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:

  Section 1. Legislative findings and declaration. The legislature here-
by finds and declares as follows:
  1.  Firearms, rifles and shotguns are used to kill nearly 30,000 indi-
viduals in the United States every year, including 1,000 individuals  in
New York state alone. Additionally, there are 100,000 non-fatal injuries
across  the  country.  The  federal  government has largely ignored this
public health crisis and has left it up to state and  local  governments
to protect its citizens. Firearm violence also costs millions of dollars
and  causes  incalculable  emotional  damage,  devastating  families and
communities throughout the country.  Therefore, the state  of  New  York
has  a  strong interest in reducing violence and crimes that involve the
use of firearms and the illegal trafficking of  firearms.  Illegal  guns
obtained  throughout  the  state end up in the hands of criminals, youth
and violent individuals who use them to threaten, maim and kill.
  2. There is a thriving underground market for illegal firearms, large-
ly driven by demand from drug gangs and other criminals. A highly  effi-
cient  and  continuous  business  practice  exists in which firearms are
moved from legal manufacture and sale to prohibited  purchasers,  making
them  illegal  firearms. In 2001, approximately 12,000 illegal firearms,
rifles and shotguns were seized in New York state.   From November  2000
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

database.  In 2008, according to a review by the federal bureau of alco-
hol, tobacco, firearms, and explosives (ATF) of trace data compiled  for
several  regions  in  the  state,  including Albany, Buffalo, Rochester,
Syracuse,  Long  Island  and  New  York  City  that calendar year, 9,558
firearms were submitted to be traced, 2,659 of  which  were  long  guns.
Outside  New  York  City, long guns are sold without a permit. Forty-six
percent of the firearms recovered in 2008 were found  outside  New  York
City.    A significant portion of guns involved in crimes upstate origi-
nate within the state. In fact, youth data reveals that in 2000, 40%  of
the  crime  guns in Buffalo originated within a five-mile radius of that
city.
  3. A substantial portion of illegal firearms are diverted to the ille-
gal market through licensed gun dealers. Rogue gun dealers  play  a  key
role  in  this  market.  These  rogue dealers funnel guns to the illegal
market through a variety of channels. One of the most common means is to
allow "straw purchases". A straw purchase occurs when a person purchases
a gun on behalf of a prohibited person. The ATF  conducted  an  investi-
gation of gun trafficking from July 1996 to December 1998 and found that
almost 26,000 trafficked firearms were associated with investigations in
which  there was a straw purchaser. Almost 50% of all trafficking inves-
tigations involved straw purchasers, with  an  average  of  37  firearms
trafficked per investigation.  Another issue, according to a 2008 report
by  Mayors  Against Illegal Guns, Inside Straw Purchasing: How Criminals
Get Guns Illegally, is that many traffickers return to  the  same  store
again  and  again  once they have identified it as one in which they can
make straw purchases easily.  Although most gun  dealers  operate  their
businesses  legally and responsibly, some gun dealers who are corrupt or
maintain shoddy recordkeeping practices flood the streets  with  illegal
weapons  as  a  result of their unrestricted access to new gun inventory
and the unwillingness of gun manufacturers to terminate their supply  to
these rogue dealers. Current federal and state regulation has not curbed
the  business practice of illegal gun dealers. According to a 2004 study
by Americans for Gun Safety, of the 120 worst gun dealers in  the  coun-
try,  namely  those  dealers with an average of 500 crime guns traced to
them, 96 were still in operation.
  4. Moreover, this problem is not limited to  unlicensed  sellers,  and
clearly  includes  federal  firearms  licensees (FFLs). Indeed, although
FFLs were involved in under 10% of the trafficking investigations under-
taken by ATF, they were associated with the largest number  of  diverted
firearms--over  40,000 guns, which is nearly half of the total number of
trafficked firearms documented  during  the  two-year  period  of  ATF's
investigation.    Additionally,  a 2008 report by Mayors Against Illegal
Guns indicated that several states  which  allow  state  authorities  to
supplement  the federal ATF inspections with routine inspections provide
law enforcement with more opportunities to uncover dealers in  violation
of  the  law.  These inspections also help identify dealers who exercise
lax oversight over their inventory and may lead to  improved  compliance
with federal, state and local laws.
  5.  Current  New  York state laws governing firearm dealers are inade-
quate to prevent the diversion of firearms to the  illegal  marketplace.
Additional  protections that are needed include, but are not limited to,
better gun dealer internal compliance procedures, programs to  eliminate
straw  purchases, increased liability insurance, improved security meas-
ures, reducing youth access, mandatory training for gun  dealer  employ-
ees, and improved recordkeeping requirements. The additional protections

