S T A T E   O F   N E W   Y O R K
       ________________________________________________________________________
                                         41--A
                              2013-2014 Regular Sessions
                                   I N  S E N A T E
                                      (PREFILED)
                                    January 9, 2013
                                      ___________
       Introduced  by  Sen. PERALTA -- read twice and ordered printed, and when
         printed to be committed to the Committee on Codes  --  recommitted  to
         the  Committee  on  Codes  in accordance with Senate Rule 6, sec. 8 --
         committee discharged, bill amended, ordered reprinted as  amended  and
         recommitted to said committee
       AN  ACT to amend the general business law and the penal law, in relation
         to preventing the sale of firearms, rifles and shotguns to criminals
         THE PEOPLE OF THE STATE OF NEW YORK, REPRESENTED IN SENATE AND  ASSEM-
       BLY, DO ENACT AS FOLLOWS:
    1    Section 1. Legislative findings and declaration. The legislature here-
    2  by finds and declares as follows:
    3    1.  Firearms, rifles and shotguns are used to kill nearly 30,000 indi-
    4  viduals in the United States every year, including 1,000 individuals  in
    5  New York state alone. Additionally, there are 100,000 non-fatal injuries
    6  across  the  country.  The  federal  government has largely ignored this
    7  public health crisis and has left it up to state and  local  governments
    8  to protect its citizens. Firearm violence also costs millions of dollars
    9  and  causes  incalculable  emotional  damage,  devastating  families and
   10  communities throughout the country.  Therefore, the state  of  New  York
   11  has  a  strong interest in reducing violence and crimes that involve the
   12  use of firearms and the illegal trafficking of  firearms.  Illegal  guns
   13  obtained  throughout  the  state end up in the hands of criminals, youth
   14  and violent individuals who use them to threaten, maim and kill.
   15    2. There is a thriving underground market for illegal firearms, large-
   16  ly driven by demand from drug gangs and other criminals. A highly  effi-
   17  cient  and  continuous  business  practice  exists in which firearms are
   18  moved from legal manufacture and sale to prohibited  purchasers,  making
   19  them  illegal  firearms. In 2001, approximately 12,000 illegal firearms,
   20  rifles and shotguns were seized in New York state.   From November  2000
   21  to  April  2002,  2,700 crime guns were entered into the state crime gun
        EXPLANATION--Matter in ITALICS (underscored) is new; matter in brackets
                             [ ] is old law to be omitted.
                                                                  LBD00353-04-4
       S. 41--A                            2
    1  database.  In 2008, according to a review by the federal bureau of alco-
    2  hol, tobacco, firearms, and explosives (ATF) of trace data compiled  for
    3  several  regions  in  the  state,  including Albany, Buffalo, Rochester,
    4  Syracuse,  Long  Island  and  New  York  City  that calendar year, 9,558
    5  firearms were submitted to be traced, 2,659 of  which  were  long  guns.
    6  Outside  New  York  City, long guns are sold without a permit. Forty-six
    7  percent of the firearms recovered in 2008 were found  outside  New  York
    8  City.    A significant portion of guns involved in crimes upstate origi-
    9  nate within the state. In fact, youth data reveals that in 2000, 40%  of
   10  the  crime  guns in Buffalo originated within a five-mile radius of that
   11  city.
   12    3. A substantial portion of illegal firearms are diverted to the ille-
   13  gal market through licensed gun dealers. Rogue gun dealers  play  a  key
   14  role  in  this  market.  These  rogue dealers funnel guns to the illegal
   15  market through a variety of channels. One of the most common means is to
   16  allow "straw purchases". A straw purchase occurs when a person purchases
   17  a gun on behalf of a prohibited person. The ATF  conducted  an  investi-
   18  gation of gun trafficking from July 1996 to December 1998 and found that
   19  almost 26,000 trafficked firearms were associated with investigations in
   20  which  there was a straw purchaser. Almost 50% of all trafficking inves-
   21  tigations involved straw purchasers, with  an  average  of  37  firearms
   22  trafficked per investigation.  Another issue, according to a 2008 report
   23  by  Mayors  Against Illegal Guns, Inside Straw Purchasing: How Criminals
   24  Get Guns Illegally, is that many traffickers return to  the  same  store
   25  again  and  again  once they have identified it as one in which they can
   26  make straw purchases easily.  Although most gun  dealers  operate  their
   27  businesses  legally and responsibly, some gun dealers who are corrupt or
   28  maintain shoddy recordkeeping practices flood the streets  with  illegal
   29  weapons  as  a  result of their unrestricted access to new gun inventory
   30  and the unwillingness of gun manufacturers to terminate their supply  to
   31  these rogue dealers. Current federal and state regulation has not curbed
   32  the  business practice of illegal gun dealers. According to a 2004 study
   33  by Americans for Gun Safety, of the 120 worst gun dealers in  the  coun-
   34  try,  namely  those  dealers with an average of 500 crime guns traced to
   35  them, 96 were still in operation.
   36    4. Moreover, this problem is not limited to  unlicensed  sellers,  and
   37  clearly  includes  federal  firearms  licensees (FFLs). Indeed, although
   38  FFLs were involved in under 10% of the trafficking investigations under-
   39  taken by ATF, they were associated with the largest number  of  diverted
   40  firearms--over  40,000 guns, which is nearly half of the total number of
   41  trafficked firearms documented  during  the  two-year  period  of  ATF's
   42  investigation.    Additionally,  a 2008 report by Mayors Against Illegal
   43  Guns indicated that several states  which  allow  state  authorities  to
   44  supplement  the federal ATF inspections with routine inspections provide
   45  law enforcement with more opportunities to uncover dealers in  violation
   46  of  the  law.  These inspections also help identify dealers who exercise
   47  lax oversight over their inventory and may lead to  improved  compliance
   48  with federal, state and local laws.
