information  within
   26  such  thirty  day  time  period  shall  render the lessor liable for the
   27  penalty prescribed by this section. Where the lessor complies  with  the
   28  provisions  of  this subdivision, the lessee of such vehicle on the date
   29  of such [violation] USE OF THE VEHICULAR CROSSING shall be deemed to  be
   30  the  owner  of  such  vehicle  for purposes of this section and shall be
   31  subject to liability for the violation of toll collection regulations of
   32  the port authority [provided that the port authority or its duly author-
   33  ized agent mails a notice of liability to the  lessee  within  ten  days
   34  after  the  court, or other entity having jurisdiction, deems the lessee
   35  to be the owner]. For purposes of this  subdivision  the  term  "lessor"
   36  shall  mean  any person, corporation, firm, partnership, agency, associ-
   37  ation or organization engaged in the  business  of  renting  or  leasing
   38  vehicles  to  any  lessee  under  a rental agreement, lease or otherwise
   39  wherein the said lessee has the exclusive use of said  vehicle  for  any
   40  period  of time. For the purposes of this subdivision, the term "lessee"
   41  shall mean any person, corporation, firm, partnership,  agency,  associ-
   42  ation or organization that rents, leases or contracts for the use of one
   43  or more vehicles and has exclusive use thereof for any period of time.
   44    g.  Except  as  provided in subdivision f of this section, if a person
   45  receives a notice of liability pursuant to this section it  shall  be  a
   46  valid  defense  to  an  allegation  of liability for a violation of toll
   47  collection regulations of the port authority  that  the  individual  who
   48  received  the  notice  of liability pursuant to this section was not the
   49  owner of the vehicle at the time the [violation] USE  OF  THE  VEHICULAR
   50  CROSSING  occurred.  If  the  owner  liable  for a violation of the toll
   51  collection regulations of the port authority pursuant  to  this  section
   52  was  not  the operator of the vehicle at the time of the [violation] USE
   53  OF THE VEHICULAR CROSSING, the owner may maintain an action for indemni-
   54  fication against the operator. The operator of the vehicle may apply  to
   55  the  court or other entity having jurisdiction to adjudicate the liabil-
   56  ity  imposed  under  this  section  to  accept  responsibility  for  the
       S. 6357--A                         31                         A. 8557--A
    1  violation  and  satisfactorily  discharge all applicable tolls, charges,
    2  FEES, and penalties related to the violation.
    3    h.  ["Electronic  toll  collection  system"  shall  mean  a  system of
    4  collecting tolls or charges which is  capable  of  charging  an  account
    5  holder  the  appropriate  toll  or charge by transmission of information
    6  from an electronic device on a motor vehicle to  the  toll  lane,  which
    7  information  is  used  to  charge  the  account  the appropriate toll or
    8  charge.] In adopting procedures for the preparation and [mailing]  SEND-
    9  ING  of a notice of liability, the port authority or its duly authorized
   10  agent shall adopt guidelines [to ensure] FOR SENDING BY FIRST CLASS MAIL
   11  OR, WITH CONSENT, BY ELECTRONIC MEANS  OF  COMMUNICATION,  adequate  and
   12  timely  notice  to all electronic toll collection system account holders
   13  to inform them when their accounts are delinquent. An owner  who  is  an
   14  account  holder under the electronic toll collection system shall not be
   15  found liable for a violation of this section unless such  authority  has
   16  first  sent  a  notice  of  delinquency  to  such account holder and the
   17  account holder was in fact delinquent at the time of the violation.
   18    i. Nothing in this section shall be construed to limit  the  liability
   19  of  an  operator  of OR THE ACCOUNT HOLDER ASSOCIATED WITH a vehicle for
   20  any violation of the toll collection regulations of the port  authority.
   21  Nothing  in  this section shall authorize or preclude the port authority
   22  from excluding from any of its facilities, in its sole  discretion,  any
   23  or  all  vehicles found liable under this section as well as other vehi-
   24  cles owned or operated by the owner or operator  of  OR  ACCOUNT  HOLDER
   25  ASSOCIATED WITH such vehicle.
   26    j. Notwithstanding any other provision of law, all photographs, micro-
   27  photographs,  videotape  or  other  recorded images prepared pursuant to
   28  this section shall be for the exclusive use of the port authority in the
   29  discharge of its duties under this section and shall not be open to  the
   30  public  nor  be  used  in  any court in any action or proceeding pending
   31  therein unless such action or proceeding relates to the imposition of or
   32  indemnification for liability pursuant to this section. The port author-
   33  ity or its duly authorized agent shall  not  sell,  distribute  or  make
   34  available  in  any  way,  the  names  and  addresses  of electronic toll
   35  collection system account holders,  or  any  information  compiled  from
   36  transactions  with  such  account holders, without such account holders'
   37  consent to any entity that will use such information for any  commercial
   38  purpose  provided  that the foregoing restriction shall not be deemed to
   39  preclude the exchange of such  information  between  any  entities  with
   40  jurisdiction  over  and or operating a toll highway bridge and/or tunnel
   41  facility.
   42    S 24. Section 16-c of chapter 774 of the laws  of  1950,  relating  to
   43  agreeing  with  the  state of New Jersey with respect to rules and regu-
   44  lations governing traffic on vehicular crossings operated by the port of
   45  New York authority, as added by chapter 379 of  the  laws  of  1992,  is
   46  amended to read as follows:
   47    S  16-c.  Adjudication  of  liability.  Adjudication  of the liability
   48  imposed upon an owner by section 16-a of this act for a violation of the
   49  toll collection regulations of the port authority occurring  within  the
   50  territorial  limits of the state of New York shall be in accordance with
   51  the vehicle and traffic law of New York as set forth  in  sections  235,
   52  236,  237, 239, 240, 241, 242, 401, 510 and 1809 of such law, or by such
   53  entity having jurisdiction over violations of the toll collection  regu-
   54  lations of the port authority occurring within the territorial limits of
   55  the  state  of New York, provided that all violations shall be heard and
   56  determined in the county in which [the  violation  is  alleged  to  have
       S. 6357--A                         32                         A. 8557--A
    1  occurred,  or by consent of both parties,] OBLIGATION FOR PAYMENT OF THE
    2  TOLLS OR OTHER CHARGES WAS INCURRED, OR in any county in  the  state  of
    3  New  York  in which the port authority operates or maintains a facility.
    4  An  owner  found  liable  for a violation of toll collection regulations
    5  pursuant to this section shall for a first violation thereof  be  liable
    6  for  THE  FULL AMOUNT OF THE ASSESSED TOLL AND OTHER CHARGES AND FEES IN
    7  ADDITION TO a monetary penalty not to exceed [fifty] ONE HUNDRED dollars
    8  or two times  the  toll  evaded  whichever  is  greater;  for  a  second
    9  violation  thereof  both  within  eighteen months be liable for THE FULL
   10  AMOUNT OF THE ASSESSED TOLL AND OTHER CHARGES AND FEES IN ADDITION TO  a
   11  monetary  penalty  not to exceed [one] TWO hundred dollars or five times
   12  the toll  evaded  whichever  is  greater;  for  a  third  or  subsequent
   13  violation  thereof  all  within  eighteen  months be liable for THE FULL
   14  AMOUNT OF THE ASSESSED TOLL AND OTHER CHARGES AND FEES IN ADDITION TO  a
   15  monetary  penalty  not  to exceed [one] THREE hundred [fifty] dollars or
   16  ten times the toll evaded whichever is greater.  THE FULL AMOUNT OF  THE
   17  ASSESSED  TOLLS AND OTHER CHARGES AND FEES AND ONE-HALF OF SUCH MONETARY
   18  PENALTIES COLLECTED SHALL BE PAID TO THE PORT AUTHORITY;  THE  REMAINING
   19  HALF  OF SUCH MONETARY PENALTIES COLLECTED SHALL BE RETAINED OR DISTRIB-
   20  UTED BY THE TRIBUNAL OR ENTITY ADJUDICATING THE VIOLATION IN  ACCORDANCE
   21  WITH EXISTING LAW.
   22    S  25.  This  act  shall  take effect on the one hundred twentieth day
   23  after it shall have become a law, provided that:
   24    (a) the amendments to subparagraph (i) of paragraph a  of  subdivision
   25  5-a  of  section  401  of  the  vehicle  and traffic law made by section
   26  fifteen of this act shall not affect the expiration  of  such  paragraph
   27  and  shall  be  deemed  to  expire  therewith,  when  upon such date the
   28  provisions of section fifteen-a of this act shall take effect;
   29    (b) the amendments to paragraph a of subdivision 5-a of section 401 of
   30  the vehicle and traffic law made by section fifteen-a of this act  shall
   31  not  affect  the  expiration  of  such  paragraph and shall be deemed to
   32  expire  therewith,  when  upon  such  date  the  provisions  of  section
   33  fifteen-b of this act shall take effect;
   34    (c) the amendments to paragraph a of subdivision 5-a of section 401 of
   35  the  vehicle and traffic law made by section fifteen-b of this act shall
   36  not affect the expiration of such  paragraph  and  shall  be  deemed  to
   37  expire  therewith,  when  upon  such  date  the  provisions  of  section
   38  fifteen-c of this act shall take effect; and
   39    (d) the amendments to paragraph a of subdivision 5-a of section 401 of
   40  the vehicle and traffic law made by section fifteen-c of this act  shall
   41  not  affect  the  expiration  of  such  paragraph and shall be deemed to
   42  expire  therewith,  when  upon  such  date  the  provisions  of  section
   43  fifteen-d of this act shall take effect.
   44                                   PART H
   45    Section  1.  Section 9 of chapter 67 of the laws of 1992, amending the
   46  environmental conservation law relating to pesticide  product  registra-
   47  tion  timetables  and fees, as amended by section 1 of part S of chapter
   48  60 of the laws of 2011, is amended to read as follows:
   49    S 9. This act shall take effect April 1, 1992 [provided, however, that
   50  section three of this act shall take  effect  July  1,  1993  and  shall
   51  expire and be deemed repealed on July 1, 2014].
   52    S 2. Section 33-0705 of the environmental conservation law, as amended
   53  by  section 2 of part S of chapter 60 of the laws of 2011, is amended to
   54  read as follows:
       S. 6357--A                         33                         A. 8557--A
    1  S 33-0705. Fee for registration.
    2    The applicant for registration shall pay a fee as follows:
    3    a.  [On  or  before  July  1,  2014, six] SIX hundred dollars for each
    4  pesticide proposed to be registered, provided  that  the  applicant  has
    5  submitted  to  the  department proof in the form of a federal income tax
    6  return for the previous year showing gross  annual  sales,  for  federal
    7  income  tax  purposes, of three million five hundred thousand dollars or
    8  less;
    9    b. [On or before July 1, 2014, for] FOR all others, six hundred twenty
   10  dollars for each pesticide proposed to be registered[;
   11    c. After July 1, 2014, fifty dollars for each pesticide proposed to be
   12  registered].
   13    S 3. Paragraph a of subdivision 1 and subdivision 2 of section 33-1201
   14  of the environmental conservation law, as added by chapter  279  of  the
   15  laws of 1996, are amended to read as follows:
   16    a.  The department shall [develop] MAINTAIN a pesticide sales [and use
   17  computer] data base [in conjunction with Cornell  University.  The  data
   18  base shall be maintained at the department].
   19    2.  The  commissioner  shall  prepare  an  annual [report summarizing]
   20  SUMMARY OF pesticide sales[, quantity of pesticides  used,  category  of
   21  applicator and region of application. The commissioner shall not provide
   22  the  name, address, or any other information which would otherwise iden-
   23  tify a commercial or private applicator, or  any  person  who  sells  or
   24  offers  for  sale  restricted use or general use pesticides to a private
   25  applicator, or any person who received  the  services  of  a  commercial
   26  applicator.  In  accordance with article six of the public officers law,
   27  proprietary information contained within such  record,  including  price
   28  charged  per  product,  shall not be disclosed] BY COUNTY.  The [report]
   29  ANNUAL SUMMARY shall be [submitted to the governor, the temporary presi-
   30  dent of the senate and the speaker of the assembly, and  shall  be  made
   31  available to all interested parties. The first report shall be submitted
   32  on  July  first,  nineteen  hundred  ninety-eight  and] PUBLISHED ON THE
   33  DEPARTMENT'S PUBLIC WEBSITE on OR BEFORE July first [annually  thereaft-
   34  er].
   35    S  4.  Subdivision 1 of section 33-1203 of the environmental conserva-
   36  tion law, as added by chapter 279 if the laws of  1996,  is  amended  to
   37  read as follows:
   38    1.  [a.] The commissioner shall, upon written request of an interested
   39  party, in printed OR ELECTRONIC form [or on a diskette  in  computerized
   40  data  base  format],  provide the information on pesticides submitted to
   41  the department pursuant to sections 33-1205 and 33-1207 of  this  title.
   42  Such information shall be provided by county or counties[, or five-digit
   43  zip code or codes as selected by the interested party making the written
   44  request.  The  commissioner  shall not provide the name, address, or any
   45  other information which would otherwise identify a commercial or private
   46  applicator, or any person who sells or offers for sale restricted use or
   47  general use pesticides to  a  private  applicator,  or  any  person  who
   48  received  the  services  of  a commercial applicator. In accordance with
   49  article  six  of  the  public  officers  law,  proprietary   information
   50  contained within such record, including price charged per product, shall
   51  not  be  disclosed.  The provisions of this paragraph shall not apply to
   52  the provision of pesticide data  to  the  commissioner  of  health,  the
   53  health research science board and researchers pursuant to title one-B of
   54  article twenty-four of the public health law.
   55    b.  The  department shall, upon request from the department of health,
   56  compile pesticide application information by  nine-digit  zip  code  and
       S. 6357--A                         34                         A. 8557--A
    1  provide  the  information  to the commissioner of health for researchers
    2  entitled to receive information pursuant to paragraph (d) of subdivision
    3  one of section twenty-four hundred  eleven  of  the  public  health  law
    4  provided,  however, if the nine-digit zip code cannot be determined, the
    5  information shall be compiled by town or city].
    6    S 5. Section 33-1205 of the environmental conservation law,  as  added
    7  by  chapter  279  of the laws of 1996 and the closing paragraph of para-
    8  graph a of subdivision 2 as amended by chapter 260 of the laws of  1997,
    9  is amended to read as follows:
   10  S 33-1205. Recordkeeping and reporting.
   11    1. All commercial applicators shall maintain pesticide use records for
   12  each pesticide application containing the following:
   13    a. EPA registration number;
   14    b. product name;
   15    c. quantity of each pesticide used;
   16    d. date applied;
   17    e. location of application by address (including five-digit zip code).
   18    Such  records  shall be maintained for a period of not less than three
   19  years. [All commercial applicators shall  file,  at  least  annually,  a
   20  report  or  reports  containing  such information with the department on
   21  computer diskette or in printed form on or before February first for the
   22  prior calendar year.] All commercial  applicators  shall  also  maintain
   23  corresponding records of the dosage rates, methods AND PLACE of applica-
   24  tion  and target organisms for each pesticide application. These records
   25  shall be CREATED IMMEDIATELY AFTER APPLICATION, maintained on an  annual
   26  basis  and retained for a period of not less than [three] FIVE years and
   27  shall be available for inspection upon request by the department.
   28    2. a. Every person who sells or offers for sale restricted use  pesti-
   29  cides  to private applicators shall issue a record to the private appli-
   30  cator of each sale of a restricted use pesticide or a general use pesti-
   31  cide used in agricultural  crop  production  to  such  applicator.  Such
   32  record of each sale shall include the following:
   33    1. EPA registration number;
   34    2. product name of the pesticide purchased;
   35    3. quantity of the pesticide purchased;
   36    4. date purchased;
   37    5.  location  of intended application by address (including five-digit
   38  zip code) or if address is unavailable by town or city (including  five-
   39  digit zip code) if the location of intended application differs from the
   40  billing address that appears on the record.
   41    [Every  person  who sells or offers for sale restricted use pesticides
   42  to private applicators shall  file,  at  least  annually,  a  report  or
   43  reports  containing  such  information  with  the department on computer
   44  diskette or in printed form on or before February first  for  the  prior
   45  calendar  year.  The department shall not use the reports filed pursuant
   46  to this paragraph for enforcement purposes.]
   47    b. All private applicators shall maintain, at a  minimum,  records  of
   48  the  restricted  pesticides  purchased,  crop treated by such, method of
   49  application, and date of application or applications.  This  information
   50  shall be RECORDED IMMEDIATELY AFTER APPLICATION, maintained on an annual
   51  basis  and retained for a minimum of three years, and shall be available
   52  for inspection upon request by the department.
   53    [c. A private applicator  shall,  upon  request,  within  six  months,
   54  provide  site-specific information relating to pesticide applications to
   55  any researcher entitled to receive information pursuant to paragraph (d)
   56  of subdivision one of section twenty-four hundred eleven of  the  public
       S. 6357--A                         35                         A. 8557--A
    1  health  law, provided, however, such request shall not be granted during
    2  planting and harvesting unless at a time and in a manner that is mutual-
    3  ly convenient.]
    4    3. A. EVERY PERSON WHO SELLS OR OFFERS FOR SALE PESTICIDES SHALL MAIN-
    5  TAIN  RECORDS  OF  ALL  RETAIL  SALES OF SUCH PESTICIDES BY COUNTY. SUCH
    6  RECORDS SHALL INCLUDE THE FOLLOWING:
    7    1. EPA REGISTRATION NUMBER;
    8    2. PRODUCT NAME OF THE PESTICIDE SOLD;
    9    3. TOTAL QUANTITY OF THE PESTICIDE SOLD DURING THE  CALENDAR  YEAR  IN
   10  EACH COUNTY IN THE STATE.
   11    EVERY  PERSON  WHO  SELLS OR OFFERS FOR SALE PESTICIDES SHALL FILE, AT
   12  LEAST ANNUALLY, A REPORT OR REPORTS CONTAINING SUCH INFORMATION WITH THE
   13  DEPARTMENT IN ELECTRONIC OR PRINTED FORM ON OR BEFORE FEBRUARY FIRST FOR
   14  THE PRIOR CALENDAR YEAR.
   15    B. THE REQUIREMENTS OF THIS SUBDIVISION ARE NOT APPLICABLE TO: MINIMUM
   16  RISK PESTICIDES; GENERAL USE ANTIMICROBIAL PESTICIDES, EXCEPT THOSE THAT
   17  ARE SUBJECT TO THE PESTICIDE APPLICATOR  CERTIFICATION  REQUIREMENTS  IN
   18  REGULATIONS   PROMULGATED  BY  THE  DEPARTMENT;  GENERAL  USE  PESTICIDE
   19  PRODUCTS APPLIED TO  THE  CLOTHING  OR  SKIN;  OR  GENERAL  USE  AEROSOL
   20  PRODUCTS WITH A DIRECTED SPRAY IN CONTAINERS OF EIGHTEEN FLUID OUNCES OR
   21  LESS,  BUT  NOT  INCLUDING  ANY  FOGGER  PRODUCT OR AEROSOL PRODUCT THAT
   22  DISCHARGES TO A WIDE AREA.
   23    S 6. Section 33-1207 of the environmental conservation law,  as  added
   24  by chapter 279 of the laws of 1996, is amended to read as follows:
   25  S 33-1207. Recordkeeping and reporting by importers and manufacturers.
   26    1.  Each  person manufacturing or compounding a registered [restricted
   27  use] pesticide in this state,  or  importing  or  causing  a  registered
   28  [restricted  use]  pesticide  to  be  imported  into this state for use,
   29  distribution, or storage, shall maintain records of all sales within the
   30  state during the preceding year of each [restricted use] pesticide prod-
   31  uct which he or she has imported, manufactured or compounded. The record
   32  of each [restricted use] pesticide product shall include:
   33    a. EPA registration number;
   34    b. container size; and
   35    c. number of containers sold to New York purchasers.
   36    2. Such records shall be maintained for a  period  of  not  less  than
   37  three  years.    All  manufacturers  and  importers shall file an annual
   38  report containing such information  with  the  department  [on  computer
   39  diskette] IN ELECTRONIC or [in] printed form on or before February first
   40  for the prior calendar year.
   41    3.  THE  REQUIREMENTS  OF THIS SECTION ARE NOT APPLICABLE TO:  MINIMUM
   42  RISK PESTICIDES; GENERAL USE ANTIMICROBIAL PESTICIDES, EXCEPT THOSE THAT
   43  ARE SUBJECT TO THE PESTICIDE APPLICATOR  CERTIFICATION  REQUIREMENTS  IN
   44  REGULATIONS   PROMULGATED  BY  THE  DEPARTMENT;  GENERAL  USE  PESTICIDE
   45  PRODUCTS APPLIED TO  THE  CLOTHING  OR  SKIN;  OR  GENERAL  USE  AEROSOL
   46  PRODUCTS WITH A DIRECTED SPRAY IN CONTAINERS OF EIGHTEEN FLUID OUNCES OR
   47  LESS,  BUT  NOT  INCLUDING  ANY  FOGGER  PRODUCT OR AEROSOL PRODUCT THAT
   48  DISCHARGES TO A WIDE AREA.
   49    S 7. This act shall take effect immediately and  shall  be  deemed  to
   50  have been in full force and effect on and after April 1, 2014.
   51                                   PART I
   52    Section  1.  Subdivision  25  of  section 11-0103 of the environmental
   53  conservation law, as amended by chapter 595 of  the  laws  of  1984,  is
   54  amended to read as follows:
       S. 6357--A                         36                         A. 8557--A
    1    25.  "Hunting  [accident"]  RELATED  INCIDENT"  means the injury to or
    2  death of a person caused by the discharge  of  a  firearm,  CROSSBOW  or
    3  longbow  while  the  person  causing such injury or death, or the person
    4  injured or killed, is taking or attempting to  take  game,  wildlife  or
    5  fish.
    6    S  2. Paragraphs 1 and 2 of subdivision 3 and subdivision 5 of section
    7  11-0701 of the environmental conservation law, as amended by section 1-a
    8  of part R of chapter 58 of the laws of 2013,  are  amended  to  read  as
    9  follows:
   10    (1)  who  is between the ages of twelve and sixteen years to hunt wild
   11  deer and bear with a longbow OR  CROSSBOW  during  the  special  archery
   12  season  and  during  the  regular season, as provided in title 9 of this
   13  article, subject to the provisions of section 11-0929 and subdivision  3
   14  of section 11-0713 of this article;
   15    (2)  who  is eighteen years of age or older to hunt wild deer and bear
   16  with a longbow OR CROSSBOW, as provided in title 9 of this article, in a
   17  special [longbow] ARCHERY season; and
   18    5. A non-resident bear tag entitles a person who has not been a  resi-
   19  dent of the state for more than thirty days who also possesses a hunting
   20  license  to  hunt  bear during the regular open season therefor or in an
   21  open season fixed by regulation pursuant to subdivision eight of section
   22  11-0903 of this article. It entitles  a  non-resident  holder  who  also
   23  possesses  a hunting license with bowhunting privilege to hunt bear with
   24  a longbow OR CROSSBOW during the open bear season. It entitles a non-re-
   25  sident holder who also possesses a hunting license  with  muzzle-loading
   26  privilege to hunt bear with a muzzleloader during the open bear season.
   27    S  3.  Paragraph b of subdivision 6 of section 11-0703 of the environ-
   28  mental conservation law, as amended by section 2 of part R of chapter 58
   29  of the laws of 2013, is amended to read as follows:
   30    b. Except as provided in section 11-0707 and section 11-0709  of  this
   31  title,  no  person  shall  (1) hunt wild deer or bear unless such person
   32  holds and is entitled to exercise the privileges of a  hunting  license,
   33  and  meets  the requirements of this article; (2) hunt wild deer or bear
   34  with a longbow OR CROSSBOW in a special [longbow] ARCHERY season  unless
   35  such  person holds and is entitled to exercise the privileges of a hunt-
   36  ing license with a bowhunting privilege and meets  the  requirements  of
   37  this  article;  or  (3)  hunt  wild  deer  or bear with a muzzle-loading
   38  firearm in a special muzzle-loading firearm season unless such person is
   39  at least fourteen years old and holds a hunting license with  a  muzzle-
   40  loading privilege and meets the requirements of this article.
   41    S 4. Subparagraph 4 of paragraph b of subdivision 1 of section 11-0719
   42  of  the environmental conservation law, as amended by chapter 436 of the
   43  laws of 2000, is amended to read as follows:
   44    (4) is convicted of an offense involving a violation  of  subdivisions
   45  one  and  two  of  section 11-0901 of this article relating to taking of
   46  wildlife when the person taking is in or on a motor vehicle  while  such
   47  motor vehicle is on a public highway or an offense involving a violation
   48  of  subdivision  one of section 11-0901 of this article and subparagraph
   49  one of paragraph a of subdivision four of section 11-0931 of this  arti-
   50  cle  relating  to  taking  wildlife when the person taking is in or on a
   51  motor vehicle and discharging a firearm, CROSSBOW or longbow in  such  a
   52  way  that the load, BOLT or arrow passes over a public highway or a part
   53  thereof or signs an acknowledgment of any such violation for the purpose
   54  of affecting a settlement by civil compromise or by stipulation.
   55    S 5. Subdivisions 2 and 3 of  section  11-0719  of  the  environmental
   56  conservation law, subdivision 2 as amended by section 27 and subdivision
       S. 6357--A                         37                         A. 8557--A
    1  3  as amended by section 28 of part R of chapter 58 of the laws of 2013,
    2  are amended to read as follows:
    3    2.  a. The department may revoke the licenses, tags, bowhunting privi-
    4  leges, or muzzle-loading privileges, which authorize the holder to  hunt
    5  and/or  trap  wildlife,  and  may  deny  the privilege of obtaining such
    6  licenses, tags, bowhunting privileges, or muzzle-loading privileges, and
    7  may deny the privileges of hunting and/or trapping  with  or  without  a
    8  license.
    9    (1) of any person who, while engaged in hunting, FISHING or trapping,
   10    (i)  causes  death  or injury to [another] ANY PERSON by discharging a
   11  firearm, CROSSBOW or longbow, or
   12    (ii) so negligently discharges a firearm, CROSSBOW or  longbow  as  to
   13  endanger the life or safety of another, or
   14    (iii)  so  negligently  and wantonly discharges a firearm, CROSSBOW or
   15  longbow as to destroy or damage public or private property; or
   16    (2) of any agent of the department authorized to issue certificates of
   17  qualification in responsible hunting, bowhunting, or trapping  practices
   18  who  improperly issues any such certification to a person whom he OR SHE
   19  has not trained,  or  whom  he  OR  SHE  knows  has  not  satisfactorily
   20  completed all of the requirements necessary for such certification.
   21    b.  Action  by  the  department  resulting  in  the revocation of such
   22  license or denial of the privilege to hunt and trap as provided in  this
   23  subdivision  shall  be  only after a hearing held by the department upon
   24  notice to the offender, at which proof of facts indicating the violation
   25  is established to the satisfaction of the commissioner or of the hearing
   26  officer designated by him OR HER and concurred in by  the  commissioner.
   27  Provided  that  where a person, while hunting, causes death or injury to
   28  any person by discharge of a firearm, CROSSBOW or longbow,  the  commis-
   29  sioner  may,  in his OR HER discretion, suspend such person's license or
   30  licenses to hunt and suspend such  person's  right  to  hunt  without  a
   31  license  for  a period of up to sixty days pending a hearing as provided
   32  for in this subdivision.
   33    c. In case such discharge of a firearm,  CROSSBOW  or  longbow  causes
   34  death  or  injury  to  [another]  ANY  PERSON,  the license or licenses,
   35  bowhunting privilege, and muzzle-loading privilege shall be revoked  and
   36  the  ability  to  obtain  any such license and of hunting or of trapping
   37  anywhere in the state with or without a license denied, for a period not
   38  exceeding ten years, except that no revocation shall be made in cases in
   39  which facts established at the hearing indicate to the  satisfaction  of
   40  the commissioner that there was no negligence on the part of the shooter
   41  or  [bowman]  BOWHUNTER.  In  all  other  cases the license or licenses,
   42  bowhunting privilege, or muzzle-loading privilege, shall be revoked  and
   43  the  privilege  of  obtaining  such  license,  bowhunting  privilege, or
   44  muzzle-loading privilege, and of hunting or of trapping anywhere in  the
   45  state  with  or without a license denied for a period not exceeding five
   46  years. The department may also require  that  the  person  causing  such
   47  death   [or],  injury,  ENDANGERMENT  OR  PROPERTY  DAMAGE  successfully
   48  complete a department-sponsored course and obtain a certificate of qual-
   49  ification in responsible hunting or bowhunting  practices  before  being
   50  issued another hunting license.
   51    d. Every person injuring himself, herself or another person in a hunt-
   52  ing  [accident,  as  such  term  is defined in subdivision 25 of section
   53  11-0103 of this article] RELATED INCIDENT,  and  the  investigating  law
   54  enforcement  officer summoned to or arriving at the scene of such [acci-
   55  dent] INCIDENT shall within ten days from the occurrence of such  [acci-
   56  dent]  INCIDENT file a report of the [accident] INCIDENT in writing with
       S. 6357--A                         38                         A. 8557--A
    1  the department. Every such person or law enforcement officer shall  make
    2  such  other  and  additional  reports  as  the department shall require.
    3  Failure to report such [accident] INCIDENT as  herein  provided  by  the
    4  person causing injury or to furnish relevant information required by the
    5  department shall be a violation and shall constitute grounds for suspen-
    6  sion  or revocation of such person's hunting licenses and bowhunting and
    7  muzzle-loading privileges and denial of the ability to obtain  any  such
    8  license  and of hunting with or without a license following a hearing or
    9  opportunity to be heard. In addition,  the  department  may  temporarily
   10  suspend the license of the person failing to report a hunting [accident]
   11  RELATED  INCIDENT  within the period prescribed herein until such report
   12  has been filed. In the case of a non-resident, the failure to report  an
   13  [accident]  INCIDENT  as  herein  provided  shall constitute grounds for
   14  suspension or revocation of his or her privileges of hunting within this
   15  state. The report required by this section shall be made  in  such  form
   16  and number as the department may prescribe.
   17    3.  A  hunting  license  issued to a person who is at least twelve and
   18  less than sixteen years of age or  a  hunting  license  with  bowhunting
   19  privilege  issued  to  a  person  who  is between the ages of twelve and
   20  sixteen years may be revoked by the department upon  proof  satisfactory
   21  to  the department that such person, while under the age of sixteen, has
   22  engaged in hunting wildlife with a gun, CROSSBOW or longbow, in  circum-
   23  stances in which a license and/or bowhunting or muzzle-loading privilege
   24  is  required,  while  not  accompanied by his or her parent, guardian or
   25  other adult as provided in section  11-0929  of  this  article.    ADDI-
   26  TIONALLY,  THE  DEPARTMENT  MAY  REVOKE THE HUNTING AND/OR BOWHUNTING OR
   27  MUZZLE-LOADING PRIVILEGE OF ANY PARENT, GUARDIAN, YOUTH MENTOR OR  OTHER
   28  ADULT UPON PROOF SATISFACTORY TO THE DEPARTMENT THAT SUCH PERSON ALLOWED
   29  THE  HOLDER OF A HUNTING LICENSE, BOWHUNTING PRIVILEGE OR MUZZLE-LOADING
   30  PRIVILEGE TO HUNT WILDLIFE WITH A GUN, CROSSBOW OR LONGBOW IN  VIOLATION
   31  OF  SECTION  11-0929  OF  THIS  ARTICLE. If such license or privilege is
   32  revoked the department shall fix the period of such revocation, which is
   33  not to exceed six years. The department may  require  that  such  person
   34  successfully complete a department sponsored course and obtain a certif-
   35  icate  of qualification in responsible hunting or responsible bowhunting
   36  practices before being issued another hunting or bowhunting license.
   37    S 6. Paragraphs b and g of subdivision 3, subparagraphs 5, 6 and 8  of
   38  paragraph b, subparagraphs 5, 6 and 8 of paragraph c, and subparagraph 1
   39  of  paragraph d of subdivision 4 of section 11-0901 of the environmental
   40  conservation law, paragraph b of subdivision 3 as amended by chapter 911
   41  of the laws of 1990, paragraph g of subdivision 3 as amended by  chapter
   42  34 of the laws of 1979, subparagraph 5 of paragraph b and subparagraph 5
   43  of paragraph c of subdivision 4 as amended by chapter 430 of the laws of
   44  2000  and subparagraphs 6 and 8 of paragraph b, subparagraphs 6 and 8 of
   45  paragraph c and subparagraph 1  of  paragraph  d  of  subdivision  4  as
   46  amended  by  chapter  600  of  the  laws of 1993, are amended to read as
   47  follows:
   48    b. Wild deer and bear shall not be taken except by gun, CROSSBOW or by
   49  long bow. Where an open season, set forth in the table of  open  seasons
   50  in  section  11-0907  OF  THIS  TITLE or otherwise established by law or
   51  fixed by regulation, is specified as an open season for taking such game
   52  by shotgun or long bow only, or is  specified  as  an  open  season  for
   53  taking  such game by long bow only, they shall not be taken except as so
   54  specified.
   55    g. Wildlife shall not be taken [by the use of a cross-bow, by  a  long
   56  bow  drawn, pulled, released, or held in a drawn position by any mechan-
       S. 6357--A                         39                         A. 8557--A
    1  ical device attached to a portion of the bow other than  the  bowstring,
    2  or] by the use of a device commonly called a spear gun.
    3    (5)  with a [bow other than a] long bow with a draw weight [in excess]
    4  of LESS THAN thirty-five pounds; or
    5    (6) with an arrow OR BOLT with an arrowhead that  measures  less  than
    6  seven-eighths  of an inch at its widest point or that has fewer than two
    7  sharp cutting edges; or
    8    (8) with an arrow OR BOLT with a barbed broadhead arrowhead.
    9    (5) with a [bow other than a] long bow with a draw weight [in  excess]
   10  of LESS THAN thirty-five pounds; or
   11    (6)  with  an  arrow OR BOLT with an arrowhead that measures less than
   12  seven-eighths of an inch at its widest point or that has fewer than  two
   13  sharp cutting edges; or
   14    (8) with an arrow OR BOLT with a barbed broadhead arrowhead.
   15    (1)  such long bow OR CROSSBOW is unstrung, or such a firearm is taken
   16  down, or securely fastened in a case, or locked in the trunk of a  vehi-
   17  cle, or
   18    S  7.  Subdivisions  11 and 16 of section 11-0901 of the environmental
   19  conservation law are REPEALED.
   20    S 8. Section 11-0903 of the environmental conservation law is  amended
   21  by adding a new subdivision 12 to read as follows:
   22    12.  NOTWITHSTANDING  ANY  INCONSISTENT PROVISION OF THIS ARTICLE, THE
   23  DEPARTMENT IS AUTHORIZED TO ADOPT REGULATIONS WHICH AUTHORIZE THE TAKING
   24  OF WILDLIFE BY THE USE OF A CROSSBOW. A SUMMARY OF  REGULATIONS  ADOPTED
   25  PURSUANT TO THIS SUBDIVISION SHALL BE PUBLISHED EACH YEAR IN THE HUNTING
   26  SYLLABUS ISSUED PURSUANT TO SECTION 11-0323 OF THIS ARTICLE.
   27    S  9.  Subdivisions  2  and  4 of section 11-0931 of the environmental
   28  conservation law, subdivision 2 as amended by section 7  of  part  H  of
   29  chapter  58 of the laws of 2012, subparagraph 3 of paragraph a of subdi-
   30  vision 4 as added by chapter 400 of the laws of 1973 and subparagraph  4
   31  of  paragraph  a  of subdivision 4 as added by chapter 67 of the laws of
   32  1976, are amended to read as follows:
   33    2. No CROSSBOW OR firearm except a pistol or revolver shall be carried
   34  or possessed in or on a motor vehicle  unless  it  is  UNCOCKED,  FOR  A
   35  CROSSBOW  OR  unloaded,  FOR A FIREARM in both the chamber and the maga-
   36  zine, except that a loaded firearm which may be legally used for  taking
   37  migratory  game  birds  may be carried or possessed in a motorboat while
   38  being legally used in hunting migratory game birds, and no person except
   39  a law enforcement officer in the  performance  of  his  official  duties
   40  shall,  while  in  or  on a motor vehicle, use a jacklight, spotlight or
   41  other artificial light  upon  lands  inhabited  by  deer  if  he  is  in
   42  possession  or  is  accompanied by a person who is in possession, at the
   43  time of such use, of a longbow, crossbow or a firearm of any kind except
   44  a pistol or revolver, unless such longbow OR  CROSSBOW  is  unstrung  or
   45  such firearm OR CROSSBOW is taken down or securely fastened in a case or
   46  locked  in  the  trunk of the vehicle. For purposes of this subdivision,
   47  motor vehicle shall mean every vehicle or other device operated  by  any
   48  power other than muscle power, and which shall include but not be limit-
   49  ed  to  automobiles,  trucks, motorcycles, tractors, trailers and motor-
   50  boats, snowmobiles and snowtravelers, whether operated on or off  public
   51  highways.  Notwithstanding  the  provisions  of  this  subdivision,  the
   52  department may issue a permit  to  any  person  who  is  non-ambulatory,
   53  except  with the use of a mechanized aid, to possess a loaded firearm in
   54  or on a motor vehicle as  defined  in  this  section,  subject  to  such
   55  restrictions  as  the  department  may deem necessary in the interest of
       S. 6357--A                         40                         A. 8557--A
    1  public safety. Nothing in this  section  permits  the  possession  of  a
    2  pistol or a revolver contrary to the penal law.
    3    4. a. No person shall:
    4    (1)  discharge  a  firearm, CROSSBOW or long bow in such a way as will
    5  result in the load, BOLT or arrow thereof passing over a public  highway
    6  or any part thereof;
    7    (2)  discharge  a  firearm [or long bow] within five hundred feet OR A
    8  CROSSBOW OR LONG BOW WITHIN ONE  HUNDRED  FIFTY  FEET  from  a  dwelling
    9  house, farm building or farm structure actually occupied or used, school
   10  building,  school  playground,  or occupied PUBLIC STRUCTURE, factory or
   11  church;
   12    (3) use a firearm, CROSSBOW or a long bow for the hunting of migratory
   13  game birds in Larchmont Harbor, specifically those portions  bounded  by
   14  the following points of land:
   15    BEGINNING  AT  A  POINT  KNOWN  AS UMBRELLA POINT ON THE EAST SHORE OF
   16  LARCHMONT HARBOR THEN PROCEEDING  IN  A  NORTHERLY  DIRECTION  TO  CEDAR
   17  ISLAND;  THENCE  NORTHWESTERLY  TO MONROE INLET; THENCE NORTHEASTERLY TO
   18  DELANCY COVE BEING IN THE TOWN OF MAMARONECK; THENCE IN A  SOUTHWESTERLY
   19  DIRECTION  FROM  DELANCY  COVE TO GREACEN POINT; THENCE RUNNING THE AREA
   20  BETWEEN DELANCY COVE AND THE WEST SHORE OF SATANS TOE NORTHEAST;  THENCE
   21  SOUTHEAST  THEN  ALONG  THE  WEST SHORE OF SATANS TOE SOUTHWEST AND THEN
   22  SOUTH TO THE SOUTHERLY POINT OF SATANS TOE TO EDGEWATER POINT.
   23    (4) Use of a firearm, CROSSBOW or a long bow for the hunting of migra-
   24  tory game birds in Udall's Cove, specifically those portions  of  Little
   25  Neck  Bay within Nassau and Queens counties lying east of a line running
   26  north from the foot of Douglaston Parkway to the shore opposite.
   27    b. The prohibitions contained in subparagraph 2 of paragraph  a  above
   28  shall not apply to:
   29    (1) The owner or lessee of the dwelling house, or members of his imme-
   30  diate  family  actually  residing therein, or a person in his employ, or
   31  the guest of the owner or lessee of the dwelling house acting  with  the
   32  consent  of  said owner or lessee, provided however, that nothing herein
   33  shall be deemed to authorize such persons to  discharge  a  firearm  [or
   34  longbow]  within  five hundred feet OR A CROSSBOW OR LONG BOW WITHIN ONE
   35  HUNDRED FIFTY FEET of any other dwelling house, or a  farm  building  or
   36  farm  structure actually occupied or used, or a school building or play-
   37  ground or occupied PUBLIC STRUCTURE, factory or church;
   38    (2) Programs conducted by THE DEPARTMENT, public OR PRIVATE ELEMENTARY
   39  OR SECONDARY schools offering instruction and training  in  the  use  of
   40  firearms, CROSSBOW or long bow;
   41    (3)  The  authorized  use of a pistol, rifle or target range regularly
   42  operated and maintained by a police department or other law  enforcement
   43  agency or by any duly organized membership corporation;
   44    (4) The discharge of a shotgun over water by a person hunting migrato-
   45  ry  game  birds  if  no  dwelling house, FARM BUILDING OR FARM STRUCTURE
   46  ACTUALLY OCCUPIED OR USED, SCHOOL BUILDING, SCHOOL PLAYGROUND, or  OCCU-
   47  PIED  public  structure, FACTORY OR CHURCH, livestock or person is situ-
   48  ated in the line of discharge less than five hundred feet from the point
   49  of discharge.
   50    S 10. Paragraph c of subdivision 5 of section 11-0931 of the  environ-
   51  mental  conservation law, as amended by chapter 309 of the laws of 2006,
   52  is amended to read as follows:
   53    c. In the Northern Zone no person, while engaged in hunting  with  the
   54  aid of a dog or while afield accompanied by a dog, shall possess a rifle
   55  larger  than  .22 caliber using rim-fire ammunition or possess a shotgun
   56  loaded with a slug, ball or buckshot, OR POSSESS A  CROSSBOW;  but  this
       S. 6357--A                         41                         A. 8557--A
    1  paragraph  does  not apply to persons, engaged in coyote hunts with dogs
    2  during any open season on coyotes established pursuant to the provisions
    3  of section 11-0903 OF THIS TITLE.
    4    S 11. Paragraph 4 of subdivision a of section 265.20 of the penal law,
    5  as  amended  by  chapter 1041 of the laws of 1974, is amended to read as
    6  follows:
    7    4. Possession of a rifle, shotgun, CROSSBOW or longbow for  use  while
    8  hunting,  trapping  or fishing, by a person, not a citizen of the United
    9  States, carrying a valid license issued pursuant to section  11-0713  of
   10  the environmental conservation law.