S. 41--A                            3

set forth in this act will greatly enhance the state's efforts to reduce
criminal activity in the state.
  S  2. Article 40 and sections 900 and 901 of the general business law,
as renumbered by chapter 407 of the laws of 1973, are renumbered article
50 and sections 1001 and 1002 and a new article 40 is added to  read  as
follows:
                                ARTICLE 40
                    PREVENTING THE SALE OF FIREARMS,
                    RIFLES, AND SHOTGUNS TO CRIMINALS
SECTION 900. DEFINITIONS.
        901. REASONABLE MEASURES TO PREVENT SALES AND
                TRANSFERS TO CRIMINALS.
        902. SECURITY.
        903. ACCESS TO FIREARMS, RIFLES AND SHOTGUNS.
        904. LOCATION OF FIREARM, RIFLE AND SHOTGUN SALES.
        905. EMPLOYEE TRAINING.
        906. RETAIL SALES OF FIREARMS, RIFLES AND SHOTGUNS.
        907. MAINTENANCE OF RECORDS.
        908. COOPERATION WITH LAW ENFORCEMENT.
        909. INTERNAL COMPLIANCE AND CERTIFICATION.
        910. RULES AND REGULATIONS.
        911. VIOLATIONS.
  S 900. DEFINITIONS. FOR THE PURPOSES OF THIS ARTICLE:
  1.  "DEALER"  MEANS  ANY  PERSON, FIRM, PARTNERSHIP, LIMITED LIABILITY
COMPANY, CORPORATION  OR  COMPANY  WHICH  ENGAGES  IN  THE  BUSINESS  OF
PURCHASING, SELLING, KEEPING FOR SALE, LENDING, LEASING OR IN ANY MANNER
DISPOSING OF ANY FIREARM, RIFLE OR SHOTGUN.
  2.  "DISPOSE  OF"  MEANS  TO DISPOSE OF, GIVE, GIVE AWAY, LEASE, LEND,
KEEP FOR SALE, OFFER,  OFFER  FOR  SALE,  SELL,  TRANSFER  OR  OTHERWISE
DISPOSE OF.
  3.  "FIREARM" HAS THE SAME MEANING AS THAT TERM IS DEFINED IN SUBDIVI-
SION THREE OF SECTION 265.00 OF THE PENAL LAW.
  4. "FIREARM EXHIBITOR" MEANS ANY PERSON,  FIRM,  PARTNERSHIP,  LIMITED
LIABILITY  COMPANY,  CORPORATION OR COMPANY THAT EXHIBITS, SELLS, OFFERS
FOR SALE, TRANSFERS OR EXCHANGES FIREARMS, RIFLES OR SHOTGUNS AT  A  GUN
SHOW.
  5.  "GUN SHOW" MEANS AN EVENT SPONSORED, WHETHER FOR PROFIT OR NOT, BY
AN INDIVIDUAL, NATIONAL, STATE OR LOCAL  ORGANIZATION,  ASSOCIATION,  OR
OTHER ENTITY DEVOTED TO THE COLLECTION, COMPETITIVE USE, SPORTING USE OR
ANY  OTHER  LEGAL  USE  OF  FIREARMS, RIFLES OR SHOTGUNS, OR AN EVENT AT
WHICH: (A) TWENTY PERCENT OR MORE OF THE TOTAL NUMBER OF EXHIBITORS  ARE
FIREARM  EXHIBITORS;  (B) TEN OR MORE FIREARM EXHIBITORS ARE PARTICIPAT-
ING; (C) A TOTAL OF TWENTY-FIVE OR MORE PISTOLS OR REVOLVERS ARE OFFERED
FOR SALE OR TRANSFER; OR (D) A TOTAL OF FIFTY OR MORE  FIREARMS,  RIFLES
OR  SHOTGUNS ARE OFFERED FOR SALE OR TRANSFER. THE TERM "GUN SHOW" SHALL
INCLUDE ANY BUILDING, STRUCTURE OR FACILITY WHERE  FIREARMS,  RIFLES  OR
SHOTGUNS  ARE  OFFERED  FOR  SALE  OR  TRANSFER, AND ANY GROUNDS USED IN
CONNECTION WITH THE EVENT.
  6. "RETAIL DEALER" MEANS ANY DEALER ENGAGED IN THE RETAIL BUSINESS  OF
SELLING FIREARMS, RIFLES OR SHOTGUNS.
  7. "RIFLE" HAS THE SAME MEANING AS THAT TERM IS DEFINED IN SUBDIVISION
ELEVEN OF SECTION 265.00 OF THE PENAL LAW.
  8.  "SHOTGUN" HAS THE SAME MEANING AS THAT TERM IS DEFINED IN SUBDIVI-
SION TWELVE OF SECTION 265.00 OF THE PENAL LAW.
  9. "STRAW PURCHASE" MEANS THE PURCHASE OR ATTEMPT  TO  PURCHASE  BY  A
PERSON  OF  A FIREARM, RIFLE OR SHOTGUN FOR, ON BEHALF OF OR FOR THE USE

