New York State Law

Alcoholic Beverage Control Law

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Article 2 - Alcoholic Beverage Control Law

LIQUOR AUTHORITY

Section Description
10 State liquor authority.
11 Appointment of authority.
12 Expenses.
13 Removal.
14 Vacancies; quorum.
15 Officers; employees; offices.
16 Disqualification of members and employees of authority.
17 Powers of the authority.
18 Powers and duties of the chairman.
19 Oath of office.
S 10. State liquor authority.  There shall continue to be in the
executive department an alcoholic beverage control division, the head of
which shall be the state liquor authority which shall consist of three
members, who shall be known as commissioners, all of whom shall be
citizens and residents of the state.  The state alcoholic beverage
control board created and appointed pursuant to chapter one hundred
eighty of the laws of nineteen hundred thirty-three, as presently
constituted, shall continue in existence and hereafter shall be known
and designated as the state liquor authority.  The terms "state
alcoholic beverage control board", "state board", "liquor authority", or
"authority", wherever occurring in any of the provisions of this chapter
or of any other law, or in any official books, records, instruments,
rules or papers, shall hereafter mean and refer to the state liquor
authority provided for in this section.

S 11. Appointment of authority.  The members of the authority shall be
appointed by the governor by and with the  advice  and  consent  of  the
senate.  Not  more than two members of the authority shall belong to the
same political party. The  chairman  of  the  state  alcoholic  beverage
control  board  heretofore  appointed and designated by the governor and
the remaining members of such board heretofore appointed by the governor
shall continue to serve as chairman and members of the  authority  until
the  expiration  of  the respective terms for which they were appointed.
Upon the expiration of such respective  terms  the  successors  of  such
chairman  and  members  shall  be appointed to serve for a term of three
years each and until their successors have been appointed and qualified.
The commissioners, other than the chairman shall,  when  performing  the
work  of  the  authority,  be compensated at a rate of two hundred sixty
dollars per day, together with an allowance  for  actual  and  necessary
expenses  incurred  in the discharge of their duties. The chairman shall
receive an annual salary established in section one  hundred  sixty-nine
of the executive law.

S 12. Expenses.  Each member of the authority shall be entitled to his
expenses actually and necessarily incurred by him in the performance of
his duties.

S 13. Removal. Any member of the authority may be removed by the
governor for cause after an opportunity to be heard. A statement of the
cause of his removal shall be filed by the governor in the office of the
secretary of state.

S 14. Vacancies; quorum.  In the event of a vacancy caused by the
death, resignation, removal or disability of any member, the vacancy
shall be filled by the governor by and with the advice and consent of
the senate for the unexpired term. A majority of the members of the
authority shall constitute a quorum for the purpose of conducting the
business thereof and a majority vote of all the members in office shall
be necessary for action.

  * S 15. Officers;  employees;  offices.  Investigators employed by the
  authority shall be deemed to  be  peace  officers  for  the  purpose  of
  enforcing  the  provisions  of  this  chapter  or  judgements  or orders
  obtained for violation thereof, with all the powers set forth in section
  2.20 of the  criminal  procedure  law.  The  counsel,  secretary,  chief
  executive  officer,  assistant  chief  executive  officers, confidential
  secretaries to commissioners and deputies shall be in the  exempt  class
  of  the civil service. The other assistants, investigators and employees
  of the authority shall all be in the  competitive  class  of  the  civil
  service.  The  authority  shall continue to have its principal office in
  the city of Albany, and may maintain a branch office in  the  cities  of
  New  York  and  Buffalo  and  such other places as the chairman may deem
  necessary.
    * NB Effective until July 18, 2018
    * S 15. Officers; employees; offices. The authority shall  have  power
  to  appoint any necessary deputies, counsels, assistants, investigators,
  and  other  employees  within  the  limits  provided  by  appropriation.
  Investigators  so  employed by the Authority shall be deemed to be peace
  officers for the purpose of enforcing the provisions  of  the  alcoholic
  beverage  control  law  or  judgements  or orders obtained for violation
  thereof, with all the powers set forth in section 2.20 of  the  criminal
  procedure   law.   The  counsel,  secretary,  chief  executive  officer,
  assistant  chief  executive  officers,   confidential   secretaries   to
  commissioners  and  deputies  shall  be in the exempt class of the civil
  service. The  other  assistants,  investigators  and  employees  of  the
  authority  shall  all  be in the competitive class of the civil service.
  The authority shall continue to have its principal office in the city of
  Albany, and may maintain a branch office in the cities of New  York  and
  Buffalo and such other places as it may deem necessary.
    The  authority  shall  establish appropriate procedures to insure that
  hearing officers are shielded from ex parte communications with  alleged
  violators  and their attorneys and from other employees of the authority
  and shall take such other steps as it shall deem necessary and proper to
  shield  its  judicial  processes  from  unwarranted  and   inappropriate
  communications and attempts to influence.
    * NB Effective July 18, 2018