   11    S  12.  Paragraph  a  of subdivision 1 of section 9-103 of the general
   12  obligations law, as separately amended by chapters 141 and  286  of  the
   13  laws of 1984, is amended to read as follows:
   14    a.  an owner, lessee or occupant of premises, whether or not posted as
   15  provided in section 11-2111 of the environmental conservation law,  owes
   16  no  duty: (1) to keep the premises safe for entry, PASSAGE OVER PREMISES
   17  or use by others for hunting, fishing, organized gleaning as defined  in
   18  section  seventy-one-y  of  the  agriculture  and markets law, canoeing,
   19  boating, SWIMMING, trapping, hiking, cross-country skiing,  tobogganing,
   20  sledding,  speleological  activities,  horseback riding, bicycle riding,
   21  hang gliding, motorized vehicle  operation  for  recreational  purposes,
   22  snowmobile  operation,  cutting  or gathering of wood for non-commercial
   23  purposes [or], training of dogs, AND ANY OTHER RECREATIONAL USE; or  (2)
   24  to  give  warning  of  any hazardous condition or use of or structure or
   25  activity on such premises to persons entering for such purposes;
   26    S 13. Subdivision 3 of section 9-103 of the general obligations law is
   27  renumbered subdivision 4 and a new subdivision 3 is  added  to  read  as
   28  follows:
   29    3. FOR THE PURPOSES OF THIS SECTION THE TERM "OCCUPANT" SHALL INCLUDE,
   30  BUT  NOT  BE  LIMITED  TO, THOSE ORGANIZATIONS, ENTITIES, OR PERSONS WHO
   31  INDIVIDUALLY OR COLLECTIVELY DEVELOP AND/OR MAINTAIN  TRAILS  AND  OTHER
   32  RECREATIONAL FACILITIES FOR NON-COMMERCIAL USE BY THE PUBLIC.
   33    S 14. Section 11-0323 of the environmental conservation law is amended
   34  by adding a new subdivision 3 to read as follows:
   35    3.  NOTWITHSTANDING  SUBDIVISION  TWO OF SECTION THREE OF THE NEW YORK
   36  STATE PRINTING AND PUBLIC DOCUMENTS LAW, THE DEPARTMENT MAY  ENTER  INTO
   37  CONTRACTS  WITH  ANY  RESPONSIVE  AND  RESPONSIBLE BIDDER TO PROVIDE THE
   38  PRINTING SERVICES REQUIRED WITH OR WITHOUT THE USE  OF  A  SUBCONTRACTOR
   39  FOR THE PRODUCTION OF THE HUNTING AND FISHING PAMPHLETS AND SYLLABUS SET
   40  FORTH  IN SUBDIVISIONS ONE AND TWO OF THIS SECTION OR ANY OTHER PUBLICA-
   41  TIONS THAT MAY BE ISSUED IN SUPPORT OF THE FISH AND WILDLIFE LAW.
   42    S 15. Section 404-s of the vehicle and traffic law, as added by  chap-
   43  ter 304 of the laws of 2001, is amended by adding three new subdivisions
   44  3, 4 and 5 to read as follows:
   45    3. A DISTINCTIVE PLATE ISSUED PURSUANT TO THIS SECTION TO A PERSON WHO
   46  PURCHASES A LIFETIME LICENSE PURSUANT TO SECTION 11-0702 OF THE ENVIRON-
   47  MENTAL CONSERVATION LAW OR A LIFETIME VEHICLE ACCESS PASS, ALSO KNOWN AS
   48  A  LIFETIME  EMPIRE PASSPORT, PURSUANT TO ARTICLE THIRTEEN OF THE PARKS,
   49  RECREATION AND HISTORIC PRESERVATION  LAW  BETWEEN  JANUARY  FIRST,  TWO
   50  THOUSAND FOURTEEN AND DECEMBER THIRTY-FIRST, TWO THOUSAND FOURTEEN SHALL
   51  BE ISSUED IN THE SAME MANNER AS OTHER NUMBER PLATES, HOWEVER, SUCH LIFE-
   52  TIME  LICENSE  HOLDER SHALL BE EXEMPT FROM THE PAYMENT OF FEES OTHERWISE
   53  REQUIRED TO BE PAID PURSUANT TO PARAGRAPHS A AND B OF SUBDIVISION  THREE
   54  OF  SECTION  FOUR  HUNDRED  ONE  OF  THIS ARTICLE AND THE ANNUAL SERVICE
   55  CHARGE REQUIRED BY SUBDIVISION TWO OF THIS SECTION FOR THE INITIAL ISSU-
       S. 6357--A                         42                         A. 8557--A
    1  ANCE OF SUCH  LICENSE  PLATE  AND  FOR  THE  NEXT  ENSUING  REGISTRATION
    2  RENEWAL.
    3    4.  A  PERSON  WHO  POSSESSES  A  LIFETIME LICENSE PURSUANT TO SECTION
    4  11-0702 OF THE ENVIRONMENTAL CONSERVATION  LAW  OR  A  LIFETIME  VEHICLE
    5  ACCESS  PASS,  ALSO  KNOWN  AS A LIFETIME EMPIRE PASSPORT, OR A THREE OR
    6  FIVE YEAR VEHICLE ACCESS PASS PURSUANT TO ARTICLE THIRTEEN OF THE PARKS,
    7  RECREATION AND HISTORIC PRESERVATION LAW SHALL, ON REQUEST BETWEEN APRIL
    8  FIRST, TWO  THOUSAND  FOURTEEN  AND  MARCH  THIRTY-FIRST,  TWO  THOUSAND
    9  FIFTEEN,  BE  ISSUED A DISTINCTIVE PLATE PURSUANT TO THIS SECTION IN THE
   10  SAME MANNER AS OTHER NUMBER PLATES UPON PAYMENT OF A TWENTY-FIVE  DOLLAR
   11  REGISTRATION  FEE PRESCRIBED BY SECTION FOUR HUNDRED ONE OF THIS CHAPTER
   12  FOR THE INITIAL LICENSE PLATE AND SHALL BE EXEMPT FROM  THE  PAYMENT  OF
   13  FEES  OTHERWISE  REQUIRED TO BE PAID PURSUANT TO PARAGRAPH B OF SUBDIVI-
   14  SION THREE OF SECTION FOUR HUNDRED ONE OF THIS ARTICLE  AND  THE  ANNUAL
   15  SERVICE  CHARGE  REQUIRED  BY  SUBDIVISION  TWO  OF THIS SECTION FOR THE
   16  INITIAL ISSUANCE OF SUCH LICENSE PLATE AND FOR THE NEXT  ENSUING  REGIS-
   17  TRATION RENEWAL.
   18    5.  ANY NEW YORK RESIDENT WHO POSSESSES A HUNTING, FISHING OR TRAPPING
   19  LICENSE ISSUED PURSUANT TO TITLE SEVEN OF ARTICLE ELEVEN OF THE ENVIRON-
   20  MENTAL CONSERVATION LAW OR AN ANNUAL VEHICLE ACCESS PASS, ALSO KNOWN  AS
   21  AN  EMPIRE  PASSPORT,  PURSUANT TO ARTICLE THIRTEEN OF THE PARKS, RECRE-
   22  ATION AND HISTORIC PRESERVATION  LAW  MAY  PURCHASE  THE  LICENSE  PLATE
   23  AVAILABLE  TO A PERSON WHO PURCHASES A LIFETIME LICENSE OR PASSPORT UPON
   24  PAYMENT OF THE REGULAR  REGISTRATION  FEE  PRESCRIBED  BY  SECTION  FOUR
   25  HUNDRED ONE OF THIS CHAPTER.
   26    S 16. Section 11-0715 of the environmental conservation law is amended
   27  by adding a new subdivision 7 to read as follows:
   28    7.  NOTWITHSTANDING  THE  PROVISIONS  OF  SUBDIVISION  THREE  OF  THIS
   29  SECTION, THE COMMISSIONER MAY OFFER FOR SALE  LICENSES,  PRIVILEGES  AND
   30  PERMITS  LISTED  IN  THIS  SECTION AT A REDUCED PRICE UP TO TEN DAYS PER
   31  YEAR TO  ENCOURAGE  RESIDENT  AND  OUT-OF-STATE  HUNTERS,  TRAPPERS  AND
   32  ANGLERS  TO  UTILIZE  NEW  YORK'S HUNTING, TRAPPING AND FISHING OPPORTU-
   33  NITIES. THESE DAYS SHALL BE DESIGNATED IN A  MANNER  DETERMINED  BY  THE
   34  DEPARTMENT  TO BEST PROVIDE PUBLIC NOTICE THEREOF AND TO MAXIMIZE PUBLIC
   35  PARTICIPATION THEREIN.
   36    S 17. Subdivision 14 of section 11-0305 of the environmental conserva-
   37  tion law, as amended by chapter 292 of the laws of 1996  and  as  renum-
   38  bered  by  section  2  of  part  F of chapter 82 of the laws of 2002, is
   39  amended to read as follows:
   40    14. Notwithstanding any inconsistent provision of law, the commission-
   41  er may designate no more than [two] EIGHT days in each year  that  shall
   42  be  effective  in every administrative region of the department, as free
   43  sport fishing days during which any person may, without having  a  sport
   44  fishing  license and without the payment of any fee, exercise the privi-
   45  leges of a holder of a sport fishing license,  subject  to  all  of  the
   46  limitations,  restrictions,  conditions,  laws,  rules  and  regulations
   47  applicable to the holder of a sport fishing license. Free sport  fishing
   48  days  shall  be  designated  in a manner determined by the department to
   49  best provide public notice thereof and to maximize public  participation
   50  therein,  so  as  to  promote the recreational opportunities afforded by
   51  sport fishing.
   52    S 18. Subdivision 5 of section 11-0703 of the environmental  conserva-
   53  tion law is amended by adding a new paragraph e to read as follows:
   54    E.  ANY THREE OR FIVE-YEAR LICENSE ISSUED PURSUANT TO PARAGRAPH A OR B
   55  OF SUBDIVISION THREE OF SECTION  11-0715  SHALL  BE  EFFECTIVE  FOR  THE
   56  NUMBER  OF  LICENSE YEARS INDICATED THEREON BEGINNING ON SEPTEMBER FIRST
       S. 6357--A                         43                         A. 8557--A
    1  AND ENDING  AUGUST  THIRTY-FIRST;  PROVIDED,  HOWEVER,  THAT  A  FISHING
    2  LICENSE  SHALL  REMAIN EFFECTIVE FOR EITHER THREE OR FIVE YEARS FROM THE
    3  DATE ON WHICH IT WAS ISSUED.
    4    S  19.  Paragraphs  a and b of subdivision 3 of section 11-0715 of the
    5  environmental conservation law, as amended by chapter 276 of the laws of
    6  2013, are amended to read as follows:
    7    a. In the case of persons who meet the criteria set forth in paragraph
    8  c of subdivision four of section 11-0703 of this title:
    9          License                                   Fee
   10          (1) (a) Hunting                           $22.00
   11          (A-1) THREE-YEAR HUNTING                  $60.00
   12          (A-2) FIVE-YEAR HUNTING                   $100.00
   13          (b) Hunting ages fifteen
   14          and under                                  $5.00
   15          (2) (A) Fishing                           $25.00
   16          (B) THREE-YEAR FISHING                    $70.00
   17          (C) FIVE-YEAR FISHING                     $115.00
   18          (3)(a) Trapping                           $20.00
   19          (A-1) THREE-YEAR TRAPPING                 $55.00
   20          (A-2) FIVE-YEAR TRAPPING                  $90.00
   21          (b) Trapping ages fifteen and under        $5.00
   22          (4) (A) Muzzle-loading privilege          $15.00
   23          (B) THREE-YEAR MUZZLE-LOADING             $40.00
   24          (C) FIVE-YEAR MUZZLE-LOADING              $65.00
   25          (5)(a) Bowhunting privilege               $15.00
   26          (A-1) THREE-YEAR BOWHUNTING PRIVILEGE     $40.00
   27          (A-2) FIVE-YEAR BOWHUNTING PRIVILEGE      $65.00
   28          (b) Bowhunting privilege
   29          ages fifteen and under                     $4.00
   30          (6) (A) Turkey permit                     $10.00
   31          (B) THREE-YEAR TURKEY PERMIT              $25.00
   32          (C) FIVE-YEAR TURKEY PERMIT               $40.00
   33          (7) Seven-day fishing                    [$13.00] $12.00
   34          (8) One-day fishing                      $ 5.00
   35    A THREE OR FIVE-YEAR BOWHUNTING OR MUZZLE-LOADING PRIVILEGE OR  TURKEY
   36  PERMIT  MAY  ONLY BE SOLD TO A PERSON WHO EITHER HAS PURCHASED A HUNTING
   37  LICENSE FOR THE SAME TERM OR POSSESSES A LIFETIME HUNTING LICENSE.
   38    b. In the case of a non-resident and persons resident in the state for
   39  less than thirty days:
   40          License                                   Fee
   41          (1) (a) Hunting                           $100.00
   42          (A-1) THREE-YEAR HUNTING                  $290.00
   43          (A-2) FIVE-YEAR HUNTING                   $480.00
   44          (b) Hunting ages fifteen and under          $5.00
   45          (2) (A) Fishing                            $50.00
   46          (B) THREE-YEAR FISHING                    $140.00
   47          (C) FIVE-YEAR FISHING                     $230.00
   48          (3) Seven-day fishing                     [$31.00] $28.00
   49          (4)(a) Trapping                           $275.00
   50          (A-1) THREE-YEAR TRAPPING                 $825.00
   51          (A-2) FIVE-YEAR TRAPPING                  $1,375.00
   52          (b) Trapping ages fifteen and under         $5.00
   53          (5)(a) Bowhunting privilege                $30.00
   54          (A-1) THREE-YEAR BOWHUNTING PRIVILEGE     $80.00
   55          (A-2) FIVE-YEAR BOWHUNTING PRIVILEGE      $130.00
   56          (b) Bowhunting privilege ages
       S. 6357--A                         44                         A. 8557--A
    1          fifteen and under                           $4.00
    2          (6) (A) Muzzle-loading                     $30.00
    3          (B) THREE-YEAR MUZZLE-LOADING             $80.00
    4          (C) FIVE-YEAR MUZZLE-LOADING              $130.00
    5          (7) (A) Turkey permit                      $20.00
    6          (B) THREE-YEAR TURKEY PERMIT              $55.00
    7          (C) FIVE-YEAR TURKEY PERMIT               $90.00
    8          (8) One-day fishing                        $10.00
    9    A  THREE OR FIVE-YEAR BOWHUNTING OR MUZZLE-LOADING PRIVILEGE OR TURKEY
   10  PERMIT MAY ONLY BE SOLD TO A PERSON WHO EITHER HAS PURCHASED  A  HUNTING
   11  LICENSE FOR THE SAME TERM OR POSSESSES A LIFETIME HUNTING LICENSE.
   12    S 20. This act shall take effect April 1, 2014.
   13                                   PART J
   14    Section  1. Subdivisions 6, 7 and 8 of section 251-z-5 of the agricul-
   15  ture and markets law, subdivisions 6 and 7 as added by  chapter  863  of
   16  the  laws  of 1972 and subdivision 8 as added by chapter 665 of the laws
   17  of 2005, are amended and a  new  subdivision  9  is  added  to  read  as
   18  follows:
   19    (6) The applicant or licensee, or an officer, director, partner, hold-
   20  er  of  ten per cent of the voting stock, or any other person exercising
   21  any position of management or control has failed to comply with  any  of
   22  the  provisions  of  this  chapter  or rules and regulations promulgated
   23  pursuant thereto; [or]
   24    (7) Any person including the applicant or  licensee,  or  an  officer,
   25  director, partner or any stockholder, exercising any position of manage-
   26  ment  or  control  has  been  convicted  of a felony in any court of the
   27  United States or any state or territory[.];
   28    (8) A retail food store licensed under this article  fails  to  comply
   29  with  the education requirements set forth in section two hundred fifty-
   30  one-z-twelve of this article[.]; OR
   31    (9) THE APPLICANT OR LICENSEE HAS FAILED TO PAY  ANY  PENALTY  IMPOSED
   32  FOR OR JUDGMENT BASED UPON A VIOLATION OF THE PROVISIONS OF THIS ARTICLE
   33  OR RULES AND REGULATIONS PROMULGATED PURSUANT THERETO, WHICH OUTSTANDING
   34  PENALTY  OR  PENALTIES  AND/OR JUDGMENT OR JUDGMENTS EQUAL OR EXCEED TWO
   35  THOUSAND FOUR HUNDRED DOLLARS. NOTWITHSTANDING, AND IN ADDITION  TO  THE
   36  POWERS  CONFERRED  IN  THIS SECTION, WHEN THE COMMISSIONER FINDS THAT AN
   37  APPLICANT OR LICENSEE HAS FAILED TO PAY ANY PENALTY IMPOSED OR  JUDGMENT
   38  OBTAINED,  WHICH  OUTSTANDING  PENALTY  OR  PENALTIES AND/OR JUDGMENT OR
   39  JUDGMENTS EQUAL OR EXCEED TWO THOUSAND FOUR HUNDRED DOLLARS, THE COMMIS-
   40  SIONER MAY DECLINE TO ISSUE OR RENEW A LICENSE, AND,  IN  LIEU  THEREOF,
   41  SHALL GRANT A PROVISIONAL LICENSE.
   42    (A)  A PROVISIONAL LICENSE SHALL EXPIRE SIXTY DAYS FOLLOWING ITS ISSU-
   43  ANCE, UNLESS: (I) PRIOR TO ITS EXPIRATION,  THE  APPLICANT  OR  LICENSEE
   44  PAYS  OR  ENTERS  INTO  AN AGREEMENT WITH THE DEPARTMENT TO PAY ALL SAID
   45  AMOUNTS DUE, AT WHICH POINT THE PROVISIONAL LICENSE SHALL CONVERT  TO  A
   46  TWO-YEAR  LICENSE,  COMMENCING  AS OF THE DATE OF ISSUANCE OF THE PROVI-
   47  SIONAL LICENSE; OR (II) WITHIN THIRTY DAYS OF ITS ISSUANCE,  THE  APPLI-
   48  CANT  OR  LICENSEE REQUESTS A HEARING, PURSUANT TO RULES AND REGULATIONS
   49  THAT THE DEPARTMENT SHALL PROMULGATE.
   50    (B) WHERE A  HEARING  IS  REQUESTED,  THE  PROVISIONAL  LICENSE  SHALL
   51  CONTINUE  IN  FORCE  UNTIL THE DETERMINATION OF SAID HEARING. SHOULD THE
   52  APPLICANT PREVAIL, THE PROVISIONAL LICENSE SHALL CONVERT INTO A TWO-YEAR
   53  LICENSE, RUNNING FROM THE  DATE  OF  THE  ISSUANCE  OF  THE  PROVISIONAL
       S. 6357--A                         45                         A. 8557--A
    1  LICENSE.  SHOULD  THE  DEPARTMENT PREVAIL, THE PROVISIONAL LICENSE SHALL
    2  TERMINATE AND NO LICENSE SHALL ISSUE.
    3    S 2.  This act shall take effect immediately.
    4                                   PART K
    5    Section  1.  Expenditures  of  moneys appropriated in a chapter of the
    6  laws of 2014 to the energy research and development authority, under the
    7  research, development and demonstration program, from the special reven-
    8  ue funds - other/state operations, miscellaneous special revenue fund  -
    9  339,  energy  research and planning account, and special revenue funds -
   10  other/aid to localities, miscellaneous special revenue fund - 339, ener-
   11  gy research and planning account shall be subject to the  provisions  of
   12  this  section.  Notwithstanding  the  provisions  of  subdivision 4-a of
   13  section 18-a of the public service law, all moneys committed or expended
   14  shall be reimbursed by assessment against gas corporations and  electric
   15  corporations  as defined in section 2 of the public service law, and the
   16  total amount which may be charged to any gas corporation and  any  elec-
   17  tric  corporation  shall not exceed one cent per one thousand cubic feet
   18  of gas sold and .010 cent per kilowatt-hour of electricity sold by  such
   19  corporations  in  their  intrastate  utility operations in calendar year
   20  2012. Such  amounts  shall  be  excluded  from  the  general  assessment
   21  provisions  of  subdivision 2 of section 18-a of the public service law,
   22  but shall be billed and paid in the manner set forth in such subdivision
   23  and upon receipt shall be paid to the state comptroller for  deposit  in
   24  the state treasury for credit to the miscellaneous special revenue fund.
   25  The  director  of  the  budget shall not issue a certificate of approval
   26  with respect to the commitment and expenditure of moneys  hereby  appro-
   27  priated  until the chair of such authority shall have submitted, and the
   28  director of the budget shall have approved,  a  comprehensive  financial
   29  plan  encompassing  all  moneys available to and all anticipated commit-
   30  ments and expenditures by such authority from any source for  the  oper-
   31  ations of such authority. Copies of the approved comprehensive financial
   32  plan shall be immediately submitted by the director of the budget to the
   33  chairs and secretaries of the legislative fiscal committees.
   34    S  2.  This  act  shall take effect immediately and shall be deemed to
   35  have been in full force and effect on and after April 1, 2014.
   36                                   PART L
   37    Section 1. Notwithstanding any law to the contrary, the comptroller is
   38  hereby authorized and directed to receive for deposit to the  credit  of
   39  the  general  fund  the amount of up to $913,000 from the New York state
   40  energy research and development authority.
   41    S 2. This act shall take effect immediately and  shall  be  deemed  to
   42  have been in full force and effect on and after April 1, 2014.
   43                                   PART M
   44    Section  1.  Legislative  findings.  The  legislature hereby finds and
   45  determines:
   46    1. In 2011 and 2012, three storms of enormous  magnitude  -  Hurricane
   47  Irene, Tropical Storm Lee and Superstorm Sandy - each battered New York,
   48  causing  billions  of  dollars  of  damage to roads, buildings and other
   49  infrastructure. The three storms collectively resulted  in  millions  of
       S. 6357--A                         46                         A. 8557--A
    1  residential,  business  and  industrial  customers of electric utilities
    2  losing electricity for extended periods of time.
    3    2.  Each  of  these storms caused, among other things, a disruption in
    4  the distribution and supply of motor fuels, and in the  case  of  Super-
    5  storm  Sandy, downstate motorists were unable to obtain routine supplies
    6  of fuel for several weeks.
    7    3. In addition, temporary  fuel  distribution  disruptions  associated
    8  with  the  aftermath  of  a  storm  can result in emergency vehicles and
    9  responders unable to adequately address ongoing public safety and health
   10  emergencies, delay an appropriate  response  to  infrastructure  damages
   11  caused  by  a  storm, and otherwise disrupt commerce in the state due to
   12  difficulty to obtain readily available motor fuels.
   13    4. On November 15, 2012, in response  to  Superstorm  Sandy,  Governor
   14  Andrew  M.  Cuomo announced the creation of the NYS Ready Commission and
   15  tasked it with finding ways to ensure critical systems and services  are
   16  prepared  for future natural disasters and other emergencies. As related
   17  to this act, the Commission was tasked with  addressing  vulnerabilities
   18  in the state's energy systems.
   19    5.  The  NYS  Ready  Commission  recommended,  among  other things, to
   20  require that retail gasoline outlets located in strategic locations have
   21  on-site back-up power capacity to ensure that such outlets can  continue
   22  fuel sales operations during a long-term electric outage. The purpose of
   23  this act is to ensure that the state is better situated in the future to
   24  address the temporary disruption of retail fuel supplies.
   25    S  2.  Section  192-h  of the agriculture and markets law, as added by
   26  section 2 of part S of chapter 58 of the laws of  2013,  is  amended  to
   27  read as follows:
   28    S  192-h. Alternate generated power source at retail gasoline outlets.
   29  1.  Definitions. When used in this section:
   30    (a) "Alternate  generated  power  source"  means  electric  generating
   31  equipment  that  is  of a capacity that is capable of providing adequate
   32  electricity to operate all dispensers, dispensing equipment, life safety
   33  systems and payment-acceptance equipment located at a retail outlet  and
   34  which can operate independent of the local electric utility distribution
   35  system and provide electricity during a general power outage or declared
   36  energy or fuel supply emergency to operate the systems named herein.
   37    (b)  "Chain  of  retail  outlets"  means  a network of subsidiaries or
   38  affiliates, under direct or indirect common control, that operate ten or
   39  more retail outlets located in  a  single  downstate  region;  provided,
   40  however  that  this term does not include any franchisor of the brand of
   41  motor fuel being sold at such outlet, except  if  such  franchisor  owns
   42  such outlet.
   43    (c)  "Controlled access highway" means every highway, street, or road-
   44  way in respect to which owners or occupants of abutting lands and  other
   45  persons have no legal right of access to or from the same except at such
   46  points  only  and  in  such  manner  as  may be determined by the public
   47  authority having jurisdiction over such highway, street, or roadway.
   48    (d) "Diesel motor fuel" means any fuel sold in this state and for  use
   49  in  diesel  engines  which  is commercially known or offered for sale as
   50  diesel motor fuel.
   51    (e) "Dispenser" means a device located at a retail outlet that is used
   52  to pump motor fuel from an above-ground or underground storage tank into
   53  a motor vehicle.
   54    (f) "Downstate region" means each of  the  following  regions  of  the
   55  state:
   56    (i) Long Island region: Includes Nassau and Suffolk counties.
       S. 6357--A                         47                         A. 8557--A
    1    (ii)  Lower Mid-Hudson region: Includes Rockland and Westchester coun-
    2  ties.
    3    (iii)  New  York  city region: Includes Bronx, Kings, New York, Queens
    4  and Richmond counties.
    5    (g) "Evacuation route" means those roads designated  by  each  county,
    6  AND RECOGNIZED BY THE STATE, that are to be used by motorists in case of
    7  a hurricane or other natural disaster.
    8    (h)  "Franchisor" means a person or company that grants a franchise to
    9  a franchisee.
   10    (i) "Gasoline" means any fuel sold in this state for use  in  internal
   11  combustion  engines  which  is commercially known or offered for sale as
   12  gasoline, whether or not blended with ethanol or other chemicals.
   13    (j) "Motor fuel" means any petroleum product, including  any  gasoline
   14  or  diesel  motor  fuel, which is used for the propulsion of motor vehi-
   15  cles.
   16    (k) "Retailer" means any person who  owns,  operates,  or  controls  a
   17  retail  outlet that is subject to the requirements of subdivision two of
   18  this section.
   19    (l) "Retail outlet" means a facility, including all land, improvements
   20  and associated structures and equipment, that dispenses motor  fuel  for
   21  sale to the general public.
   22    (M) "STRATEGIC UPSTATE HIGHWAYS" MEANS THE FOLLOWING:
   23    (I) I-87 BEGINNING AT THE ROCKLAND-ORANGE COUNTY LINE THENCE NORTHERLY
   24  PASSING  THROUGH  OR  IN THE VICINITY OF ALBANY TO THE INTERSECTION WITH
   25  I-90, THE FOREGOING ROUTE BEING A PORTION OF THE NEW YORK STATE THRUWAY;
   26  THENCE CONTINUING NORTHERLY TO THE NEW YORK-CANADA BORDER;
   27    (II) I-90 BEGINNING AT I-87 IN THE VICINITY OF ALBANY THENCE  WESTERLY
   28  PASSING  THROUGH  OR  IN  THE  VICINITY OF SCHENECTADY, UTICA, SYRACUSE,
   29  ROCHESTER, AND BUFFALO;  THENCE  CONTINUING  SOUTHWESTERLY  TO  THE  NEW
   30  YORK-PENNSYLVANIA BORDER, THE FOREGOING ROUTE BEING A PORTION OF THE NEW
   31  YORK STATE THRUWAY;
   32    (III) THE BERKSHIRE SECTION OF THE NEW YORK STATE THRUWAY BEGINNING AT
   33  I-87  THENCE  EASTERLY  TO  THE INTERSECTION WITH I-90 AND CONTINUING ON
   34  I-90 TO THE NEW YORK-MASSACHUSETTS BORDER;
   35    (IV) I-84 BEGINNING AT THE NEW YORK-NEW JERSEY BORDER THENCE  EASTERLY
   36  PASSING  THROUGH OR IN THE VICINITY OF NEWBURGH, THENCE CONTINUING EAST-
   37  ERLY AND SOUTHEASTERLY TO THE NEW YORK-CONNECTICUT BORDER;
   38    (V) I-88 BEGINNING AT  I-81  IN  THE  VICINITY  OF  BINGHAMTON  THENCE
   39  NORTHEASTERLY TO I-90 IN THE VICINITY OF SCHENECTADY;
   40    (VI) I-86/STATE ROUTE 17 BEGINNING AT I-87 IN THE VICINITY OF WOODBURY
   41  THENCE  WESTERLY AND NORTHWESTERLY PASSING THROUGH OR IN THE VICINITY OF
   42  BINGHAMTON, ELMIRA, AND JAMESTOWN, CONTINUING TO THE NEW YORK-PENNSYLVA-
   43  NIA BORDER;
   44    (VII) I-81 BEGINNING AT THE NEW YORK-PENNSYLVANIA BORDER THENCE NORTH-
   45  ERLY PASSING THROUGH OR IN  THE  VICINITY  OF  SYRACUSE  AND  WATERTOWN,
   46  CONTINUING TO THE NEW YORK-CANADA BORDER;
   47    (VIII)  I-390  BEGINNING  AT  I-86  IN  THE  VICINITY  OF AVOCA THENCE
   48  NORTHWESTERLY AND NORTHERLY IN I-490 IN THE VICINITY OF ROCHESTER; AND
   49    (IX) I-190 BEGINNING AT  I-90  IN  THE  VICINITY  OF  BUFFALO,  THENCE
   50  WESTERLY,  NORTHWESTERLY,  AND  NORTHERLY  THROUGH BUFFALO, ACROSS GRAND
   51  ISLAND, THE FOREGOING ROUTE BEING A PORTION OF THE NEW YORK STATE  THRU-
   52  WAY, AND THENCE GENERALLY WESTERLY TO THE UNITED STATES-CANADA BORDER IN
   53  THE VICINITY OF LEWISTON.
   54    (N) "UPSTATE REGION" MEANS ANY COUNTY OF THE STATE THAT IS NOT PART OF
   55  THE DOWNSTATE REGION.
       S. 6357--A                         48                         A. 8557--A
    1    2.  Prewiring and transfer switch. (a) Retail outlets in the downstate
    2  region shall be prewired with an appropriate transfer switch  for  using
    3  an alternate generated power source at such retail outlets as follows:
    4    (i)  each  retail  outlet  in  operation on the effective date of this
    5  section that is located within one-half mile by road measurement from an
    6  exit road on a controlled access highway or  from  an  evacuation  route
    7  shall be prewired by no later than April first, two thousand fourteen;
    8    (ii)  each  retail outlet beginning operation after the effective date
    9  of this section and before April first, two thousand  fourteen  that  is
   10  located  within one-half mile by road measurement from an exit road on a
   11  controlled access highway or from an evacuation route shall be  prewired
   12  by no later than April first, two thousand fifteen;
   13    (iii)  each retail outlet that is located within one-half mile by road
   14  measurement from an evacuation route that is designated  as  such  after
   15  the effective date of this section or within one-half mile by road meas-
   16  urement  from  an exit road that is established after the effective date
   17  of this section shall be prewired within one year of such designation or
   18  establishment provided that funding is available at such  time  for  the
   19  program established under subdivision twenty of section eighteen hundred
   20  fifty-four of the public authorities law; and
   21    (iv)  thirty percent of all retail outlets that are part of a chain of
   22  retail outlets, exclusive of those included in subparagraphs  (i),  (ii)
   23  and  (iii)  of this paragraph, shall be prewired by no later than August
   24  first, two thousand fifteen, provided, however, in the case of an exist-
   25  ing retail outlet that becomes part of a chain of retail  outlets  after
   26  the  effective  date of this section and that has been designated by the
   27  chain as an outlet comprising such thirty  percent,  by  no  later  than
   28  August  first,  two  thousand fifteen or one year after becoming part of
   29  such chain, whichever is later, and provided further, in the case  of  a
   30  retail outlet that is part of a chain of retail outlets, is part of such
   31  thirty  percent  and  is subject to paragraph (b) of this subdivision as
   32  required in paragraph (b) of this subdivision.
   33    (A-1) RETAIL OUTLETS IN THE UPSTATE REGION SHALL BE PREWIRED  WITH  AN
   34  APPROPRIATE  TRANSFER  SWITCH  FOR  USING  AN  ALTERNATE GENERATED POWER
   35  SOURCE AT SUCH RETAIL OUTLETS AS FOLLOWS:
   36    (I) EACH RETAIL OUTLET IN OPERATION ON  THE  EFFECTIVE  DATE  OF  THIS
   37  PARAGRAPH  THAT IS LOCATED ON A STRATEGIC UPSTATE HIGHWAY OR WITHIN ONE-
   38  HALF MILE BY ROAD MEASUREMENT FROM AN EXIT ROAD ON A  STRATEGIC  UPSTATE
   39  HIGHWAY  OR  FROM AN EVACUATION ROUTE SHALL BE PREWIRED BY NO LATER THAN
   40  APRIL FIRST, TWO THOUSAND FIFTEEN;
   41    (II) EACH RETAIL OUTLET BEGINNING OPERATION AFTER THE  EFFECTIVE  DATE
   42  OF  THIS  PARAGRAPH AND BEFORE APRIL FIRST, TWO THOUSAND FIFTEEN THAT IS
   43  LOCATED ON A STRATEGIC UPSTATE HIGHWAY OR WITHIN ONE-HALF MILE  BY  ROAD
   44  MEASUREMENT  FROM AN EXIT ROAD ON A STRATEGIC UPSTATE HIGHWAY OR FROM AN
   45  EVACUATION ROUTE SHALL BE PREWIRED BY NO LATER  THAN  APRIL  FIRST,  TWO
   46  THOUSAND SIXTEEN; AND
   47    (III)  EACH RETAIL OUTLET THAT IS LOCATED WITHIN ONE-HALF MILE BY ROAD
   48  MEASUREMENT FROM AN EVACUATION ROUTE THAT IS DESIGNATED  AS  SUCH  AFTER
   49  THE  EFFECTIVE DATE OF THIS SECTION OR ON A STRATEGIC UPSTATE HIGHWAY OR
   50  WITHIN ONE-HALF MILE BY ROAD MEASUREMENT FROM AN EXIT ROAD ON A  STRATE-
   51  GIC UPSTATE HIGHWAY THAT IS ESTABLISHED AFTER THE EFFECTIVE DATE OF THIS
   52  PARAGRAPH  SHALL  BE  PREWIRED  WITHIN  ONE  YEAR OF SUCH DESIGNATION OR
   53  ESTABLISHMENT PROVIDED THAT FUNDING IS AVAILABLE AT SUCH  TIME  FOR  THE
   54  PROGRAM ESTABLISHED UNDER SUBDIVISION TWENTY OF SECTION EIGHTEEN HUNDRED
   55  FIFTY-FOUR OF THE PUBLIC AUTHORITIES LAW.
       S. 6357--A                         49                         A. 8557--A
    1    (b)  Each  retail  outlet  for which a building permit is issued on or
    2  after April first, two thousand fourteen for  new  construction  or  for
    3  substantial  demolition  and  reconstruction,  shall be prewired with an
    4  appropriate transfer switch  for  using  an  alternate  generated  power
    5  source.
    6    (c) Such transfer switch and all associated electrical wiring shall be
    7  installed,  operated,  and  maintained in compliance with all applicable
    8  provisions of the New York state uniform fire  prevention  and  building
    9  code  or any applicable local building code or standard. Installation of
   10  appropriate wiring  and  transfer  switches  shall  be  performed  by  a
   11  licensed electrical contractor.
   12    (d)  Each  retailer  shall keep on file at the retail outlet a written
   13  statement in a form approved by the department and containing an  attes-
   14  tation  by  a  licensed  electrician that the wiring and transfer switch
   15  were installed in accordance with the manufacturer's specifications.  In
   16  addition,  each  such  retailer  shall  maintain the wiring and transfer
   17  switch in accordance with the manufacturer's specifications.
   18    (e) Each retail outlet IN THE DOWNSTATE REGION  in  operation  on  the
   19  effective date of this section that sold less than seventy-five thousand
   20  gallons  of  motor fuel per month on average for the period they were in
   21  operation during the twelve months prior to the effective date shall  be
   22  exempt from the requirements of this subdivision.
   23    3.  Emergency deployment. In the event that a declaration of an energy
   24  or fuel supply emergency issued by the governor, the county executive of
   25  a county [in the downstate region] CONTAINING RETAIL OUTLETS SUBJECT  TO
   26  THE  PROVISIONS OF THIS SECTION or the mayor of a city with a population
   27  in excess of one million inhabitants is  in  effect,  a  retailer  of  a
   28  retail  outlet within any such county or city for which such declaration
   29  was issued shall deploy and install an alternate generated power  source
   30  as follows:
   31    (a)  For a retail outlet subject to the requirements of: (i) PARAGRAPH
   32  (A-1) OF SUBDIVISION TWO OF THIS SECTION OR subparagraphs (i),  (ii)  or
   33  (iii)  of paragraph (a) of subdivision two of this section or (ii) para-
   34  graph (b) of subdivision two of this section  that  is  located  in  the
   35  downstate  region and that is located within one-half mile by road meas-
   36  urement from an exit road on a controlled  access  highway  or  from  an
   37  evacuation  route, within twenty-four hours of such declaration, if such
   38  outlet is without power at  the  time  of  such  declaration.  Provided,
   39  however,  if  any such outlet loses power following such declaration and
   40  while the declaration is still in effect, then the  alternate  generated
   41  power source shall be deployed and installed within twenty-four hours of
   42  such loss of power.
   43    (b)  For  a  retail  outlet  prewired  pursuant to the requirements of
   44  subparagraph (iv) of paragraph (a) of subdivision two of  this  section,
   45  within  forty-eight hours of such declaration, if such outlet is without
   46  power at the time of such declaration. Provided, however,  if  any  such
   47  outlet  loses power following such declaration and while the declaration
   48  is still in effect, then the alternate generated power source  shall  be
   49  deployed and installed within forty-eight hours of the loss of power.
   50    3-a.  Declaration of energy or fuel supply emergency. Upon issuance of
   51  a declaration of an energy or fuel supply  emergency  pursuant  to  this
   52  subdivision,  a  county  executive of a county [in the downstate region]
   53  WHOSE RETAIL OUTLETS ARE SUBJECT TO THE PROVISIONS OF  THIS  SECTION  or
   54  mayor  of  a city with a population in excess of one million inhabitants
   55  who declared such emergency shall promptly notify the president  of  the
   56  New  York  state  energy research and development authority, the commis-
       S. 6357--A                         50                         A. 8557--A
    1  sioner of homeland security and emergency services, and  impacted  resi-
    2  dents using such means as are practicable and efficient.
    3    4. Plan for alternate generated power source. Each retailer subject to
    4  subdivision  three of this section shall by the date of the installation
    5  of the prewiring and transfer switch required under subdivision  two  of
    6  this  section  have in place at each applicable retail outlet documenta-
    7  tion in a form approved by the department demonstrating a plan to deploy
    8  and install an alternate generated power source located at  such  retail
    9  outlet  as  required under subdivision three of this section.  Such plan
   10  shall take one of the following forms:
   11    (a) a receipt or other documentation showing ownership of  such  power
   12  source;
   13    (b)  for  a  retailer subject to paragraph (a) of subdivision three of
   14  this section, documentation attesting to participation  in  the  program
   15  established  under  subdivision  twenty-one  of section eighteen hundred
   16  fifty-four of the public authorities law; or
   17    (c) a contract with a supplier of  such  power  source  providing  for
   18  deployment  and installation of such power source in compliance with the
   19  requirements of this section, or other documentation  demonstrating  the
   20  retailer's  ability  to  comply  with  the requirements of this section,
   21  which may include the generator deployment and installation  plan  of  a
   22  chain of retail outlets.
   23    5.  Inspection;  recordkeeping;  reporting.  The  commissioner  or the
   24  commissioner's designee shall be  authorized  to  enter  during  regular
   25  business  hours  upon  a  retail  outlet  subject to the requirements of
   26  subdivision two of this section for the purpose of  determining  compli-
   27  ance  with  the  provisions of this section and any rules or regulations
   28  promulgated hereunder. All documents required pursuant  to  subdivisions
   29  two  and  four  of  this  section  shall be maintained at the applicable
   30  retail outlet and made available to the commissioner or the  commission-
   31  er's  designee  upon  request.  In  addition,  each retailer of a retail
   32  outlet, except for retail outlets granted exemptions under paragraph (e)
   33  of subdivision two of this section, shall provide to the  department  by
   34  [April first, two thousand fourteen] THE DATE OF THE INSTALLATION OF THE
   35  PREWIRING  AND  TRANSFER  SWITCH  REQUIRED UNDER SUBDIVISION TWO OF THIS
   36  SECTION and every two years thereafter written documentation in  a  form
   37  approved  by  the  department  certifying  that such retail outlet is in
   38  compliance with the requirements of this section, and any other require-
   39  ment specified  by  any  rules  or  regulations  promulgated  hereunder;
   40  provided,  however, that, for each retail outlet that is part of a chain
   41  of retail outlets or to which subparagraph (ii) or  (iii)  of  paragraph
   42  (a),  SUBPARAGRAPH (III) OF PARAGRAPH (A-1) or paragraph (b) of subdivi-
   43  sion two applies, such written documentation shall be  provided  to  the
   44  department within ten days after the date of installation of the prewir-
   45  ing  and  transfer switch required to be installed under subdivision two
   46  of this section and every two years thereafter.
   47    6. Rules and regulations; notification of applicability.  The  commis-
   48  sioner shall have the authority, with the assistance of the commissioner
   49  of  transportation,  the commissioner of homeland security and emergency
   50  services, the president of the New York state energy research and devel-
   51  opment authority, the secretary of state and the  chair  of  the  public
   52  service  commission,  to  promulgate  such  rules and regulations as the
   53  commissioner shall deem necessary to effectuate  the  purposes  of  this
   54  section.  The  commissioner  shall by June first, two thousand thirteen:
   55  (a) notify by first class mail all existing retail outlets  that  appear
   56  to meet the criteria specified in subdivision two of this section of the
       S. 6357--A                         51                         A. 8557--A
    1  requirements  of  this  section  and  include with such notification any
    2  other information deemed necessary by the commissioner, including infor-
    3  mation regarding applicability criteria, compliance measures and  poten-
    4  tial  grant assistance; (b) provide a list of all such retail outlets to
    5  the governor, the temporary president of the senate and the  speaker  of
    6  the  assembly;  and  (c)  post  such  list  on the department's website,
    7  PROVIDED HOWEVER THAT FOR RETAIL OUTLETS SUBJECT TO PARAGRAPH  (A-1)  OF
    8  SUBDIVISION TWO OF THIS SECTION, SUCH ACTIONS SHALL OCCUR BY JUNE FIRST,
    9  TWO THOUSAND FOURTEEN.  If approval of federal mitigation funds or other
   10  approved  resources for the program established under subdivision twenty
   11  of section eighteen hundred fifty-four of  the  public  authorities  law
   12  occurs  after  June first, two thousand thirteen, the commissioner shall
   13  provide additional notification of such approval within thirty days. Any
   14  retailer of a retail outlet specified on such list shall be  subject  to
   15  the  requirements  of  this  section  unless  he or she provides written
   16  documentation to the department by August first, two  thousand  thirteen
   17  proving  that  such  outlet  does  not  qualify,  or  is eligible for an
   18  exemption pursuant to paragraph (e) of subdivision two of this  section;
   19  PROVIDED  HOWEVER  THAT FOR RETAIL OUTLETS SUBJECT TO PARAGRAPH (A-1) OF
   20  SUBDIVISION TWO OF THIS SECTION, ANY RETAILER OF A RETAIL OUTLET  SPECI-
   21  FIED  ON  SUCH LIST SHALL BE SUBJECT TO THE REQUIREMENTS OF THIS SECTION
   22  UNLESS HE OR SHE PROVIDES WRITTEN DOCUMENTATION  TO  THE  DEPARTMENT  BY
   23  AUGUST  FIRST,  TWO  THOUSAND FOURTEEN PROVING THAT SUCH OUTLET DOES NOT
   24  QUALIFY.  The commissioner shall update such list every five years ther-
   25  eafter, OR MORE FREQUENTLY AS  THE  COMMISSIONER  DEEMS  NECESSARY,  and
   26  notify all new retail outlets that become subject to the requirements of
   27  this  section;  provided, however, that compliance with the requirements
   28  of this section is not conditioned on such notification.
