suggested state legislation · massachusetts senator william r. keating representative janet...

SUGGESTED

STATE

LEGISLATION1999 Volume 58

Developed by theCommittee on Suggested State Legislation

The Council of State GovernmentsLexington, Kentucky

Headquarters: (606) 244-8000Fax: (606) 244-8001E-mail: [email protected]: www.csg.org

ii - The Council of State Governments

Copyright 1998The Council of State Governments

2760 Research Park Drive � P.O. Box 11910Lexington, KY 40578-1910

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Publication Order #: C067-9800ISBN 0-87292-856-X

Price: $59.00

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All rights reserved. Inquiries for use of any material should be directed to:The Council of State Governments

2760 Research Park Drive � P.O. Box 11910Lexington, KY 40578-1910

(606) 244-8000

Publication Sales Order Department1-800-800-1910

Suggested State Legislation - iii

The Council of State GovernmentsPromoting State Solutions Regionally and Nationally

The Council of State Governments is a nonprofit, nonpartisan organization that serves all threebranches of state government through leadership, education, research and information services.Founded in 1933, this multibranch organization of the states and U.S. territories champions excel-lence in state government, working with state leaders across the nation and through its regions to putthe best ideas and solutions into practice. To this end, The Council of State Governments:

� Builds leadership skills to improve decision-making;� Advocates multistate problem-solving and partnerships;� Interprets changing national and international conditions to prepare states for the future; and,� Promotes the sovereignty of the states and their role in the American federal� system.

Council OfficersChair: Rep. Charlie Williams, Miss. President: Gov. Pedro Rosello, P.R.Chair-Elect: Sen. Kenneth McClintock, P.R. President-Elect: Gov. Tommy Thompson, Wis.Vice Chair: Rep. Tom Ryder, Ill.

Council OfficesHeadquarters:2760 Research Park DriveP.O. Box 11910Lexington, KY 40578-1910Phone: (606) 244-8000Fax: (606) 244-8001E-mail: [email protected]: www.csg.org

Daniel M. Sprague, Executive DirectorShari M. Hendrickson, Deputy Executive Director/Chief Operating OfficerBob Silvanik, Director of Program and Policy Development

Eastern:Alan V. Sokolow, Director5 World Trade Center, Suite 9241New York, NY 10048, (212) 912-0128FAX: (212) 912-0549,E-mail: [email protected]

Midwestern:Michael H. McCabe, Director641 E. Butterfield Road, Suite 401Lombard, IL 60148, (630) 810-0210FAX: (630) 810-0145,E-mail: [email protected]

Southern:Colleen Cousineau, Director3355 Lenox Road, Suite 1050Atlanta, GA 30326, (404) 266-1271FAX: (404) 266-1273,E-mail: [email protected]

Western:Kent Briggs, Director121 Second Street, 4th FloorSan Francisco, CA 94105, (415) 974-6422FAX: (415) 974-1747,E-mail: [email protected], CO: (303) 572-5454,FAX: (303) 572-5499

Washington, D.C.:Jim Brown, General Counsel and Director444 N. Capitol Street, NW, Suite 401Washington, D.C. 20001, (202) 624-5460FAX: (202) 624-5452,E-mail: [email protected]

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Forward

The Council of State Governments (CSG) is pleased to bring you this volumeof Suggested State Legislation, the 58th in a valued series of compilations of draftlegislation from state statutes on topics of current interest and importance to thestates. The draft legislation found in this volume represents many hours of workcompleted by the Council�s Committee on Suggested State Legislation and by leg-islators and legislative staff across the country in the states that originated thebills.

The entries in this book were selected from hundreds of submissions, andmost are based on existing state statutes. Neither The Council nor the Committeeseeks to influence the enactment of state legislation; throughout the years, how-ever, both have found that the experiences of one state may prove beneficial toothers. It is in this spirit that these proposals are presented.

November 1998 Daniel M. SpragueLexington, Kentucky Executive Director

The Council of State Governments

Suggested State Legislation - v

Contents

CSG Committee on Suggested State Legislation 1998 ........................................................ viiIntroduction ....................................................................................................................... xiiiSuggested State Legislation Style ...................................................................................... xvSample Act ....................................................................................................................... xvi

Suggested Legislation

Alternative Teacher Certification ........................................................................................... 1Automated Victim Notification System .................................................................................. 7Brokerage Real Estate Disclosure ........................................................................................ 9Business Coordination ....................................................................................................... 20Chemical Castration for Sex Offenders (Note) ................................................................... 23Cloning ............................................................................................................................. 25Conditional Release of Sex Offenders ................................................................................ 29Confidentiality of Records of Genetic Tests ......................................................................... 36Defined Contribution Plans (Statement) ............................................................................. 41Environmental Leadership Program ................................................................................... 44Experimental Medical Care Disclosure ............................................................................... 52Farm and Ranch Solid Waste Cleanup and Abatement Program ........................................ 56Fertilizer ............................................................................................................................ 61Foreign Capital Depository ................................................................................................ 72Genetic Information Privacy ............................................................................................. 107Grandparents as Foster Parents ...................................................................................... 112Gross Sexual Imposition With a Controlled Substance ...................................................... 114Hospital Conversions ....................................................................................................... 131Inmate Assaults with Body Fluids or Other Hazardous Substances ................................... 138Institutions of Public Charity (Statement) .......................................................................... 140Intimidating Legislative Witnesses .................................................................................... 146Land Bank Authorities ...................................................................................................... 148Lead Exposure ................................................................................................................ 154Limited-Service Rural Hospitals ....................................................................................... 162Livestock Management Facilties ....................................................................................... 171Livestock Waste Management ......................................................................................... 187Local Government Service Delivery Systems ................................................................... 199Nonhazardous and Nonliquid Waste Handling (Statement) ............................................... 207

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Obesity ........................................................................................................................... 209Perpetrator�s Assumption of Risk (Note) ........................................................................... 212Premium Sharing ............................................................................................................ 213Prisoner Litigation Reform ............................................................................................... 220Private School Tuition; Tax Credit ...................................................................................... 224Quarry Operation, Reclamation and Safe Closure ............................................................ 227Self-employment Assistance ............................................................................................ 239Slamming and Loading MN.............................................................................................. 243Small Business Air Quality Assistance ............................................................................. 246Standby Guardianship ..................................................................................................... 250State Internet Legislation (Note) ....................................................................................... 257State Transportation Infrastructure Banks (Note) ............................................................... 260Student Religious Liberty ................................................................................................. 262Tax Credits for School-to-Career Internships .................................................................... 266Year 2000/Y2K (Note) ...................................................................................................... 268Federal Mandates for State Action (Note) ......................................................................... 270

Index ............................................................................................................................... 273

Suggested State Legislation - vii

CSG Committee on Suggested StateLegislation 1998

Co-Chair *Senator Robert R. Cupp, Ohio*Representative Jim Simpson Jr., Mississippi

Vice Chair *Elizabeth Stewart, Assistant Attorney General, Officeof the Attorney General

Alabama Representative Albert HallJerry L. Bassett, Director, Legislative Reference Service*Penny Davis, Associate Director, Alabama Law InstituteRepresentative Tony Petelos

Alaska Tamara Brandt Cook, Director, Legal Services,Legislative Affairs Agency

Senator Rick Halford*Terri Lauterbach, Legislative Counsel, Legislative Affairs

Agency

Arkansas Senator Allen GordonSenator Tom KennedyTim Massanelli, Parliamentarian

California George Deleon, Reciprocity Officer, State Controller�s Office

Colorado Charles S. Brown, Director, Legislative CouncilSenator Ray Powers

Connecticut Sharon Brais, Assistant Director, LegislativeCommissioner�s Office

Delaware Representative William OberleSenator Robert J. Voshell

Florida Representative Edward J. HealeyJames R. Lowe, Staff Director, House Bill Drafting

ServicesMitch Rubin, Executive Assistant and Counsel, House

of RepresentativesMario L. Taylor, Staff Director, House Community

Affairs Committee

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Georgia Joy Hawkins, Director of Senate ResearchSenator Mark Taylor

Hawaii Senator Cal KawamotoYen Lew, Ombudsman, Office of the Senate President

Idaho Representative Celia Gould

Illinois Senator Dan Cronin*Senator John CullertonJohn M. McCabe, Legislative Leader, National

Conference of Commissioners on Uniform State LawsDonald R. Vonnahme, Director, Division of Water

Resources, Department of Transportation

Indiana Arden Chilcota, Executive Director, Legislative ServicesAgency

Representative Susan CrosbyRepresentative John R. GreggTim Jeffers, Chief of Staff, Office of the SpeakerSenator Luke KenleyRepresentative Sue Scholer

Iowa Representative Richard ArnoldSenator Steve HansenRepresentative Keith Krieman

Kansas Senator Anthony HensleyRepresentative Mike O�NealSenator Chris Steineger

Kentucky Representative J.R. Gray*Joyce Honaker, Committee Staff Administrator,

Legislative Research CommissionRepresentative Thomas Robert Kerr

Louisiana Jerry Guillot, Administrator, Senate Research Services*Representative Joseph Toomy

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Maryland Delegate Ann Marie DoorySenator Thomas V. Mike MillerSenator Ida G. RubenWilliam G. Somerville, Revisor of Statutes and Deputy

Director for Legislative Drafting, Department ofLegislative Reference

Michael I. Volk, Director, Legislative Services Division

Massachusetts Senator William R. KeatingRepresentative Janet O�BrienRichard Walsh, Associate Counsel, Office of House

Counsel

Michigan Attorney General Frank Kelley*William J. Pierce, Executive Director, National

Conference of Commissioners on Uniform State LawsRepresentative Hubert Price

Minnesota Representative Edwina GarciaRepresentative Mary Jo McGuireSenator Thomas Neuville*Senator Allan H. Spear

Mississippi Teresa Beck, Director, Legislative ServicesJoy Fergus, Office Supervisor, SenateCharles J. Jackson Jr., Clerk of the HouseRepresentative Bobby Moak

Missouri Ed Bybee, Chief Design Engineer, Division of Designand Construction

B. Darrell Jackson, Director, House Research OfficeRepresentative Scott LakinSenator Ed QuickRepresentative Lana Stokan

Nebraska *Senator Chris AbboudPatrick J. O�Donnell, Clerk of the Legislature

Nevada Assemblyman Bernie AndersonSenator Bob CoffinAssemblyman David E. HumkeKim Morgan, Principal Deputy Legislative Counsel,

Legislative Counsel BureauSenator Randolph J. Townsend

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New Jersey Kathleen Crotty, Executive Director, Senate MinorityOffice

Senator John Matheussen

New Mexico Senator Fernando R. Macias*Representative Nick L. Salazar

New York *Senator Kemp Hannon

North Carolina Representative Joni BowieGerry F. Cohen, Director, Legislative Bill Drafting

Division, Legislative Services CommissionRepresentative Milton Fitch Jr.Representative Jean PrestonRepresentative Carolyn Russell*Terrence D. Sullivan, Director of Research, Legislative

Services Commission

North Dakota Representative Al Carlson

Ohio Senator Bruce JohnsonSenator Rhine McLin

Oklahoma Suzanne Broadbent, Director, Senate Committee StaffDivision

Scott Emerson, Chief Counsel, Legal Division, House ofRepresentatives

Senator Bruce PriceSenator Darryl RobertsSenator Gerald Wright

Pennsylvania Edward C. Hussie, Chief Counsel to the RepublicanLeader

*Louis B. Kozloff, Coordinator, Legislative FloorActivities, House of Representatives

Stephen MacNett, Counsel to the Senate MajorityJoseph W. Murphy, Chief Counsel, House Republican

Caucus*Virgil Puskarich, Executive Director, Local

Government Commission

Puerto Rico Senator Mercedes Otero de RamosManuel Torres Nieves, Chief of Staff, Committee on

Federal and Financial Affairs, House of Representatives

Suggested State Legislation - xi

Rhode Island Representative Vincent Mesolella

South Carolina Frank Caggiano, Clerk of the SenateMichael N. Couick, Attorney, State Senate

South Dakota Senator Jim DunnSenator Harold HalversonThomas Magedanz, Legislative Research Council

Tennessee James A. Clodfelter, Director, Office of Legal ServicesSenator Steve I. CohenRepresentative Lois DeBerrySenator Joe M. HaynesSenator James F. Kyle Jr.

Texas Representative Clyde AlexanderRepresentative Hugo BerlangaSteve Bresnen, Special Assistant, Office of the

Lieutenant GovernorSusan Moore

Utah Senator Joseph Hull, Assistant Minority Whip*Representative Ray ShortRichard Strong, Director and General Counsel,

Legislative ResearchRepresentative Richard Walsh

Virginia Virginia A. Adkins, Staff Attorney, Division ofLegislative Services

John M. Bennett, Staff Director, Senate FinanceCommittee

Delegate Glenn R. CroshawSenator R. Edward HouckDelegate Thomas M. Jackson Jr.E.M. Miller Jr., Director, Division of Legislative ServicesSenator Jackson E. Reasor Jr.

Washington Senator Jim HargroveSenator Shirley J. Winsley

West Virginia Delegate Jerry L. MezzatestaDelegate Rick StatonSenator Earl Ray Tomblin

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Wyoming Senator April Brimmer KunzRichard Miller, Director, Legislative Service Office

Former CSG, Chairmen and Presidents(Ex Officio Voting Members)

Governor Terry E. Branstad, IowaGovernor Mel Carnahan, MissouriRepresentative John Connors, IowaGovernor Jim Edgar, IllinoisSenator Hugh T. Farley, New YorkSenator Jeannette Hamby, OregonRepresentative Roy Hausauer, North DakotaRepresentative Bob Hunter, North CarolinaGovernor Michael Leavitt, UtahSenator John J. Marchi, Senate Vice President Pro Tem,

New YorkRepresentative John E. Miller, ArkansasGovernor Zell Miller, GeorgiaRepresentative Thomas B. Murphy, Speaker of the

House, GeorgiaGovernor Ben Nelson, NebraskaSenator Jeff Wells, Majority Leader, ColoradoAssemblyman Robert C. Wertz, New York

Suggested State Legislation - xiii

Introduction�A single state�s experience in a new field frequently leads to the adop-

tion of similar action in other states, if the problem is general, the ap-proach is well conceived, and other states can be made aware of the ac-tion.�

That statement is a simple one, but it remains as true today as it did when itfirst appeared 30 years ago in the introduction to the 28th volume of SuggestedState Legislation.

For 58 years, The Council of State Governments� Suggested State Legislation(SSL) program has informed state policy-makers on a broad range of legislativeissues, and its national Committee on Suggested State Legislation has been anarchetype on interstate dialogue, one successfully imitated in a variety of ways.

The Committee on Suggested State Legislation originated as a group of stateand federal officials who first met in August of 1940 to review state laws relatingto internal security. The result was a program of suggested state legislationpublished as A Legislative Program for Defense. The Committee reconvenedfollowing the nation�s entry into World War II in order to develop a generalprogram of state war legislation. By 1946, the volume of Suggested StateWar Legislation and Suggested State Legislation, gave way to a volumesimply titled Suggested State Legislation, an annual volume of draft legis-lation on topics of major governmental interest.

Today, SSL Committee members represent all regions of the country and manyof the major functional areas of state government. They include legislators, legis-lative staff and other state governmental officials who contribute their time andefforts to assisting the states in the identification of timely and innovative statelegislation.

The items in this, the 58th compilation of Suggested State Legislation, rep-resent the culmination of a year-long process in which legislation submitted bystate officials and staff, CSG Associates and CSG staff was received and reviewedby members of the SSL Committee. The Committee also considers legislation fromother sources, but only when that legislation is submitted through a state official.Other sources include public interest groups and members of the corporate com-munity who are not CSG Associates.

During this process, members of a Subcommittee on Scope and Agenda met onthree separate occasions: first, in December 1997 in Honolulu, Hawaii, again, inMay 1998 in Phoenix, Arizona and a third time in Chicago, Illinois in August 1998,to screen and recommend legislation for final consideration by the SSL Commit-tee. At their annual meeting in August 1998 in Chicago, Illinois, the members ofthe full committee examined the proposals referred by the Subcommittee on Scopeand Agenda and selected the items that appear in this volume. Although theseitems are published here as suggested legislation, neither The Council of StateGovernments nor the SSL Committee are in the position of advocating their en-

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actment. Instead, the entries are offered as an aid to state officials interested indrafting legislation in a specific area, and can be looked upon as a guide to areas ofbroad current interest in the states.

In fact, throughout the SSL solicitation, review and selection processes, mem-bers of the Committee employ a specific set of criteria to determine which itemswill appear in the volume:

� Is the issue a significant one currently facing state governments?� Does the issue have national or regional significance?� Are fresh and innovative approaches available to address the issue?� Is the issue of sufficient complexity that a bill drafter would benefit from hav-

ing a comprehensive draft available?� Does the bill or Act represent a practical approach to the problem?� Does the bill or Act represent a comprehensive approach to the problem or is it

tied to a narrow approach that may have limited relevance for many states?� Is the structure of the bill or Act logically consistent?� Are the language of and style of the bill or Act clear and unambiguous?

All items selected for publication in the annual volume are presented in ageneral format as shown in the Suggested State Legislation Style Manual andSample Act which follow on pages xv and xvi. However, beginning with the 1997volume, items presented in Suggested State Legislation volumes reflect thestyle and form as they were submitted to the program.

Revisions in the headings and numbering and other modifications may benecessary in order to conform to local practices, and decisions must be made re-garding optional sections and provisions. Readers should note that SuggestedState Legislation drafts typically do not duplicate actual state legislation.

A �Statement,� in lieu of a draft Act, may appear in a volume when the SSLCommittee has reviewed and approved a piece of legislation, but its length and/orcomplexity preclude its publication in whole or in the standard SSL format. �Notes�also may be used when the Committee is particularly interested in highlightingand summarizing a variety of legislative actions undertaken by the states in aparticular area.

Although a formal solicitation of the states is conducted annually to gatherlegislation for consideration by the SSL Committee, state officials and staff, CSGAssociates and CSG staff are encouraged to submit - at any time - legislationwhich is likely to be of interest and relevance to other states. In order to facilitatethe selection and review process, it is particularly helpful for respondents to pro-vide information on the current status of the legislation, an enumeration of otherstates with similar provisions, and any summaries or analyses of the legislationthat may have been undertaken.

Legislation and accompanying materials should be submitted to the SuggestedState Legislation Program, Program, Policy & Membership Services, The Councilof State Governments, 2760 Research Park Drive, P.O. Box 11910, Lexington, Ken-tucky 40578-1910, (606) 244-8000 or fax (606) 244-8001. Interested readers canfind out more about the SSL program by visiting the SSL pages at CSG�s InternetWeb site at www.csg.org.

Suggested State Legislation - xv

Suggested State Legislation Style

Style is the custom or plan followed in typographic arrangement or display.Starting with the 1997 volume, items presented in Suggested State Legislationmore closely reflect the style and form as they were submitted to the program.Generally, CSG only modifies the language of the bills or laws that are submittedto the program in order to clarify their meaning when they are converted into SSLdrafts. However, the Committee on Suggested State Legislation does not guaran-tee that items presented on its dockets or in Suggested State Legislation volumesrepresent the exact versions of those items as submitted to the SSL Program orintroduced or enacted by a state.

Introductory Matter

The first component in a Suggested State Legislation draft is an abstract.Abstracts provide a brief description of the Act, highlight unique features, andprovide background about other states, if applicable.

Submitted As

This component indicates the state, title, bill number or legal citation andadoption date of the original bill or law as submitted to the Suggested State Leg-islation Program.

Copies of the original state bills or laws referenced in the abstracts, �Notes�or �Statements� can be obtained by contacting the states directly.

Standardized Sections and Form

Items presented in this and future Suggested State Legislation volumes willgenerally retain the same enumeration as the bills or Acts as submitted by thestates. This includes sections, subsections and paragraphs. However, modificationsto eliminate extraneous language or to add sections such as �Severability,��Repealor,� and �Effective Date,� are made to the drafts as necessary to enhancetheir readability.

Often it is also necessary in draft legislation to indicate a state alternative tothe name of an agency, the number of members on a committee, punishment foran offense, etc. Brackets are use to highlight these cases.

The word �Act� refers to proposed and enacted bills. Generally, the itemspresented to committee members are the most recent versions.

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Sample ActCriminal Rehabilitation Research Act

This draft Act enables a state to facilitate research, including controlled ex-periments, in criminal sentencing and rehabilitation methods in order to deter-mine the most effective and humane means of deterring crime and rehabilitatingdelinquent and criminal offenders . . ..

The criminal justice system neither deters nor rehabilitates as effectively aspossible. Sentencing and treatment decisions continue to be handicapped by lackof scientific experience. New treatment programs are developed haphazardly, if atall, and their relative effectiveness is rarely evaluated. The results are wastedlives, needless public expenditures, and increased crime. Dissatisfaction with ex-isting correctional institutions has increased and the demand for reform has in-tensified, but reform, to be meaningful, must be based on facts . . ..

This draft legislation was developed by the Criminal Sentencing Project ofYale Legislative Services. A comprehensive report on Criminal Rehabilitation, in-cluding a detailed commentary to the suggested legislation, can be obtained fromYale Legislative Services, Yale Law School, New Haven, Connecticut 06520.


(Title, enacting clause, etc.)

Section 1. [Short Title.] This Act may be cited as the � Criminal RehabilitationResearch Act.�

Section 2. [Definitions.] As used in this Act:(1) �Commission� means the [rehabilitation research commission].(2) �Commissioner� means a member of the [rehabilitation research commis-

sion].(3) �Offender� means a person adjudicated delinquent or convicted of a crimi-

nal offense under the laws and ordinances of the state and its political subdivi-sions.

Section 4. [Rehabilitation Research Commission.](a) A [rehabilitation research commission] is established to review, approve,

and facilitate research directed at the rehabilitation of delinquent and criminaloffenders and to disseminate the results of that research to correctional officialsand other interested individuals and agencies.

(b) The commission shall consist of [ten (10)] members appointed by the gover-nor [with the advice and consent of the senate].

Comment: It is suggested that some commission members be ex-offenders.

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Alternative Teacher Certification

This Act establishes a program to certify people as teachers based upontheir work or life experiences and instead of completing a traditional teacherpreparation program. It outlines four options; including certification of aperson with exceptional work experience, certification through a local dis-trict training program, certification of a professional from a postsecondaryinstitution and certification of an adjunct instructor who has specific skillsand training.

Generally, qualified participants get a provisional teaching certificatethat they must renew every year for up to three years. They get a regularteaching certificate if they continue to teach beyond three years.

Submitted as:KentuckySB 265Enacted into law, 1998.



Section 1. [Short Title.] This Act may be cited as the �AlternativeTeaching Act.�

Section 2. [Legislative Findings.] The [General Assembly] hereby findsthat:

(1) (a) There are people who have distinguished themselves through avariety of work and educational experiences that could enrich teaching inschools;

(b) There are distinguished scholars who wish to become teachersin public schools, but who did not pursue a teacher preparation program;

(c) There are people who need to be recruited to teach in schools tomeet the diverse cultural and educational needs of students; and

(d) There should be alternative procedures to the traditional teacherpreparation programs that qualify people as teachers.

(2) There are hereby established alternative certification program op-tions as described in sections (3) through (6) of this Act.

(3) It is the intent of the [General Assembly] that the [Educational Pro-fessional Standards Board] inform scholars, people with exceptional workexperience, and people with diverse backgrounds who have potential asteachers of these options and assist local boards of education in implement-ing these options and recruitment of people who can enhance the education

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system in this state.(4) The [Education Professional Standards Board] shall promulgate

administrative regulations establishing standards and procedures for thealternative certification options described in this Act.

Section 3. [Option 1: Certification of a Person with Exceptional WorkExperience.]

(1) A person who has exceptional work experience and has been of-fered employment at the secondary level in a local school district shallreceive a [one (1)] year provisional teaching certificate with approval bythe [Education Professional Standards Board] of a joint application bythe person and the employing school district under the following condi-tions:

(a) The application contains documentation of all education andwork experience;

(b) The candidate has documented [ten (10)] years of exceptionalwork experience in the area in which certification is being sought;

(c) The candidate possesses a bachelor�s degree, with a grade pointaverage of [two-and-one-half (2.5)] on a [four (4)] point scale from a na-tionally or regionally accredited postsecondary institution; and

(d) The candidate shall participate in an teacher internship pro-gram under [insert citation.] After successful completion of the intern-ship, the candidate shall receive a regular provisional certificate.

(2) An individual employed under this alternative shall be certifiedfor [one (1)] year only, and may be approved for subsequent [one (1)] yearrenewals upon request of the local board of education and approval of the[Education Professional Standards Board.] A teacher who successfullycompletes [three (3)] contract years under the provisions of this sectionshall be awarded a regular provisional certificate, and subject to certifi-cate renewal requirements the same as any other teacher with a regularprovisional certificate.

Section 4. [Option 2: Certification Through a Local District TrainingProgram.]

A local district or group of districts may seek approval for a trainingprogram. The state-approved local district training program is an alter-native to the college teacher preparation program as a means of acquir-ing teacher certification for a teacher at any grade level. The trainingprogram may be offered for all teaching certificates approved by [Educa-tion Professional Standards Board,] including interdisciplinary earlychildhood education, except for specific certificates for teachers of excep-tional children. To participate in a state-approved local district alterna-tive training program, the candidate shall:

(a) Possess a bachelor�s degree with a grade point average of [two-


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and-one-half (2.5)] on a [four (4)] point scale or, upon approval by the[Education Professional Standards Board,] at least a grade point aver-age of [two (2)] on a [four (4)] point scale if the candidate has exceptionallife experience related to teaching and has completed the bachelor�s de-gree at least [five (5)] years prior to submitting an application to theprogram.

(b) Pass written tests designated by the [Education ProfessionalStandards Board] for content knowledge in the specific teaching field ofthe applicant with minimum scores in each test as set by the [EducationProfessional Standards Board.] To be eligible to take a subject field test,the applicant shall have completed a [thirty (30)] hour major in the sub-ject field or [five (5)] years of experience in the subject field as approvedby the [Education Professional Standards Board.]

(c) Have been offered employment in a school district which hasa training program approved by the [Education Professional StandardsBoard.]

(d) Upon meeting the participation requirements as establishedin this subsection, the candidate shall be issued a [one (1)] year provi-sional certificate by the [Education Professional Standards Board.] Theregular provisional certificate shall be issued upon satisfactory comple-tion of the program and the teacher testing internship program pursu-ant to [insert citation.]

(e) The [Education Professional Standards Board] may reject theapplication of any candidate who is judged as not meeting academic re-quirements comparable to those for students enrolled in teacher prepa-ration programs in this state.

Section 5. [Option 3: Certification of a Professional from aPostsecondary Institution.]

A candidate who possesses the following qualifications may receivealternative certification for teaching at the secondary level:

(a) A master�s degree or doctoral degree in the academic subjectarea for which certification is sought;

(b) A minimum of [five (5)] years of full-time teaching experience,or its equivalent, in the academic subject area for which certification issought in a regionally- or nationally-accredited institution of higher edu-cation; and

(c) Successful completion of the teacher internship requirementimposed under [insert citation.]

Section 6. [Option 4: Certification of An Adjunct Instructor.](1) A person who has expertise in areas such as art, music, foreign

language, drama, science, and other specialty areas may be employed asan adjunct instructor in a part-time position by a local board of educa-


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tion.(2) �Adjunct instructor� means someone who has training or experi-

ence in a specific subject area and who has met the requirements forcertification as an adjunct instructor established by the [Education Pro-fessional Standards Board.]

(3) The [Education Professional Standards Board] shall adopt ad-ministrative regulations governing the qualifications and utilization ofadjunct instructors. These administrative regulations shall specify theminimum essential competencies which must be demonstrated by peopleseeking an adjunct instructor certificate.

(4) Holders of an adjunct instructor certificate shall be employed onan annual contract basis and shall not be eligible for continuing servicestatus pursuant to [insert citation] or for the retirement provisions of[insert citation.] The granting of successive annual contracts to the holderof an adjunct instructor certificate shall not give rise to a claim of expec-tation of continuing employment.

(5) Local school boards may contract with certified adjunct instruc-tors for part-time services on an hourly, daily or other periodic basis asbest meets the needs of the board. An adjunct instructor shall not fill aposition that will result in the displacement of a qualified teacher with aregular certificate who is already employed in the district.

(6) An orientation program shall be developed and implemented foradjunct instructors by the local school board.

Section 7. [Salary Schedules.] A teacher certified under sections 2through 6 of this Act shall be placed on the local district salary schedulefor the rank corresponding to the degree held by the teacher.

Section 8. [Professional Support Team.](1) As used in this section, �professional support team� means a school

principal, an experienced teacher, a college or university faculty member,and an instructional supervisor. If an instructional supervisor or collegeor university faculty member is not available, the district shall assign amember with comparable experience. The school principal shall serve asthe chairman of the team.

(2) The [Education Professional Standards Board] shall establish atraining program for professional support teams which shall be imple-mented by the [Department of Education.] The training shall includecontent and procedures for the evaluation of teacher candidates. Comple-tion of the training shall be evidenced by successfully passing the exami-nations prescribed by the [board.]

(3) A local school district seeking to hire a teacher pursuant to sec-tion (4) of this Act shall submit a plan for a local district alternativetraining program to the [Department of Education] and have it approved


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in accordance with administrative regulations established by the [Edu-cation Professional Standards Board.] The district shall show evidencethat it has sought joint sponsorship of the program with a college oruniversity. No local school district shall employ a teacher seeking certi-fication in a state-approved local district training program unless it hassubmitted a plan and received approval by the [Education ProfessionalStandards Board.]

(4) Each state approved local district alternative training programshall provide the teacher candidate with essential knowledge and skillsand include, but not be limited to, the following components:

(a) A full-time seminar and practicum of no less than [eight (8)]weeks� duration prior to the time the candidate assumes responsibilityfor a classroom. The content of the formal instruction shall be prescribedby the [Education Professional Standards Board] and shall include anintroduction to basic teaching skills through supervised teaching experi-ences with students, as well as an orientation on the policies, organiza-tion, and curriculum of the employing district.