S 16. Disqualification of members and employees of authority.  No
member of the authority or any officer, deputy, assistant, inspector or
employee thereof shall have any interest, direct or indirect, either
proprietary or by means of any loan, mortgage or lien, or in any other
manner, in or on any premises where alcoholic beverages are manufactured
or sold; nor shall he have any interest, direct or indirect, in any
business wholly or partially devoted to the manufacture, sale,
transportation or storage of alcoholic beverages, or own any stock in
any corporation which has any interest, proprietary or otherwise, direct
or indirect, in any premises where alcoholic beverages are manufactured
or sold, or in any business wholly or partially devoted to the
manufacture, sale, transportation or storage of alcoholic beverages, or
receive any commission or profit whatsoever, direct or indirect, from
any person applying for or receiving any license or permit provided for
in this chapter, or hold any other public office in the state or in any
political subdivision except upon the written permission of the liquor
authority, such member of the authority or officer, deputy, assistant,
inspector or employee thereof may hold the public office of notary
public or member of a community board of education in the city school
district of the city of New York. Any one who violates any of the
provisions of this section shall be removed.

    * S 17. Powers   of  the  authority.  The  authority  shall  have  the
  following functions, powers and duties: 1. To issue or refuse  to  issue
  any license or permit provided for in this chapter.
    2.  To limit in its discretion the number of licenses of each class to
  be issued within the state or any political subdivision thereof, and  in
  connection therewith to prohibit the acceptance of applications for such
  class or classes of licenses which have been so limited.
    3. To revoke, cancel or suspend for cause any license or permit issued
  under  this  chapter  and/or to impose a civil penalty for cause against
  any holder of a license or permit issued pursuant to this  chapter.  Any
  civil  penalty  so  imposed  shall  not  exceed  the sum of ten thousand
  dollars as against the holder of any retail permit  issued  pursuant  to
  sections  ninety-five,  ninety-seven,  ninety-eight,  ninety-nine-d  and
  paragraph f of subdivision one of section ninety-nine-b of this  chapter
  and  as  against  the  holder  of  any retail license issued pursuant to
  sections fifty-two, fifty-three-a, fifty-four, fifty-four-a, fifty-five,
  fifty-five-a,  sixty-three,  sixty-four,   sixty-four-a,   sixty-four-b,
  sixty-four-c, seventy-nine, eighty-one and eighty-one-a of this chapter,
  and  the  sum  of  thirty  thousand  dollars  as against the holder of a
  license  issued   pursuant   to   sections   fifty-three,   seventy-six,
  seventy-six-a,  and  seventy-eight  of  this  chapter, provided that the
  civil penalty against the holder of a wholesale license issued  pursuant
  to  section  fifty-three of this chapter shall not exceed the sum of ten
  thousand dollars where that licensee violates provisions of this chapter
  during the course of the  sale  of  beer  at  retail  to  a  person  for
  consumption  at  home,  and  the  sum of one hundred thousand dollars as
  against the holder of any license issued pursuant to sections fifty-one,
  sixty-one and sixty-two of this chapter. Any civil  penalty  so  imposed
  shall  be  in  addition  to  and  separate  and apart from the terms and
  provisions of the bond required pursuant to section one  hundred  twelve
  of this chapter. Provided that no appeal is pending on the imposition of
  such  civil  penalty,  in  the  event  such civil penalty imposed by the
  division remains unpaid, in whole or in part, more than forty-five  days
  after  written  demand  for payment has been sent by first class mail to
  the address of the licensed premises,  a  notice  of  impending  default
  judgment  shall be sent by first class mail to the licensed premises and
  by first class mail to the last known home address  of  the  person  who
  signed  the  most  recent  license  application. The notice of impending
  default judgment shall advise the licensee: (a) that a civil penalty was
  imposed on the licensee; (b) the date the penalty was imposed;  (c)  the
  amount  of  the  civil penalty; (d) the amount of the civil penalty that
  remains unpaid as of the date of the  notice;  (e)  the  violations  for
  which  the civil penalty was imposed; and (f) that a judgment by default
  will be entered in the supreme court of the county in which the licensed
  premises are located, or other court of civil jurisdiction or any  other
  place  provided for the entry of civil judgments within the state of New
  York unless the division receives full payment of  all  civil  penalties
  due  within  twenty  days of the date of the notice of impending default
  judgment. If full payment shall not have been received by  the  division
  within  thirty  days  of  mailing  of  the  notice  of impending default
  judgment, the  division  shall  proceed  to  enter  with  such  court  a
  statement  of  the default judgment containing the amount of the penalty
  or penalties remaining due and unpaid, along with proof  of  mailing  of
  the  notice  of  impending default judgment. The filing of such judgment
  shall have the full force and effect of a default judgment duly docketed
  with such court pursuant to the civil practice law and rules  and  shall
  in  all  respects be governed by that chapter and may be enforced in the
  same manner and with the same effect as that provided by law in  respect
  to  execution  issued  against  property  upon  judgments  of a court of
  record. A judgment entered pursuant to this subdivision shall remain  in
  full  force  and  effect  for  eight  years  notwithstanding  any  other
  provision of law.
    4.  To  fix  by  rule the standards of manufacture and fermentation in
  order to insure the  use  of  proper  ingredients  and  methods  in  the
  manufacture of alcoholic beverages to be sold or consumed in the state.
    5.  To  hold  hearings,  subpoena  witnesses, compel their attendance,
  administer oaths, to examine any person under  oath  and  in  connection
  therewith  to  require the production of any books or papers relative to
  the inquiry. A subpoena issued under this section shall be regulated  by
  the civil practice law and rules.
    6.  To  prohibit,  at  any  time of public emergency, without previous
  notice or advertisement, the sale of any or all alcoholic beverages  for
  and during the period of such emergency.
    7. To delegate the powers provided in this section to the chairman, or
  to  such  other  officers  or  employees  as  may  be  designated by the
  chairman.
    8. To  appoint  such  advisory  groups  and  committees  as  it  deems
  necessary  to  provide  assistance  to  the  authority  to carry out the
  purposes and objectives of this chapter.
    9. Upon receipt of a resolution adopted by a board of supervisors or a
  county legislative body requesting further restriction of hours of  sale
  of  alcoholic  beverages within such county, and upon notice and hearing
  within such county, to approve or  disapprove  such  hours  within  such
  county.
    * NB Effective until July 18, 2018