   29    7. Violations and penalties. Any retailer who violates  any  provision
   30  of  this section, or any rule or regulation promulgated hereunder, shall
   31  be liable to the people of the state for a civil penalty of  up  to  one
   32  thousand  five  hundred  dollars per day for every such violation, to be
   33  assessed by the commissioner, after a hearing or opportunity to be heard
   34  upon due notice and with the right  to  representation  by  counsel.  In
   35  determining  the  amount  of  civil penalty, the commissioner shall take
   36  into consideration mitigating factors, such as the availability of gaso-
   37  line at the retail outlet, provided that the  retailer  did  not  refuse
   38  such delivery, and the extent to which the retailer's action or inaction
   39  contributed to the violation. Such penalty may be recovered in an action
   40  brought  by  the  attorney general at the request and in the name of the
   41  commissioner in any court of competent jurisdiction. Such civil  penalty
   42  may be released or compromised by the commissioner before the matter has
   43  been  referred to the attorney general. Additionally, after such hearing
   44  and a finding that such retailer has violated  the  provisions  of  this
   45  section,  or  of  any  rule  or  regulation  promulgated thereunder, the
   46  commissioner may issue and cause to be served upon such person an  order
   47  enjoining  such  person  from  violating  such provisions and taking all
   48  necessary actions for such person to  come  into  compliance  with  such
   49  provisions.  Any  such  order  of the commissioner may be enforced in an
   50  action brought by the attorney general at the request and in the name of
   51  the commissioner in any court of competent jurisdiction.
   52    Notwithstanding the foregoing, such retailer shall not be in violation
   53  of subdivision three of this section if he or she is unable  to  deploy,
   54  install or operate an alternate generated power source because of uncon-
   55  trollable  circumstances,  including  but  not  limited to, restrictions
   56  imposed by public safety officers to address an emergency  situation  or
       S. 6357--A                         52                         A. 8557--A
    1  that such retail station is made unsafe or unable to operate due to acts
    2  of  God,  fires, floods, explosions or the safety of personnel needed to
    3  operate such retail outlet. Additionally, such retailer shall not be  in
    4  violation of subdivision three of this section if he or she is a partic-
    5  ipant in the program established under subdivision twenty-one of section
    6  eighteen  hundred fifty-four of the public authorities law and a genera-
    7  tor is not provided to the retailer due to  the  prioritization  allowed
    8  under such subdivision or through no fault of the retailer.
    9    8.  This  section  shall  not  be construed to require any retailer to
   10  maintain set business hours in the event of an  energy  or  fuel  supply
   11  emergency.
   12    9.  The  provisions  of this section shall supersede all local laws or
   13  ordinances in the downstate region AND IN COUNTIES IN THE UPSTATE REGION
   14  WHOSE RETAIL OUTLETS ARE SUBJECT  TO  THE  PROVISIONS  OF  THIS  SECTION
   15  relating  to  the  installation and deployment of an alternate generated
   16  power source or any related electrical or other equipment at any  retail
   17  outlet.
   18    10.  The  requirements  of  this  section  shall  be contingent on the
   19  approval of federal mitigation funds or other approved resources for the
   20  program established under subdivision twenty of section eighteen hundred
   21  fifty-four of the public authorities law. In  the  event  such  approval
   22  does  not  occur  as of June first, two thousand thirteen, all deadlines
   23  with a date of April first, two thousand fourteen shall  be  delayed  by
   24  the  amount  of time such approval is delayed past June first, two thou-
   25  sand thirteen.
   26    S 3. Subdivisions 20 and 21 of section 1854 of the public  authorities
   27  law,  as added by section 3 of part S of chapter 58 of the laws of 2013,
   28  are amended to read as follows:
   29    20. To administer a program, using funds provided for such purpose, to
   30  provide a grant based on standards and  guidelines  established  by  the
   31  authority for costs as follows:
   32    (a)  for  each  retail outlet that is in operation before April first,
   33  two thousand fourteen and is subject to the  requirements  of  paragraph
   34  (a)  of  subdivision  three  of  section one hundred ninety-two-h of the
   35  agriculture and markets law AND FOR EACH RETAIL OUTLET THAT IS IN OPERA-
   36  TION BEFORE APRIL FIRST, TWO THOUSAND FIFTEEN  AND  IS  SUBJECT  TO  THE
   37  REQUIREMENTS  OF  PARAGRAPH  (A-1)  OF  SUBDIVISION  TWO  OF SECTION ONE
   38  HUNDRED NINETY-TWO-H OF THE AGRICULTURE AND MARKETS LAW:
   39    (i) no greater than ten thousand  dollars  required  to  prewire  such
   40  retail outlet with an appropriate transfer switch for using an alternate
   41  generated power source as defined in section one hundred ninety-two-h of
   42  the agriculture and markets law; or
   43    (ii)  no  greater  than  thirteen thousand dollars required to prewire
   44  such retail outlet with an appropriate  transfer  switch  for  using  an
   45  alternate generated power source as defined in section one hundred nine-
   46  ty-two-h  of  the  agriculture  and  markets law and purchase such power
   47  source to be permanently affixed at the site.
   48    (b) for each retail outlet that is in operation  before  April  first,
   49  two  thousand  fourteen  and is subject to the requirements of paragraph
   50  (b) of subdivision three of section  one  hundred  ninety-two-h  of  the
   51  agriculture  and  markets  law,  no  greater  than  ten thousand dollars
   52  required to: (i) prewire an existing retail outlet with  an  appropriate
   53  transfer switch for using an alternate generated power source as defined
   54  in  section one hundred ninety-two-h of the agriculture and markets law;
   55  and/or (ii) purchase such power source to be permanently affixed at  the
   56  site.
       S. 6357--A                         53                         A. 8557--A
    1    (c)  to the extent funds are available, for retail outlets that become
    2  operational on or after April first, two thousand fourteen, or to  which
    3  subdivision  two  of section one hundred ninety-two-h of the agriculture
    4  and markets law becomes applicable after  the  effective  date  of  this
    5  subdivision,  which  grants  shall  otherwise  be  subject  to  the same
    6  amounts, purposes and restrictions as paragraphs (a)  and  (b)  of  this
    7  subdivision.
    8    The  authority  may  offer any funds provided for such purpose and not
    9  expended to retail outlets that are not  required  to  comply  with  the
   10  requirements  of  subdivision two of section one hundred ninety-two-h of
   11  the agriculture and markets law but that seek  to  participate  in  such
   12  program.
   13    21.  To  administer  a  program  to establish a pool of generators for
   14  retail outlets as defined in section one  hundred  ninety-two-h  of  the
   15  agriculture  and markets law. The authority may enter into or facilitate
   16  contracts, lease agreements and any other  instruments  subject  to  the
   17  provisions  of  law,  with  companies providing generators and generator
   18  services to provide for such pool and the deployment and installation of
   19  generators in the pool. Retail outlets that elect to participate in  the
   20  program and are subject to the requirements of PARAGRAPH (A-1) OF SUBDI-
   21  VISION  TWO OR paragraph (a) of subdivision three of section one hundred
   22  ninety-two-h of the agriculture and markets law shall be  required  only
   23  to  pay the actual cost of generator rental, deployment and installation
   24  in the event that emergency deployment is  required,  provided,  that  a
   25  participant must abide by the terms of any contract or written agreement
   26  covering  the  rental, deployment and installation of such generator. In
   27  the event that an insufficient number of generators is available to meet
   28  required emergency deployment, the authority in  consultation  with  the
   29  commissioner  of  homeland  security and emergency services shall prior-
   30  itize such retail outlets as are most essential  to  public  safety  and
   31  well-being  during  the energy or fuel supply emergency. When generators
   32  from such program are  deployed,  the  authority  shall  provide  public
   33  notice  on its website, to the media and through other means practicable
   34  of those retail outlets where generators are deployed.
   35    S 4. This act shall take effect immediately.
   36                                   PART N
   37    Section 1. Section 2 of chapter 21 of the laws of 2003,  amending  the
   38  executive  law  relating to permitting the secretary of state to provide
   39  special handling for all documents filed or issued by  the  division  of
   40  corporations  and to permit additional levels of such expedited service,
   41  as amended by section 1 of part P of chapter 58 of the laws of 2013,  is
   42  amended to read as follows:
   43    S  2.  This  act shall take effect immediately, provided however, that
   44  section one of this act shall be deemed to have been in full  force  and
   45  effect  on  and  after  April  1, 2003 and shall expire March 31, [2014]
   46  2015.
   47    S 2. This act shall take effect immediately and  shall  be  deemed  to
   48  have been in full force and effect on and after March 31, 2014.
   49                                   PART O
   50    Section  1.  Paragraph  (g) of section 104 of the business corporation
   51  law, as amended by chapter 375 of the laws of 1998, is amended  to  read
   52  as follows:
       S. 6357--A                         54                         A. 8557--A
    1    (g)  The  department shall make, certify and transmit ELECTRONICALLY a
    2  copy of each such instrument to the clerk of the  county  in  which  the
    3  office  of  the  domestic or foreign corporation is or is to be located.
    4  The county clerk shall file and index such copy.
    5    S  2.   Paragraph (g) of section 104 of the not-for-profit corporation
    6  law, as amended by chapter 375 of the laws of 1998, is amended  to  read
    7  as follows:
    8    (g)   The department shall make, certify and transmit ELECTRONICALLY a
    9  copy of each such instrument to the clerk of the  county  in  which  the
   10  office  of  the  domestic or foreign corporation is or is to be located.
   11  The county clerk shall file and index such copy.
   12    S 3. This act shall take effect immediately.
   13                                   PART P
   14    Section 1. Subdivision 2 of section 160-f of  the  executive  law,  as
   15  amended  by  chapter  397  of  the  laws  of 1991, is amended to read as
   16  follows:
   17    2. Notwithstanding any other law, the department may transmit an annu-
   18  al registry fee [of not more than twenty-five dollars]  AS  SET  BY  THE
   19  FEDERAL  APPRAISAL  SUBCOMMITTEE  IN  ACCORDANCE  WITH  12  U.S.C.  3338
   20  (A)(4)(A)  from  such  individuals  who  perform  or  seek  to   perform
   21  appraisals in federally related transactions and to transmit a roster of
   22  such  individuals to the Appraisal Subcommittee of the Federal Financial
   23  Institutions Examination Council as required by Title XI of  the  Finan-
   24  cial Institutions Reform, Recovery, and Enforcement Act of 1989.
   25    S 2. This act shall take effect immediately.
   26                                   PART Q
   27    Section  1.  Notwithstanding  any other law, rule or regulation to the
   28  contrary, expenses of the department of health public service  education
   29  program  incurred  pursuant  to appropriations from the cable television
   30  account of the state miscellaneous special revenue funds shall be deemed
   31  expenses of the department of public service.
   32    S 2. This act shall take effect immediately and  shall  be  deemed  to
   33  have been in full force and effect on and after April 1, 2014.
   34                                   PART R
   35    Section  1. Section 5 of the public service law is amended by adding a
   36  new subdivision 7 to read as follows:
   37    7. (A) THE COMMISSION MAY, AFTER  NOTICE  AND  HEARING,  FORBEAR  FROM
   38  APPLYING  THE  PROVISIONS  OF  SUBDIVISION TWO OF SECTION NINETY-ONE AND
   39  SECTION NINETY-TWO, NINETY-NINE, ONE HUNDRED, ONE  HUNDRED  ONE  OR  ONE
   40  HUNDRED  ONE-A  OF  THIS  CHAPTER  TO A TELEPHONE CORPORATION, TELEPHONE
   41  SERVICE, OR CLASS OF TELEPHONE CORPORATIONS  OR  TELEPHONE  SERVICES  AS
   42  DEFINED  IN  COMMISSION  REGULATIONS,  IN  ANY  GEOGRAPHIC MARKET UPON A
   43  DETERMINATION THAT:
   44    (I) APPLICATION OF A PROVISION IS NOT NECESSARY  TO  ENSURE  JUST  AND
   45  REASONABLE  RATES  AND CHARGES AND RATES THAT ARE NOT UNJUSTLY OR UNREA-
   46  SONABLY DISCRIMINATORY;
   47    (II) APPLICATION OF A PROVISION IS NOT  NECESSARY  FOR  PROTECTION  OF
   48  CONSUMERS; AND
       S. 6357--A                         55                         A. 8557--A
    1    (III)  FORBEARANCE  FROM  APPLYING  A PROVISION IS CONSISTENT WITH THE
    2  PUBLIC INTEREST, INCLUDING, BUT NOT LIMITED TO, PROMOTION OF COMPETITIVE
    3  MARKET CONDITIONS AND COMPETITION AMONG PROVIDERS OF TELEPHONE SERVICES.
    4    (B)  ANY TELEPHONE CORPORATION OR SUCH CLASS OF TELEPHONE CORPORATIONS
    5  MAY PETITION THE COMMISSION FOR EXERCISE OF THE AUTHORITY GRANTED  UNDER
    6  THIS SUBDIVISION.
    7    S  2.  Paragraph  (d)  of  subdivision  5  of section 52 of the public
    8  service law, as added by chapter 186 of the laws of 1995, is amended  to
    9  read as follows:
   10    (d)  when  such determination follows a customer complaint regarding a
   11  shared meter condition or a utility discovery of a shared  meter  condi-
   12  tion  that  is  not  in  response  to  an  owner's request for a utility
   13  inspection for a shared meter condition, with respect to utility service
   14  billed after December first, nineteen hundred  ninety-six,  the  utility
   15  shall  comply with the provisions of paragraphs (a), (b) and (c) of this
   16  subdivision, and further bill the owner and refund to the  shared  meter
   17  customer  an estimated amount of THE charges for [twelve months] TWENTY-
   18  FIVE PERCENT of all service measured by  the  shared  meter  FOR  TWELVE
   19  MONTHS;  provided,  however,  that  this  paragraph shall not apply to a
   20  shared meter condition if service measured through the shared  meter  is
   21  minimal  under commission rules adopted pursuant to subdivision eight of
   22  this section[. An owner so billed] OR IN THE EVENT AN OWNER, PURSUANT TO
   23  SUBPARAGRAPH (I) OF PARAGRAPH (B) OF SUBDIVISION TWO OF THIS SECTION, IS
   24  EXCUSED FROM CORRECTING THE SHARED METER CONDITION BY A  LEGAL  PROHIBI-
   25  TION  OR EXORBITANT COST AS DEFINED BY COMMISSION RULES ADOPTED PURSUANT
   26  TO SUBDIVISION EIGHT OF THIS SECTION. A SHARED METER CUSTOMER may  peti-
   27  tion  the commission or its designee for a determination that the amount
   28  of such [bill is excessive] ASSESSMENT IS UNSATISFACTORY and  that  such
   29  bill  and  refund be adjusted [accordingly]; provided, however, [neither
   30  the adjusted bill nor] THAT the adjusted  refund  shall  [be  less  than
   31  twenty-five  percent  of]  NOT  EXCEED  the total amount of the original
   32  bill. [The commission is authorized to make  such  a  determination  and
   33  adjustment  if it finds that a bill and refund of twelve months' charges
   34  is unduly burdensome and  unfair.]  In  making  such  determination  the
   35  commission  or  its designee shall consider the total amount of the bill
   36  and refund in relation to the shared area charges over such twelve month
   37  period and any other equitable factors established  by  the  commission;
   38  and
   39    S  3. Section 221 of the public service law, as added by chapter 83 of
   40  the laws of 1995, is amended to read as follows:
   41    S 221. Certificate of confirmation. 1.  Except  as  provided  in  this
   42  section,  no  person  shall  exercise a franchise, and no such franchise
   43  shall be effective, [until the commission has confirmed such  franchise.
   44  A  person wishing to exercise a franchise shall file with the commission
   45  an application for a  certificate  of  confirmation  in  such  form  and
   46  containing  such information and supportive documentation as the commis-
   47  sion may require. The application  shall  be  accompanied  by  proof  of
   48  service  thereof  upon  the franchisor and by such fee as the commission
   49  may set] UNLESS A COPY OF SUCH FRANCHISE HAS BEEN APPROVED BY THE  MUNI-
   50  CIPALITY,  AND  PROPERLY FILED WITH THE COMMISSION WITHIN THIRTY DAYS OF
   51  MUNICIPAL APPROVAL. SUCH FRANCHISE SHALL BE SUBJECT, AT  A  MINIMUM,  TO
   52  THE  FRANCHISING  STANDARDS  SET FORTH IN THIS ARTICLE AND THE RULES AND
   53  REGULATIONS PROMULGATED THEREUNDER BY THE COMMISSION.
   54    2. A FRANCHISE SHALL BE DEEMED GRANTED FORTY-FIVE DAYS AFTER THE FRAN-
   55  CHISE IS FILED PURSUANT TO SUBDIVISION ONE OF THIS  SECTION  UNLESS  THE
   56  COMMISSION, OR ITS DESIGNEE, DETERMINES WITHIN SUCH FORTY-FIVE DAY PERI-
       S. 6357--A                         56                         A. 8557--A
    1  OD THAT THE PUBLIC INTEREST REQUIRES THE COMMISSION'S REVIEW AND WRITTEN
    2  ORDER.
    3    [2.]  3.  The  commission may hold a public hearing on any application
    4  for a certificate of confirmation if it determines that such  a  hearing
    5  is  in  the public interest. The commission shall fix the time and place
    6  for such a hearing and cause notice thereof to be given  to  the  appli-
    7  cant,  the chief executive officer of the municipality issuing the fran-
    8  chise and such other persons as the  commission  may  deem  appropriate.
    9  Testimony  may be taken and evidence received at such a hearing pursuant
   10  to such rules and procedures as the commission may establish.
   11    [3.] 4. [The commission shall issue a] A certificate  of  confirmation
   12  of  the  franchise  [unless  it  finds  that  (a) the applicant, (b) the
   13  proposed cable television system, or (c) the proposed franchise does not
   14  conform to the standards established in the regulations  promulgated  by
   15  the  commission  pursuant  to  subdivision  two  of  section two hundred
   16  fifteen, or that operation of the proposed cable  television  system  by
   17  the  applicant  under the proposed cable television system by the appli-
   18  cant under the proposed franchise would be  in  violation  of  law,  any
   19  regulation  or  standard  promulgated  by  the  commission or the public
   20  interest.] SHALL BE DEEMED CONFIRMED FORTY-FIVE DAYS AFTER THE FRANCHISE
   21  IS FILED PURSUANT TO SUBDIVISION ONE OF THIS SECTION UNLESS THE  COMMIS-
   22  SION, OR ITS DESIGNEE, DETERMINES WITHIN SUCH FORTY-FIVE DAY PERIOD THAT
   23  THE PUBLIC INTEREST REQUIRES THE COMMISSION'S REVIEW AND WRITTEN ORDER.
   24    [4.] 5. The commission may issue a certificate of confirmation contin-
   25  gent  upon  compliance  with  standards,  terms or conditions set by the
   26  commission which it determines would not have been met by the applicant,
   27  system or franchise as proposed.
   28    [5.] 6. In the event the commission refuses to issue a certificate  of
   29  confirmation,  it  shall  set forth in writing the reasons for its deci-
   30  sion.
   31    [6. Any cable television company which, pursuant to any existing fran-
   32  chise, (i) was lawfully  engaged  in  actual  operations  for  (ii)  had
   33  commenced  substantial  construction  (as  such  term  is defined by the
   34  commission) of a cable television  system  on  January  first,  nineteen
   35  hundred  seventy-two may continue to exercise said franchise pursuant to
   36  the terms thereof, provided such company files with the  commission,  on
   37  or  before  July first, nineteen hundred seventy-three an application in
   38  such form and containing such information and  supporting  documentation
   39  as  the commission may require. The commission shall issue a certificate
   40  of confirmation to such a cable television company valid for five  years
   41  without  further  proceedings,  which  certificate may be renewed by the
   42  commission on application for five year terms pursuant to the provisions
   43  of section two hundred twenty-two.
   44    7. Notwithstanding any other provisions of  this  article,  any  cable
   45  television  company  engaged  in  actual  and lawful nonfranchised cable
   46  television operations on April first,  nineteen  hundred  seventy-three,
   47  that  applied  for  a certificate of confirmation on or before September
   48  first, nineteen hundred seventy-four and received a  certificate,  valid
   49  for a five year period, may continue to operate within the limits of the
   50  area in which it was actually rendering service on April first, nineteen
   51  hundred  seventy-three, as determined by the commission.  Such a certif-
   52  icate of confirmation may be renewed by the  commission  on  application
   53  for  five  year  terms pursuant to the provisions of section two hundred
   54  twenty-two of this article. Any such company which  failed  to  file  an
   55  application pursuant to this section on or before September first, nine-
   56  teen  hundred seventy-four, shall thereafter be prohibited from continu-
       S. 6357--A                         57                         A. 8557--A
    1  ing operation of  a  nonfranchised  cable  television  system,  provided
    2  however,  that the commission may authorize such continued nonfranchised
    3  operation in extraordinary circumstances for such periods as the commis-
    4  sion may deem appropriate.
    5    8. Nothing in this section shall be deemed to validate a franchise not
    6  granted  in  accordance  with  law or affect any claims in litigation on
    7  January first, nineteen hundred seventy-three.   No  confirmation  under
    8  this  section  shall  preclude  invalidation  of any franchise illegally
    9  obtained.
   10    9.] 7. Confirmation by the commission  and  duties  performed  by  the
   11  commission  with respect to its regulation of cable television providers
   12  under this article shall not be deemed to constitute "supervision of the
   13  state department of public service" for the purpose of  the  meaning  of
   14  such  phrase  as  it  is  used  in  describing those utilities which are
   15  subject to tax on a gross income basis under section one hundred  eight-
   16  y-six-a  of  the  tax law or pursuant to section twenty-b of the general
   17  city law and subdivision one of section [five hundred thirty]  5-530  of
   18  the village law.
   19    S  4.  Section  222  of  the  public service law is REPEALED and a new
   20  section 222 is added to read as follows:
   21    S 222. RENEWAL OR AMENDMENT OF FRANCHISES.  1. EXCEPT AS  PROVIDED  IN
   22  THIS SECTION, NO PERSON SHALL RENEW OR AMEND A FRANCHISE RENEWAL, AND NO
   23  SUCH  RENEWAL  OR  AMENDMENT  SHALL  BE EFFECTIVE, UNLESS A COPY OF SUCH
   24  RENEWAL OR AMENDMENT HAS BEEN APPROVED BY THE MUNICIPALITY, AND PROPERLY
   25  FILED WITH THE COMMISSION WITHIN THIRTY DAYS OF MUNICIPAL APPROVAL. SUCH
   26  RENEWAL OR AMENDMENT SHALL BE SUBJECT, AT A MINIMUM, TO THE  FRANCHISING
   27  STANDARDS  SET  FORTH  IN  THIS  ARTICLE  AND  THE RULES AND REGULATIONS
   28  PROMULGATED THEREUNDER BY THE COMMISSION.
   29    2. RENEWALS AND AMENDMENTS SHALL BE  DEEMED  GRANTED  FORTY-FIVE  DAYS
   30  AFTER  THE  RENEWAL OR AMENDMENT IS FILED PURSUANT TO SUBDIVISION ONE OF
   31  THIS SECTION UNLESS THE COMMISSION, OR ITS DESIGNEE,  DETERMINES  WITHIN
   32  SUCH FORTY-FIVE DAY PERIOD THAT THE PUBLIC INTEREST REQUIRES THE COMMIS-
   33  SION'S REVIEW AND WRITTEN ORDER.
   34    S  5.  The public service law is amended by adding a new section 222-a
   35  to read as follows:
   36    S 222-A. TRANSFER OF FRANCHISES AND TRANSFER  OF  CONTROL  OVER  FRAN-
   37  CHISES  AND  SYSTEM  PROPERTIES. 1. NO TRANSFER OF ANY FRANCHISE, OR ANY
   38  TRANSFER OF CONTROL OF A FRANCHISE OR CERTIFICATE OF CONFIRMATION OR  OF
   39  FACILITIES  CONSTITUTING  A  SIGNIFICANT  PART  OF  ANY CABLE TELEVISION
   40  SYSTEM SHALL BE EFFECTIVE WITHOUT THE PRIOR APPROVAL OF THE  COMMISSION.
   41  SUCH  APPROVAL  SHALL  BE REQUIRED IN ADDITION TO ANY MUNICIPAL APPROVAL
   42  REQUIRED UNDER THE FRANCHISE  OR  BY  LAW.  FOR  THE  PURPOSES  OF  THIS
   43  SECTION,  A  MERGER  OR  CONSOLIDATION  OF  TWO OR MORE CABLE TELEVISION
   44  COMPANIES SHALL BE DEEMED TO BE A TRANSFER OF THE FRANCHISES OR  CERTIF-
   45  ICATES GRANTED TO SUCH COMPANIES.
   46    2. A PERSON WISHING TO TRANSFER A FRANCHISE, OR TO TRANSFER CONTROL OF
   47  A  FRANCHISE  OR  OF  A SUBSTANTIAL PART OF THE FACILITIES THEREOF SHALL
   48  FILE WITH THE COMMISSION AN APPLICATION FOR APPROVAL OF SUCH CHANGE,  IN
   49  SUCH  FORM  AND  CONTAINING SUCH INFORMATION AND SUPPORTING DOCUMENTS AS
   50  THE COMMISSION MAY REQUIRE. THE  APPLICATION  SHALL  BE  ACCOMPANIED  BY
   51  PROOF OF SERVICE THEREOF UPON THE FRANCHISOR, IF ANY, AND BY SUCH FEE AS
   52  THE  COMMISSION MAY SET. THE COMMISSION MAY HOLD A PUBLIC HEARING ON ANY
   53  SUCH APPLICATION.
   54    3. THE COMMISSION SHALL APPROVE THE APPLICATION UNLESS IT  FINDS  THAT
   55  THE  APPLICANT,  THE  PROPOSED TRANSFEREE OR THE CABLE TELEVISION SYSTEM
   56  DOES NOT CONFORM TO THE STANDARDS ESTABLISHED IN THE REGULATIONS PROMUL-
       S. 6357--A                         58                         A. 8557--A
    1  GATED BY THE COMMISSION PURSUANT TO THIS ARTICLE OR THAT APPROVAL  WOULD
    2  BE  IN  VIOLATION  OF LAW, ANY REGULATION OR STANDARD PROMULGATED BY THE
    3  COMMISSION OR THE PUBLIC INTEREST, PROVIDED HOWEVER, THAT A  FAILURE  TO
    4  CONFORM  TO  THE STANDARDS ESTABLISHED IN THE REGULATIONS PROMULGATED BY
    5  THE COMMISSION SHALL NOT PRECLUDE APPROVAL OF ANY  SUCH  APPLICATION  IF
    6  THE COMMISSION FINDS THAT SUCH APPROVAL WOULD SERVE THE PUBLIC INTEREST.
    7    4.  THE COMMISSION MAY APPROVE THE APPLICATION CONTINGENT UPON COMPLI-
    8  ANCE WITH STANDARDS, TERMS OR CONDITIONS SET BY THE COMMISSION WHICH  IT
    9  DETERMINES  WOULD  NOT HAVE BEEN MET BY THE PROPOSED TRANSFER OF A FRAN-
   10  CHISE.
   11    5. IN THE EVENT THE COMMISSION REFUSES TO APPROVE THE APPLICATION,  IT
   12  SHALL SET FORTH IN WRITING THE REASONS FOR ITS DECISION.
   13    6.  APPROVAL OF A TRANSFER OF A FRANCHISE UNDER THIS SECTION SHALL NOT
   14  PRECLUDE INVALIDATION OF A FRANCHISE ILLEGALLY OBTAINED.
   15    S 6. This act shall take effect immediately; provided,  however,  that
   16  sections  three,  four  and  five  of this act shall apply to franchises
   17  filed on or after the date this act shall have become a law.
   18                                   PART S
   19    Section 1. Paragraphs (a) and (b) of subdivision 6 of section 18-a  of
   20  the public service law, paragraph (a) as amended by section 1 of part BB
   21  of  chapter  59  of  the  laws  of  2013 and paragraph (b) as amended by
   22  section 2 of part A of chapter 173 of the laws of 2013, are  amended  to
   23  read as follows:
   24    (a)  Notwithstanding any provision of law to the contrary, and subject
   25  to the exceptions provided for in paragraph (b) of this subdivision, for
   26  the state fiscal year beginning on April first, two  thousand  nine  and
   27  eight  state  fiscal  years  thereafter,  a  temporary annual assessment
   28  (hereinafter "temporary state energy and  utility  service  conservation
   29  assessment")  is  hereby imposed on public utility companies [(including
   30  for the purposes of this subdivision municipalities other  than  munici-
   31  palities  as  defined in section eighty-nine-l of this chapter)], corpo-
   32  rations (including for purposes of  this  subdivision  the  Long  Island
   33  power  authority),  and  persons  subject to the commission's regulation
   34  (hereinafter such public utility companies,  corporations,  and  persons
   35  are referred to collectively as the "utility entities") to encourage the
   36  conservation  of  energy  and  other  resources provided through utility
   37  entities, to be assessed in the manner  provided  in  this  subdivision;
   38  provided,  however, that such assessment shall not be imposed upon (1) A
   39  telephone [corporations as defined in subdivision seventeen  of  section
   40  two of this article] CORPORATION, AND (2) A WATER-WORKS CORPORATION; AND
   41  PROVIDED,  FURTHER,  THAT  SUCH ASSESSMENT SHALL NOT BE IMPOSED UPON THE
   42  GROSS OPERATING REVENUES DERIVED FROM: (I) AN ELECTRIC CUSTOMER  ACCOUNT
   43  WITH A MONTHLY PEAK DEMAND OF ONE THOUSAND KILOWATTS OR MORE IN THE LAST
   44  PRECEDING  CALENDAR  YEAR AS DETERMINED PURSUANT TO THE UTILITY ENTITY'S
   45  TARIFF, AND (II) A GAS CUSTOMER ACCOUNT WITH AN  ANNUAL  CONSUMPTION  IN
   46  THE  LAST  PRECEDING CALENDAR YEAR OF ONE HUNDRED THOUSAND DEKATHERMS OR
   47  MORE AS DETERMINED PURSUANT TO THE UTILITY ENTITY'S TARIFF.
   48    (b) The  temporary  state  energy  and  utility  service  conservation
   49  assessment  shall  APPLY  ONLY TO THOSE CORPORATIONS AND GROSS OPERATING
   50  REVENUES NOT EXEMPTED IN PARAGRAPH (A) OF THIS SUBDIVISION AND SHALL  be
   51  based upon the following percentum of the utility entity's gross operat-
   52  ing  revenues  derived  from  intrastate  utility operations in the last
   53  preceding calendar year, minus the amount, if  any,  that  such  utility
   54  entity  is assessed pursuant to subdivisions one and two of this section
       S. 6357--A                         59                         A. 8557--A
    1  for the corresponding state fiscal year period:  (1) two  percentum  for
    2  the  state  fiscal  year  beginning  April first, two thousand thirteen;
    3  [and] (2) 1.89 PERCENTUM FOR  the  state  fiscal  year  beginning  April
    4  first,  two  thousand  fourteen;  [(2)  one and three-quarters] (3) 1.13
    5  percentum for the state fiscal year beginning April first, two  thousand
    6  fifteen;  and  [(3)  one  and one-half] (4) 0.83 percentum for the state
    7  fiscal year beginning April first, two thousand sixteen.  A PAYMENT  FOR
    8  SUCH  ASSESSMENT  RECEIVED BY A UTILITY ENTITY FOR THE STATE FISCAL YEAR
    9  BEGINNING APRIL FIRST, TWO THOUSAND  FOURTEEN  AND  THEREAFTER  FOR  (I)
   10  ELECTRIC  CUSTOMER  ACCOUNTS  WITH A MONTHLY PEAK DEMAND OF ONE THOUSAND
   11  KILOWATTS OR MORE IN THE LAST  PRECEDING  CALENDAR  YEAR  AS  DETERMINED
   12  PURSUANT  TO THE UTILITY ENTITY'S TARIFF, AND (II) GAS CUSTOMER ACCOUNTS
   13  WITH AN ANNUAL CONSUMPTION IN THE LAST PRECEDING CALENDAR  YEAR  OF  ONE
   14  HUNDRED THOUSAND DEKATHERMS OR MORE AS DETERMINED PURSUANT TO THE UTILI-
   15  TY  ENTITY'S  TARIFF,  SHALL BE CREDITED TO SUCH CUSTOMER BY THE UTILITY
   16  ENTITY, NO LESS FREQUENTLY THAN SEMI-ANNUALLY AND  IN  SUCH  MANNER  AND
   17  FORM  AS MAY BE DETERMINED BY THE DEPARTMENT. With respect to the tempo-
   18  rary state energy and utility service conservation assessment to be paid
   19  for the state fiscal year beginning April first, two thousand  seventeen
   20  and  notwithstanding clause (i) of paragraph (d) of this subdivision, on
   21  or before March tenth, two thousand seventeen,  utility  entities  shall
   22  make a payment equal to one-half of the assessment paid by such entities
   23  pursuant  to this paragraph for the state fiscal year beginning on April
   24  first, two thousand sixteen. With  respect  to  the  Long  Island  power
   25  authority,  the  temporary state energy and utility service conservation
   26  assessment shall APPLY ONLY TO THE GROSS OPERATING REVENUES NOT EXEMPTED
   27  IN PARAGRAPH (A) OF THIS SUBDIVISION AND SHALL be based upon the follow-
   28  ing percentum of such authority's gross operating revenues derived  from
   29  intrastate utility operations in the last preceding calendar year, minus
   30  the amount, if any, that such authority is assessed pursuant to subdivi-
   31  sions  one-a  and two of this section for the corresponding state fiscal
   32  year period: (1) one percentum for the state fiscal year beginning April
   33  first, two thousand thirteen; [and] (2) 0.95  PERCENTUM  FOR  the  state
   34  fiscal  year  beginning  April first, two thousand fourteen; [(2) three-
   35  quarters of one] (3) 0.54 percentum for the state fiscal year  beginning
   36  April first, two thousand fifteen; and [(3) one-half] (4) 0.36 percentum
   37  for  the  state fiscal year beginning April first, two thousand sixteen;
   38  provided, however, that should the amount assessed by the department for
   39  costs and expenses pursuant to such subdivisions equal  or  exceed  such
   40  authority's  temporary  state  energy  and  utility service conservation
   41  assessment for a particular fiscal year, the amount  to  be  paid  under
   42  this  subdivision  by  such authority shall be zero.  A PAYMENT FOR SUCH
   43  ASSESSMENT RECEIVED FOR THE STATE FISCAL YEAR BEGINNING APRIL FIRST, TWO
   44  THOUSAND FOURTEEN AND THEREAFTER FOR ELECTRIC CUSTOMER ACCOUNTS  WITH  A
   45  MONTHLY  PEAK  DEMAND  OF  ONE  THOUSAND  KILOWATTS  OR MORE IN THE LAST
   46  PRECEDING CALENDAR YEAR AS DETERMINED BY THE AUTHORITY'S TARIFF SHALL BE
   47  CREDITED TO SUCH CUSTOMER BY THE  AUTHORITY,  NO  LESS  FREQUENTLY  THAN
   48  SEMI-ANNUALLY  AND  IN  SUCH MANNER AND FORM AS MAY BE DETERMINED BY THE
   49  AUTHORITY, IN CONSULTATION WITH THE  DEPARTMENT.  With  respect  to  the
   50  temporary state energy and utility service conservation assessment to be
   51  paid  for  the  state  fiscal  year  beginning April first, two thousand
   52  seventeen and notwithstanding clause (i) of paragraph (d) of this subdi-
   53  vision, on or before March  tenth,  two  thousand  seventeen,  the  Long
   54  Island  power  authority  shall  make a payment equal to one-half of the
   55  assessment it paid for the state fiscal year beginning on  April  first,
   56  two  thousand sixteen. No corporation or person subject to the jurisdic-
       S. 6357--A                         60                         A. 8557--A
    1  tion of the commission only with respect to safety, or the power author-
    2  ity of the state of New York, shall be subject to  the  temporary  state
    3  energy  and  utility  service conservation assessment provided for under
    4  this  subdivision.  Utility entities whose gross operating revenues from
    5  intrastate utility operations are five hundred thousand dollars or  less
    6  in  the  preceding  calendar  year shall not be subject to the temporary
    7  state energy and utility service conservation  assessment.  The  minimum
    8  temporary state energy and utility service conservation assessment to be
    9  billed to any utility entity whose gross revenues from intrastate utili-
   10  ty  operations  are  in  excess  of five hundred thousand dollars in the
   11  preceding calendar year shall be two hundred dollars.
   12    S 2. This act shall take effect immediately and  shall  be  deemed  to
   13  have been in full force and effect on and after April 1, 2014; provided,
   14  however,  that  the  amendments  to subdivision 6 of section 18-a of the
   15  public service law made by section one of this act shall not affect  the
   16  repeal of such subdivision and shall be deemed to be repealed therewith.
   17                                   PART T
   18    Section  1. The opening paragraph of section 5102 of the insurance law
   19  is amended and a new subsection (n) is added to read as follows:
   20    In this [chapter] ARTICLE:
   21    (N) "PROVIDER OF HEALTH SERVICES" MEANS AN INDIVIDUAL OR ENTITY WHO OR
   22  THAT RENDERS OR HAS RENDERED HEALTH SERVICES.
   23    S 2. Section 5109 of the insurance law, as added by chapter 423 of the
   24  laws of 2005, is amended to read as follows:
   25    S 5109. Unauthorized providers of health  services.  (a)  [The  super-
   26  intendent,  in  consultation  with  the  commissioner  of health and the
   27  commissioner of education, shall by regulation, promulgate standards and
   28  procedures for investigating and suspending  or  removing  the  authori-
   29  zation for providers of health services to demand or request payment for
   30  health  services  as  specified  in  paragraph  one of subsection (a) of
   31  section five thousand one hundred two  of  this  article  upon  findings
   32  reached  after  investigation pursuant to this section. Such regulations
   33  shall ensure the same  or  greater  due  process  provisions,  including
   34  notice  and opportunity to be heard, as those afforded physicians inves-
   35  tigated under article two of the workers'  compensation  law  and  shall
   36  include  provision for notice to all providers of health services of the
   37  provisions of this section and  regulations  promulgated  thereunder  at
   38  least  ninety days in advance of the effective date of such regulations]
   39  AS USED IN THIS SECTION, "HEALTH  SERVICES"  MEANS  SERVICES,  SUPPLIES,
   40  THERAPIES,  OR  OTHER TREATMENTS AS SPECIFIED IN SUBPARAGRAPH (I), (II),
   41  OR (IV) OF PARAGRAPH ONE OF SUBSECTION (A) OF SECTION FIVE THOUSAND  ONE
   42  HUNDRED TWO OF THIS ARTICLE.
   43    (b)  [The  commissioner  of  health  and the commissioner of education
   44  shall provide a list of the names of all providers  of  health  services
   45  who  the  commissioner of health and the commissioner of education shall
   46  deem, after  reasonable  investigation,  not  authorized  to  demand  or
   47  request  any  payment  for medical services in connection with any claim
   48  under this article because  such]  THE  SUPERINTENDENT  MAY  PROHIBIT  A
   49  provider  of  health  services  FROM DEMANDING OR REQUESTING PAYMENT FOR
   50  HEALTH SERVICES RENDERED UNDER THIS ARTICLE, FOR A PERIOD  SPECIFIED  BY
   51  THE  SUPERINTENDENT,  IF THE SUPERINTENDENT DETERMINES, AFTER NOTICE AND
   52  HEARING, THAT THE PROVIDER OF HEALTH SERVICES:
   53    (1) has ADMITTED TO, OR been FOUND guilty of, professional [or  other]
   54  misconduct  [or  incompetency],  AS  DEFINED  IN  THE  EDUCATION LAW, in
       S. 6357--A                         61                         A. 8557--A
    1  connection with [medical] HEALTH services rendered under  this  article;
    2  [or]
    3    (2)  [has exceeded the limits of his or her professional competence in
    4  rendering medical care under this article or] has knowingly made a false
    5  statement or representation as to a material fact in any medical  report
    6  made,  OR  DOCUMENT  SUBMITTED,  in connection with any claim under this
    7  article; or
    8    (3) solicited,  or  [has]  employed  another  PERSON  to  solicit  for
    9  [himself  or  herself]  THE PROVIDER OF HEALTH SERVICES or [for] another
   10  INDIVIDUAL OR ENTITY, professional treatment, examination or care of [an
   11  injured] A person in connection with any claim under this article; [or]
   12    (4) [has] refused to appear before, or [to] answer ANY  QUESTION  upon
   13  request  of,  the [commissioner of health, the] superintendent[,] or any
   14  duly authorized officer of [the] THIS state, [any  legal  question,]  or
   15  REFUSED  to produce any relevant information concerning [his or her] THE
   16  conduct OF THE PROVIDER OF HEALTH SERVICES in connection with [rendering
   17  medical] HEALTH services RENDERED under this article; [or]
   18    (5) [has] engaged in [patterns] A PATTERN of billing for:
   19    (A) HEALTH services [which] ALLEGED TO HAVE BEEN RENDERED  UNDER  THIS
   20  ARTICLE, WHEN THE HEALTH SERVICES were not [provided.] RENDERED; OR
   21    (B) UNNECESSARY HEALTH SERVICES;
   22    (6)  UTILIZED  UNLICENSED PERSONS TO RENDER HEALTH SERVICES UNDER THIS
   23  ARTICLE, WHEN ONLY A PERSON LICENSED IN THIS STATE MAY RENDER THE HEALTH
   24  SERVICES;
   25    (7) UTILIZED LICENSED PERSONS TO RENDER HEALTH SERVICES, WHEN  RENDER-
   26  ING  THE  HEALTH SERVICES IS BEYOND THE AUTHORIZED SCOPE OF THE PERSON'S
   27  LICENSE;
   28    (8) DIRECTLY OR INDIRECTLY CEDED OWNERSHIP OR CONTROL  OF  A  BUSINESS
   29  ENTITY AUTHORIZED TO PROVIDE PROFESSIONAL HEALTH SERVICES IN THIS STATE,
   30  INCLUDING  A  PROFESSIONAL  SERVICE  CORPORATION,  PROFESSIONAL  LIMITED
   31  LIABILITY COMPANY, OR REGISTERED LIMITED  LIABILITY  PARTNERSHIP,  TO  A
   32  PERSON  NOT  LICENSED  TO RENDER THE HEALTH SERVICES WHICH THE ENTITY IS
   33  LEGALLY AUTHORIZED TO PROVIDE,  EXCEPT  WHERE  THE  UNLICENSED  PERSON'S
   34  OWNERSHIP OR CONTROL IS OTHERWISE PERMITTED BY LAW;
   35    (9)  HAS BEEN CONVICTED OF OR PLED GUILTY TO ANY CRIME OR VIOLATION OF
   36  THE PENAL LAW IN CONNECTION WITH HEALTH  SERVICES  RENDERED  UNDER  THIS
   37  ARTICLE;
   38    (10)  HAS  BEEN CONVICTED OF A CRIME INVOLVING FRAUDULENT OR DISHONEST
   39  PRACTICES; OR
   40    (11) VIOLATED ANY PROVISION OF THIS ARTICLE OR REGULATIONS PROMULGATED
   41  THEREUNDER.
   42    (c) [Providers] A PROVIDER of  health  services  shall  [refrain  from
   43  subsequently treating for remuneration, as a private patient, any person
   44  seeking  medical  treatment]  NOT  DEMAND  OR  REQUEST  PAYMENT FROM THE
   45  PATIENT, ANY INSURER, OR ANY OTHER PERSON FOR ANY HEALTH SERVICES  under
   46  this article [if such provider pursuant to this section has been prohib-
   47  ited from demanding or requesting any payment for medical services under
   48  this  article. An injured claimant so treated or examined may raise this
   49  as] THAT ARE RENDERED DURING THE TERM OF THE PROHIBITION ORDERED BY  THE
   50  SUPERINTENDENT  PURSUANT TO SUBSECTION (B) OF THIS SECTION. THE PROHIBI-
   51  TION ORDERED BY THE SUPERINTENDENT MAY BE a defense  in  any  action  by
   52  [such]  THE  provider  OF  HEALTH  SERVICES  for  payment for [treatment
   53  rendered at any time  after  such  provider  has  been  prohibited  from
   54  demanding  or requesting payment for medical services in connection with
   55  any claim under this article] SUCH HEALTH SERVICES.