   49    5.  Current  New  York state laws governing firearm dealers are inade-
   50  quate to prevent the diversion of firearms to the  illegal  marketplace.
   51  Additional  protections that are needed include, but are not limited to,
   52  better gun dealer internal compliance procedures, programs to  eliminate
   53  straw  purchases, increased liability insurance, improved security meas-
   54  ures, reducing youth access, mandatory training for gun  dealer  employ-
   55  ees, and improved recordkeeping requirements. The additional protections
       S. 41--A                            3
    1  set forth in this act will greatly enhance the state's efforts to reduce
    2  criminal activity in the state.
    3    S  2. Article 40 and sections 900 and 901 of the general business law,
    4  as renumbered by chapter 407 of the laws of 1973, are renumbered article
    5  50 and sections 1001 and 1002 and a new article 40 is added to  read  as
    6  follows:
    7                                  ARTICLE 40
    8                      PREVENTING THE SALE OF FIREARMS,
    9                      RIFLES, AND SHOTGUNS TO CRIMINALS
   10  SECTION 900. DEFINITIONS.
   11          901. REASONABLE MEASURES TO PREVENT SALES AND
   12                  TRANSFERS TO CRIMINALS.
   13          902. SECURITY.
   14          903. ACCESS TO FIREARMS, RIFLES AND SHOTGUNS.
   15          904. LOCATION OF FIREARM, RIFLE AND SHOTGUN SALES.
   16          905. EMPLOYEE TRAINING.
   17          906. RETAIL SALES OF FIREARMS, RIFLES AND SHOTGUNS.
   18          907. MAINTENANCE OF RECORDS.
   19          908. COOPERATION WITH LAW ENFORCEMENT.
   20          909. INTERNAL COMPLIANCE AND CERTIFICATION.
   21          910. RULES AND REGULATIONS.
   22          911. VIOLATIONS.