(b) A period of classroom supervision while the candidate assumesresponsibility on a [one-half (1/2)] time basis for a classroom and con-tinuing for [eighteen (18)] weeks. During this period, the candidate shallbe visited and critiqued no less than [one (1)] time per week by [one (1)]or more members of a professional support team appointed by the localdistrict and assigned according to the administrative regulations adoptedby the [Education Professional Standards Board.] The candidate shall beformally evaluated at the end of [five (5)] weeks, at the end of the second[five (5)] weeks, and at the end of the last [eight (8)] weeks by the mem-bers of the team. During this period, the candidate shall continue formalinstruction which emphasizes student assessment, child development,learning, curriculum, instruction of exceptional children, and school andclassroom organization.

(c ) An additional period of at least [eighteen (18)] weeks contin-ued supervision of the teacher candidate who may be assigned full-timeclassroom duties. During this period the teacher candidate shall be cri-tiqued at least [one (1)] time per month and shall be observed formallyand evaluated at least [two (2)] times per month. No more than [two (2)]months shall pass without a formal observation. Formal instruction shallalso continue during this period. In addition, opportunities shall be pro-vided for the teacher candidate to observe the teaching of experiencedteachers.

(5) At least [two hundred fifty (250)] hours of formal instruction shallbe provided in all [three (3)] phases of the program combined.

(6) At the conclusion of the alternative training program, the chair ofthe support team shall prepare a comprehensive evaluation report onthe teacher candidate�s performance. This report shall be submitted to


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the [Education Professional Standards Board] and shall contain a rec-ommendation as to whether the teacher candidate shall be issued a [one(1)] year certificate of eligibility to complete the internship pursuant to[insert citation.] The support team shall make [one (1)] of the followingrecommendations:

(a) Approved: recommends issuance of certificate to complete the in-ternship;

(b) Insufficient: recommends the candidate be allowed to seek re-en-try into a teacher preparation program; or

(c) Disapproved: recommends the candidate not be allowed to enter ateacher preparation program.

Section 9. [Teachers for Gifted Education.]Anyone employed as a teacher for gifted education shall hold an ap-

propriate certificate endorsement for gifted education, except that allteachers having certificates initially issued for a duration period on orbefore [July 1, 1984,] or proper renewals thereof, shall remain eligiblethereafter for assignment as teachers for gifted education, for the gradelevels of the base certificate, provided any such assignment was validunder the original certificate at the time it was issued.

Section 10. [Severability.] [Insert severability clause.]

Section 11. [Repealer.] [Insert repealer clause.]

Section 12. [Effective Date.] [Insert effective date.]


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Automated Victim Notification System

The 1985 Suggested State Legislation �Victim Notification of OffenderRelease Act� requires written notification to crime victims when prison-ers receive suspended sentences, probation, parole or an unconditionalrelease. This Act, which is based on Alaska law, directs the state correc-tions department to establish an automated telephone service to notifycrime victims when there is a change in the status of their offender.

Staff with the American Probation and Parole Association and theNational Victims� Assistance Project say that although many localitiesand prisons are establishing automated notification systems, Alaska mayhave been one of the first states that mandated it on statewide basis forstate facilities.

Submitted as:AlaskaCH 73, Laws of 1997 (SB 25)Enacted into law, 1997.



Section 1. [Short Title.] This Act may be cited as an �Act to Provide anAutomated Victim Notification and Prisoner Information System.�

Section 2. [Automated Victim Notification System - Establishment.](a) The [Department of Corrections] shall establish an automated

victim notification system that automatically provides crime victims withnotice by telephone when there is a change in the status of their offender.The system must also allow crime victims to initiate telephone calls tothe system to receive the latest status report for their offender. An auto-mated victim notification system established under this section satisfiesthe duty of a state agency to notify a crime victim of the change in statusof an offender. The failure of a system to provide notice to a crime victimdoes not give rise to a separate cause of action by the crime victim againstthe state, an agency of the state, or a municipality, or the officers, em-ployees, or contractors of the state, agency of the state, or municipality.

(b) Each [department] and each municipality shall cooperate withthe [Department of Corrections] in establishing and maintaining an au-tomated victim notification system required under this section.

Section 3. [Victim Notification.]

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(a) The [commissioner�s] duty under [insert citation] to notify a vic-tim of a change in the status of an offender is satisfied by the noticeprovided by an automated victim notification system established undersection 1 of this Act.

Section 4. [System Design Components.](a) The [department] shall establish an automated inmate informa-

tion system to allow persons to place surcharge telephone calls to obtaininformation concerning inmates and where they are incarcerated, bailand bond information, and information concerning visiting hours at in-stitutions. The system shall be designed so that all the costs of the sys-tem are, at a minimum, met by the revenues received from calls to thesystem, and shall be designed so that the revenues received satisfy ordefray the costs of establishing and maintaining an automated victimnotification system if such a system is established under this Act.




Automated Victim Notification System

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Brokerage Real Estate Disclosure

The 1993 Suggested State Legislation contains a Residential RealEstate Disclosure Act that requires sellers to disclose defects in theirresidential property to prospective buyers. This legislation is based on a1997 Florida law that clarifies the relationship between real estate agents/brokers and real estate buyers and sellers. This Act requires real estateagents/brokers to provide customers with certain information before andafter they enter into a brokerage relationship. This includes whether thebroker/agent is acting as a single agent or as a transaction broker, andthe duties of a single agent and a transaction broker.

Submitted as:FloridaCH 97-42Enacted into law, 1997.



Section 1. [Short Title.] This Act may be cited as the �Brokerage Rela-tionship Disclosure Act.�

Section 2. [Definitions.] As used in this Act:(1) �Broker� means a person who, for another, and for a compen-

sation or valuable consideration directly or indirectly paid or promised,expressly or implicitly, or with an intent to collect or receive a compensa-tion or valuable consideration therefor, appraises, auctions, sells, ex-changes, buys, rents, or offers, attempts or agrees to appraise, auction, ornegotiate the sale, exchange, purchase, or rental of business enterprisesor business opportunities or any real property or any interest in or con-cerning the same, including mineral rights or leases, or who advertises orholds out to the public by any oral or printed solicitation or representationthat he is engaged in the business of appraising, auctioning, buying, selling,exchanging, leasing, or renting business enterprises or business opportuni-ties or real property of others or interests therein, including mineral rights,or who takes any part in the procuring of sellers, purchasers, lessors, orlessees of business enterprises or business opportunities or the real prop-erty of another, or leases, or interest therein, including mineral rights, orwho directs or assists in the procuring of prospects or in the negotiationor closing of any transaction which does, or is calculated to, result in asale, exchange, or leasing thereof, and who receives, expects, or is prom-

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ised any compensation or valuable consideration, directly or indirectlytherefor; and all persons who advertise rental property information orlists.

A broker renders a professional service and is a professional withinthe meaning of [insert citation]. Where the term �appraise� or �apprais-ing� appears in the definition of the term �broker,� it specifically excludesthose appraisal services which must be performed only by a state-licensedor state-certified appraiser, and those appraisal services which may beperformed by a registered appraiser as defined in [insert citation.]

The term �broker� includes any person who is a general partner, of-ficer, or director of a partnership or corporation which acts as a broker.The term �broker� also includes any person or entity who undertakes tolist or sell one or more timeshare periods per year in [one (1)] or moretimeshare plans on behalf of any number of persons, except as providedin [insert citation.]

(2) �Broker-salesperson� means a person who is qualified to beissued a license as a broker but who operates as a salesperson in theemploy of another.

(3) �Commission� means the state [Real Estate Commission.](4) �Customer� means a member of the public who is or may be a

buyer or seller of real property and may or may not be represented by areal estate licensee in an authorized brokerage relationship.

(5) �Department� means the [Department of Business and Pro-fessional Regulation.]

(6) �Fiduciary� means a broker in a relationship of trust and con-fidence between that broker as agent and the seller or buyer as principal.The duties of the broker as a fiduciary are loyalty, confidentiality, obedi-ence, full disclosure, and accounting and the duty to use skill, care, anddiligence.

(7) �First contact� means at the commencement of the initialmeeting of or communication between a licensee and a seller or buyer;however, the term does not include:

(i) A bona fide �open house� or model home showing that doesnot involve eliciting confidential information, the execution of a contrac-tual offer or an agreement for representation, or negotiations concerningprice, terms, or conditions of a potential sale;

(ii) Unanticipated casual encounters between a licensee anda seller or buyer that do not involve eliciting confidential information,the execution of a contractual offer or an agreement for representation,or negotiations concerning price, terms, or conditions of a potential sale;

(iii) Responding to general factual questions from a prospec-tive buyer or seller concerning properties that have been advertised forsale; or

(iv) Situations in which a licensee�s communications with a

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customer are limited to providing general factual information, oral orwritten, about the qualifications, background, and services of the licenseeor the licensee�s brokerage firm.

In any of the situations described in subparagraphs i-iv, �first contact�occurs when the communications between the licensee and the prospectiveseller or buyer proceed in any way beyond the conditions or limitationsdescribed in subparagraphs i-iv.

(8) �Involuntarily inactive status� means the licensure status thatresults when a license is not renewed at the end of the license periodprescribed by the department.

(9) �Principal� means the party with whom a real estate licenseehas entered into a single agent relationship.

(10) �Real property� or �real estate� means any interest or estatein land and any interest in business enterprises or business opportuni-ties, including any assignment, leasehold, subleasehold, or mineral right;however, the term does not include any cemetery lot or right of burial inany cemetery; nor does the term include the renting of a mobile home lotor recreational vehicle lot in a mobile home park or travel park.

(11) �Salesperson� means a person who performs any act speci-fied in the definition of �broker,� but who performs such act under thedirection, control, or management of another person. A salesperson ren-ders a professional service and is a professional within the meaning of[insert citation.]

(12) �Single agent� means a broker who represents, as a fidu-ciary, either the buyer or seller but not both in the same transaction.

(13) �Transaction broker� means a broker who provides limitedrepresentation to a buyer, a seller, or both, in a real estate transaction,but does not represent either in a fiduciary capacity or as a single agent.

(14) �Voluntarily inactive status� means the licensure status thatresults when a licensee has applied to the department to be placed oninactive status and has paid the fee prescribed by rule.

Section 3. [Discipline.]The Commission may deny an application for licensure, registration,

or permit, or renewal thereof; may place a licensee, registrant, or permit-tee on probation; may suspend a license, registration, or permit for aperiod not exceeding [ten (10)] years; may revoke a license, registration,or permit; may impose an administrative fine not to exceed [one thou-sand (1,000)] dollars for each count or separate offense; and may issue areprimand, and any or all of the foregoing, if it finds that the licensee,registrant, permittee, or applicant:

(1) Has shared a commission with, or paid a fee or other compen-sation to, a person not properly licensed as a broker, broker-salesperson,or salesperson under the laws of this state, for the referral of real estate


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business, clients, prospects, or customers, or for any one or more of theservices set forth in Section (2)(1). For the purposes of this section, it isimmaterial that the person to whom such payment or compensation isgiven made the referral or performed the service from within this stateor else-where; however, a licensed broker of this state may pay a referralfee or share a real estate brokerage commission with a broker licensed orregistered under the laws of a foreign state so long as the foreign brokerdoes not violate any law of this state.

(2) Has violated any provision of Sections 6 and 7 of this Act,including the duties owed under those sections.

Section 4. [Purpose.]In order to eliminate confusion and provide for a better understand-

ing on the part of customers in real estate transactions, the [Legislature]finds that the intent of the [Brokerage Relationship Disclosure Act] is toprovide that:

(1) Disclosed dual agency as an authorized form of representa-tion by a real estate licensee in this state is expressly revoked;

(2) Real estate licensees be required to disclose to customers uponfirst contact in residential real estate transactions that they are not andwill not be represented by a licensee in a real estate transaction unlessthey engage a real estate licensee in an authorized form of representa-tion, either as a single agent or as a transaction broker;

(3) Disclosure requirements for real estate licensees relating tononrepresentation and authorized forms of brokerage representation areestablished;

(4) Florida law provides that real estate licensees will operate assingle agents or in a limited representative capacity known as transac-tion brokers;

(5) Single agents may represent either a buyer or a seller, but notboth, in a real estate transaction; and

(6) Transaction brokers provide a limited form of non-fiduciaryrepresentation to a buyer, a seller, or both in a real estate transaction.

Section 5. [Scope of Coverage.] The authorized brokerage relation-ships described in Section 7 apply in all brokerage activities as definedin Section 2(1) of this Act. The disclosure requirements of Sections 6 and7 apply only to residential sales as defined in Section 6.

Section 6. [Notice of Nonrepresentation.](a) Applicability.

(1) Residential sales. The real estate licensee disclosure require-ments of this Section and Section 7 apply to all residential sales. As usedin this Section, the term �residential sales� means the sale of improved


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residential property of [four (4)] units or fewer, the sale of unimprovedresidential property intended for use of [four (4)] units or less, or the saleof agricultural property of [ten (10)] acres or less.

(2) Disclosure limitations. The real estate licensee disclosure re-quirements of this Section and Section 7 do not apply to: nonresidentialtransactions; the rental or leasing of real property, unless an option topurchase all or a portion of the property improved with [four (4)] or lessresidential units is given; auctions; appraisals; and dispositions of anyinterest in business enterprises or business opportunities, except for prop-erty with [four (4)] or less residential units.

(b) Notice Requirement. Unless otherwise exempted by this section,all real estate licensees are required to provide to any potential seller orbuyer at first contact the notice of nonrepresentation as outlined in Sub-section (c), except in situations where a licensee knows that the potentialseller or buyer is represented by a single agent or a transaction broker. Iffirst contact between a licensee and a customer occurs during the courseof a telephone conversation or any other communication in which thelicensee is unable to provide the required notice of nonrepresentation,the licensee shall provide an oral notice and thereafter provide the re-quired notice of nonrepresentation at the time of the first face-to-facecontact, execution of a brokerage relationship agreement, or execution ofa contractual agreement for purchase and sale, whichever occurs first.

(c) Contents of Notice.(1) Required information. The notice required under Subsection

(b) must contain the following information:

NOTICE OF NONREPRESENTATION

[STATE] LAW REQUIRES THAT REAL ESTATE LIC-ENSEES PROVIDE THIS NOTICE AT FIRST CONTACTTO ALL POTENTIAL SELLERS AND BUYERS OF REALESTATE.

You are hereby notified that ____________________ (insertname of brokerage firm) and I do not represent you in anycapacity. You should not assume that any real estate brokeror salesperson represents you unless you agree to engage areal estate licensee in an authorized brokerage relationship,either as a single agent or as a transaction broker. You areadvised not to disclose any information you want to be heldin confidence until you make a decision on representation.

Your signature below acknowledges receipt of this formand does not establish a brokerage relationship.


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Date _____________

(Signature Optional) _________________________

(Signature Optional) _________________________

(2) Required format. The notice required under Subsection (b)must be printed as a separate and distinct form on paper no smaller than[8 1 /2 inches by 11 inches.] Nothing may be added to the form except abrokerage firm logo containing only the firm name, address, and relevantphone numbers. form title and first sentence are to be in bold typeface ofno less than [16-point] type. The remainder of the form must be of [12-point type] or larger.

Section 7. [Authorized Brokerage Relationships; Required Disclosures.](a) Authorized Brokerage Relationships. A real estate licensee in this

state may enter into a brokerage relationship as either a single agent oras a transaction broker with potential buyers and sellers. A real estatelicensee may not operate as a disclosed or undisclosed dual agent. Asused in this section, the term �dual agent� means a broker who repre-sents as a fiduciary both the prospective buyer and the prospective sellerin a real estate transaction. Once a brokerage relationship is established,this section does not prevent a licensee from changing from one broker-age relationship to the other as long as the buyer or the seller, or both,gives consent as required by this Act before the change and the appropri-ate disclosure of duties as provided in this section is made to the buyer orseller. This section does not require a customer to enter into a brokeragerelationship with any real estate licensee.

(b) Transaction Broker Relationship.(1) Transaction broker - duties of limited representation. A trans-

action broker provides a limited form of representation to a buyer, a seller,or both in a real estate transaction but does not represent either in afiduciary capacity or as a single agent. The duties of the real estate lic-ensee in this limited form of representation include the following:

� Dealing honestly and fairly;� Accounting for all funds;� Using skill, care, and diligence in the transaction;� Disclosing all known facts that materially affect the value of real

property and are not readily observable to the buyer;� Presenting all offers and counteroffers in a timely manner, unless

a party has previously directed the licensee otherwise in writing;� Limited confidentiality, unless waived in writing by a party. This

limited confidentiality will prevent disclosure that the seller will accept a


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price less than the asking or listed price, that the buyer will pay a pricegreater than the price submitted in a written offer, of the motivation of anyparty for selling or buying property, that a seller or buyer will agree tofinancing terms other than those offered, or of any other information re-quested by a party to remain confidential; and

� Any additional duties that are mutually agreed to with a party.(2) Disclosure requirements. Duties of a transaction broker must be

fully described and disclosed in writing to a buyer or seller either as a sepa-rate and distinct disclosure document or included as part of another docu-ment such as a listing agreement or agreement for representation. Thedisclosure must be made before, or at the time of, entering into a listingagreement or an agreement for representation. When incorporated into otherdocuments the required notice must be of the same size type, or larger, asother provisions of the document and must be conspicuous in its placementso as to advise customers of the duties of limited representation, exceptthat the first sentence must be printed in uppercase and bold type.

(3) Contents of disclosure. The required notice must include the follow-ing information in the following form:

[STATE] LAW REQUIRES THAT REAL ESTATE LICENS-EES OPERATING AS TRANSACTION BROKERS DISCLOSETO BUYERS AND SELLERS THEIR ROLE AND DUTIES INPROVIDING A LIMITED FORM OF REPRESENTATION.

As a transaction broker, _________________________ (insertname of Real Estate Firm and its Associates), provides to you alimited form of representation that includes the following duties:

� Dealing honestly and fairly;� Accounting for all funds;� Using skill, care, and diligence in the transaction;� Disclosing all known facts that materially affect the value

of real property and are not readily observable to the buyer;� Presenting all offers and counteroffers in a timely manner,

unless a party has previously directed the licensee otherwise inwriting;

� Limited confidentiality, unless waived in writing by a party.This limited confidentiality will prevent disclosure that the sellerwill accept a price less than the asking or listed price, that thebuyer will pay a price greater than the price submitted in a writ-ten offer, of the motivation of any party for selling or buying prop-erty, that a seller or buyer will agree to financing terms otherthan those offered, or of any other information requested by aparty to remain confidential; and

� Any additional duties that are entered into by this or by


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separate written agreement. Limited representation means thata buyer or seller is not responsible for the acts of the licensee.Additionally, parties are giving up their rights to the undividedloyalty of the licensee. This aspect of limited representation al-lows a licensee to facilitate a real estate transaction by assistingboth the buyer and the seller, but a licensee will not work to rep-resent one party to the detriment of the other party.

Date ___________

Signature _____________________

Signature _____________________

(c) Single Agent Relationship.(1) Single agent - duties. The duties of a real estate licensee owed

to a buyer or seller who engages the real estate licensee as a single agentinclude the following:

� Dealing honestly and fairly;� Loyalty;� Confidentiality;� Obedience;� Full disclosure;� Accounting for all funds;� Skill, care, and diligence in the transaction; and� Presenting all offers and counteroffers in a timely manner,

unless a party has previously directed the licensee otherwise inwriting.(2) Disclosure requirements.

(i) Single agent disclosure. Duties of a single agent must befully described and disclosed in writing to a buyer or seller either as aseparate and distinct disclosure document or included as part of anotherdocument such as a listing agreement or other agreement for represen-tation. The disclosure must be made before, or at the time of, enteringinto a listing agreement or an agreement for representation. When incor-porated into other documents the required notice must be of the samesize type, or larger, as other provisions of the document and must beconspicuous in its placement so as to advise customers of the duties of asingle agent, except that the first sentence of the information must beprinted in uppercase and bold type.

(ii) Transition to transaction broker disclosure. A single agentrelationship may be changed to a transaction broker relationship at anytime during the relationship between an agent and principal, providedthe agent gives the disclosure required under this Act and the principal


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gives to the agent consent as required under this Act before a change inrelationship. This disclosure must be in writing to the principal either asa separate and distinct document or included as part of other documentssuch as a listing agreement or other agreements for representation. Whenincorporated into other documents the required notice must be of thesame size type, or larger, as other provisions of the document and mustbe conspicuous in its placement so as to advise customers of the duties oflimited representation, except that the first sentence must be printed inuppercase and bold type.

(3) Contents of disclosure.(i) Single agent duties disclosure. The notice required must

include the following information in the following form:

[STATE] LAW REQUIRES THAT REAL ESTATE LICENS-EES OPERATING AS SINGLE AGENTS DISCLOSE TO BUY-ERS AND SELLERS THEIR DUTIES.

As a single agent, ___________________ (insert name of RealEstate Entity and its Associates) owe to you the following duties:

� Dealing honestly and fairly;� Loyalty;� Confidentiality;� Obedience;� Full disclosure;� Accounting for all funds;� Skill, care, and diligence in the transaction; and� Presenting all offers and counteroffers in a timely man-

ner, unless a party has previously directed the licensee oth-erwise in writing.

Date _____________

Signature _____________________

Signature _____________________

(ii) Transition disclosure. The notice required must includethe following information in the following form as well as the other ap-plicable parts of this Act:

[STATE] LAW ALLOWS REAL ESTATE LICENSEES WHO REP-RESENT A BUYER OR SELLER AS A SINGLE AGENT TO CHANGEFROM A SINGLE AGENT RELATIONSHIP TO A TRANSACTION BRO-KERAGE RELATIONSHIP IN ORDER FOR THE LICENSEE TO AS-


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SIST BOTH PARTIES IN A REAL ESTATE TRANSACTION BY PRO-VIDING A LIMITED FORM OF REPRESENTATION TO BOTH THEBUYER AND THE SELLER. THIS CHANGE IN RELATIONSHIP CAN-NOT OCCUR WITHOUT YOUR PRIOR WRITTEN CONSENT.

I agree that my agent may assume the role and duties of atransaction broker. [must be initialed or signed]

Date _____________

Signature _____________________

Section 8. [No Brokerage Relationship - Duties.] A real estate licenseeowes to a customer with whom the licensee has no brokerage relation-ship the following duties:

� Dealing honestly and fairly; � Disclosing all known facts that materially affect the value of theproperty which are not readily observable to the buyer; and

� Accounting for all funds entrusted to the licensee.

Section 9. [Rules.] The Commission may adopt rules establishing dis-ciplinary guidelines, notices of noncompliance, and citations for viola-tions of Sections 6 and 7 of this Act.

Section 10. [Brokerage Business Records.] Each broker shall keep andmake available to the department such books, accounts, and records aswill enable the department to determine whether such broker is in com-pliance with the provisions of this Act. Each broker shall preserve atleast one legible copy of all books, accounts, and records pertaining to hisreal estate brokerage business for at least [five (5)] years from the date ofreceipt of any money, fund, deposit, check, or draft entrusted to the bro-ker or, in the event no funds are entrusted to the broker, for at least [five(5)] years from the date of execution by any party of any listing agree-ment, offer to purchase, rental property management agreement, rentalor lease agreement, or any other written or verbal agreement which en-gages the services of the broker. If any brokerage record has been thesubject of or has served as evidence for litigation, relevant books, ac-counts, and records must be retained for at least [two (2)] years after theconclusion of the civil action or the conclusion of any appellate proceed-ing, whichever is later, but in no case less than a total of [five (5)] years asset above. Disclosure documents required by this Act shall be retained bythe real estate licensee in all transactions that result in a written con-tract to purchase and sell real property.


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Section 11. [Exemptions.] This Act does not apply to auctions con-ducted as a part of the sale of real property by a real estate broker, asdefined in [insert citation.]





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Business Coordination

In March 1996, the governor of Florida created the state Single Busi-ness Identifier Interagency Workgroup as a subgroup of a Task Force onPaperwork Reduction. The Working Group was charged with exploringthe development of a single business identification numbering systemfor use by state agencies with the intended goal of reducing the paper-work burden on the state�s business and governmental entities. This Actis based on a subsequent Florida law to codify some of the recommenda-tions of the report from the Working Group.

According to the Working Group, there were twelve or more stateagencies which required licenses from or regulated businesses. Researchindicates that a typical business owner spends up to eight hours per monthfilling out paperwork for permits, taxes, labor, and worker-safety reportsto the state. In addition, businesses must report the same information toas many as five different state agencies and report the same informationto the same state agency repeatedly.

This Act directs the Department of State to create a master businessindex in which each business is assigned a unique single business identi-fier number (SBIN) for interagency use. The master business index is adatabase which indexes all business entity records maintained by anystate government agency. Each agency that registers, licenses, or regu-lates business entities is to utilize the SBIN so that registration or li-cense information may be directly retrieved by the use of the SBIN.

Historically, state law required the use of the federal employer�s iden-tification number (FEIN) by each state agency which registers or licensescorporations, partnerships or other business entities. The Task Force re-viewed the use of the FEIN, but the Task Force determined that the FEINis unsatisfactory for accomplishing the goal because it is not necessarilya unique number; it is not created or managed within the control of thestate; and not all businesses register for a FEIN. This Act repeals thecomponent of state law which requires the use of the Federal EmployerIdentifier Number by state agencies which register or license businessentities.

The Act also directs the secretary of state to conduct a study assess-ing the need for unified reporting and consolidated licensing; and to pre-pare recommendations for the Legislature based on the findings of thestudy.

Submitted as:FloridaCH 97-15 (HB 399)Enacted into law, 1997.




Section 1. [Short Title.] This Act may be cited as the �Business Coor-dination Act.�

Section 2. [Legislative Findings and Intent.](1) The Legislature finds that:

(a) As documented by the [Single Business Identifier InteragencyTask Force,] state government places a heavy burden on the business com-munity of this state through the requirement to obtain and maintain nu-merous licenses, permits, and registrations.

(b) While such requirements are necessary to ensure the public safetyand welfare, present methods for the business community to meet suchobligations, as prescribed by law and administered and enforced by stateagencies, are cumbersome and place an undue hardship on business enti-ties in this state.

(c) The potential exists for the state to more easily identify and elimi-nate duplicative or outdated licensing requirements and thereby reduce itscost of operation without jeopardizing the public safety or welfare.

(2) It is the intent of this Act to establish a master business index withinthe [Department of State] and to facilitate a reporting mechanism whichconsolidates and coordinates business entity licensing and reporting re-quirements whenever possible.

Section 3. [Definitions.] As used in this Act:(1) �Business entity� means any form of corporation, partnership, asso-

ciation, cooperative, joint venture, business trust, or sole proprietorship thatconducts business in this state.

(2) �Department� means the [Department of State.](3) �Master business index� means that database maintained by the

[department] which indexes all business entity records maintained byany state government agency.

(4) �Single business identifier� means the unique record number as-signed to a business entity by the [department] in compliance with theprovisions of this Act.

(5) �State agency� means any state government agency, department,or commission which has jurisdiction over business entities.

Section 4. [Single Business Identifier.](1) The [department] shall create a master business index, using as

an initial base the commercial regulation and registration program da-tabases the [department] currently maintains. Each business entity shall


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be assigned a unique single business identifier for interagency use.(2) The [department] is authorized to take the actions it deems nec-

essary to integrate all non-business entity or commercial registrations itmaintains into the Master Business Index such that all registrationsmaintained for a business entity are reflected in the index in a consoli-dated manner.

(3) The [department] is authorized to take the actions it deems prac-tical to consolidate its various renewal or annual mailings, to include thealtering of specified mailing dates and filing deadlines.

Section 5. [Custodian.] The [Secretary of State] is hereby designatedthe custodian of the Master Business Index.

Section 6. [Feasibility Study - Uniform Business Report.](1) The [Secretary of State] shall conduct a study of the technical

feasibility of implementing a uniform business report for use throughoutselected state agencies in the consolidated licensing, registration or re-newal of business entity filings in this state. Additionally, the study shalladdress the technical feasibility of each state agency that registers orlicenses business entities and maintains license records on such entitiesto:

(a) Include the Single Business Identifier, assigned by the [De-partment of State] and maintained in the Master Business Index, in itsrecords such that registration or license information may be directly re-trieved by use of the Single Business Identifier number.

(b) Coordinate its data records creation with the [Department ofState] so as to obtain a Single Business Identifier for all records it main-tains or creates.

(2) Based on the study, the [Secretary of State] shall develop legisla-tive proposals for submission prior to the [1998 Regular Legislative Ses-sion,] which implement the intent of this Act.





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Chemical Castration for Sex Offenders (Note)

Controlling the behavior of sex offenders who are released from prisonis a major task for state criminal justice officials. Treating sex offenderswith medroxyprogesterone acetate (MPA) to reduce their sex drive ap-pears to be a new trend among the states. Commonly referred to as �chemi-cal castration,� at least five states permitted such treatment as of June1998; California, Florida, Georgia, Louisiana and Montana.

Chapter 596 of the 1996 laws of California provides that anyone whois convicted the first time of certain sex offenses, where the victim isunder 13 years old, may be required to receive medroxyprogesterone ac-etate treatment upon parole. Such treatment is at the discretion of thecourt. The law requires this treatment upon a second conviction.

A parolee begins the treatments one week prior to their release onparole. The treatments continue until the state corrections departmentdemonstrates to the state board of prison terms that the treatment is nolonger necessary.

Florida law 97-184 authorizes a court to sentence a defendant to betreated with medroxyprogesterone acetate (MPA) if the defendant is con-victed of sexual battery. It provides for mandatory treatment with MPAupon a subsequent conviction of sexual battery. The treatment can lastfor a specified time or for the entire life of the criminal. The law alsopermits voluntary physical castration for defendants as an alternativepenalty under specified circumstances.