       S. 6357--A                         62                         A. 8557--A
    1    (d) The [commissioner of health and  the  commissioner  of  education]
    2  SUPERINTENDENT shall maintain [and regularly update] a database contain-
    3  ing  a  list  of providers of health services prohibited by this section
    4  from demanding or requesting any payment for health services  [connected
    5  to a claim] RENDERED under this article and shall make [such] THE infor-
    6  mation available to the public [by means of a website and by a toll free
    7  number].
    8    (e)  THE  SUPERINTENDENT  MAY  LEVY  A CIVIL PENALTY NOT EXCEEDING TEN
    9  THOUSAND DOLLARS FOR EACH OFFENSE ON ANY  PROVIDER  OF  HEALTH  SERVICES
   10  THAT  THE  SUPERINTENDENT PROHIBITS FROM DEMANDING OR REQUESTING PAYMENT
   11  FOR HEALTH SERVICES PURSUANT TO SUBSECTION  (B)  OF  THIS  SECTION.  ANY
   12  CIVIL  PENALTY  IMPOSED  FOR  A  FRAUDULENT  INSURANCE ACT AS DEFINED IN
   13  SECTION 176.05 OF THE PENAL LAW SHALL BE LEVIED PURSUANT TO ARTICLE FOUR
   14  OF THIS CHAPTER.
   15    (F) Nothing in this section shall be  construed  as  limiting  in  any
   16  respect the powers and duties of the commissioner of health, commission-
   17  er  of  education  or  the  superintendent  to  investigate instances of
   18  misconduct by a [health care] provider [and, after a  hearing  and  upon
   19  written  notice  to  the provider, to temporarily prohibit a provider of
   20  health services under such investigation from  demanding  or  requesting
   21  any  payment  for  medical  services under this article for up to ninety
   22  days from the date of such notice] OF HEALTH SERVICES AND TAKE APPROPRI-
   23  ATE ACTION PURSUANT TO ANY OTHER PROVISION OF LAW.  A  DETERMINATION  OF
   24  THE  SUPERINTENDENT PURSUANT TO SUBSECTION (B) OF THIS SECTION SHALL NOT
   25  BE BINDING UPON THE COMMISSIONER OF HEALTH OR COMMISSIONER OF  EDUCATION
   26  IN A PROFESSIONAL DISCIPLINE PROCEEDING RELATING TO THE SAME CONDUCT.
   27    S  3.  Paragraph  1  of subsection (a) of section 308 of the insurance
   28  law, as amended by chapter 499 of the laws of 2009, is amended  to  read
   29  as follows:
   30    (1)  The  superintendent  may  also  address to any health maintenance
   31  organization, life settlement provider, life settlement intermediary  or
   32  its  officers,  ANY  PROVIDER OF HEALTH SERVICES WHO DEMANDS OR REQUESTS
   33  PAYMENT FOR HEALTH SERVICES RENDERED UNDER  ARTICLE  FIFTY-ONE  OF  THIS
   34  CHAPTER,  or  any  authorized  insurer  or rate service organization, or
   35  officers thereof, any inquiry in relation to its transactions or  condi-
   36  tion  or  any matter connected therewith. Every corporation or person so
   37  addressed shall reply in writing to such inquiry promptly and  truthful-
   38  ly,  and  such  reply  shall  be,  if  required  by  the superintendent,
   39  subscribed by such individual, or by  such  officer  or  officers  of  a
   40  corporation, as the superintendent shall designate, and affirmed by them
   41  as true under the penalties of perjury.
   42    S 4. The insurance law is amended by adding a new section 5110 to read
   43  as follows:
   44    S  5110. EXAMINATIONS OF PROVIDERS OF HEALTH SERVICES; WHEN AUTHORIZED
   45  OR REQUIRED.  (A) THE SUPERINTENDENT MAY MAKE AN EXAMINATION,  INCLUDING
   46  AN  AUDIT OR UNANNOUNCED INSPECTION, INTO THE AFFAIRS OF ANY PROVIDER OF
   47  HEALTH SERVICES THAT DEMANDS OR REQUESTS  PAYMENT  FOR  HEALTH  SERVICES
   48  RENDERED  UNDER  THIS  ARTICLE  AS  OFTEN AS THE SUPERINTENDENT DEEMS IT
   49  EXPEDIENT FOR THE PROTECTION OF THE INTERESTS  OF  THE  PEOPLE  OF  THIS
   50  STATE.  AS  USED  IN  THIS  SECTION,  "HEALTH  SERVICES" MEANS SERVICES,
   51  SUPPLIES, THERAPIES, OR OTHER TREATMENTS AS  SPECIFIED  IN  SUBPARAGRAPH
   52  (I),  (II),  OR  (IV) OF PARAGRAPH ONE OF SUBSECTION (A) OF SECTION FIVE
   53  THOUSAND ONE HUNDRED TWO OF THIS ARTICLE.
   54    (B)(1) WHENEVER THE SUPERINTENDENT  SHALL  DETERMINE  TO  EXAMINE  THE
   55  AFFAIRS  OF  ANY  PROVIDER  OF HEALTH SERVICES, THE SUPERINTENDENT SHALL
   56  MAKE AN ORDER INDICATING THE SCOPE OF THE EXAMINATION AND MAY APPOINT AS
       S. 6357--A                         63                         A. 8557--A
    1  EXAMINERS ONE OR MORE PERSONS NOT EMPLOYED BY  ANY  PROVIDER  OF  HEALTH
    2  SERVICES  OR INSURER OR INTERESTED IN ANY PROVIDER OF HEALTH SERVICES OR
    3  INSURER, EXCEPT AS A POLICYHOLDER. A  COPY  OF  SUCH  ORDER  SHALL  UPON
    4  DEMAND BE EXHIBITED TO THE PROVIDER OF HEALTH SERVICES WHOSE AFFAIRS ARE
    5  TO BE EXAMINED BEFORE THE EXAMINATION BEGINS.
    6    (2)  ANY  EXAMINER  AUTHORIZED  BY  THE  SUPERINTENDENT SHALL BE GIVEN
    7  CONVENIENT ACCESS AT ALL REASONABLE HOURS TO THE BOOKS, RECORDS,  FILES,
    8  SECURITIES  AND OTHER DOCUMENTS OF SUCH PROVIDER OF HEALTH SERVICES THAT
    9  ARE RELEVANT TO THE EXAMINATION, AND  SHALL  HAVE  POWER  TO  ADMINISTER
   10  OATHS AND TO EXAMINE UNDER OATH ANY OFFICER OR AGENT OF SUCH PROVIDER OF
   11  HEALTH  SERVICES, AND ANY OTHER PERSON HAVING CUSTODY OR CONTROL OF SUCH
   12  DOCUMENTS, REGARDING ANY MATTER RELEVANT TO THE EXAMINATION.
   13    (3) THE OFFICERS AND AGENTS OF SUCH PROVIDER OF HEALTH SERVICES  SHALL
   14  FACILITATE  SUCH  EXAMINATION  AND  AID SUCH EXAMINERS IN CONDUCTING THE
   15  SAME SO FAR AS IT IS IN THEIR POWER TO DO SO.
   16    (4) THE REFUSAL OF ANY PROVIDER OF HEALTH SERVICES TO SUBMIT TO  EXAM-
   17  INATION SHALL BE GROUNDS FOR THE SUPERINTENDENT PROHIBITING THE PROVIDER
   18  OF  HEALTH  SERVICES  FROM  DEMANDING  OR  REQUESTING PAYMENT FOR HEALTH
   19  SERVICES RENDERED UNDER THIS ARTICLE PURSUANT TO SECTION  FIVE  THOUSAND
   20  ONE HUNDRED NINE OF THIS ARTICLE.
   21    (5)  AN  EXAMINATION SHALL BE CONDUCTED CONSISTENT WITH ALL APPLICABLE
   22  STATE AND FEDERAL PRIVACY LAWS.
   23    (6) THIS SECTION SHALL NOT APPLY TO A GENERAL HOSPITAL, AS DEFINED  IN
   24  SUBDIVISION  TEN OF SECTION TWO THOUSAND EIGHT HUNDRED ONE OF THE PUBLIC
   25  HEALTH LAW, OR A PROVIDER OF HEALTH SERVICES THAT  SUBMITTED  LESS  THAN
   26  FIFTY  CLAIMS  IN  THE  PRIOR CALENDAR YEAR FOR HEALTH SERVICES RENDERED
   27  UNDER THIS ARTICLE.
   28    S 5. This act shall take effect immediately; provided,  however,  that
   29  sections  one  and two of this act shall take effect on the sixtieth day
   30  after it shall have become a law.
   31                                   PART U
   32    Section 1. Paragraphs 11, 12, 13, 14, 16 and 17 of subsection  (a)  of
   33  section 3217-a of the insurance law, as added by chapter 705 of the laws
   34  of  1996,  are  amended  and four new paragraphs 16-a, 18, 19 and 20 are
   35  added to read as follows:
   36    (11) where applicable, notice that an insured enrolled  in  a  managed
   37  care  product  OR  IN  A COMPREHENSIVE POLICY THAT UTILIZES A NETWORK OF
   38  PROVIDERS offered by the insurer may obtain a referral  [to]  OR  PREAU-
   39  THORIZATION  FOR a health care provider outside of the insurer's network
   40  or panel when the insurer does not have a health  care  provider  [with]
   41  WHO  IS  GEOGRAPHICALLY ACCESSIBLE TO THE INSURED AND WHO HAS THE appro-
   42  priate ESSENTIAL LEVEL OF training and  experience  in  the  network  or
   43  panel  to  meet  the particular health care needs of the insured and the
   44  procedure by which the insured can obtain such referral  OR  PREAUTHORI-
   45  ZATION;
   46    (12)  where  applicable,  notice that an insured enrolled in a managed
   47  care product OR A  COMPREHENSIVE  POLICY  THAT  UTILIZES  A  NETWORK  OF
   48  PROVIDERS offered by the insurer with a condition which requires ongoing
   49  care  from  a  specialist  may  request  a  standing  referral to such a
   50  specialist and the procedure for requesting and obtaining such a  stand-
   51  ing referral;
   52    (13)    where applicable, notice that an insured enrolled in a managed
   53  care product OR A  COMPREHENSIVE  POLICY  THAT  UTILIZES  A  NETWORK  OF
   54  PROVIDERS  offered  by  the  insurer  with  [(i)] (A) a life-threatening
       S. 6357--A                         64                         A. 8557--A
    1  condition or disease, or [(ii)] (B) a degenerative and disabling  condi-
    2  tion  or disease, either of which requires specialized medical care over
    3  a prolonged period of time may  request  a  specialist  responsible  for
    4  providing  or  coordinating the insured's medical care and the procedure
    5  for requesting and obtaining such a specialist;
    6    (14) where applicable, notice that an insured enrolled  in  a  managed
    7  care  product  OR  A  COMPREHENSIVE  POLICY  THAT  UTILIZES A NETWORK OF
    8  PROVIDERS offered by the  insurer  with  [(i)]  (A)  a  life-threatening
    9  condition  or disease, or [(ii)] (B) a degenerative and disabling condi-
   10  tion or disease, either of which requires specialized medical care  over
   11  a  prolonged  period  of  time,  may  request access to a specialty care
   12  center and the procedure by which such access may be obtained;
   13    (16) notice of all appropriate mailing addresses and telephone numbers
   14  to be utilized by insureds seeking information or authorization; [and]
   15    (16-A) WHERE APPLICABLE, NOTICE THAT  AN  INSURED  SHALL  HAVE  DIRECT
   16  ACCESS  TO  PRIMARY  AND  PREVENTIVE OBSTETRIC AND GYNECOLOGIC SERVICES,
   17  INCLUDING ANNUAL EXAMINATIONS, CARE RESULTING FROM SUCH ANNUAL  EXAMINA-
   18  TIONS,  AND  TREATMENT OF ACUTE GYNECOLOGIC CONDITIONS, FROM A QUALIFIED
   19  PROVIDER OF SUCH SERVICES OF HER CHOICE FROM WITHIN THE PLAN OR FOR  ANY
   20  CARE RELATED TO A PREGNANCY;
   21    (17) where applicable, a listing by specialty, which may be in a sepa-
   22  rate  document that is updated annually, of the name, address, and tele-
   23  phone number of all participating providers, including  facilities,  and
   24  in   addition,  in  the  case  of  physicians,  board  certification[.],
   25  LANGUAGES SPOKEN AND ANY AFFILIATIONS WITH PARTICIPATING HOSPITALS.  THE
   26  LISTING  SHALL  ALSO  BE POSTED ON THE INSURER'S WEBSITE AND THE INSURER
   27  SHALL UPDATE THE WEBSITE WITHIN FIFTEEN DAYS OF THE ADDITION  OR  TERMI-
   28  NATION  OF A PROVIDER FROM THE INSURER'S NETWORK OR A CHANGE IN A PHYSI-
   29  CIAN'S HOSPITAL AFFILIATION;
   30    (18) A DESCRIPTION OF THE METHOD BY WHICH  AN  INSURED  MAY  SUBMIT  A
   31  CLAIM FOR HEALTH CARE SERVICES;
   32    (19) WHERE APPLICABLE, WITH RESPECT TO OUT-OF-NETWORK COVERAGE:
   33    (A)  A  CLEAR  DESCRIPTION  OF  THE METHODOLOGY USED BY THE INSURER TO
   34  DETERMINE REIMBURSEMENT FOR OUT-OF-NETWORK HEALTH CARE SERVICES;
   35    (B) A DESCRIPTION OF THE AMOUNT THAT THE INSURER WILL REIMBURSE  UNDER
   36  THE  METHODOLOGY  FOR OUT-OF-NETWORK HEALTH CARE SERVICES SET FORTH AS A
   37  PERCENTAGE OF THE USUAL AND CUSTOMARY  COST  FOR  OUT-OF-NETWORK  HEALTH
   38  CARE SERVICES; AND
   39    (C)  EXAMPLES OF ANTICIPATED OUT-OF-POCKET COSTS FOR FREQUENTLY BILLED
   40  OUT-OF-NETWORK HEALTH CARE SERVICES; AND
   41    (20) INFORMATION IN WRITING  AND  THROUGH  AN  INTERNET  WEBSITE  THAT
   42  REASONABLY  PERMITS  AN  INSURED OR PROSPECTIVE INSURED TO DETERMINE THE
   43  ANTICIPATED OUT-OF-POCKET COST FOR OUT-OF-NETWORK HEALTH  CARE  SERVICES
   44  IN  A  GEOGRAPHICAL  AREA  OR ZIP CODE BASED UPON THE DIFFERENCE BETWEEN
   45  WHAT THE INSURER WILL REIMBURSE FOR OUT-OF-NETWORK HEALTH CARE  SERVICES
   46  AND  THE  USUAL  AND  CUSTOMARY  COST  FOR  OUT-OF-NETWORK  HEALTH  CARE
   47  SERVICES.
   48    S 2. Paragraphs 11 and 12 of subsection (b) of section 3217-a  of  the
   49  insurance  law, as added by chapter 705 of the laws of 1996, are amended
   50  and two new paragraphs 13 and 14 are added to read as follows:
   51    (11) where applicable, provide the written application procedures  and
   52  minimum  qualification  requirements  for  health  care  providers to be
   53  considered by the insurer for participation in the insurer's network for
   54  a managed care product; [and]
       S. 6357--A                         65                         A. 8557--A
    1    (12) disclose such other information as required  by  the  superinten-
    2  dent,  provided  that  such requirements are promulgated pursuant to the
    3  state administrative procedure act[.];
    4    (13)  DISCLOSE  WHETHER  A HEALTH CARE PROVIDER SCHEDULED TO PROVIDE A
    5  HEALTH CARE SERVICE IS AN IN-NETWORK PROVIDER; AND
    6    (14)  WHERE  APPLICABLE,  WITH  RESPECT  TO  OUT-OF-NETWORK  COVERAGE,
    7  DISCLOSE  THE  DOLLAR  AMOUNT  THAT  THE INSURER WILL PAY FOR A SPECIFIC
    8  OUT-OF-NETWORK HEALTH CARE SERVICE.
    9    S 3. Section 3217-a of the insurance law is amended by  adding  a  new
   10  subsection (f) to read as follows:
   11    (F)  FOR  PURPOSES  OF  THIS SECTION, "USUAL AND CUSTOMARY COST" SHALL
   12  MEAN THE EIGHTIETH PERCENTILE OF ALL CHARGES FOR THE  PARTICULAR  HEALTH
   13  CARE  SERVICE  PERFORMED  BY A PROVIDER IN THE SAME OR SIMILAR SPECIALTY
   14  AND PROVIDED IN THE SAME GEOGRAPHICAL AREA AS REPORTED IN A BENCHMARKING
   15  DATABASE MAINTAINED BY A NONPROFIT ORGANIZATION SPECIFIED BY THE  SUPER-
   16  INTENDENT.  THE  NONPROFIT  ORGANIZATION SHALL NOT BE AFFILIATED WITH AN
   17  INSURER, A CORPORATION SUBJECT TO ARTICLE FORTY-THREE OF THIS CHAPTER, A
   18  MUNICIPAL COOPERATIVE HEALTH BENEFIT PLAN CERTIFIED PURSUANT TO  ARTICLE
   19  FORTY-SEVEN OF THIS CHAPTER, OR A HEALTH MAINTENANCE ORGANIZATION CERTI-
   20  FIED PURSUANT TO ARTICLE FORTY-FOUR OF THE PUBLIC HEALTH LAW.
   21    S  4.  Section  3217-d of the insurance law is amended by adding a new
   22  subsection (d) to read as follows:
   23    (D) AN INSURER THAT ISSUES A  COMPREHENSIVE  POLICY  THAT  UTILIZES  A
   24  NETWORK OF PROVIDERS AND IS NOT A MANAGED CARE HEALTH INSURANCE CONTRACT
   25  AS  DEFINED IN SUBSECTION (C) OF SECTION FOUR THOUSAND EIGHT HUNDRED ONE
   26  OF  THIS  CHAPTER,  SHALL  PROVIDE  ACCESS  TO  OUT-OF-NETWORK  SERVICES
   27  CONSISTENT WITH THE REQUIREMENTS OF SUBSECTION (A) OF SECTION FOUR THOU-
   28  SAND  EIGHT HUNDRED FOUR OF THIS CHAPTER, SUBSECTIONS (G-6) AND (G-7) OF
   29  SECTION FOUR THOUSAND NINE HUNDRED OF THIS  CHAPTER,  SUBSECTIONS  (A-1)
   30  AND  (A-2)  OF  SECTION FOUR THOUSAND NINE HUNDRED FOUR OF THIS CHAPTER,
   31  PARAGRAPHS THREE AND FOUR OF SUBSECTION (B)  OF  SECTION  FOUR  THOUSAND
   32  NINE HUNDRED TEN OF THIS CHAPTER, AND SUBPARAGRAPHS (C) AND (D) OF PARA-
   33  GRAPH FOUR OF SUBSECTION (B) OF SECTION FOUR THOUSAND NINE HUNDRED FOUR-
   34  TEEN OF THIS CHAPTER.
   35    S  5.  Section  3224-a of the insurance law is amended by adding a new
   36  subsection (j) to read as follows:
   37    (J) AN INSURER OR AN ORGANIZATION OR CORPORATION LICENSED OR CERTIFIED
   38  PURSUANT TO ARTICLE FORTY-THREE OR FORTY-SEVEN OF THIS CHAPTER OR  ARTI-
   39  CLE  FORTY-FOUR OF THE PUBLIC HEALTH LAW OR A STUDENT HEALTH PLAN ESTAB-
   40  LISHED OR MAINTAINED PURSUANT TO SECTION ONE THOUSAND ONE HUNDRED  TWEN-
   41  TY-FOUR  OF THIS CHAPTER SHALL ACCEPT CLAIMS SUBMITTED BY A POLICYHOLDER
   42  OR COVERED PERSON, IN WRITING, INCLUDING THROUGH THE INTERNET, BY  ELEC-
   43  TRONIC MAIL OR BY FACSIMILE.
   44    S 6. The insurance law is amended by adding a new section 3241 to read
   45  as follows:
   46    S  3241.    NETWORK  COVERAGE. (A) AN INSURER, A CORPORATION ORGANIZED
   47  PURSUANT TO ARTICLE FORTY-THREE OF THIS CHAPTER, A MUNICIPAL COOPERATIVE
   48  HEALTH BENEFIT PLAN CERTIFIED PURSUANT TO ARTICLE  FORTY-SEVEN  OF  THIS
   49  CHAPTER,  OR A STUDENT HEALTH PLAN ESTABLISHED OR MAINTAINED PURSUANT TO
   50  SECTION ONE THOUSAND ONE  HUNDRED  TWENTY-FOUR  OF  THIS  CHAPTER,  THAT
   51  ISSUES  A  HEALTH  INSURANCE POLICY OR CONTRACT WITH A NETWORK OF HEALTH
   52  CARE PROVIDERS SHALL ENSURE THAT THE NETWORK IS  ADEQUATE  TO  MEET  THE
   53  HEALTH  NEEDS OF INSUREDS AND PROVIDE AN APPROPRIATE CHOICE OF PROVIDERS
   54  SUFFICIENT TO RENDER THE SERVICES COVERED UNDER THE POLICY OR  CONTRACT.
   55  THE SUPERINTENDENT SHALL REVIEW THE NETWORK OF HEALTH CARE PROVIDERS FOR
   56  ADEQUACY  AT  THE  TIME  OF  THE  SUPERINTENDENT'S INITIAL APPROVAL OF A
       S. 6357--A                         66                         A. 8557--A
    1  HEALTH INSURANCE POLICY OR CONTRACT; AT LEAST EVERY THREE  YEARS  THERE-
    2  AFTER; AND UPON APPLICATION FOR EXPANSION OF ANY SERVICE AREA ASSOCIATED
    3  WITH  THE POLICY OR CONTRACT IN CONFORMANCE WITH THE STANDARDS SET FORTH
    4  IN  SUBDIVISION  FIVE OF SECTION FOUR THOUSAND FOUR HUNDRED THREE OF THE
    5  PUBLIC HEALTH LAW.  TO THE EXTENT THAT THE NETWORK HAS  BEEN  DETERMINED
    6  BY  THE COMMISSIONER OF HEALTH TO MEET THE STANDARDS SET FORTH IN SUBDI-
    7  VISION FIVE OF SECTION FOUR THOUSAND FOUR HUNDRED THREE  OF  THE  PUBLIC
    8  HEALTH LAW, SUCH NETWORK SHALL BE DEEMED ADEQUATE BY THE SUPERINTENDENT.
    9    (B)(1)  AN INSURER, A CORPORATION ORGANIZED PURSUANT TO ARTICLE FORTY-
   10  THREE OF THIS CHAPTER,  A  MUNICIPAL  COOPERATIVE  HEALTH  BENEFIT  PLAN
   11  CERTIFIED  PURSUANT  TO  ARTICLE  FORTY-SEVEN  OF THIS CHAPTER, A HEALTH
   12  MAINTENANCE ORGANIZATION CERTIFIED PURSUANT TO ARTICLE FORTY-FOUR OF THE
   13  PUBLIC HEALTH LAW OR A STUDENT HEALTH  PLAN  ESTABLISHED  OR  MAINTAINED
   14  PURSUANT  TO  SECTION ONE THOUSAND ONE HUNDRED TWENTY-FOUR OF THIS CHAP-
   15  TER, THAT ISSUES A COMPREHENSIVE GROUP OR GROUP REMITTANCE HEALTH INSUR-
   16  ANCE POLICY OR CONTRACT THAT COVERS OUT-OF-NETWORK HEALTH CARE  SERVICES
   17  SHALL  MAKE AVAILABLE AND, IF REQUESTED BY THE POLICYHOLDER OR CONTRACT-
   18  HOLDER, PROVIDE COVERAGE FOR AT LEAST SEVENTY PERCENT OF THE  USUAL  AND
   19  CUSTOMARY  COST OF EACH OUT-OF-NETWORK HEALTH CARE SERVICE AFTER IMPOSI-
   20  TION OF A DEDUCTIBLE OR ANY PERMISSIBLE BENEFIT MAXIMUM.
   21    (2) FOR THE PURPOSES OF THIS SUBSECTION, "USUAL  AND  CUSTOMARY  COST"
   22  SHALL  MEAN  THE  EIGHTIETH PERCENTILE OF ALL CHARGES FOR THE PARTICULAR
   23  HEALTH CARE SERVICE PERFORMED BY A  PROVIDER  IN  THE  SAME  OR  SIMILAR
   24  SPECIALTY  AND  PROVIDED  IN THE SAME GEOGRAPHICAL AREA AS REPORTED IN A
   25  BENCHMARKING DATABASE MAINTAINED BY A NONPROFIT  ORGANIZATION  SPECIFIED
   26  BY  THE  SUPERINTENDENT.  THE NONPROFIT ORGANIZATION SHALL NOT BE AFFIL-
   27  IATED WITH AN INSURER, A CORPORATION SUBJECT TO ARTICLE  FORTY-THREE  OF
   28  THIS  CHAPTER,  A  MUNICIPAL  COOPERATIVE  HEALTH BENEFIT PLAN CERTIFIED
   29  PURSUANT TO ARTICLE FORTY-SEVEN OF THIS CHAPTER,  A  HEALTH  MAINTENANCE
   30  ORGANIZATION  CERTIFIED  PURSUANT  TO  ARTICLE  FORTY-FOUR OF THE PUBLIC
   31  HEALTH LAW OR A STUDENT HEALTH PLAN ESTABLISHED OR  MAINTAINED  PURSUANT
   32  TO SECTION ONE THOUSAND ONE HUNDRED TWENTY-FOUR OF THIS CHAPTER.
   33    (3)  THIS  SUBSECTION  SHALL  NOT  APPLY TO EMERGENCY CARE SERVICES IN
   34  HOSPITAL FACILITIES OR PREHOSPITAL EMERGENCY MEDICAL SERVICES AS DEFINED
   35  IN CLAUSE (I) OF SUBPARAGRAPH (E) OF PARAGRAPH TWENTY-FOUR OF SUBSECTION
   36  (I) OF SECTION THREE THOUSAND TWO HUNDRED SIXTEEN OF  THIS  ARTICLE,  OR
   37  CLAUSE (I) OF SUBPARAGRAPH (E) OF PARAGRAPH FIFTEEN OF SUBSECTION (L) OF
   38  SECTION  THREE  THOUSAND  TWO  HUNDRED  TWENTY-ONE  OF  THIS CHAPTER, OR
   39  SUBPARAGRAPH (A) OF PARAGRAPH FIVE OF SUBSECTION (AA)  OF  SECTION  FOUR
   40  THOUSAND THREE HUNDRED THREE OF THIS CHAPTER.
   41    (4)  NOTHING  IN  THIS  SUBSECTION  SHALL  LIMIT  THE SUPERINTENDENT'S
   42  AUTHORITY PURSUANT TO SECTION THREE THOUSAND TWO  HUNDRED  SEVENTEEN  OF
   43  THIS  ARTICLE  TO  ESTABLISH MINIMUM STANDARDS FOR THE FORM, CONTENT AND
   44  SALE OF ACCIDENT AND HEALTH INSURANCE POLICIES AND SUBSCRIBER CONTRACTS,
   45  TO REQUIRE ADDITIONAL COVERAGE OPTIONS FOR OUT-OF-NETWORK  SERVICES,  OR
   46  TO PROVIDE FOR STANDARDIZATION AND SIMPLIFICATION OF COVERAGE.
   47    (C)  WHEN  AN  INSURED  OR  ENROLLEE  UNDER  A CONTRACT OR POLICY THAT
   48  PROVIDES COVERAGE FOR EMERGENCY SERVICES RECEIVES THE  SERVICES  FROM  A
   49  HEALTH  CARE  PROVIDER THAT DOES NOT PARTICIPATE IN THE PROVIDER NETWORK
   50  OF AN INSURER, A CORPORATION ORGANIZED PURSUANT TO  ARTICLE  FORTY-THREE
   51  OF  THIS  CHAPTER, A MUNICIPAL COOPERATIVE HEALTH BENEFIT PLAN CERTIFIED
   52  PURSUANT TO ARTICLE FORTY-SEVEN OF THIS CHAPTER,  A  HEALTH  MAINTENANCE
   53  ORGANIZATION  CERTIFIED  PURSUANT  TO  ARTICLE  FORTY-FOUR OF THE PUBLIC
   54  HEALTH LAW, OR A STUDENT HEALTH PLAN ESTABLISHED OR MAINTAINED  PURSUANT
   55  TO SECTION ONE THOUSAND ONE HUNDRED TWENTY-FOUR OF THIS CHAPTER ("HEALTH
   56  CARE  PLAN"),  THE  HEALTH  CARE  PLAN  SHALL ENSURE THAT THE INSURED OR
       S. 6357--A                         67                         A. 8557--A
    1  ENROLLEE SHALL INCUR NO GREATER OUT-OF-POCKET COSTS  FOR  THE  EMERGENCY
    2  SERVICES  THAN THE INSURED OR ENROLLEE WOULD HAVE INCURRED WITH A HEALTH
    3  CARE PROVIDER THAT PARTICIPATES  IN  THE  HEALTH  CARE  PLAN'S  PROVIDER
    4  NETWORK.  FOR  THE  PURPOSE  OF THIS SECTION, "EMERGENCY SERVICES" SHALL
    5  HAVE THE MEANING SET FORTH IN SUBPARAGRAPH  (D)  OF  PARAGRAPH  NINE  OF
    6  SUBSECTION  (I)  OF  SECTION  THREE THOUSAND TWO HUNDRED SIXTEEN OF THIS
    7  ARTICLE, SUBPARAGRAPH (D) OF PARAGRAPH FOUR OF SUBSECTION (K) OF SECTION
    8  THREE THOUSAND TWO HUNDRED TWENTY-ONE OF THIS ARTICLE, AND  SUBPARAGRAPH
    9  (D)  OF  PARAGRAPH  TWO OF SUBSECTION (A) OF SECTION FOUR THOUSAND THREE
   10  HUNDRED THREE OF THIS CHAPTER.
   11    S 7. Section 4306-c of the insurance law is amended by  adding  a  new
   12  subsection (d) to read as follows:
   13    (D)  A  CORPORATION,  INCLUDING A MUNICIPAL COOPERATIVE HEALTH BENEFIT
   14  PLAN CERTIFIED PURSUANT TO ARTICLE FORTY-SEVEN OF  THIS  CHAPTER  AND  A
   15  STUDENT  HEALTH  PLAN  ESTABLISHED OR MAINTAINED PURSUANT TO SECTION ONE
   16  THOUSAND ONE HUNDRED TWENTY-FOUR OF THIS CHAPTER, THAT ISSUES A  COMPRE-
   17  HENSIVE POLICY THAT UTILIZES A NETWORK OF PROVIDERS AND IS NOT A MANAGED
   18  CARE  HEALTH  INSURANCE CONTRACT AS DEFINED IN SUBSECTION (C) OF SECTION
   19  FOUR THOUSAND EIGHT HUNDRED ONE OF THIS CHAPTER, SHALL PROVIDE ACCESS TO
   20  OUT-OF-NETWORK SERVICES CONSISTENT WITH THE REQUIREMENTS  OF  SUBSECTION
   21  (A)  OF  SECTION  FOUR  THOUSAND  EIGHT  HUNDRED  FOUR  OF THIS CHAPTER,
   22  SUBSECTIONS (G-6) AND (G-7) OF SECTION FOUR  THOUSAND  NINE  HUNDRED  OF
   23  THIS  CHAPTER, SUBSECTIONS (A-1) AND (A-2) OF SECTION FOUR THOUSAND NINE
   24  HUNDRED FOUR OF THIS CHAPTER, PARAGRAPHS THREE AND  FOUR  OF  SUBSECTION
   25  (B)  OF  SECTION  FOUR  THOUSAND  NINE  HUNDRED TEN OF THIS CHAPTER, AND
   26  SUBPARAGRAPHS (C) AND (D) OF PARAGRAPH FOUR OF SUBSECTION (B) OF SECTION
   27  FOUR THOUSAND NINE HUNDRED FOURTEEN OF THIS CHAPTER.
   28    S 8. Paragraphs 11, 12, 13, 14, 16-a, 17, and 18 of subsection (a)  of
   29  section  4324 of the insurance law, paragraphs 11, 12, 13, 14, 17 and 18
   30  as added by chapter 705 of the laws of 1996, paragraph 16-a as added  by
   31  chapter  554  of  the laws of 2002, are amended and three new paragraphs
   32  19, 20 and 21 are added to read as follows:
   33    (11)  where applicable, notice that a subscriber enrolled in a managed
   34  care product OR IN A COMPREHENSIVE CONTRACT THAT UTILIZES A  NETWORK  OF
   35  PROVIDERS  offered  by  the  corporation  may  obtain a referral [to] OR
   36  PREAUTHORIZATION FOR a health care provider outside of the corporation's
   37  network or panel when the  corporation  does  not  have  a  health  care
   38  provider  [with] WHO IS GEOGRAPHICALLY ACCESSIBLE TO THE INSURED AND WHO
   39  HAS THE appropriate ESSENTIAL LEVEL OF training and  experience  in  the
   40  network  or  panel  to  meet  the  particular  health  care needs of the
   41  subscriber and the procedure by which the  subscriber  can  obtain  such
   42  referral OR PREAUTHORIZATION;
   43    (12)  where applicable, notice that a subscriber enrolled in a managed
   44  care product OR A COMPREHENSIVE CONTRACT  THAT  UTILIZES  A  NETWORK  OF
   45  PROVIDERS  offered  by  the  corporation with a condition which requires
   46  ongoing care from a specialist may request a standing referral to such a
   47  specialist and the procedure for requesting and obtaining such a  stand-
   48  ing referral;
   49    (13)  where applicable, notice that a subscriber enrolled in a managed
   50  care product OR A COMPREHENSIVE CONTRACT  THAT  UTILIZES  A  NETWORK  OF
   51  PROVIDERS  offered by the corporation with (i) a life-threatening condi-
   52  tion or disease, or (ii)  a  degenerative  and  disabling  condition  or
   53  disease,  either  of  which  requires  specialized  medical  care over a
   54  prolonged period of  time  may  request  a  specialist  responsible  for
   55  providing  or  coordinating the subscriber's medical care and the proce-
   56  dure for requesting and obtaining such a specialist;
       S. 6357--A                         68                         A. 8557--A
    1    (14) where applicable, notice that a subscriber enrolled in a  managed
    2  care  product  OR  A  COMPREHENSIVE  CONTRACT THAT UTILIZES A NETWORK OF
    3  PROVIDERS offered by the corporation with [(i)] (A)  a  life-threatening
    4  condition  or disease, or [(ii)] (B) a degenerative and disabling condi-
    5  tion  or disease, either of which requires specialized medical care over
    6  a prolonged period of time may request access to a specialty care center
    7  and the procedure by which such access may be obtained;
    8    (16-a) where applicable, notice that an  enrollee  shall  have  direct
    9  access  to  primary  and  preventive obstetric and gynecologic services,
   10  INCLUDING ANNUAL EXAMINATIONS, CARE RESULTING FROM SUCH ANNUAL  EXAMINA-
   11  TIONS,  AND  TREATMENT OF ACUTE GYNECOLOGIC CONDITIONS, from a qualified
   12  provider of such services of her choice from within  the  plan  [for  no
   13  fewer  than two examinations annually for such services] or [to] FOR any
   14  care related to A pregnancy [and that additionally, the  enrollee  shall
   15  have  direct  access to primary and preventive obstetric and gynecologic
   16  services required as a result of such annual examinations or as a result
   17  of an acute gynecologic condition];
   18    (17) where applicable, a listing by specialty, which may be in a sepa-
   19  rate document that is updated annually, of the name, address, and  tele-
   20  phone  number  of all participating providers, including facilities, and
   21  in addition, in the case  of  physicians,  board  certification[;  and],
   22  LANGUAGES SPOKEN AND ANY AFFILIATIONS WITH PARTICIPATING HOSPITALS.  THE
   23  LISTING SHALL ALSO BE POSTED ON THE CORPORATION'S WEBSITE AND THE CORPO-
   24  RATION  SHALL  UPDATE THE WEBSITE WITHIN FIFTEEN DAYS OF THE ADDITION OR
   25  TERMINATION OF A PROVIDER FROM THE CORPORATION'S NETWORK OR A CHANGE  IN
   26  A PHYSICIAN'S HOSPITAL AFFILIATION;
   27    (18)  a description of the mechanisms by which subscribers may partic-
   28  ipate in the development of the policies of the corporation[.];
   29    (19) A DESCRIPTION OF THE METHOD BY WHICH A SUBSCRIBER  MAY  SUBMIT  A
   30  CLAIM FOR HEALTH CARE SERVICES;
   31    (20) WHERE APPLICABLE, WITH RESPECT TO OUT-OF-NETWORK COVERAGE:
   32    (A)  A CLEAR DESCRIPTION OF THE METHODOLOGY USED BY THE CORPORATION TO
   33  DETERMINE REIMBURSEMENT FOR OUT-OF-NETWORK HEALTH CARE SERVICES;
   34    (B) A DESCRIPTION OF THE AMOUNT THAT THE  CORPORATION  WILL  REIMBURSE
   35  UNDER  THE METHODOLOGY FOR OUT-OF-NETWORK HEALTH CARE SERVICES SET FORTH
   36  AS A PERCENTAGE OF THE  USUAL  AND  CUSTOMARY  COST  FOR  OUT-OF-NETWORK
   37  HEALTH CARE SERVICES; AND
   38    (C)  EXAMPLES OF ANTICIPATED OUT-OF-POCKET COSTS FOR FREQUENTLY BILLED
   39  OUT-OF-NETWORK HEALTH CARE SERVICES; AND
   40    (21) INFORMATION IN WRITING  AND  THROUGH  AN  INTERNET  WEBSITE  THAT
   41  REASONABLY  PERMITS  A SUBSCRIBER OR PROSPECTIVE SUBSCRIBER TO DETERMINE
   42  THE  ANTICIPATED  OUT-OF-POCKET  COST  FOR  OUT-OF-NETWORK  HEALTH  CARE
   43  SERVICES  IN  A  GEOGRAPHICAL AREA OR ZIP CODE BASED UPON THE DIFFERENCE
   44  BETWEEN WHAT THE CORPORATION WILL REIMBURSE  FOR  OUT-OF-NETWORK  HEALTH
   45  CARE SERVICES AND THE USUAL AND CUSTOMARY COST FOR OUT-OF-NETWORK HEALTH
   46  CARE SERVICES.
   47    S  9.  Paragraphs  11  and 12 of subsection (b) of section 4324 of the
   48  insurance law, as added by chapter 705 of the laws of 1996, are  amended
   49  and two new paragraphs 13 and 14 are added to read as follows:
   50    (11)  where applicable, provide the written application procedures and
   51  minimum qualification requirements  for  health  care  providers  to  be
   52  considered  by  the  corporation  for participation in the corporation's
   53  network for a managed care product; [and]
   54    (12) disclose such other information as required  by  the  superinten-
   55  dent,  provided  that  such requirements are promulgated pursuant to the
   56  state administrative procedure act[.];