    * S 17. Powers of the authority.  The  authority  shall  have  the
  following functions, powers and duties: 1. To issue or refuse  to  issue
  any license or permit provided for in this chapter.
    2.  To limit in its discretion the number of licenses of each class to
  be issued within the state or any political subdivision thereof, and  in
  connection therewith to prohibit the acceptance of applications for such
  class or classes of licenses which have been so limited.
    3. To revoke, cancel or suspend for cause any license or permit issued
  under  this  chapter  and/or to impose a civil penalty for cause against
  any holder of a license or permit issued pursuant to this  chapter.  Any
  civil  penalty  so  imposed  shall  not  exceed  the sum of ten thousand
  dollars as against the holder of any retail permit  issued  pursuant  to
  sections  ninety-five,  ninety-seven,  ninety-eight,  ninety-nine-d  and
  paragraph f of subdivision one of section ninety-nine-b of this  chapter
  and  as  against  the  holder  of  any retail license issued pursuant to
  sections fifty-two, fifty-three-a, fifty-four, fifty-four-a, fifty-five,
  fifty-five-a,  sixty-three,  sixty-four,   sixty-four-a,   sixty-four-b,
  sixty-four-c, seventy-nine, eighty-one and eighty-one-a of this chapter,
  and  the  sum  of  thirty  thousand  dollars  as against the holder of a
  license  issued   pursuant   to   sections   fifty-three,   seventy-six,
  seventy-six-a,   seventy-six-f,   and  seventy-eight  of  this  chapter,
  provided that the civil  penalty  against  the  holder  of  a  wholesale
  license issued pursuant to section fifty-three of this chapter shall not
  exceed  the  sum  of  ten  thousand dollars where that licensee violates
  provisions of this chapter during the course of  the  sale  of  beer  at
  retail  to  a person for consumption at home, and the sum of one hundred
  thousand dollars as against the holder of any license issued pursuant to
  sections fifty-one, sixty-one and sixty-two of this chapter.  Any  civil
  penalty  so  imposed shall be in addition to and separate and apart from
  the terms and provisions of the bond required pursuant  to  section  one
  hundred  twelve  of  this chapter. Provided that no appeal is pending on
  the imposition of such civil penalty, in the event  such  civil  penalty
  imposed  by  the division remains unpaid, in whole or in part, more than
  forty-five days after written demand for payment has been sent by  first
  class  mail  to  the  address  of  the  licensed  premises,  a notice of
  impending default judgment shall be sent by  first  class  mail  to  the
  licensed premises and by first class mail to the last known home address
  of the person who signed the most recent license application. The notice
  of  impending  default  judgment  shall  advise the licensee: (a) that a
  civil penalty was imposed on the licensee; (b) the date the penalty  was
  imposed;  (c)  the  amount  of  the civil penalty; (d) the amount of the
  civil penalty that remains unpaid as of the date of the notice; (e)  the
  violations  for  which  the  civil  penalty  was imposed; and (f) that a
  judgment by default will be entered in the supreme court of  the  county
  in  which  the  licensed  premises  are located, or other court of civil
  jurisdiction or  any  other  place  provided  for  the  entry  of  civil
  judgments within the state of New York unless the division receives full
  payment of all civil penalties due within twenty days of the date of the
  notice  of  impending  default  judgment. If full payment shall not have
  been received by the division within  thirty  days  of  mailing  of  the
  notice  of  impending  default  judgment,  the division shall proceed to
  enter with such court a statement of the default judgment containing the
  amount of the penalty or penalties remaining due and unpaid, along  with
  proof of mailing of the notice of impending default judgment. The filing
  of  such  judgment  shall  have  the  full force and effect of a default
  judgment duly docketed with such court pursuant to  the  civil  practice
  law  and rules and shall in all respects be governed by that chapter and
  may be enforced in the same manner and with  the  same  effect  as  that
  provided  by  law  in  respect to execution issued against property upon
  judgments of a court of record. A  judgment  entered  pursuant  to  this
  subdivision  shall  remain  in  full  force  and  effect for eight years
  notwithstanding any other provision of law.
    4. To remove any employee of the authority  for  cause,  after  giving
  such  employee  a  copy  of  the  charges against him in writing, and an
  opportunity to be heard thereon. Any action taken under this subdivision
  shall be subject to and in accordance with the civil service law.
    5. To fix by rule the standards of  manufacture  and  fermentation  in
  order  to  insure  the  use  of  proper  ingredients  and methods in the
  manufacture of alcoholic beverages to be sold or consumed in the state.
    6. To hold hearings,  subpoena  witnesses,  compel  their  attendance,