   23    S 900. DEFINITIONS. FOR THE PURPOSES OF THIS ARTICLE:
   24    1.  "DEALER"  MEANS  ANY  PERSON, FIRM, PARTNERSHIP, LIMITED LIABILITY
   25  COMPANY, CORPORATION  OR  COMPANY  WHICH  ENGAGES  IN  THE  BUSINESS  OF
   26  PURCHASING, SELLING, KEEPING FOR SALE, LENDING, LEASING OR IN ANY MANNER
   27  DISPOSING OF ANY FIREARM, RIFLE OR SHOTGUN.
   28    2.  "DISPOSE  OF"  MEANS  TO DISPOSE OF, GIVE, GIVE AWAY, LEASE, LEND,
   29  KEEP FOR SALE, OFFER,  OFFER  FOR  SALE,  SELL,  TRANSFER  OR  OTHERWISE
   30  DISPOSE OF.
   31    3.  "FIREARM" HAS THE SAME MEANING AS THAT TERM IS DEFINED IN SUBDIVI-
   32  SION THREE OF SECTION 265.00 OF THE PENAL LAW.
   33    4. "FIREARM EXHIBITOR" MEANS ANY PERSON,  FIRM,  PARTNERSHIP,  LIMITED
   34  LIABILITY  COMPANY,  CORPORATION OR COMPANY THAT EXHIBITS, SELLS, OFFERS
   35  FOR SALE, TRANSFERS OR EXCHANGES FIREARMS, RIFLES OR SHOTGUNS AT  A  GUN
   36  SHOW.
   37    5.  "GUN SHOW" MEANS AN EVENT SPONSORED, WHETHER FOR PROFIT OR NOT, BY
   38  AN INDIVIDUAL, NATIONAL, STATE OR LOCAL  ORGANIZATION,  ASSOCIATION,  OR
   39  OTHER ENTITY DEVOTED TO THE COLLECTION, COMPETITIVE USE, SPORTING USE OR
   40  ANY  OTHER  LEGAL  USE  OF  FIREARMS, RIFLES OR SHOTGUNS, OR AN EVENT AT
   41  WHICH: (A) TWENTY PERCENT OR MORE OF THE TOTAL NUMBER OF EXHIBITORS  ARE
   42  FIREARM  EXHIBITORS;  (B) TEN OR MORE FIREARM EXHIBITORS ARE PARTICIPAT-
   43  ING; (C) A TOTAL OF TWENTY-FIVE OR MORE PISTOLS OR REVOLVERS ARE OFFERED
   44  FOR SALE OR TRANSFER; OR (D) A TOTAL OF FIFTY OR MORE  FIREARMS,  RIFLES
   45  OR  SHOTGUNS ARE OFFERED FOR SALE OR TRANSFER. THE TERM "GUN SHOW" SHALL
   46  INCLUDE ANY BUILDING, STRUCTURE OR FACILITY WHERE  FIREARMS,  RIFLES  OR
   47  SHOTGUNS  ARE  OFFERED  FOR  SALE  OR  TRANSFER, AND ANY GROUNDS USED IN
   48  CONNECTION WITH THE EVENT.
   49    6. "RETAIL DEALER" MEANS ANY DEALER ENGAGED IN THE RETAIL BUSINESS  OF
   50  SELLING FIREARMS, RIFLES OR SHOTGUNS.
   51    7. "RIFLE" HAS THE SAME MEANING AS THAT TERM IS DEFINED IN SUBDIVISION
   52  ELEVEN OF SECTION 265.00 OF THE PENAL LAW.
   53    8.  "SHOTGUN" HAS THE SAME MEANING AS THAT TERM IS DEFINED IN SUBDIVI-
   54  SION TWELVE OF SECTION 265.00 OF THE PENAL LAW.
   55    9. "STRAW PURCHASE" MEANS THE PURCHASE OR ATTEMPT  TO  PURCHASE  BY  A
   56  PERSON  OF  A FIREARM, RIFLE OR SHOTGUN FOR, ON BEHALF OF OR FOR THE USE
       S. 41--A                            4
    1  OF ANOTHER PERSON, KNOWING THAT IT WOULD  BE  UNLAWFUL  FOR  SUCH  OTHER
    2  PERSON  TO POSSESS SUCH FIREARM, RIFLE OR SHOTGUN, OR AN ATTEMPT TO MAKE
    3  SUCH A PURCHASE.
    4    10.  "STRAW  PURCHASER"  MEANS  A PERSON WHO, KNOWING THAT IT WOULD BE
    5  UNLAWFUL FOR ANOTHER PERSON TO POSSESS  A  FIREARM,  RIFLE  OR  SHOTGUN,
    6  PURCHASES  OR  ATTEMPTS  TO PURCHASE A FIREARM, RIFLE OR SHOTGUN FOR, ON
    7  BEHALF OF OR FOR THE USE OF SUCH OTHER PERSON.
    8    11. "SUPERINTENDENT" MEANS THE SUPERINTENDENT OF STATE POLICE.