       S. 6357--A                         69                         A. 8557--A
    1    (13) DISCLOSE WHETHER A HEALTH CARE PROVIDER SCHEDULED  TO  PROVIDE  A
    2  HEALTH CARE SERVICE IS AN IN-NETWORK PROVIDER; AND
    3    (14)  WHERE  APPLICABLE,  WITH  RESPECT  TO  OUT-OF-NETWORK  COVERAGE,
    4  DISCLOSE THE DOLLAR AMOUNT THAT THE CORPORATION WILL PAY FOR A  SPECIFIC
    5  OUT-OF-NETWORK HEALTH CARE SERVICE.
    6    S  10.  Section  4324  of the insurance law is amended by adding a new
    7  subsection (f) to read as follows:
    8    (F) FOR PURPOSES OF THIS SECTION, "USUAL  AND  CUSTOMARY  COST"  SHALL
    9  MEAN  THE  EIGHTIETH PERCENTILE OF ALL CHARGES FOR THE PARTICULAR HEALTH
   10  CARE SERVICE PERFORMED BY A PROVIDER IN THE SAME  OR  SIMILAR  SPECIALTY
   11  AND PROVIDED IN THE SAME GEOGRAPHICAL AREA AS REPORTED IN A BENCHMARKING
   12  DATABASE  MAINTAINED BY A NONPROFIT ORGANIZATION SPECIFIED BY THE SUPER-
   13  INTENDENT. THE NONPROFIT ORGANIZATION SHALL NOT BE  AFFILIATED  WITH  AN
   14  INSURER,  A CORPORATION SUBJECT TO THIS ARTICLE, A MUNICIPAL COOPERATIVE
   15  HEALTH BENEFIT PLAN CERTIFIED PURSUANT TO ARTICLE  FORTY-SEVEN  OF  THIS
   16  CHAPTER,  OR  A  HEALTH  MAINTENANCE  ORGANIZATION CERTIFIED PURSUANT TO
   17  ARTICLE FORTY-FOUR OF THE PUBLIC HEALTH LAW.
   18    S 10-a. Subsection (a) of section 4804 of the insurance law, as  added
   19  by chapter 705 of the laws of 1996, is amended to read as follows:
   20    (a)  If  an insurer offering a managed care product determines that it
   21  does not have a health care provider in the in-network benefits  portion
   22  of  its  network  with  appropriate  training and experience to meet the
   23  particular health care needs of an insured, the  insurer  shall  make  a
   24  referral  to  an  appropriate  provider,  pursuant  to  a treatment plan
   25  approved by the insurer in consultation with the primary care  provider,
   26  the  non-participating  provider and the insured or the insured's desig-
   27  nee, at no additional cost to the insured beyond what the insured  would
   28  otherwise pay for services received within the network.  NOTHING IN THIS
   29  SUBSECTION SHALL BE CONSTRUED TO ENTITLE AN INSURED TO A REFERRAL TO THE
   30  INSURED'S  PREFERRED  PROVIDER,  WHERE  THAT PROVIDER IS OUT-OF-NETWORK.
   31  THE PROVISIONS OF THIS SUBSECTION  SHALL  ONLY  APPLY  IF  THERE  IS  NO
   32  IN-NETWORK PROVIDER GEOGRAPHICALLY ACCESSIBLE TO THE INSURED WHO HAS THE
   33  APPROPRIATE  ESSENTIAL  LEVEL  OF  TRAINING  AND  EXPERIENCE TO MEET THE
   34  PARTICULAR NEEDS OF THE INSURED.
   35    S 11. Subsection (g-7) of section 4900 of the insurance law is  redes-
   36  ignated  subsection (g-8) and a new subsection (g-7) is added to read as
   37  follows:
   38    (G-7) "OUT-OF-NETWORK REFERRAL DENIAL" MEANS A DENIAL UNDER A  MANAGED
   39  CARE PRODUCT AS DEFINED IN SUBSECTION (C) OF SECTION FOUR THOUSAND EIGHT
   40  HUNDRED  ONE OF THIS CHAPTER OF A REQUEST FOR AN AUTHORIZATION OR REFER-
   41  RAL TO AN OUT-OF-NETWORK PROVIDER ON THE BASIS THAT THE HEALTH CARE PLAN
   42  HAS A HEALTH CARE PROVIDER IN THE IN-NETWORK  BENEFITS  PORTION  OF  ITS
   43  NETWORK  WITH APPROPRIATE TRAINING AND EXPERIENCE TO MEET THE PARTICULAR
   44  HEALTH CARE NEEDS OF  AN  INSURED,  AND  WHO  IS  ABLE  TO  PROVIDE  THE
   45  REQUESTED  HEALTH  SERVICE.  THE  NOTICE  OF  AN OUT-OF-NETWORK REFERRAL
   46  DENIAL PROVIDED TO AN INSURED SHALL INCLUDE INFORMATION EXPLAINING  WHAT
   47  INFORMATION  THE  INSURED MUST SUBMIT IN ORDER TO APPEAL THE OUT-OF-NET-
   48  WORK REFERRAL DENIAL PURSUANT TO SUBSECTION (A-2) OF SECTION FOUR  THOU-
   49  SAND  NINE  HUNDRED  FOUR  OF  THIS  ARTICLE. AN OUT-OF-NETWORK REFERRAL
   50  DENIAL UNDER THIS SUBSECTION DOES NOT  CONSTITUTE  AN  ADVERSE  DETERMI-
   51  NATION  AS  DEFINED  IN THIS ARTICLE.  AN OUT-OF-NETWORK REFERRAL DENIAL
   52  SHALL NOT BE CONSTRUED TO INCLUDE AN OUT-OF-NETWORK DENIAL AS DEFINED IN
   53  SUBSECTION (G-6) OF THIS SECTION.
   54    S 12. Subsection (b) of section 4903 of the insurance law, as  amended
   55  by chapter 514 of the laws of 2013, is amended to read as follows:
       S. 6357--A                         70                         A. 8557--A
    1    (b)  A utilization review agent shall make a utilization review deter-
    2  mination involving health care services which require  pre-authorization
    3  and provide notice of a determination to the insured or insured's desig-
    4  nee  and  the insured's health care provider by telephone and in writing
    5  within  three  business days of receipt of the necessary information. To
    6  the extent practicable, such  written  notification  to  the  enrollee's
    7  health  care  provider  shall be transmitted electronically, in a manner
    8  and in a form agreed upon by the parties.  THE NOTIFICATION SHALL  IDEN-
    9  TIFY:  (1) WHETHER THE SERVICES ARE CONSIDERED IN-NETWORK OR OUT-OF-NET-
   10  WORK; (2) WHETHER THE INSURED WILL BE HELD HARMLESS FOR THE SERVICES AND
   11  NOT BE RESPONSIBLE FOR ANY PAYMENT, OTHER THAN  ANY  APPLICABLE  CO-PAY-
   12  MENT,  CO-INSURANCE  OR DEDUCTIBLE; (3) AS APPLICABLE, THE DOLLAR AMOUNT
   13  THE HEALTH CARE PLAN WILL PAY IF THE SERVICE IS OUT-OF-NETWORK; AND  (4)
   14  AS  APPLICABLE,  INFORMATION EXPLAINING HOW AN INSURED MAY DETERMINE THE
   15  ANTICIPATED OUT-OF-POCKET COST FOR OUT-OF-NETWORK HEALTH  CARE  SERVICES
   16  IN  A  GEOGRAPHICAL  AREA  OR ZIP CODE BASED UPON THE DIFFERENCE BETWEEN
   17  WHAT THE HEALTH CARE PLAN WILL REIMBURSE FOR OUT-OF-NETWORK HEALTH  CARE
   18  SERVICES AND THE USUAL AND CUSTOMARY COST FOR OUT-OF-NETWORK HEALTH CARE
   19  SERVICES.
   20    S  13.  Section  4904  of the insurance law is amended by adding a new
   21  subsection (a-2) to read as follows:
   22    (A-2) AN INSURED OR THE INSURED'S DESIGNEE MAY APPEAL  AN  OUT-OF-NET-
   23  WORK  REFERRAL  DENIAL  BY  A  HEALTH  CARE PLAN BY SUBMITTING A WRITTEN
   24  STATEMENT  FROM  THE  INSURED'S  ATTENDING  PHYSICIAN,  WHO  MUST  BE  A
   25  LICENSED, BOARD CERTIFIED OR BOARD ELIGIBLE PHYSICIAN QUALIFIED TO PRAC-
   26  TICE  IN THE SPECIALTY AREA OF PRACTICE APPROPRIATE TO TREAT THE INSURED
   27  FOR THE HEALTH SERVICE SOUGHT, PROVIDED THAT: (1) THE IN-NETWORK  HEALTH
   28  CARE  PROVIDER  OR  PROVIDERS RECOMMENDED BY THE HEALTH CARE PLAN DO NOT
   29  HAVE THE APPROPRIATE TRAINING AND  EXPERIENCE  TO  MEET  THE  PARTICULAR
   30  HEALTH  CARE NEEDS OF THE INSURED FOR THE HEALTH SERVICE; AND (2) RECOM-
   31  MENDS AN OUT-OF-NETWORK PROVIDER WITH THE APPROPRIATE TRAINING AND EXPE-
   32  RIENCE TO MEET THE PARTICULAR HEALTH CARE NEEDS OF THE INSURED, AND  WHO
   33  IS ABLE TO PROVIDE THE REQUESTED HEALTH SERVICE.
   34    S  14.  Subsection (b) of section 4910 of the insurance law is amended
   35  by adding a new paragraph 4 to read as follows:
   36    (4)(A) THE INSURED HAS HAD AN OUT-OF-NETWORK REFERRAL  DENIED  ON  THE
   37  GROUNDS  THAT  THE  HEALTH  CARE  PLAN HAS A HEALTH CARE PROVIDER IN THE
   38  IN-NETWORK BENEFITS PORTION OF ITS NETWORK WITH APPROPRIATE TRAINING AND
   39  EXPERIENCE TO MEET THE PARTICULAR HEALTH CARE NEEDS OF AN  INSURED,  AND
   40  WHO IS ABLE TO PROVIDE THE REQUESTED HEALTH SERVICE.
   41    (B)  THE INSURED'S ATTENDING PHYSICIAN, WHO SHALL BE A LICENSED, BOARD
   42  CERTIFIED OR BOARD ELIGIBLE  PHYSICIAN  QUALIFIED  TO  PRACTICE  IN  THE
   43  SPECIALTY  AREA  OF  PRACTICE  APPROPRIATE  TO TREAT THE INSURED FOR THE
   44  HEALTH SERVICE SOUGHT, CERTIFIES THAT THE IN-NETWORK HEALTH CARE PROVID-
   45  ER OR PROVIDERS RECOMMENDED BY THE HEALTH CARE  PLAN  DO  NOT  HAVE  THE
   46  APPROPRIATE  TRAINING  AND EXPERIENCE TO MEET THE PARTICULAR HEALTH CARE
   47  NEEDS OF AN INSURED, AND RECOMMENDS AN OUT-OF-NETWORK PROVIDER WITH  THE
   48  APPROPRIATE  TRAINING  AND EXPERIENCE TO MEET THE PARTICULAR HEALTH CARE
   49  NEEDS OF AN INSURED, AND WHO IS ABLE TO  PROVIDE  THE  REQUESTED  HEALTH
   50  SERVICE.
   51    S  15.  Paragraph 4 of subsection (b) of section 4914 of the insurance
   52  law is amended by adding a new subparagraph (D) to read as follows:
   53    (D) FOR EXTERNAL APPEALS  REQUESTED  PURSUANT  TO  PARAGRAPH  FOUR  OF
   54  SUBSECTION  (B)  OF SECTION FOUR THOUSAND NINE HUNDRED TEN OF THIS TITLE
   55  RELATING TO AN OUT-OF-NETWORK REFERRAL DENIAL, THE EXTERNAL APPEAL AGENT
   56  SHALL REVIEW THE UTILIZATION REVIEW AGENT'S FINAL ADVERSE  DETERMINATION
       S. 6357--A                         71                         A. 8557--A
    1  AND,  IN  ACCORDANCE  WITH  THE  PROVISIONS  OF THIS TITLE, SHALL MAKE A
    2  DETERMINATION AS TO WHETHER THE OUT-OF-NETWORK REFERRAL SHALL BE COVERED
    3  BY THE HEALTH PLAN; PROVIDED THAT SUCH DETERMINATION SHALL:
    4    (I)  BE CONDUCTED ONLY BY ONE OR A GREATER ODD NUMBER OF CLINICAL PEER
    5  REVIEWERS;
    6    (II) BE ACCOMPANIED BY A WRITTEN STATEMENT:
    7    (I) THAT THE OUT-OF-NETWORK REFERRAL SHALL BE COVERED  BY  THE  HEALTH
    8  CARE PLAN EITHER WHEN THE REVIEWER OR A MAJORITY OF THE PANEL OF REVIEW-
    9  ERS  DETERMINES,  UPON  REVIEW  OF  THE  TRAINING  AND EXPERIENCE OF THE
   10  IN-NETWORK HEALTH CARE PROVIDER OR PROVIDERS PROPOSED BY THE  PLAN,  THE
   11  TRAINING  AND  EXPERIENCE  OF THE REQUESTED OUT-OF-NETWORK PROVIDER, THE
   12  CLINICAL STANDARDS OF THE PLAN, THE INFORMATION PROVIDED CONCERNING  THE
   13  INSURED, THE ATTENDING PHYSICIAN'S RECOMMENDATION, THE INSURED'S MEDICAL
   14  RECORD,  AND  ANY OTHER PERTINENT INFORMATION, THAT THE HEALTH PLAN DOES
   15  NOT HAVE A PROVIDER WITH THE APPROPRIATE TRAINING AND EXPERIENCE TO MEET
   16  THE PARTICULAR HEALTH CARE NEEDS OF AN INSURED WHO IS  ABLE  TO  PROVIDE
   17  THE  REQUESTED  HEALTH SERVICE, AND THAT THE OUT-OF-NETWORK PROVIDER HAS
   18  THE APPROPRIATE TRAINING AND EXPERIENCE TO MEET  THE  PARTICULAR  HEALTH
   19  CARE  NEEDS  OF  AN  INSURED,  IS  ABLE  TO PROVIDE THE REQUESTED HEALTH
   20  SERVICE, AND IS LIKELY TO PRODUCE A MORE CLINICALLY BENEFICIAL  OUTCOME;
   21  OR
   22    (II) UPHOLDING THE HEALTH PLAN'S DENIAL OF COVERAGE;
   23    (III)  BE  SUBJECT TO THE TERMS AND CONDITIONS GENERALLY APPLICABLE TO
   24  BENEFITS UNDER THE EVIDENCE OF COVERAGE UNDER THE HEALTH CARE PLAN;
   25    (IV) BE BINDING ON THE PLAN AND THE INSURED; AND
   26    (V) BE ADMISSIBLE IN ANY COURT PROCEEDING.
   27    S 16. The public health law is amended by adding a new section  23  to
   28  read as follows:
   29    S  23.  CLAIM  FORMS.    A  PHYSICIAN SHALL INCLUDE A CLAIM FORM FOR A
   30  THIRD-PARTY PAYOR WITH A PATIENT BILL FOR HEALTH  CARE  SERVICES,  OTHER
   31  THAN A BILL FOR THE PATIENT'S CO-PAYMENT, COINSURANCE OR DEDUCTIBLE.
   32    S  17.  The public health law is amended by adding a new section 24 to
   33  read as follows:
   34    S 24. DISCLOSURE.  1. A HEALTH CARE  PROFESSIONAL  SHALL  DISCLOSE  TO
   35  PATIENTS  OR  PROSPECTIVE  PATIENTS  IN  WRITING  OR THROUGH AN INTERNET
   36  WEBSITE THE HEALTH CARE PLANS IN WHICH THE HEALTH CARE PROFESSIONAL IS A
   37  PARTICIPATING PROVIDER AND THE HOSPITALS  WITH  WHICH  THE  HEALTH  CARE
   38  PROFESSIONAL  IS  AFFILIATED  PRIOR  TO  THE  PROVISION OF NON-EMERGENCY
   39  SERVICES AND VERBALLY AT THE TIME AN APPOINTMENT IS SCHEDULED.
   40    2. IF A HEALTH CARE PROFESSIONAL DOES NOT PARTICIPATE IN  THE  NETWORK
   41  OF  A  PATIENT'S  OR  PROSPECTIVE PATIENT'S HEALTH CARE PLAN, THE HEALTH
   42  CARE PROFESSIONAL SHALL:  (A) PRIOR TO THE  PROVISION  OF  NON-EMERGENCY
   43  SERVICES,  INFORM  A  PATIENT  OR PROSPECTIVE PATIENT THAT THE AMOUNT OR
   44  ESTIMATED AMOUNT THE HEALTH CARE PROFESSIONAL WILL BILL THE PATIENT  FOR
   45  HEALTH  CARE SERVICES IS AVAILABLE UPON REQUEST; AND (B) UPON RECEIPT OF
   46  A REQUEST FROM A PATIENT OR PROSPECTIVE PATIENT, DISCLOSE TO THE PATIENT
   47  OR PROSPECTIVE PATIENT IN WRITING THE AMOUNT  OR  ESTIMATED  AMOUNT  THE
   48  HEALTH  CARE  PROFESSIONAL  WILL BILL THE PATIENT OR PROSPECTIVE PATIENT
   49  FOR HEALTH CARE SERVICES PROVIDED OR ANTICIPATED TO BE PROVIDED  TO  THE
   50  PATIENT  OR  PROSPECTIVE PATIENT ABSENT UNFORESEEN MEDICAL CIRCUMSTANCES
   51  THAT MAY ARISE WHEN THE HEALTH CARE SERVICES ARE PROVIDED.
   52    3. A HEALTH CARE PROFESSIONAL WHO  IS  A  PHYSICIAN  SHALL  PROVIDE  A
   53  PATIENT  OR  PROSPECTIVE  PATIENT  WITH THE NAME, PRACTICE NAME, MAILING
   54  ADDRESS, AND TELEPHONE NUMBER OF ANY HEALTH CARE PROVIDER  SCHEDULED  TO
   55  PERFORM  ANESTHESIOLOGY,  LABORATORY,  PATHOLOGY, RADIOLOGY OR ASSISTANT
   56  SURGEON SERVICES IN CONNECTION WITH CARE TO BE PROVIDED  IN  THE  PHYSI-
       S. 6357--A                         72                         A. 8557--A
    1  CIAN'S  OFFICE  FOR THE PATIENT OR COORDINATED OR REFERRED BY THE PHYSI-
    2  CIAN FOR THE PATIENT PRIOR TO THE PROVISION OF SERVICES.
    3    4.    A  HEALTH  CARE  PROFESSIONAL  WHO  IS  A PHYSICIAN SHALL, FOR A
    4  PATIENT'S SCHEDULED HOSPITAL ADMISSION OR SCHEDULED OUTPATIENT  HOSPITAL
    5  SERVICES,  PROVIDE  A  PATIENT  AND THE HOSPITAL WITH THE NAME, PRACTICE
    6  NAME, MAILING ADDRESS AND TELEPHONE NUMBER OF ANY OTHER PHYSICIAN  WHOSE
    7  SERVICES WILL BE ARRANGED BY THE PHYSICIAN AND ARE SCHEDULED AT THE TIME
    8  OF  THE  PRE-ADMISSION TESTING, REGISTRATION   OR ADMISSION PRIOR TO THE
    9  PROVISION OF SERVICES; AND  INFORMATION  AS  TO  HOW  TO  DETERMINE  THE
   10  HEALTHCARE PLANS IN WHICH THE PHYSICIAN PARTICIPATES.
   11    5.  A HOSPITAL SHALL ESTABLISH, UPDATE AND MAKE PUBLIC THROUGH POSTING
   12  ON THE HOSPITAL'S WEBSITE, TO THE EXTENT REQUIRED BY FEDERAL GUIDELINES,
   13  A LIST OF  THE  HOSPITAL'S  STANDARD  CHARGES  FOR  ITEMS  AND  SERVICES
   14  PROVIDED  BY THE HOSPITAL, INCLUDING FOR DIAGNOSIS-RELATED GROUPS ESTAB-
   15  LISHED UNDER SECTION 1886(D)(4) OF THE FEDERAL SOCIAL SECURITY ACT.
   16    6. A HOSPITAL SHALL POST ON THE HOSPITAL'S WEBSITE:   (A)  THE  HEALTH
   17  CARE  PLANS  IN  WHICH  THE  HOSPITAL IS A PARTICIPATING PROVIDER; (B) A
   18  STATEMENT THAT (I) PHYSICIAN SERVICES PROVIDED IN THE HOSPITAL  ARE  NOT
   19  INCLUDED IN THE HOSPITAL'S CHARGES; (II) PHYSICIANS WHO PROVIDE SERVICES
   20  IN  THE  HOSPITAL  MAY  OR MAY NOT PARTICIPATE WITH THE SAME HEALTH CARE
   21  PLANS AS THE HOSPITAL, AND; (III) THE PROSPECTIVE PATIENT  SHOULD  CHECK
   22  WITH  THE PHYSICIAN ARRANGING FOR THE HOSPITAL SERVICES TO DETERMINE THE
   23  HEALTH CARE PLANS IN WHICH THE PHYSICIAN PARTICIPATES; (C)  AS  APPLICA-
   24  BLE,  THE  NAME,  MAILING  ADDRESS AND TELEPHONE NUMBER OF THE PHYSICIAN
   25  GROUPS THAT THE HOSPITAL HAS CONTRACTED WITH TO PROVIDE SERVICES INCLUD-
   26  ING ANESTHESIOLOGY, PATHOLOGY OR  RADIOLOGY,  AND  INSTRUCTIONS  HOW  TO
   27  CONTACT  THESE GROUPS TO DETERMINE THE HEALTH CARE PLAN PARTICIPATION OF
   28  THE PHYSICIANS IN THESE GROUPS; AND (D) AS APPLICABLE, THE NAME, MAILING
   29  ADDRESS, AND TELEPHONE NUMBER OF PHYSICIANS EMPLOYED BY THE HOSPITAL AND
   30  WHOSE SERVICES MAY BE PROVIDED AT THE  HOSPITAL,  AND  THE  HEALTH  CARE
   31  PLANS IN WHICH THEY PARTICIPATE.
   32    7.  IN REGISTRATION OR ADMISSION MATERIALS PROVIDED IN ADVANCE OF NON-
   33  EMERGENCY HOSPITAL SERVICES, A HOSPITAL SHALL: (A) ADVISE THE PATIENT OR
   34  PROSPECTIVE PATIENT TO CHECK WITH THE PHYSICIAN ARRANGING  THE  HOSPITAL
   35  SERVICES  TO DETERMINE: (I) THE NAME, PRACTICE NAME, MAILING ADDRESS AND
   36  TELEPHONE NUMBER OF ANY OTHER PHYSICIAN WHOSE SERVICES WILL BE  ARRANGED
   37  BY  THE  PHYSICIAN;  AND (II) WHETHER THE SERVICES OF PHYSICIANS WHO ARE
   38  EMPLOYED OR CONTRACTED BY THE HOSPITAL  TO  PROVIDE  SERVICES  INCLUDING
   39  ANESTHESIOLOGY, PATHOLOGY AND/OR RADIOLOGY ARE REASONABLY ANTICIPATED TO
   40  BE  PROVIDED  TO  THE  PATIENT;  AND (B) PROVIDE PATIENTS OR PROSPECTIVE
   41  PATIENTS WITH INFORMATION AS TO HOW TO TIMELY DETERMINE THE HEALTH  CARE
   42  PLANS  PARTICIPATED  IN  BY PHYSICIANS WHO ARE REASONABLY ANTICIPATED TO
   43  PROVIDE SERVICES TO THE PATIENT AT THE HOSPITAL, AS  DETERMINED  BY  THE
   44  PHYSICIAN ARRANGING THE PATIENT'S HOSPITAL SERVICES, AND WHO ARE EMPLOY-
   45  EES  OF  THE  HOSPITAL OR CONTRACTED BY THE HOSPITAL TO PROVIDE SERVICES
   46  INCLUDING ANESTHESIOLOGY, RADIOLOGY AND/OR PATHOLOGY.
   47    8. FOR PURPOSES OF THIS SUBDIVISION:
   48    (A) "HEALTH CARE PLAN" MEANS A HEALTH  INSURER  INCLUDING  AN  INSURER
   49  LICENSED TO WRITE ACCIDENT AND HEALTH INSURANCE SUBJECT TO ARTICLE THIR-
   50  TY-TWO OF THE INSURANCE LAW; A CORPORATION ORGANIZED PURSUANT TO ARTICLE
   51  FORTY-THREE OF THE INSURANCE LAW; A MUNICIPAL COOPERATIVE HEALTH BENEFIT
   52  PLAN  CERTIFIED  PURSUANT TO ARTICLE FORTY-SEVEN OF THE INSURANCE LAW; A
   53  HEALTH MAINTENANCE ORGANIZATION CERTIFIED PURSUANT TO ARTICLE FORTY-FOUR
   54  OF THIS CHAPTER; A STUDENT HEALTH PLAN ESTABLISHED OR MAINTAINED  PURSU-
   55  ANT TO SECTION ONE THOUSAND ONE HUNDRED TWENTY-FOUR OF THE INSURANCE LAW
   56  OR A SELF-FUNDED EMPLOYEE WELFARE BENEFIT PLAN.
       S. 6357--A                         73                         A. 8557--A
    1    (B) "HEALTH CARE PROFESSIONAL" MEANS AN APPROPRIATELY LICENSED, REGIS-
    2  TERED  OR  CERTIFIED HEALTH CARE PROFESSIONAL PURSUANT TO TITLE EIGHT OF
    3  THE EDUCATION LAW.
    4    S  17-a.  Paragraph (a) of subdivision 6 of section 4403 of the public
    5  health law, as added by chapter 705 of the laws of 1996, is  amended  to
    6  read as follows:
    7    (a)  If  a health maintenance organization determines that it does not
    8  have a health care provider with appropriate training and experience  in
    9  its  panel  or  network  to  meet the particular health care needs of an
   10  enrollee, the health maintenance organization shall make a  referral  to
   11  an  appropriate  provider,  pursuant to a treatment plan approved by the
   12  health maintenance organization in consultation with  the  primary  care
   13  provider,  the non-participating provider and the enrollee or enrollee's
   14  designee, at no additional cost to the enrollee beyond what the enrollee
   15  would otherwise pay for services received within the network. NOTHING IN
   16  THIS PARAGRAPH SHALL BE CONSTRUED TO ENTITLE AN ENROLLEE TO  A  REFERRAL
   17  TO THE ENROLLEE'S PREFERRED PROVIDER, WHERE THAT PROVIDER IS OUT-OF-NET-
   18  WORK.  THE  PROVISIONS OF THIS PARAGRAPH SHALL ONLY APPLY IF THERE IS NO
   19  IN-NETWORK PROVIDER GEOGRAPHICALLY ACCESSIBLE TO THE  ENROLLEE  WHO  HAS
   20  THE  APPROPRIATE  ESSENTIAL LEVEL OF TRAINING AND EXPERIENCE TO MEET THE
   21  PARTICULAR NEEDS OF THE ENROLLEE.
   22    S 18. Paragraphs (k), (p-1), (q) and (r) of subdivision 1  of  section
   23  4408  of  the public health law, paragraphs (k), (q) and (r) as added by
   24  chapter 705 of the laws of 1996, and paragraph (p-1) as added by chapter
   25  554 of the laws of 2002, are amended and three new paragraphs  (s),  (t)
   26  and (u) are added to read as follows:
   27    (k)  notice  that  an  enrollee may obtain a referral to a health care
   28  provider outside of the health  maintenance  organization's  network  or
   29  panel  when  the  health maintenance organization does not have a health
   30  care provider [with] WHO IS GEOGRAPHICALLY ACCESSIBLE  TO  THE  ENROLLEE
   31  AND  WHO  HAS  appropriate ESSENTIAL LEVEL OF training and experience in
   32  the network or panel to meet the particular health  care  needs  of  the
   33  enrollee  and the procedure by which the enrollee can obtain such refer-
   34  ral;
   35    (p-1) notice that an enrollee shall have direct access to primary  and
   36  preventive obstetric and gynecologic services, INCLUDING ANNUAL EXAMINA-
   37  TIONS,  CARE  RESULTING  FROM SUCH ANNUAL EXAMINATIONS, AND TREATMENT OF
   38  ACUTE GYNECOLOGIC CONDITIONS, from a qualified provider of such services
   39  of her choice from within the plan [for no fewer than  two  examinations
   40  annually  for such services] or [to] FOR any care related to A pregnancy
   41  [and that additionally, the enrollee shall have direct access to primary
   42  and preventive obstetric and gynecologic services required as  a  result
   43  of  such  annual  examinations  or  as  a result of an acute gynecologic
   44  condition];
   45    (q) notice of all appropriate mailing addresses and telephone  numbers
   46  to be utilized by enrollees seeking information or authorization; [and]
   47    (r)  a  listing by specialty, which may be in a separate document that
   48  is updated annually, of the name, address and telephone  number  of  all
   49  participating  providers, including facilities, and, in addition, in the
   50  case of physicians, board certification[.],  LANGUAGES  SPOKEN  AND  ANY
   51  AFFILIATIONS  WITH  PARTICIPATING  HOSPITALS.  THE LISTING SHALL ALSO BE
   52  POSTED ON THE HEALTH MAINTENANCE ORGANIZATION'S WEBSITE AND  THE  HEALTH
   53  MAINTENANCE ORGANIZATION SHALL UPDATE THE WEBSITE WITHIN FIFTEEN DAYS OF
   54  THE  ADDITION  OR  TERMINATION OF A PROVIDER FROM THE HEALTH MAINTENANCE
   55  ORGANIZATION'S NETWORK OR A CHANGE  IN  A  PHYSICIAN'S  HOSPITAL  AFFIL-
   56  IATION;
       S. 6357--A                         74                         A. 8557--A
    1    (S) WHERE APPLICABLE, A DESCRIPTION OF THE METHOD BY WHICH AN ENROLLEE
    2  MAY SUBMIT A CLAIM FOR HEALTH CARE SERVICES;
    3    (T) WHERE APPLICABLE, WITH RESPECT TO OUT-OF-NETWORK COVERAGE:
    4    (I)  A CLEAR DESCRIPTION OF THE METHODOLOGY USED BY THE HEALTH MAINTE-
    5  NANCE ORGANIZATION TO DETERMINE REIMBURSEMENT FOR OUT-OF-NETWORK  HEALTH
    6  CARE SERVICES;
    7    (II) A DESCRIPTION OF THE AMOUNT THAT THE HEALTH MAINTENANCE ORGANIZA-
    8  TION WILL REIMBURSE UNDER THE METHODOLOGY FOR OUT-OF-NETWORK HEALTH CARE
    9  SERVICES  SET  FORTH AS A PERCENTAGE OF THE USUAL AND CUSTOMARY COST FOR
   10  OUT-OF-NETWORK HEALTH CARE SERVICES;
   11    (III) EXAMPLES  OF  ANTICIPATED  OUT-OF-POCKET  COSTS  FOR  FREQUENTLY
   12  BILLED OUT-OF-NETWORK HEALTH CARE SERVICES; AND
   13    (U)  INFORMATION  IN  WRITING  AND  THROUGH  AN  INTERNET WEBSITE THAT
   14  REASONABLY PERMITS AN ENROLLEE OR PROSPECTIVE ENROLLEE TO DETERMINE  THE
   15  ANTICIPATED  OUT-OF-POCKET  COST FOR OUT-OF-NETWORK HEALTH CARE SERVICES
   16  IN A GEOGRAPHICAL AREA OR ZIP CODE BASED  UPON  THE  DIFFERENCE  BETWEEN
   17  WHAT  THE HEALTH MAINTENANCE ORGANIZATION WILL REIMBURSE FOR OUT-OF-NET-
   18  WORK  HEALTH  CARE  SERVICES  AND  THE  USUAL  AND  CUSTOMARY  COST  FOR
   19  OUT-OF-NETWORK HEALTH CARE SERVICES.
   20    S  19.  Paragraphs (k) and (l) of subdivision 2 of section 4408 of the
   21  public health law, as added by chapter 705 of  the  laws  of  1996,  are
   22  amended and two new paragraphs (m) and (n) are added to read as follows:
   23    (k)  provide the written application procedures and minimum qualifica-
   24  tion requirements for health care providers  to  be  considered  by  the
   25  health maintenance organization; [and]
   26    (1)  disclose  other  information  as  required  by  the commissioner,
   27  provided that such requirements are promulgated pursuant  to  the  state
   28  administrative procedure act[.];
   29    (M)  DISCLOSE  WHETHER  A  HEALTH CARE PROVIDER SCHEDULED TO PROVIDE A
   30  HEALTH CARE SERVICE IS AN IN-NETWORK PROVIDER; AND
   31    (N)  WHERE  APPLICABLE,  WITH  RESPECT  TO  OUT-OF-NETWORK   COVERAGE,
   32  DISCLOSE THE DOLLAR AMOUNT THAT THE HEALTH MAINTENANCE ORGANIZATION WILL
   33  PAY FOR A SPECIFIC OUT-OF-NETWORK HEALTH CARE SERVICE.
   34    S 20. Section 4408 of the public health law is amended by adding a new
   35  subdivision 7 to read as follows:
   36    7.    FOR  PURPOSES  OF THIS SECTION, "USUAL AND CUSTOMARY COST" SHALL
   37  MEAN THE EIGHTIETH PERCENTILE OF ALL CHARGES FOR THE  PARTICULAR  HEALTH
   38  CARE  SERVICE  PERFORMED  BY A PROVIDER IN THE SAME OR SIMILAR SPECIALTY
   39  AND PROVIDED IN THE SAME GEOGRAPHICAL AREA AS REPORTED IN A BENCHMARKING
   40  DATABASE MAINTAINED BY A NONPROFIT ORGANIZATION SPECIFIED BY THE  SUPER-
   41  INTENDENT OF FINANCIAL SERVICES. THE NONPROFIT ORGANIZATION SHALL NOT BE
   42  AFFILIATED WITH AN INSURER, A CORPORATION SUBJECT TO ARTICLE FORTY-THREE
   43  OF THE INSURANCE LAW, A MUNICIPAL COOPERATIVE HEALTH BENEFIT PLAN CERTI-
   44  FIED  PURSUANT  TO ARTICLE FORTY-SEVEN OF THE INSURANCE LAW, OR A HEALTH
   45  MAINTENANCE ORGANIZATION CERTIFIED PURSUANT TO THIS ARTICLE.
   46    S 21. Subdivision 7-g of section 4900 of  the  public  health  law  is
   47  renumbered subdivision 7-h and a new subdivision 7-g is added to read as
   48  follows:
   49    7-G.  "OUT-OF-NETWORK REFERRAL DENIAL" MEANS A DENIAL OF A REQUEST FOR
   50  AN AUTHORIZATION OR REFERRAL TO AN OUT-OF-NETWORK PROVIDER ON THE  BASIS
   51  THAT  THE  HEALTH CARE PLAN HAS A HEALTH CARE PROVIDER IN THE IN-NETWORK
   52  BENEFITS PORTION OF ITS NETWORK WITH APPROPRIATE TRAINING AND EXPERIENCE
   53  TO MEET THE PARTICULAR HEALTH CARE NEEDS OF AN ENROLLEE, AND WHO IS ABLE
   54  TO PROVIDE THE REQUESTED HEALTH SERVICE. THE NOTICE OF AN OUT-OF-NETWORK
   55  REFERRAL DENIAL  PROVIDED  TO  AN  ENROLLEE  SHALL  INCLUDE  INFORMATION
   56  EXPLAINING  WHAT INFORMATION THE ENROLLEE MUST SUBMIT IN ORDER TO APPEAL
       S. 6357--A                         75                         A. 8557--A
    1  THE OUT-OF-NETWORK REFERRAL DENIAL  PURSUANT  TO  SUBDIVISION  ONE-B  OF
    2  SECTION  FOUR THOUSAND NINE HUNDRED FOUR OF THIS ARTICLE. AN OUT-OF-NET-
    3  WORK REFERRAL DENIAL UNDER  THIS  SUBDIVISION  DOES  NOT  CONSTITUTE  AN
    4  ADVERSE  DETERMINATION  AS  DEFINED  IN  THIS ARTICLE. AN OUT-OF-NETWORK
    5  REFERRAL DENIAL SHALL NOT BE  CONSTRUED  TO  INCLUDE  AN  OUT-OF-NETWORK
    6  DENIAL AS DEFINED IN SUBDIVISION SEVEN-F OF THIS SECTION.
    7    S  22.  Subdivision  2  of  section  4903 of the public health law, as
    8  amended by chapter 514 of the laws  of  2013,  is  amended  to  read  as
    9  follows:
   10    2. A utilization review agent shall make a utilization review determi-
   11  nation  involving  health  care services which require pre-authorization
   12  and provide notice of a determination  to  the  enrollee  or  enrollee's
   13  designee  and  the  enrollee's  health care provider by telephone and in
   14  writing within three business days of receipt of the necessary  informa-
   15  tion.  To  the  extent  practicable,  such  written  notification to the
   16  enrollee's health care provider shall be transmitted electronically,  in
   17  a  manner  and  in  a  form agreed upon by the parties. THE NOTIFICATION
   18  SHALL IDENTIFY; (A) WHETHER THE SERVICES ARE  CONSIDERED  IN-NETWORK  OR
   19  OUT-OF-NETWORK;  (B)  AND WHETHER THE ENROLLEE WILL BE HELD HARMLESS FOR
   20  THE SERVICES AND NOT BE RESPONSIBLE FOR  ANY  PAYMENT,  OTHER  THAN  ANY
   21  APPLICABLE  CO-PAYMENT  OR  CO-INSURANCE;  (C) AS APPLICABLE, THE DOLLAR
   22  AMOUNT THE HEALTH CARE PLAN WILL PAY IF THE SERVICE  IS  OUT-OF-NETWORK;
   23  AND (D) AS APPLICABLE, INFORMATION EXPLAINING HOW AN ENROLLEE MAY DETER-
   24  MINE  THE  ANTICIPATED OUT-OF-POCKET COST FOR OUT-OF-NETWORK HEALTH CARE
   25  SERVICES IN A GEOGRAPHICAL AREA OR ZIP CODE BASED  UPON  THE  DIFFERENCE
   26  BETWEEN  WHAT  THE  HEALTH  CARE  PLAN WILL REIMBURSE FOR OUT-OF-NETWORK
   27  HEALTH CARE SERVICES AND THE USUAL AND CUSTOMARY COST FOR OUT-OF-NETWORK
   28  HEALTH CARE SERVICES.
   29    S 23. Section 4904 of the public health law is amended by adding a new
   30  subdivision 1-b to read as follows:
   31    1-B. AN ENROLLEE OR THE ENROLLEE'S DESIGNEE MAY APPEAL A DENIAL OF  AN
   32  OUT-OF-NETWORK  REFERRAL  BY  A HEALTH CARE PLAN BY SUBMITTING A WRITTEN
   33  STATEMENT FROM  THE  ENROLLEE'S  ATTENDING  PHYSICIAN,  WHO  MUST  BE  A
   34  LICENSED, BOARD CERTIFIED OR BOARD ELIGIBLE PHYSICIAN QUALIFIED TO PRAC-
   35  TICE IN THE SPECIALTY AREA OF PRACTICE APPROPRIATE TO TREAT THE ENROLLEE
   36  FOR  THE HEALTH SERVICE SOUGHT, PROVIDED THAT: (A) THE IN-NETWORK HEALTH
   37  CARE PROVIDER OR PROVIDERS RECOMMENDED BY THE HEALTH CARE  PLAN  DO  NOT
   38  HAVE  THE  APPROPRIATE  TRAINING  AND  EXPERIENCE TO MEET THE PARTICULAR
   39  HEALTH CARE NEEDS OF THE ENROLLEE FOR THE HEALTH SERVICE; AND (B) RECOM-
   40  MENDS AN OUT-OF-NETWORK PROVIDER WITH THE APPROPRIATE TRAINING AND EXPE-
   41  RIENCE TO MEET THE PARTICULAR HEALTH CARE NEEDS OF THE ENROLLEE, AND WHO
   42  IS ABLE TO PROVIDE THE REQUESTED HEALTH SERVICE.
   43    S 24. Subdivision 2 of section  4910  of  the  public  health  law  is
   44  amended by adding a new paragraph (d) to read as follows:
   45    (D)(I)  THE  ENROLLEE HAS HAD AN OUT-OF-NETWORK REFERRAL DENIED ON THE
   46  GROUNDS THAT THE HEALTH CARE PLAN HAS A  HEALTH  CARE  PROVIDER  IN  THE
   47  IN-NETWORK BENEFITS PORTION OF ITS NETWORK WITH APPROPRIATE TRAINING AND
   48  EXPERIENCE  TO MEET THE PARTICULAR HEALTH CARE NEEDS OF AN ENROLLEE, AND
   49  WHO IS ABLE TO PROVIDE THE REQUESTED HEALTH SERVICE.
   50    (II) THE ENROLLEE'S ATTENDING PHYSICIAN,  WHO  SHALL  BE  A  LICENSED,
   51  BOARD CERTIFIED OR BOARD ELIGIBLE PHYSICIAN QUALIFIED TO PRACTICE IN THE
   52  SPECIALTY  AREA  OF  PRACTICE  APPROPRIATE TO TREAT THE ENROLLEE FOR THE
   53  HEALTH SERVICE SOUGHT, CERTIFIES THAT THE IN-NETWORK HEALTH CARE PROVID-
   54  ER OR PROVIDERS RECOMMENDED BY THE HEALTH CARE  PLAN  DO  NOT  HAVE  THE
   55  APPROPRIATE  TRAINING  AND EXPERIENCE TO MEET THE PARTICULAR HEALTH CARE
   56  NEEDS OF AN ENROLLEE, AND RECOMMENDS AN OUT-OF-NETWORK PROVIDER WITH THE
       S. 6357--A                         76                         A. 8557--A
    1  APPROPRIATE TRAINING AND EXPERIENCE TO MEET THE PARTICULAR  HEALTH  CARE
    2  NEEDS  OF  AN  ENROLLEE, AND WHO IS ABLE TO PROVIDE THE REQUESTED HEALTH
    3  SERVICE.
    4    S  25.  Paragraph  (d)  of subdivision 2 of section 4914 of the public
    5  health law is amended by adding  a  new  subparagraph  (D)  to  read  as
    6  follows:
    7    (D) FOR EXTERNAL APPEALS REQUESTED PURSUANT TO PARAGRAPH (D) OF SUBDI-
    8  VISION  TWO  OF  SECTION  FOUR  THOUSAND  NINE HUNDRED TEN OF THIS TITLE
    9  RELATING TO AN OUT-OF-NETWORK REFERRAL DENIAL, THE EXTERNAL APPEAL AGENT
   10  SHALL REVIEW THE UTILIZATION REVIEW AGENT'S FINAL ADVERSE  DETERMINATION
   11  AND,  IN  ACCORDANCE  WITH  THE  PROVISIONS  OF THIS TITLE, SHALL MAKE A
   12  DETERMINATION AS TO WHETHER THE OUT-OF-NETWORK REFERRAL SHALL BE COVERED
   13  BY THE HEALTH PLAN; PROVIDED THAT SUCH DETERMINATION SHALL:
   14    (I) BE CONDUCTED ONLY BY ONE OR A GREATER ODD NUMBER OF CLINICAL  PEER
   15  REVIEWERS;
   16    (II) BE ACCOMPANIED BY A WRITTEN STATEMENT:
   17    (1)  THAT  THE  OUT-OF-NETWORK REFERRAL SHALL BE COVERED BY THE HEALTH
   18  CARE PLAN EITHER WHEN THE REVIEWER OR A MAJORITY OF THE PANEL OF REVIEW-
   19  ERS DETERMINES, UPON REVIEW  OF  THE  TRAINING  AND  EXPERIENCE  OF  THE
   20  IN-NETWORK  HEALTH  CARE PROVIDER OR PROVIDERS PROPOSED BY THE PLAN, THE
   21  TRAINING AND EXPERIENCE OF THE REQUESTED  OUT-OF-NETWORK  PROVIDER,  THE
   22  CLINICAL  STANDARDS OF THE PLAN, THE INFORMATION PROVIDED CONCERNING THE
   23  ENROLLEE,  THE  ATTENDING  PHYSICIAN'S  RECOMMENDATION,  THE  ENROLLEE'S
   24  MEDICAL  RECORD,  AND  ANY  OTHER PERTINENT INFORMATION, THAT THE HEALTH
   25  PLAN DOES NOT HAVE A PROVIDER WITH THE APPROPRIATE TRAINING AND  EXPERI-
   26  ENCE TO MEET THE PARTICULAR HEALTH CARE NEEDS OF AN ENROLLEE WHO IS ABLE
   27  TO  PROVIDE  THE  REQUESTED  HEALTH SERVICE, AND THAT THE OUT-OF-NETWORK
   28  PROVIDER HAS THE APPROPRIATE TRAINING AND EXPERIENCE TO MEET THE PARTIC-
   29  ULAR HEALTH CARE NEEDS OF AN ENROLLEE, IS ABLE TO PROVIDE THE  REQUESTED
   30  HEALTH  SERVICE,  AND  IS LIKELY TO PRODUCE A MORE CLINICALLY BENEFICIAL
   31  OUTCOME; OR
   32    (2) UPHOLDING THE HEALTH PLAN'S DENIAL OF COVERAGE;
   33    (III) BE SUBJECT TO THE TERMS AND CONDITIONS GENERALLY  APPLICABLE  TO
   34  BENEFITS UNDER THE EVIDENCE OF COVERAGE UNDER THE HEALTH CARE PLAN;
   35    (IV) BE BINDING ON THE PLAN AND THE ENROLLEE; AND
   36    (V) BE ADMISSIBLE IN ANY COURT PROCEEDING.