  administer  oaths,  to  examine  any person under oath and in connection
  therewith to require the production of any books or papers  relative  to
  the  inquiry. A subpoena issued under this section shall be regulated by
  the civil practice law and rules.
    7. To prohibit, at any time  of  public  emergency,  without  previous
  notice  or advertisement, the sale of any or all alcoholic beverages for
  and during the period of such emergency.
    8. To make an annual report to the governor and the legislature of its
  activities for the preceding year.
    8-a. On and after January first, two thousand the report provided  for
  in  subdivision eight of this section shall include an evaluation of the
  effectiveness of the prohibition on the sale of alcohol to persons under
  the age of twenty-one  as  provided  in  section  sixty-five-b  of  this
  chapter  with particular emphasis on the provisions of subdivisions one,
  two, three, four and five of section sixty-five-b, subdivision  five  of
  section  one  hundred nineteen and subdivision six of section sixty-five
  of this chapter, paragraph (b) of subdivision seven of section 170.55 of
  the criminal procedure law and subdivision (f) of section 19.07  of  the
  mental hygiene law.
    8-b.  On  and  after  January  first,  two thousand eleven, the report
  provided  for  in  subdivision  eight  of  this  section  shall  include
  information related to the number of licenses applied for and the length
  of  time  required  for  the  approval  or denial of such retail license
  applied  for pursuant to subdivision two-c of section sixty-one, section
  sixty-four,  section   seventy-six,   section   seventy-six-a,   section
  seventy-six-c,  section seventy-six-d, and section seventy-six-f of this
  chapter.
    9. The powers provided  in  this  section  may  be  delegated  by  the
  authority to the chairman, or to such other officers or employees as may
  be designated by the chairman.
    10.  To  appoint  such  advisory  groups  and  committees  as it deems
  necessary to provide assistance  to  the  authority  to  carry  out  the
  purposes and objectives of this chapter.
    11.  Upon receipt of a resolution adopted by a board of supervisors or
  a county legislative body requesting further  restriction  of  hours  of
  sale  of  alcoholic  beverages  within  such county, and upon notice and
  hearing within such county, to approve or disapprove such  hours  within
  such county.
    12.  To  develop  and  establish minimum criteria for alcohol training
  awareness programs which may be given and administered by schools; other
  entities including trade associations whose members are  engaged  in  or
  involved  in  the  retail  sale  of  alcoholic  beverages;  national and
  regional franchisors who have granted at least five  franchises  in  the
  state  which  are  licensed  to  sell  beer  at  retail for off-premises
  consumption; licensees authorized to sell alcoholic beverages at  retail
  for  off-premises  consumption operating five or more licensed premises;
  and persons interested, whether as an individual proprietor  or  partner
  or  officer  or  member  of a limited liability company, in five or more
  licensees  authorized  to  sell  alcoholic  beverages  at   retail   for
  off-premises  consumption.  The authority shall provide for the issuance
  of certificates of approval to all certified alcohol training  awareness
  programs.  Certificates  of approval may be revoked by the authority for
  failure to adhere to the authority's rules and regulations.  Such  rules
  and regulations shall afford those who have been issued a certificate of
  approval  an  opportunity  for  a  hearing prior to any determination of
  whether such certificate should be revoked.
    No licensee shall be required to apply for  any  such  certificate  or
  renewal  certificate  and  the licensee may voluntarily surrender such a
  certificate or renewal certificate at any time. A fee in the  amount  of
  nine   hundred  dollars  shall  be  paid  to  the  authority  with  each
  application for a certificate of approval or  renewal  certificate.  The
  authority   shall  promptly  refund  such  fee  to  an  applicant  whose
  application was denied. Each certificate of approval and renewal thereof
  shall be  issued  for  a  period  of  three  years.  To  effectuate  the
  provisions of this subdivision, the authority is empowered to require in
  connection with an application the submission of such information as the
  authority  may  direct;  to  prescribe  forms of applications and of all
  reports which it  deems  necessary  to  be  made  by  any  applicant  or
  certificate   holder;   to   conduct   investigations;  to  require  the
  maintenance of such books and records as the authority  may  direct;  to
  revoke,  cancel,  or  suspend  for cause any certificate provided for in
  this subdivision. Each entity  authorized  to  give  and  administer  an
  alcohol   training   awareness   program  shall  issue  certificates  of
  completion to all licensees and employees who successfully complete such