S. 41--A                            4

OF ANOTHER PERSON, KNOWING THAT IT WOULD  BE  UNLAWFUL  FOR  SUCH  OTHER
PERSON  TO POSSESS SUCH FIREARM, RIFLE OR SHOTGUN, OR AN ATTEMPT TO MAKE
SUCH A PURCHASE.
  10.  "STRAW  PURCHASER"  MEANS  A PERSON WHO, KNOWING THAT IT WOULD BE
UNLAWFUL FOR ANOTHER PERSON TO POSSESS  A  FIREARM,  RIFLE  OR  SHOTGUN,
PURCHASES  OR  ATTEMPTS  TO PURCHASE A FIREARM, RIFLE OR SHOTGUN FOR, ON
BEHALF OF OR FOR THE USE OF SUCH OTHER PERSON.
  11. "SUPERINTENDENT" MEANS THE SUPERINTENDENT OF STATE POLICE.
  S 901. REASONABLE MEASURES TO PREVENT SALES AND  TRANSFERS  TO  CRIMI-
NALS.  EVERY DEALER SHALL ADOPT REASONABLE MEASURES TO PREVENT FIREARMS,
RIFLES  AND  SHOTGUNS  FROM  BEING  DIVERTED  FROM  THE  LEGAL STREAM OF
COMMERCE, INTENTIONALLY  OR  OTHERWISE,  FOR  LATER  SALE,  TRANSFER  OR
DISPOSAL TO INDIVIDUALS NOT LEGALLY ENTITLED TO PURCHASE OR POSSESS SUCH
WEAPONS.  SUCH  MEASURES  SHALL  INCLUDE,  BUT  NEED  NOT BE LIMITED TO,
PROGRAMS TO ELIMINATE SALES TO STRAW PURCHASERS AND TO OTHERWISE  THWART
ILLEGAL  GUN  TRAFFICKING.  THE  SUPERINTENDENT  SHALL  DEVELOP PROGRAMS
DESIGNED TO ELIMINATE SALES TO STRAW PURCHASERS AND TO OTHERWISE  THWART
ILLEGAL GUN TRAFFICKING. WITHIN SIX MONTHS OF THE EFFECTIVE DATE OF THIS
ARTICLE,  THE  SUPERINTENDENT  SHALL  SUBMIT A REPORT TO THE LEGISLATURE
DETAILING SUCH PROGRAMS, INCLUDING ESTABLISHING MINIMUM REQUIREMENTS FOR
SUCH PROGRAMS.
  S 902. SECURITY. EVERY DEALER SHALL  IMPLEMENT  A  SECURITY  PLAN  FOR
SECURING  FIREARMS,  RIFLES AND SHOTGUNS, INCLUDING FIREARMS, RIFLES AND
SHOTGUNS IN SHIPMENT. EACH SUCH PLAN MUST SATISFY AT LEAST THE FOLLOWING
REQUIREMENTS:
  1. DISPLAY CASES SHALL BE LOCKED AT ALL TIMES EXCEPT WHEN  REMOVING  A
SINGLE FIREARM, RIFLE OR SHOTGUN TO SHOW A CUSTOMER, AND CUSTOMERS SHALL
HANDLE FIREARMS, RIFLES OR SHOTGUNS ONLY UNDER THE DIRECT SUPERVISION OF
AN EMPLOYEE;
  2.  ALL  FIREARMS,  RIFLES  AND  SHOTGUNS SHALL BE SECURED, OTHER THAN
DURING BUSINESS HOURS, IN A  LOCKED  FIREPROOF  SAFE  OR  VAULT  IN  THE
LICENSEE'S  BUSINESS  PREMISES  OR IN A SIMILAR SECURED AND LOCKED AREA;
AND
  3. AMMUNITION SHALL BE STORED SEPARATELY FROM THE FIREARMS, RIFLES AND
SHOTGUNS AND OUT OF REACH OF THE CUSTOMERS.
  S 903. ACCESS TO FIREARMS, RIFLES AND SHOTGUNS.  EVERY  RETAIL  DEALER
SHALL  EXCLUDE  ALL  PERSONS  UNDER  EIGHTEEN  YEARS  OF  AGE FROM THOSE
PORTIONS OF ITS PREMISES WHERE FIREARMS, RIFLES, SHOTGUNS OR  AMMUNITION
ARE  STOCKED  OR  SOLD, UNLESS SUCH PERSON IS ACCOMPANIED BY A PARENT OR
GUARDIAN.
  S 904. LOCATION OF FIREARM, RIFLE  AND  SHOTGUN  SALES.  EVERY  DEALER
SHALL SELL OR OTHERWISE DISPOSE OF FIREARMS, RIFLES AND SHOTGUNS ONLY AT
THE  LOCATION  LISTED ON THE DEALER'S FEDERAL FIREARMS LICENSE OR AT GUN
SHOWS.
  S 905. EMPLOYEE TRAINING. EVERY RETAIL DEALER SHALL  PROVIDE  TRAINING
TO  ALL  EMPLOYEES  AND  OTHER  PERSONNEL  ENGAGED IN THE RETAIL SALE OF
FIREARMS, RIFLES AND SHOTGUNS RELATING TO:
  1. THE LAW GOVERNING FIREARM, RIFLE AND SHOTGUN TRANSFERS  BY  FEDERAL
FIREARMS LICENSEES AND INDIVIDUALS;
  2.  HOW  TO  RECOGNIZE  STRAW PURCHASES AND OTHER ATTEMPTS TO PURCHASE
FIREARMS, RIFLES OR SHOTGUNS ILLEGALLY;
  3. HOW TO TEACH CONSUMERS RULES  OF  GUN  SAFETY,  INCLUDING  BUT  NOT
LIMITED  TO  THE SAFE HANDLING AND STORAGE OF FIREARMS, RIFLES AND SHOT-
GUNS; AND
  4. HOW TO COMPLY WITH PROVISIONS OF SECTION NINE HUNDRED SIX  OF  THIS
ARTICLE.