    9    S 901. REASONABLE MEASURES TO PREVENT SALES AND  TRANSFERS  TO  CRIMI-
   10  NALS.  EVERY DEALER SHALL ADOPT REASONABLE MEASURES TO PREVENT FIREARMS,
   11  RIFLES  AND  SHOTGUNS  FROM  BEING  DIVERTED  FROM  THE  LEGAL STREAM OF
   12  COMMERCE, INTENTIONALLY  OR  OTHERWISE,  FOR  LATER  SALE,  TRANSFER  OR
   13  DISPOSAL TO INDIVIDUALS NOT LEGALLY ENTITLED TO PURCHASE OR POSSESS SUCH
   14  WEAPONS.  SUCH  MEASURES  SHALL  INCLUDE,  BUT  NEED  NOT BE LIMITED TO,
   15  PROGRAMS TO ELIMINATE SALES TO STRAW PURCHASERS AND TO OTHERWISE  THWART
   16  ILLEGAL  GUN  TRAFFICKING.  THE  SUPERINTENDENT  SHALL  DEVELOP PROGRAMS
   17  DESIGNED TO ELIMINATE SALES TO STRAW PURCHASERS AND TO OTHERWISE  THWART
   18  ILLEGAL GUN TRAFFICKING. WITHIN SIX MONTHS OF THE EFFECTIVE DATE OF THIS
   19  ARTICLE,  THE  SUPERINTENDENT  SHALL  SUBMIT A REPORT TO THE LEGISLATURE
   20  DETAILING SUCH PROGRAMS, INCLUDING ESTABLISHING MINIMUM REQUIREMENTS FOR
   21  SUCH PROGRAMS.
   22    S 902. SECURITY. EVERY DEALER SHALL  IMPLEMENT  A  SECURITY  PLAN  FOR
   23  SECURING  FIREARMS,  RIFLES AND SHOTGUNS, INCLUDING FIREARMS, RIFLES AND
   24  SHOTGUNS IN SHIPMENT. EACH SUCH PLAN MUST SATISFY AT LEAST THE FOLLOWING
   25  REQUIREMENTS:
   26    1. DISPLAY CASES SHALL BE LOCKED AT ALL TIMES EXCEPT WHEN  REMOVING  A
   27  SINGLE FIREARM, RIFLE OR SHOTGUN TO SHOW A CUSTOMER, AND CUSTOMERS SHALL
   28  HANDLE FIREARMS, RIFLES OR SHOTGUNS ONLY UNDER THE DIRECT SUPERVISION OF
   29  AN EMPLOYEE;
   30    2.  ALL  FIREARMS,  RIFLES  AND  SHOTGUNS SHALL BE SECURED, OTHER THAN
   31  DURING BUSINESS HOURS, IN A  LOCKED  FIREPROOF  SAFE  OR  VAULT  IN  THE
   32  LICENSEE'S  BUSINESS  PREMISES  OR IN A SIMILAR SECURED AND LOCKED AREA;
   33  AND
   34    3. AMMUNITION SHALL BE STORED SEPARATELY FROM THE FIREARMS, RIFLES AND
   35  SHOTGUNS AND OUT OF REACH OF THE CUSTOMERS.
   36    S 903. ACCESS TO FIREARMS, RIFLES AND SHOTGUNS.  EVERY  RETAIL  DEALER
   37  SHALL  EXCLUDE  ALL  PERSONS  UNDER  EIGHTEEN  YEARS  OF  AGE FROM THOSE
   38  PORTIONS OF ITS PREMISES WHERE FIREARMS, RIFLES, SHOTGUNS OR  AMMUNITION
   39  ARE  STOCKED  OR  SOLD, UNLESS SUCH PERSON IS ACCOMPANIED BY A PARENT OR
   40  GUARDIAN.
   41    S 904. LOCATION OF FIREARM, RIFLE  AND  SHOTGUN  SALES.  EVERY  DEALER
   42  SHALL SELL OR OTHERWISE DISPOSE OF FIREARMS, RIFLES AND SHOTGUNS ONLY AT
   43  THE  LOCATION  LISTED ON THE DEALER'S FEDERAL FIREARMS LICENSE OR AT GUN
   44  SHOWS.
   45    S 905. EMPLOYEE TRAINING. EVERY RETAIL DEALER SHALL  PROVIDE  TRAINING
   46  TO  ALL  EMPLOYEES  AND  OTHER  PERSONNEL  ENGAGED IN THE RETAIL SALE OF
   47  FIREARMS, RIFLES AND SHOTGUNS RELATING TO:
   48    1. THE LAW GOVERNING FIREARM, RIFLE AND SHOTGUN TRANSFERS  BY  FEDERAL
   49  FIREARMS LICENSEES AND INDIVIDUALS;
   50    2.  HOW  TO  RECOGNIZE  STRAW PURCHASES AND OTHER ATTEMPTS TO PURCHASE
   51  FIREARMS, RIFLES OR SHOTGUNS ILLEGALLY;
   52    3. HOW TO TEACH CONSUMERS RULES  OF  GUN  SAFETY,  INCLUDING  BUT  NOT
   53  LIMITED  TO  THE SAFE HANDLING AND STORAGE OF FIREARMS, RIFLES AND SHOT-
   54  GUNS; AND
   55    4. HOW TO COMPLY WITH PROVISIONS OF SECTION NINE HUNDRED SIX  OF  THIS
   56  ARTICLE.
       S. 41--A                            5
    1    NO  EMPLOYEE  OR  AGENT  OF ANY RETAIL DEALER SHALL PARTICIPATE IN THE
    2  SALE OR DISPOSITION OF FIREARMS, RIFLES OR SHOTGUNS UNLESS  SUCH  PERSON
    3  IS  AT LEAST TWENTY-ONE YEARS OF AGE AND HAS FIRST RECEIVED THE TRAINING
    4  REQUIRED BY THIS SECTION.  THE  SUPERINTENDENT  SHALL  PROMULGATE  REGU-
    5  LATIONS  SETTING  FORTH  MINIMUM  REQUIREMENTS  FOR  THE  MAINTENANCE OF
    6  RECORDS OF SUCH TRAINING.
    7    S 906. RETAIL SALES OF FIREARMS, RIFLES AND  SHOTGUNS.  1.  NO  RETAIL
    8  DEALER  SHALL  SELL,  DELIVER,  LEASE  OR TRANSFER ANY FIREARM, RIFLE OR
    9  SHOTGUN TO ANY RETAIL  CUSTOMER  UNLESS  SUCH  RETAIL  DEALER  HAS:  (A)
   10  CONDUCTED  THE  REQUIRED  NATIONAL INSTANT CRIMINAL BACKGROUND CHECK AND
   11  COMPLIED WITH THE PROVISIONS OF 18 U.S.C. 922(T); (B) SHOWN  THE  TRANS-
   12  FEREE  HOW  TO  LOAD  AND  UNLOAD  THE FIREARM, RIFLE OR SHOTGUN, HOW TO
   13  ENGAGE AND DISENGAGE ALL SAFETY DEVICES, AND HOW  TO  SAFELY  STORE  THE
   14  WEAPON;  (C)  PROVIDED  THE  TRANSFEREE  WITH  A  GUN  LOCKING DEVICE AS
   15  REQUIRED BY SECTION THREE HUNDRED NINETY-SIX-EE  OF  THIS  CHAPTER;  (D)
   16  PROVIDED  THE  TRANSFEREE WITH A COPY OF THE SAFE STORAGE WARNING NOTICE