  an approved  alcohol  training  awareness  program.  Such  entity  shall
  regularly  transmit  to  the authority the names, addresses and dates of
  attendance  of  all  the  licensees  and  employees  of  licensees   who
  successfully  complete  an  approved alcohol training awareness program.
  Such transmittal shall be  in  a  form  and  manner  prescribed  by  the
  authority. The authority shall adopt rules and regulations to effectuate
  the  provisions  of this subdivision, including the minimum requirements
  for the curriculum of each such training program and the regular ongoing
  training of employees holding  certificates  of  completion  or  renewal
  certificates.  Such  rules  and  regulations  shall  include the minimum
  requirements for a separate curriculum for licensees and their employees
  authorized to  sell  alcoholic  beverages  at  retail  for  off-premises
  consumption,   minimum   requirements  for  a  separate  curriculum  for
  licensees and their employees authorized to sell alcoholic beverages  at
  retail  for  on-premises  consumption,  and the form of a certificate of
  completion or renewal thereof to be issued in respect to each such  type
  of  program. A certificate of completion or renewal thereof issued by an
  entity authorized to give and administer an alcohol  training  awareness
  program  pursuant  to  this subdivision to licensees and their employees
  authorized to  sell  alcoholic  beverages  at  retail  for  off-premises
  consumption  shall  not  be  invalidated  by  a  change of employment to
  another such licensee. A certificate of completion  or  renewal  thereof
  issued  by  an  entity  authorized  to  give  and  administer an alcohol
  training awareness program pursuant to this subdivision to licensees and
  their employees authorized to sell alcoholic  beverages  at  retail  for
  on-premises  consumption  shall  not  be  invalidated  by  a  change  of
  employment  to  another  such  licensee.  Attendance   at   any   course
  established  pursuant  to  this  section  shall  be  in  person, through
  distance learning methods, or through an internet based online program.
    13.  To  study  and  report  to  the  governor  and  the   legislature
  bi-ennially on or before February first of each year concerning:
    (a)  recommendations to reduce the number and type of licenses, and to
  establish a uniform, statewide schedule of fees, such recommendations to
  include the development of a master application form for  all  licenses,
  with  specific  exhibits required for specific licenses, as appropriate,
  as well as recommendations on a non-refundable application fee set at  a
  level which will cover the cost of the review and which would be applied
  against the first year license fee if the application is granted;
    (b) recommendations to simplify license renewal procedures;
    (c)  recommendations  to streamline the processing of applications and
  to eliminate duplication of reviews,  such  recommendations  to  include
  uniform  standards  for application review and decision which shall seek
  to assure that the review is as objective as possible and to narrow  the
  discretion  of  the  authority  or  of  any  reviewer  employed  by  the
  authority;
    (d) the extent to which quality of life issues, such as  noise  level,
  vehicular  traffic  and  parking  are considered in licensing decisions,
  particularly  as  such  issues  pertain  to  proceedings   pursuant   to
  subdivision seven of section sixty-four of this chapter;
    (e)  recommendations  to improve enforcement methodologies in order to
  protect the health and safety of residents of  communities  experiencing
  persistent problems in the operation of retail establishments;
    (f)  recommendations  concerning  the  addition  of  field enforcement
  personnel and the ratios of such  field  enforcement  personnel  to  the
  total  numbers  of  licensees that in the view of the authority would be
  appropriate to insure compliance with the law. Such study shall  provide
  a  detailed  analysis of the costs and projected revenues to be obtained
  from the addition of such field enforcement personnel;
    (g)  such  other  observations  and  recommendations  concerning   the
  activities  of  the  authority  as  will  improve  its effectiveness and
  efficiency including the utilization  of  on-line  services  to  provide
  information on a fee-for-service basis; and
    (h)  provide information concerning the name, total quantity and total
  price of wine purchased from New York state  and  out-of-state  wineries
  and  farm  wineries,  and  such other information on and recommendations
  concerning interstate wine shipment.
    14. For state fiscal year two thousand  nine--two  thousand  ten,  the
  authority  shall,  within  amounts  appropriated  therefore, improve and
  update their information technology in order to  meet  federal  security
  requirements  and  to  assist in the processing of license and/or permit
  applications and renewals.
    * NB Effective July 18, 2018