S. 41--A                            5

  NO  EMPLOYEE  OR  AGENT  OF ANY RETAIL DEALER SHALL PARTICIPATE IN THE
SALE OR DISPOSITION OF FIREARMS, RIFLES OR SHOTGUNS UNLESS  SUCH  PERSON
IS  AT LEAST TWENTY-ONE YEARS OF AGE AND HAS FIRST RECEIVED THE TRAINING
REQUIRED BY THIS SECTION.  THE  SUPERINTENDENT  SHALL  PROMULGATE  REGU-
LATIONS  SETTING  FORTH  MINIMUM  REQUIREMENTS  FOR  THE  MAINTENANCE OF
RECORDS OF SUCH TRAINING.
  S 906. RETAIL SALES OF FIREARMS, RIFLES AND  SHOTGUNS.  1.  NO  RETAIL
DEALER  SHALL  SELL,  DELIVER,  LEASE  OR TRANSFER ANY FIREARM, RIFLE OR
SHOTGUN TO ANY RETAIL  CUSTOMER  UNLESS  SUCH  RETAIL  DEALER  HAS:  (A)
CONDUCTED  THE  REQUIRED  NATIONAL INSTANT CRIMINAL BACKGROUND CHECK AND
COMPLIED WITH THE PROVISIONS OF 18 U.S.C. 922(T); (B) SHOWN  THE  TRANS-
FEREE  HOW  TO  LOAD  AND  UNLOAD  THE FIREARM, RIFLE OR SHOTGUN, HOW TO
ENGAGE AND DISENGAGE ALL SAFETY DEVICES, AND HOW  TO  SAFELY  STORE  THE
WEAPON;  (C)  PROVIDED  THE  TRANSFEREE  WITH  A  GUN  LOCKING DEVICE AS
REQUIRED BY SECTION THREE HUNDRED NINETY-SIX-EE  OF  THIS  CHAPTER;  (D)
PROVIDED  THE  TRANSFEREE WITH A COPY OF THE SAFE STORAGE WARNING NOTICE
SET FORTH IN SUBDIVISION TWO OF THIS SECTION AND A COPY OF  THE  FEDERAL
BUREAU  OF  ALCOHOL,  TOBACCO,  FIREARMS  AND  EXPLOSIVES DISPOSITION OF
FIREARMS NOTICE; (E) OBTAINED  THE  TRANSFEREE'S  SIGNATURE  ON  A  FORM
PROMULGATED  BY  THE  SUPERINTENDENT  CERTIFYING THAT THE TRANSFEREE HAS
RECEIVED THE INSTRUCTION AND NOTICE REQUIRED BY THIS  SECTION;  AND  (F)
PROVIDED  THE TRANSFEREE WITH A WRITTEN RECORD OF THE MAKE, MODEL, CALI-
BER OR GAUGE, AND SERIAL NUMBER OF EACH FIREARM, RIFLE OR SHOTGUN TRANS-
FERRED TO ENABLE THE TRANSFEREE TO ACCURATELY DESCRIBE THE WEAPON TO LAW
ENFORCEMENT IN THE EVENT THAT IT IS SUBSEQUENTLY LOST OR STOLEN.
  2. NO RETAIL  DEALER  SHALL  SELL,  DELIVER,  LEASE  OR  TRANSFER  ANY
FIREARM,  RIFLE  OR  SHOTGUN  TO  ANY PERSON UNLESS AT THE TIME OF SALE,
DELIVERY, LEASE OR TRANSFER SUCH FIREARM, RIFLE OR SHOTGUN  IS  ACCOMPA-
NIED  BY  THE  FOLLOWING  WARNING, WHICH SHALL APPEAR IN CONSPICUOUS AND
LEGIBLE TYPE IN CAPITAL LETTERS, AND WHICH SHALL BE PRINTED ON  A  LABEL
AFFIXED TO SUCH FIREARM, RIFLE OR SHOTGUN AND PLACED IN THE CONTAINER IN
WHICH  SUCH  FIREARM,  RIFLE  OR  SHOTGUN  IS SOLD, DELIVERED, LEASED OR
TRANSFERRED: "THE USE OF A LOCKING DEVICE OR SAFETY  LOCK  IS  ONLY  ONE
ASPECT  OF  RESPONSIBLE  FIREARM  STORAGE. FIREARMS SHOULD BE STORED AND
LOCKED IN A LOCATION THAT IS BOTH SEPARATE  FROM  THEIR  AMMUNITION  AND
INACCESSIBLE  TO  CHILDREN  AND  OTHER  UNAUTHORIZED  PERSONS. MORE THAN
200,000 FIREARMS LIKE THIS ONE ARE STOLEN FROM THEIR OWNERS  EVERY  YEAR
IN  THE  UNITED  STATES.  IN  ADDITION,  THERE  ARE MORE THAN A THOUSAND
SUICIDES EACH YEAR BY YOUNGER CHILDREN AND TEENAGERS WHO GET  ACCESS  TO
FIREARMS. HUNDREDS MORE DIE FROM ACCIDENTAL DISCHARGE. IT IS LIKELY THAT
MANY  MORE CHILDREN SUSTAIN SERIOUS WOUNDS, OR INFLICT SUCH WOUNDS ACCI-
DENTALLY ON OTHERS. IN ORDER TO LIMIT THE CHANCE OF SUCH MISUSE,  IT  IS
IMPERATIVE  THAT  YOU KEEP THIS WEAPON LOCKED IN A SECURE PLACE AND TAKE
OTHER STEPS NECESSARY TO LIMIT THE POSSIBILITY  OF  THEFT  OR  ACCIDENT.
FAILURE TO TAKE REASONABLE PREVENTIVE STEPS MAY RESULT IN INNOCENT LIVES
BEING LOST, AND IN SOME CIRCUMSTANCES MAY RESULT IN YOUR LIABILITY."
  S  907. MAINTENANCE OF RECORDS. EVERY DEALER SHALL ESTABLISH AND MAIN-
TAIN SUCH PURCHASE, SALE, INVENTORY AND OTHER RECORDS  AT  THE  DEALER'S
PLACE OF BUSINESS IN SUCH FORM AND FOR SUCH PERIOD AS THE SUPERINTENDENT
SHALL REQUIRE, AND SHALL AT A MINIMUM INCLUDE THE FOLLOWING:
  1.  EVERY  DEALER  SHALL RECORD THE MAKE, MODEL, CALIBER OR GAUGE, AND
SERIAL NUMBER OF ALL FIREARMS, RIFLES AND SHOTGUNS THAT ARE ACQUIRED  OR
DISPOSED  OF  NOT LATER THAN ONE BUSINESS DAY AFTER THEIR ACQUISITION OR
DISPOSITION. MONTHLY BACKUPS OF THESE RECORDS SHALL BE MAINTAINED  IN  A
SECURE  CONTAINER DESIGNED TO PREVENT LOSS BY FIRE, THEFT OR OTHER MISH-
AP;