   37    S  26. The financial services law is amended by adding a new article 6
   38  to read as follows:
   39                                   ARTICLE 6
   40                EMERGENCY MEDICAL SERVICES AND SURPRISE BILLS
   41  SECTION 601. DISPUTE RESOLUTION PROCESS ESTABLISHED.
   42          602. APPLICABILITY.
   43          603. DEFINITIONS.
   44          604. CRITERIA FOR DETERMINING A REASONABLE FEE.
   45          605. DISPUTE RESOLUTION FOR EMERGENCY SERVICES.
   46          606. HOLD HARMLESS AND ASSIGNMENT OF BENEFITS FOR SURPRISE BILLS
   47                 FOR INSUREDS.
   48          607. DISPUTE RESOLUTION FOR SURPRISE BILLS.
   49          608. PAYMENT FOR INDEPENDENT DISPUTE RESOLUTION ENTITY.
   50    S 601. DISPUTE  RESOLUTION  PROCESS  ESTABLISHED.  THE  SUPERINTENDENT
   51  SHALL  ESTABLISH  A  DISPUTE RESOLUTION PROCESS BY WHICH A DISPUTE FOR A
   52  BILL FOR EMERGENCY SERVICES OR A SURPRISE  BILL  MAY  BE  RESOLVED.  THE
   53  SUPERINTENDENT  SHALL  HAVE THE POWER TO GRANT AND REVOKE CERTIFICATIONS
   54  OF INDEPENDENT DISPUTE RESOLUTION ENTITIES TO CONDUCT THE DISPUTE RESOL-
   55  UTION PROCESS. THE SUPERINTENDENT SHALL  PROMULGATE  REGULATIONS  ESTAB-
   56  LISHING  STANDARDS FOR THE DISPUTE RESOLUTION PROCESS, INCLUDING A PROC-
       S. 6357--A                         77                         A. 8557--A
    1  ESS  FOR  CERTIFYING  AND  SELECTING  INDEPENDENT   DISPUTE   RESOLUTION
    2  ENTITIES.
    3    S  602.  APPLICABILITY.  THIS  ARTICLE  SHALL NOT APPLY TO HEALTH CARE
    4  SERVICES, INCLUDING EMERGENCY SERVICES, WHERE PHYSICIAN FEES ARE SUBJECT
    5  TO SCHEDULES OR OTHER MONETARY LIMITATIONS UNDER ANY OTHER LAW,  INCLUD-
    6  ING THE WORKERS' COMPENSATION LAW AND ARTICLE FIFTY-ONE OF THE INSURANCE
    7  LAW, AND SHALL NOT PREEMPT ANY SUCH LAW.
    8    S 603. DEFINITIONS. FOR THE PURPOSES OF THIS ARTICLE:
    9    (A) "EMERGENCY CONDITION" MEANS A MEDICAL OR BEHAVIORAL CONDITION THAT
   10  MANIFESTS  ITSELF  BY  ACUTE  SYMPTOMS OF SUFFICIENT SEVERITY, INCLUDING
   11  SEVERE PAIN, SUCH THAT A PRUDENT LAYPERSON, POSSESSING AN AVERAGE  KNOW-
   12  LEDGE  OF  MEDICINE  AND  HEALTH, COULD REASONABLY EXPECT THE ABSENCE OF
   13  IMMEDIATE MEDICAL ATTENTION TO RESULT IN : (1) PLACING THE HEALTH OF THE
   14  PERSON AFFLICTED WITH SUCH CONDITION IN SERIOUS JEOPARDY, OR IN THE CASE
   15  OF A BEHAVIORAL CONDITION PLACING THE HEALTH OF SUCH PERSON OR OTHERS IN
   16  SERIOUS JEOPARDY; (2) SERIOUS IMPAIRMENT TO SUCH PERSON'S  BODILY  FUNC-
   17  TIONS;  (3)  SERIOUS  DYSFUNCTION  OF  ANY  BODILY ORGAN OR PART OF SUCH
   18  PERSON; (4) SERIOUS DISFIGUREMENT OF SUCH PERSON;  OR  (5)  A  CONDITION
   19  DESCRIBED  IN  CLAUSE (I), (II) OR (III) OF SECTION 1867(E)(1)(A) OF THE
   20  SOCIAL SECURITY ACT 42 U.S.C. S 1395DD.
   21    (B) "EMERGENCY SERVICES" MEANS, WITH RESPECT TO  AN  EMERGENCY  CONDI-
   22  TION: (1) A MEDICAL SCREENING EXAMINATION AS REQUIRED UNDER SECTION 1867
   23  OF  THE  SOCIAL  SECURITY  ACT,  42 U.S.C. S 1395DD, WHICH IS WITHIN THE
   24  CAPABILITY OF THE EMERGENCY DEPARTMENT OF A HOSPITAL,  INCLUDING  ANCIL-
   25  LARY  SERVICES ROUTINELY AVAILABLE TO THE EMERGENCY DEPARTMENT TO EVALU-
   26  ATE SUCH EMERGENCY MEDICAL CONDITION; AND (2) WITHIN THE CAPABILITIES OF
   27  THE STAFF AND FACILITIES AVAILABLE AT THE HOSPITAL, SUCH FURTHER MEDICAL
   28  EXAMINATION AND TREATMENT AS ARE REQUIRED  UNDER  SECTION  1867  OF  THE
   29  SOCIAL SECURITY ACT, 42 U.S.C.  S 1395DD, TO STABILIZE THE PATIENT.
   30    (C) "HEALTH CARE PLAN" MEANS AN INSURER LICENSED TO WRITE ACCIDENT AND
   31  HEALTH  INSURANCE PURSUANT TO ARTICLE THIRTY-TWO OF THE INSURANCE LAW; A
   32  CORPORATION ORGANIZED PURSUANT TO ARTICLE FORTY-THREE OF  THE  INSURANCE
   33  LAW;  A  MUNICIPAL COOPERATIVE HEALTH BENEFIT PLAN CERTIFIED PURSUANT TO
   34  ARTICLE FORTY-SEVEN OF THE INSURANCE LAW; A HEALTH MAINTENANCE ORGANIZA-
   35  TION CERTIFIED PURSUANT TO ARTICLE FORTY-FOUR OF THE PUBLIC HEALTH  LAW;
   36  OR  A  STUDENT HEALTH PLAN ESTABLISHED OR MAINTAINED PURSUANT TO SECTION
   37  ONE THOUSAND ONE HUNDRED TWENTY-FOUR OF THE INSURANCE LAW.
   38    (D) "INSURED" MEANS A PATIENT COVERED UNDER A HEALTH CARE PLAN'S POLI-
   39  CY OR CONTRACT.
   40    (E) "NON-PARTICIPATING" MEANS NOT HAVING A CONTRACT WITH A HEALTH CARE
   41  PLAN TO PROVIDE HEALTH CARE SERVICES TO AN INSURED.
   42    (F) "PARTICIPATING" MEANS HAVING A CONTRACT WITH A HEALTH CARE PLAN TO
   43  PROVIDE HEALTH CARE SERVICES TO AN INSURED.
   44    (G) "PATIENT" MEANS  A  PERSON  WHO  RECEIVES  HEALTH  CARE  SERVICES,
   45  INCLUDING EMERGENCY SERVICES, IN THIS STATE.
   46    (H)  "SURPRISE BILL" MEANS A BILL FOR HEALTH CARE SERVICES, OTHER THAN
   47  EMERGENCY SERVICES, RECEIVED BY:
   48    (1) AN INSURED FOR SERVICES RENDERED BY A NON-PARTICIPATING  PHYSICIAN
   49  AT  A  PARTICIPATING  HOSPITAL  OR  AMBULATORY  SURGICAL CENTER, WHERE A
   50  PARTICIPATING PHYSICIAN IS UNAVAILABLE  AT  THE  TIME  THE  HEALTH  CARE
   51  SERVICES ARE RENDERED; PROVIDED, HOWEVER, THAT A SURPRISE BILL SHALL NOT
   52  MEAN  A  BILL  RECEIVED  FOR  HEALTH  CARE SERVICES WHEN A PARTICIPATING
   53  PHYSICIAN IS AVAILABLE AND THE INSURED HAS ELECTED  TO  OBTAIN  SERVICES
   54  FROM A NON-PARTICIPATING PHYSICIAN; OR
   55    (2)  A PATIENT WHO IS NOT AN INSURED FOR SERVICES RENDERED BY A PHYSI-
   56  CIAN AT A HOSPITAL OR AMBULATORY SURGICAL CENTER, WHERE THE PATIENT  HAS
       S. 6357--A                         78                         A. 8557--A
    1  NOT  TIMELY RECEIVED ALL OF THE DISCLOSURES REQUIRED PURSUANT TO SECTION
    2  TWENTY-FOUR OF THE PUBLIC HEALTH LAW.
    3    (I)  "USUAL  AND CUSTOMARY COST" MEANS THE EIGHTIETH PERCENTILE OF ALL
    4  CHARGES FOR THE PARTICULAR HEALTH CARE SERVICE PERFORMED BY  A  PROVIDER
    5  IN  THE  SAME OR SIMILAR SPECIALTY AND PROVIDED IN THE SAME GEOGRAPHICAL
    6  AREA AS REPORTED IN A BENCHMARKING DATABASE MAINTAINED  BY  A  NONPROFIT
    7  ORGANIZATION SPECIFIED BY THE SUPERINTENDENT. THE NONPROFIT ORGANIZATION
    8  SHALL  NOT BE AFFILIATED WITH AN INSURER, A CORPORATION SUBJECT TO ARTI-
    9  CLE FORTY-THREE OF THE INSURANCE LAW,  A  MUNICIPAL  COOPERATIVE  HEALTH
   10  BENEFIT  PLAN CERTIFIED PURSUANT TO ARTICLE FORTY-SEVEN OF THE INSURANCE
   11  LAW, OR A HEALTH MAINTENANCE ORGANIZATION CERTIFIED PURSUANT TO  ARTICLE
   12  FORTY-FOUR OF THE PUBLIC HEALTH LAW.
   13    S  604.  CRITERIA FOR DETERMINING A REASONABLE FEE. IN DETERMINING THE
   14  APPROPRIATE AMOUNT TO PAY FOR A  HEALTH  CARE  SERVICE,  AN  INDEPENDENT
   15  DISPUTE  RESOLUTION  ENTITY SHALL CONSIDER ALL RELEVANT FACTORS, INCLUD-
   16  ING:
   17    (A) WHETHER THERE IS A GROSS DISPARITY BETWEEN THE FEE CHARGED BY  THE
   18  PHYSICIAN FOR SERVICES RENDERED AS COMPARED TO:
   19    (1) FEES PAID TO THE INVOLVED PHYSICIAN FOR THE SAME SERVICES RENDERED
   20  BY  THE  PHYSICIAN  TO  OTHER PATIENTS IN HEALTH CARE PLANS IN WHICH THE
   21  PHYSICIAN IS NOT PARTICIPATING, AND
   22    (2) IN THE CASE OF A DISPUTE INVOLVING A HEALTH CARE PLAN,  FEES  PAID
   23  BY  THE HEALTH CARE PLAN TO REIMBURSE SIMILARLY QUALIFIED PHYSICIANS FOR
   24  THE SAME SERVICES IN THE SAME REGION WHO ARE NOT PARTICIPATING WITH  THE
   25  HEALTH CARE PLAN;
   26    (B) THE LEVEL OF TRAINING, EDUCATION AND EXPERIENCE OF THE PHYSICIAN;
   27    (C)  THE  PHYSICIAN'S USUAL CHARGE FOR COMPARABLE SERVICES WITH REGARD
   28  TO PATIENTS IN HEALTH CARE PLANS IN WHICH THE PHYSICIAN IS  NOT  PARTIC-
   29  IPATING;
   30    (D) THE CIRCUMSTANCES AND COMPLEXITY OF THE PARTICULAR CASE, INCLUDING
   31  TIME AND PLACE OF THE SERVICE;
   32    (E) INDIVIDUAL PATIENT CHARACTERISTICS; AND
   33    (F) THE USUAL AND CUSTOMARY COST OF THE SERVICE.
   34    S  605.  DISPUTE  RESOLUTION  FOR  EMERGENCY  SERVICES.  (A) EMERGENCY
   35  SERVICES FOR AN INSURED. (1) WHEN A HEALTH CARE PLAN RECEIVES A BILL FOR
   36  EMERGENCY SERVICES FROM A NON-PARTICIPATING PHYSICIAN, THE  HEALTH  CARE
   37  PLAN  SHALL PAY AN AMOUNT THAT IT DETERMINES IS REASONABLE FOR THE EMER-
   38  GENCY SERVICES RENDERED BY THE NON-PARTICIPATING PHYSICIAN,  IN  ACCORD-
   39  ANCE WITH SECTION THREE THOUSAND TWO HUNDRED TWENTY-FOUR-A OF THE INSUR-
   40  ANCE   LAW,   EXCEPT   FOR  THE  INSURED'S  CO-PAYMENT,  COINSURANCE  OR
   41  DEDUCTIBLE, IF ANY, AND SHALL ENSURE THAT THE  INSURED  SHALL  INCUR  NO
   42  GREATER  OUT-OF-POCKET COSTS FOR THE EMERGENCY SERVICES THAN THE INSURED
   43  WOULD  HAVE  INCURRED  WITH  A  PARTICIPATING  PHYSICIAN   PURSUANT   TO
   44  SUBSECTION  (C)  OF  SECTION THREE THOUSAND TWO HUNDRED FORTY-ONE OF THE
   45  INSURANCE LAW.
   46    (2) A NON-PARTICIPATING PHYSICIAN OR A HEALTH CARE PLAN MAY  SUBMIT  A
   47  DISPUTE  REGARDING A FEE OR PAYMENT FOR EMERGENCY SERVICES FOR REVIEW TO
   48  AN INDEPENDENT DISPUTE RESOLUTION ENTITY.
   49    (3) IN DETERMINING A REASONABLE FEE  FOR  THE  SERVICES  RENDERED,  AN
   50  INDEPENDENT  DISPUTE  RESOLUTION  ENTITY  SHALL SELECT EITHER THE HEALTH
   51  CARE PLAN'S PAYMENT OR THE NON-PARTICIPATING PHYSICIAN'S FEE. THE  INDE-
   52  PENDENT DISPUTE RESOLUTION ENTITY SHALL DETERMINE WHICH AMOUNT TO SELECT
   53  BASED  UPON  THE CONDITIONS AND FACTORS SET FORTH IN SECTION SIX HUNDRED
   54  FOUR OF THIS ARTICLE.
   55    (B) EMERGENCY SERVICES FOR A PATIENT THAT IS NOT  AN  INSURED.  (1)  A
   56  PATIENT  THAT  IS NOT AN INSURED OR THE PATIENT'S PHYSICIAN MAY SUBMIT A
       S. 6357--A                         79                         A. 8557--A
    1  DISPUTE REGARDING A FEE FOR EMERGENCY SERVICES FOR REVIEW  TO  AN  INDE-
    2  PENDENT DISPUTE RESOLUTION ENTITY UPON APPROVAL OF THE SUPERINTENDENT.
    3    (2) AN INDEPENDENT DISPUTE RESOLUTION ENTITY SHALL DETERMINE A REASON-
    4  ABLE FEE FOR THE SERVICES BASED UPON THE SAME CONDITIONS AND FACTORS SET
    5  FORTH IN SECTION SIX HUNDRED FOUR OF THIS ARTICLE.
    6    (3)  A PATIENT THAT IS NOT AN INSURED SHALL NOT BE REQUIRED TO PAY THE
    7  PHYSICIAN'S FEE IN ORDER TO BE ELIGIBLE TO SUBMIT THE DISPUTE FOR REVIEW
    8  TO AN INDEPENDENT DISPUTE RESOLUTION ENTITY.
    9    (C) THE DETERMINATION OF  AN  INDEPENDENT  DISPUTE  RESOLUTION  ENTITY
   10  SHALL  BE  BINDING  ON  THE HEALTH CARE PLAN, PHYSICIAN AND PATIENT, AND
   11  SHALL BE ADMISSIBLE IN ANY COURT  PROCEEDING  BETWEEN  THE  HEALTH  CARE
   12  PLAN,  PHYSICIAN OR PATIENT, OR IN ANY ADMINISTRATIVE PROCEEDING BETWEEN
   13  THIS STATE AND THE PHYSICIAN.
   14    S 606. HOLD HARMLESS AND ASSIGNMENT OF BENEFITS FOR SURPRISE BILLS FOR
   15  INSUREDS. WHEN AN INSURED ASSIGNS BENEFITS FOR A SURPRISE BILL IN  WRIT-
   16  ING  TO  A NON-PARTICIPATING PHYSICIAN THAT KNOWS THE INSURED IS INSURED
   17  UNDER A HEALTH CARE PLAN, THE NON-PARTICIPATING PHYSICIAN SHALL NOT BILL
   18  THE INSURED EXCEPT FOR ANY APPLICABLE COPAYMENT, COINSURANCE OR  DEDUCT-
   19  IBLE  THAT  WOULD BE OWED IF THE INSURED UTILIZED A PARTICIPATING PHYSI-
   20  CIAN.
   21    S 607. DISPUTE RESOLUTION FOR  SURPRISE  BILLS.    (A)  SURPRISE  BILL
   22  RECEIVED  BY AN INSURED WHO ASSIGNS BENEFITS.  (1) IF AN INSURED ASSIGNS
   23  BENEFITS TO A NON-PARTICIPATING PHYSICIAN, THE HEALTH  CARE  PLAN  SHALL
   24  PAY  THE  NON-PARTICIPATING  PHYSICIAN IN ACCORDANCE WITH PARAGRAPHS TWO
   25  AND THREE OF THIS SUBSECTION.
   26    (2) THE NON-PARTICIPATING PHYSICIAN MAY BILL THE HEALTH CARE PLAN  FOR
   27  THE  HEALTH  CARE  SERVICES RENDERED, AND THE HEALTH CARE PLAN SHALL PAY
   28  THE NON-PARTICIPATING PHYSICIAN THE BILLED AMOUNT OR ATTEMPT TO  NEGOTI-
   29  ATE REIMBURSEMENT WITH THE NON-PARTICIPATING PHYSICIAN.
   30    (3)  IF THE HEALTH CARE PLAN'S ATTEMPTS TO NEGOTIATE REIMBURSEMENT FOR
   31  HEALTH CARE SERVICES PROVIDED BY A NON-PARTICIPATING PHYSICIAN DOES  NOT
   32  RESULT  IN  A RESOLUTION OF THE PAYMENT DISPUTE BETWEEN THE NON-PARTICI-
   33  PATING PHYSICIAN AND THE HEALTH CARE PLAN, THE HEALTH  CARE  PLAN  SHALL
   34  PAY  THE  NON-PARTICIPATING  PHYSICIAN  AN  AMOUNT  THE HEALTH CARE PLAN
   35  DETERMINES IS REASONABLE FOR THE HEALTH CARE SERVICES  RENDERED,  EXCEPT
   36  FOR  THE  INSURED'S  COPAYMENT, COINSURANCE OR DEDUCTIBLE, IN ACCORDANCE
   37  WITH SECTION THREE THOUSAND TWO HUNDRED TWENTY-FOUR-A OF  THE  INSURANCE
   38  LAW.
   39    (4) EITHER THE HEALTH CARE PLAN OR THE NON-PARTICIPATING PHYSICIAN MAY
   40  SUBMIT  THE  DISPUTE  REGARDING THE SURPRISE BILL FOR REVIEW TO AN INDE-
   41  PENDENT DISPUTE RESOLUTION ENTITY, PROVIDED  HOWEVER,  THE  HEALTH  CARE
   42  PLAN MAY NOT SUBMIT THE DISPUTE UNLESS IT HAS COMPLIED WITH THE REQUIRE-
   43  MENTS OF PARAGRAPHS ONE, TWO AND THREE OF THIS SUBSECTION.
   44    (5)  WHEN  DETERMINING A REASONABLE FEE FOR THE SERVICES RENDERED, THE
   45  INDEPENDENT DISPUTE RESOLUTION ENTITY SHALL  SELECT  EITHER  THE  HEALTH
   46  CARE  PLAN'S  PAYMENT OR THE NON-PARTICIPATING PHYSICIAN'S FEE. AN INDE-
   47  PENDENT DISPUTE RESOLUTION ENTITY SHALL DETERMINE WHICH AMOUNT TO SELECT
   48  BASED UPON THE CONDITIONS AND FACTORS SET FORTH IN SECTION  SIX  HUNDRED
   49  FOUR OF THIS ARTICLE.
   50    (B)  SURPRISE BILL RECEIVED BY AN INSURED WHO DOES NOT ASSIGN BENEFITS
   51  OR BY A PATIENT WHO IS NOT AN INSURED.   (1) AN  INSURED  WHO  DOES  NOT
   52  ASSIGN  BENEFITS  IN ACCORDANCE WITH SUBSECTION (A) OF THIS SECTION OR A
   53  PATIENT WHO IS NOT AN INSURED AND  WHO  RECEIVES  A  SURPRISE  BILL  MAY
   54  SUBMIT  A DISPUTE REGARDING THE SURPRISE BILL FOR REVIEW TO AN INDEPEND-
   55  ENT DISPUTE RESOLUTION ENTITY.
       S. 6357--A                         80                         A. 8557--A
    1    (2) THE  INDEPENDENT  DISPUTE  RESOLUTION  ENTITY  SHALL  DETERMINE  A
    2  REASONABLE  FEE  FOR THE SERVICES RENDERED BASED UPON THE CONDITIONS AND
    3  FACTORS SET FORTH IN SECTION SIX HUNDRED FOUR OF THIS ARTICLE.
    4    (3)  A  PATIENT  OR INSURED WHO DOES NOT ASSIGN BENEFITS IN ACCORDANCE
    5  WITH SUBSECTION (A) OF THIS SECTION SHALL NOT BE  REQUIRED  TO  PAY  THE
    6  PHYSICIAN'S  FEE  TO BE ELIGIBLE TO SUBMIT THE DISPUTE FOR REVIEW TO THE
    7  INDEPENDENT DISPUTE ENTITY.
    8    (C) THE DETERMINATION OF  AN  INDEPENDENT  DISPUTE  RESOLUTION  ENTITY
    9  SHALL  BE  BINDING  ON  THE PATIENT, PHYSICIAN AND HEALTH CARE PLAN, AND
   10  SHALL BE ADMISSIBLE IN ANY  COURT  PROCEEDING  BETWEEN  THE  PATIENT  OR
   11  INSURED,  PHYSICIAN  OR  HEALTH  CARE  PLAN,  OR  IN  ANY ADMINISTRATIVE
   12  PROCEEDING BETWEEN THIS STATE AND THE PHYSICIAN.
   13    S 608. PAYMENT FOR INDEPENDENT  DISPUTE  RESOLUTION  ENTITY.  (A)  FOR
   14  DISPUTES  INVOLVING  AN INSURED, WHEN THE INDEPENDENT DISPUTE RESOLUTION
   15  ENTITY DETERMINES THE HEALTH CARE PLAN'S PAYMENT IS REASONABLE,  PAYMENT
   16  FOR  THE  DISPUTE  RESOLUTION PROCESS SHALL BE THE RESPONSIBILITY OF THE
   17  NON-PARTICIPATING PHYSICIAN. WHEN  THE  INDEPENDENT  DISPUTE  RESOLUTION
   18  ENTITY  DETERMINES  THE NON-PARTICIPATING PHYSICIAN'S FEE IS REASONABLE,
   19  PAYMENT FOR THE DISPUTE RESOLUTION PROCESS SHALL BE  THE  RESPONSIBILITY
   20  OF THE HEALTH CARE PLAN.
   21    (B)  FOR DISPUTES INVOLVING A PATIENT THAT IS NOT AN INSURED, WHEN THE
   22  INDEPENDENT DISPUTE RESOLUTION ENTITY DETERMINES THE PHYSICIAN'S FEE  IS
   23  REASONABLE,  PAYMENT  FOR  THE  DISPUTE  RESOLUTION PROCESS SHALL BE THE
   24  RESPONSIBILITY OF THE PATIENT UNLESS PAYMENT FOR THE DISPUTE  RESOLUTION
   25  PROCESS  WOULD  POSE A HARDSHIP TO THE PATIENT. THE SUPERINTENDENT SHALL
   26  PROMULGATE A REGULATION TO DETERMINE PAYMENT FOR THE DISPUTE  RESOLUTION
   27  PROCESS  IN  CASES  OF HARDSHIP. WHEN THE INDEPENDENT DISPUTE RESOLUTION
   28  ENTITY DETERMINES THE PHYSICIAN'S FEE IS UNREASONABLE, PAYMENT  FOR  THE
   29  DISPUTE RESOLUTION PROCESS SHALL BE THE RESPONSIBILITY OF THE PHYSICIAN.
   30    S 27. This act shall take effect one year after it shall have become a
   31  law, provided, however, that:
   32    1.  if  the  amendments  by  chapter  514  of the laws of 2013 made to
   33  subsection (b) of section 4903 of the insurance law and subdivision 2 of
   34  section 4903 of the public health law, as amended by sections twelve and
   35  twenty-two of this act, respectively, take effect after such date,  then
   36  sections twelve and twenty-two of this act shall take effect on the same
   37  date as chapter 514 of the laws of 2013 takes effect;
   38    2.  for  policies  renewed  on and after such date this act shall take
   39  effect on the renewal date;
   40    3. sections twelve, sixteen, seventeen, twenty-two and  twenty-six  of
   41  this  act shall apply to health care services provided on and after such
   42  date;
   43    4. sections eleven, thirteen, fourteen, fifteen,  twenty-one,  twenty-
   44  three,  twenty-four  and  twenty-five of this act shall apply to denials
   45  issued on and after such date; and
   46    5. effective immediately, the superintendent of financial services may
   47  promulgate any regulations  necessary  for  the  implementation  of  the
   48  provisions  of  this  act  on its effective date, and may certify one or
   49  more independent dispute resolution entities.
   50                                   PART V
   51    Section 1.  The opening paragraph of subsection (k) of section 2101 of
   52  the insurance law, as added by chapter 687  of  the  laws  of  2003,  is
   53  amended to read as follows:
       S. 6357--A                         81                         A. 8557--A
    1    In  this article, "insurance producer" means an insurance agent, TITLE
    2  INSURANCE AGENT, TITLE INSURANCE SOLICITOR, insurance  broker,  reinsur-
    3  ance  intermediary, excess lines broker, or any other person required to
    4  be licensed under the laws of this state to sell, solicit  or  negotiate
    5  insurance. Such term shall not include:
    6    S  2.  Paragraph  4 of subsection (k) of section 2101 of the insurance
    7  law is REPEALED and paragraphs 5, 6, 7, 8, 9, 10, 11, and 12 are  renum-
    8  bered paragraphs 4, 5, 6, 7, 8, 9, 10, and 11.
    9    S  3.  Section  2101  of  the insurance law is amended by adding 3 new
   10  subsections (y), (z), and (aa) to read as follows:
   11    (Y) (1) IN THIS CHAPTER, "TITLE INSURANCE AGENT" MEANS ANY  AUTHORIZED
   12  OR ACKNOWLEDGED AGENT OF A TITLE INSURANCE CORPORATION, AND ANY SUBAGENT
   13  OR  OTHER  REPRESENTATIVE OF SUCH AN AGENT, WHO OR WHICH FOR COMMISSION,
   14  COMPENSATION, OR ANY OTHER THING OF VALUE, PERFORMS THE  FOLLOWING  ACTS
   15  IN CONJUNCTION WITH THE ISSUANCE OF A TITLE INSURANCE POLICY:
   16    (A)  DETERMINES  INSURABILITY  OR  PREPARES  OR ISSUES TITLE INSURANCE
   17  COMMITMENTS OR POLICIES, OR BOTH, BASED UPON THE PERFORMANCE  OR  REVIEW
   18  OF A SEARCH; AND
   19    (B) PERFORMS ONE OR MORE OF THE FOLLOWING FUNCTIONS:
   20    (I) COLLECTS, REMITS OR DISBURSES PREMIUM OR OTHER FUNDS;
   21    (II) HANDLES ESCROWS;
   22    (III) SELLS, SOLICITS OR NEGOTIATES TITLE INSURANCE BUSINESS; OR
   23    (IV)  CLOSES  TITLE,  INCLUDING  THE CLEARANCE OF TITLE EXCEPTIONS, IN
   24  CONNECTION WITH THE ISSUANCE OF A TITLE INSURANCE POLICY;
   25    (2) SUCH TERM SHALL  NOT  INCLUDE  ANY  REGULAR  SALARIED  OFFICER  OR
   26  EMPLOYEE  OF  AN AUTHORIZED TITLE INSURANCE CORPORATION OR OF A LICENSED
   27  TITLE INSURANCE AGENT, WHO  DOES  NOT  RECEIVE  A  COMMISSION  OR  OTHER
   28  COMPENSATION  FOR  SERVICES,  WHICH  COMMISSION OR OTHER COMPENSATION IS
   29  DIRECTLY DEPENDENT UPON THE AMOUNT OF TITLE INSURANCE BUSINESS DONE.
   30    (Z) IN THIS CHAPTER, "TITLE INSURANCE CLOSER" MEANS ANY PERSON WHO FOR
   31  COMPENSATION OR ANYTHING OF VALUE, REPRESENTS A TITLE  INSURANCE  CORPO-
   32  RATION  OR  TITLE  INSURANCE  AGENT AT THE CLOSING OF TITLE, EXCEPT THAT
   33  SUCH TERM SHALL NOT INCLUDE:
   34    (1) A LICENSED TITLE INSURANCE AGENT; OR
   35    (2) ANY REGULAR SALARIED OFFICER OR EMPLOYEE OF  AN  AUTHORIZED  TITLE
   36  INSURANCE  CORPORATION  OR  TITLE INSURANCE AGENT WHO DOES NOT RECEIVE A
   37  COMMISSION OR OTHER COMPENSATION THAT IS  DIRECTLY  DEPENDENT  UPON  THE
   38  AMOUNT OF TITLE INSURANCE BUSINESS DONE.
   39    (AA)  IN  THIS  CHAPTER, "TITLE INSURANCE SOLICITOR" MEANS ANY PERSON,
   40  FIRM, ASSOCIATION OR CORPORATION, WHO  OR  WHICH,  FOR  COMPENSATION  OR
   41  ANYTHING  OF VALUE, SOLICITS TITLE INSURANCE ON BEHALF OF A TITLE INSUR-
   42  ANCE CORPORATION OR A TITLE INSURANCE AGENT, EXCEPT THAT SUCH TERM SHALL
   43  NOT INCLUDE:
   44    (1) A LICENSED TITLE INSURANCE AGENT; OR
   45    (2) ANY REGULAR SALARIED OFFICER OR EMPLOYEE OF  AN  AUTHORIZED  TITLE
   46  INSURANCE  CORPORATION  OR  TITLE INSURANCE AGENT WHO DOES NOT RECEIVE A
   47  COMMISSION OR OTHER COMPENSATION THAT IS  DIRECTLY  DEPENDENT  UPON  THE
   48  AMOUNT OF TITLE INSURANCE BUSINESS DONE.
   49    S 4. Subparagraph (A) of paragraph 1 of subsection (a) of section 2102
   50  of the insurance law, as amended by section 8 of part I of chapter 61 of
   51  the laws of 2011, is amended to read as follows:
   52    (A) No person, firm, association or corporation shall act as an insur-
   53  ance  producer, insurance adjuster [or], life settlement broker OR TITLE
   54  INSURANCE CLOSER in this state without having  authority  to  do  so  by
   55  virtue  of  a  license issued and in force pursuant to the provisions of
   56  this chapter.
       S. 6357--A                         82                         A. 8557--A
    1    S 5. Subsection (a) of section 2109 of the insurance law, paragraph  3
    2  as  amended  by  chapter  687 of the laws of 2003, is amended to read as
    3  follows:
    4    (a)  The  superintendent  may  issue  a  temporary  insurance  agent's
    5  LICENSE, TITLE INSURANCE AGENT'S LICENSE or insurance broker's  license,
    6  or  both  AN  INSURANCE  AGENT'S AND INSURANCE BROKER'S LICENSE, without
    7  requiring the applicant to pass a written examination or to satisfy  the
    8  requirements  of subsection (c) of section two thousand one hundred four
    9  of this article except as to age, in the case of a license issued pursu-
   10  ant to paragraph two [hereof]  OF  THIS  SUBSECTION,  in  the  following
   11  cases:
   12    (1)  in the case of the death of a person who at the time of his death
   13  was a licensed accident and health insurance agent under subsection  (a)
   14  of  section  two  thousand one hundred three of this article, a licensed
   15  insurance agent OR LICENSED TITLE INSURANCE AGENT under  subsection  (b)
   16  of such section or a licensed insurance broker:
   17    (A)  to  the  executor or administrator of the estate of such deceased
   18  agent or broker;
   19    (B) to a surviving next of kin of such deceased agent or broker, where
   20  no administrator of his estate has been appointed and  no  executor  has
   21  qualified under his duly probated will;
   22    (C) to the surviving member or members of a firm or association, which
   23  at  the  time  of  the  death  of a member was such a licensed insurance
   24  agent, LICENSED TITLE INSURANCE AGENT or licensed insurance broker; or
   25    (D) to an officer or director of a corporation upon the death  of  the
   26  only  officer  or director who was qualified as a sub-licensee or to the
   27  executor or administrator of the estate  of  such  deceased  officer  or
   28  director;
   29    (2)  to any person who may be designated by a person licensed pursuant
   30  to this chapter as an insurance  agent,  TITLE  INSURANCE  AGENT  or  an
   31  insurance  broker,  or both AN INSURANCE AGENT AND INSURANCE BROKER, and
   32  who is absent because of service in any branch of the  armed  forces  of
   33  the  United  States, including a partnership or corporation [which] THAT
   34  is licensed pursuant to this chapter as an insurance agent, TITLE INSUR-
   35  ANCE AGENT or as an insurance broker, or both  AN  INSURANCE  AGENT  AND
   36  INSURANCE BROKER, in a case where the sub-licensee or all sub-licensees,
   37  if  more than one, named in the license or licenses issued to such part-
   38  nership or corporation is or are absent because of service in any branch
   39  of the armed forces of the United States; and
   40    (3) to the next of kin of a person who has become totally disabled and
   41  prevented from pursuing any of the duties of his or her occupation,  and
   42  who at the commencement of his or her disability was a licensed accident
   43  and  health insurance agent under subsection (a) of section two thousand
   44  one hundred three of this article,  a  licensed  insurance  agent  under
   45  subsection  (b)  of  such section, A LICENSED TITLE INSURANCE AGENT or a
   46  licensed insurance broker.
   47    S 6. Subsection (c) of section 2109 of the insurance law is amended to
   48  read as follows:
   49    (c) Such license or licenses shall authorize  the  person  or  persons
   50  named  therein to renew the business of the deceased, absent or disabled
   51  INSURANCE agent, TITLE INSURANCE AGENT, or INSURANCE broker, or both  AN
   52  INSURANCE AGENT AND INSURANCE BROKER, as the case may be, or of the firm
   53  or,  in  the case of a license issued pursuant to paragraph one or three
   54  of subsection (a) [hereof] OF THIS SECTION, the association whose  busi-
   55  ness  is being continued thereunder, each such agent[,] OR broker[, firm
   56  or association] being referred to in this section  as  "original  licen-
       S. 6357--A                         83                         A. 8557--A
    1  see",  expiring  during  the  period  in which such temporary license or
    2  licenses are in force, to  collect  premiums  due  and  payable  to  the
    3  original  licensee or, in the case of a license issued pursuant to para-
    4  graph  one  of  subsection  (a)  [hereof] OF THIS SECTION, to his OR HER
    5  estate, and to perform such other acts as an insurance  agent,  A  TITLE
    6  INSURANCE  AGENT or [as] an insurance broker, or both AN INSURANCE AGENT
    7  OR INSURANCE BROKER, as the case  may  be,  as  are  incidental  to  the
    8  continuance of the insurance business of such original licensee.
    9    S  7.  Section  2109  of  the insurance law is amended by adding a new
   10  subsection (h) to read as follows:
   11    (H) (1) IN THE CASE OF A PERSON SEEKING A TEMPORARY LICENSE TO ACT  AS
   12  A  TITLE INSURANCE AGENT PURSUANT TO SUBSECTION (A) OF THIS SECTION, THE
   13  SUPERINTENDENT MAY ISSUE A LICENSE FOR A TERM NOT TO EXCEED ONE  HUNDRED
   14  EIGHTY DAYS TO SUCH PERSON PROVIDED THE PERSON:
   15    (A)  DEMONSTRATES  TO  THE  SATISFACTION  OF THE SUPERINTENDENT THAT A
   16  TITLE INSURANCE CORPORATION IS WILLING TO APPOINT HIM OR HER;
   17    (B) SUBMITS TO THE NEXT AVAILABLE TITLE INSURANCE  AGENT  EXAMINATION;
   18  AND
   19    (C)  DEMONSTRATES TO THE SATISFACTION OF THE SUPERINTENDENT THAT HE OR
   20  SHE IS QUALIFIED, COMPETENT, EXPERIENCED AND TRUSTWORTHY  TO  ACT  AS  A
   21  TITLE INSURANCE AGENT.
   22    (2)  ANY PERSON ISSUED A LICENSE PURSUANT TO THIS SUBSECTION SHALL, BY
   23  VIRTUE OF SUCH LICENSE, BE AUTHORIZED TO SOLICIT, NEGOTIATE OR SELL  NEW
   24  POLICIES OF TITLE INSURANCE.
   25    S  8.  The section heading and subsections (a) and (b) of section 2110
   26  of the insurance law, as amended by chapter 499 of  the  laws  of  2009,
   27  paragraph  15  of  subsection  (a)  as added and paragraphs 16 and 17 of
   28  subsection (a) as renumbered by chapter 546 of the  laws  of  2013,  are
   29  amended to read as follows:
   30    Revocation  or  suspension of license of insurance producer, insurance
   31  consultant, adjuster, TITLE INSURANCE CLOSER, or life settlement broker.
   32  (a) The superintendent may refuse to renew, revoke, or may suspend for a
   33  period the  superintendent  determines  the  license  of  any  insurance
   34  producer, insurance consultant, adjuster, TITLE INSURANCE CLOSER or life
   35  settlement  broker,  if,  after  notice  and hearing, the superintendent
   36  determines that the licensee or any sub-licensee has:
   37    (1) violated any insurance laws, or violated any regulation,  subpoena
   38  or  order  of the superintendent or of another state's insurance commis-
   39  sioner, or has violated any law in the course of his or her dealings  in
   40  such capacity;
   41    (2)  provided  materially incorrect, materially misleading, materially
   42  incomplete or materially untrue information in the license application;
   43    (3) obtained or attempted to obtain  a  license  through  misrepresen-
   44  tation or fraud;
   45    (4) (A) used fraudulent, coercive or dishonest practices;
   46    (B) demonstrated incompetence;
   47    (C) demonstrated untrustworthiness; or
   48    (D) demonstrated financial irresponsibility in the conduct of business
   49  in this state or elsewhere;
   50    (5)  improperly  withheld,  misappropriated or converted any monies or
   51  properties received in the course of business in  this  state  or  else-
   52  where;
   53    (6)  intentionally  misrepresented  the terms of an actual or proposed
   54  insurance contract, life settlement contract or application  for  insur-
   55  ance;
   56    (7) has been convicted of a felony;
       S. 6357--A                         84                         A. 8557--A
    1    (8)  admitted  or  been  found  to have committed any insurance unfair
    2  trade practice or fraud;
    3    (9)  had  an insurance producer license, INSURANCE CONSULTANT LICENSE,
    4  ADJUSTER LICENSE, A TITLE INSURANCE CLOSER LICENSE,  a  life  settlement
    5  broker  license,  or its equivalent, denied, suspended or revoked in any
    6  other state, province, district or territory;
    7    (10) forged another's name to an application  for  insurance  or  life
    8  settlement  contract  or to any document related to an insurance or life
    9  settlement transaction;
   10    (11) improperly used notes or any other reference material to complete
   11  an examination for  an  insurance  license  or  life  settlement  broker
   12  license;
   13    (12)  knowingly  accepted insurance business from an individual who is
   14  not licensed;
   15    (13) failed to comply with an administrative or court order imposing a
   16  child support obligation;
   17    (14) failed to pay state income tax or comply with any  administrative
   18  or court order directing payment of state income tax;
   19    (15) while acting as a public adjuster, the licensee has failed to act
   20  on  behalf and in the best interests of the insured when negotiating for
   21  or effecting the settlement of an insurance claim for  such  insured  or
   22  otherwise acting as a public adjuster, or has failed to make the disclo-
   23  sures  required  by paragraph two of subsection (s) of section two thou-
   24  sand one hundred eight of this article;
   25    (16) while acting as a life settlement broker, failed to  protect  the
   26  privacy  of  the  insured  or  owner  or  other person for whom the life
   27  settlement broker was required to provide protection pursuant to article
   28  seventy-eight of this chapter; or
   29    (17) ceased to meet the requirements for licensure under this chapter.