Georgia HB 211 authorizes people who are convicted of certain childmolestation offenses to undergo chemical hormone treatments ofmedroxyprogesterone acetate as a condition of eligibility for probationand parole. Under this 1997 law, treatment recipients are required toundergo a psychiatric evaluation by a qualified mental health profes-sional and to have counseling during treatment, at the expense of therecipient of the treatment. The program is to be administered throughthe state board of pardons and parole, and the treatments can be ob-tained from private or public licensed providers. Immunity from civil andcriminal liability is granted to physicians who act in good faith in admin-istering the treatments. The law requires that potential recipients of thehormonal treatment be fully informed of the side-effects and give writ-ten consent prior to beginning the treatment.

Louisiana Act 746 of 1997 enables medroxyprogesterone acetate tobe part of the treatment plan of sex offenders whose victims were under12 years old or who have been convicted two or more times for sex of-fenses and are eligible for probation or parole. Treatment starts six weeksprior to release and continues until it is determined that treatment is nolonger necessary.


CH 341 of the 1997 laws of Montana inserts clauses into state lawthat requires people who are convicted of sexual offenses to undergomedroxyprogestone acetate treatment or its chemical equivalent. The lawsays that the time period for treatment cannot exceed the period of su-pervision of the person.

Interested readers can contact the states to get a copy of the lawsthat are highlighted in this �Note.�

Chemical Castration for Sex Offenders (Note)


Cloning

The appearance of Dolly, a cloned sheep, prompted worldwide debateabout cloning, particularly as it relates to human beings. This debate isongoing at both the federal and state levels of government. For example,between 1997 and 1998, at least 18 states were reported as introducinglegislation to ban cloning human beings or using cloned cells for research:Alabama, California, Delaware, Florida, Georgia, Hawaii, Illinois, Michi-gan, New Hampshire, New Jersey, New York, Oregon, Rhode Island, SouthCarolina, Tennessee, Virginia, West Virginia and Wisconsin. Of these, threepassed laws; California, Michigan and Rhode Island.

Likewise, between 1997 and 1998, at least eight bills had been intro-duced in Congress to prohibit cloning human beings or to prohibit usingfederal funds to research cloning humans: HR 922, HR 923, S 368,S 1574, S 1601, S 1599, S 1611 and S 1602. However, as of June 1998,although all but one of these bills (S 1601) were technically still viable,none had passed their respective chambers, and their passage in thefuture seemed unlikely.

At the state level, California SB 1344 (CH 688, Laws of 1997):� Prohibits any person from cloning a human being;� Prohibits any person from purchasing or selling an ovum, zygote,

embryo, or fetus for the purpose of cloning a human being; � Authorizes the state department of health services to levy admin-

istrative penalties on violators of up to $250,000 for individuals, and upto $1,000,000 for corporations, firms, clinics, hospitals, laboratories, orresearch facilities;

� Defines �cloning� as inserting the nucleus from a human cell intoan egg cell from which the nucleus has been removed, for the purpose ofcloning;

� States that a violation of the above provisions constitutes unpro-fessional conduct under the state Medical Practice Act;

� Requires business licenses issued by cities or counties, as specified,to be revoked for violations of the above provisions; and

� Sunsets the above provisions on January 1, 2003.The California law also:

� Calls for a five-year moratorium on the cloning of an entire humanbeing in order to evaluate the medical, ethical and social implications;

� Says that the moratorium is not intended to apply to cloning ofhuman cells, human tissue, or human organs that would not result in thereplication of an entire human being; and

� Specifies that during the moratorium, the state director of healthservices be called upon to establish a panel to review this issue and ad-vise the legislature and governor.


New Jersey�s AB 329 makes cloning a human being a crime and pro-vides that a person�s genetic information is their property. This bill waspending in committee as of June 1998.

The legislation that is highlighted in this volume is based on a 1997Rhode Island law that prohibits cloning a human being. It says that noperson or entity can use somatic cell nuclear transfer for the purpose ofinitiating or attempting to initiate a pregnancy nor shall any person creategenetically identical human beings by dividing a blastocyst, zygote or em-bryo. The Act also establishes fines for violating its provisions. Generally,the fines apply to companies, research labs and their employees.

Submitted as:Rhode IslandHB 7123Enacted into law, 1997.



Section 1. [Short Title.] This Act may be cited as �An Act ConcerningHuman Cloning.�

Section 2. [Declaration of Intent and Purpose.]Whereas, recent medical and technological advances have had tremen-

dous benefit to patients, and society as a whole, and biomedical research forthe purpose of scientific investigation of disease or cure of a disease or ill-ness should be preserved and protected and not be impeded by regulationsinvolving the cloning of an entire human being; and

Whereas, molecular biology, involving human cells, genes, tissues, andorgans, has been used to meet medical needs globally for [twenty (20)] years,and has proved a powerful tool in the search for cures, leading to effectivemedicines to treat cystic fibrosis, diabetes, heart attack, stroke, hemophilia,and HIV/AIDS;

The purpose of this legislation is to place a ban on the creation of ahuman being through division of a blastocyst, zygote, or embryo or somaticcell nuclear transfer, and to protect the citizens of the state from potentialabuse deriving from cloning technologies. This ban is not intended to applyto the cloning of human cells, genes, tissues, or organs that would not resultin the replication of an entire human being. Nor is this ban intended toapply to in-vitro fertilization, the administration of fertility enhancing drugs,or other medical procedures used to assist a woman in becoming or remain-ing pregnant, so long as that procedure is not specifically intended to resultin the gestation or birth of a child who is genetically identical to another

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conceptus, embryo, fetus, or human being, living or dead.

Section 3. [Cloning of Human Beings Prohibited.]No person or entity shall utilize somatic cell nuclear transfer for the

purpose of initiating or attempting to initiate a human pregnancy nor shallany person create genetically identical human beings by dividing a blasto-cyst, zygote, or embryo.

Section 4. [Definitions.](a) �Somatic cell nuclear transfer� means transferring the nucleus of a

human somatic cell into an oocyte from which the nucleus has been re-moved;

(b) �Somatic cell� means any cell of a conceptus, embryo, fetus, child, oradult not biologically determined to become a germ cell;

(c) �Oocyte� means the female germ cell, the egg;(d) �Nucleus� means the cell structure that houses the chromosomes,

and thus the genes, and;

Section 5. [Protected Research and Practices.](a) Nothing in this Act shall be construed to restrict areas of biomedical,

microbiological, and agricultural research or practices not expressly pro-hibited in this section, including research or practices that involve the useof:

(1) somatic cell nuclear transfer or other cloning technologies to clonemolecules, DNA, cells, and tissues; or

(2) mitochondrial, cytoplasmic, or gene therapy; or(3) somatic cell nuclear transfer techniques to create animals.

(b) Nothing in this Act shall be construed to prohibit:(1) in-vitro fertilization, the administration of fertility-enhancing

drugs, or other medical procedures used to assist a woman in becoming orremaining pregnant, so long as that pregnancy is not specifically intendedto result in the production of a child who is genetically identical to anotherhuman being, living or dead;

(2) any activity or procedure that results, directly or indirectly in[two (2)] or more natural identical twins.

Section 6. [Penalties.] For violations of this Act, the [director] of the [De-partment of Health] may, after appropriate notice and opportunity for hear-ing, by order, levy administrative penalties as follows:

(1) If the violator is a corporation, firm, clinic, hospital, laboratory,or research facility, by a civil penalty of not more than [one million(1,000,000)] dollars, or the applicable amount under subsection (3), which-ever is greater.

(2) If the violator is an individual or an employee of the firm,

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clinic, hospital, laboratory, or research facility acting without the autho-rization of the firm, clinic, hospital, or research facility, by a civil penaltyof not more than [two hundred fifty thousand (250,000)] dollars or theapplicable amount under subsection 3, whichever is greater.

(3) If any violator derives pecuniary gain from a violation of thisAct, the violator may be assessed a civil penalty of not more than an amountequal to the amount of the gross gain multiplied by [two (2).]

(4) The administrative penalties provided in this section shall bepaid to the general fund.

(5) Nothing in this Act shall be construed to give any person a pri-vate right of action.



Section 9. [Reauthorization/Sunset Clause.] The prohibition in this Actshall expire [five (5)] years from the effective date.

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Conditional Release of Sex Offenders

The 1991 Suggested State Legislation contains a �Sex Offender Act�which is based on Minnesota law. That Act includes comments about sexoffender legislation in Missouri, Vermont and Washington state. The Actand comments generally address sentencing sex offenders and psycho-therapy for sex offenders.

This legislation, which is based on Florida law, addresses restrictingthe activity of sex offenders when they are out of prison.

This Act:� Revises treatment protocols for sex offenders;� Prohibits sex offenders from possessing telephone, electronic media,

or computer programs or services that are relevant to their behavior pat-tern;

� Requires sex offenders to submit to certain warrant-less searches;� Requires sex offenders to undergo polygraph examinations under cer-

tain conditions;� Requires sex offenders to maintain driving logs and not drive a motor

vehicle alone without approval from law enforcement authorities;� Prohibits sex offenders from obtaining or using a post office box with-

out approval from law enforcement authorities;� Clarifies the definitions of �sex offender probation� and �sex offender

community control;�� Imposes a curfew on sex offenders;� Establishes HIV-testing criteria for sex offenders; and� Requires sex offenders to submit to electronic monitoring.




Section 1. [Short Title.] This Act may be cited as the �ConditionalRelease Program Act.�

Section 2. [Conditional Release Program.](1) Any inmate who:

(a) Is convicted of a crime committed on or after [October 1, 1988,]and before [January 1, 1994,] and any inmate who is convicted of a crime

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committed on or after [January 1, 1994,] which crime is or was containedin [insert citation,] and who has served at least [one (1)] prior felonycommitment at a state or federal correctional institution;

(b) Is sentenced as a habitual or violent habitual offender or aviolent career criminal pursuant to [insert citation;] or

(c) Is found to be a sexual predator under [insert citation,] shall,upon reaching the tentative release date or provisional release date, which-ever is earlier, as established by the [Department of Corrections,] be re-leased under supervision subject to specified terms and conditions, includ-ing payment of the cost of supervision pursuant to [insert citation.] Suchsupervision shall be applicable to all sentences within the overall term ofsentences if an inmate�s overall term of sentences includes [one (1)] ormore sentences that are eligible for conditional release supervision asprovided herein. Effective [insert date] and applicable for offenses com-mitted on or after that date, the [commission] may require, as a conditionof conditional release, that the releasee make payment of the debt dueand owing to a county or municipal detention facility under [insert cita-tion] for medical care, treatment, hospitalization, or transportation re-ceived by the releasee while in that detention facility. The [commission,]in determining whether to order such repayment and the amount of suchrepayment, shall consider the amount of the debt, whether there wasany fault of the institution for the medical expenses incurred, the finan-cial resources of the releasee, the present and potential future financialneeds and earning ability of the releasee, and dependents, and other ap-propriate factors. If an inmate has received a term of probation or com-munity control supervision to be served after release from incarceration,the period of probation or community control must be substituted for theconditional release supervision. A panel of no fewer than [two (2)] [com-missioners] shall establish the terms and conditions of any such release.If the offense was a controlled substance violation, the conditions shallinclude a requirement that the offender submit to random substance abusetesting intermittently throughout the term of conditional release super-vision, upon the direction of the correctional probation officer as definedin [insert citation.] The [commission] shall also determine whether theterms and conditions of such release have been violated and whethersuch violation warrants revocation of the conditional release.

(2) As part of the conditional release process, the [commission] shalldetermine:

(a) The amount of reparation or restitution.(b) The consequences of the offense as reported by the aggrieved

party.(c) The aggrieved party�s fear of the inmate or concerns about the

release of the inmate.(3) The [commission] shall provide to the aggrieved party informa-


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tion regarding the manner in which notice of any developments concern-ing the status of the inmate during the term of conditional release maybe requested.

(4) Within [one hundred eighty (180)] days prior to the tentative re-lease date or provisional release date, whichever is earlier, a representa-tive of the [commission] shall interview the inmate. The [commission]representative shall review the inmate�s program participation, disciplin-ary record, psychological and medical records, and any other informationpertinent to the impending release. A [commission] representative shallconduct a personal interview with the inmate for the purpose of deter-mining the details of the inmate�s release plan, including his plannedresidence and employment. The results of the interview must be forwardedto the [commission] in writing.

(5) Upon receipt of notice as required under [insert citation,] the [com-mission] shall conduct a review of the inmate�s record for the purpose ofestablishing the terms and conditions of the conditional release. The [com-mission] may impose any special conditions it considers warranted fromits review of the record. If the [commission] determines that the inmateis eligible for release under [insert citation,] the [commission] shall enteran order establishing the length of supervision and the conditions atten-dant thereto. However, an inmate who has been convicted of a violationof [insert citation] or found by the court to be a sexual predator is subjectto the maximum level of supervision provided, with the mandatory con-ditions as required in subsection (6), and that supervision shall continuethrough the end of the releasee�s original court-imposed sentence. Thelength of supervision must not exceed the maximum penalty imposed bythe court.

(6) (a) Any inmate who is convicted of a crime committed on or after[October 1, 1995,] or who has been previously convicted of a crime com-mitted on or after [October 1, 1995,] in violation of [insert citation,] andis subject to conditional release supervision, shall have, in addition toany other conditions imposed, the following special conditions imposedby the [commission:]

(i) A mandatory curfew from [10 p.m. to 6 a.m.] The courtmay designate another [eight (8)] hour period if the offender�s employ-ment precludes the above specified time, and such alternative is recom-mended by the [Department of Corrections.] If the court determines thatimposing a curfew would endanger the victim, the court may consideralternative sanctions.

(ii) If the victim was under age [eighteen (18)], a prohibitionon living within [one thousand (1,000)] feet of a school, day care center,park, playground, or other place where children regularly congregate.

(iii) Active participation in and successful completion of a sexoffender treatment program with therapists specifically trained to treat


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sex offenders, at the releasee�s own expense. If a specially trained thera-pist is not available within a [fifty (50)] mile radius of the releasee�s resi-dence, the offender shall participate in other appropriate therapy.

(iv) A prohibition on any contact with the victim, directly orindirectly, including through a third person, unless approved by the vic-tim, the offender�s therapist, and the sentencing court.

(v) If the victim was under age [eighteen (18),] a prohibition,until successful completion of a sex offender treatment program, on un-supervised contact with a child under the age of [eighteen (18),] unlessauthorized by the [commission] without another adult present who isresponsible for the child�s welfare, has been advised of the crime, and isapproved by the [commission.]

(vi) If the victim was under age [eighteen (18),] prohibitionon working for pay or as a volunteer at any school, day care center, park,playground, or other place where children regularly congregate, as pre-scribed by the [commission.]

(vii) Unless otherwise indicated in the treatment plan pro-vided by the sexual offender treatment program, a prohibition on view-ing, owning, or possessing any obscene, pornographic, or sexually stimulat-ing visual or auditory material, including telephone, electronic media,computer programs, or computer services that are relevant to theoffender�s deviant behavior pattern.

(viii) A requirement that the releasee must submit [two (2)]specimens of blood to the [Department of Law Enforcement] to be regis-tered with the DNA database.

(ix) A requirement that the releasee make restitution to thevictim, as determined by the sentencing court or the [commission,] for allnecessary medical and related professional services relating to physical,psychiatric, and psychological care.

(x) Submission to a warrantless search by the communitycontrol or probation officer of the probationer�s or community controllee�sperson, residence, or vehicle.

(b) For a releasee whose crime was committed on or after [Octo-ber 1, 1997,] in violation of [insert citation,] and who is subject to condi-tional release supervision, in addition to any other provision of this sub-section, the [commission] shall impose the following additional condi-tions of conditional release supervision:

(i) As part of a treatment program, participation in a mini-mum of [one (1)] annual polygraph examination to obtain informationnecessary for risk management and treatment and to reduce the sexoffender�s denial mechanisms. The polygraph examination must be con-ducted by a polygrapher trained specifically in the use of the polygraphfor the monitoring of sex offenders, where available, and at the expenseof the sex offender. The results of the polygraph examination shall not be


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used as evidence in a hearing to prove that a violation of supervision hasoccurred.

(ii) Maintenance of a driving log and a prohibition againstdriving a motor vehicle alone without the prior approval of the supervis-ing officer.

(iii) A prohibition against obtaining or using a post office boxwithout the prior approval of the supervising officer.

(iv) If there was sexual contact, a submission to, at theprobationer�s or community controllee�s expense, an HIV test with theresults to be released to the victim or the victim�s parent or guardian.

(vi) Electronic monitoring when deemed necessary by the com-munity control or probation officer and his or her supervisor, and orderedby the court at the recommendation of the [Department of Corrections.]

Section 3. [Definitions.] As used in this Act, the term �sex offenderprobation� or �sex offender community control� means a form of inten-sive supervision, with or without electronic monitoring, which empha-sizes treatment and supervision of a sex offender in accordance with anindividualized treatment plan administered by an officer who has a re-stricted caseload and specialized training. An officer who supervises anoffender placed on sex offender probation or sex offender community con-trol must meet as necessary with a treatment provider and polygraphexaminer to develop and implement the supervision and treatment plan,if a treatment provider and polygraph examiner specially trained in thetreatment and monitoring of sex offenders are reasonably available.

Section 4. [Terms and Conditions of Probation or Community Control.](1) (a) Effective for probationers or community controllees whose crime

was committed on or after [October 1, 1995,] and who are placed undersupervision for violation of [insert citation,] the court must impose the fol-lowing conditions in addition to all other standard and special conditionsimposed:

(i) A mandatory curfew from [10 p.m. to 6 a.m.] The court maydesignate another [eight (8)] hour period if the offender�s employment pre-cludes the above specified time, and such alternative is recommended bythe [Department of Corrections.] If the court determines that imposing acurfew would endanger the victim, the court may consider alternative sanc-tions.

(ii) If the victim was under age [eighteen (18),] a prohibition onliving within [one thousand (1,000)] feet of a school, day care center, park,playground, or other place where children regularly congregate, as prescribedby the court.

(iii) Active participation in and successful completion of a sexoffender treatment program with therapists specifically trained to treat


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sex offenders, at the probationer�s or community controllee�s own expense.If a specially trained therapist is not available within a [fifty (50)] mileradius of the probationer�s or community controllee�s residence, the offendershall participate in other appropriate therapy.

(iv) A prohibition on any contact with the victim, directly orindirectly, including through a third person, unless approved by the victim,the offender�s therapist, and the sentencing court.

(v) If the victim was under age [eighteen (18),] a prohibition,until successful completion of a sex offender treatment program, on unsu-pervised contact with a child under the age of [eighteen (18),] unless autho-rized by the sentencing court without another adult present who is respon-sible for the child�s welfare, has been advised of the crime, and is approvedby the sentencing court.

(vi) If the victim was under age [eighteen (18),] a prohibition onworking for pay or as a volunteer at any school, day care center, park, play-ground, or other place where children regularly congregate.

(vii) Unless otherwise indicated in the treatment plan providedby the sexual offender treatment program, a prohibition on viewing, own-ing, or possessing any obscene, pornographic, or sexually stimulating vi-sual or auditory material, including telephone, electronic media, computerprograms, or computer services that are relevant to the offender�s deviantbehavior pattern.

(viii) A requirement that the probationer or communitycontrollee must submit [two (2)] specimens of blood to the [Department ofLaw Enforcement] to be registered with the DNA data bank.

(ix) A requirement that the probationer or community controlleemake restitution to the victim, as ordered by the court under [insert cita-tion,] for all necessary medical and related professional services relating tophysical, psychiatric, and psychological care.

(x) Submission to a warrantless search by the community con-trol or probation officer of the probationer�s or community controllee�s per-son, residence, or vehicle.

(b) Effective for a probationer or community controllee whose crimewas committed on or after [October 1, 1997,] and who is placed on sex of-fender probation for a violation of [insert citation,] in addition to any otherprovision of this subsection, the court must impose the following conditionsof probation or community control:

(i) As part of a treatment program, participation at least annu-ally in polygraph examinations to obtain information necessary for riskmanagement and treatment and to reduce the sex offender�s denial mecha-nisms. A polygraph examination must be conducted by a polygrapher trainedspecifically in the use of the polygraph for the monitoring of sex offenders,where available, and shall be paid by the sex offender. The results of thepolygraph examination shall not be used as evidence in court to prove that


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a violation of community supervision has occurred.(ii) Maintenance of a driving log and a prohibition against driv-

ing a motor vehicle alone without the prior approval of the supervisingofficer.

(iii) A prohibition against obtaining or using a post office boxwithout the prior approval of the supervising officer.

(iv) If there was sexual contact, a submission to, at theprobationer�s or community controllee�s expense, an HIV test with the re-sults to be released to the victim and/or the victim�s parent or guardian.

(v) Electronic monitoring when deemed necessary by the com-munity control or probation officer and his or her supervisor, and orderedby the court at the recommendation of the [Department of Corrections.]





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Confidentiality of Records of Genetic Tests

The purpose of this Act is to protect the confidentiality of records ofgenetic tests.

It is based on and incorporates the language from a 1996 New York lawand 1997 amendments to that law.

This Act deems individuals to have an exclusive property right in therecords of such tests of their genetic material, particularly against unau-thorized release. It requires the informed consent of the subjects of suchtests with specified exceptions in the forensic context. Exceptions to theinformed consent requirement are provided in certain criminal law andforensic contexts.

Penalties are imposed for testing without valid consent or revealing,listing or possessing confidential genetic information without authoriza-tion. Negligent disclosures or testing without informed consent are classi-fied as violations with the penalty of a civil fine of not more than $1,000dollars. Willful disclosing or testing without informed consent are classifiedas misdemeanors with a penalty or a fine of not more than $5,000 dollars orimprisonment for up to 90 days.

The state Health Commissioner is empowered to identify genetic dis-eases for which such strongly predictive tests are available.

The Act enables people to sign waivers to permit samples of their ge-netic tests to be used for research. It establishes provisions for performinggenetic testing on newborns and also on people without their consent whenthe tests are used for research. The Act also sets protocols for storing anddestroying genetic samples.

A Minnesota law on genetic discrimination is in the 1997 SSL volume.That law deals primarily with how genetic tests affect insurance eligibility.Previous Suggested State Legislation entitled �Genetic Screening Prohibi-tion Act� (Statement) 1995, and �Genetic Screening in the Workplace� (Note),deal mainly with employers using genetic information to screen potentialemployees or withhold benefits from employees. This Act focuses on whathappens to records of people who take genetic tests, regardless of the rea-sons why they are tested.

Submitted as:New YorkCH 497, Laws of 1996 (S 4293 - D)Enacted into law, 1996.

and


New YorkCH 645, Laws of 1997 (S 03286 - B)Enacted into law, 1997.



Section 1. [Short Title.] This Act may be cited as the �Genetic Researchand Testing Act.�

Section 2. [Confidentiality of Records of Genetic Tests.](1) As used in this section, the following terms shall have the following

meanings:(a) �genetic test� shall mean any laboratory test of human DNA,

chromosomes, genes, or gene products to diagnose the presence of a geneticvariation linked to a predisposition to a genetic disease or disability in theindividual or the individual�s offspring; such term shall also include DNAprofile analysis. �Genetic test� shall not be deemed to include any test ofblood or other medically prescribed test in routineuse that has been or maybe hereafter found to be associated with a genetic variation, unless con-ducted purposely to identify such genetic variation.

(b) �genetic predisposition� shall mean the presence of a variationin the composition of the genes of an individual or an individual�s familymember which is scientifically or medically identifiable and which is deter-mined to be associated with an increased statistical risk of being expressedas either a physical or mental disease or disability in the individual orhaving offspring with a genetically influenced disease, but which has notresulted in any symptoms of such disease or disorder.

(c) �biological sample� shall mean any material part of the humanbody or of discharge therefrom known to contain DNA, including but notlimited to tissue specimen, blood, or urine.

(d) �institutional review board� shall mean a human research re-view committee established and approved under the provisions of [insertcitation,] or an institutional review board established and approved underthe provisions of 45 C.F.R. Part 46 or 42 U.S.C. 30 V-1, for the purpose ofreviewing and monitoring research involving human subjects.

(2) (a) No person shall perform a genetic test on a biological sampletaken from an individual without the prior written informed consent ofsuch individual as provided in paragraph (b) of this subdivision, except asotherwise provided in paragraph (c) of subdivision 2 and by subdivision 9 ofthis section.

(b) Written informed consent to a genetic test shall consist of writ-ten authorization that is dated and signed and includes at least the follow-


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ing:(i) a general description of the test;(ii) a statement of the purpose of the test;(iii) a statement indicating that the individual may wish to

obtain professional genetic counseling prior to signing the informed con-sent.

(iv) a statement that a positive test result is an indication thatthe individual may be predisposed to or have the specific disease or condi-tion tested for and may wish to consider further independent testing, con-sult their physician or pursue genetic counseling;

(v) a general description of each specific disease or conditiontested for;

(vi) the level of certainty that a positive test result for thatdisease or condition serves as a predictor of such disease. If no level of cer-tainty has been established, this subparagraph may be disregarded;

(vii) the name of the person or categories of persons or organi-zations to whom the test results may be disclosed;

(viii) a statement that no tests other than those authorized shallbe performed on the biological sample and that the sample shall be de-stroyed at the end of the testing process or not more than [sixty (60)] daysafter the sample was taken, unless a longer period of retention is expresslyauthorized in the consent; and

(ix) the signature of the individual subject of the test or, if thatindividual lacks the capacity to consent, the signature of the person autho-rized to consent for such individual.

(c) A general waiver, wherein consent is secured for genetic testingwithout compliance with paragraph (b) of this subdivision, shall not consti-tute informed consent. Notwithstanding the provisions of this section, forpurposes of research conducted in accordance with the provisions of subdi-vision 9 of this section, a general waiver for the use of samples for researchmay be granted which would authorize the use of samples for these re-search purposes.

(d) Any further disclosure of genetic test results to persons or orga-nizations not named on the informed consent shall require the further in-formed consent of the subject of the test.

(e) Written consent by an individual for tests to be conducted on abiological sample and to the lawful possession and ownership of such sampleby a laboratory shall not be deemed written informed consent for the per-formance of any genetic test on that sample, except as further provided insubdivision 4 of this section.

(f) For medical research purposes, with the approval of an institu-tional review board and the written informed consent of the subject, samplesmay be kept for longer than [sixty (60)] days and utilized for scientific re-search. The requirements of subparagraphs iii, iv and v of paragraph (b) of


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this subdivision may be modified by the institutional review board in casethe research protocol does not permit such degree of specificity.

(3) (a) All records, findings and results of any genetic test performed onany person shall be deemed confidential and shall not be disclosed withoutthe written informed consent of the person to whom such genetic test re-lates. This information shall not be released to any person or organizationnot specifically authorized by the individual subject of the test. Unautho-rized solicitation or possession of such information shall be unlawful, ex-cept for the unintentional possession of such information as part of a healthrecord created prior to the effective date of this section and provided noaction adverse to the interests of the subject are taken as a result of suchpossession. Nothing in this section shall preclude the release of such infor-mation, with the subject�s consent, to a health insurer or health mainte-nance organization of any information reasonably required for purposes ofclaims administration, provided, however, that further distribution withinthe insurer or to other recipients shall require the subject�s informed con-sent in each case.

(b) No person who lawfully possesses information derived from agenetic test on a biological sample from an individual shall incorporatesuch information into the records of a non-consenting individual who maybe genetically related to the tested individual; nor shall any inferences bedrawn, used, or communicated regarding the possible genetic status of thenon-consenting individual.

(4) (a) Notwithstanding the provisions of subdivision two of this sec-tion, genetic tests may be performed on anonymous samples for research orstatistical purposes, pursuant to a research protocol approved by an insti-tutional review board which assures the anonymity of the sources of thesamples.

(b) Notwithstanding the provisions of subdivision 2 of this section,genetic tests may be performed without the consent of the person who isthe subject of the tests pursuant to an order of a court of competent juris-diction or as provided pursuant to [insert citation.]

(c) Notwithstanding the provisions of paragraph (a) of subdivision 3of this section, the results of a genetic test may be disclosed to specifiedindividuals without the consent of the subject of the test as provided in anorder of a court of competent jurisdiction or as provided pursuant to [insertcitation.]

(d) In authorizing a genetic test or the disclosure of genetic testresults to specified individuals, the court shall consider the privacy inter-ests of the individual subject of the genetic test and of close relatives of suchindividual, the public interest, and, in the case of medical or anthropologi-cal research, the ethical appropriateness of the research. Disclosure shallbe permitted only to individuals or agencies expressly named in court or-ders.


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(5) (a) Any person who violates the provisions of subdivision 2 or 3 ofthis section shall be guilty of a violation punishable by a civil fine of notmore than [one thousand (1000)] dollars.

(b) Any person who willfully violates the provisions of subdivisiontwo or three of this section shall be guilty of a misdemeanor punishable bya fine of not more than [five thousand (5000)] dollars or by imprisonmentfor not more than [ninety (90)] days or by both such fine and imprisonment.

(6) Nothing in this section shall be applicable to an authorized insurer,as defined in [insert citation,] or a person acting on behalf of an authorizedinsurer who is in compliance with [insert citation] nor shall anything inthis section be deemed to prohibit or limit an authorized insurer from ob-taining information pursuant to [insert citation.]

(7) Notwithstanding the provisions of subdivision 2 of this section, ge-netic testing of newborn infants may be performed as provided pursuant to[insert citation.]

(8) Notwithstanding the provisions of subparagraph vii of paragraph(b) of subdivision 2 of this section, additional genetic testing may be per-formed on a given sample without additional consent of the person testedprovided such testing is necessary and required to demonstrate the integ-rity of the sample tested or to resolve the analysis of a test with a previ-ously indeterminate result.

(9) Notwithstanding the provisions of subdivision 2 of this section,samples may be used for tests other than those for which consent has beenobtained, for purposes of research conducted in accordance with other ap-plicable law and regulation and, where required by federal law and regula-tion, pursuant to a research protocol approved by an institutional reviewboard, provided that any information disclosing the identity of the personfrom whom the sample was taken has been removed and the results are notlinked to the person and that no information relating to the identity of theindividual be disclosed.

(10) Notwithstanding the provisions of subdivision 2 of this section, DNAsamples may be stored for up to ten years in the absence of genetic testing,if authorized in writing by the subject. Prior to the performance of anygenetic test upon stored samples, informed consent must be obtained asprovided in subdivision 2 of this section. Retention of a DNA sample past aperiod of ten years requires explicit consent for a longer or indefinite periodof retention.