S. 41--A                            6

  2. ALL FIREARMS, RIFLES AND SHOTGUNS ACQUIRED BUT NOT YET DISPOSED  OF
MUST  BE  ACCOUNTED  FOR  THROUGH  AN INVENTORY CHECK PREPARED ONCE EACH
MONTH AND MAINTAINED IN A SECURE LOCATION;
  3.  FIREARM, RIFLE AND SHOTGUN SALES INFORMATION, INCLUDING THE SERIAL
NUMBERS OF FIREARMS, RIFLES AND SHOTGUNS SOLD, DATES OF SALE AND IDENTI-
TY OF PURCHASERS, SHALL BE MAINTAINED AND MADE AVAILABLE  TO  GOVERNMENT
LAW  ENFORCEMENT  AGENCIES  AND TO THE MANUFACTURER OF THE WEAPON OR ITS
DESIGNEE; AND
  4. EVERY DEALER SHALL MAINTAIN RECORDS OF CRIMINAL FIREARM, RIFLE  AND
SHOTGUN  TRACES  INITIATED  BY  THE  FEDERAL BUREAU OF ALCOHOL, TOBACCO,
FIREARMS AND EXPLOSIVES ("ATF"). ALL ATF FORM 4473  TRANSACTION  RECORDS
SHALL BE RETAINED ON THE DEALER'S BUSINESS PREMISES IN A SECURE CONTAIN-
ER DESIGNED TO PREVENT LOSS BY FIRE, THEFT, OR OTHER MISHAP.
  S 908. COOPERATION WITH LAW ENFORCEMENT. EVERY DEALER SHALL:
  1. PROVIDE GOVERNMENT LAW ENFORCEMENT AGENCIES WITH FULL ACCESS TO ANY
DOCUMENTS  RELATED  TO  THE  ACQUISITION  AND DISPOSITION OF FIREARMS OR
EMPLOYEE TRAINING DEEMED NECESSARY BY SUCH AGENCY;
  2. PARTICIPATE IN AND COMPLY WITH ALL MONITORING OF FIREARM, RIFLE AND
SHOTGUN DISTRIBUTION BY  MANUFACTURERS  OR  GOVERNMENT  LAW  ENFORCEMENT
AGENCIES;
  3.  REPORT  ALL ATF TRACE REQUESTS BY MAKE, MODEL AND SERIAL NUMBER OF
FIREARM, DATE OF TRACE, AND DATE OF SALE  TO  THE  MANUFACTURER  OF  THE
FIREARM, RIFLE OR SHOTGUN ON A MONTHLY BASIS, UNLESS THE ATF DIRECTS THE
LICENSEE  NOT  TO  REPORT CERTAIN TRACES, AND ALSO REPORT SUCH TRACES TO
THE SUPERINTENDENT FOR USE IN CONJUNCTION WITH THE CRIMINAL  GUN  CLEAR-
INGHOUSE ESTABLISHED PURSUANT TO SECTION TWO HUNDRED THIRTY OF THE EXEC-
UTIVE LAW;
  4.  ANALYZE  ALL  ATF  TRACE  REQUESTS TO DETERMINE WHETHER THERE IS A
PATTERN OF FIREARMS, RIFLES OR SHOTGUNS SOLD BY THE  DEALER  BEING  USED
FOR  CRIMINAL  PURPOSES,  AND,  IF  SUCH PATTERN EXISTS, TAKE CORRECTIVE
ACTION AND REPORT SUCH FINDINGS AND SUCH CORRECTIVE ACTION TO THE SUPER-
INTENDENT; AND
  5. REPORT ANY FIREARM, RIFLE OR SHOTGUN SALES THAT APPEAR TO BE  STRAW
PURCHASES  OR  OTHERWISE CREATE A REASONABLE SUSPICION THAT THE FIREARM,
RIFLE OR SHOTGUN MAY BE DIVERTED FROM THE LEGAL STREAM OF COMMERCE.
  S 909. INTERNAL COMPLIANCE AND CERTIFICATION. 1. EVERY DEALER SHALL:
  (A) IMPLEMENT AND MAINTAIN SUFFICIENT INTERNAL  COMPLIANCE  PROCEDURES
TO  ENSURE  COMPLIANCE  WITH  THE  REQUIREMENTS  OF THIS ARTICLE AND ALL
APPLICABLE FEDERAL, STATE AND LOCAL LAWS AND REGULATIONS  GOVERNING  THE
SALE, TRANSFER AND DISPOSAL OF FIREARMS, RIFLES AND SHOTGUNS; AND
  (B)  ANNUALLY  CERTIFY  TO  THE  SUPERINTENDENT  THAT  SUCH DEALER HAS
COMPLIED WITH ALL OF THE REQUIREMENTS OF THIS ARTICLE.  THE  SUPERINTEN-
DENT  SHALL  BY REGULATION DETERMINE THE FORM AND CONTENT OF SUCH ANNUAL
CERTIFICATION.
  2. THE SUPERINTENDENT SHALL PROMULGATE REGULATIONS ESTABLISHING  PERI-
ODIC  INSPECTIONS, DURING REGULAR AND USUAL BUSINESS HOURS, BY THE DIVI-
SION OF STATE POLICE OF  THE  PREMISES  OF  EVERY  DEALER  TO  DETERMINE
COMPLIANCE  BY  SUCH DEALER WITH THE REQUIREMENTS OF THIS ARTICLE. EVERY
DEALER SHALL PROVIDE THE DIVISION OF STATE POLICE WITH  FULL  ACCESS  TO
SUCH DEALER'S PREMISES FOR SUCH INSPECTIONS.
  S  910.  RULES AND REGULATIONS. THE SUPERINTENDENT MAY PROMULGATE SUCH
ADDITIONAL RULES AND REGULATIONS AS THE SUPERINTENDENT SHALL DEEM NECES-
SARY TO PREVENT FIREARMS, RIFLES AND SHOTGUNS FROM BEING  DIVERTED  FROM
THE LEGAL STREAM OF COMMERCE.
  S  911.  VIOLATIONS.  ANY  PERSON, FIRM OR CORPORATION WHICH KNOWINGLY
VIOLATES ANY PROVISION OF THIS ARTICLE SHALL BE  GUILTY  OF  A  CLASS  A