   17  SET FORTH IN SUBDIVISION TWO OF THIS SECTION AND A COPY OF  THE  FEDERAL
   18  BUREAU  OF  ALCOHOL,  TOBACCO,  FIREARMS  AND  EXPLOSIVES DISPOSITION OF
   19  FIREARMS NOTICE; (E) OBTAINED  THE  TRANSFEREE'S  SIGNATURE  ON  A  FORM
   20  PROMULGATED  BY  THE  SUPERINTENDENT  CERTIFYING THAT THE TRANSFEREE HAS
   21  RECEIVED THE INSTRUCTION AND NOTICE REQUIRED BY THIS  SECTION;  AND  (F)
   22  PROVIDED  THE TRANSFEREE WITH A WRITTEN RECORD OF THE MAKE, MODEL, CALI-
   23  BER OR GAUGE, AND SERIAL NUMBER OF EACH FIREARM, RIFLE OR SHOTGUN TRANS-
   24  FERRED TO ENABLE THE TRANSFEREE TO ACCURATELY DESCRIBE THE WEAPON TO LAW
   25  ENFORCEMENT IN THE EVENT THAT IT IS SUBSEQUENTLY LOST OR STOLEN.
   26    2. NO RETAIL  DEALER  SHALL  SELL,  DELIVER,  LEASE  OR  TRANSFER  ANY
   27  FIREARM,  RIFLE  OR  SHOTGUN  TO  ANY PERSON UNLESS AT THE TIME OF SALE,
   28  DELIVERY, LEASE OR TRANSFER SUCH FIREARM, RIFLE OR SHOTGUN  IS  ACCOMPA-
   29  NIED  BY  THE  FOLLOWING  WARNING, WHICH SHALL APPEAR IN CONSPICUOUS AND
   30  LEGIBLE TYPE IN CAPITAL LETTERS, AND WHICH SHALL BE PRINTED ON  A  LABEL
   31  AFFIXED TO SUCH FIREARM, RIFLE OR SHOTGUN AND PLACED IN THE CONTAINER IN
   32  WHICH  SUCH  FIREARM,  RIFLE  OR  SHOTGUN  IS SOLD, DELIVERED, LEASED OR
   33  TRANSFERRED: "THE USE OF A LOCKING DEVICE OR SAFETY  LOCK  IS  ONLY  ONE
   34  ASPECT  OF  RESPONSIBLE  FIREARM  STORAGE. FIREARMS SHOULD BE STORED AND
   35  LOCKED IN A LOCATION THAT IS BOTH SEPARATE  FROM  THEIR  AMMUNITION  AND
   36  INACCESSIBLE  TO  CHILDREN  AND  OTHER  UNAUTHORIZED  PERSONS. MORE THAN
   37  200,000 FIREARMS LIKE THIS ONE ARE STOLEN FROM THEIR OWNERS  EVERY  YEAR
   38  IN  THE  UNITED  STATES.  IN  ADDITION,  THERE  ARE MORE THAN A THOUSAND
   39  SUICIDES EACH YEAR BY YOUNGER CHILDREN AND TEENAGERS WHO GET  ACCESS  TO
   40  FIREARMS. HUNDREDS MORE DIE FROM ACCIDENTAL DISCHARGE. IT IS LIKELY THAT
   41  MANY  MORE CHILDREN SUSTAIN SERIOUS WOUNDS, OR INFLICT SUCH WOUNDS ACCI-
   42  DENTALLY ON OTHERS. IN ORDER TO LIMIT THE CHANCE OF SUCH MISUSE,  IT  IS
   43  IMPERATIVE  THAT  YOU KEEP THIS WEAPON LOCKED IN A SECURE PLACE AND TAKE
   44  OTHER STEPS NECESSARY TO LIMIT THE POSSIBILITY  OF  THEFT  OR  ACCIDENT.
   45  FAILURE TO TAKE REASONABLE PREVENTIVE STEPS MAY RESULT IN INNOCENT LIVES
   46  BEING LOST, AND IN SOME CIRCUMSTANCES MAY RESULT IN YOUR LIABILITY."
   47    S  907. MAINTENANCE OF RECORDS. EVERY DEALER SHALL ESTABLISH AND MAIN-
   48  TAIN SUCH PURCHASE, SALE, INVENTORY AND OTHER RECORDS  AT  THE  DEALER'S
   49  PLACE OF BUSINESS IN SUCH FORM AND FOR SUCH PERIOD AS THE SUPERINTENDENT
   50  SHALL REQUIRE, AND SHALL AT A MINIMUM INCLUDE THE FOLLOWING:
   51    1.  EVERY  DEALER  SHALL RECORD THE MAKE, MODEL, CALIBER OR GAUGE, AND
   52  SERIAL NUMBER OF ALL FIREARMS, RIFLES AND SHOTGUNS THAT ARE ACQUIRED  OR
   53  DISPOSED  OF  NOT LATER THAN ONE BUSINESS DAY AFTER THEIR ACQUISITION OR
   54  DISPOSITION. MONTHLY BACKUPS OF THESE RECORDS SHALL BE MAINTAINED  IN  A
   55  SECURE  CONTAINER DESIGNED TO PREVENT LOSS BY FIRE, THEFT OR OTHER MISH-
   56  AP;
       S. 41--A                            6
    1    2. ALL FIREARMS, RIFLES AND SHOTGUNS ACQUIRED BUT NOT YET DISPOSED  OF
    2  MUST  BE  ACCOUNTED  FOR  THROUGH  AN INVENTORY CHECK PREPARED ONCE EACH
    3  MONTH AND MAINTAINED IN A SECURE LOCATION;
    4    3.  FIREARM, RIFLE AND SHOTGUN SALES INFORMATION, INCLUDING THE SERIAL
    5  NUMBERS OF FIREARMS, RIFLES AND SHOTGUNS SOLD, DATES OF SALE AND IDENTI-
    6  TY OF PURCHASERS, SHALL BE MAINTAINED AND MADE AVAILABLE  TO  GOVERNMENT
    7  LAW  ENFORCEMENT  AGENCIES  AND TO THE MANUFACTURER OF THE WEAPON OR ITS
    8  DESIGNEE; AND
    9    4. EVERY DEALER SHALL MAINTAIN RECORDS OF CRIMINAL FIREARM, RIFLE  AND
   10  SHOTGUN  TRACES  INITIATED  BY  THE  FEDERAL BUREAU OF ALCOHOL, TOBACCO,
   11  FIREARMS AND EXPLOSIVES ("ATF"). ALL ATF FORM 4473  TRANSACTION  RECORDS
   12  SHALL BE RETAINED ON THE DEALER'S BUSINESS PREMISES IN A SECURE CONTAIN-
   13  ER DESIGNED TO PREVENT LOSS BY FIRE, THEFT, OR OTHER MISHAP.
   14    S 908. COOPERATION WITH LAW ENFORCEMENT. EVERY DEALER SHALL:
   15    1. PROVIDE GOVERNMENT LAW ENFORCEMENT AGENCIES WITH FULL ACCESS TO ANY
   16  DOCUMENTS  RELATED  TO  THE  ACQUISITION  AND DISPOSITION OF FIREARMS OR
   17  EMPLOYEE TRAINING DEEMED NECESSARY BY SUCH AGENCY;
   18    2. PARTICIPATE IN AND COMPLY WITH ALL MONITORING OF FIREARM, RIFLE AND
   19  SHOTGUN DISTRIBUTION BY  MANUFACTURERS  OR  GOVERNMENT  LAW  ENFORCEMENT
   20  AGENCIES;