   30    (b) Before revoking or suspending the license of any insurance produc-
   31  er, TITLE INSURANCE CLOSER, life settlement  broker  or  other  licensee
   32  pursuant  to  the  provisions of this article, the superintendent shall,
   33  except when proceeding pursuant to subsection (f) of this section,  give
   34  notice  to  the  licensee  and  to every sub-licensee and shall hold, or
   35  cause to be held, a hearing not less than ten days after the  giving  of
   36  such notice.
   37    S 9. Subsections (a), (b), (c), and (d) of sections 2112 of the insur-
   38  ance  law, subsection (a) as amended by chapter 540 of the laws of 1996,
   39  subsections (b) and (d) as amended by chapter 687 of the  laws  of  2003
   40  and  subsection  (c)  as amended by chapter 647 of the laws of 1992, are
   41  amended to read as follows:
   42    (a) Every insurer, fraternal benefit  society  or  health  maintenance
   43  organization  doing  business  in this state shall file a certificate of
   44  appointment in such form as the superintendent may prescribe in order to
   45  appoint insurance agents, TITLE INSURANCE  AGENTS,  OR  TITLE  INSURANCE
   46  SOLICITORS  to  represent  such  insurer,  fraternal  benefit society or
   47  health maintenance organization; EXCEPT THAT  A  TITLE  INSURANCE  AGENT
   48  SHALL  FILE A CERTIFICATE OF APPOINTMENT IN SUCH FORM AS THE SUPERINTEN-
   49  DENT MAY PRESCRIBE IN ORDER TO APPOINT A TITLE  INSURANCE  SOLICITOR  TO
   50  ACT ON BEHALF OF SUCH TITLE INSURANCE AGENT.
   51    (b) To appoint a producer, the appointing insurer, OR IN THE CASE OF A
   52  TITLE  INSURANCE  SOLICITOR,  THE  APPOINTING  TITLE  INSURANCE AGENT OR
   53  INSURER, shall file, in a  format  approved  by  the  superintendent,  a
   54  notice  of  appointment  within  fifteen  days  from the date the agency
   55  contract is executed or the first insurance application is submitted.
       S. 6357--A                         85                         A. 8557--A
    1    (c) Certificates of appointment shall be valid until [(i)] (1)  termi-
    2  nated  by the appointing insurer OR TITLE INSURANCE AGENT after a termi-
    3  nation in accordance with the provisions of the agency contract;  [(ii)]
    4  (2)  the  license  is  suspended  or  revoked  by the superintendent; or
    5  [(iii)] (3) the license expires and is not renewed.
    6    (d)  Every  insurer,  fraternal  benefit society or health maintenance
    7  organization or insurance producer or the authorized  representative  of
    8  the  insurer, fraternal benefit society, health maintenance organization
    9  or insurance producer doing business in this state  shall,  upon  termi-
   10  nation  of the certificate of appointment as set forth in subsection (a)
   11  of this section of any insurance agent, TITLE INSURANCE AGENT  OR  TITLE
   12  INSURANCE  SOLICITOR  licensed  in  this  state, or upon termination for
   13  cause for activities as set forth in subsection (a) of section two thou-
   14  sand one hundred ten of this article, of the certificate of appointment,
   15  of employment, of a contract or other  insurance  business  relationship
   16  with  any insurance producer, file with the superintendent within thirty
   17  days a statement, in such form as the superintendent may  prescribe,  of
   18  the facts relative to such termination for cause. The insurer, fraternal
   19  benefit  society, health maintenance organization, insurance producer or
   20  the authorized representative of the insurer, fraternal benefit society,
   21  health maintenance organization or  insurance  producer  shall  provide,
   22  within  fifteen days after notification has been sent to the superinten-
   23  dent, a copy of the statement  filed  with  the  superintendent  to  the
   24  insurance producer at his, or her or its last known address by certified
   25  mail, return receipt requested, postage prepaid or by overnight delivery
   26  using a nationally recognized carrier.  Every statement made pursuant to
   27  this subsection shall be deemed a privileged communication.
   28    S  10.  The  insurance  law is amended by adding a new section 2113 to
   29  read as follows:
   30    S 2113. TITLE INSURANCE AGENT, TITLE INSURANCE  SOLICITOR,  AND  TITLE
   31  INSURANCE  CLOSER;  COMMISSIONS.  (A)  NO INSURER DOING BUSINESS IN THIS
   32  STATE, AND NO AGENT OR  OTHER  REPRESENTATIVE  THEREOF,  SHALL  PAY  ANY
   33  COMMISSION  OR  OTHER  COMPENSATION  TO ANY PERSON, FIRM, ASSOCIATION OR
   34  CORPORATION FOR ACTING AS A TITLE INSURANCE AGENT IN THIS STATE,  EXCEPT
   35  TO A LICENSED TITLE INSURANCE AGENT.
   36    (B)  NO  INSURER  DOING  BUSINESS IN THIS STATE, AND NO AGENT OR OTHER
   37  REPRESENTATIVE THEREOF, SHALL PAY ANY COMPENSATION TO ANY PERSON,  FIRM,
   38  ASSOCIATION  OR  CORPORATION  FOR  ACTING AS A TITLE INSURANCE CLOSER IN
   39  THIS STATE, EXCEPT TO A LICENSED TITLE INSURANCE CLOSER.
   40    (C) NO INSURER DOING BUSINESS IN THIS STATE, AND  NO  AGENT  OR  OTHER
   41  REPRESENTATIVE  THEREOF, SHALL PAY ANY COMPENSATION TO ANY PERSON, FIRM,
   42  ASSOCIATION OR CORPORATION FOR ACTING AS A TITLE INSURANCE SOLICITOR  IN
   43  THIS STATE, EXCEPT TO A LICENSED TITLE INSURANCE SOLICITOR.
   44    (D)  AT  THE  TIME  OF  THE APPLICATION, A TITLE INSURANCE AGENT SHALL
   45  PROVIDE TO EVERY APPLICANT FOR INSURANCE, A WRITTEN GOOD FAITH  ESTIMATE
   46  OF THE PREMIUM ON THE POLICY OR POLICIES TO BE ISSUED AND A BREAKDOWN OF
   47  THE  AMOUNT OF ALL FEES AND SERVICE COSTS, INCLUDING ALL FILING FEES AND
   48  CLOSING COSTS, AND ANY OTHER ANCILLARY OR DISCRETIONARY  CHARGES  TO  BE
   49  INCURRED,  AND  THE AMOUNT OF ANY COMMISSION OR OTHER COMPENSATION TO BE
   50  PAID TO SUCH AGENT BY THE  TITLE  INSURANCE  CORPORATION.  IF  NO  TITLE
   51  INSURANCE AGENT IS UTILIZED, THE TITLE INSURER SHALL PROVIDE THE DISCLO-
   52  SURES.
   53    (E)  FOR  PURPOSES  OF THIS CHAPTER, A TITLE INSURANCE CLOSER SHALL BE
   54  DEEMED TO BE THE APPOINTED REPRESENTATIVE OF THE TITLE INSURANCE  CORPO-
   55  RATION  OR  TITLE  INSURANCE AGENT THAT HAS ENGAGED SUCH TITLE INSURANCE
   56  CLOSER FOR THE CLOSING.
       S. 6357--A                         86                         A. 8557--A
    1    (F) NOTHING IN THIS CHAPTER SHALL BE DEEMED TO OR BE  CONSTRUED  IN  A
    2  MANNER  TO AUTHORIZE OR PERMIT ANY ACTIVITY OR PRACTICE, WITH RESPECT TO
    3  THE BUSINESS OF TITLE INSURANCE, THAT  IS  PROHIBITED  BY  SECTION  FOUR
    4  HUNDRED EIGHTY-FOUR OR FOUR HUNDRED NINETY-FIVE OF THE JUDICIARY LAW, OR
    5  OTHERWISE PROHIBITED BY LAW, INCLUDING THE UNAUTHORIZED PRACTICE OF LAW.
    6    (G)  NO  PERSON OR ENTITY WHO ACTS AS AN AGENT, REPRESENTATIVE, ATTOR-
    7  NEY, OR EMPLOYEE OF THE OWNER,  LESSEE,  OR  MORTGAGEE,  OR  PROSPECTIVE
    8  OWNER, LESSEE, OR MORTGAGEE OF THE REAL PROPERTY OR ANY INTEREST THEREIN
    9  AND  WHO  ALSO  IS  A MEMBER, EMPLOYEE, OR DIRECTOR OF A TITLE INSURANCE
   10  AGENT, OWNS ANY INTEREST IN A TITLE INSURANCE AGENT, OR IS A  SUBSIDIARY
   11  OR  AFFILIATE OF ANY TITLE INSURANCE AGENT, SHALL REFER AN APPLICANT FOR
   12  INSURANCE TO SUCH AGENT, AND NO SUCH TITLE INSURANCE AGENT SHALL  ACCEPT
   13  ANY  SUCH  REFERRAL  OF TITLE INSURANCE BUSINESS, UNLESS THE REFERRAL IS
   14  MADE IN ACCORDANCE WITH SECTION SIX THOUSAND FOUR HUNDRED NINE  OF  THIS
   15  CHAPTER  AND  SUCH  PERSON  OR ENTITY, AT THE TIME OF MAKING A REFERRAL,
   16  PROVIDES, AT A MINIMUM, THE FOLLOWING WRITTEN DISCLOSURE TO  THE  APPLI-
   17  CANT:
   18    (1)  THE  NATURE  OF THE RELATIONSHIP BETWEEN THE PERSON OR ENTITY AND
   19  THE TITLE INSURANCE AGENT;
   20    (2) THAT THE PARTY BEING REFERRED IS NOT REQUIRED TO USE THE  SERVICES
   21  OF THE TITLE INSURANCE AGENT OR THE TITLE INSURANCE CORPORATION TO WHICH
   22  THE PARTY IS BEING REFERRED;
   23    (3) THAT ANY MONEY OR OTHER THING OF VALUE DIRECTLY OR INDIRECTLY PAID
   24  BY  THE  TITLE  INSURANCE  AGENT  OR  TITLE INSURANCE CORPORATION TO THE
   25  PERSON OR ENTITY IS BASED ON THE PERSON OR ENTITY'S  FINANCIAL  INTEREST
   26  IN  THE TITLE INSURANCE AGENT, AND IS NOT RELATED TO THE AMOUNT OF TITLE
   27  INSURANCE BUSINESS THE PERSON OR ENTITY REFERS TO  THE  TITLE  INSURANCE
   28  AGENT;
   29    (4)  THAT  THE  PERSON  OR ENTITY IS NOT REQUIRED TO REFER A SPECIFIED
   30  AMOUNT OF TITLE INSURANCE BUSINESS TO THE TITLE INSURANCE AGENCY; AND
   31    (5) THE AMOUNT OR VALUE OF ANY COMPENSATION OR OTHER  THING  OF  VALUE
   32  THAT  THE  PERSON  OR  ENTITY  EXPECTS TO RECEIVE IN CONNECTION WITH THE
   33  SERVICES TO BE PROVIDED BY THE TITLE INSURANCE AGENT OR THE TITLE INSUR-
   34  ANCE CORPORATION TO WHICH THE PARTY IS BEING REFERRED.
   35    S 11. The section heading of section 2119 of  the  insurance  law,  as
   36  amended  by  chapter  499  of  the  laws  of  2009, is amended and a new
   37  subsection (f) is added to read as follows:
   38    Insurance agents, brokers, consultants, [and] life settlement brokers,
   39  TITLE INSURANCE AGENTS AND TITLE INSURANCE CLOSERS; written contract for
   40  compensation; excess charges prohibited.
   41    (F) NO TITLE INSURANCE AGENT OR TITLE INSURANCE CLOSER MAY RECEIVE ANY
   42  COMPENSATION OR FEE, DIRECT OR INDIRECT, FOR OR ON ACCOUNT  OF  SERVICES
   43  PERFORMED  IN  CONNECTION WITH THE ISSUANCE OF A TITLE INSURANCE POLICY,
   44  UNLESS SUCH COMPENSATION IS: (1) FOR ANCILLARY SERVICES NOT  ENCOMPASSED
   45  IN  THE  RATE  OF  PREMIUM APPROVED BY THE SUPERINTENDENT; AND (2) BASED
   46  UPON A WRITTEN MEMORANDUM SIGNED BY THE PARTY TO BE CHARGED, AND  SPECI-
   47  FYING  OR  CLEARLY DEFINING THE AMOUNT OR EXTENT OF SUCH COMPENSATION. A
   48  COPY OF EVERY SUCH MEMORANDUM SHALL BE RETAINED BY THE LICENSEE FOR  NOT
   49  LESS THAN THREE YEARS AFTER SUCH SERVICES HAVE BEEN FULLY PERFORMED.
   50    S  12. The section heading and subsections (a) and (c) of section 2120
   51  of the insurance law are amended to read as follows:
   52    Fiduciary capacity of insurance agents, TITLE INSURANCE AGENTS,  TITLE
   53  INSURANCE CLOSERS, insurance brokers and reinsurance intermediaries. (a)
   54  Every  insurance  agent,  TITLE INSURANCE AGENT, TITLE INSURANCE CLOSER,
   55  and [every] insurance broker acting as  such  in  this  state  shall  be
   56  responsible  in a fiduciary capacity for all funds received or collected
       S. 6357--A                         87                         A. 8557--A
    1  as insurance agent or insurance  broker,  and  shall  not,  without  the
    2  express consent of his, HER or its principal, mingle any such funds with
    3  his,  HER  or  its own funds or with funds held by him, HER or it in any
    4  other capacity.
    5    (c)  This  section  shall  not require any such INSURANCE agent, TITLE
    6  INSURANCE AGENT, TITLE INSURANCE CLOSER, INSURANCE broker or reinsurance
    7  intermediary to maintain a separate bank deposit for the funds  of  each
    8  such  principal, if and as long as the funds so held for each such prin-
    9  cipal are reasonably ascertainable from the books of account and records
   10  of such agent, broker or reinsurance intermediary, as the case may be.
   11    S 13. The section heading and subsection (a) of section  2122  of  the
   12  insurance law are amended to read as follows:
   13    Advertising  by  insurance  [agents and brokers] PRODUCERS. (a) (1) No
   14  insurance [agent or insurance broker] PRODUCER shall make  or  issue  in
   15  this  state  any  advertisement, sign, pamphlet, circular, card or other
   16  public announcement purporting to make known the financial condition  of
   17  any  insurer,  unless  the  same  shall  conform  to the requirements of
   18  section one thousand three hundred thirteen of this chapter.
   19    (2) No insurance [agent, insurance broker] PRODUCER or  other  person,
   20  shall,  by  any advertisement or public announcement in this state, call
   21  attention to any unauthorized insurer or insurers.
   22    S 14. Subsections (a) and (b) of section 2128 of  the  insurance  law,
   23  subsection (b) as further amended by section 104 of part A of chapter 62
   24  of the laws of 2011, are amended to read as follows:
   25    (a)  Notwithstanding  the  provisions  of  sections two thousand three
   26  hundred twenty-four and four thousand two hundred  twenty-four  of  this
   27  chapter,  no  [insurance  agent, insurance broker, insurance consultant,
   28  excess line broker,  reinsurance  intermediary  or  insurance  adjuster]
   29  LICENSEE  SUBJECT  TO THIS ARTICLE shall receive any commissions or fees
   30  or shares thereof in connection with insurance coverages placed  for  or
   31  insurance  services rendered to the state, its agencies and departments,
   32  public  benefit  corporations,  municipalities  and  other  governmental
   33  subdivisions  in  this  state,  unless  such [insurance agent, insurance
   34  broker, insurance consultant, excess line broker,  reinsurance  interme-
   35  diary  or  insurance adjuster] LICENSEE actually placed insurance cover-
   36  ages on behalf of or rendered insurance services to the state, its agen-
   37  cies and departments, public benefit  corporations,  municipalities  and
   38  other governmental subdivisions in this state.
   39    (b)  The  superintendent  shall,  by  regulation,  require  [insurance
   40  agents, insurance brokers, insurance consultants, excess  line  brokers,
   41  reinsurance intermediaries and insurance adjusters] LICENSEES SUBJECT TO
   42  THIS ARTICLE to file disclosure statements with the department of finan-
   43  cial  services  and  the  most  senior official of the governmental unit
   44  involved, with respect to any insurance coverages placed for  or  insur-
   45  ance  services  rendered  to  the  state,  its agencies and departments,
   46  public  benefit  corporations,  municipalities  and  other  governmental
   47  subdivisions in this state, EXCEPT THAT NEITHER A TITLE INSURANCE CORPO-
   48  RATION  NOR  A TITLE INSURANCE AGENT SHALL BE REQUIRED TO FILE A DISCLO-
   49  SURE STATEMENT IF AN INDUSTRIAL DEVELOPMENT AGENCY, STATE  OF  NEW  YORK
   50  MORTGAGE  AGENCY OR ITS SUCCESSOR, OR ANY SIMILAR TYPE OF ENTITY, IS THE
   51  NAMED INSURED UNDER THE POLICY AND IS A MORTGAGEE WITH  RESPECT  TO  THE
   52  PROPERTY INSURED.
   53    S 15. Subsections (a) and (b) of section 2132 of the insurance law, as
   54  amended  by  chapter  499  of  the  laws of 2009, are amended to read as
   55  follows:
       S. 6357--A                         88                         A. 8557--A
    1    (a) This section shall apply  to  resident  and  non-resident  persons
    2  licensed pursuant to this article with respect to:
    3    (1)  life insurance, annuity contracts, variable annuity contracts and
    4  variable life insurance;
    5    (2) sickness, accident and health insurance;
    6    (3) all lines of property and casualty insurance; [and]
    7    (4) life settlements[.]; AND
    8    (5) TITLE INSURANCE.
    9    (b) This section shall not apply to:
   10    (1) those persons holding licenses for which  an  examination  is  not
   11  required by the laws of this state;
   12    (2) any limited licensees or any other licensees as the superintendent
   13  may  exempt  subject  to  any  continuing  education requirements deemed
   14  appropriate by the superintendent; [or]
   15    (3) for purposes of the continuing  education  requirements  for  life
   16  settlements,  an insurance producer with a life line of authority who is
   17  acting as a life settlement broker pursuant to section two thousand  one
   18  hundred thirty-seven of this article; OR
   19    (4)  FOR  PURPOSES  OF  A  TITLE  INSURANCE AGENT LICENSE, AN ATTORNEY
   20  LICENSED TO PRACTICE LAW IN THIS STATE.
   21    S 16. The insurance law is amended by adding a  new  section  2139  to
   22  read as follows:
   23    S  2139. FINGERPRINTING.  (A) (1) EXCEPT AS PROVIDED IN SUBSECTION (B)
   24  OF THIS SECTION, THE SUPERINTENDENT MAY REQUIRE ANY INDIVIDUAL NAMED  IN
   25  AN  APPLICATION  FOR  A  LICENSE  UNDER SECTION TWO THOUSAND ONE HUNDRED
   26  FORTY, TWO THOUSAND ONE HUNDRED FORTY-ONE, OR TWO THOUSAND  ONE  HUNDRED
   27  FORTY-TWO  OF THIS ARTICLE TO SUBMIT A SET OF FINGERPRINTS. SUCH FINGER-
   28  PRINTS SHALL BE SUBMITTED TO THE DIVISION OF CRIMINAL  JUSTICE  SERVICES
   29  FOR  A  STATE CRIMINAL HISTORY RECORD CHECK, AND MAY BE SUBMITTED TO THE
   30  FEDERAL BUREAU OF INVESTIGATION FOR A NATIONAL CRIMINAL  HISTORY  RECORD
   31  CHECK.  ALL  SUCH  CRIMINAL HISTORY RECORDS MADE AVAILABLE TO THE SUPER-
   32  INTENDENT PURSUANT TO THIS SECTION SHALL BE CONFIDENTIAL PURSUANT TO THE
   33  APPLICABLE FEDERAL AND STATE LAWS, RULES AND REGULATIONS, AND SHALL  NOT
   34  BE  PUBLISHED  OR  IN ANY WAY DISCLOSED TO PERSONS OTHER THAN THE SUPER-
   35  INTENDENT, UNLESS OTHERWISE AUTHORIZED BY LAW.
   36    (2) THE SUPERINTENDENT SHALL INFORM SUCH APPLICANT THAT HE OR SHE  MAY
   37  OBTAIN  A  COPY  OF HIS OR HER CRIMINAL HISTORY RECORD MAINTAINED BY THE
   38  DIVISION OF CRIMINAL JUSTICE SERVICES, IF ANY,  AND  MAY  CHALLENGE  THE
   39  COMPLETENESS  OR  ACCURACY  OF THE INFORMATION CONTAINED IN SUCH RECORD,
   40  PURSUANT TO REGULATIONS AND PROCEDURES ESTABLISHED BY  THE  DIVISION  OF
   41  CRIMINAL JUSTICE SERVICES.
   42    (3) ALL DETERMINATIONS TO GRANT OR DENY CLEARANCE FOR LICENSURE PURSU-
   43  ANT  TO  THIS SECTION SHALL BE IN ACCORDANCE WITH SUBDIVISION SIXTEEN OF
   44  SECTION TWO HUNDRED NINETY-SIX OF THE EXECUTIVE LAW AND ARTICLE  TWENTY-
   45  THREE-A  OF THE CORRECTION LAW. WHEN THE SUPERINTENDENT DENIES AN APPLI-
   46  CATION, WRITTEN NOTICE OF SUCH  DETERMINATION  SHALL  BE  GIVEN  TO  THE
   47  PROSPECTIVE  APPLICANT  WHO SHALL BE AFFORDED NOTICE AND THE RIGHT TO BE
   48  HEARD AND OFFER PROOF IN OPPOSITION TO SUCH DETERMINATION.
   49    (B) THE SUPERINTENDENT SHALL WAIVE THE FINGERPRINTING REQUIREMENT  FOR
   50  A  NONRESIDENT  PRODUCER  LICENSE  APPLICANT  AS PROVIDED IN SECTION TWO
   51  THOUSAND ONE HUNDRED THIRTY-SIX OF THIS ARTICLE.
   52    S 17. The insurance law is amended by adding a  new  section  2140  to
   53  read as follows:
   54    S 2140. TITLE INSURANCE AGENTS; LICENSING.  (A) THE SUPERINTENDENT MAY
   55  ISSUE A LICENSE TO ANY PERSON, FIRM, ASSOCIATION OR CORPORATION THAT HAS
   56  COMPLIED WITH THE REQUIREMENTS OF THIS CHAPTER, AUTHORIZING THE LICENSEE
       S. 6357--A                         89                         A. 8557--A
    1  TO  ACT  AS  A  TITLE  INSURANCE AGENT OF ANY AUTHORIZED TITLE INSURANCE
    2  CORPORATION, PROVIDED  THAT  SUCH  TITLE  INSURANCE  AGENT  DEMONSTRATES
    3  FINANCIAL  ACCOUNTABILITY  AS  EVIDENCED  BY  A  BOND OR OTHER METHOD OF
    4  FINANCIAL  ACCOUNTABILITY  IN  AN  AMOUNT  NOT  LESS THAN FIFTY THOUSAND
    5  DOLLARS.
    6    (B) ANY SUCH LICENSE ISSUED TO A FIRM OR ASSOCIATION  SHALL  AUTHORIZE
    7  ONLY THE MEMBERS THEREOF, NAMED IN SUCH LICENSE AS SUB-LICENSEES, TO ACT
    8  INDIVIDUALLY  AS TITLE INSURANCE AGENTS THEREUNDER, AND ANY SUCH LICENSE
    9  ISSUED TO A CORPORATION SHALL AUTHORIZE ONLY THE OFFICERS AND  DIRECTORS
   10  THEREOF,  NAMED IN SUCH LICENSE AS SUB-LICENSEES, TO ACT INDIVIDUALLY AS
   11  TITLE INSURANCE AGENTS THEREUNDER. EVERY SUB-LICENSEE  ACTING  AS  TITLE
   12  INSURANCE AGENT PURSUANT TO SUCH A LICENSE SHALL BE AUTHORIZED SO TO ACT
   13  ONLY  IN  THE NAME OF THE LICENSEE. IN THE CASE OF A LICENSE ISSUED TO A
   14  TITLE INSURANCE AGENT, AT LEAST ONE DESIGNATED SUB-LICENSEE MUST HAVE  A
   15  FINANCIAL OR OTHER BENEFICIAL INTEREST IN THE LICENSEE.
   16    (C)  EVERY  INDIVIDUAL  APPLICANT FOR A LICENSE UNDER THIS SECTION AND
   17  EVERY PROPOSED LICENSEE SHALL BE EIGHTEEN YEARS OF AGE OR OLDER  AT  THE
   18  TIME OF THE ISSUANCE OF SUCH LICENSE.
   19    (D)  BEFORE  ANY  ORIGINAL  TITLE INSURANCE AGENT'S LICENSE IS ISSUED,
   20  THERE SHALL BE ON FILE IN THE OFFICE OF THE SUPERINTENDENT  AN  APPLICA-
   21  TION  BY  THE PROSPECTIVE LICENSEE IN SUCH FORM OR FORMS AND SUPPLEMENTS
   22  THERETO, ALONG WITH A FEE IN THE AMOUNT OF FORTY DOLLARS FOR  EACH  YEAR
   23  OR  FRACTION OF A YEAR IN WHICH THE LICENSE SHALL BE VALID, AND CONTAIN-
   24  ING INFORMATION THE SUPERINTENDENT PRESCRIBES.
   25    (E) THE SUPERINTENDENT SHALL, IN ORDER TO DETERMINE THE COMPETENCY  OF
   26  EVERY  INDIVIDUAL  APPLICANT  AND OF EVERY PROPOSED SUB-LICENSEE FOR THE
   27  TITLE INSURANCE AGENT LICENSE, REQUIRE SUCH INDIVIDUAL TO  SUBMIT  TO  A
   28  PERSONAL WRITTEN EXAMINATION AND TO PASS THE SAME TO THE SATISFACTION OF
   29  THE  SUPERINTENDENT.  THE  EXAMINATION  SHALL  BE HELD AT SUCH TIMES AND
   30  PLACES AS THE SUPERINTENDENT SHALL FROM TIME TO  TIME  DETERMINE.  EVERY
   31  INDIVIDUAL  APPLYING  TO TAKE ANY WRITTEN EXAMINATION SHALL, AT THE TIME
   32  OF APPLYING THEREFOR, PAY TO THE SUPERINTENDENT OR, AT THE DISCRETION OF
   33  THE SUPERINTENDENT, DIRECTLY TO ANY ORGANIZATION THAT IS UNDER  CONTRACT
   34  TO PROVIDE EXAMINATION SERVICES, AN EXAMINATION FEE OF AN AMOUNT THAT IS
   35  THE  ACTUAL DOCUMENTED ADMINISTRATIVE COST OF CONDUCTING SAID QUALIFYING
   36  EXAMINATION AS CERTIFIED BY THE SUPERINTENDENT FROM  TIME  TO  TIME.  AN
   37  EXAMINATION  FEE  REPRESENTS  AN ADMINISTRATIVE EXPENSE AND SHALL NOT BE
   38  REFUNDABLE. THE SUPERINTENDENT MAY ACCEPT, IN LIEU OF ANY SUCH  EXAMINA-
   39  TION,  THE  RESULT  OF  ANY  PREVIOUS  WRITTEN EXAMINATION, GIVEN BY THE
   40  SUPERINTENDENT, WHICH IN THE SUPERINTENDENT'S JUDGMENT, IS EQUIVALENT TO
   41  THE EXAMINATION FOR WHICH IT IS SUBSTITUTED.
   42    (F) EVERY INDIVIDUAL SEEKING TO QUALIFY  TO  OBTAIN  A  LICENSE  UNDER
   43  SUBSECTION  (B)  OF  THIS  SECTION SHALL BE REQUIRED TO PASS THE TYPE OR
   44  TYPES OF EXAMINATION PRESCRIBED BY  THE  SUPERINTENDENT.  AN  INDIVIDUAL
   45  SHALL  NOT  BE DEEMED QUALIFIED TO TAKE THE EXAMINATION UNLESS THE INDI-
   46  VIDUAL HAS SUCCESSFULLY COMPLETED A COURSE OR COURSES,  APPROVED  AS  TO
   47  METHOD  AND  CONTENT BY THE SUPERINTENDENT, COVERING THE TITLE INSURANCE
   48  BUSINESS AND REQUIRING NOT LESS THAN TWENTY HOURS OF CLASSROOM WORK,  IN
   49  INSTITUTIONS  OF  LEARNING MEETING THE STANDARDS PRESCRIBED BY PARAGRAPH
   50  ONE OF SUBSECTION (A) OF SECTION TWO THOUSAND ONE HUNDRED FOUR  OF  THIS
   51  ARTICLE.
   52    (G)  NO  SUCH  WRITTEN EXAMINATION OR PRE-LICENSING EDUCATION SHALL BE
   53  REQUIRED OF ANY:
   54    (1) APPLICANT WHO FILES AN APPLICATION UNDER THIS SECTION  WITHIN  ONE
   55  YEAR AFTER THE EFFECTIVE DATE OF THIS SUBSECTION AND WHO DEMONSTRATES TO
   56  THE  SATISFACTION  OF  THE  SUPERINTENDENT  THAT  SUCH  APPLICANT OR ITS
       S. 6357--A                         90                         A. 8557--A
    1  PROSPECTIVE  SUB-LICENSEE  HAS,  WITHOUT  INTERRUPTION,  REGULARLY   AND
    2  CONTINUOUSLY  PERFORMED  THE  FUNCTIONS OF A TITLE INSURANCE AGENT FOR A
    3  PERIOD OF AT LEAST FIVE YEARS IMMEDIATELY PRECEDING THE FILING  OF  SUCH
    4  APPLICATION AND IS COMPETENT AND TRUSTWORTHY TO ACT AS A TITLE INSURANCE
    5  AGENT;
    6    (2)  APPLICANT  WHO  HAS  PASSED  THE WRITTEN EXAMINATION GIVEN BY THE
    7  SUPERINTENDENT FOR A TITLE INSURANCE AGENT'S LICENSE AND WAS LICENSED AS
    8  SUCH, OR OF AN APPLICANT WHO WAS LICENSED AS A TITLE INSURANCE AGENT BUT
    9  DID NOT PASS SUCH AN EXAMINATION, PROVIDED THE APPLICANT APPLIES  WITHIN
   10  TWO  YEARS FOLLOWING THE DATE OF TERMINATION OF THE APPLICANT'S LICENSE;
   11  OR
   12    (3) APPLICANT SEEKING TO OBTAIN A LICENSE AS A TITLE INSURANCE  AGENT,
   13  WHEN SUCH APPLICANT IS A LICENSED ATTORNEY-AT-LAW IN THIS STATE.
   14    (H)  THE  SUPERINTENDENT  MAY  REFUSE TO ISSUE TO AN APPLICANT A TITLE
   15  INSURANCE AGENT'S LICENSE IF,  IN  THE  SUPERINTENDENT'S  JUDGMENT,  THE
   16  PROPOSED LICENSEE OR ANY SUB-LICENSEE:
   17    (1) IS NOT TRUSTWORTHY AND COMPETENT TO ACT AS SUCH AGENT;
   18    (2)  HAS  GIVEN  CAUSE  FOR  THE  REVOCATION  OR  SUSPENSION OF SUCH A
   19  LICENSE; OR
   20    (3) HAS FAILED TO COMPLY WITH ANY PREREQUISITE  FOR  THE  ISSUANCE  OF
   21  SUCH LICENSE.
   22    (I)  (1)  EVERY  LICENSE  ISSUED  TO  A  BUSINESS  ENTITY  PURSUANT TO
   23  SUBSECTION (A) OF  THIS  SECTION  SHALL  EXPIRE  ON  JUNE  THIRTIETH  OF
   24  ODD-NUMBERED YEARS.
   25    (2) EVERY LICENSE ISSUED TO AN INDIVIDUAL BORN IN AN ODD-NUMBERED YEAR
   26  SHALL  EXPIRE  ON  THE  INDIVIDUAL'S BIRTHDAY IN EACH ODD-NUMBERED YEAR.
   27  LICENSES ISSUED TO INDIVIDUALS BORN IN EVEN-NUMBERED YEARS SHALL  EXPIRE
   28  ON THE INDIVIDUAL'S BIRTHDAY IN EACH EVEN-NUMBERED YEAR.
   29    (3) EVERY LICENSE MAY BE RENEWED FOR THE ENSUING PERIOD OF TWENTY-FOUR
   30  MONTHS  UPON  THE  FILING  OF  AN  APPLICATION  IN  CONFORMITY WITH THIS
   31  SUBSECTION.
   32    (4) THE LICENSE MAY BE ISSUED FOR ALL OF SUCH TWO YEAR TERMS, OR  UPON
   33  APPLICATION MADE DURING ANY SUCH TERM, FOR THE BALANCE THEREOF.
   34    (5)  ANY  LICENSE  SHALL  BE  CONSIDERED  IN  GOOD STANDING WITHIN THE
   35  LICENSE TERM UNLESS:
   36    (A) REVOKED OR SUSPENDED BY THE SUPERINTENDENT PURSUANT TO THIS  ARTI-
   37  CLE; OR
   38    (B)  IF AT THE EXPIRATION DATE OF THE LICENSE TERM, THE LICENSEE FAILS
   39  TO FILE A RENEWAL APPLICATION, PROVIDED THE LICENSE WAS IN GOOD STANDING
   40  DURING THE TERM.
   41    (6) BEFORE THE RENEWAL OF ANY TITLE INSURANCE AGENT'S LICENSE SHALL BE
   42  ISSUED, THE LICENSEE SHALL HAVE:
   43    (A) FILED A COMPLETED RENEWAL APPLICATION IN SUCH FORM OR  FORMS,  AND
   44  SUPPLEMENTS  THERETO, AND CONTAINING SUCH INFORMATION AS THE SUPERINTEN-
   45  DENT MAY PRESCRIBE; AND
   46    (B) PAID SUCH FEES AS ARE PRESCRIBED IN THIS SECTION.
   47    (7) IF AN APPLICATION FOR A RENEWAL LICENSE SHALL HAVE BEEN FILED WITH
   48  THE SUPERINTENDENT BEFORE THE  EXPIRATION  OF  SUCH  LICENSE,  THEN  THE
   49  LICENSE  SOUGHT  TO  BE  RENEWED SHALL CONTINUE IN FULL FORCE AND EFFECT
   50  EITHER UNTIL THE ISSUANCE BY THE SUPERINTENDENT OF THE  RENEWAL  LICENSE
   51  APPLIED  FOR  OR  UNTIL  FIVE  DAYS  AFTER THE SUPERINTENDENT SHALL HAVE
   52  REFUSED TO ISSUE SUCH RENEWAL LICENSE AND SHALL  HAVE  GIVEN  NOTICE  OF
   53  SUCH  REFUSAL TO THE APPLICANT AND TO EACH PROPOSED SUB-LICENSEE. BEFORE
   54  REFUSING TO RENEW ANY SUCH LICENSE, EXCEPT ON THE GROUND OF  FAILURE  TO
   55  PASS  A  WRITTEN EXAMINATION, THE SUPERINTENDENT SHALL NOTIFY THE APPLI-
       S. 6357--A                         91                         A. 8557--A
    1  CANT OF THE SUPERINTENDENT'S INTENTION TO  DO  SO  AND  SHALL  GIVE  THE
    2  APPLICANT A HEARING.
    3    (8)  THE  SUPERINTENDENT  MAY,  IN ISSUING A RENEWAL LICENSE, DISPENSE
    4  WITH THE REQUIREMENTS OF A VERIFIED APPLICATION BY ANY INDIVIDUAL LICEN-
    5  SEE OR SUB-LICENSEE WHO, BY REASON OF  BEING  ENGAGED  IN  ANY  MILITARY
    6  SERVICE  FOR  THE  UNITED STATES, IS UNABLE TO MAKE PERSONAL APPLICATION
    7  FOR SUCH RENEWAL LICENSE, UPON THE FILING OF AN APPLICATION ON BEHALF OF
    8  SUCH INDIVIDUAL, IN SUCH FORM AS THE SUPERINTENDENT SHALL PRESCRIBE,  BY
    9  SOME  PERSON OR PERSONS WHO IN HIS OR HER JUDGMENT HAVE KNOWLEDGE OF THE
   10  FACTS AND WHO MAKE AFFIDAVIT  SHOWING  SUCH  MILITARY  SERVICE  AND  THE
   11  INABILITY OF SUCH TITLE INSURANCE AGENT TO MAKE PERSONAL APPLICATION.
   12    (9)  AN  INDIVIDUAL  LICENSEE  OR SUB-LICENSEE WHO IS UNABLE TO COMPLY
   13  WITH LICENSE RENEWAL PROCEDURES DUE TO OTHER EXTENUATING  CIRCUMSTANCES,
   14  SUCH  AS  A  LONG-TERM  MEDICAL DISABILITY, MAY REQUEST A WAIVER OF SUCH
   15  PROCEDURES, IN SUCH FORM AS  THE  SUPERINTENDENT  SHALL  PRESCRIBE.  THE
   16  LICENSEE  OR  SUB-LICENSEE  MAY ALSO REQUEST A WAIVER OF ANY EXAMINATION
   17  REQUIREMENT OR ANY OTHER FINE OR SANCTION IMPOSED FOR FAILURE TO  COMPLY
   18  WITH RENEWAL PROCEDURES.
   19    (10)  AN  APPLICATION FOR THE RENEWAL OF A LICENSE SHALL BE FILED WITH
   20  THE SUPERINTENDENT NOT LESS THAN  SIXTY  DAYS  PRIOR  TO  THE  DATE  THE
   21  LICENSE  EXPIRES  OR  THE APPLICANT SHALL BE SUBJECT TO A FURTHER FEE OF
   22  TEN DOLLARS FOR LATE FILING.
   23    (11) NO LICENSE FEE SHALL BE REQUIRED OF ANY PERSON WHO  SERVED  AS  A
   24  MEMBER  OF  THE  ARMED  FORCES OF THE UNITED STATES AT ANY TIME, AND WHO
   25  SHALL  HAVE  BEEN  DISCHARGED  THEREFROM  UNDER  CONDITIONS  OTHER  THAN
   26  DISHONORABLE,  IN  A  CURRENT  LICENSING PERIOD FOR THE DURATION OF SUCH
   27  PERIOD.
   28    (12) EXCEPT WHERE A CORPORATION, ASSOCIATION OR  FIRM  LICENSED  AS  A
   29  TITLE  INSURANCE  AGENT IS APPLYING TO ADD A SUB-LICENSEE OR THE DATE OF
   30  THE EXPIRATION OF THE LICENSE IS CHANGED, THERE SHALL BE NO FEE REQUIRED
   31  FOR THE ISSUANCE OF AN AMENDED LICENSE.
   32    (13) THE SUPERINTENDENT MAY ISSUE A REPLACEMENT LICENSE FOR A CURRENT-
   33  LY IN-FORCE LICENSE  THAT  HAS  BEEN  LOST  OR  DESTROYED.  BEFORE  SUCH
   34  REPLACEMENT  LICENSE  SHALL  BE  ISSUED,  THERE  SHALL BE ON FILE IN THE
   35  OFFICE OF THE SUPERINTENDENT A WRITTEN APPLICATION FOR SUCH  REPLACEMENT
   36  LICENSE,  AFFIRMING  UNDER  PENALTY OF PERJURY THAT THE ORIGINAL LICENSE
   37  HAS BEEN LOST OR DESTROYED, TOGETHER WITH A FEE OF FIFTEEN DOLLARS.
   38    (J) THE SUPERINTENDENT MAY  REFUSE  TO  ISSUE  A  LICENSE  OR  RENEWAL
   39  LICENSE,  AS  THE  CASE  MAY  BE, TO ANY APPLICANT IF THE SUPERINTENDENT
   40  FINDS THAT SUCH APPLICANT HAS BEEN OR WILL BE RECEIVING ANY  BENEFIT  OR
   41  ADVANTAGE IN VIOLATION OF SECTION SIX THOUSAND FOUR HUNDRED NINE OF THIS
   42  CHAPTER,  OR  IF  THE SUPERINTENDENT FINDS THAT MORE THAN TEN PERCENT OF
   43  THE AGGREGATE NET COMMISSIONS OR OTHER COMPENSATION RECEIVED DURING  THE
   44  TERM  OF THE EXISTING LICENSE, IF ANY, OR TO BE RECEIVED DURING THE TERM
   45  OF THE LICENSE APPLIED FOR, BY THE APPLICANT, RESULTED  OR  WILL  RESULT
   46  FROM INSURANCE ON THE PROPERTY AND RISKS SET FORTH IN SUBPARAGRAPHS (A),
   47  (B)  AND  (C) OF PARAGRAPH ONE OF SUBSECTION (I) OF SECTION TWO THOUSAND
   48  ONE HUNDRED THREE OF THIS ARTICLE, EXCEPT THAT IN  DETERMINING  THE  TEN
   49  PERCENT,  THE  AGGREGATE NET COMMISSIONS OR OTHER COMPENSATION SHALL NOT
   50  INCLUDE COMMISSIONS OR  OTHER  COMPENSATION  FROM  MORTGAGE  REFINANCING
   51  TRANSACTIONS  INVOLVING REAL PROPERTY USED PREDOMINANTLY FOR RESIDENTIAL
   52  PURPOSES AND WHICH CONSISTS OF NOT MORE THAN FOUR DWELLING UNITS,  OTHER
   53  THAN  HOTELS  AND  MOTELS.  EVERY LICENSEE SUBJECT TO THIS CHAPTER SHALL
   54  CERTIFY AT THE TIME OF LICENSING OR UPON RENEWAL TO  THE  SUPERINTENDENT
   55  THAT SUCH LICENSEE IS IN COMPLIANCE WITH THIS SUBSECTION.
       S. 6357--A                         92                         A. 8557--A
    1    S  18.  The  insurance  law is amended by adding a new section 2141 to
    2  read as follows:
    3    S 2141. TITLE INSURANCE CLOSERS; LICENSING. (A) THE SUPERINTENDENT MAY
    4  ISSUE A LICENSE TO ANY INDIVIDUAL WHO HAS COMPLIED WITH THE REQUIREMENTS
    5  OF  THIS  CHAPTER,  AUTHORIZING THE LICENSEE TO ACT AS A TITLE INSURANCE
    6  CLOSER FOR ANY AUTHORIZED TITLE INSURANCE CORPORATION OR TITLE INSURANCE
    7  AGENT.
    8    (B) EVERY INDIVIDUAL APPLICANT FOR A LICENSE UNDER THIS SECTION  SHALL
    9  BE  EIGHTEEN  YEARS  OF AGE OR OLDER AT THE TIME OF THE ISSUANCE OF SUCH
   10  LICENSE.
   11    (C) BEFORE ANY ORIGINAL TITLE INSURANCE CLOSER'S  LICENSE  IS  ISSUED,
   12  THERE  SHALL  BE ON FILE IN THE OFFICE OF THE SUPERINTENDENT AN APPLICA-
   13  TION BY THE PROSPECTIVE LICENSEE IN SUCH FORM OR FORMS  AND  SUPPLEMENTS
   14  THERETO,  ALONG  WITH A FEE IN THE AMOUNT OF FORTY DOLLARS FOR EACH YEAR
   15  OR FRACTION OF A YEAR IN WHICH THE LICENSE SHALL BE VALID, AND  CONTAIN-
   16  ING INFORMATION THE SUPERINTENDENT PRESCRIBES.
   17    (D)  THE SUPERINTENDENT SHALL, IN ORDER TO DETERMINE THE COMPETENCY OF
   18  EVERY INDIVIDUAL APPLICANT  FOR  THE  TITLE  INSURANCE  CLOSER  LICENSE,
   19  REQUIRE  SUCH INDIVIDUAL TO SUBMIT TO A PERSONAL WRITTEN EXAMINATION AND
   20  TO PASS THE SAME TO THE SATISFACTION OF THE SUPERINTENDENT. THE EXAMINA-
   21  TION SHALL BE HELD AT SUCH TIMES AND PLACES AS THE SUPERINTENDENT  SHALL
   22  FROM TIME TO TIME DETERMINE. EVERY INDIVIDUAL APPLYING TO TAKE ANY WRIT-
   23  TEN  EXAMINATION  SHALL,  AT  THE  TIME OF APPLYING THEREFOR, PAY TO THE
   24  SUPERINTENDENT OR, AT THE DISCRETION OF THE SUPERINTENDENT, DIRECTLY  TO
   25  ANY ORGANIZATION THAT IS UNDER CONTRACT TO PROVIDE EXAMINATION SERVICES,
   26  AN  EXAMINATION  FEE OF AN AMOUNT THAT IS THE ACTUAL DOCUMENTED ADMINIS-
   27  TRATIVE COST OF CONDUCTING SAID QUALIFYING EXAMINATION AS  CERTIFIED  BY
   28  THE  SUPERINTENDENT  FROM TIME TO TIME. AN EXAMINATION FEE REPRESENTS AN
   29  ADMINISTRATIVE EXPENSE AND SHALL NOT BE REFUNDABLE.  THE  SUPERINTENDENT
   30  MAY  ACCEPT, IN LIEU OF ANY SUCH EXAMINATION, THE RESULT OF ANY PREVIOUS
   31  WRITTEN EXAMINATION, GIVEN BY THE SUPERINTENDENT, WHICH  IN  THE  SUPER-
   32  INTENDENT'S  JUDGMENT,  IS EQUIVALENT TO THE EXAMINATION FOR WHICH IT IS
   33  SUBSTITUTED.
   34    (E) EVERY INDIVIDUAL SEEKING TO QUALIFY  TO  OBTAIN  A  LICENSE  UNDER
   35  SUBSECTION  (B)  OF  THIS  SECTION SHALL BE REQUIRED TO PASS THE TYPE OR
   36  TYPES OF EXAMINATION PRESCRIBED BY  THE  SUPERINTENDENT.  AN  INDIVIDUAL
   37  SHALL  NOT  BE DEEMED QUALIFIED TO TAKE THE EXAMINATION UNLESS THE INDI-
   38  VIDUAL HAS SUCCESSFULLY COMPLETED A COURSE OR COURSES,  APPROVED  AS  TO
   39  METHOD  AND  CONTENT BY THE SUPERINTENDENT, COVERING THE TITLE INSURANCE
   40  BUSINESS AND REQUIRING NOT LESS THAN TWENTY HOURS OF CLASSROOM WORK,  IN
   41  INSTITUTIONS  OF  LEARNING MEETING THE STANDARDS PRESCRIBED BY PARAGRAPH
   42  ONE OF SUBSECTION (A) OF SECTION TWO THOUSAND ONE HUNDRED FOUR  OF  THIS
   43  ARTICLE.
   44    (F)  NO  SUCH  WRITTEN EXAMINATION OR PRE-LICENSING EDUCATION SHALL BE
   45  REQUIRED OF ANY:
   46    (1) INDIVIDUAL WHO FILES AN APPLICATION UNDER THIS SECTION WITHIN  ONE
   47  YEAR AFTER THE EFFECTIVE DATE OF THIS SUBSECTION AND WHO DEMONSTRATES TO
   48  THE  SATISFACTION OF THE SUPERINTENDENT THAT SUCH APPLICANT HAS, WITHOUT
   49  INTERRUPTION, REGULARLY AND CONTINUOUSLY PERFORMED THE  FUNCTIONS  OF  A
   50  TITLE  INSURANCE  CLOSER FOR A PERIOD OF AT LEAST FIVE YEARS IMMEDIATELY
   51  PRECEDING THE FILING OF SUCH APPLICATION AND IS COMPETENT AND  TRUSTWOR-
   52  THY TO ACT AS A TITLE INSURANCE CLOSER;
   53    (2)  APPLICANT  WHO  HAS  PASSED  THE WRITTEN EXAMINATION GIVEN BY THE
   54  SUPERINTENDENT FOR A TITLE INSURANCE CLOSER'S LICENSE AND  WAS  LICENSED
   55  AS SUCH, OR OF AN APPLICANT WHO WAS LICENSED AS A TITLE INSURANCE CLOSER
   56  BUT  DID  NOT  PASS  SUCH AN EXAMINATION, PROVIDED THE APPLICANT APPLIES
       S. 6357--A                         93                         A. 8557--A
    1  WITHIN TWO YEARS FOLLOWING THE DATE OF TERMINATION  OF  THE  APPLICANT'S
    2  LICENSE; OR
    3    (3) APPLICANT SEEKING TO OBTAIN A LICENSE AS A TITLE INSURANCE CLOSER,
    4  WHEN SUCH APPLICANT IS A LICENSED ATTORNEY-AT-LAW IN THIS STATE.
    5    (G)  THE  SUPERINTENDENT  MAY  REFUSE TO ISSUE TO AN APPLICANT A TITLE
    6  INSURANCE CLOSER'S LICENSE IF, IN  THE  SUPERINTENDENT'S  JUDGMENT,  THE
    7  PROPOSED LICENSEE:
    8    (1) IS NOT TRUSTWORTHY AND COMPETENT TO ACT AS SUCH CLOSER;
    9    (2)  HAS  GIVEN  CAUSE  FOR  THE  REVOCATION  OR  SUSPENSION OF SUCH A
   10  LICENSE; OR
   11    (3) HAS FAILED TO COMPLY WITH ANY PREREQUISITE  FOR  THE  ISSUANCE  OF
   12  SUCH LICENSE.
   13    (H)  (1) EVERY LICENSE ISSUED TO AN INDIVIDUAL BORN IN AN ODD-NUMBERED
   14  YEAR SHALL EXPIRE ON THE  INDIVIDUAL'S  BIRTHDAY  IN  EACH  ODD-NUMBERED
   15  YEAR.  LICENSES  ISSUED TO INDIVIDUALS BORN IN EVEN-NUMBERED YEARS SHALL
   16  EXPIRE ON THE INDIVIDUAL'S BIRTHDAY IN EACH EVEN-NUMBERED YEAR.    EVERY
   17  SUCH LICENSE MAY BE RENEWED FOR THE ENSUING PERIOD OF TWENTY-FOUR MONTHS
   18  UPON THE FILING OF AN APPLICATION IN CONFORMITY WITH THIS SUBSECTION.
   19    (2)  THE LICENSE MAY BE ISSUED FOR ALL OF SUCH TWO YEAR TERMS, OR UPON
   20  APPLICATION MADE DURING ANY SUCH TERM, FOR THE BALANCE THEREOF.
   21    (3) ANY LICENSE SHALL  BE  CONSIDERED  IN  GOOD  STANDING  WITHIN  THE
   22  LICENSE TERM UNLESS:
   23    (A)  REVOKED OR SUSPENDED BY THE SUPERINTENDENT PURSUANT TO THIS ARTI-
   24  CLE; OR
   25    (B) IF AT THE EXPIRATION DATE OF THE LICENSE TERM, THE LICENSEE  FAILS
   26  TO FILE A RENEWAL APPLICATION, PROVIDED THE LICENSE WAS IN GOOD STANDING
   27  DURING THE TERM.
   28    (4)  BEFORE  THE RENEWAL OF ANY TITLE INSURANCE CLOSER'S LICENSE SHALL
   29  BE ISSUED, THE LICENSEE SHALL HAVE:
   30    (A) FILED A COMPLETED RENEWAL APPLICATION IN SUCH FORM OR  FORMS,  AND
   31  SUPPLEMENTS  THERETO, AND CONTAINING SUCH INFORMATION AS THE SUPERINTEN-
   32  DENT MAY PRESCRIBE; AND
   33    (B) PAID SUCH FEES AS ARE PRESCRIBED IN THIS SECTION.
   34    (5) IF AN APPLICATION FOR A RENEWAL LICENSE SHALL HAVE BEEN FILED WITH
   35  THE SUPERINTENDENT BEFORE THE  EXPIRATION  OF  SUCH  LICENSE,  THEN  THE
   36  LICENSE  SOUGHT  TO  BE  RENEWED SHALL CONTINUE IN FULL FORCE AND EFFECT
   37  EITHER UNTIL THE ISSUANCE BY THE SUPERINTENDENT OF THE  RENEWAL  LICENSE
   38  APPLIED  FOR  OR  UNTIL  FIVE  DAYS  AFTER THE SUPERINTENDENT SHALL HAVE
   39  REFUSED TO ISSUE SUCH RENEWAL LICENSE AND SHALL  HAVE  GIVEN  NOTICE  OF
   40  SUCH  REFUSAL  TO  THE  APPLICANT.  BEFORE  REFUSING  TO  RENEW ANY SUCH
   41  LICENSE, EXCEPT ON THE GROUND OF FAILURE TO PASS A WRITTEN  EXAMINATION,
   42  THE  SUPERINTENDENT  SHALL  NOTIFY THE APPLICANT OF THE SUPERINTENDENT'S
   43  INTENTION TO DO SO AND SHALL GIVE THE APPLICANT A HEARING.
   44    (6) THE SUPERINTENDENT MAY, IN ISSUING  A  RENEWAL  LICENSE,  DISPENSE
   45  WITH THE REQUIREMENTS OF A VERIFIED APPLICATION BY ANY INDIVIDUAL LICEN-
   46  SEE  WHO,  BY  REASON  OF  BEING ENGAGED IN ANY MILITARY SERVICE FOR THE
   47  UNITED STATES, IS UNABLE TO MAKE PERSONAL APPLICATION FOR  SUCH  RENEWAL
   48  LICENSE, UPON THE FILING OF AN APPLICATION ON BEHALF OF SUCH INDIVIDUAL,
   49  IN  SUCH  FORM  AS THE SUPERINTENDENT SHALL PRESCRIBE, BY SOME PERSON OR
   50  PERSONS WHO IN HIS OR HER JUDGMENT HAVE KNOWLEDGE OF THE FACTS  AND  WHO
   51  MAKE  AFFIDAVIT  SHOWING SUCH MILITARY SERVICE AND THE INABILITY OF SUCH
   52  TITLE INSURANCE CLOSER TO MAKE PERSONAL APPLICATION.
   53    (7) AN INDIVIDUAL LICENSEE  WHO  IS  UNABLE  TO  COMPLY  WITH  LICENSE
   54  RENEWAL  PROCEDURES  DUE  TO  OTHER EXTENUATING CIRCUMSTANCES, SUCH AS A
   55  LONG-TERM MEDICAL DISABILITY, MAY REQUEST A WAIVER OF  SUCH  PROCEDURES,
   56  IN  SUCH  FORM  AS  THE SUPERINTENDENT SHALL PRESCRIBE. THE LICENSEE MAY
       S. 6357--A                         94                         A. 8557--A
    1  ALSO REQUEST A WAIVER OF ANY EXAMINATION REQUIREMENT OR ANY  OTHER  FINE
    2  OR SANCTION IMPOSED FOR FAILURE TO COMPLY WITH RENEWAL PROCEDURES.
    3    (8)  AN  APPLICATION  FOR THE RENEWAL OF A LICENSE SHALL BE FILED WITH
    4  THE SUPERINTENDENT NOT LESS THAN  SIXTY  DAYS  PRIOR  TO  THE  DATE  THE
    5  LICENSE  EXPIRES  OR  THE APPLICANT SHALL BE SUBJECT TO A FURTHER FEE OF
    6  TEN DOLLARS FOR LATE FILING.
    7    (9) NO LICENSE FEE SHALL BE REQUIRED OF ANY PERSON  WHO  SERVED  AS  A
    8  MEMBER  OF  THE  ARMED  FORCES OF THE UNITED STATES AT ANY TIME, AND WHO
    9  SHALL  HAVE  BEEN  DISCHARGED  THEREFROM  UNDER  CONDITIONS  OTHER  THAN
   10  DISHONORABLE,  IN  A  CURRENT  LICENSING PERIOD FOR THE DURATION OF SUCH
   11  PERIOD.
   12    (10) THE SUPERINTENDENT MAY ISSUE A REPLACEMENT LICENSE FOR A CURRENT-
   13  LY IN-FORCE LICENSE  THAT  HAS  BEEN  LOST  OR  DESTROYED.  BEFORE  SUCH
   14  REPLACEMENT  LICENSE  SHALL  BE  ISSUED,  THERE  SHALL BE ON FILE IN THE
   15  OFFICE OF THE SUPERINTENDENT A WRITTEN APPLICATION FOR SUCH  REPLACEMENT
   16  LICENSE,  AFFIRMING  UNDER  PENALTY OF PERJURY THAT THE ORIGINAL LICENSE
   17  HAS BEEN LOST OR DESTROYED, TOGETHER WITH A FEE OF FIFTEEN DOLLARS.
   18    S 19. The insurance law is amended by adding a  new  section  2142  to
   19  read as follows:
   20    S  2142. TITLE INSURANCE SOLICITORS; LICENSING. (A) THE SUPERINTENDENT
   21  MAY ISSUE A LICENSE  TO  ANY  INDIVIDUAL  THAT  HAS  COMPLIED  WITH  THE
   22  REQUIREMENTS OF THIS CHAPTER, AUTHORIZING THE LICENSEE TO ACT AS A TITLE
   23  INSURANCE  SOLICITOR  FOR  ANY AUTHORIZED TITLE INSURANCE CORPORATION OR
   24  TITLE INSURANCE AGENT.
   25    (B) EVERY APPLICANT FOR A LICENSE UNDER THIS SECTION SHALL BE EIGHTEEN
   26  YEARS OF AGE OR OLDER AT THE TIME OF THE ISSUANCE OF SUCH LICENSE.
   27    (C) BEFORE ANY ORIGINAL TITLE INSURANCE SOLICITOR'S LICENSE IS ISSUED,
   28  THERE SHALL BE ON FILE IN THE OFFICE OF THE SUPERINTENDENT  AN  APPLICA-
   29  TION  BY  THE PROSPECTIVE LICENSEE IN SUCH FORM OR FORMS AND SUPPLEMENTS
   30  THERETO, ALONG WITH A FEE IN THE AMOUNT OF FORTY DOLLARS FOR  EACH  YEAR
   31  OR  FRACTION OF A YEAR IN WHICH THE LICENSE SHALL BE VALID, AND CONTAIN-
   32  ING INFORMATION THE SUPERINTENDENT PRESCRIBES.
   33    (D) THE SUPERINTENDENT SHALL, IN ORDER TO DETERMINE THE COMPETENCY  OF
   34  EVERY  APPLICANT FOR THE TITLE INSURANCE SOLICITOR LICENSE, REQUIRE SUCH
   35  INDIVIDUAL TO SUBMIT TO A PERSONAL WRITTEN EXAMINATION AND TO  PASS  THE
   36  SAME TO THE SATISFACTION OF THE SUPERINTENDENT. THE EXAMINATION SHALL BE
   37  HELD  AT  SUCH TIMES AND PLACES AS THE SUPERINTENDENT SHALL FROM TIME TO
   38  TIME DETERMINE. EVERY INDIVIDUAL APPLYING TO TAKE ANY  WRITTEN  EXAMINA-
   39  TION  SHALL, AT THE TIME OF APPLYING THEREFOR, PAY TO THE SUPERINTENDENT
   40  OR, AT THE DISCRETION OF THE SUPERINTENDENT, DIRECTLY TO  ANY  ORGANIZA-
   41  TION THAT IS UNDER CONTRACT TO PROVIDE EXAMINATION SERVICES, AN EXAMINA-
   42  TION  FEE OF AN AMOUNT THAT IS THE ACTUAL DOCUMENTED ADMINISTRATIVE COST
   43  OF CONDUCTING SAID QUALIFYING EXAMINATION AS  CERTIFIED  BY  THE  SUPER-
   44  INTENDENT  FROM  TIME TO TIME. AN EXAMINATION FEE REPRESENTS AN ADMINIS-
   45  TRATIVE EXPENSE AND SHALL NOT  BE  REFUNDABLE.  THE  SUPERINTENDENT  MAY
   46  ACCEPT,  IN  LIEU  OF  ANY  SUCH EXAMINATION, THE RESULT OF ANY PREVIOUS
   47  WRITTEN EXAMINATION, GIVEN BY THE SUPERINTENDENT, WHICH  IN  THE  SUPER-
   48  INTENDENT'S  JUDGMENT,  IS EQUIVALENT TO THE EXAMINATION FOR WHICH IT IS
   49  SUBSTITUTED.
   50    (E) EVERY INDIVIDUAL SEEKING TO QUALIFY  TO  OBTAIN  A  LICENSE  UNDER
   51  SUBSECTION  (B)  OF  THIS  SECTION SHALL BE REQUIRED TO PASS THE TYPE OR
   52  TYPES OF EXAMINATION PRESCRIBED BY  THE  SUPERINTENDENT.  AN  INDIVIDUAL
   53  SHALL  NOT  BE DEEMED QUALIFIED TO TAKE THE EXAMINATION UNLESS THE INDI-
   54  VIDUAL HAS SUCCESSFULLY COMPLETED A COURSE OR COURSES,  APPROVED  AS  TO
   55  METHOD  AND  CONTENT BY THE SUPERINTENDENT, COVERING THE TITLE INSURANCE
   56  BUSINESS AND REQUIRING NOT LESS THAN TWENTY HOURS OF CLASSROOM WORK,  IN
       S. 6357--A                         95                         A. 8557--A
    1  INSTITUTIONS  OF  LEARNING MEETING THE STANDARDS PRESCRIBED BY PARAGRAPH
    2  ONE OF SUBSECTION (A) OF SECTION TWO THOUSAND ONE HUNDRED FOUR  OF  THIS
    3  ARTICLE.
    4    (F)  NO  SUCH  WRITTEN EXAMINATION OR PRE-LICENSING EDUCATION SHALL BE
    5  REQUIRED OF ANY:
    6    (1) INDIVIDUAL WHO FILES AN APPLICATION UNDER THIS SECTION WITHIN  ONE
    7  YEAR AFTER THE EFFECTIVE DATE OF THIS SUBSECTION AND WHO DEMONSTRATES TO
    8  THE  SATISFACTION OF THE SUPERINTENDENT THAT SUCH APPLICANT HAS, WITHOUT
    9  INTERRUPTION, REGULARLY AND CONTINUOUSLY PERFORMED THE  FUNCTIONS  OF  A
   10  TITLE INSURANCE SOLICITOR FOR A PERIOD OF AT LEAST FIVE YEARS IMMEDIATE-
   11  LY  PRECEDING THE FILING OF SUCH APPLICATION AND IS COMPETENT AND TRUST-
   12  WORTHY TO ACT AS A TITLE INSURANCE CLOSER;
   13    (2) APPLICANT WHO HAS PASSED THE  WRITTEN  EXAMINATION  GIVEN  BY  THE
   14  SUPERINTENDENT  FOR  A  TITLE  INSURANCE  SOLICITOR'S  LICENSE  AND  WAS
   15  LICENSED AS SUCH, OR OF AN APPLICANT WHO WAS LICENSED AS A TITLE  INSUR-
   16  ANCE SOLICITOR BUT DID NOT PASS SUCH AN EXAMINATION, PROVIDED THE APPLI-
   17  CANT  APPLIES  WITHIN TWO YEARS FOLLOWING THE DATE OF TERMINATION OF THE
   18  APPLICANT'S LICENSE; OR
   19    (3) APPLICANT SEEKING TO OBTAIN A LICENSE AS A TITLE INSURANCE SOLICI-
   20  TOR, WHEN SUCH APPLICANT IS A LICENSED ATTORNEY-AT-LAW IN THIS STATE.
   21    (G) THE SUPERINTENDENT MAY REFUSE TO ISSUE TO  AN  APPLICANT  A  TITLE
   22  INSURANCE  SOLICITOR'S LICENSE IF, IN THE SUPERINTENDENT'S JUDGMENT, THE
   23  PROPOSED LICENSEE:
   24    (1) IS NOT TRUSTWORTHY AND COMPETENT TO ACT AS SUCH SOLICITOR;
   25    (2) HAS GIVEN CAUSE  FOR  THE  REVOCATION  OR  SUSPENSION  OF  SUCH  A
   26  LICENSE; OR
   27    (3)  HAS  FAILED  TO  COMPLY WITH ANY PREREQUISITE FOR THE ISSUANCE OF
   28  SUCH LICENSE.
   29    (H) (1) EVERY LICENSE ISSUED TO AN INDIVIDUAL BORN IN AN  ODD-NUMBERED
   30  YEAR  SHALL  EXPIRE  ON  THE  INDIVIDUAL'S BIRTHDAY IN EACH ODD-NUMBERED
   31  YEAR. LICENSES ISSUED TO INDIVIDUALS BORN IN EVEN-NUMBERED  YEARS  SHALL
   32  EXPIRE  ON  THE INDIVIDUAL'S BIRTHDAY IN EACH EVEN-NUMBERED YEAR.  EVERY
   33  SUCH LICENSE MAY BE RENEWED FOR THE ENSUING PERIOD OF TWENTY-FOUR MONTHS
   34  UPON THE FILING OF AN APPLICATION IN CONFORMITY WITH THIS SUBSECTION.
   35    (2) THE LICENSE MAY BE ISSUED FOR ALL OF SUCH TWO YEAR TERMS, OR  UPON
   36  APPLICATION MADE DURING ANY SUCH TERM, FOR THE BALANCE THEREOF.
   37    (3)  ANY  LICENSE  SHALL  BE  CONSIDERED  IN  GOOD STANDING WITHIN THE
   38  LICENSE TERM UNLESS:
   39    (A) REVOKED OR SUSPENDED BY THE SUPERINTENDENT PURSUANT TO THIS  ARTI-
   40  CLE; OR
   41    (B)  IF AT THE EXPIRATION DATE OF THE LICENSE TERM, THE LICENSEE FAILS
   42  TO FILE A RENEWAL APPLICATION, PROVIDED THE LICENSE WAS IN GOOD STANDING
   43  DURING THE TERM.
   44    (4) BEFORE THE RENEWAL OF  ANY  TITLE  INSURANCE  SOLICITOR'S  LICENSE
   45  SHALL BE ISSUED, THE LICENSEE SHALL HAVE:
   46    (A)  FILED  A COMPLETED RENEWAL APPLICATION IN SUCH FORM OR FORMS, AND
   47  SUPPLEMENTS THERETO, AND CONTAINING SUCH INFORMATION AS THE  SUPERINTEN-
   48  DENT MAY PRESCRIBE; AND
   49    (B) PAID SUCH FEES AS ARE PRESCRIBED IN THIS SECTION.
   50    (5) IF AN APPLICATION FOR A RENEWAL LICENSE SHALL HAVE BEEN FILED WITH
   51  THE  SUPERINTENDENT  BEFORE  THE  EXPIRATION  OF  SUCH LICENSE, THEN THE
   52  LICENSE SOUGHT TO BE RENEWED SHALL CONTINUE IN  FULL  FORCE  AND  EFFECT
   53  EITHER  UNTIL  THE ISSUANCE BY THE SUPERINTENDENT OF THE RENEWAL LICENSE
   54  APPLIED FOR OR UNTIL FIVE  DAYS  AFTER  THE  SUPERINTENDENT  SHALL  HAVE
   55  REFUSED  TO  ISSUE  SUCH  RENEWAL LICENSE AND SHALL HAVE GIVEN NOTICE OF
   56  SUCH REFUSAL TO  THE  APPLICANT.  BEFORE  REFUSING  TO  RENEW  ANY  SUCH
       S. 6357--A                         96                         A. 8557--A
    1  LICENSE,  EXCEPT ON THE GROUND OF FAILURE TO PASS A WRITTEN EXAMINATION,
    2  THE SUPERINTENDENT SHALL NOTIFY THE APPLICANT  OF  THE  SUPERINTENDENT'S
    3  INTENTION TO DO SO AND SHALL GIVE THE APPLICANT A HEARING.
    4    (6)  THE  SUPERINTENDENT  MAY,  IN ISSUING A RENEWAL LICENSE, DISPENSE
    5  WITH THE REQUIREMENTS OF A VERIFIED APPLICATION BY ANY INDIVIDUAL LICEN-
    6  SEE WHO, BY REASON OF BEING ENGAGED IN  ANY  MILITARY  SERVICE  FOR  THE
    7  UNITED  STATES,  IS UNABLE TO MAKE PERSONAL APPLICATION FOR SUCH RENEWAL
    8  LICENSE, UPON THE FILING OF AN APPLICATION ON BEHALF OF SUCH INDIVIDUAL,
    9  IN SUCH FORM AS THE SUPERINTENDENT SHALL PRESCRIBE, BY  SOME  PERSON  OR
   10  PERSONS  WHO  IN HIS OR HER JUDGMENT HAVE KNOWLEDGE OF THE FACTS AND WHO
   11  MAKE AFFIDAVIT SHOWING SUCH MILITARY SERVICE AND THE INABILITY  OF  SUCH
   12  TITLE INSURANCE SOLICITOR TO MAKE PERSONAL APPLICATION.
   13    (7)  AN  INDIVIDUAL  LICENSEE  WHO  IS  UNABLE  TO COMPLY WITH LICENSE
   14  RENEWAL PROCEDURES DUE TO OTHER EXTENUATING  CIRCUMSTANCES,  SUCH  AS  A
   15  LONG-TERM  MEDICAL  DISABILITY, MAY REQUEST A WAIVER OF SUCH PROCEDURES,
   16  IN SUCH FORM AS THE SUPERINTENDENT SHALL  PRESCRIBE.  THE  LICENSEE  MAY
   17  ALSO  REQUEST  A WAIVER OF ANY EXAMINATION REQUIREMENT OR ANY OTHER FINE
   18  OR SANCTION IMPOSED FOR FAILURE TO COMPLY WITH RENEWAL PROCEDURES.
   19    (8) AN APPLICATION FOR THE RENEWAL OF A LICENSE SHALL  BE  FILED  WITH
   20  THE  SUPERINTENDENT  NOT  LESS  THAN  SIXTY  DAYS  PRIOR TO THE DATE THE
   21  LICENSE EXPIRES OR THE APPLICANT SHALL BE SUBJECT TO A  FURTHER  FEE  OF
   22  TEN DOLLARS FOR LATE FILING.
   23    (9)  NO  LICENSE  FEE  SHALL BE REQUIRED OF ANY PERSON WHO SERVED AS A
   24  MEMBER OF THE ARMED FORCES OF THE UNITED STATES AT  ANY  TIME,  AND  WHO
   25  SHALL  HAVE  BEEN  DISCHARGED  THEREFROM  UNDER  CONDITIONS  OTHER  THAN
   26  DISHONORABLE, IN A CURRENT LICENSING PERIOD FOR  THE  DURATION  OF  SUCH
   27  PERIOD.
   28    (10) THE SUPERINTENDENT MAY ISSUE A REPLACEMENT LICENSE FOR A CURRENT-
   29  LY  IN-FORCE  LICENSE  THAT  HAS  BEEN  LOST  OR  DESTROYED. BEFORE SUCH
   30  REPLACEMENT LICENSE SHALL BE ISSUED, THERE  SHALL  BE  ON  FILE  IN  THE
   31  OFFICE  OF THE SUPERINTENDENT A WRITTEN APPLICATION FOR SUCH REPLACEMENT
   32  LICENSE, AFFIRMING UNDER PENALTY OF PERJURY THAT  THE  ORIGINAL  LICENSE
   33  HAS BEEN LOST OR DESTROYED, TOGETHER WITH A FEE OF FIFTEEN DOLLARS.
   34    S 20. Section 2314 of the insurance law is amended to read as follows:
   35    S  2314.  Charging  of  rates.  No  authorized  insurer  shall, and no
   36  licensed insurance agent, NO TITLE INSURANCE AGENT, no employee or other
   37  representative of an  authorized  insurer,  and  no  licensed  insurance
   38  broker  shall  knowingly,  charge  or demand a rate or receive a premium
   39  [which] THAT departs from  the  rates,  rating  plans,  classifications,
   40  schedules,  rules  and  standards in effect on behalf of the insurer, or
   41  shall issue or make any policy or contract involving a violation  there-
   42  of.
   43    S  21.  Section  6409 of the insurance law, subsection (c) as added by
   44  chapter 955 of the laws of 1984, is amended to read as follows:
   45    S 6409. Filing  of  policy  forms;  rates;  classification  of  risks;
   46  commissions  and  rebates  prohibited.  (a) No title insurance policy OR
   47  GUARANTEE OF THE CORRECTNESS OF SEARCHES FORM shall be issued or  deliv-
   48  ered  in  this state, unless [and until a copy of the form thereof shall
   49  have] IT HAS been filed with the superintendent [for his information] IN
   50  ACCORDANCE WITH ARTICLE TWENTY-THREE OF THIS CHAPTER.
   51    (b) [Every title insurance corporation shall file with the superinten-
   52  dent its rate manual, if any, its basic schedule of  rates  and  classi-
   53  fication  of  risks,  its  rating  plan and rules in connection with the
   54  writing or issuance of policies of title insurance and shall  thereafter
   55  likewise  file any changes therein. After any such filing no such corpo-
   56  ration shall, in connection with the writing or  issuance  of  any  such
       S. 6357--A                         97                         A. 8557--A
    1  policy,  deviate from the rates, classifications of risks and rules last
    2  filed by it, either by making any  reduction  in  rates  without  having
    3  filed  the  same as herein provided, or by way of any discriminations in
    4  favor  of  or  against  any  insured.  The superintendent shall have the
    5  powers specified in article twenty-three of this chapter  applicable  to
    6  title insurers.] TITLE INSURANCE RATES AND RATE FILINGS, INCLUDING RATES
    7  FOR GUARANTEES OF THE CORRECTNESS OF SEARCHES, SHALL BE SUBJECT TO ARTI-
    8  CLE TWENTY-THREE OF THIS CHAPTER.
    9    (c)  Notwithstanding  any other provision of this article, every title
   10  insurance [company] CORPORATION shall [be  required  to]  offer,  at  or
   11  prior to title closing, an optional policy form [which will insure] THAT
   12  INSURES the title of owner-occupied real property used predominantly for
   13  residential  purposes [which] THAT consists of not more than four dwell-
   14  ing units for an amount equal to the market value of the property at the
   15  time a loss is discovered. Such policy form shall  be  filed  with,  AND
   16  APPROVED  BY,  the  superintendent  [pursuant  to subsection (a) of this
   17  section] IN ACCORDANCE WITH ARTICLE TWENTY-THREE OF THIS CHAPTER.  Rates
   18  for  such  coverage  shall be filed AND APPROVED pursuant to [subsection
   19  (b) of this section] ARTICLE TWENTY-THREE OF THIS CHAPTER.
   20    (d) No title insurance corporation,  TITLE  INSURANCE  AGENT,  or  any
   21  other  person acting for or on behalf of [it] THE TITLE INSURANCE CORPO-
   22  RATION OR TITLE INSURANCE AGENT, shall OFFER OR make, DIRECTLY OR  INDI-
   23  RECTLY, any rebate of any portion of the fee, premium or charge made, or
   24  pay  or  give to any applicant for insurance, or to any person, firm, or
   25  corporation acting as agent, representative, attorney,  or  employee  of
   26  the  owner, lessee, mortgagee or the prospective owner, lessee, or mort-
   27  gagee or the prospective owner, lessee, or mortgagee of the real proper-
   28  ty or any interest therein, either directly or indirectly,  any  commis-
   29  sion,  any  part  of  its fees or charges, or any other consideration or
   30  valuable thing, as an inducement for, or as compensation for, any  title
   31  insurance  business,  NOR  SHALL  ANY  APPLICANT  FOR  INSURANCE, OR ANY
   32  PERSON, FIRM, OR CORPORATION ACTING AS AGENT, REPRESENTATIVE,  ATTORNEY,
   33  OR  EMPLOYEE  OF  THE OWNER, LESSEE, MORTGAGEE OR THE PROSPECTIVE OWNER,
   34  LESSEE, OR MORTGAGEE OF THE REAL PROPERTY OR ANYONE HAVING ANY  INTEREST
   35  IN  REAL  PROPERTY  KNOWINGLY  RECEIVE, DIRECTLY OR INDIRECTLY, ANY SUCH
   36  REBATE OR OTHER CONSIDERATION OR VALUABLE THING.  Any person  or  entity
   37  who  [accepts  or  receives  such  a commission or rebate] VIOLATES THIS
   38  SECTION shall be subject to a penalty equal to the greater of [one] FIVE
   39  thousand dollars or five times the amount [thereof] OF ANY  COMPENSATION
   40  OR REBATE RECEIVED OR PAID.
   41    (e)  Premium  rates  for  coverage  shall  fully reflect the foregoing
   42  prohibitions of subsection (d) [hereof] OF THIS SECTION.
   43    S 22. This act shall take effect on  the  one  hundred  eightieth  day
   44  after  it  shall  have  become  a law, provided, however, that effective
   45  immediately:
   46    (1) the addition, amendment, or  repeal  of  any  rule  or  regulation
   47  necessary  for  the  implementation of this act on its effective date is
   48  authorized and directed to be made  and  completed  on  or  before  such
   49  effective date;
   50    (2) the superintendent of financial services shall promulgate applica-
   51  tion forms for persons, firms, associations, and corporations seeking to
   52  obtain  a  license as a title insurance agent, or individuals seeking to
   53  obtain a license as a title insurance closer or title insurance  solici-
   54  tor; and
   55    (3)  each  person,  firm, association, or corporation who has filed an
   56  application for a license as a title insurance agent, or every  individ-
       S. 6357--A                         98                         A. 8557--A
    1  ual  who  has  filed  an  application for a license as a title insurance
    2  closer or title insurance solicitor on or  before  January  1,  2015  or
    3  within  90  days  after  the  superintendent  of  financial services has
    4  promulgated  application  forms  pursuant to this act, whichever date is
    5  later, may act as such licensee without a  license  issued  pursuant  to
    6  section  2140,  2141, or 2142 of the insurance law, as added by sections
    7  seventeen, eighteen, and nineteen of this act, until the  superintendent
    8  of  financial services has made a final determination on the application
    9  for such license filed by such  person,  firm,  association,  or  corpo-
   10  ration.
   11                                   PART W
   12    Section  1.  Section  2  of part BB of chapter 58 of the laws of 2012,
   13  amending the public authorities law relating to authorizing the dormito-
   14  ry authority to enter into certain design  and  construction  management
   15  agreements,  as amended by section 1 of part I of chapter 58 of the laws
   16  of 2013, is amended to read as follows:
   17    S 2. This act shall take effect immediately and shall  expire  and  be
   18  deemed repealed April 1, [2014] 2015.
   19    S  2.  Within 90 days of the effective date of this act, the dormitory
   20  authority of the state of New York  shall  provide  a  report  providing
   21  information  regarding  any  project undertaken pursuant to a design and
   22  construction management agreement, as authorized by part BB  of  chapter
   23  58  of the laws of 2012, between the dormitory authority of the state of
   24  New York and the department of  environmental  conservation  and/or  the
   25  office  of  parks, recreation and historic preservation to the governor,
   26  the temporary president of the senate and speaker of the assembly.  Such
   27  report  shall  include  but not be limited to a description of each such
   28  project, the project identification number  of  each  such  project,  if
   29  applicable, the projected date of completion, the status of the project,
   30  the total cost or projected cost of each such project, and the location,
   31  including  the  names  of  any county, town, village or city, where each
   32  such project is located or proposed. In addition, such a report shall be
   33  provided to the aforementioned parties by the first day of March of each
   34  year that the authority to enter into such agreements pursuant  to  part
   35  BB of chapter 58 of the laws of 2012 is in effect.
   36    S  3.  This  act  shall take effect immediately and shall be deemed to
   37  have been in effect on and after April 1, 2014.
   38                                   PART X
   39    Section 1. Section 2 of chapter 584 of the laws of 2011, amending  the
   40  public authorities law relating to the powers and duties of the dormito-
   41  ry  authority  of the state of New York relative to the establishment of
   42  subsidiaries for certain purposes, as amended by section 28 of part D of
   43  chapter 56 of the laws of 2012, is amended to read as follows:
   44    S 2. This act shall take effect immediately and shall  expire  and  be
   45  deemed repealed on July 1, [2014] 2016; provided however, that the expi-
   46  ration  of  this  act  shall  not  impair or otherwise affect any of the
   47  powers, duties, responsibilities, functions, rights  or  liabilities  of
   48  any  subsidiary  duly  created  pursuant  to  subdivision twenty-five of
   49  section 1678 of the public authorities law prior to such expiration.
   50    S 2. This act shall take effect immediately.
   51                                   PART Y
       S. 6357--A                         99                         A. 8557--A
    1    Section 1. Section 2976-a of the public authorities law is REPEALED.
    2    S 2. Section 2868 of the public health law, as amended by section 43-a
    3  of  part  B  of  chapter  58  of the laws of 2008, is amended to read as
    4  follows:
    5    S 2868. Fees and charges. The commissioner may by regulation establish
    6  and charge to any nursing home company, for the period of occupancy date
    7  to mortgage discharge, a fee for inspection, regulation, supervision and
    8  audit not to annually exceed two-tenths of one percent of  the  mortgage
    9  loan  to recover the departmental costs in performing these functions IN
   10  RELATION TO ANY NURSING HOME PROJECT FINANCED OR REFINANCED  BY  A  LOAN
   11  MADE  UNDER  THIS  ARTICLE  PRIOR TO APRIL FIRST, TWO THOUSAND FOURTEEN.
   12  NOTWITHSTANDING THE FOREGOING, NO SUCH FEE SHALL BE CHARGED  OR  PAYABLE
   13  PURSUANT TO THIS SECTION WITH RESPECT TO A NURSING HOME PROJECT FINANCED
   14  OR  REFINANCED  WITH  BONDS ISSUED ON OR AFTER APRIL FIRST, TWO THOUSAND
   15  FOURTEEN.
   16    S 3. Section 2881 of the public health law, as amended by section 43-b
   17  of part B of chapter 58 of the laws of  2008,  is  amended  to  read  as
   18  follows:
   19    S  2881. Fees and charges. The commissioner may, by regulation, estab-
   20  lish and charge to eligible borrowers, for  the  period  from  occupancy
   21  date  to  mortgage  discharge,  a fee for inspection, regulation, super-
   22  vision and audit not to annually exceed two-tenths of one percent of the
   23  mortgage loan to recover the  departmental  costs  in  performing  these
   24  functions  IN RELATION TO ANY HOSPITAL PROJECT FINANCED OR REFINANCED BY
   25  A LOAN MADE UNDER THIS ARTICLE PRIOR TO APRIL FIRST, TWO THOUSAND  FOUR-
   26  TEEN.    NOTWITHSTANDING  THE FOREGOING, NO SUCH FEE SHALL BE CHARGED OR
   27  PAYABLE PURSUANT TO THIS SECTION WITH  RESPECT  TO  A  HOSPITAL  PROJECT
   28  FINANCED  OR  REFINANCED  WITH BONDS ISSUED ON OR AFTER APRIL FIRST, TWO
   29  THOUSAND FOURTEEN.
   30    S 4. This act shall take effect immediately.
   31                                   PART Z
   32    Section 1. Subdivision 3 of section 16-m of section 1 of  chapter  174
   33  of  the  laws  of 1968 constituting the New York state urban development
   34  corporation act, as amended by chapter  81  of  the  laws  of  2013,  is
   35  amended to read as follows:
   36    3.  The  provisions  of this section shall expire, notwithstanding any
   37  inconsistent provision of subdivision 4 of section 469 of chapter 309 of
   38  the laws of 1996 or of any other law, on July 1, [2014] 2015.
   39    S 2. This act shall take effect immediately and  shall  be  deemed  to
   40  have been in full force and effect on and after July 1, 2014.
   41                                   PART AA
   42    Section  1. Section 2 of chapter 393 of the laws of 1994, amending the
   43  New York state urban development corporation act, relating to the powers
   44  of the New York state urban development corporation to  make  loans,  as
   45  amended  by  section  1  of part H of chapter 58 of the laws of 2013, is
   46  amended to read as follows:
   47    S 2. This act shall take effect immediately  provided,  however,  that
   48  section  one  of  this act shall expire on July 1, [2014] 2015, at which
   49  time the provisions of subdivision 26 of section 5 of the New York state
   50  urban development corporation act shall be  deemed  repealed;  provided,
   51  however,  that neither the expiration nor the repeal of such subdivision
   52  as provided for herein shall be deemed to affect or impair in any manner
       S. 6357--A                         100                        A. 8557--A
    1  any loan made pursuant to the authority of  such  subdivision  prior  to
    2  such expiration and repeal.
    3    S  2.  This  act  shall take effect immediately and shall be deemed to
    4  have been in full force and effect on and after April 1, 2014.
    5    S 2. Severability clause. If any clause, sentence, paragraph, subdivi-
    6  sion, section or part of this act shall be  adjudged  by  any  court  of
    7  competent  jurisdiction  to  be invalid, such judgment shall not affect,
    8  impair, or invalidate the remainder thereof, but shall  be  confined  in
    9  its  operation  to the clause, sentence, paragraph, subdivision, section
   10  or part thereof directly involved in the controversy in which such judg-
   11  ment shall have been rendered. It is hereby declared to be the intent of
   12  the legislature that this act would  have  been  enacted  even  if  such
   13  invalid provisions had not been included herein.
   14    S  3.  This  act shall take effect immediately provided, however, that
   15  the applicable effective date of Parts A through AA of this act shall be
   16  as specifically set forth in the last section of such Parts.