    * S 18. Powers and duties of the chairman. The chairman shall have the
  following functions, powers and duties:
    1.  To  exercise  the powers and perform the duties in relation to the
  administration of the division of alcoholic beverage control as are  not
  specifically  vested  by  this  chapter  in  the state liquor authority,
  including but not limited to budgetary and fiscal matters.
    2. To preside at  all  meetings  of  the  authority  and  perform  the
  administrative functions of the authority.
    3.   To   appoint   any   necessary  deputies,  counsels,  assistants,
  investigators,  and  other  employees  within  the  limits  provided  by
  appropriation.
    4.  To  remove  any  employee of the authority for cause, after giving
  such employee a copy of the charges against him or her in  writing,  and
  an  opportunity  to  be  heard  thereon.  Any  action  taken  under this
  subdivision shall be subject to and in accordance with the civil service
  law.
    5. To keep records in such form as he or  she  may  prescribe  of  all
  licenses  and  permits issued and revoked within the state; such records
  shall be so kept as to provide ready information as to the  identity  of
  all  licensees  including  the  names  of  the officers and directors of
  corporate licensees and the  location  of  all  licensed  premises.  The
  chairman  may,  with  the  approval  of the commissioner of taxation and
  finance, contract to furnish copies  of  the  records  of  licenses  and
  permits  of each class and type issued within the state or any political
  subdivision thereof, for any license or permit year or term of years not
  exceeding five years.
    6. To inspect or provide for the  inspection  of  any  premises  where
  alcoholic beverages are manufactured or sold.
    7.  To  prescribe forms of applications for licenses and permits under
  this chapter and of all reports deemed necessary by the authority.
    8. To delegate to the officers and employees of the authority such  of
  his or her powers and duties as he or she may determine.
    9. To establish appropriate procedures to insure that hearing officers
  are  shielded  from  ex  parte communications with alleged violators and
  their attorneys and from other employees of the authority and shall take
  such other steps as it shall deem necessary and  proper  to  shield  its
  judicial processes from unwarranted and inappropriate communications and
  attempts to influence.
    10.  To  develop  and  establish minimum criteria for alcohol training
  awareness programs which may be given and administered by schools; other
  entities including trade associations whose members are  engaged  in  or
  involved  in  the  retail  sale  of  alcoholic  beverages;  national and
  regional franchisors who have granted at least five  franchises  in  the
  state  which  are  licensed  to  sell  beer  at  retail for off-premises
  consumption; licensees authorized to sell alcoholic beverages at  retail
  for  off-premises  consumption operating five or more licensed premises;
  and persons interested, whether as an individual proprietor  or  partner
  or  officer  or  member  of a limited liability company, in five or more
  licensees  authorized  to  sell  alcoholic  beverages  at   retail   for
  off-premises  consumption.  The authority shall provide for the issuance
  of certificates of approval to all certified alcohol training  awareness
  programs.  Certificates  of approval may be revoked by the authority for
  failure to adhere to the authority's rules and regulations.  Such  rules
  and regulations shall afford those who have been issued a certificate of
  approval  an  opportunity  for  a  hearing prior to any determination of
  whether such certificate should be revoked.
    No licensee shall be required to apply for  any  such  certificate  or
  renewal  certificate  and  the licensee may voluntarily surrender such a
  certificate or renewal certificate at any time. A fee in the  amount  of
  nine   hundred  dollars  shall  be  paid  to  the  authority  with  each
  application for a certificate of approval or  renewal  certificate.  The
  authority   shall  promptly  refund  such  fee  to  an  applicant  whose
  application was denied. Each certificate of approval and renewal thereof
  shall be  issued  for  a  period  of  three  years.  To  effectuate  the
  provisions of this subdivision, the authority is empowered to require in
  connection with an application the submission of such information as the
  authority  may  direct;  to  prescribe  forms of applications and of all
  reports which it  deems  necessary  to  be  made  by  any  applicant  or
  certificate   holder;   to   conduct   investigations;  to  require  the
  maintenance of such books and records as the authority  may  direct;  to
  revoke,  cancel,  or  suspend  for cause any certificate provided for in
  this subdivision. Each entity  authorized  to  give  and  administer  an
  alcohol   training   awareness   program  shall  issue  certificates  of
  completion to all licensees and employees who successfully complete such
  an approved  alcohol  training  awareness  program.  Such  entity  shall
  regularly  transmit  to  the authority the names, addresses and dates of
  attendance  of  all  the  licensees  and  employees  of  licensees   who
  successfully  complete  an  approved alcohol training awareness program.
  Such transmittal shall be  in  a  form  and  manner  prescribed  by  the
  authority. The authority shall adopt rules and regulations to effectuate
  the  provisions  of this subdivision, including the minimum requirements
  for the curriculum of each such training program and the regular ongoing
  training of employees holding  certificates  of  completion  or  renewal