(11) Genetic testing may be performed on specimens from deceased per-sons if informed consent is provided by the next-of-kin as specified in subdi-vision 2 of this section.




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Defined Contribution Plans (Statement)

Michigan HB 6229 as enrolled (Public Act 487 of 1996)Michigan HB 6206 as enrolled (Public Act 486 of 1996)

Michigan, like many states, administers pension plans for state em-ployees, elected officials and public-school employees. These plans comprisethe state retirement system. In Michigan, separate retirement Acts governthe pension system for each group. However, all the plans are primarilyfunded by state contributions on behalf of the members, and the state di-rects the investments of the plans� assets.

Historically, Michigan�s retirement system offered �defined-benefit� (DB)plans to their members. Generally, defined-benefit plans pay benefits toemployees at retirement that are based on the employees� salary and theiryears of state employment. These plans are essentially risk-free invest-ments for the employee.

In 1996, Michigan enacted a package of legislation to enable the state tooffer �defined-contribution� (DC) retirement plans within the state retire-ment system. Defined-contribution plans require employees to contribute aportion of their salary toward their retirement plan. A portion of theemployee�s contribution is then matched by their employer. Defined-contri-butions plans are touted as giving employees more flexibility to determinethe amount of their benefits and when they can get such benefits. Invest-ments in these plans are considered riskier than those in DB plans.

Generally, under the new laws, people who were employed prior to March1997 can choose the defined-benefit plan or the defined-contribution plan.People who are employed after this date may only participate in the de-fined-contribution plan.

The highlighted Acts in this Suggested State Legislation �Statement,�HB 6229 and HB 6206 affect state employees, legislators and the lieuten-ant governor. Interested readers can contact Michigan to get informationabout the other measures that were part of the legislative package. Theyare HB 6207 (amends the state Administrative Procedures Act), HB 6230(Public School Employees Retirement Act) and SB 248 (State Judges Re-tirement Act).

HB 6229House Bill 6229 amends the State Employees� Retirement Act (MCL 38

le et al.) to establish a defined-contribution retirement plan for executivebranch employees. The DC plan is mandatory for employees hired on orafter March 1, 1997. It is optional for employees hired prior to this date.Employees who opt into the DC plan generally waive all their rights undertheir old DB plan.


The state treasurer administers the plan. The treasurer can appoint anadvisory board and contract for services to help administer the plan.

Historically, as the employer, the state made all or most of the contribu-tions to its employee retirement plans. Under this Act, the state contrib-utes a base amount to an employee�s account. This equals 4 percent of theemployee�s compensation. Employees can also elect to contribute up to 3percent more of their compensation to the plan. The state will also matchthat amount. Employees can make additional contributions beyond 3 per-cent, but the state does not have to match such contributions. Employeeshave several investment choices or categories, but there are limits on theamounts that they can invest in a given category.

Previously, vesting in the DB system generally required at least 10 yearsof service. Under this Act, employees in the DC plan are immediately 100percent vested in their own contributions made to the DC plan account. Forstate contributions made to the account on their behalf, employees are vested50 percent upon completing two years of service, 75 percent after threeyears of service, and 100 percent after four years of service.

The DC plan covers 100 percent of the cost of hospitalization and medi-cal coverage insurance premiums for retired vested members or their ben-eficiaries or dependents, and 90 percent of the cost of their dental and vi-sion coverage. The plan pays 90 percent of the annual health insurancepremium for members who have at least 30 years of service, and 30 percentfor members with 10 years service. Health-care benefits under the Act arepaid on an annual cash basis.

The Act requires the state Department of Management and Budget toannually calculate the savings that accrue to the state as a result of DCplan, and to submit that amount in the executive budget to the Legislature.Such funds are supposed to be appropriated in the next succeeding fiscalyear to the health insurance reserve fund. Amounts appropriated underthis provision cannot be spent until the actuarial accrued liability for healthbenefits is 100 percent funded.

Finally, the Act contains provisions to offer early retirement to stateemployees, transfer accumulated assets from DB accounts to DC accountsand to adjust retirement benefits for DC plan transferees.

HB 6206This Act amended the Michigan Legislative Retirement System Act

(MCL 38.1006 et al.) to establish a defined-contribution retirement plan forlegislators and lieutenant governors who began serving on or after Janu-ary 1, 1997. The DC plan is optional for elected officials who participated inthe DB plan before this date.

Under the DC plan, a member would be vested for purposes of receivinghealth insurance after six years of service as a qualified participant. Previ-ously, legislators were vested in the retirement system after five years of



service and election to the House of Representatives three times, election tothe Senate twice, or an equivalent combination of service in the House andSenate.

Interested readers should contact the Michigan Legislature to get a copyof the Acts.



Environmental Leadership Program

This Act creates a program to encourage businesses and local govern-ments to develop and use innovative techniques to surpass the minimumstandards for complying with state and federal environmental laws andregulations. Program components include pollution prevention, toxic usereduction, source reduction, resource recovery and energy efficiency.

Submitted as:ColoradoCH 235, Laws of 1998Enacted into law, 1998.



Section 1. [Short Title.] this Act may be cited as the �EnvironmentalLeadership Act.�

Section 2. [Legislative Declaration.](1) The [General Assembly] hereby finds, determines, and declares that

environmental leaders who demonstrate their commitment to the environ-ment by going beyond compliance with environmental laws and regula-tions positively impact the quality of life for all of the citizens of the state bymoving beyond compliance, environmental leaders improve the economyand the environment by increasing consumer and shareholder confidence,boosting management and employee morale, and operating in a safe andsensible manner that lessens their impacts on the environment. The [Gen-eral Assembly] further finds, determines, and declares that increased useof pollution prevention strategies, more cost-effective options for compli-ance with environmental laws, and reduction in occurrences of noncompli-ance with environmental laws can be achieved through the establishmentand implementation of a [Voluntary Environmental Leadership Program]pursuant to this Act.

(2) The [General Assembly] further finds, determines, and declares thatsuch voluntary program should provide entities with the opportunity toenter into an agreement with the [Department of Public Health and Envi-ronment] through which the [department] shall administer financial andother benefits to the participating entities that comply with a prescribednumber of program elements established by the [executive director] of the[department] designed to reduce the adverse environmental impacts of theentity beyond that which would be achieved by compliance with environ-

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mental laws and permits alone.(3) The [General Assembly] finds, determines, and declares that envi-

ronmental leaders should be granted financial incentives for pollution pre-vention, toxic use reduction, source reduction, resource recovery, energy ef-ficiency, and innovative environmental technology investments that takethe entity beyond compliance with state and federal environmental lawsand permits.

(4) The [General Assembly] further finds, determines, and declares thatnothing in this Act shall be construed as requiring any entity in this stateto participate in any environmental leadership program established underthis Act.

Section 2. [Definitions.] As used in this Act, unless the context otherwiserequires:

(1) �Advisory Board� means the [Pollution Prevention Advisory Board]created in [insert citation.]

(2) �Department� means the [Department of Public Health and Envi-ronment] created in [insert citation.]

(3) �Entity� means any facility of a corporation, partnership, sole propri-etorship, municipality, county, city and county, or special district locatedand doing business in this state; except that no facility that applies for theprogram and is part of a corporation, partnership, sole proprietorship, mu-nicipality, county, city and county, or special district that has other facilitiesin this state shall be eligible for the program unless all of the said facilitiesare in compliance with this state�s applicable environmental laws and regu-lations and applicable federal environmental laws and regulations.

(4) �Environmental Leader� means any entity that has complied withthe mandatory elements and has established implementation plans for theelective elements of the voluntary environmental leadership program. Suchimplementation plans shall be the basis of a written agreement with the[department.]

(5) �Executive Director� means the [executive director] of the [depart-ment.]

(6) �Hazardous substance� or �toxic substance� means those chemicalsdefined as hazardous substances under section 313 of the federal �SuperfundAmendments and Reauthorization Act of 1986� (�SARA Title III�), includ-ing any subsequent amendments, and sections 101 (14) and 102 of thefederal �Comprehensive Environmental Response, Compensation andLiability Act� (�CERCLA�), as amended.

(7) �Pollution prevention� has the same meaning as set forth in [insertcitation.]

(8) �Program� means the [Voluntary Environmental Leadership Pro-gram] created pursuant to this Act.

(9) �Serious violation� means:


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(a) violations that are prone to cause significant impact to humanhealth or to the environment;

(b) a pattern of violations that demonstrate management systemsare not adequate to address environmental issues; or

(c) convictions for violations of environmental laws or out-of-courtsettlements of formal charges of such criminal violations.

(10) �Source reduction� means any practice as described in [insert cita-tion.]

(11) �Toxic use reduction� has the same meaning as set forth in [insertcitation.]

Section 3. [Powers and Duties of the Department.](1) The [executive director,] after consultation with representatives from

the regulated community, local governments, environmental advocacygroups, and other interested citizens, shall develop and implement a [Vol-untary Environmental Leadership Program] in accordance with this Act.

(2) The [department] shall administer the [program.](3) Participation in the [program] by any entity is voluntary and is sub-

ject to review every [three (3)] years.(4) The [executive director] may seek the advice of and consult with the

advisory board on matters related to the implementation and administra-tion of the [program.]

Section 4. [Eligibility and Application Requirements.](1) The [executive director] shall determine mandatory [program] ele-

ments for participants in the [program.] Mandatory elements shall include:(a) evidence of no serious violations of all applicable state and fed-

eral environmental laws and permits for a minimum of [three (3)] yearsimmediately prior to the date of submission of the application for participa-tion in the [program;]

(b) evidence that no settlement agreement has been entered intoand that no compliance or consent order has been issued for serious viola-tions of environmental laws and permits for the [three (3)] years immedi-ately prior to the date of submission of the application for participation inthe [program;]

(c) the existence and maintenance of an environmental manage-ment system to include, as appropriate, management-approved environ-mental policies, relevant procedures to achieve environmental complianceand employee training programs, compliance audit programs, and commu-nication programs related to environmental compliance;

(d) the existence and maintenance of an environmental complianceaudit program to assess compliance with environmental laws, correct non-compliance within a reasonable period of time, and report audit findings asrequired by law;


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(e) the existence and maintenance of a pollution prevention pro-gram or plan with specific goals and committed actions to significantly re-duce releases of pollutants or the use of resources beyond the reductionsrequired by law or permit. The amount of the reduction will aid the [execu-tive director] in prioritizing the environmental leaders for the purpose ofreceipt of any available financial incentives.

(f) the existence and maintenance of verifiable, quantitative andqualitative measures or methods that document compliance with environ-mental requirements, resource conservation goals, and pollution preven-tion performance goals.

(2) (a) The [executive director] shall establish alternative elective pro-gram elements in addition to the mandatory program elements and appli-cation requirements. Entities applying to participate in the [program] shallselect from among such alternative elective program elements and com-plete those selected within a specified time period. The number of electiveprogram elements shall be based on the size of the entity as determined bythe [executive director.] All elective program elements shall be designed toresult in measurable improvement and enhancement of the environmentalquality of the state or shall be activities that are beneficial to the environ-ment. Elective program elements may include, but need not be limited to:

(i) development and maintenance of programs that provide tech-nical assistance or mentoring to one or more specified organizations to en-courage technology transfers;

(ii) active participation in industry or business environmentalimprovement programs;

(iii) active participation or implementation of one or more rec-ognized voluntary environmental programs, such as trip reduction;

(iv) publication and public distribution of annual environmen-tal performance summary reports;

(v) promotion, sponsorship, and participation in community en-vironmental and advisory programs;

(vi) development and maintenance of management programsthat encourage and reward employees for meeting or exceeding require-ments of environmental laws or permits, and for participation in voluntaryenvironmental activities;

(vii) development or implementation of programs that reduceadverse environmental impact of development, manufacture, distribution,and marketing of the entity�s products or services;

(viii) evaluation and revision of environmental managementsystems to update and strengthen environmental policies, procedures, goals,and employee training programs;

(ix) acquisition and maintenance of national or internationalenvironmental certification or self-registration in the same.

(b) The [executive director] may establish additional alternative elec-


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tive program elements so long as such elements are designed to result inthe measurable improvement and enhancement of the environmental qual-ity of this state. Any additional alternative elective program elements es-tablished by the [executive director] shall have a reasonable nexus to theindustry or business of the entity to which it applies.

(3) The [executive director] shall determine application requirementsand establish application forms for entities to submit proposals to partici-pate in the [program.] The [department] shall review all applications sub-mitted for the [program] and shall notify the entity that the application iscomplete or that the application is incomplete. If the application is incom-plete, the [department] shall describe what additional information is re-quired to complete the application. The entity may correct the applicationand resubmit it at any time.

Section 5. [Application Review and Authority to Enter into Agreement.](1) The [executive director] shall review all completed applications within

a reasonable period of time. If the [executive director] determines that theapplication meets the requirements for the [program,] the [executive direc-tor] shall notify the entity in writing, and the application shall be incorpo-rated into a written agreement. If the [executive director] determines thatthe application does not meet the requirements of the [program,] the [ex-ecutive director] shall notify the entity in writing and shall provide an ad-equate opportunity for the entity to address the outstanding items.

(2) The [executive director] may enter into one or more agreements withan entity as necessary to implement the provisions of this Act. Such agree-ment shall describe the incentives to be provided to the entity.

(3) The following documents shall be made available for public review:(a) The application, including documentation of compliance with

environmental laws and permits applicable to the facility over the last [three(3)] years, information regarding an appropriate environmental manage-ment system, a description of the current status of proposed performanceindicators, and an outline of the measures by which the [program] will beevaluated;

(b) the [executive director]�s determination regarding the applica-tion; and

(c) the agreement described in Subsections (1) and (2) of this Sec-tion.

Section 6. [Withdrawal and Termination from the Program.](1) Any entity may elect to withdraw from participation in the [pro-

gram] at any time upon written notice to the [executive director].(2) The [executive director] shall terminate the participation of any en-

tity in the [program] if a serious violation is discovered or occurs and suchviolation is not properly disclosed in accordance with the law or is not cor-


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rected or remediated in a timely manner to the satisfaction of the [execu-tive director].

(3) The [executive director] may continue the participation of an entityin the [program] if a serious violation is discovered or occurs and such vio-lation is properly disclosed in accordance with law and is corrected orremediated in a timely manner to the satisfaction of the [executive direc-tor].

(4) (a) An entity�s participation in the [program] shall be suspendedfrom the time the serious violation is discovered or occurs until the timethat it is corrected or remediated to the satisfaction of the [executive direc-tor.]

(b) The [executive director] shall establish written policy and crite-ria that set forth circumstances under which an entity�s participation shallbe terminated.

(5) If the [executive director] determines at any time that an entity isfailing to perform or accomplish any of the agreed upon requirements of the[program,] and if, after written notice to the entity, the entity does not comeinto conformance within a reasonable period of time, the [executive direc-tor] may terminate the entity�s participation in the [program.]

(6) All incentives provided by the state pursuant to Section 7 of this Actshall be withdrawn, effective upon termination or withdrawal of the entity�sparticipation in the [program.] If an entity withdraws or is terminated fromthe program, any unused incentives will be forfeited.

Section 7. [Incentives.](1) The [executive director] shall establish and provide incentives to be

granted to any entity that complies with all of the mandatory programelements and the prescribed

number of elective program elements, as determined by the [executivedirector]. Any such entity may select some or all of the incentives estab-lished pursuant to this subsection (1). Such incentives may include, butneed not be limited to:

(a) formal public recognition by the [governor] and the [department]at least annually to include, but not be limited to:

(i) this state�s preferred vendor status;(ii) awards;(iii) public announcements; and(iv) news releases.

(b) greater reliance by the [department] on the entity�s self-moni-toring, self-reporting, self-certification, or third-party certification to dem-onstrate compliance with environmental laws and permits, which may re-sult in fewer inspections;

(c) acceleration of review and processing of permit applications;(d) ability to consolidate permit applications for each facility of the


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entity with one representative from the [department] responsible for allpermitting communications with the entity;

(e) consolidation and simplification of reporting and monitoring re-quirements;

(f) extension of terms of environmental permits up to the maximumauthorized under the relevant environmental laws;

(g) ability to obtain additional credits for reductions in emissions ordischarges that exceed minimum legal requirements under any operatingemissions or discharge trading or credit program that has been or may beestablished.

(2) (a) The [executive director] shall also establish and provide finan-cial incentives available through the [program.] Financial incentives shallbe graduated in amount in order to provide greater proportional monetarygrants or rebates to smaller entities as determined by the [executive direc-tor] by the size of the environmental benefit provided by the entity�s ac-tions.

(b) No financial incentives shall be awarded unless the [executivedirector] has first determined that the entity applying for the financial in-centive has performed all of the mandatory program elements and the pre-scribed number of elective program elements. Entities may only select oneof the financial incentives established under this Subsection (2).

(c) The [executive director] may establish the following financialincentives:

(i) dollar credits to be applied against future obligations of theentity under state environmental laws, excluding fines or penalties assessedfor violations of environmental laws. The amount of such credits shall bebased on the size of the entity and the amount of the total verifiable costsinvested by the environmental leader to implement the elective elementsof the [program] and shall not exceed a total amount of [ten thousand(10,000)] dollars in any [three (3)] year period.

(ii) dollar rebates or credits based on a percentage of permitand emission fees assessed under state environmental laws. Percentageamounts are to be determined based on the size of the entity.

(d) The [department] shall request appropriations annually for en-vironmental programs that require additional funding due to the award ofdollar credits or rebates. if annual appropriations are not sufficient to pro-vide funding for these programs, the [executive director] may limit the avail-ability of financial incentives.

Section 8. [Environmental Leadership Pollution Prevention RevolvingFund - Program - Creation.]

(1) The [executive director] shall establish and administer an [Environ-mental Leadership Pollution Prevention Revolving Fund Program] to pro-vide low-cost loans for pollution prevention, toxic use reduction, source re-


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duction, resource recovery,energy efficiency, and innovative environmental technology activities.

Such loans shall be funded from moneys contributed to the [EnvironmentalLeadership Pollution Prevention Revolving Fund] created in Subsection (2)of this Section. The [department] shall have the authority to enter into oneor more agreements with state or local agencies, other public entities, po-litical subdivisions, or authorities of the state, as necessary, to implementthe provisions of this Section.

(2) There is hereby established in the state treasury a fund to be knownas the [Environmental Leadership Pollution Prevention Revolving Fund]that consists of moneys made available pursuant to law and gifts, dona-tions, and grants accepted pursuant to Subsection (3) of this Section. Suchmoneys shall be dedicated and continuously appropriated to the [depart-ment] for the exclusive purpose of funding the [Environmental LeadershipPollution Prevention Revolving Fund Program] created pursuant to thissection; except that funds shall be subject to annual appropriation by the[General Assembly] to the [department] for the purpose of covering thereasonable costs of administering the [Environmental Leadership Pollu-tion Prevention Revolving Fund Program]. All interest derived from thedeposit and investment of moneys in the fund shall be credited to the fund.At the end of any fiscal year, all unexpended or unencumbered moneys inthe fund shall remain in the fund and shall not be credited or transferred tothe [general fund] or any other fund.

(3) The [executive director] may accept gifts, donations, and grants forany purpose connected with the [Environmental Leadership Pollution Pre-vention Revolving Fund Program,] but shall not solicit such gifts, dona-tions, or grants. The [executive director] shall direct the disposition of allgifts, donations, and grants for any purpose consistent with the terms andconditions under which any such gift, donation, or grant was made.

Section 9. [Review - Repeal.](1) This Article shall be reviewed by the [department] and the [advisory

board] to assess its effectiveness in improving the environment of the stateand report the results of such review to the [General Assembly] and the[governor] on or before [January 3, 2003.]

(2) This Article is repealed, effective [December 31, 2003.]

Section 10. [Appropriations.] [Insert state appropriations to fund pro-gram.]





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Experimental Medical Care Disclosure

This Act requires health insurance companies to develop a systematic,scientific process to track emerging medical and surgical treatments. Thisis to ensure that policyholders have access to the latest treatments. The Actdefines the elements that must be included in the process (e.g., a review ofmedical literature) and requires companies to make a description of theirprocess available to policyholders.

Submitted as:MarylandSB 163 (CH 332, Laws of 1997)Enacted into law, 1997.



Section 1. [Short Title.] This Act may be cited as the �ExperimentalMedical Care Disclosure Act.�

Section 2. [Definitions.](a) (1) In this section the following words have the meanings indicated.

(2) �Carrier� means:(i) an insurer;(ii) a nonprofit health service plan;(iii) a health maintenance organization;(iv) a dental plan organization;(v) any person or entity acting as a third party administrator;

or(vi) except for a managed care organization as defined in [in-

sert citation,] any other person that provides health benefit plans subject toregulation by the state.

(3) �Contract� means any written agreement between a providerand a carrier for the provider to render health care services to enrollees ofthe carrier.

(4) �Diagnostic services� means any medical or surgical service orprocedure that allows a provider to identify or diagnose a human disease ordisorder.

(5) �Enrollee� means any person or subscriber entitled to healthcare benefits from a carrier.

(6) �Health care services� means a health or medical care procedureor service rendered by a provider that:

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(i) provides testing, diagnosis, or treatment of a human dis-ease or dysfunction; or

(ii) dispenses drugs, medical devices, medical appliances,or medical goods for the treatment of a human disease or dysfunction.

(7) (i) �Provider� means a person or entity licensed, certified,or otherwise authorized under [insert citation] to provide health care ser-vices.

(ii) �Provider� includes:1. a health care facility;2. a pharmacy;3. a professional services corporation;4. a partnership;5. a limited liability company;6. a professional office; or7. any other entity licensed or authorized by law to pro-

vide or deliver professional health care services through or on behalf of aprovider.

(8) �Therapeutic services� means any medical or surgical ser-vice or procedure that a provider can use to treat a human disease or disor-der.

(b) This section applies to any carrier that provides health care ser-vices to enrollees or otherwise makes health care services available to en-rollees through contracts with providers.

(c) The section does not:(1) apply to any cosmetic or medically unnecessary service or

procedure that typically would be excluded from coverage by any carrierthat issues or delivers contracts or policies of health insurance in the state;or

(2) affect the right of an enrollee to appeal any adverse decisionby a carrier through the carrier�s appeal process.

(d) (1) Each carrier shall disclose to providers and enrollees thecarrier�s definition of �experimental medical care.�

(2) The carrier shall disclose the definition in:(i) contracts offered to providers that may render direct

health care services to the enrollees of the carrier; and(ii) marketing materials and enrollment materials of the

carrier that are provided to current enrollees and prospective enrollees, asappropriate.

(e) Each carrier shall establish or subscribe or contract to provide asystematic, scientific process to follow for evaluating emerging medical andsurgical treatments to ensure that subscribers have access to the latestappropriate treatments.

(f) The process established or subscribed to or contracted for by acarrier under subsection (e) of this section shall include:


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(1) a comprehensive review of medical literature and dataevaluation; and

(2) input from physicians and other recognized experts:(i) who are not employees of the carrier; and(ii) who:

1. are currently treating patients for the disease or con-dition being evaluated;

2. are board certified in the pertinent specialty or sub-specialty area of the disease or condition being evaluated;

3. are generally recognized by their peers to be authori-tative resources in the clinical area being evaluated as evidenced by:

a. faculty appointments;b. authorship of a significant body of peer-reviewed

clinical literature in the pertinent specialty or subspecialty area; orc. a demonstrated history of leadership in local,

state, or national professional associations and nonprofit patient and com-munity advocacy organizations that address the disease or condition andthe specialty or subspecialty area in question; or

4. have a demonstrated history of substantial experi-ence and practical knowledge in the specialty or subspecialty area in ques-tion.

(g) A carrier�s decision to provide coverage for an emerging medicalor surgical treatment shall result from the consensus of opinion from itsown analysis and the knowledge provided to the carrier from the processidentified by the carrier in subsection (f) of this section.

(h) Each carrier, in conjunction with the clinical experts identifiedby the carrier under subsection (f)(2) of this section, shall decide the patientselection criteria for an emerging medical or surgical treatment for whichcoverage by the carrier is to be provided.

(i) Each carrier shall provide a description of the processidentified by the carrier under subsection (f) of this section to enrollees andcontracting providers and all other providers on request.

(j) (1) A carrier�s coverage decision on an emerging medical or sur-gical treatment shall be in compliance with [insert citation,] when beingappealed by an enrollee.

(2) A carrier may re-evaluate annually whether scientific ad-vances warrant a change in the carrier�s coverage and payment policy foran emerging medical or surgical treatment.

(k) (1) Each carrier shall file annually with the [commissioner] asummary description of the clinical issues and diagnostic and therapeuticservices that were evaluated and the conclusion of the evaluation, includ-ing the opinions of the clinical experts.

(2) The [commissioner] shall:(i) make each carrier�s filing under paragraph (1) of this


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subsection available to the public for inspection and review; and(ii) provide a copy of a carrier�s filing under paragraph (1)

of this subsection to any person upon request in a timely manner and at areasonable cost to the person.

(l) After notifying a carrier and providing an opportunity for a hear-ing, the [commissioner] may issue an order under [insert citation] for aviolation of this section.

(m) (1) The [commissioner] may waive the application of subsec-tion (f) of this section for a carrier that has in place a process for evaluatingemerging medical and surgical treatments used for the purpose of makingcoverage decisions, if the [commissioner] determines that the carrier�s pro-cess is substantially equivalent to, or exceeds, the requirements of this sec-tion.

(2) A carrier receiving a waiver under paragraph (1) of thissubsection shall report any change in its process for evaluating emergingmedical and surgical treatments to the [commissioner.]

(3) The [commissioner] may withdraw a waiver granted underparagraph (1) of this subsection whenever the [commissioner] determinesthat the carrier�s process for evaluating emerging medical and surgical treat-ments is not substantially equivalent to the requirements of this section.

(n) The [commissioner] may adopt regulations to carry out this sec-tion.





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Farm and Ranch Solid Waste Cleanup andAbatement Program

This Act establishes a grant program for cities and counties to clean upsolid waste that is illegally disposed on farm or ranch property. The Actcreates a Farm and Ranch Solid Waste Cleanup and Abatement Account inthe state general fund to underwrite the program. The account will be fundedfrom various sources, including tire recycling and used oil recycling fees.

Submitted as:CaliforniaCH 875, Laws of 1997Enacted into law, 1997.



Section 1. [Short Title.] This Act may be cited as the �Farm and RanchCleanup and Abatement Act.�

Section 2. [Legislative Findings.](a) The [Legislature] hereby finds and declares that illegal disposal of

solid waste on property owned by innocent parties is a long standing prob-lem needing attention and that grants provided under this Act will supportthe cleanup of farm and ranch property.

(b) On or before [January 1, 1999,] the [board] shall establish a [Farmand Ranch Solid Waste Cleanup and Abatement Grant Program] underwhich cities and counties may seek financial assistance for the purposes ofcleaning up and abating the effects of illegally disposed solid waste pursu-ant to this Act.

(c) (1) The [Farm and Ranch Solid Waste Cleanup and Abatement Ac-count] is hereby created in the [General Fund] and may be expended by the[board,] upon appropriation by the [Legislature] in the [Annual BudgetAct,] for the purposes of this Act.

(2) The following funds shall be deposited into the account:(i) Money appropriated by the [Legislature] from the [Integrated

Waste Management Fund,] the [Tire Recycling Management Fund,] or the[Used Oil Recycling Fund] to the [board] for the [grant program.]

(ii) Notwithstanding [insert citation,] any interest earned onthe money in the [account.]

(3) The [board] may expend the money in the [account] for both of

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the following purposes:(i) To pay the costs of implementing this Act, which costs shall

not exceed [seven (7)] percent of the funds available for the [grant pro-gram.]

(ii) To make payments to cities and counties for grants autho-rized by this Act.

(4) Upon authorization by the [Legislature] in the [Annual BudgetAct,] the sum of all funds transferred into the account from other funds oraccounts shall not exceed [one million (1,000,000)] dollars annually.

(5) Notwithstanding any other provision of law, the [grant program]shall be funded from the following funds:

(i) [The Integrated Waste Management Fund.](ii) [The Tire Recycling Management Fund.](iii) [The Used Oil Recycling Fund.]

Section 3. [Local Governments.](a) The [grant program] shall be established to make grants available to

cities and counties for the purposes described in section 2 of this Act in anamount not to exceed the sum of [fifty thousand (50,000)] dollars per yearfor any single city or county, and not to exceed [ten thousand (10,000)] dol-lars for any single cleanup or abatement project. Administrative costs ofthe city or county shall not exceed [three (3)] percent of the grant.

(b) The [board] shall give priority to the provision of grants to cities andcounties that have established innovative and cost-effective programs de-signed to discourage the illegal disposal of solid waste and to encourage theproper disposal of solid waste in permitted solid waste disposal facilities.

(c) A grant agreement between the [board] and a city or county mayprovide for, but is not limited to, all of the following provisions:

(1) Site-specific cleanup and removal of solid waste that is illegallydisposed on farm or ranch property.

(2) Comprehensive, ongoing enforcement programs for the cleanupand removal of solid waste that is illegally disposed of on farm or ranchproperty.

(3) Waiver of tipping fees or other solid waste fees at permitted solidwaste facilities for solid waste that was illegally disposed of on farm orranch property.

(d) (1) Until such time that the [board] adopts regulations for the [grantprogram] pursuant to section 5 of this Act, any fine levied on, or abatementorder issued against, a farm or ranch property owner by a local enforce-ment agency or other local agency prior to [January 1, 1998,] if the fine hasnot been paid or the abatement order fulfilled as of [January 1, 1998,] orlevied or issued, as the case may be, on and after [January 1, 1998,] butprior to adoption of the regulations, as a result of solid waste disposed of onthe owner�s ranch or farm property shall be stayed if the local agency makes

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a decision that the property owner was not responsible for the dumping orthe property owner has filed a written appeal of the local agency�s decisionto the [board] and the [board�s] decision on the matter is pending.

