N.Y. Alcoholic Beverage Control Law § 17: Powers of the authority

* § 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-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, sixty-four-f, seventy-six-f, 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 thirty,

thirty-one, fifty-three, sixty-one-a, sixty-one-b, sixty-one-c,

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, 2027

* § 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-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, sixty-four-f, seventy-six-f, 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 thirty,

thirty-one, fifty-three, sixty-one-a, sixty-one-b, sixty-one-c,

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 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. (a) 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.

(b) 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. Such rules and regulations shall include a requirement that

all curriculums include training related to human trafficking awareness.

Such human trafficking awareness training curriculum shall be developed

in conjunction with, and approved by, the New York state interagency

task force on human trafficking. Such human trafficking awareness

training program shall be implemented by each entity authorized to give

and administer an alcohol training awareness program. Any such entity

that does not implement a human trafficking awareness program as part of

its curriculum shall no longer be authorized to administer any alcohol

training awareness program and shall not be eligible to be certified as

a state liquor authority school. Any alcohol training awareness program

that is currently certified by the state liquor authority shall lose its

certification if such program fails to include human trafficking

awareness training as part of its curriculum.

(c) 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, 2027