   21    3.  REPORT  ALL ATF TRACE REQUESTS BY MAKE, MODEL AND SERIAL NUMBER OF
   22  FIREARM, DATE OF TRACE, AND DATE OF SALE  TO  THE  MANUFACTURER  OF  THE
   23  FIREARM, RIFLE OR SHOTGUN ON A MONTHLY BASIS, UNLESS THE ATF DIRECTS THE
   24  LICENSEE  NOT  TO  REPORT CERTAIN TRACES, AND ALSO REPORT SUCH TRACES TO
   25  THE SUPERINTENDENT FOR USE IN CONJUNCTION WITH THE CRIMINAL  GUN  CLEAR-
   26  INGHOUSE ESTABLISHED PURSUANT TO SECTION TWO HUNDRED THIRTY OF THE EXEC-
   27  UTIVE LAW;
   28    4.  ANALYZE  ALL  ATF  TRACE  REQUESTS TO DETERMINE WHETHER THERE IS A
   29  PATTERN OF FIREARMS, RIFLES OR SHOTGUNS SOLD BY THE  DEALER  BEING  USED
   30  FOR  CRIMINAL  PURPOSES,  AND,  IF  SUCH PATTERN EXISTS, TAKE CORRECTIVE
   31  ACTION AND REPORT SUCH FINDINGS AND SUCH CORRECTIVE ACTION TO THE SUPER-
   32  INTENDENT; AND
   33    5. REPORT ANY FIREARM, RIFLE OR SHOTGUN SALES THAT APPEAR TO BE  STRAW
   34  PURCHASES  OR  OTHERWISE CREATE A REASONABLE SUSPICION THAT THE FIREARM,
   35  RIFLE OR SHOTGUN MAY BE DIVERTED FROM THE LEGAL STREAM OF COMMERCE.
   36    S 909. INTERNAL COMPLIANCE AND CERTIFICATION. 1. EVERY DEALER SHALL:
   37    (A) IMPLEMENT AND MAINTAIN SUFFICIENT INTERNAL  COMPLIANCE  PROCEDURES
   38  TO  ENSURE  COMPLIANCE  WITH  THE  REQUIREMENTS  OF THIS ARTICLE AND ALL
   39  APPLICABLE FEDERAL, STATE AND LOCAL LAWS AND REGULATIONS  GOVERNING  THE
   40  SALE, TRANSFER AND DISPOSAL OF FIREARMS, RIFLES AND SHOTGUNS; AND
   41    (B)  ANNUALLY  CERTIFY  TO  THE  SUPERINTENDENT  THAT  SUCH DEALER HAS
   42  COMPLIED WITH ALL OF THE REQUIREMENTS OF THIS ARTICLE.  THE  SUPERINTEN-
   43  DENT  SHALL  BY REGULATION DETERMINE THE FORM AND CONTENT OF SUCH ANNUAL
   44  CERTIFICATION.
   45    2. THE SUPERINTENDENT SHALL PROMULGATE REGULATIONS ESTABLISHING  PERI-
   46  ODIC  INSPECTIONS, DURING REGULAR AND USUAL BUSINESS HOURS, BY THE DIVI-
   47  SION OF STATE POLICE OF  THE  PREMISES  OF  EVERY  DEALER  TO  DETERMINE
   48  COMPLIANCE  BY  SUCH DEALER WITH THE REQUIREMENTS OF THIS ARTICLE. EVERY
   49  DEALER SHALL PROVIDE THE DIVISION OF STATE POLICE WITH  FULL  ACCESS  TO
   50  SUCH DEALER'S PREMISES FOR SUCH INSPECTIONS.
   51    S  910.  RULES AND REGULATIONS. THE SUPERINTENDENT MAY PROMULGATE SUCH
   52  ADDITIONAL RULES AND REGULATIONS AS THE SUPERINTENDENT SHALL DEEM NECES-
   53  SARY TO PREVENT FIREARMS, RIFLES AND SHOTGUNS FROM BEING  DIVERTED  FROM
   54  THE LEGAL STREAM OF COMMERCE.
   55    S  911.  VIOLATIONS.  ANY  PERSON, FIRM OR CORPORATION WHICH KNOWINGLY
   56  VIOLATES ANY PROVISION OF THIS ARTICLE SHALL BE  GUILTY  OF  A  CLASS  A
       S. 41--A                            7
    1  MISDEMEANOR  PUNISHABLE  AS  PROVIDED FOR IN THE PENAL LAW, AND SHALL BE
    2  GUILTY OF A CLASS E FELONY FOR A SECOND VIOLATION OCCURRING WITHIN  FIVE
    3  YEARS  OF  A  PRIOR  CONVICTION FOR A VIOLATION OF ANY PROVISION OF THIS
    4  ARTICLE.
    5    S  3.  Subdivision 1 of section 396-ee of the general business law, as
    6  added by chapter 189 of the laws of 2000, is amended to read as follows:
    7    (1) No person, firm or corporation engaged in the retail  business  of
    8  selling  rifles,  shotguns  or  firearms,  as  such terms are defined in
    9  section 265.00 of the penal law, shall sell,  deliver  or  transfer  any
   10  such  rifle,  shotgun or firearm to another person unless the transferee
   11  is provided at the time of sale, delivery or transfer with a gun locking
   12  device and a label containing the quoted language specified in  subdivi-
   13  sion two of [this] section [is either] NINE HUNDRED SIX OF THIS CHAPTER,
   14  WHICH  SHALL  APPEAR IN CONSPICUOUS AND LEGIBLE TYPE IN CAPITAL LETTERS,
   15  AND SHALL BE affixed to such rifle, shotgun or firearm [or]  AND  placed
   16  in the container in which such rifle, shotgun or firearm is sold, deliv-
   17  ered  or  transferred.  For  the purposes of this section, the term "gun
   18  locking device" shall mean an integrated design feature or an attachable
   19  accessory that is resistant to tampering and is effective in  preventing
   20  the discharge of such rifle, shotgun or firearm by a person who does not
   21  have access to the key, combination or other mechanism used to disengage
   22  the  device.  The  division of state police shall develop and promulgate
   23  rules and regulations setting forth the specific devices or the  minimum
   24  standards  and criteria therefor which constitute an effective gun lock-
   25  ing device.