(2) On and after the adoption of [grant program] regulations by the[board,] any fines levied on, or abatement orders issued against, a farm orranch owner by the local enforcement agency or other local agency as theresult of solid waste disposed of on the owner�s farm or ranch property,regarding which the owner has made application to a city or county for agrant under this Act, shall, upon the owner�s written request to the localenforcement agency or other local agency, be stayed if the local agency makesa decision that the property owner was not responsible for the dumping orthe property owner has filed a written appeal of the local agency�s decisionto the [board] and the [board�s] decision on the matter is pending.

Section 4. [Eligibility.] No farm or ranch property owner shall be eli-gible for a grant pursuant to this Act if it is determined by the city or countythat the owner was responsible for the illegal disposal of the solid waste.

Section 5. [Regulations.](a) The [board] shall adopt regulations to implement this Act.(b) The regulations adopted pursuant to this section shall include crite-

ria for grant eligibility and shall establish a process that is open and acces-sible to the public under which grant applications may be reviewed, ranked,and awarded. The regulations shall also develop a process for a farm orranch property owner to appeal a city�s or county�s determination of respon-sibility pursuant to section 4 of this Act.

Section 6. [Application Denial.](a) If a local agency denies a grant application, it shall notify the farm or

ranch property owner in writing as to why the application was denied.(b) Nothing in this section is intended to prevent a farm or ranch prop-

erty owner from receiving reimbursement for solid waste cleanup or abate-ment costs under the [grant program] or pursuant to any other law.

Section 7. [Reporting Requirements.](a) Each year, as part of an annual report required to be submitted pur-

suant to [insert citation,] the [board] shall report to the [Governor] and the[Legislature] on the actions it has taken under the [grant program] and thenumber of illegal disposal sites that have been cleaned up and abated pur-suant to the [grant program.]

(b) On or before [January 1, 2001,] the [board] shall review the [grantprogram] and report to the [Governor] and the [Legislature] on its costsand effectiveness in cleaning up and abating solid waste illegally disposedof on farm or ranch property. The report shall include all of the following


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information:(1) The number of sites that have been cleaned up in each county.(2) The types of solid waste cleaned up.(3) The number of sites not approved for the [grant program,] and

the reasons for that disapproval.(4) The number of participant cities and counties.(5) The types of property on which solid waste has been cleaned up

or abated.

Section 8. [Recycling.] All solid waste collected by a city or county as aresult of cleanup or abatement under the [grant program] shall be recycledor reused to the maximum extent feasible and cleanup or abatement activi-ties shall be conducted in compliance with existing laws governing the han-dling of solid wastes, hazardous wastes, liquid wastes, or medical wastes, asappropriate.

Section 9. [Liability.] Nothing in this Act is intended to relieve any partywho is responsible for the generation or illegal deposition of the solid wastefrom liability for removal costs if the party can be identified. Farm or ranchproperty owners whose property is the subject of solid waste cleanup orabatement under this Act and who are not responsible for the generation ordeposition of the solid waste shall not be subject to any cost recovery actionfor cleanup or abatement costs borne by cities or counties or the [board]under this Act.

Section 10. [Disposition of Revenue.] The [board] shall deposit all amountspaid pursuant to [insert citation] by manufacturers, civil penalties, or finespaid pursuant to this Act, and all other revenues received pursuant to thisAct into the [Used Oil Recycling Fund,] which is hereby created in the statetreasury. Notwithstanding [insert citation,] the money in the fund is to beappropriated solely as follows:

(a) Continuously appropriated to the [board] for expenditure for thefollowing purposes:

(1) To pay recycling incentives pursuant to [insert citation.](2) To provide a reserve for contingencies, as may be available after

making other payments required by this section, in an amount not to ex-ceed [one million (1,000,000)] dollars.

(3) To make block grants for the implementation of local used oilcollection programs adopted pursuant to [insert citation] to cities, based onthe city�s population, and counties, based on the population of the unincor-porated area of the county, in a total annual amount equal to [ten million(10,000,000)] dollars or half of the amount which remains in the fund afterthe expenditures are made pursuant to paragraphs (1) to (3), inclusive, andsubdivision (b), whichever amount is greater, multiplied by the fraction equal


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to the population of cities and counties which are eligible for block grantspursuant to [insert citation,] divided by the population of the state. The[board] shall use the latest population estimates of the state generated bythe [Population Research Unit] of the [Department of Finance] in makingthe calculations required by this paragraph.

(b) The money in the fund may be expended by the [board] for the ad-ministration of this Act and by the [department] for inspections and re-ports pursuant to [insert citation,] only upon appropriation by the [Legisla-ture] in the [Annual Budget Act.]

(c) The money in the fund may be transferred to the [Farm and RanchSolid Waste Cleanup and Abatement Account] in the [General Fund,] uponappropriation by the [Legislature] in the [Annual Budget Act,] to pay thecosts associated with implementing and operating the [Farm and RanchSolid Waste Cleanup and Abatement Grant Program] established pursu-ant this Act.

(d) Appropriations to the [board] to pay the costs necessary to adminis-ter this Act, including implementation of the reporting, monitoring, andenforcement program pursuant to [insert citation,] shall not exceed [threemillion (3,000,000)] dollars annually.





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FertilizerProtecting consumers and the environment has prompted at least two

states to begin regulating the fertilizer industry: Florida and Washington.Washington passed Chapter 36 in 1998 to:� Ensure that all fertilizers meet standards for allowable metals;� Allow fertilizer purchasers and users to know about the contents of

fertilizer products; and;� Clarify the department of ecology�s oversight authority over waste-

derived fertilizers.Washington�s law directs the state Department of Ecology, in conjunc-

tion with the departments of agriculture and health, to undertake a studyof whether dioxins occur in fertilizers, soil amendments, and soils and if so,at what levels. It directs the state Department of Ecology to seek additionalfinancial and technical assistance from appropriate federal agencies, thefertilizer industry, and other appropriate sources in conducting the study.

This legislation is based on a Florida law. It addresses the sale andcontent of commercially sold fertilizer. The Act:

� Adds compost, manure and pelletized fertilizer to be regulated by thestate if they are sold as commercial fertilizers;

� Defines �soil amendment,� �soil conditioner,� �soil additive,� and�unmanipulated animal and vegetable manure;�

� Authorizes the state department of agriculture and consumer ser-vices to test fertilizers and collect fees for costs;

� Provides for penalties and compensation for certain plant nutrientdeficiencies;

� Revises the method of determining commercial value of fertilizer;� Provides for the appointment of members and alternate members of a

state fertilizer technical council;� Revises performance levels for licensees; and� Provides standards for the distribution of certain fertilizers.




Section 1. [Short Title.] This Act may be cited as the �Fertilizer Compo-sition Regulation Act.�

Section 2. [Definitions.] When used in this chapter, the term:

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(1) �Advertisement� means all representations disseminated in any man-ner or by any means, other than by labeling, for the purpose of inducing, orwhich are likely to induce, directly or indirectly, the purchase of fertilizer.

(2) �Best-management practices� means practices or combinations ofpractices determined by research or field testing in representative sites tobe the most effective and practicable methods of fertilization designed tomeet nitrate groundwater quality standards, including economic and tech-nological considerations.

(3) �Brand� means a term, design, or trademark used in connection withone or several grades of fertilizer.

(4) �Bulk fertilizer� means commercial fertilizer in a nonpackaged form.(5) �Compost� means a substance derived primarily or entirely from

decomposition of vegetative or animal organic material, which is sold oroffered for sale for the purpose of promoting or stimulating plant growth,and to which no inorganic fertilizer materials have been added other thanto promote decomposition. Such products may not contain more than [twelve(12)] percent total plant nutrients.

(6) �Coning� means the formation of a pyramidal pile or cone of dry bulkmixed fertilizer such as may occur while being loaded into a holding hopperor transport vehicle and cause separation and segregation of the fertilizercomponents.

(7) �Dealer� means any person, other than the manufacturer, who offersfor sale, sells, barters, or supplies commercial fertilizer.

(8) �Deconing� means any accepted process employed by a licensee thatwill prevent or minimize coning.

(9) �Deficiency� means the amount of nutrient found by analysis to beless than that guaranteed which may result from lack of nutrient ingredi-ents or from lack of uniformity.

(10) �Department� means the [Department of Agriculture and ConsumerServices] or its authorized representatives.

(11) �Excess� means the amount found by analysis to be over that guar-anteed on the label.

(12) �Fertilizer� means any substance which:(a) Contains one or more recognized plant nutrients and promotes

plant growth, or(b) Controls soil acidity or alkalinity, or(c) Provides other soil enrichment, or(d) Provides other corrective measures to the soil.

For the purposes of this Act, the term �fertilizer� does not includeunmanipulated animal or vegetable manures, peat, or compost which makeno claims as described in paragraphs (a) through (d).

(13) �Fertilizer-pesticide mixture� means a fertilizer containing a pesti-cide.

(14) �Grade� means the percentages in fertilizer of total nitrogen ex-

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pressed as N, available phosphorus expressed as P2O

5, and soluble potas-

sium expressed as K2O, stated in whole numbers in that order.

(15) �Guaranteed analysis� means the percentage of plant nutrients ormeasures of neutralizing capability claimed to be present in a fertilizer.

(16) �Investigational allowance� means an allowance for variations in-herent in the taking, preparation, and analysis of an official sample of fer-tilizer.

(17) �Label� means a display of written, printed, or graphic matter uponthe immediate container of any fertilizer or accompanying any fertilizerwhen moved in bulk.

(18) �Labeling� means all labels and other written, printed, or graphicmatters upon an article or any of its containers or wrappers, or accompany-ing such article.

(19) �Licensee� means a person who guarantees a fertilizer and receivesa license to distribute fertilizer under the provisions of this chapter.

(20) �Manipulated manure,� or �manure� when not qualified asunmanipulated, means substances, other than unmanipulated manures,composed of excreta of animals and residual materials that have been usedfor bedding, sanitary, or feeding purposes for animals, and to which no fer-tilizer materials have been added other than for neutralization or sanitarypurposes.

(21) �Manufacturer� means a person engaged in the business of import-ing, preparing, mixing, blending, or manufacturing fertilizer for sale, eitherdirect to consumers or by or through other media of distribution, and theword �manufacture� means preparation, mixing, blending, or manufactur-ing for the purpose of distribution.

(22) �Misbranded� means that one or more label requirements have notbeen fulfilled.

(23) �Mixed fertilizer� means a fertilizer containing any combination ormixtures of fertilizers.

(24) �Natural organic fertilizer� means a material derived from eitherplant or animal products containing one or more elements (other than car-bon, hydrogen, and oxygen) which are essential for plant growth.

(25) �Nitrogen breakdown� means the classification of forms of nitrogenguaranteed in percent by weight, the sum of which equals the total nitro-gen guarantee.

(26) �Official check sample� means a sealed and identified sample takenfrom the official sample for use in check analysis.

(27) �Official sample� means any sample of fertilizer taken by the [de-partment] in accordance with the provisions of this law or rules adoptedhereunder, and designated as �official� by the [department.]

(28) �Organic fertilizer� means a material containing carbon and one ormore elements, other than hydrogen and oxygen, essential for plant growth.This term includes both �natural organic fertilizer� and �synthetic organic

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fertilizer.�(29) �Pelletized fertilizer� means a fertilizer in a form, uniform in size

and usually of globular shape, containing one or more nutrients producedby one of several methods including:

(a) Solidification of a melt while falling through a countercurrentstream of air.

(b) Dried layers of slurry applied to recycling particles.(c) Compaction.(d) Extrusion.(e) Granulation.

(30) �Percent� or �percentage� means the percentage by weight.(31) �Primary plant nutrient� means total nitrogen expressed as N, avail-

able phosphorus expressed as P2O

5, and soluble potassium expressed as

K2O, or any combination of these substances.

(32) �Registrant� means the person who registers specialty fertilizer un-der the provisions of this Act.

(33) �Secondary plant nutrient� and �micro plant nutrient� mean thosenutrients other than the primary plant nutrients that are essential for thenormal growth of plants and have been added to the fertilizer.

(34) �Slow or controlled release fertilizer� means a fertilizer containinga plant nutrient in a form which delays its availability for plant uptake anduse after application, or which extends its availability to the plant signifi-cantly longer than a reference �rapidly available nutrient fertilizer,� suchas ammonium nitrate or urea, ammonium phosphate, or potassium chlo-ride.

(35) �Soil amendment,� �soil conditioner,� or �soil additive� means anysubstance or mixture of substances sold or offered for sale for soil enrichingor corrective purposes, intended or claimed to be effective in promoting orstimulating plant growth, increasing soil or plant productivity, improvingthe quality of crops, or producing any chemical or physical change in thesoil, except amendments, conditioners, additives, and related products thatare derived solely from inorganic sources and that contain no recognizedplant nutrients.

(36) �Specialty fertilizer� means any fertilizer packaged, marketed, anddistributed for home and garden use and packaged in containers or bagssuch that the net weight is [forty-nine (49)] pounds or less.

(37) �Synthetic organic fertilizer� means a material that is manufac-tured chemically (by synthesis) from its elements or other chemicals.

(38) �Ton� means a net weight of [two thousand (2,000)] pounds avoir-dupois.

(39) �Unit of plant nutrient� means [one (1)] percent by weight or [twenty(20)] pounds per ton.

(40) �Unmanipulated animal and vegetable manure� means substancescomposed of excreta of animals or plant remains which do not contain any

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materials other than those which have been used for bedding, sanitary, orfeeding purposes for such animals, and which have not been mechanicallyor systematically dried, ground, shredded, blended with plant-food addi-tives, or processed in any other manner.

(41) �Water-insoluble nitrogen� means nitrogen not soluble in water.(42) �Water-soluble nitrogen� means all organic nitrogen soluble in wa-

ter.

Section 3. [Registration and Licensing.](1) Labels for each brand and product grade shall accompany the appli-

cation and shall include the following information:(a) The brand and grade.(b) The guaranteed analysis.(c) The name and address of the licensee.(d) The net weight.(e) The sources from which the nitrogen, phosphorus, and potas-

sium are derived.(f) The sources of secondary plant nutrients and micro plant nutri-

ents if guaranteed, claimed, or advertised.

Section 4. [Labeling.](1) Any fertilizer distributed in this state in containers shall have placed

on or affixed to the immediate and outside container a label setting forth inclearly legible and conspicuous form the following information:

(a) The name and address of the licensee.

Section 5. [Inspection, Sampling, Analysis.]The [department] is directed to sample, test, inspect, and make analy-

ses of fertilizer sold or offered for sale within this state. The [department]may conduct commercial tests of fertilizer and fix and collect fees in anamount to cover the direct and indirect costs associated with the tests whenrequested as an aid to support compliance with this Act.

Section 6. [Plant Nutrient Investigational Allowances Tolerances, Defi-ciencies, and Penalties.]

(1) Investigational allowances are set as follows: (a) Primary plant nutrients; investigational allowances.

Guaranteed Total Available PotashPercent Nitrogen Phosphate Percent

Percent Percent04 or less 0.49 0.67 0.4105 0.51 0.67 0.4306 0.52 0.67 0.47

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07 0.54 0.68 0.5308 0.55 0.68 0.6009 0.57 0.68 0.6510 0.58 0.69 0.7012 0.61 0.69 0.7914 0.63 0.70 0.8716 0.67 0.70 0.9418 0.70 0.71 1.0120 0.73 0.72 1.0822 0.75 0.72 1.1524 0.78 0.73 1.2126 0.81 0.73 1.2728 0.83 0.74 1.3330 0.86 0.75 1.3932 or more 0.88 0.76 1.44

For guarantees not listed, calculate the appropriate value by interpola-tion.

(b) Nitrogen investigational allowances.Nitrogen breakdown Investigational allowances

PercentNitrate nitrogen 0.40Ammoniacal nitrogen 0.40Water soluble nitrogenor urea nitrogen 0.40Water insoluble nitrogen 0.30

In no case may the investigational allowance exceed [fifty (50)] percentof the amount guaranteed.

(c) Secondary and micro plant nutrients, total or soluble.Element Investigational allowances

PercentCalcium 0.2 unit +5 percent of guaranteeMagnesium 0.2 unit +5 percent of guaranteeSulfur (free and combined) 0.2 unit +5 percent of guaranteeBoron 0.003 unit +15 percent of guaranteeCobalt 0.0001 unit +30 percent of guaranteeChlorine 0.005 unit +10 percent of guaranteeCopper 0.005 unit +10 percent of guaranteeIron 0.005 unit +10 percent of guaranteeManganese 0.005 unit +10 percent of guaranteeMolybdenum 0.0001 unit +30 percent of guaranteeSodium 0.005 unit +10 percent of guaranteeZinc 0.005 unit +10 percent of guarantee

The maximum allowance for secondary and minor elements when cal-

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culated in accordance with this section is [one (1)] unit [one (1) percent.] Inno case, however, may the investigational allowance exceed [fifty (50)] per-cent of the amount guaranteed.

(d) Liming materials and gypsum.Range Percent Investigational allowances

Percent0-10 0.30Over 10-25 0.40Over 25 0.50(e) Pesticides in fertilizer mixtures. An investigational allowance of

[twenty-five (25)] percent of the guarantee shall be allowed on all pesticideswhen added to custom blend fertilizers.

(2) Deficiencies, compensation, and penalties shall be as follows:(a) When the commercial value of a mixed fertilizer found to be

deficient in primary plant nutrient equals or exceeds the amount guaran-teed by the licensee, no penalty shall be assessed, provided no element ofprimary plant nutrient is deficient more than [one-half (1/2)] percent whenthe guarantee does not exceed [ten (10)] percent or more than [one (1)]percent when the guarantee exceeds [ten (10)] percent. If the commercialvalue found fails to equal or exceed that which is guaranteed, a penaltyshall be assessed based on the deficiency found, but in no instance shall thepenalty be less than [ten (10)] dollars. No overage in any secondary plantnutrient or micro plant nutrient shall compensate for a deficiency in pri-mary plant nutrient or of another secondary plant nutrient or micro plantnutrient. When a deficiency is found in any plant nutrient, the buyer shallbe entitled to collect an amount from the licensee equal to [three (3)] timesthe commercial value of the deficiency found. If the licensee on which apenalty is assessed for a plant nutrient deficiency is on probationary statusas provided in this chapter and rules adopted thereunder, the licensee shallpay to the [department] an additional amount equal to [one-half (1/2)] thepenalty assessed. The proceeds from any such penalty shall be depositedinto the [General Inspection Trust Fund] to be used for the sole purpose offunding the fertilizer inspection program. A penalty shall be assessed if anyof the plant nutrients in mixed fertilizer or fertilizer material are foundbelow the investigational allowances provided in subsection (1), unless com-pensable.

(b) Penalties shall be assessed at the rate of [three (3)] times thecommercial value of the deficiency found, using the formula: the percentdeficient times the commercial value times [three (3)] times the tonnagerepresented by the official sample.

(c) A deficiency in a nitrogen breakdown form shall be compensatedby an excess in another nitrogen form if the following criteria are met:

(i) [Fifty (50)] percent or greater of the guaranteed amount ofthe deficient form must be found by analysis.

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(ii) The excess in the nitrogen forms used for compensation mustexceed the commercial value of the guaranteed forms found within investi-gational allowance but below guarantee.

If the criteria for compensation in this paragraph are not met, a penaltyshall be assessed on the difference in the guaranteed and found percent-ages of the deficient nitrogen form. When compensation is applied to a defi-ciency and the total commercial value of the nitrogen forms found by analy-sis fails to equal [one hundred (100)] percent of the total commercial valueof the nitrogen forms guaranteed, a penalty of [three (3)] times the differ-ence of the commercial value after compensation and the commercial valueguaranteed shall be assessed. A penalty must be assessed on the nitrogenbreakdown when both the total nitrogen and the nitrogen breakdown arefound to be deficient. If the nitrogen breakdown is within investigationalallowance and the total nitrogen is deficient, a penalty shall be assessedagainst the total nitrogen deficiency unless compensable as provided inthis chapter. If the nitrogen is derived solely from ammonium nitrate, thecommercial value used in determining the penalty on either the total nitro-gen or the nitrate nitrogen must be the same as that of the ammoniacalnitrogen.

(d) In assessing penalties on a deficient lot of dolomite or limestone,the following formula shall be used: the percentage guarantee minus thepercentage of CaCO

3 or MgCO

3 found times the commercial value times

[three (3)] times the tonnage represented by the official sample. Shortagesin CaCO

3 liming materials may be compensated by overages in MgCO

3 on a

unit-for-unit basis.(e) In calculating penalties, no consideration may be given to inves-

tigational allowances.(f) When a pesticide in a fertilizer-pesticide mixture is found by analy-

sis to be deficient beyond the investigational allowance as provided in thissection, the buyer is entitled to collect an amount from the registrant equalto [three (3)] times the value of the deficiency found, except when the offi-cial sample was taken from a fertilizer-pesticide mixture that was in thepossession of a consumer for more than [forty-five (45)] days after the dateof purchase by that consumer. When a deficiency is found in a sample drawnfrom a fertilizer-pesticide mixture in the hands of a dealer or agency, thepenalty shall be disbursed as provided in paragraph (3)(e). The value of thedeficiency found must be an amount equal to the product of the percentdeficient times the comparable consumer invoice value of the quantity ofpesticide as active ingredient represented by the official sample, divided bythe percent guarantee of the pesticide. In no instance may the penalty beless than [twenty-five (25)] dollars.

(3) (a) In tobacco brands of mixed fertilizer, the penalty for an excess ofchlorine of more than [twenty-five (25)] percent of the guarantee shall be[one hundred (100)] percent of the commercial value of the mixed fertilizer.

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No penalty shall be assessed for an excess of chlorine of less than [twenty-five (25)] percent of the guarantee and in no case shall a penalty be as-sessed unless the chlorine present is [one (1)] percent or more.

(b) Within [sixty (60)] days from the date of issuance of a fertilizeranalysis report from the [department] and the notice of penalties assessedunder the provisions of this Act, a licensee shall make payment in full tothe consumer, in cash, or by credit memo if and to the extent the consumeris indebted to the licensee or dealer. Any licensee who fails to make settle-ment in full to the consumer within the [sixty (60)] days is liable for inter-est on the penalty of [one-and-a-half (1.5)] percent per month from the dateof issuance of the fertilizer analysis report. If a licensee demands an analy-sis of the official check sample by a referee chemist, the [sixty (60)] daysettlement requirement shall be temporarily suspended pending a finaldetermination. When the final and binding analysis has been established,it shall be the responsibility of the [department] to determine the amountof penalty, if any, due to the consumer and to notify in writing the licenseeand the consumer of the final determination. The licensee shall have [ten(10)] days from the date of receipt of the final determination from the [de-partment] to make settlement with the consumer and shall notify the [de-partment] in writing of the terms of the settlement.

(c) If any fertilizer is found to be of short weight by the [depart-ment,] the licensee, within [thirty (30)] days after receipt of notice of suchshort weight, shall make payment to the consumer or the [department] anamount of [three (3)] times the commercial value of the shortage in eachcase, or by credit memo if and to the extent the consumer is indebted to thelicensee or dealer, but in no instance shall the penalty be less than [twenty-five (25)] dollars. Any licensee who fails to make settlement in full to theconsumer or the [department] within [sixty (60)] days is liable for intereston the penalty of [one-and-a-half (1.5)] percent per month from the date ofissuance. The licensee shall notify the [department] in writing of the termsof the settlement.

(d) If the licensee, dealer, or agent fails or refuses to make paymentto the consumer within the time required, the consumer may institute legalproceedings against the licensee, dealer, or agent for recovery of penaltiesas provided in this chapter. Any judgment against a licensee, dealer, or agentshall be double the amount of the penalty and shall include a reasonableattorney�s fee and costs.

(e) When a deficiency is found in a sample drawn from a lot of fertil-izer in the hands of a dealer or agency, the dealer or agency shall collect theamount due under the deficiency from the licensee and shall within [sixty(60)] days pay to each person purchasing fertilizer from such lot a propor-tionate share of the amount collected and shall notify the [department] inwriting that such payment has been made. However, as to any individualsale by a dealer or agent of fertilizer subject to penalties for deficiencies

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when the dealer or agent is unable to determine the purchaser of the lot offertilizer, the dealer or agent shall pay the proportionate amount of penal-ties to the [department] to be placed in the [State Treasury] to the credit ofthe [General Inspection Trust Fund] to be used for the sole purpose of fund-ing the fertilizer inspection program.

(4) When it is determined by the [department] that a fertilizer has beendistributed without being licensed or registered, or without labeling, the[department] shall require the licensee to pay a penalty in the amount of[one hundred (100)] dollars. The proceeds from any penalty payments shallbe deposited by the [department] in the [General Inspection Trust Fund] tobe used for the sole purpose of funding the fertilizer inspection program.

(5) The [department] may enter an order imposing one or more of thefollowing penalties against any person who violates any of the provisions ofthis Act or the rules adopted hereunder or who shall impede, obstruct, hinder,or otherwise prevent or attempt to prevent the [department] in the perfor-mance of its duty in connection with the provisions of this Act:

(a) Issuance of a warning letter.(b) Imposition of an administrative fine of not more than [one thou-

sand (1000)] dollars per occurrence after the issuance of a warning letter.(c) Cancellation, revocation, or suspension of any license issued by

the [department.]

Section 7. [Commercial Value.] The commercial value used in assessingpenalties for any deficiency shall be determined by using annualized plantnutrient values contained in one or more generally recognized journals rec-ommended by the [Fertilizer Technical Council.]

Section 8. [Fertilizer Technical Council.](1) The [Fertilizer Technical Council] is created within the [department.]

The [Commissioner of Agriculture] shall appoint all members and alter-nate members of the [council.]

(2) The [council] is composed of [thirteen (13)] members including:(a) [Three (3)] representatives of the [department;] a citizen not in-

volved in the manufacture, distribution, or sale of fertilizer, the [Dean forResearch] and the [Dean for Extension] at the [Institute of Food and Agri-cultural Sciences] at the [University of Florida;] and one representativeeach from the beef cattle, field crops, citrus, vegetable, fertilizer, pesticide,and agricultural limestone industries in the state.

(b) The [commissioner] may appoint an alternate member for eachmember.

(3) The meetings, powers and duties, procedures, record keeping andreimbursement of expenses of members and alternate members of the coun-cil, shall be in accordance with [insert citation.]

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Section 9. [Cancellation, Revocation, And Suspension; Probationary Sta-tus.]

(1) The [department] may place any licensee on a probationary statuswhen the deficiency levels of samples taken from that licensee do not meetminimum performance levels established by statute rule within the inves-tigational allowances provided in [insert citation.]

Section 10. [Prohibited Acts.] The following acts are prohibited:(1) The sale of any material as a fertilizer or as an ingredient of any

mixed fertilizer showing an activity of water-insoluble nitrogen less thanprescribed by the Association of [Official Analytical Chemists.] Fertilizernot defined by the [Association of American Plant Food Control Officials]may be distributed as fertilizer, provided the licensee furnishes an accept-able definition, [Association of Official Analytical Chemists] analysis, orother appropriate method of analysis, and provides efficacy studies withappropriate controls that have been generated in accordance with good sci-entific practices whose results have been peer reviewed and published in agenerally available scientific journal or have been reviewed and recognizedby the research department of an accredited agricultural college or univer-sity. The data must clearly quantify and demonstrate a beneficial plantgrowth response attributable to the fertilizer material when it is used inaccordance with the manufacturer�s or distributor�s recommendations.

Section 11. [Administration; Rules; Procedure.]The [department] is authorized, by rule, to implement, make specific,

and interpret the provisions of this chapter, and specifically to determinethe composition and uses of fertilizer as defined in this Act, including, with-out limiting the foregoing general terms, the taking and handling of samples,the establishment of investigational allowances, deficiencies, and penaltieswhere not specifically provided for in this Act; to prohibit the sale or use infertilizer of any material proven to be detrimental to agriculture, publichealth, or the environment, or of questionable value; to provide for the in-corporation into fertilizer of such other substances as pesticides and properlabeling of such mixture; and to prescribe the information which shall ap-pear on the label other than specifically set forth in this Act.




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Foreign Capital Depository

This Act authorizes and provides the framework to create financial in-stitutions as depositories for foreign investors. This Act contains languagedetailing how to charter foreign capital depositories, financial privacy, as-set protection, and specialized services to nonresident aliens who are de-pository customers.

This Act is based on a 1997 Montana law which was reported to be thefirst of its kind in the nation. The Montana law has two major parts. Thefirst part is new language to set up foreign capital depositories in the state.The second part inserts references to foreign capital depositories into otherdisparate sections of the state�s existing banking laws. The latter are refer-enced in the Montana law as the �Bank Act.� This SSL draft contains allthe provisions in the first part of the Montana law, but only excerpts fromthe second part that specifically mention foreign depositories.

Submitted as:MontanaSB 83Enacted into law, 1997.



Section 1. [Short Title and Scope.](1) This Act may be cited as the �Foreign Capital Depository Act.�(2) Sections 1 through 67 of this Act set forth the terms and conditions

under which a foreign or domestic financial institution may do business inthis state as a state-chartered foreign capital depository.

(3) Sections 68 through 81 modify previous state banking laws to incor-porate foreign capital depositories.

Section 2. [Purpose.] The [Legislature] finds and declares that:(1) political instability, economic insecurity, and financial risk outside

the United States create incentives for the transfer and investment of for-eign capital derived from legitimate estates and business activities to rela-tively safe places such as this state;

(2) political conditions in some countries are contrary to the fundamen-tal freedoms and individual liberties codified in international human rightslaw and contained in the state constitution;

(3) it is in the public interest of this state to attract legally derived for-eign capital for investment, revenue enhancement, and other economic de-

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velopment purposes as well as to facilitate tax abatement for residents andbusinesses in the state;

(4) the [Legislature] has the authority, in connection with its effort toimprove economic conditions in the state, to treat foreign persons differ-ently than it does the citizens of this state with respect to equal protectionof the law;

(5) because the Internal Revenue Code prohibits this state from offer-ing the type of tax shelters to American citizens that are available to themin foreign jurisdictions and because few of the conditions prevalent in othercountries that give rise to capital flight exist in the United States, this stateis both compelled and rationally motivated to offer specialized private fi-nancial services exclusively to foreign customers;

(6) the state has the competence, capacity, and legitimate authority tocharter and regulate financial institutions under the dual banking systemof the United States;

(7) a prudent blend of financial privacy, asset protection, and profitabil-ity may offer foreign depositors unique opportunities to build and preservetheir wealth in this state;

(8) it is the intent of the [Legislature] to protect both state and nationalinterests by promoting legal and technical standards and procedures todeter, prevent, and detect money laundering and other types of financialcrime.