  certificates.  Such  rules  and  regulations  shall  include the minimum
  requirements for a separate curriculum for licensees and their employees
  authorized to  sell  alcoholic  beverages  at  retail  for  off-premises
  consumption,   minimum   requirements  for  a  separate  curriculum  for
  licensees and their employees authorized to sell alcoholic beverages  at
  retail  for  on-premises  consumption,  and the form of a certificate of
  completion or renewal thereof to be issued in respect to each such  type
  of  program. A certificate of completion or renewal thereof issued by an
  entity authorized to give and administer an alcohol  training  awareness
  program  pursuant  to  this subdivision to licensees and their employees
  authorized to  sell  alcoholic  beverages  at  retail  for  off-premises
  consumption  shall  not  be  invalidated  by  a  change of employment to
  another such licensee. A certificate of completion  or  renewal  thereof
  issued  by  an  entity  authorized  to  give  and  administer an alcohol
  training awareness program pursuant to this subdivision to licensees and
  their employees authorized to sell alcoholic  beverages  at  retail  for
  on-premises  consumption  shall  not  be  invalidated  by  a  change  of
  employment  to  another  such  licensee.  Attendance   at   any   course
  established  pursuant  to  this  section  shall  be  in  person, through
  distance learning methods, or through an internet based online program.
    11. To make an annual report to the governor and  the  legislature  of
  its activities for the preceding year.
    12.  On  and  after  January  first,  two  thousand twelve, the report
  provided for in subdivision eleven of  this  section  shall  include  an
  evaluation  of  the  effectiveness  of  the  prohibition  on the sale of
  alcohol to persons under the age of twenty-one as  provided  in  section
  sixty-five-b  of this chapter with particular emphasis on the provisions
  of subdivisions one, two, three, four and five of section  sixty-five-b,
  subdivision  five of section one hundred nineteen and subdivision six of
  section sixty-five of this chapter, paragraph (b) of  subdivision  seven
  of  section  170.55 of the criminal procedure law and subdivision (f) of
  section 19.07 of the mental hygiene law.
    13. On and after  January  first,  two  thousand  twelve,  the  report
  provided  for  in  subdivision  eleven  of  this  section  shall include
  information related to the number of licenses applied for and the length
  of time required for the approval  or  denial  of  such  retail  license
  applied  for pursuant to subdivision two-c of section sixty-one, section
  sixty-four,  section   seventy-six,   section   seventy-six-a,   section
  seventy-six-c, and section seventy-six-d of this chapter.
    14. To study and report to the governor and the legislature biennially
  on or before February first of each year concerning:
    (a)  recommendations to reduce the number and type of licenses, and to
  establish a uniform, statewide schedule of fees, such recommendations to
  include the development of a master application form for  all  licenses,
  with  specific  exhibits required for specific licenses, as appropriate,
  as well as recommendations on a non-refundable application fee set at  a
  level which will cover the cost of the review and which would be applied
  against the first year license fee if the application is granted;
    (b) recommendations to simplify license renewal procedures;
    (c)  recommendations  to streamline the processing of applications and
  to eliminate duplication of reviews,  such  recommendations  to  include
  uniform  standards  for application review and decision which shall seek
  to assure that the review is as objective as possible and to narrow  the
  discretion  of  the  authority  or  of  any  reviewer  employed  by  the
  authority;
    (d) the extent to which quality of life issues, such as  noise  level,
  vehicular  traffic  and  parking  are considered in licensing decisions,
  particularly  as  such  issues  pertain  to  proceedings   pursuant   to
  subdivision seven of section sixty-four of this chapter;
    (e)  recommendations  to improve enforcement methodologies in order to
  protect the health and safety of residents of  communities  experiencing
  persistent problems in the operation of retail establishments;
    (f)  recommendations  concerning  the  addition  of  field enforcement
  personnel and the ratios of such  field  enforcement  personnel  to  the
  total  numbers  of  licensees that in the view of the authority would be
  appropriate to insure compliance with the law. Such study shall  provide
  a  detailed  analysis of the costs and projected revenues to be obtained
  from the addition of such field enforcement personnel;
    (g)  such  other  observations  and  recommendations  concerning   the
  activities  of  the  authority  as  will  improve  its effectiveness and
  efficiency including the utilization  of  on-line  services  to  provide
  information on a fee-for-service basis; and
    (h)  provide information concerning the name, total quantity and total
  price of wine purchased from New York state  and  out-of-state  wineries
  and  farm  wineries,  and  such other information on and recommendations
  concerning interstate wine shipment.
    15. For state fiscal year two thousand twelve--two thousand  thirteen,
  the  authority  shall, within amounts appropriated therefor, improve and
  update their information technology in order to  meet  federal  security
  requirements  and  to  assist in the processing of license and/or permit
  applications and renewals.
    * NB Effective until July 18, 2018