   26    S 4. Subdivision 1 of section 400.00 of the penal law, as  amended  by
   27  chapter 1 of the laws of 2013, is amended to read as follows:
   28    1. Eligibility. No license shall be issued or renewed pursuant to this
   29  section  except  by  the licensing officer, and then only after investi-
   30  gation and finding that all statements in a  proper  application  for  a
   31  license  are  true.  No license shall be issued or renewed except for an
   32  applicant (a) twenty-one years of age or older, provided, however,  that
   33  where  such  applicant  has  been  honorably  discharged from the United
   34  States army, navy, marine corps,  air  force  or  coast  guard,  or  the
   35  national  guard  of the state of New York, no such age restriction shall
   36  apply; (b) of good moral character;  (c)  who  has  not  been  convicted
   37  anywhere  of  a  felony  or a serious offense; (d) who is not a fugitive
   38  from justice; (e) who is not an unlawful user  of  or  addicted  to  any
   39  controlled  substance as defined in section 21 U.S.C. 802; (f) who being
   40  an alien (i) is not illegally or unlawfully in the United States or (ii)
   41  has not been admitted to the United States  under  a  nonimmigrant  visa
   42  subject  to  the  exception in 18 U.S.C. 922(y)(2); (g) who has not been
   43  discharged from the Armed Forces under dishonorable conditions; (h) who,
   44  having been a citizen of the United States, has not renounced his or her
   45  citizenship; (i) who has stated whether he or she has ever suffered  any
   46  mental illness; (j) who has not been involuntarily committed to a facil-
   47  ity  under  the  jurisdiction  of  an office of the department of mental
   48  hygiene pursuant to article nine or fifteen of the mental  hygiene  law,
   49  article seven hundred thirty or section 330.20 of the criminal procedure
   50  law,  section  four  hundred two or five hundred eight of the correction
   51  law, section 322.2 or 353.4 of the family court act,  or  has  not  been
   52  civilly  confined in a secure treatment facility pursuant to article ten
   53  of the mental hygiene law; (k) who has not had a license revoked or  who
   54  is  not under a suspension or ineligibility order issued pursuant to the
   55  provisions of section 530.14 of the criminal procedure  law  or  section
   56  eight  hundred forty-two-a of the family court act; (l) in the county of
       S. 41--A                            8
    1  Westchester, who has successfully completed a firearms safety course and
    2  test as evidenced by a certificate of completion issued in  his  or  her
    3  name  and endorsed and affirmed under the penalties of perjury by a duly
    4  authorized  instructor,  except  that:  (i)  persons  who  are honorably
    5  discharged from the United States army,  navy,  marine  corps  or  coast
    6  guard,  or  of  the national guard of the state of New York, and produce
    7  evidence of official  qualification  in  firearms  during  the  term  of
    8  service  are  not  required  to have completed those hours of a firearms
    9  safety course pertaining to the safe use, carrying, possession,  mainte-
   10  nance  and  storage  of a firearm; and (ii) persons who were licensed to
   11  possess a pistol or revolver prior to the effective date of  this  para-
   12  graph  are  not  required to have completed a firearms safety course and
   13  test; (m) who has not had a guardian appointed for him or  her  pursuant
   14  to any provision of state law, based on a determination that as a result
   15  of  marked subnormal intelligence, mental illness, incapacity, condition
   16  or disease, he or she lacks the mental capacity to  contract  or  manage
   17  his or her own affairs; and (n) concerning whom no good cause exists for
   18  the  denial  of  the  license. No person shall engage in the business of
   19  gunsmith or dealer in firearms unless licensed pursuant to this section,
   20  AND NO PERSON SHALL ENGAGE IN THE BUSINESS OF DEALER IN FIREARMS  UNLESS
   21  SUCH  PERSON COMPLIES WITH THE PROVISIONS OF ARTICLES THIRTY-NINE-DD AND
   22  FORTY OF THE GENERAL BUSINESS LAW.  An applicant to engage in such busi-
   23  ness shall also be a citizen of the United States, more than  twenty-one
   24  years  of  age  and  maintain  a place of business in the city or county
   25  where the license is issued. For such business, if the  applicant  is  a
   26  firm  or  partnership,  each member thereof shall comply with all of the
   27  requirements set forth in this subdivision and if  the  applicant  is  a
   28  corporation, each officer thereof shall so comply.
   29    S  5.  Subdivisions  11  and 12 of section 400.00 of the penal law, as
   30  amended by chapter 1 of the  laws  of  2013,  are  amended  to  read  as
   31  follows:
   32    11. License: revocation and suspension. (a) The conviction of a licen-
   33  see  anywhere  of  a felony or serious offense or a licensee at any time
   34  becoming ineligible to obtain a license under this section shall operate
   35  as a revocation of the license. A license may be revoked or suspended as
   36  provided for in section 530.14 of the criminal procedure law or  section
   37  eight  hundred forty-two-a of the family court act. Except for a license
   38  issued pursuant to section 400.01 of this  article,  a  license  may  be
   39  revoked  and  cancelled  at any time in the city of New York, and in the
   40  counties of Nassau and Suffolk, by the licensing officer, and  elsewhere
   41  than  in  the  city  of  New  York by any judge or justice of a court of
   42  record; a license issued pursuant to section 400.01 of this article  may
   43  be  revoked  and  cancelled  at any time by the licensing officer or any
   44  judge or justice of a court of record.  A LICENSE TO ENGAGE IN THE BUSI-
   45  NESS OF DEALER MAY BE REVOKED OR SUSPENDED  FOR  ANY  VIOLATION  OF  THE
   46  PROVISIONS  OF  ARTICLE  THIRTY-NINE-DD OR FORTY OF THE GENERAL BUSINESS
   47  LAW. The official revoking a license shall give written  notice  thereof
   48  without unnecessary delay to the executive department, division of state
   49  police,  Albany,  and shall also notify immediately the duly constituted
   50  police authorities of the locality.