Section 3. [Definitions.] As used in sections 1 through 46 and 65 through67, unless the context requires otherwise, the following definitions apply:

(1) �Bank holding company� means a company registered under the fed-eral Bank Holding Company Act of 1956, as amended.

(2) �Board� means the [state banking board] provided for in [insert cita-tion.]

(3) �Capital� means currency that is convertible to U.S. dollars or per-sonal property, including tangible personal property.

(4) �Cash� means currency, cashier�s checks, money orders, and othermonetary instruments as defined in the Bank Secrecy Act (Public Law 91-508).

(5) �Charter� means a certificate issued by the [state banking board]through the [commissioner] to a corporation verifying that the corporationis authorized to conduct business in this state as a foreign capital deposi-tory.

(6) �Commissioner� means the [commissioner of banking and financialinstitutions] provided for in [insert citation.]

(7) �Controlling person� means a person who holds [five (5)] percent ormore of the equity in a depository or who is otherwise determined by the[board] to exercise controlling authority over decisions affecting the man-agement and operation of the depository.


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(8) �Customer� means a person who is using or has used the services ofa foreign capital depository or for whom a foreign capital depository hasacted as a fiduciary.

(9) �Department� means the [Department of Commerce] established in[insert citation.]

(10) �Foreign bank� means a bank that has its primary office outside thejurisdiction of the United States and is licensed under the laws of a foreigncountry or a political subdivision of a foreign country.

(11) �Foreign capital depository� or �depository� means a financial insti-tution incorporated in this state and chartered by the [board] to conductbusiness as a foreign capital depository in accordance with sections 1 through46 of this Act.

(12) �Money laundering� is the process through which the existence,illegal source, true ownership, or unlawful application of illicitly derivedfunds is concealed or disguised to make the funds appear legitimate, therebyhelping to evade detection, prosecution, seizure, or taxation.

(13) �Nonresident alien� means a person who is not a citizen or a resi-dent of the United States.

(14) �Person� means an individual, partnership, corporation, limited li-ability company, association, trust, or other legal entity.

(15) �Supervisory agency� means any of the following:(a) the [attorney general] and the [Department of Justice,] estab-

lished by [insert citation,] for the purpose of the enforcement of all criminallaws of the state;

(b) the [department,] for the purposes of the administration andenforcement of the state laws relating to the examination and supervisionof a foreign capital depository;

(c) the [commissioner,] for the purposes of the administration andenforcement of the state laws relating to the chartering and supervision ofa foreign capital depository;

(d) the [board,] for the purposes of chartering a foreign capital de-pository;

(e) the Federal Reserve System, when the chartered depository is asubsidiary of a financial institution domiciled outside the jurisdiction of theUnited States, for the purposes of examining a foreign capital depository;

(f) the [legislative audit division,] established by [insert citation,]for the purposes of the administration of state laws relating to the audit ofstate agencies and the collection and disbursement of public funds;

(g) the [Department of Revenue,] established by [insert citation,]for the purposes of the administration and enforcement of laws relating tothe collection of taxes or fees from a foreign capital depository;

(h) the [insurance department,] established by [insert citation,] andthe [commissioner of insurance,] established by [insert citation,] for thepurpose of the administration and enforcement of state laws relating to the


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regulation of an insurer of accounts in a foreign capital depository.(16) �Tangible personal property� includes platinum, palladium, gold, or

silver bullion or coins, precious stones, jewelry, works of art, furnishings,and other objects of value that are not legal tender.

Section 4. [Charter Required � Misrepresentation Cause for Disqualifi-cation.]

(1) A person may not operate or conduct business as a depository in thisstate without a charter issued by the [board.]

(2) A depository shall post the charter certificate in a conspicuous place.(3) A person who is found by the [commissioner] to have falsely repre-

sented to a customer that a charter had been obtained is permanently dis-qualified from obtaining a charter.

Section 5. [Protection of Appellation.] A corporation that has not beenissued a charter under the provisions of section 8 may not transact busi-ness under a name or title that contains the words �foreign�, �capital�, and�depository� in any combination.

Section 6. [Applicability of Banking Laws.] The provisions of sections 77through 87 of this Act apply to a foreign capital depository unless a sectionin sections 1 through 46 and 65 through 67 of this Act or a rule or orderissued under sections 1 through 46 and 65 through 67 is inconsistent withany of Sections 77 through 87 of this Act.

Section 7. [Rulemaking Authority.](1) The [board] shall adopt rules to implement sections 8, 9, and 12 of

this Act.(2) The [department] shall adopt rules to implement sections 13, 14,

and 18 of this Act and to specify the conditions under which a depositorymay be found to be operating in a manner that is unsafe or unsound.

Section 8. [Charter Eligibility and Application Requirements.](1) In order to lawfully conduct business in this state as a foreign capi-

tal depository, a person intending to own and operate a depository shall:(a) obtain a state charter from the [board] through an application

process established by the [commissioner] and administered by the [de-partment;]

(b) make and file articles of incorporation in accordance with [insertcitation;]

(c) submit an application to the [board] on a form provided by the[commissioner.] An application must be accompanied by:

(i) documents certifying that the identity of each director, ex-ecutive officer, and controlling person of the proposed depository has been


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verified by means of a background check;(ii) a written copy of the applicant�s know-your-customer policy

and a written description of the implementation method for the policy;(iii) a detailed written description of the applicant�s personnel

training and pre-employment screening programs, physical and technologi-cal security systems, and methods of compliance with applicable federalrecord keeping and reporting laws;

(iv) a business plan that includes projections of costs, profit-ability, and relevant changes in financial markets;

(v) the intended location of each depository office in the state;(vi) a document from a certified public accountant confirming

that the applicant has financial assets in excess of liabilities in an amountestablished by [board] rule;

(vii) a nonrefundable charter application fee set by the [board]under section 12 to be paid into the foreign capital depository account es-tablished in section 17.

(2) A foreign capital depository may be a subsidiary of a foreign bankthat has obtained approval from the Federal Reserve System to operate inthe United States in accordance with the Foreign Bank Supervision En-hancement Act of 1991.

Section 9. [Charter Application � Grounds for Denial.](1) To safeguard the interests and the reputation of the state, the [board]

shall deny a charter application if it finds that the applicant planning tooperate the depository is not of good character or that the applicant is notfinancially sound.

(2) The [board] may find that the person planning to own, operate, ormanage the depository is not of good character or financial integrity if adirector, an executive officer, or a controlling person of the applicant has:

(a) been convicted of or has pleaded guilty or nolo contendere to anycrime involving fraud, theft, conspiracy, racketeering, or money launder-ing;

(b) had a professional or occupational license suspended or revokedbased on conduct involving an act of fraud or dishonesty;

(c) willfully made or caused to be made false or misleading state-ments in an application or report to the [commissioner] or has willfullyomitted facts required in the report;

(d) willfully violated a provision of section 4 or 8 or aided, abetted,counseled, commanded, induced, or procured the violation by another per-son of a provision of section 4 or 8.

(3) Subsections (1) and (2) are not exclusive of other grounds on whichthe [board] may determine that an applicant for a depository charter is notof good character and therefore may not receive a charter.

(4) The [board] may authorize the [commissioner] to conduct or obtain


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from a private investigative service a background check on any director,executive officer, or controlling person of the depository for the purposes ofdetermining whether an applicant is of good character.

(5) The [board] shall adopt rules concerning the method and process fordetermining whether an applicant for a charter is financially sound.

Section 10. [Suspension, Revocation, and Restoration of Charter.](1) The [board] may suspend or revoke the charter of a depository if the

[board] finds that the depository or any director, executive officer, or con-trolling person of the depository has:

(a) violated a provision of sections 1 through 46, a rule of the [de-partment] established pursuant to sections 1 through 46, the Bank SecrecyAct, or any mplementing regulation of the Bank Secrecy Act;

(b) failed to comply with an order of the [commissioner;](c) operated in a manner or condition that is unsafe or unsound;(d) become insolvent in that the depository has ceased to pay its

debts in the ordinary course of business, it is unable to pay debts as theycome due, or its liabilities exceed its assets;

(e) filed a petition for an adjudication of bankruptcy;(f) knowingly made a false statement or report to the [department;](g) failed to pay the [Department of Revenue] the fee, penalty, or

interest owed pursuant to sections 58 through 60 before [5 p.m. on the lastday of the 11th month] after the date a deficiency assessment is mailed; or

(h) if the depository is a subsidiary of a foreign bank holding com-pany or another type of financial institution, had its operating license sus-pended or revoked in the country where the parent company is domiciled.

(2) Before suspending or revoking a charter, the [board] shall conduct ahearing in accordance with the state [Administrative Procedure Act] relat-ing to a contested case.

(3) On the recommendation of the [department,] the [board] may rein-state a charter that has been suspended or revoked if the [board] finds thatthe depository has restored its integrity and financial soundness.

(4) At no time during or following the suspension, revocation, or rein-statement of a charter may a financial record pertaining to an individualaccount be disclosed except in accordance with rules for the conduct of ex-aminations in section 15 or in accordance with sections 29 through 46 ofthis Act.

Section 11. [Administrative Orders by Commissioner.](1) In addition to or in lieu of the [board�s] suspending or revoking the

charter issued to a foreign capital depository, the [commissioner] may:(a) issue a cease and desist order that specifies the activity that the

depository may not undertake for the duration of the order;(b) require a depository to take action as determined by the [com-


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missioner;] or(c) order the depository to pay a civil penalty in an amount not to

exceed [ten thousand (10,000)] dollars for each violation or, in the case of acontinuing violation, [ten thousand (10,000)] dollars for each day duringwhich the violation continues.

(2) Orders issued by the [commissioner] pursuant to this section mustbe issued in compliance with the contested case procedure of the state[Administrative Procedure Act.]

Section 12. [Application, Charter, and Renewal Fee.](1) An applicant for a state charter shall pay a fee established by the

[board] by rule. The application fee must be commensurate with the cost ofconducting a background check on the person applying for the charter.

(2) A successful applicant for a state charter shall pay to the [depart-ment] an initial charter fee of [fifty thousand (50,000)] dollars, less theamount paid for the application fee pursuant to subsection (1).

(3) A depository shall pay an annual charter renewal fee in an amountset by the [board] by rule but not to exceed [ten thousand (10,000)] dollars.

(4) Fees collected pursuant to subsections (1) through (3) must be de-posited in the [foreign capital depository account] established in section 17.

Section 13. [Regulation and Supervision � Rules.](1) To ensure that the department meets its responsibility for the pru-

dential supervision of a foreign capital depository, the [department] shalladopt rules that:

(a) determine the processes and procedures necessary to ensure thatthe controlling persons and employees and the procedures of a depositoryare in compliance with sections 1 through 46 and 65 through 67;

(b) establish the procedures for the conduct of examinations of adepository by the [department,] including the means by which the [com-missioner] will verify that the depository�s know-your-customer policy hasbeen implemented;

(c) establish the form of suspicious activity reports and the condi-tions under which a suspicious activity report must be filed with the [de-partment;]

(d) require a depository to submit to the [department] on request awritten or electronic record of any transfer or withdrawal of cash from thedepository in an amount equal to or greater than [ten thousand (10,000)]dollars;

(e) require a depository to file an annual report with the [depart-ment] detailing the depository�s:

(i) security measures designed to deter and prevent theft, fraud,and corruption;

(ii) procedures for filing suspicious activity reports with the


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U.S. Department of the Treasury and for keeping records and filing reportsof transactions as required by federal law and regulation to combat moneylaundering and other criminal activities;

(iii) employee training programs regarding disclosure and otheraspects of customer financial privacy; and

(iv) fulfillment of the know-your-customer policy recommendedby the American Bankers Association or prescribed by federal regulation.

(2) With respect to an action concerning the issuance, suspension, orrevocation of a charter or an action pursuant to enforcement in sections 65through 67, the [department] shall adopt rules to determine pre-hearingdiscovery procedures, including the taking of depositions and the produc-tion of documents.

(3) In adopting rules for hearings, the [department] shall provide for theissuance of subpoenas and for the administration of oaths to witnesses andparties or their representatives to apply both to discovery procedures andto hearings.

Section 14. [Costs of Regulation.] A depository shall pay to the [depart-ment] an annual fee established by rule that is commensurate with the costof conducting examinations of a depository by the [department.] The pro-ceeds of the fee established by the [department] must be deposited in the[foreign capital depository account] created by section 17.

Section 15. [Examinations.](1) Except as provided in subsection (5), the [department] shall:

(a) examine, at least once every [twelve (12)] months, each deposi-tory to:

(i) verify the depository�s assets and liabilities;(ii) ascertain the accuracy of the depository�s books and records;

and(iii) determine whether the depository�s methods of operation

and conduct of business are in compliance with applicable laws and rules;and

(b) submit in writing to a depository examined in accordance withsubsection (1)(a) a report of the examination�s findings no later than [sixty(60)] days after the completion of the examination.

(2) A controlling person or employee of a foreign capital depository shallexhibit to the [department] or an examiner from the Federal Reserve Sys-tem on request the books, records, and accounts of the depository, exceptthat the identity of a customer may not be disclosed to the [department] orany examiner unless the disclosure is necessitated by the [department�s]procedure for verifying that the depository�s know-your-customer policy hasbeen implemented effectively.

(3) The [department] may issue subpoenas and administer oaths to any


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director, executive officer, controlling person, or employee of a foreign capi-tal depository. In case of a refusal to obey a subpoena issued by the [depart-ment], the refusal may be reported to the [District Court] of the district inwhich the depository is located. The [Court] shall enforce obedience to thesubpoena in the manner provided by law for enforcing obedience to theprocess of the court.

(4) If a depository charter is issued to a foreign bank, the [department]may conduct an examination of the depository:

(a) in conjunction with supervisory personnel from the Federal Re-serve System, or;

(b) without the assistance of Federal Reserve System personnel.(5) The [department] may accept as the examination of a depository

required by this section the findings or results of an examination conductedby the Federal Reserve System.

(6) A foreign capital depository shall keep its corporate records, finan-cial records, and books of account in words and figures of the English lan-guage, in this state, and in a form satisfactory to the [department.]

(7) If a foreign capital depository is issued a charter to maintain [two(2)] or more offices in the state, the depository shall designate one of itsoffices as its primary office for the purposes of keeping consolidated recordsand facilitating examinations by the [department.]

Section 16. [Special Examinations � Costs.](1) Whenever in the judgment of the [commissioner] the condition of a

depository or the actions of a customer necessitate an examination beyondthat required by section 15, the [department] may conduct additional ex-aminations determined to be necessary and in connection with the addi-tional examinations may charge the depository:

(a) an amount not to exceed [four hundred (400)] dollars a day foreach examiner engaged in the examination of the depository;

(b) the actual cost of travel expenses of the examiner in the eventthat travel outside this state is determined necessary by the [commissioner;]and

(c) a reasonable amount to recover the actual costs of counsel andother [department] resources.

(2) The money collected by the [department] pursuant to examinationfees must be deposited in the [foreign capital depository account] estab-lished in section 17.

Section 17. [Foreign Capital Depository Account.](1) A [Foreign Capital Depository Account] is hereby created in the state

[special revenue fund.] Except for revenue derived in accordance with sec-tions 58 through 60, money from the foreign capital depository must bedeposited in the [account.]


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(2) The money in the [account] may be appropriated by the [Legisla-ture] to the [department] solely for the [department�s] use in meeting itssupervisory and regulatory obligations established in sections 12 through16.

Section 18. [Reports � Contents and Restrictions.](1) A depository shall make a report to the [department] in the manner

and at the time required by the [commissioner.](2) A report filed with the [department] must:

(a) contain the information required by rule; and(b) be verified by [two (2)] of the depository�s executive officers. The

verification must state that each of the officers making the verification hasa personal knowledge of the matters in the report and that each of thembelieves that each statement in the report is true.

(3) A depository may not include any financial record, as defined in sec-tion 30, of any customer in the report.

(4) The [department] may provide a copy of the report to another super-visory agency.

Section 19. [Record Keeping and Reporting � Suspicious Activity.] Inaddition to compliance with applicable provisions of the Bank Secrecy Act,a foreign capital depository shall:

(1) keep a written or electronic record of each wire transfer or otherelectronic means of transferring capital to the depository for at least [five(5)] years when the transfer involves [three thousand (3,000)] dollars ormore; and

(2) comply with federal regulation and rules of the [department] con-cerning the form of a suspicious activity report and the conditions underwhich a suspicious activity report is required to be reported to a supervi-sory agency or to the U.S. Department of the Treasury.

Section 20. [Sale or Transfer of Charter Prohibited � Penalty.](1) A charter issued by the [board] may not be sold, traded, transferred,

or otherwise assigned to another corporation.(2) A person who attempts to sell, trade, or transfer a depository charter

or who knowingly accepts a depository charter in violation of subsection (1)is subject to civil and criminal penalties pursuant to sections 66 and 67.

Section 21. [Dissolution � Closing.](1) The [board] may, upon a finding of negligence, misconduct, or any of

the conditions specified in section 9 dissolve the charter of a depository andremove any directors, executive officers, or employees prior to the dissolu-tion in accordance with the provisions of [insert citation.]

(2) The [department] may close a depository and take possession of the


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books, records, and assets of the depository and hold them until the deposi-tory is authorized by the [board] to resume business or until its affairs areliquidated in accordance with [insert citation.]

(3) Except in accordance with the provisions in sections 29 through 46,an individual financial record may not be disclosed in the process of dis-solving or closing a depository, and the penalties for wrongful disclosure insections 29 through 46 apply to the [board,] the [department], and the de-pository.

(4) A foreign capital depository may not close its primary office or ceaseoperations without the written approval of the [department.]

(5) Voluntary dissolution of a depository must comply with the provi-sions of [insert citation.]

Section 22. [Depository Services � Allowed and Mandated.](1) A depository may:

(a) accept deposits in any currency or electronic form convertible toU.S. dollars;

(b) provide safe deposit and other storage services for the purpose ofprotecting the security of a customer�s tangible personal property;

(c) convert cash deposits to purchase orders for platinum, palladium,gold, or silver bullion on behalf of or at the direction of a customer;

(d) purchase, sell, and pay interest to the customer derived fromtax-exempt federal, state, county, or municipal bonds on behalf of or at thedirection of a customer;

(e) provide a customer with foreign currency in exchange for U.S.dollars in an equivalent monetary amount;

(f) perform trust and related fiduciary services, as provided in [in-sert citation,] but only if the depository has obtained a certificate from the[department] authorizing the depository to act as a trust company or thesubsidiary of a trust company prior to engaging in trust activities;

(g) issue a debit card or an automatic teller machine card to a cus-tomer;

(h) charge interest in relation to a customer�s use of a debit or auto-matic teller machine card;

(i) establish different types of deposit accounts for customers;(j) offer deposit or safe deposit insurance provided under contract

with a financial guaranty insurer approved by the [insurance commissioner;](k) charge fees related to the opening, management, and insuring of

deposit accounts, the storage and maintenance of tangible personal prop-erty, the establishment and administration of trust accounts, and other lawfulinvestment, legal, or financial services;

(l) set underwriting standards for each type of account that it offersto a customer; and

(m) establish a minimum deposit amount for any type of account as


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long as the minimum is not less than [two-hundred thousand (200,000)]dollars.

(2) A depository may in its discretion refuse an application for an ac-count of any type.

(3) A depository shall:(a) exercise extraordinary diligence in determining the genuine iden-

tity of a customer;(b) protect the privacy of each customer as provided in sections 29

through 46;(c) in accordance with sections 47 through 55, provide legal defense

of a customer at the customer�s request or on the request of the customer�slegal representative in the event a civil judgment rendered against the de-positor in a jurisdiction outside the United States is registered in this state;

(d) with respect to [precious metals] accounts in sections 25 through28, comply with the statutory protections against securities fraud under[insert citation;]

(e) comply with federal reporting and record keeping requirementsas provided in the Bank Secrecy Act, the Money Laundering Control Act of1986, the Annunzio-Wylie Anti-Money Laundering Act, and implementingregulations of each of those Acts concerning money laundering and otherfinancial crimes.

Section 23. [Depository Services � Restrictions and Prohibitions.](1) A depository may not accept a deposit:

(a) from an individual who is a citizen or a resident of the UnitedStates;

(b) from a corporation, trust, or partnership if any shareholder, set-tlor, member, beneficiary, or partner is a citizen or a resident of the UnitedStates;

(c) in an amount valued at less than [two-hundred thousand(200,000)] dollars in U.S. dollars.

(2) A depository may not:(a) provide services to any customer who is not a nonresident alien;(b) engage in lending or any related commercial banking services as

defined in the Bank Act, except:(i) in a case in which fiduciary lending is necessitated by a trust

obligation and the depository has obtained a certificate from the [depart-ment] authorizing the depository to act as a trust company or the subsid-iary of a trust company; or

(ii) in relation to a precious metals account as provided in sec-tions 25 through 28;

(c) transfer [ten thousand (10,000)] dollars or more of a customer�scash on deposit to another financial institution inside or outside the juris-diction of the United States without submitting a record of the transaction


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to the [commissioner] and the [attorney general] that includes the customer�sname, last-known address, and if the customer is an individual, passportnumber;

(d) accept a deposit from a customer who has been convicted of astate or federal felony in the United States or from a corporation of which acontrolling person has been convicted of a state or federal felony in theUnited States.

Section 24. [Sale or Trade of Deposit Accounts Prohibited � TransfersAllowed.]

(1) The [Legislature] does not intend to create or facilitate the creationof a secondary market for depository accounts. Therefore, except for thecondition set forth in subsection (2), the sale or trade of a deposit account bya depository is prohibited.

(2) A depository may permit the legal transfer of a deposit account froma customer to the customer�s heir, spouse, or designated next of kin for thepurposes of estate preservation and maintenance.

Section 25. [Precious Metals Accounts � Purpose.](1) The [Legislature] acknowledges that:

(a) this state is both a major [gold] producer and the only domesticsource of commercially significant amounts of [platinum and palladium,][precious metals] that have diverse uses in addition to serving as a store ofexchangeable value;

(b) many nonresident aliens and foreign corporations place greatvalue in the security inherent in [precious metals] as a hedge against cur-rency depreciation, currency devaluation, and general inflation and prefer[precious metals] over other types of investments that may offer a higher ormore certain rate of return;

(c) the expansion of the processing and refining capacity of the [plati-num and palladium] mining operations in the state may provide uniqueinvestment opportunities for nonresident aliens and a significant stimulusfor economic development in the state; and

(d) helping to establish financial links between customers of thedepository and products of the [precious metals] depository is in the eco-nomic interest of the state.

(2) The [Legislature] further recognizes its responsibility to help determoney laundering and other financial crime and therefore acknowledgesthat restricting the liquidity of a [precious metals] account will reduce sig-nificantly any incentive there may be for a person to use a [precious metals]account for illicit purposes.

Section 26. [Definition.] For the purposes of sections 1 through 46, a[precious metals] account is a depository account in which the depository,


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upon instructions of a customer, exchanges cash for a commensurately val-ued amount of [platinum,] [palladium,] [gold,] or [silver bullion] procuredby the depository for the primary purpose of safekeeping over an extendedperiod of time.

Section 27. [Account Requirements � Provisions.](1) An agreement between the depository and a customer to establish a

[precious metals] account must include the following provisions:(a) a term of maturity that is not less than [thirty-six (36)] months;(b) a penalty for early withdrawal of an amount of [precious metals]

that exceeds [twenty (20)] percent of the monetary value of the total amountof [precious metals] in the account, with the monetary value to be equiva-lent to the spot market price of the [precious metal] listed in The Wall StreetJournal on the date of the withdrawal;

(c) a requirement that the [precious metals] purchased by a cus-tomer be delivered to the depository within [seven (7)] days of verified pay-ment of any part of the purchase price.

(2) A [precious metals] account may provide for limited withdrawal fromthe account by means of a debit card or an automatic teller machine card aslong as the total amount withdrawn from the account prior to the maturitydate established in subsection (1)(a) does not exceed [twenty (20)] percentof the total monetary value of the [precious metals] in the account.

(3) A depository may charge a customer interest and a fee in relation toa cash withdrawal made in accordance with subsection (2).

Section 28. [Termination � Settlement.](1) Upon termination of a [precious metals] account, whether at or be-

fore the date of maturity, the terms of settlement must allow:(a) the depository to convert the [precious metals] to currency at the

spot market rate on the day of settlement; and(b) the depository�s right to delay settlement for not more than [five

(5)] business days.

Section 29. [Financial Privacy � Purpose.] The [Legislature] finds anddeclares that:

(1) the viability of one or more foreign capital depositories in this statedepends to a large extent upon both the secure nature of the depository andthe confidential nature of customer accounts and safe deposits in the de-pository and upon the confidential nature of transactions between a cus-tomer and a depository. Therefore, the purpose of sections 29 through 46 isto clarify and protect the confidential relationship between foreign capitaldepositories and their customers and to balance a customer�s right of pri-vacy with the governmental interest in obtaining information for specificpurposes and by specified procedures as set forth in sections 29 through 46.


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The confidential relationship between a foreign capital depository and itscustomers is to be protected by restrictions on the disclosure of financialrecords to supervisory agencies and a prohibition against disclosure of fi-nancial records to other state and local agencies and to private individualsexcept under specified conditions.

(2) a state offering secure and confidential depository services to itscustomers must be mindful that significant amounts of capital are derivedfrom or moved for illegal purposes and that the United States and otherjurisdictions have passed laws and worked diligently to prevent money laun-dering and other offenses from being conducted as part of otherwise lawfultransactions;

(3) in licensing and supervising the operation of one or more foreigncapital depositories, this state needs to enforce its own criminal laws vigor-ously. It is also imperative that this state cooperate with United States lawenforcement and other authorities to effectively deter and, when deterrencefails, detect, investigate, and prosecute perpetrators of financial crimes.

(4) the purpose of sections 29 through 46 is not to avoid the applicationof the Bank Secrecy Act, the Right to Financial Privacy Act of 1978, theMoney Laundering Control Act of 1986, and the Annunzio-Wylie Anti-MoneyLaundering Act, which are intended to prevent or deter money launderingand other financial crimes while maintaining a degree of secrecy of cus-tomer bank accounts from federal agencies, but rather to apply state law inthose areas unregulated by these and other relevant federal laws. However,it is the intent of the [Legislature] that if there is a clear and direct conflictbetween sections 29 through 46 and applicable federal statutes, treaties, orregulations that cannot be resolved by other means, then the state lawshould be pre-empted in order to maintain the efficacy and integrity ofUnited States laws intended to combat financial crimes.

Section 30. [Definitions.] Unless the context requires otherwise, in sec-tions 29 through 46, the following definitions apply:

(1) �Financial institution� includes state and national banks, state andfederal savings and loan associations, trust companies, investment compa-nies, and state and federal credit unions. The term does not include a titleinsurer while engaging in the conduct of the business of title insurance, anunderwritten title company, or an escrow company.

(2) (a) �Financial record� means:(i) an original or copy of a record or document held by a foreign

capital depository that directly or indirectly pertains to a customer of thedepository;

(ii) information contained in the original or copy of the recordor document; or

(iii) the name of a customer.(b) A record or document may, for the purposes of this subsection


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(2), be in a paper, electronic, or other format.(3) �Investigation� includes an inquiry by a peace officer, as defined by

[insert citation,] a sheriff, or a county attorney or an inquiry made for thepurpose of determining whether there has been a violation of a law enforce-able by imprisonment, fine, or monetary liability.

(4) �Local agency� includes a county, city, town, or other local govern-ment entity.

(5) �State agency� means an office, department, division, bureau, board,or commission of state government that is not a supervisory agency, includ-ing the [Legislature.]

(6) �Subpoena� includes subpoena duces tecum.

Section 31. [Request or Receipt of Records and Information Prohibited� Exceptions � Records to be Maintained].

(1) Except as provided in sections 39 and 40 and this section, an officer,employee, or agent of a state or local agency may not request or receive acopy of a financial record from a foreign capital depository unless the finan-cial record is consistent with the scope and purpose of any investigation bythe state or local agency, is described with particularity, and:

(a) the customer has authorized disclosure of the financial record inaccordance with section 34;

(b) the financial record is disclosed in response to an administrativesubpoena that meets the requirements of section 35;

(c) the financial record is disclosed in response to a search warrantthat meets the requirements of section 36; or

(d) the financial record is disclosed in response to a judicial sub-poena that meets the requirements of section 37.

(2) The burden of proving that a required disclosure of a financial recordis consistent with the scope and purpose of an investigation is upon thestate agency or the local agency requiring disclosure of the financial record.

(3) Nothing in sections 34, 35, 36, or 37 or this section requires a foreigncapital depository to inquire or determine whether a person seeking disclo-sure of a financial record has complied with the requirements of those sec-tions if the customer authorization, administrative subpoena, search war-rant, or judicial subpoena served upon or delivered to the depository pursu-ant to any of those sections shows compliance on its face.

(4) A foreign capital depository shall maintain for a period of [five (5)]years a record of all disclosures by a depository of the financial records of acustomer pursuant to sections 29 through 46, including the identity of theperson examining the financial records, the state or local agency that theperson represents, and a copy of the customer authorization, administra-tive subpoena, search warrant, or judicial subpoena providing for examina-tion or disclosure. A record of disclosures maintained pursuant to this sub-section must be available, within [five (5)] days of request, during normal


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business hours of the depository for review by the customer at the office orbranch of the depository where the customer�s account or safe deposit boxwas located when examined. A paper or electronic copy of the record ofdisclosures must be furnished by the depository to the customer upon re-quest by the customer.