S. 41--A                            7

MISDEMEANOR  PUNISHABLE  AS  PROVIDED FOR IN THE PENAL LAW, AND SHALL BE
GUILTY OF A CLASS E FELONY FOR A SECOND VIOLATION OCCURRING WITHIN  FIVE
YEARS  OF  A  PRIOR  CONVICTION FOR A VIOLATION OF ANY PROVISION OF THIS
ARTICLE.
  S  3.  Subdivision 1 of section 396-ee of the general business law, as
added by chapter 189 of the laws of 2000, is amended to read as follows:
  (1) No person, firm or corporation engaged in the retail  business  of
selling  rifles,  shotguns  or  firearms,  as  such terms are defined in
section 265.00 of the penal law, shall sell,  deliver  or  transfer  any
such  rifle,  shotgun or firearm to another person unless the transferee
is provided at the time of sale, delivery or transfer with a gun locking
device and a label containing the quoted language specified in  subdivi-
sion two of [this] section [is either] NINE HUNDRED SIX OF THIS CHAPTER,
WHICH  SHALL  APPEAR IN CONSPICUOUS AND LEGIBLE TYPE IN CAPITAL LETTERS,
AND SHALL BE affixed to such rifle, shotgun or firearm [or]  AND  placed
in the container in which such rifle, shotgun or firearm is sold, deliv-
ered  or  transferred.  For  the purposes of this section, the term "gun
locking device" shall mean an integrated design feature or an attachable
accessory that is resistant to tampering and is effective in  preventing
the discharge of such rifle, shotgun or firearm by a person who does not
have access to the key, combination or other mechanism used to disengage
the  device.  The  division of state police shall develop and promulgate
rules and regulations setting forth the specific devices or the  minimum
standards  and criteria therefor which constitute an effective gun lock-
ing device.
  S 4. Subdivision 1 of section 400.00 of the penal law, as  amended  by
chapter 1 of the laws of 2013, is amended to read as follows:
  1. Eligibility. No license shall be issued or renewed pursuant to this
section  except  by  the licensing officer, and then only after investi-
gation and finding that all statements in a  proper  application  for  a
license  are  true.  No license shall be issued or renewed except for an
applicant (a) twenty-one years of age or older, provided, however,  that
where  such  applicant  has  been  honorably  discharged from the United
States army, navy, marine corps,  air  force  or  coast  guard,  or  the
national  guard  of the state of New York, no such age restriction shall
apply; (b) of good moral character;  (c)  who  has  not  been  convicted
anywhere  of  a  felony  or a serious offense; (d) who is not a fugitive
from justice; (e) who is not an unlawful user  of  or  addicted  to  any
controlled  substance as defined in section 21 U.S.C. 802; (f) who being
an alien (i) is not illegally or unlawfully in the United States or (ii)
has not been admitted to the United States  under  a  nonimmigrant  visa
subject  to  the  exception in 18 U.S.C. 922(y)(2); (g) who has not been
discharged from the Armed Forces under dishonorable conditions; (h) who,
having been a citizen of the United States, has not renounced his or her
citizenship; (i) who has stated whether he or she has ever suffered  any
mental illness; (j) who has not been involuntarily committed to a facil-
ity  under  the  jurisdiction  of  an office of the department of mental
hygiene pursuant to article nine or fifteen of the mental  hygiene  law,
article seven hundred thirty or section 330.20 of the criminal procedure
law,  section  four  hundred two or five hundred eight of the correction
law, section 322.2 or 353.4 of the family court act,  or  has  not  been
civilly  confined in a secure treatment facility pursuant to article ten
of the mental hygiene law; (k) who has not had a license revoked or  who
is  not under a suspension or ineligibility order issued pursuant to the
provisions of section 530.14 of the criminal procedure  law  or  section
eight  hundred forty-two-a of the family court act; (l) in the county of