   51    (b) Whenever the director of community services or his or her designee
   52  makes a report pursuant to section 9.46 of the mental hygiene  law,  the
   53  division  of  criminal  justice  services shall convey such information,
   54  whenever it determines that the person named in the report  possesses  a
   55  license  issued  pursuant  to this section, to the appropriate licensing
   56  official, who shall issue an order suspending or revoking such license.
       S. 41--A                            9
    1    (c) In any instance in  which  a  person's  license  is  suspended  or
    2  revoked  under  paragraph  (a)  or  (b) of this subdivision, such person
    3  shall surrender such license to the appropriate licensing  official  and
    4  any  and  all  firearms,  rifles, or shotguns owned or possessed by such
    5  person  shall be surrendered to an appropriate law enforcement agency as
    6  provided in subparagraph (f)  of  paragraph  one  of  subdivision  a  of
    7  section  265.20  of  this  chapter.  In the event such license, firearm,
    8  shotgun, or rifle is not surrendered, such items shall  be  removed  and
    9  declared  a  nuisance  and  any  police  officer or peace officer acting
   10  pursuant to his or her special duties is authorized to  remove  any  and
   11  all such weapons.
   12    12.  Records  required  of gunsmiths and dealers in firearms. [Any] IN
   13  ADDITION TO THE REQUIREMENTS SET FORTH IN  ARTICLES  THIRTY-NINE-DD  AND
   14  FORTY  OF  THE  GENERAL BUSINESS LAW, ANY person licensed as gunsmith or
   15  dealer in firearms shall keep a record book approved as to form,  except
   16  in  the  city of New York, by the superintendent of state police. In the
   17  record book shall be entered at the time of every transaction  involving
   18  a  firearm  the  date, name, age, occupation and residence of any person
   19  from whom a firearm is received or to whom a firearm is  delivered,  and
   20  the  calibre,  make, model, manufacturer's name and serial number, or if
   21  none, any other distinguishing number or  identification  mark  on  such
   22  firearm.  Before  delivering a firearm to any person, the licensee shall
   23  require him to produce either a license  valid  under  this  section  to
   24  carry  or  possess  the  same, or proof of lawful authority as an exempt
   25  person pursuant to section 265.20 OF THIS CHAPTER. In  addition,  before
   26  delivering  a firearm to a peace officer, the licensee shall verify that
   27  person's status as a peace officer with the division  of  state  police.
   28  After completing the foregoing, the licensee shall remove and retain the
   29  attached  coupon  and enter in the record book the date of such license,
   30  number, if any, and name of the licensing officer, in the  case  of  the
   31  holder  of a license to carry or possess, or the shield or other number,
   32  if any, assignment and department, unit or agency, in  the  case  of  an
   33  exempt person. The original transaction report shall be forwarded to the
   34  division  of state police within ten days of delivering a firearm to any
   35  person, and a duplicate copy shall be kept by the licensee.  The  super-
   36  intendent  of  state  police  may  designate  that  such record shall be
   37  completed and transmitted in electronic form. A dealer may be granted  a
   38  waiver  from  transmitting such records in electronic form if the super-
   39  intendent determines that such dealer is incapable of such  transmission
   40  due  to  technological  limitations  that  are not reasonably within the
   41  control of the dealer, or other exceptional  circumstances  demonstrated
   42  by  the  dealer, pursuant to a process established in regulation, and at
   43  the discretion of the superintendent. Records assembled or collected for
   44  purposes of inclusion in the database created pursuant to section 400.02
   45  of this article shall not be subject to disclosure pursuant  to  article
   46  six  of  the public officers law. The record book shall be maintained on
   47  the premises mentioned and described in the license and shall be open at
   48  all reasonable hours for inspection by any peace officer, acting  pursu-
   49  ant  to his special duties, or police officer. In the event of cancella-
   50  tion or revocation of the license for gunsmith or dealer in firearms, or
   51  discontinuance of business by a licensee,  such  record  book  shall  be
   52  immediately  surrendered  to  the  licensing  officer in the city of New
   53  York, and in the counties of Nassau and Suffolk, and  elsewhere  in  the
   54  state to the executive department, division of state police.
   55    S 6. Severability. If any clause, sentence, paragraph, section or part
   56  of  this act shall be adjudged by any court of competent jurisdiction to
       S. 41--A                           10
    1  be invalid, such judgment shall not affect,  impair  or  invalidate  the
    2  remainder thereof, but shall be confined in its operation to the clause,
    3  sentence,  paragraph,  section  or part thereof directly involved in the
    4  controversy in which such judgment shall have been rendered.
    5    S  7.  This  act shall take effect on the ninetieth day after it shall
    6  have become a law; provided that the superintendent of state  police  is
    7  authorized  and directed to immediately adopt, amend and promulgate such
    8  rules and regulations as may be necessary and  desirable  to  effectuate
    9  the purposes of section two of this act.