(5) This section does not prevent a state or local law enforcement agencyfrom initiating contact with a foreign capital depository if there is reason tobelieve that the depository is a victim of a crime perpetrated by a customer.After contact by a law enforcement agency, if the foreign capital depositoryreasonably believes it is a victim of a crime, it may, in its discretion, discloserelevant financial records pursuant to section 32(2). Conviction of or ad-mission by a customer of a crime against the depository is conclusive on theissue of the reasonable belief of the depository.

Section 32. [Disclosure of Record to Agency Prohibited � Exceptions.](1) Except as provided in section 40 and this section, a foreign capital

depository and a director, executive officer, controlling person, or employeeof a foreign capital depository may not provide or authorize another personto provide a financial record to an officer, employee, or agent of a state orlocal agency.

(2) This section does not preclude a foreign capital depository, in itsdiscretion, from initiating contact with and disclosing a relevant financialrecord to a supervisory agency concerning a suspected violation of state orfederal law if the depository reasonably believes that a violation of law hasbeen committed. Conviction of or admission by a customer of a crime isconclusive on the issue of the reasonable belief of the depository.

Section 33. [Disclosure of Record to Private Individual Prohibited �Exceptions.]

(1) Except as provided in section 40 and this section, a foreign capitaldepository and a director, executive officer, controlling person, or employeeof a foreign capital depository may not provide or authorize another personto provide a financial record to an individual who is not an officer, em-ployee, or agent of a state or local agency acting pursuant to state law orlocal ordinance or to an officer, employee, or agent of the United Statesacting pursuant to federal law.

(2) This section does not preclude a foreign capital depository, in itsdiscretion, from initiating contact with and disclosing a relevant financialrecord to an appropriate state, local, or federal agency concerning a sus-pected violation of state or federal law if the depository reasonably believesthat a violation of law has been committed. Conviction of or admission by acustomer of a crime is conclusive on the issue of the reasonable belief of thedepository.


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Section 34. [Customer Authorization � Form � Notice to Customer.](1) A director, executive officer, controlling person, or employee of aforeign capital depository may disclose or authorize another to disclose

a financial record and an officer, employee, or agent of a supervisory, state,or local agency may obtain a financial record if the customer to whom therecord relates has authorized disclosure of the record on a form provided bythe depository that:

(a) is signed and dated by the customer;(b) authorizes disclosure for a period set forth in the authorization

statement;(c) specifies the name of the person, supervisory agency, state agency,

or local agency to whom or to which disclosure is authorized and, if appli-cable, the statutory purpose for which the information is to be obtained;and

(d) identifies the financial record authorized to be disclosed.(2) A foreign capital depository may not require a customer authoriza-

tion to be signed by a customer as a condition of doing business with thedepository.

(3) A customer may revoke an authorization by written notice to theforeign capital depository. The notice must contain a copy of the authoriza-tion to which it relates or contain the information originally required in theauthorization to which it relates, must be signed and dated by the cus-tomer, and must contain a clear statement revoking the previous authori-zation.

(4) (a) A supervisory, state, or local agency obtaining a financial recordpursuant to a customer authorization shall notify the customer in writingof the receipt of the financial record within [thirty (30)] days of the agency�sreceipt of the financial record. However, by application to a judge of a courtof competent jurisdiction in the county in which the financial record is lo-cated and upon a showing of good cause to believe that disclosure wouldimpede the investigation, the notification requirements of this subsection(4)(a) may be extended for up to [two (2)] additional [thirty (30)] day peri-ods. Thereafter, by application to a court upon a showing of extreme neces-sity for nondisclosure, the notification requirements of this subsection (4)(a)may be extended for up to three additional [thirty (30)] day periods. At theend of that period or periods, the agency shall inform the customer that thecustomer has the right to make a written request as to the reason why theagency obtained the record. The notice must specify the financial recordthat was obtained and, if requested, the reason why the record was ob-tained.

(b) Whenever practicable, an application for an additional exten-sion of the notification time provided in subsection (4)(a) must be made tothe judge who granted the first extension of notification time. In decidingwhether to grant an extension of the notification time, the judge shall pro-


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vide the customer with prompt notification, consistent with the purpose ofsections 29 through 46.

Section 35. [Administrative Subpoena.](1) A director, executive officer, controlling person, or employee of a for-

eign capital depository may disclose or authorize another to disclose a fi-nancial record and an officer, employee, or agent of a supervisory, state, orlocal agency may obtain a financial record under section 31(1)(b) pursuantto an administrative subpoena otherwise authorized by law and served uponthe foreign capital depository only if:

(a) the person issuing the administrative subpoena has served acopy of the subpoena on the customer pursuant to [insert citation;]

(b) the subpoena includes the name of the agency in whose namethe subpoena is issued and the statutory purpose for which the record is tobe obtained; and

(c) [ten (10)] days have passed after service of the subpoena withoutthe foreign capital depository or the customer moving to quash the sub-poena.

(2) (a) The supervisory, state, or local agency issuing the administra-tive subpoena may not shorten or waive the requirements of subsection (1).However, the agency may petition a court of competent jurisdiction in thecounty in which the record is located, and the court, upon a showing of areasonable inference that a law enforceable by the petitioning agency hasbeen or is about to be violated, may order that service upon the customerpursuant to subsection (1)(a) or the [ten (10)] day period provided for insubsection (1)(c) be waived or shortened.

(b) For the purpose of this subsection (2), an �inference� is a deduc-tion that may reasonably be drawn by the [attorney general] or the [countyattorney] from facts relevant to the investigation.

(c) The petition may be presented to the court in person or by tele-phoned oral statement, which must be recorded and transcribed. In thecase of telephonic petition, the recording of the sworn oral statement andthe transcribed statement must be certified by the judge receiving it andmust be filed with the clerk of the court.

(3) Except as provided in subsection (2) and this subsection, a foreigncapital depository shall immediately notify a customer of the receipt of anadministrative subpoena for a financial record of that customer. A courtmay order a depository to withhold notification to a customer of the receiptof an administrative subpoena when the court issues an order pursuant tosubsection (2) and makes a finding that notice to the customer by the finan-cial institution would impede the investigation.

Section 36. [Search Warrants.]A director, executive officer, controlling person, or employee of a foreign


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capital depository may disclose or authorize another to disclose a financialrecord and an officer, employee, or agent of a supervisory, state, or localagency may obtain a financial record under section 31(1)(c) only if the of-ficer, employee, or agent obtains a search warrant pursuant to [insert cita-tion.] Examination of a financial record may occur as soon as the warrant isserved upon the foreign capital depository. A foreign capital depository shallnotify a customer of the receipt of a search warrant unless a court ordersthe depository to withhold notification to the customer upon a written find-ing that notice would impede the investigation.

Section 37. [Judicial Subpoena.](1) A director, executive officer, controlling person, or employee of a for-

eign capital depository may disclose or authorize another to disclose a fi-nancial record and an officer, employee, or agent of a supervisory, state, orlocal agency may obtain a financial record under section 31(1)(d) pursuantto a judicial subpoena only if one of the following has occurred:

(a) the subpoena is issued as otherwise authorized by law and servedin compliance with [insert citation] and the requirements of subsections(1)(b), (1)(c), or (1)(d) have been met. In the event that actual service on thecustomer is not prohibited but has not been made prior to the time thefinancial record is required to be produced in response to the subpoena, thecourt shall, prior to turning over a record to the agency and upon goodcause shown, make a finding that due diligence has been exercised by theagency in its attempt to effect service upon the customer.

(b) [Ten (10)] days have passed after service of the subpoena on thecustomer and the depository without the customer or the depository hav-ing moved to quash the subpoena;

(c) the subpoena has been served upon the customer and the de-pository and a judge in a judicial proceeding to which the customer or thedepository is a party rules that the subpoena should not be quashed. Thissubsection (1)(c) is not intended to preclude appellate remedies that may beavailable under existing law.

(d) the subpoena has been served upon the depository and a courtorders that service of the subpoena upon the customer be delayed in accor-dance with this section. Service may be delayed for up to [thirty (30)] daysfrom the date of issuance of the judicial subpoena after the court makes afinding upon a written showing that service upon the customer would im-pede the investigation. The withholding of notification may be extended foradditional [thirty (30)] day period if a court makes a finding upon a writtenshowing, at the time of each extension, that service upon the customer wouldimpede the investigation. Whenever practicable, an application for an ex-tension of time must be made to the judge who issued the judicial sub-poena. In deciding whether to grant an extension of the notification time,the judge shall endeavor to provide the customer with prompt notification,


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consistent with the purpose of sections 29 through 46.(2) If testimony is to be taken concerning a financial record or if a finan-

cial record is to be produced before a court, the [ten (10)] day period pro-vided for in subsection (1)(b) may be shortened by the court upon a showingof good cause. The court shall direct that all reasonable measures be takento notify the customer within the shortened time period. The motion toquash the subpoena must be made, whenever practicable, in the judicialproceeding pending before the court.

(3) (a) A grand jury, upon resolution adopted by a majority of its mem-bers, may obtain financial records pursuant to a judicial subpoena basedupon a written showing to a judge that there exists a reasonable inferencethat a crime within the jurisdiction of the grand jury has been committedand that the financial record sought is reasonably necessary to the jury�sinvestigation of that crime. The judicial subpoena must be personally signedand issued by a judge in accordance with [insert citatio ] and must other-wise comply with the requirements of this section.

(b) For the purpose of this subsection (3), an �inference� is a deduc-tion that may be reasonably drawn by the grand jury from facts relevant tothe investigation.

(4) A showing required to be made pursuant to this section, as well asthe court record of any finding made pursuant to the showing, must besealed until [one (1)] person named in the indictment to which the showingrelated has been arrested or until the end of the term of the grand jury if noindictment to which the showing relates has been returned. However, acourt may unseal the showing and the court record relating to the showingon a written showing of good cause.

Section 38. [Grounds for Quashing Subpoena � Duty of Depository.](1) A customer or a foreign capital depository has [ten (10)] days after

service of an administrative or judicial subpoena upon either of them to filea motion to quash the subpoena before the administrative agency issuingthe subpoena or a court with jurisdiction over the subpoena. The motion toquash may be based upon [one (1)] or more of the following grounds:

(a) the financial record sought is incompetent, irrelevant, or imma-terial for the purpose for which it is sought;

(b) the release of the financial record would cause an unreasonableburden or hardship under the circumstances upon the customer or the de-pository;

(c) the supervisory, state, or local agency or other person seekingthe financial record is attempting to harass the customer or the depository;

(d) there is no merit in the purpose for which the financial record issought; or

(e) the supervisory, state, or local agency or other person has notmade a reasonable effort to first obtain the financial record or the equiva-


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lent of the record from some other source other than the depository, if someother source exists.

(2) A foreign capital depository shall move on the basis of all appropri-ate grounds, including those set forth in subsection (1), to quash an admin-istrative or judicial subpoena if the customer or the agent of the customerto whom the record relates has not received actual notice of the subpoena.If a foreign capital depository cannot determine from the customer or thecustomer�s agent whether the customer or the agent has received actualnotice of the subpoena, the depository shall move to quash the subpoenaunless the customer and the depository have agreed in writing to the con-trary.

(3) Failure of the customer or the depository to file a motion to quashthe subpoena before the time established for the return of the subpoenaconstitutes a waiver of the right to object to the release or disclosure of thefinancial record.

(4) During the period for the filing of a motion to quash and continuinguntil a ruling is made upon a motion to quash, the depository shall, unlessprohibited by the court, make available to its customer a copy of the sub-poenaed financial record and shall preserve the original record withoutalteration.

(5) If a depository or a customer files a motion to quash an administra-tive or judicial subpoena issued pursuant to section 35 or 37, the proceed-ing must be afforded priority on the calendar of the agency or the court.

(6) A depository may charge a customer a fee for the reasonable cost ofrepresenting the interests of the customer pursuant to this section.

Section 39. [Limitations on Use of Financial Record.](1) The original or a copy of a financial record obtained by a state or

local agency or another person pursuant to sections 29 through 46 may notbe used or retained in any form for a purpose other than the statutorypurpose for which the record was originally obtained. The statutory pur-pose must be determined with reference to the statute, rule, or other lawsought to be enforced in the proceeding for which the record was obtained.

(2) A state or local agency may not provide a financial record obtainedpursuant to sections 29 through 46 to another state or local agency unlessthe other agency has independently obtained authorization to receive thefinancial record pursuant to sections 29 through 46. This subsection doesnot prohibit:

(a) the transfer by one supervisory agency that obtained a financialrecord pursuant to section 40(1)(c) to another supervisory agency or super-visory agencies if that transfer otherwise complies with subsection (1); or

(b) the transfer of a financial record obtained pursuant to section 36by one criminal justice agency to another criminal justice agency in accor-dance with [insert citation.]


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(3) A supervisory, state, or local agency or a court obtaining a financialrecord by administrative subpoena, search warrant, or judicial subpoenashall, at the request of a customer or foreign capital depository, provide forthe in-camera review of the record to determine whether the record con-tains material that is not expected to be the subject of the investigation,inquiry, or proceeding. The supervisory, state, or local agency or the courtshall liberally grant requests for in-camera hearings, protective orders, andother appropriate processes to protect the confidential nature of a financialrecord. The agency or court may permit public disclosure of a financial recordonly if it finds that disclosure is necessary for the fair resolution of an issuebefore it.

(4) Documents of a supervisory, state, or local agency and documentsproduced in court containing a financial record must be sealed by the agencyor court at the conclusion of the proceedings in order to prevent access tothe record and may be opened only for good cause shown.

Section 40. [ Authorized Disclosures of Financial Records.](1) Sections 29 through 46 do not prohibit:

(a) disclosure by a foreign capital depository of a financial recordthat is not identified with or identifiable as being derived from a financialrecord of a particular customer by name;

(b) disclosure by a foreign capital depository to a department, agency,office, bureau, or commission of the United States of a financial record whenrequired by federal statute or regulation or when required pursuant to theterms of a treaty or other agreement between the United States and thegovernment of a foreign country;

(c) disclosure of a financial record by a foreign capital depository toa supervisory agency when the disclosure is conducted in response to anexercise of the agency�s supervisory function. The scope of an agency�s su-pervisory function must be determined by reference to statutes grantingauthority to examine, audit, or require reports concerning a financial recordor foreign capital depository.

(2) Whenever the request, order, demand, or other requirement for dis-closure of a financial record prohibits the release to a customer of the factsof a disclosure, a foreign capital depository may not disclose either the factor nature of the request, order, demand, or other requirement for disclosureor the depository�s response to a customer or to any other person, except theofficers and employees of the depository who are involved in responding tothe request and to attorneys, auditors, and regulatory authorities who havea need to know in order to perform their duties and except as disclosuremay be required by legal process.

Section 41. [Fee Paid to Foreign Capital Depository for Disclosure ofRecord.]


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Except for a supervisory agency, a state agency or local agency obtain-ing a financial record in accordance with section 34, 35, 36, or 37 shall payto the depository providing the financial record a reasonable fee commen-surate with the depository�s costs of searching for, assembling, copying, la-beling, and transporting the financial record in question.

Section 42. [Confidentiality � Supervisory Agency Personnel � Penaltyfor Violation.]

(1) Except as required by judicial order or as otherwise provided bysection 13 and sections 29 through 46, an employee of a supervisory agencywho conducts an examination, investigation, or audit of a depository or whoreceives a report or another type of information about a depository fromanother employee of a supervisory agency may not disclose the identity of acustomer to another person who is not officially associated with an exami-nation, investigation, or audit of a depository.

(2) A person who knowingly violates subsection (1) must be removedfrom office and is guilty of a felony. Upon conviction, the person shall bepunished by a fine of [ten thousand (10,000)] dollars, by imprisonment inthe state prison for not more than [ten (10)] years, or by both fine andimprisonment.

Section 43. [Civil Liability for Wrongful Disclosure of Financial Record� Damages and Injunctive Relief.]

(1) A state or local agency that requests or receives a financial record inviolation of sections 29 through 46 is liable to the customer to whom therecord relates in the amount of damages provided in subsection (4).

(2) A person who is not employed by a supervisory, state, or local agencyor by a foreign capital depository and who requests or receives a financialrecord in violation of sections 29 through 46 is liable to the customer towhom the record relates in the amount of damages provided in subsection(4).

(3) A director, executive officer, controlling person, or employee of a for-eign capital depository who discloses or authorizes another to disclose afinancial record in violation of sections 29 through 46 is liable to the cus-tomer to whom the record relates in an amount of damages provided insubsection (4).

(4) Damages are equal to the sum of the following:(a) [ten thousand (10,000)] dollars, without regard to the type or

number of records involved;(b) actual damages sustained by the customer; and(c) costs incurred in the action to successfully enforce liability un-

der this section, together with reasonable attorney fees.(5) A foreign capital depository may exercise remedies provided in this

section on behalf of a customer and in connection with the exercise of those


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remedies may act as the real party in interest. Damages recovered by thedepository must be deposited in an account of the customer, but a deposi-tory may retain amounts recovered for its costs and reasonable attorneyfees.

(6) The remedies provided in this section are not exclusive.(7) In addition to any other remedy allowed by law, a customer may

bring an action for injunctive relief under [insert citation,] to enforce theprovisions of sections 29 through 46.

Section 44. [Unlawful Disclosure of Financial Record � Criminal Pen-alties.]

(1) A director, executive officer, controlling person, or employee of a for-eign capital depository who discloses a financial record in violation of sec-tions 29 through 46 is guilty of a misdemeanor and upon conviction shall bepunished by a fine of not more than [five thousand (5,000) dollars, by im-prisonment in the state prison for not more than [one (1)] year, or by bothfine and imprisonment. This subsection imposes absolute liability.

(2) A director, executive officer, controlling person, or employee of a for-eign capital depository or an officer, employee, or agent of a state or localagency who knowingly discloses a financial record in violation of sections29 through 46 is guilty of a felony and upon conviction shall be punished bya fine of [ten thousand (10,000)] dollars, by imprisonment in the state prisonfor not more than [ten (10)] years, or by both fine and imprisonment.

Section 45. [Customer Waiver Invalid.] A waiver by a customer of a rightthat is not authorized to be waived by sections 29 through 46 is not validwhether granted with or without consideration.

Section 46. [Limitation of Actions.] An action to enforce a provision ofsections 29 through 46 must be commenced within [three (3)] years afterthe date on which the violation occurred.

Section 47. [Asset Protection � Purpose and Perspective.](1) The [Legislature] understands that asset protection includes the

ability to minimize or avoid both the potential financial impact and loss ofprivacy resulting from lawsuits. The [Legislature] also recognizes that as-set protection is a vital component of a foreign capital depository, as definedin section 3, that is designed to serve the interests of high net worth indi-viduals who are not U.S. citizens and do not reside in the United States.

(2) The [Legislature] further acknowledges that foreign judgments ren-dered in a foreign state are, unlike judgments rendered in other states ofthe union under the United States Constitution, not entitled by state courtsto conclusive full faith and credit under common law and that the principleof comity that encourages one country to extend legal recognition to the


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judicial acts of another country does not apply to the relations between thisstate and a foreign country.

(3) [Insert citation,] signifies a departure from comity because it codi-fies the principles of comity but with certain exceptions and modifications.Sections 47 through 55 of this Act enact a further departure from comitythat is intended to uphold the state�s interest in extending to a customer ofa foreign capital depository the maximum amount of privacy possible withinprudential limits as well as state and federal law.

(4) Sections 47 through 55 are not intended to circumscribe or conflictwith the provisions of [insert citation,] except in a case in which a foreignjudgment has been obtained against the customer of a foreign capital de-pository.

Section 48. [Definitions.] Unless the context requires otherwise, in sec-tions 47 through 55, the following definitions apply:

(1) �Comity� means the recognition of judicial acts that one country ex-tends to another as a matter of custom, convenience, and expediency.

(2) �Foreign judgment� has the same meaning as defined in [insert cita-tion.]

(3) �Foreign state� has the same meaning as defined in [insert citation.]

Section 49. [Defense Against Enforcement of Foreign Judgments � De-pository Obligations.] A foreign capital depository shall, unless relieved ofthe responsibility by a waiver signed by a depository customer, provide acustomer with competent legal counsel and defense against:

(1) the recognition in this state of a foreign judgment rendered in aforeign state as provided in [insert citation;] and

(2) the execution of a foreign judgment in this state pursuant to [insertcitation,] but only to the extent that the execution would affect the customer�sassets in the depository.

Section 50. [Filing Fee.] A person seeking recognition of a foreign judg-ment rendered in a foreign state against a customer of the foreign capitaldepository shall pay a filing fee of [two-thousand five hundred (2,500)] dol-lars to the clerk of the court in which the judgment is filed.

Section 51. [Policy Statement.] For the purposes of sections 47 through55, the [Legislature] declares that the recognition of a foreign judgmentpursuant to [insert citation,] and the execution of a foreign judgment againsta customer of a foreign capital depository is repugnant to the public policyof the state if either would:

(1) facilitate the arbitrary or unlawful interference with an individual�sprivacy in contravention of international law;

(2) undermine the individual right of privacy and the right to private


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property provided for in the state constitution and state law;(3) stimulate or engender lawsuits motivated by greed or pecuniary

speculation and lacking a good faith argument or other legally sound pur-pose; or

(4) facilitate civil prosecution arising from class or ethnic hatred andnurtured by a corrupt legal system; and

(5) threaten the financial stability of the depository or the state by dis-couraging foreign depositors and investors from becoming customers or byencouraging customers to withdraw their capital from the depository.

Section 52. [Burden of Proof � Financial Liabilities.](1) A person seeking recognition of a foreign judgment pursuant to [in-

sert citation] bears the burden of proving that:(a) the judgment was rendered under a system that provides im-

partial tribunals or procedures that are compatible with the requirementsof due process of law;

(b) the foreign court had personal jurisdiction over the customerwhen the judgment was rendered; and

(c) the foreign court had jurisdiction over the subject matter.(2) The customer or the foreign capital depository acting on behalf of a

customer bears the burden of proving that any one of the grounds for non-recognition provided for in [insert citation] exist.

(3) If the court finds that the person seeking recognition of the foreignjudgment has failed to prove the judgment valid in accordance with subsec-tion (1) or if the customer or the depository succeeds pursuant to subsection(2), the court may not recognize the foreign judgment.

(4) If the person seeking recognition of a judgment under [insert cita-tion] is unsuccessful in obtaining recognition of the judgment, that personshall pay the court costs and attorney fees for the parties opposing recogni-tion or, if the customer has waived the depository�s obligation provided forin section 49, for the customer.

Section 53. [Damages � In-Camera Hearing.](1) The court in which recognition of a foreign judgment is sought may

award damages against the person seeking recognition of a foreign judg-ment to compensate a customer for the customer�s loss of privacy.

(2) The amount of the damages awarded pursuant to subsection (1)must bear a reasonable relationship to the person�s ability to pay and maynot exceed [one million (1,000,000)] dollars.

(3) Any part of a hearing necessary to determine the rights and obliga-tions of the parties pursuant to sections 47 through 55 and part 6 may beheld in camera to protect the privacy of any of the parties.

Section 54. [Contingency Fee Arrangements Prohibited.]


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A person seeking recognition of a foreign judgment against a customerof a foreign capital depository may not engage legal counsel on a contin-gency fee basis for the purpose of attaining recognition of the same foreignjudgment.

Section 55. [Nonrecognition � Procedures to Protect Privacy.](1) The court shall, at the request of a customer or a foreign capital

depository, provide for an in-camera review of the pertinent documents toprotect the confidential nature of financial records.

(2) The court may permit public disclosure of a financial record or pro-ceedings closed pursuant to subsection (1) only if it finds that disclosure isnecessary for the fair resolution of an issue before it.

(3) Documents produced in court containing a financial record must besealed by the court at the conclusion of the proceedings to prevent access tothe record and may be opened only for good cause shown.

Section 56. [State Revenue from Depository � Purpose and Preference.](1) The Legislature recognizes that revenue gains to the state and the

possibility of subsequent tax reduction for state taxpayers are among themost significant reasons for establishing a statutory framework for the for-eign capital depository, as defined in section 3, and that a relatively steady,predictable flow of revenue is preferable to a volatile one. The Legislaturealso acknowledges that the depository is subject to competitive pressuresin the international financial services market. It is therefore in the state�sinterest to balance revenue expectations with incentives that will enhancethe commercial attractiveness and viability of a depository.

(2) The Legislature recognizes the hazards of fortune that may be suf-fered by customers of a depository who are citizens or residents of countrieswith unstable or repressive governments and recognizes that capital in adepository may be abandoned as a consequence of a customer�s disappear-ance or untimely death. It is in the state�s interest to provide a decent inter-val of time before determining that capital is abandoned and, in keepingwith subsection (1), to allow a depository to charge a reasonable fee for themaintenance of the abandoned capital prior to its escheatment to the state.

Section 57. [Tax Status � Exemption Guarantees.](1) A foreign capital depository is exempt from the corporation license

tax as provided in [insert citation,] until [October 1, 2012.] (2) A transaction between the depository and a customer that involves

tangible personal property, as defined in section 3, is exempt from all formsof tax.

Section 58. [State Revenue � Assessment � Collection � Distribution.](1) A foreign capital depository shall pay to the [department] on [June


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15 and December 15] of each year a fee that is equal to [three-quarters ofone (0.75)] percent of the total value of assets on deposit or in a safe depositbox. The total annual rate of assessment is [one-and-a-half (1.5)] percent.

(2) The basis of the value ascribed to each asset is:(a) the U.S. dollar exchange value of the currency on deposit on the

date of assessment;(b) the spot market price of the [platinum,] [palladium,] [gold,] or

[silver] held in [precious metals] accounts, as defined in section 26, as pub-lished in The Wall Street Journal on the date of assessment; or

(c) the market value of other tangible personal property held in safedeposit boxes or other accounts at the time of the assessment, as deter-mined by the depository using a method approved by the [department.]The depository shall submit to the [department] within [sixty (60)] days ofthe appraisal a report that documents the method and calculations of theappraisal.

(3) The semiannual assessment fee must be deposited into the [generalfund.]

Section 59. [Revenue Audits � Charges.](1) The [department] shall conduct an annual audit of a foreign capital

depository to verify that internal financial records of the depository complywith state law and regulations pertaining to the depository and that feesowed to the state have been properly calculated and paid on time.

(2) A depository shall pay to the [department] the cost of an annualaudit provided for in subsection (1).

(3) The [department] may charge the depository up to [four hundred(400)] dollars a day for each auditor involved in the conduct of an audit.

Section 60. [Deficiency Assessment � Notice � Penalty and Interest.](1) If the [department] determines through an audit of a foreign capital

depository that the amount collected pursuant to section 59 is less than theamount owed by the depository, the [department] shall send by certifiedmail to the depository a notice of the deficiency and require payment of theamount owed plus a [ten (10)] percent penalty within [sixty (60)] days ofthe depository�s receipt of the notice.

(2) The depository must bear the interest charge on any deficiency as-sessment issued by the [department] in accordance with subsection (1).The rate of interest charged to the depository may not exceed [twelve (12)]percent a year.

Section 61. [Right of Appeal.]A foreign capital depository that receives a notice of deficiency assess-

ment may appeal the amount of the fee, penalty, or interest charged inaccordance with [insert citation.]


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Section 62. [Limitation on Penalty and Interest.]An amount of penalty or interest owed by the depository pursuant to

section 60 may not be assessed or collected with respect to the year forwhich a semiannual fee is assessed unless the notice of the additional amountowed is mailed within [five (5)] years from the date the fee was paid.

Section 63. [Action by Attorney General.]An action may be brought by the [attorney general] in the name of the

state at the request of the [department] to recover the amount of any fees,penalties, and interest due under sections 58 through 61.

Section 64. [Abandoned Capital � Disposition � Escheatment.](1) A foreign capital depository, as defined in section 3, shall presume

that capital on deposit in a depository account is abandoned in accordancewith the provisions of [insert citation.]

(2) A depository shall dispose of the abandoned capital in the mannerprovided for in this chapter, except that:

(a) a notice of the property presumed abandoned may not be pub-lished as prescribed in [insert citation;]

(b) the record of deposit required under [insert citation] may not bemade available for public inspection; and

(c) all money received by the [Department of Revenue] as a conse-quence of the abandonment of capital in a depository must be deposited inthe [general fund.]

(3) A foreign capital depository may deduct from property that is pre-sumed to be abandoned a charge imposed by reason of the owner�s failureto claim the property within a specified time only if there is a valid andenforceable written contract between the depository and the owner underwhich the depository may impose the charge and if the depository regularlyimposes the charge, which is not regularly reversed or otherwise canceled.The amount of the deduction is limited to an amount that is not unconscio-nable.

Section 65. [Injunctions.]The [department] may institute and maintain in the name of the state

actions for injunctive relief as provided in [insert citation,] to:(1) enjoin a violation of sections 1 through 46, a rule adopted pursuant

to sections 1 through 46, the terms or conditions of a charter, or an order ofthe [department] or the [board;] or

(2) require compliance with sections 1 through 46, a rule adopted pur-suant to sections 1 through 46, the terms or conditions of a charter, or anorder of the [department] or the [board.]


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Section 66. [Civil Penalties.](1) Except for the penalties for wrongful disclosure provided for in sec-

tion 43, a person who violates a provision of sections 1 through 46, a ruleadopted under sections 1 through 46, the terms and conditions of a charteror an order of the [department] or the [board] is subject to a civil penaltynot to exceed [ten thousand (10,000)] for each day of violation. Each day ofviolation of sections 1 through 46, a rule adopted under sections 1 through46, the terms or conditions of a charter, or an order constitutes a separateviolation.

(2) The [department] may institute and maintain in the name of thestate any enforcement proceedings under this section. Upon request of the[department], the [attorney general] or the [county attorney] of the countywhere the violation occurred shall petition the [district court] to impose,assess, and recover the civil penalty.

(3) Action under this section does not bar:(a) enforcement of sections 1 through 46, rules adopted under sec-

tions 1 through 46, orders of the [department] or the [board,] or terms orconditions of a charter by injunction or other appropriate remedy; or

(b) action under section 67.