S. 41--A                            8

Westchester, who has successfully completed a firearms safety course and
test as evidenced by a certificate of completion issued in  his  or  her
name  and endorsed and affirmed under the penalties of perjury by a duly
authorized  instructor,  except  that:  (i)  persons  who  are honorably
discharged from the United States army,  navy,  marine  corps  or  coast
guard,  or  of  the national guard of the state of New York, and produce
evidence of official  qualification  in  firearms  during  the  term  of
service  are  not  required  to have completed those hours of a firearms
safety course pertaining to the safe use, carrying, possession,  mainte-
nance  and  storage  of a firearm; and (ii) persons who were licensed to
possess a pistol or revolver prior to the effective date of  this  para-
graph  are  not  required to have completed a firearms safety course and
test; (m) who has not had a guardian appointed for him or  her  pursuant
to any provision of state law, based on a determination that as a result
of  marked subnormal intelligence, mental illness, incapacity, condition
or disease, he or she lacks the mental capacity to  contract  or  manage
his or her own affairs; and (n) concerning whom no good cause exists for
the  denial  of  the  license. No person shall engage in the business of
gunsmith or dealer in firearms unless licensed pursuant to this section,
AND NO PERSON SHALL ENGAGE IN THE BUSINESS OF DEALER IN FIREARMS  UNLESS
SUCH  PERSON COMPLIES WITH THE PROVISIONS OF ARTICLES THIRTY-NINE-DD AND
FORTY OF THE GENERAL BUSINESS LAW.  An applicant to engage in such busi-
ness shall also be a citizen of the United States, more than  twenty-one
years  of  age  and  maintain  a place of business in the city or county
where the license is issued. For such business, if the  applicant  is  a
firm  or  partnership,  each member thereof shall comply with all of the
requirements set forth in this subdivision and if  the  applicant  is  a
corporation, each officer thereof shall so comply.
  S  5.  Subdivisions  11  and 12 of section 400.00 of the penal law, as
amended by chapter 1 of the  laws  of  2013,  are  amended  to  read  as
follows:
  11. License: revocation and suspension. (a) The conviction of a licen-
see  anywhere  of  a felony or serious offense or a licensee at any time
becoming ineligible to obtain a license under this section shall operate
as a revocation of the license. A license may be revoked or suspended as
provided for in section 530.14 of the criminal procedure law or  section
eight  hundred forty-two-a of the family court act. Except for a license
issued pursuant to section 400.01 of this  article,  a  license  may  be
revoked  and  cancelled  at any time in the city of New York, and in the
counties of Nassau and Suffolk, by the licensing officer, and  elsewhere
than  in  the  city  of  New  York by any judge or justice of a court of
record; a license issued pursuant to section 400.01 of this article  may
be  revoked  and  cancelled  at any time by the licensing officer or any
judge or justice of a court of record.  A LICENSE TO ENGAGE IN THE BUSI-
NESS OF DEALER MAY BE REVOKED OR SUSPENDED  FOR  ANY  VIOLATION  OF  THE
PROVISIONS  OF  ARTICLE  THIRTY-NINE-DD OR FORTY OF THE GENERAL BUSINESS
LAW. The official revoking a license shall give written  notice  thereof
without unnecessary delay to the executive department, division of state
police,  Albany,  and shall also notify immediately the duly constituted
police authorities of the locality.
  (b) Whenever the director of community services or his or her designee
makes a report pursuant to section 9.46 of the mental hygiene  law,  the
division  of  criminal  justice  services shall convey such information,
whenever it determines that the person named in the report  possesses  a
license  issued  pursuant  to this section, to the appropriate licensing
official, who shall issue an order suspending or revoking such license.