    * S 18. Powers and duties of the chairman. The chairman shall have the
  following functions, powers and duties:
    1. To exercise the powers and perform the duties in  relation  to  the
  administration  of the division of alcoholic beverage control as are not
  specifically vested by this chapter in the state liquor authority.
    2. To preside at  all  meetings  of  the  authority  and  perform  the
  administrative functions of the authority.
    3.  To  keep  records in such form as he may prescribe of all licenses
  and permits issued and revoked within the state; such records  shall  be
  so  kept  as  to  provide  ready  information  as to the identity of all
  licensees including the names of the officers and directors of corporate
  licensees  and  the location of all licensed premises. The chairman may,
  with the approval of the commissioner of taxation and finance,  contract
  to  furnish  copies of the records of licenses and permits of each class
  and type issued within the state or any political  subdivision  thereof,
  for  any  license  or  permit  year  or term of years not exceeding five
  years.
    4. To inspect or provide for the  inspection  of  any  premises  where
  alcoholic beverages are manufactured or sold.
    5.  To  prescribe forms of applications for licenses and permits under
  this chapter and of all reports deemed necessary by the authority.
    6. To delegate to the officers and employees of the division  such  of
  his powers and duties as he may determine.
    * NB Effective July 18, 2018

S 19. Oath of office. Each member of the authority shall, before
entering upon his duties, take and file an oath of office as prescribed
by section ten of the public officers law.

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