S. 41--A                            9

  (c) In any instance in  which  a  person's  license  is  suspended  or
revoked  under  paragraph  (a)  or  (b) of this subdivision, such person
shall surrender such license to the appropriate licensing  official  and
any  and  all  firearms,  rifles, or shotguns owned or possessed by such
person  shall be surrendered to an appropriate law enforcement agency as
provided in subparagraph (f)  of  paragraph  one  of  subdivision  a  of
section  265.20  of  this  chapter.  In the event such license, firearm,
shotgun, or rifle is not surrendered, such items shall  be  removed  and
declared  a  nuisance  and  any  police  officer or peace officer acting
pursuant to his or her special duties is authorized to  remove  any  and
all such weapons.
  12.  Records  required  of gunsmiths and dealers in firearms. [Any] IN
ADDITION TO THE REQUIREMENTS SET FORTH IN  ARTICLES  THIRTY-NINE-DD  AND
FORTY  OF  THE  GENERAL BUSINESS LAW, ANY person licensed as gunsmith or
dealer in firearms shall keep a record book approved as to form,  except
in  the  city of New York, by the superintendent of state police. In the
record book shall be entered at the time of every transaction  involving
a  firearm  the  date, name, age, occupation and residence of any person
from whom a firearm is received or to whom a firearm is  delivered,  and
the  calibre,  make, model, manufacturer's name and serial number, or if
none, any other distinguishing number or  identification  mark  on  such
firearm.  Before  delivering a firearm to any person, the licensee shall
require him to produce either a license  valid  under  this  section  to
carry  or  possess  the  same, or proof of lawful authority as an exempt
person pursuant to section 265.20 OF THIS CHAPTER. In  addition,  before
delivering  a firearm to a peace officer, the licensee shall verify that
person's status as a peace officer with the division  of  state  police.
After completing the foregoing, the licensee shall remove and retain the
attached  coupon  and enter in the record book the date of such license,
number, if any, and name of the licensing officer, in the  case  of  the
holder  of a license to carry or possess, or the shield or other number,
if any, assignment and department, unit or agency, in  the  case  of  an
exempt person. The original transaction report shall be forwarded to the
division  of state police within ten days of delivering a firearm to any
person, and a duplicate copy shall be kept by the licensee.  The  super-
intendent  of  state  police  may  designate  that  such record shall be
completed and transmitted in electronic form. A dealer may be granted  a
waiver  from  transmitting such records in electronic form if the super-
intendent determines that such dealer is incapable of such  transmission
due  to  technological  limitations  that  are not reasonably within the
control of the dealer, or other exceptional  circumstances  demonstrated
by  the  dealer, pursuant to a process established in regulation, and at
the discretion of the superintendent. Records assembled or collected for
purposes of inclusion in the database created pursuant to section 400.02
of this article shall not be subject to disclosure pursuant  to  article
six  of  the public officers law. The record book shall be maintained on
the premises mentioned and described in the license and shall be open at
all reasonable hours for inspection by any peace officer, acting  pursu-
ant  to his special duties, or police officer. In the event of cancella-
tion or revocation of the license for gunsmith or dealer in firearms, or
discontinuance of business by a licensee,  such  record  book  shall  be
immediately  surrendered  to  the  licensing  officer in the city of New
York, and in the counties of Nassau and Suffolk, and  elsewhere  in  the
state to the executive department, division of state police.
  S 6. Severability. If any clause, sentence, paragraph, section or part
of  this act shall be adjudged by any court of competent jurisdiction to

S. 41--A                           10

be invalid, such judgment shall not affect,  impair  or  invalidate  the
remainder thereof, but shall be confined in its operation to the clause,
sentence,  paragraph,  section  or part thereof directly involved in the
controversy in which such judgment shall have been rendered.
  S  7.  This  act shall take effect on the ninetieth day after it shall
have become a law; provided that the superintendent of state  police  is
authorized  and directed to immediately adopt, amend and promulgate such
rules and regulations as may be necessary and  desirable  to  effectuate
the purposes of section two of this act.