Section 67. [Criminal Penalties.](1) Except for the penalties for wrongful disclosure provided for in sec-

tion 44, a person who knowingly operates a foreign capital depository with-out a charter, in violation of the terms or conditions of a charter, or in viola-tion of sections 1 through 46, a rule adopted pursuant to sections 1 through46, or an order of the [department] or [board] or a person who knowinglymakes any false statements or representations in an application, report, orother document filed or maintained as required by sections 1 through 46 orrequired by rules adopted under sections 1 through 46 is subject to a finenot to exceed [ten thousand (10,000)] for each violation or imprisonmentnot to exceed [six (6)] months, or both. Each day of violation constitutes aseparate violation.

(2) A person convicted of a second or subsequent criminal violation issubject to a fine not to exceed [twenty thousand (20,000)] dollars for eachviolation or imprisonment not to exceed [one (1)] year, or both. Each day ofa violation constitutes a separate violation.

(3) Action under this section does not bar enforcement of sections 1through 46, rules adopted under sections 1 through 46, orders of the [de-partment] or the [board,] or terms or conditions of a charter by injunctionor other appropriate remedy.

Miscellaneous Modifications to State Banking Laws

Section 68. [Disposition of Money from Certain Designated License and


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Other Taxes.]The [state treasurer] shall deposit to the credit of the state [general

fund] in accordance with the provisions of [insert citation] all money re-ceived from the collection of fees based on the value of currency on depositand tangible personal property held for safekeeping by a foreign capitaldepository as provided in section 58 of this Act.

Section 69. [Organizations Subject to Tax.]A foreign capital depository chartered under the laws of this state is not

subject to the state corporation license tax provided for under [insert cita-tion] until [October 1, 2012.] For taxable years beginning on and after [Janu-ary 1, 1972,] this subsection is effective in accordance with Public Law 91-156, section 2 (12 U.S.C. 548).

Section 70. [Organizations Exempt from Tax � Unrelated Business In-come Not Exempt.]

(1) Except as provided in [insert citation,] there may not be taxed under[insert citation] any income received by any foreign capital depository char-tered under the provisions of sections 4, 8, and 9 of this Act.

Section 71. [Fees.] A person filing a foreign judgment against a customerof a foreign capital depository, as defined in this Act shall pay to the clerk ofcourt a fee of [two thousand five hundred (2,500)] dollars.

Section 72. [Uniformity of Interpretation.] Except for the provisions insections 47 through 55 of this Act pertaining to a customer of a foreigncapital depository, as defined in this Act, this part must be construed toeffectuate the general purpose to make uniform the law of those states thatenact it.

Section 73. [Organization and Incorporation � Articles of Incorpora-tion.]

(1) A person desiring to organize a banking corporation or a foreigncapital depository shall make and file articles of incorporation with the[department] and, upon approval by the [department,] may file the articleswith the [secretary of state] as provided in [insert citation.] The articles ofincorporation must set forth:

(a) the information required by [insert citation;](b) the name of the city or town and county in which the principal

office of the corporation or foreign capital depository is to be located;(c) the names and places of residence of the initial shareholders and

the number of shares subscribed by each;(d) the number of the board of directors and the names of those

agreed upon for the [first (1)] year; and


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(e) the purpose for which the banking corporation or foreign capitaldepository is formed, which may be set forth by the use of the general termsdefined in this Act, with reference to each line of business in which theproposed corporation or foreign capital depository desires to engage.

(2) In addition to provisions required in subsection (1), the articles ofincorporation may also contain provisions set forth in [insert citation.]

(3) A banking corporation or foreign capital depository may not adoptor use the name of any other banking corporation or association or foreigncapital depository, and the corporation name must comply with [insert cita-tion.]

(4) A banking corporation or a foreign capital depository may not beorganized or incorporated until the articles of incorporation have been sub-mitted to and have been approved by the [department] and until it hasobtained a certificate from the board authorizing the proposed corporationor foreign capital depository to transact the business specified in the ar-ticles of incorporation within this state.

(5) A banking corporation or a foreign capital depository may not amendor restate its articles of incorporation until its articles of amendment orarticles of restatement have been submitted to and have been approved bythe department and until it has obtained approval from the departmentauthorizing the proposed amendment or restatement.

(6) For banks organized before [October 1, 1993,] articles of agreementare considered articles of incorporation.

Section 74. [Safe Deposit Department.]A bank or a foreign capital depository may conduct a safe deposit de-

partment. The liability of any bank or foreign capital depository for thesafekeeping and protection of the contents of safety deposit boxes is deter-mined by the contract endorsed on the receipt delivered to the renter of abox at the time of the rental. However, the obligation of the bank or foreigncapital depository is limited to the exercise of ordinary diligence and care toprotect the contents of the box from loss or damage by fire, theft, or othercauses.

Section 75. [Bonding of Employees.](1) The board of directors of a bank or foreign capital depository shall

require bonding for all officers and employees of the bank or foreign capitaldepository whose duty includes the handling of money, notes, bonds, cred-its, and cash items and whose duties include bookkeeping or the making ofentries in relation to the business of the bank and its customers.

(2) The board of directors shall by order entered upon the minute booksof the board designate the officers and employees to be bonded and theamount of bonds to be given. Action as to the personnel, the amount ofbonds, and the surety company or sureties is subject to approval by the


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[department,] and the bonds must be in such a form as is provided or ap-proved by the [department.]

(3) The bonds must be approved by the president of the bank or thechief executive officer of the foreign capital depository, and the president�sor executive officer�s action must be reported to the board of directors.

(4) All bonds required by this section must be kept in the custody of thebank or foreign capital depository subject to inspection by examiners fromthe [department.] However, as far as possible, they may not be placed inthe custody of the officer or employee for whom the bond is given.

Section 76. [Persons Previously Convicted Under Banking Laws � Bankor Depository Employment.]

It is unlawful for a person who has been convicted of a violation of thebanking laws of any state or nation to accept employment in a bank or aforeign capital depository in this state without first stating the relevantfacts to the directors of the bank or foreign capital depository. A person whohas been convicted of a banking law violation may not be employed in abank or a foreign capital depository without the approval of the [depart-ment,] granted in writing after a full consideration of the facts.

Section 77. [Destruction of Bank Records.](1) Banks and foreign capital depositories are required to preserve or

keep their records of customer accounts for at least [eight (8)] years nextafter [January 1] of the year following the time of that the making of suchrecords; provided, however, that are made. However, records showing un-paid balances in favor of depositors of a bank or foreign capital depositorymay not be destroyed. Liability may not accrue against any a bank or de-pository destroying any such records (except records of which destruction isforbidden by this section) after the expiration of the time provided in thissection.

(2) The department shall adopt rules providing for retention schedulesfor bank records other than those records listed in subsection (1).

Section 78. [Dissolution and Disincorporation.]Commercial banks, savings banks, trust companies, investment compa-

nies, and foreign capital depositories may be dissolved in the manner pro-vided by the laws of this state applicable to the dissolution of other corpora-tions. However, a bank, trust company, or foreign capital depository may,upon a vote of [two-thirds (2/3)] of its stockholders at a special meetingcalled for that purpose in accordance with its bylaws, voluntarily quit busi-ness and liquidate upon the payment of its debts, exclusive of liability tostockholders, or upon agreement with all of its creditors to a plan of liquida-tion. A bank, trust company, or foreign capital depository that wishes tovoluntarily liquidate shall apply to the department for permission to liqui-


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date and, in addition to complying with the laws of this state governing theliquidation of corporations, shall comply in all respects with the require-ments or rules of the [department] governing voluntary dissolution. Theboard of directors of a bank, trust company, or foreign capital depositorywhose stockholders have voted to place it in voluntary liquidation shallappoint a liquidating agent to wind up the affairs of the bank, trust com-pany, or foreign capital depository. The liquidating agent, on authority ofthe board of directors, may execute deeds for the transfer of real propertyand do all things necessary to carry out the proper liquidation of the bank,trust company, or foreign capital depository. Nothing in this section pre-vents the department from taking charge at any time when in its opinionthe interest of creditors or stockholders is not being protected. The decisionof the [department] in these matters is controlling.





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Genetic Information Privacy

This Act declares genetic testing and information derived from genetictesting as confidential and privileged information. It says that such infor-mation may be released only to people who are tested or to people who arespecifically authorized in writing by law to receive the information.

The Act prohibits insurers from seeking information that is derived fromgenetic testing for use in conjunction with health or accident insurancepolicies. However, companies can use information from genetic testing ifthe people who have been tested voluntarily provide the companies withsuch information.

The law also sets guidelines for disclosing genetic test results and forrights of action by people whose results are inappropriately disclosed.

Submitted as:IllinoisPA 90-25 (HB 8)Enacted into law, 1997.



Section 1. [Short Title.] This Act may be cited as the �Genetic Informa-tion Privacy Act.�

Section 2. [Legislative Findings; Intent.] The [General Assembly] findsthat:

(1) The use of genetic testing can be valuable to an individual.(2) Despite existing laws, regulations, and professional standards which

require or promote voluntary and confidential use of genetic testing infor-mation, many members of the public are deterred from seeking genetictesting because of fear that test results will be disclosed without consent orbe used in a discriminatory manner.

(3) The public health will be served by facilitating voluntary and confi-dential nondiscriminatory use of genetic testing information.

Section 3. [Definitions.] As used in this Act:�Genetic testing� means a test of a person�s genes, gene products, or

chromosomes for abnormalities or deficiencies, including carrier status, that(i) are linked to physical or mental disorders or impairments, (ii) indicate asusceptibility to illness, disease, impairment, or other disorders, whetherphysical or mental, or (iii) demonstrate genetic or chromosomal damage

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due to environmental factors. Genetic testing does not include routine physi-cal measurements; chemical, blood and urine analyses that are widely ac-cepted and in use in clinical practice; tests for use of drugs; and tests for thepresence of the human immunodeficiency virus.

�Insurer� means (i) an entity that transacts an insurance business and(ii) a managed care plan.

�Managed care plan� means a plan that establishes, operates, or main-tains a network of health care providers that have entered into agreementswith the plan to provide health care services to enrollees where the planhas the ultimate and direct contractual obligation to the enrollee to ar-range for the provision of or pay for services through:

(1) organizational arrangements for ongoing quality assurance, uti-lization review programs, or dispute resolution; or

(2) financial incentives for people enrolled in the plan to use theparticipating providers and procedures covered by the plan.

A managed care plan may be established or operated by any entity in-cluding a licensed insurance company, hospital or medical service plan,health maintenance organization, limited health service organization, pre-ferred provider organization, third party administrator, or an employer oremployee organization.

Section 4. [Confidentiality of Genetic Information.](a) Except as otherwise provided in this Act, genetic testing and infor-

mation derived from genetic testing is confidential and privileged and maybe released only to the individual tested and to people specifically autho-rized, in writing in accordance with Section 8, by that individual to receivethe information. Except as otherwise provided in subsection (b) and in Sec-tion 8, this information shall not be admissible as evidence, nor discover-able in any action of any kind in any court, or before any tribunal, board,agency or person pursuant to [insert citation.] No liability shall attach toany hospital, physician, or other health care provider for compliance withthe provisions of this Act including a specific written release by the indi-vidual in accordance with this Act.

(b) When a biological sample is legally obtained by a peace officer foruse in a criminal investigation or prosecution, information derived fromgenetic testing of that sample may be disclosed for identification purposesto appropriate law enforcement authorities conducting the investigation orprosecution and may be used in accordance with [insert citation.] The infor-mation may be used for identification purposes during the course of theinvestigation or prosecution with respect to the individual tested withoutthe consent of the individual and shall be admissible as evidence in court.The information shall be confidential and may be disclosed only for pur-poses of criminal investigation or prosecution.

(c) If the subject of the information requested by law enforcement is

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found innocent of the offense or otherwise not criminally penalized, thenthe court records shall be expunged by the court within [thirty (30)] daysafter the final legal proceeding. The court shall notify the subject of theinformation of the expungement of the records in writing.

(d) Results of genetic testing that indicate that the individual tested isat the time of the test afflicted with a disease, whether or not currentlysymptomatic, are not subject to the confidentiality requirements of thisAct.

Section 5. [Use of Genetic Testing Information for Insurance Purposes.](a) An insurer may not seek information derived from genetic testing

for use in connection with a policy of accident and health insurance. Exceptas provided in subsection (b), an insurer that receives information derivedfrom genetic testing may not use the information for a nontherapeutic pur-pose as it relates to a policy of accident and health insurance.

(b) An insurer may consider the results of genetic testing in connectionwith a policy of accident and health insurance if the individual voluntarilysubmits the results and the results are favorable to the individual.

(c) An insurer that possesses information derived from genetic testingmay not release the information to a third party, except as specified in Sec-tion 8.

Section 6. [Tests to Determine Inherited Characteristics in Paternity Pro-ceedings.] Nothing in this Act shall be construed to affect or restrict in anyway the ordering of or use of results from deoxyribonucleic acid (DNA) test-ing or other tests to determine inherited characteristics by a court in ajudicial proceeding under [insert citation.]

Section 7. [Use of Genetic Testing Information by Employers.](a) An employer shall treat genetic testing information in such a man-

ner that is consistent with the requirements of federal law, including butnot limited to the Americans with Disabilities Act.

(b) An employer may release genetic testing information only in accor-dance with Section 8.

Section 8. [Disclosure of Person Tested and Test Results.](a) No person may disclose or be compelled to disclose the identity of

any person upon whom a genetic test is performed or the results of a ge-netic test in a manner that permits identification of the subject of the test,except to the following people:

(1) The subject of the test or the subject�s legally authorized repre-sentative. This paragraph does not create a duty or obligation under whicha health care provider must notify the subject�s spouse or legal guardian ofthe test results, and no such duty or obligation shall be implied. No civil


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liability or criminal sanction under this Act shall be imposed for any disclo-sure or nondisclosure of a test result to a spouse by a physician acting ingood faith under this paragraph. For the purpose of any proceedings, civilor criminal, the good faith of any physician acting under this paragraphshall be presumed.

(2) Any person designated in a specific written legally effective re-lease of the test results executed by the subject of the test or the subject�slegally authorized representative.

(3) An authorized agent or employee of a health facility or healthcare provider if the health facility or health care provider itself is autho-rized to obtain the test results, the agent or employee provides patient care,and the agent or employee has a need to know the information in order toconduct the tests or provide care or treatment.

(4) A health facility or health care provider that procures, processes,distributes, or uses:

(A) a human body part from a deceased person with respect tomedical information regarding that person; or

(B) semen provided prior to the effective date of this Act for thepurpose of artificial insemination.

(5) Health facility staff committees for the purposes of conductingprogram monitoring, program evaluation, or service reviews.

(6) In the case of a minor under [eighteen (18)] years old, the healthcare provider who ordered the test shall make a reasonable effort to notifythe minor�s parent or legal guardian if, in the professional judgment of thehealth care provider, notification would be in the best interest of the minorand the health care provider has first sought unsuccessfully to persuadethe minor to notify the parent or legal guardian or after a reasonable timeafter the minor has agreed to notify the parent or legal guardian, the healthcare provider has reason to believe that the minor has not made the notifi-cation. This paragraph shall not create a duty or obligation under which ahealth care provider must notify the minor�s parent or legal guardian of thetest results, nor shall a duty or obligation be implied. No civil liability orcriminal sanction under this Act shall be imposed for any notification ornon-notification of a minor�s test result by a health care provider acting ingood faith under this paragraph. For the purpose of any proceeding, civil orcriminal, the good faith of any health care provider acting under this para-graph shall be presumed.

(7) All information and records held by a state agency or local healthauthority pertaining to genetic information shall be strictly confidentialand exempt from copying and inspection under the Freedom of InformationAct. The information and records shall not be released or made public bythe state agency or local health authority and shall not be admissible asevidence nor discoverable in any action of any kind in any court or beforeany tribunal, board, agency, or person and shall be treated in the same


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manner as the information and those records subject to [insert citation,]except under the following circumstances:

(A) when made with the written consent of all people to whomthe information pertains;

(B) when authorized by [insert citation;](C) when made for the sole purpose of implementing the [Phe-

nylketonuria Testing Act] and rules: or(D) when made under the authorization of the [insert citation;]

Disclosure shall be limited to those who have a need to know the infor-mation, and no additional disclosures may be made.

Section 9. [Disclosure by Person to Whom Results have been Disclosed.]No person to whom the results of a test have been disclosed may disclosethe test results to another person except as authorized by Section 8.

Section 10. [Right of Action.](a) Any person aggrieved by a violation of this Act shall have a right of

action in the [circuit court] and may recover for each violation:(1) Against any person who negligently violates a provision of this

Act, liquidated damages of [one thousand (1,000)] dollars or actual dam-ages, whichever is greater.

(2) Against any person who intentionally or recklessly violates aprovision of this Act, liquidated damages of [five thousand (5,000)] dollarsor actual damages, whichever is greater.

(3) Reasonable attorney fees.(4) Such other relief, including an injunction, as a court may deem

appropriate.(b) [Insert citation] shall provide the exclusive remedy for violations of

Section 8 by insurers.

Section 11. [Damages or Other Relief.] Nothing in this Act limits theright of the subject of a test to recover damages or other relief under anyother applicable law.

Section 12. [Use of Information Derived from Genetic Testing.] Begin-ning [date,] an insurer must comply with the provisions of this Act in con-nection with the amendment, delivery, issuance, or renewal of, or claims foror denial of coverage under, an individual or group policy of accident andhealth insurance.





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Grandparents as Foster Parents

This Act creates the �Grandparents as Foster Parents Program� withinthe state Department of Social Services. Grandparents who are 55 years ofage or older who are the legal guardians of a grandchild placed in theircare, who meet needs criteria established by the Division of Family Ser-vices and in accordance with state appropriations, and who participate inparenting skills training are eligible for state-funded assistance under thewelfare-reform appropriations. Such assistance will provide reimbursementbased on the current foster care payment schedule, support services includ-ing child care and transportation assistance, and Medicaid coverage for thegrandchild. The program will also offer foster parent training, health screen-ings including childhood immunizations, and continuing counseling for thechild and grandparent.

Submitted as:MissouriHB 509Enacted into law, 1997.



Section 1. [Short Title.] This Act may be cited as an �An Act to Establisha Grandparents as Foster Parents Program.�

Section 2. [Program Established.](a) The [Division of Family Services] in the [Department of Social Ser-

vices] shall establish the [�Grandparents as Foster Parents Program.�](b) A grandparent shall be eligible to participate in the [Grandparents

as Foster Parents Program] if such grandparent:(1) Is [fifty-five (55)] years of age or older;(2) Is the legal guardian of a grandchild placed in such grandparent�s

custody; and(3) Participates in the training available through the [division] pur-

suant to subsection (c) of this section.(c) The [Grandparents as Foster Parents Program] shall:

(1) Provide reimbursement based on the current foster care pay-ment schedule to eligible grandparents, as defined in subsection (b) of thissection, for the care of a grandchild;

(2) Establish program components, including, but not limited to,participation in foster parent training, parenting skills training, childhood


immunizations and other similar health screenings;(3) Provide continuing counseling for the child and grandparent;(4) Provide support services, including, but not limited to, respite

care, child care and transportation assistance; and(5) Provide Medicaid services to such child.(6) Meets a needs criteria established by the [Division of Family

Services] and in accordance with appropriations granted by the [GeneralAssembly.]




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Gross Sexual Imposition With A ControlledSubstance

This Act increases criminal penalties for gross sexual imposition andrape when the offender administers a controlled substance to the victimsurreptitiously or by force, threat of force, or deception. Such offenses arecommonly referred to as �date rape.� The Act makes sexual battery a third-degree felony in all circumstances and clarifies that courts must impose amandatory prison term upon an offender who has been convicted of orpleaded guilty to rape.

Submitted as:OhioHB 32Enacted into law, 1997.



Section 1. [Short Title.] This Act may be cited as an �Act to IncreasePenalties for Gross Sexual Imposition.�

Section 2. [Definitions.](A) �Sexual conduct� means vaginal intercourse between a male and

female; anal intercourse, fellatio, and cunnilingus between persons regard-less of sex; and, without privilege to do so, the insertion, however slight, ofany part of the body or any instrument, apparatus, or other object into thevaginal or anal cavity of another. Penetration, however slight, is sufficientto complete vaginal or anal intercourse.

(B) �Sexual contact� means any touching of an erogenous zone of an-other, including without limitation the thigh, genitals, buttock, pubic re-gion, or, if the person is a female, a breast, for the purpose of sexually arous-ing or gratifying either person.

(C) �Sexual activity� means sexual conduct or sexual contact, or both.(D) �Prostitute� means a male or female who promiscuously engages in

sexual activity for hire, regardless of whether the hire is paid to the prosti-tute or to another.

(E) Any material or performance is �harmful to juveniles,� if it is offen-sive to prevailing standards in the adult community with respect to what issuitable for juveniles, and if any of the following apply:

(1) It tends to appeal to the prurient interest of juveniles;

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(2) It contains a display, description, or representation of sexual ac-tivity, masturbation, sexual excitement, or nudity;

(3) It contains a display, description, or representation of bestialityor extreme or bizarre violence, cruelty, or brutality;

(4) It contains a display, description, or representation of humanbodily functions of elimination;

(5) It makes repeated use of foul language;(6) It contains a display, description, or representation in lurid de-

tail of the violent physical torture, dismemberment, destruction, or death ofa human being;

(7) It contains a display, description, or representation of criminalactivity that tends to glorify or glamorize the activity, and that, with re-spect to juveniles, has a dominant tendency to corrupt.

(F) When considered as a whole, and judged with reference to ordinaryadults or, if it is designed for sexual deviates or other specially susceptiblegroup, judged with reference to that group, any material or performance is�obscene� if any of the following apply:

(1) Its dominant appeal is to prurient interest;(2) Its dominant tendency is to arouse lust by displaying or depict-

ing sexual activity, masturbation, sexual excitement, or nudity in a waythat tends to represent human beings as mere objects of sexual appetite;

(3) Its dominant tendency is to arouse lust by displaying or depict-ing bestiality or extreme or bizarre violence, cruelty, or brutality;

(4) Its dominant tendency is to appeal to scatological interest bydisplaying or depicting human bodily functions of elimination in a way thatinspires disgust or revulsion in persons with ordinary sensibilities, withoutserving any genuine scientific, educational, sociological, moral, or artisticpurpose;

(5) It contains a series of displays or descriptions of sexual activity,masturbation, sexual excitement, nudity, bestiality, extreme or bizarre vio-lence, cruelty, or brutality, or human bodily functions of elimination, thecumulative effect of which is a dominant tendency to appeal to prurient orscatological interest, when the appeal to such an interest is primarily for itsown sake or for commercial exploitation, rather than primarily for a genu-ine scientific, educational, sociological, moral, or artistic purpose.

(G) �Sexual excitement� means the condition of human male or femalegenitals when in a state of sexual stimulation or arousal.

(H) �Nudity� means the showing, representation, or depiction of humanmale or female genitals, pubic area, or buttocks with less than a full, opaquecovering, or of a female breast with less than a full, opaque covering of anyportion thereof below the top of the nipple, or of covered male genitals in adiscernibly turgid state.

(I) �Juvenile� means an unmarried person under the age of eighteen.(J) �Material� means any book, magazine, newspaper, pamphlet, poster,

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print, picture, figure, image, description, motion picture film, phonographicrecord, or tape, or other tangible thing capable of arousing interest throughsight, sound, or touch.

(K) �Performance� means any motion picture, preview, trailer, play, show,skit, dance, or other exhibition performed before an audience.

(L) �Spouse� means a person married to an offender at the time of analleged offense, except that such person shall not be considered the spousewhen any of the following apply:

(1) When the parties have entered into a written separation agree-ment authorized by [insert citation;]

(2) During the pendency of an action between the parties for annul-ment, divorce, dissolution of marriage, or legal separation;

(3) In the case of an action for legal separation, after the effectivedate of the judgment for legal separation.

(M) �Minor� means a person under the age of [eighteen (18).]

Section 3. [Sexual Conduct - Prohibitions and Consent.](A) (1) No person shall engage in sexual conduct with another who is

not the spouse of the offender or who is the spouse of the offender but isliving separate and apart from the offender, when any of the following ap-plies:

(a) For the purpose of preventing resistance, the offender sub-stantially impairs the other person�s judgment or control by administeringany drug or intoxicant, or controlled substance to the other person surrep-titiously, or by force, threat of force, or deception.

(b) The other person is less than [thirteen (13)] years of age,whether or not the offender knows the age of the other person.

(c) The other person�s ability to resist or consent is substan-tially impaired because of a mental or physical condition or because of ad-vanced age, and the offender knows or has reasonable cause to believe thatthe other person�s ability to resist or consent is substantially impaired be-cause of a mental or physical condition or because of advanced age.

(2) No person shall engage in sexual conduct with another when theoffender purposely compels the other person to submit by force or threat offorce.

(B) Whoever violates this section is guilty of rape, a felony of the [first]degree. If the offender under division (A)(1)(a) of this section substantiallyimpairs the other person�s judgment or control by administering any con-trolled substance described in [insert citation] to the other person surrepti-tiously or by force, threat of force, or deception, the prison term imposedupon the offender shall be [one (1)] of the prison terms prescribed for afelony of the [first] degree in [insert citation] that is not less than [five (5)]years. If the offender under division (A)(1)(b) of this section purposely com-pels the victim to submit by force or threat of force, whoever violates divi-


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sion (A)(1)(b) of this section shall be imprisoned for [life.](C) A victim need not prove physical resistance to the offender in pros-

ecutions under this section.(D) Evidence of specific instances of the victim�s sexual activity, opinion

evidence of the victim�s sexual activity, and reputation evidence of the victim�ssexual activity shall not be admitted under this section unless it involvesevidence of the origin of semen, pregnancy, or disease, or the victim�s pastsexual activity with the offender, and only to the extent that the court findsthat the evidence is material to a fact at issue in the case and that itsinflammatory or prejudicial nature does not outweigh its probative value.

Evidence of specific instances of the defendant�s sexual activity, opinionevidence of the defendant�s sexual activity, and reputation evidence of thedefendant�s sexual activity shall not be admitted under this section unlessit involves evidence of the origin of semen, pregnancy, or disease, thedefendant�s past sexual activity with the victim, or is admissible againstthe defendant under [insert citation,] and only to the extent that the courtfinds that the evidence is material to a fact at issue in the case and that itsinflammatory or prejudicial nature does not outweigh its probative value.

(E) Prior to taking testimony or receiving evidence of any sexual activ-ity of the victim or the defendant in a proceeding under this section, thecourt shall resolve the admissibility of the proposed evidence in a hearingin chambers, which shall be held at or before preliminary hearing and notless than [three (3)] days before trial, or for good cause shown during thetrial.

(F) Upon approval by the court, the victim may be represented by coun-sel in any hearing in chambers or other proceeding to resolve the admissi-bility of evidence. If the victim is indigent or otherwise is unable to obtainthe services of counsel, the court, upon request, may appoint counsel torepresent the victim without cost to the victim.

(G) It is not a defense to a charge under division (A)(2) of this sectionthat the offender and the victim were married or were cohabiting at thetime of the commission of the offense.

Section 4. [Sexual Conduct - Prohibitions and Relationship of Offendersto Their Victims.]

(A) No person shall engage in sexual conduct with another, not the spouseof the offender, when any of the following apply:

(1) The offender knowingly coerces the other person to submit byany means that would prevent resistance by a person of ordinary resolu-tion.

(2) The offender knows that the other person�s ability to appraisethe nature of or control the other person�s own conduct is substantiallyimpaired.

(3) The offender knows that the other person submits because the


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other person is unaware that the act is being committed.(4) The offender knows that the other person submits because the

other person mistakenly identifies the offender as the other person�s spouse.(5) The offender is the other person�s natural or adoptive parent, or

a stepparent, or guardian, custodian, or person in loco parentis of the otherperson.

(6) The other person is in custody of law or a patient in a hospital orother institution, and the offender has supervisory or disciplinary author-ity over the other person.

(7) The offender is a teacher, administrator, coach, or other personin authority employed by or serving in a school for which the [state board ofeducation] prescribes minimum standards pursuant to [insert citation,] theother person is enrolled in or attends that school, and the offender is notenrolled in and does not attend that school.

(8) The other person is a minor, the offender is a teacher, adminis-trator, coach, or other person in authority employed by or serving in aninstitution of higher education, and the other person is enrolled in or at-tends that institution.

(9) The other person is a minor, and the offender is the other person�sathletic or other type of coach, is the other person�s instructor, is the leaderof a scouting troop of which the other person is a member, or is a personwith temporary or occasional disciplinary control over the other person.

(B) Whoever violates this section is guilty of [sexual battery.] A violationof division (A)(1), (5), (6), (7), (8), or (9) of this section is, a [felony of the thirddegree.] A violation of division (A)(2), (3), or (4) of this section is a [felony ofthe fourth degree.]

(C) As used in this section, �institution of higher education� means astate institution of higher education defined in [insert citation,] a privatenonprofit college or university located in this state that possesses a certifi-cate of authorization issued by the [state board of regents] pursuant to[insert citation,] or a school certified under [insert citation.]

Section 5. [Sexual Contact � General Prohibitions.](A) No person shall have sexual contact with another, not the spouse of

the offender; cause another, not the spouse of the offender, to have sexualcontact with the offender; or cause [two (2)] or more other persons to havesexual contact when any of the following applies:

(1) The offender purposely compels the other person, or [one (1)] ofthe other persons, to submit by force or threat of force.

(2) For the purpose of preventing resistance, the offender substan-tially impairs the judgment or control of the other person or of [one (1)] ofthe other persons by administering any drug or intoxicant, or controlledsubstance to the other person, surreptitiously or by force, threat of force, ordeception.


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(3) The offender knows that the judgment or control of the otherperson or of [one (1)] of the other persons is substantially impaired as aresult of the influence of any drug or intoxicant administered to the otherperson with the other person�s consent for the purpose of any kind of medi-cal or dental examination, treatment, or surgery.

(4) The other person, or [one (1)] of the other persons, is less than[thirteen (13)] years of age, whether or not the offender knows the age ofthat person.

(5) The ability of the other person to resist or consent or the abilityof [one (1)] of the other persons to resist or consent is substantially im-paired because of a mental or physical condition or because of advancedage, and the offender knows or has reasonable cause to believe that theability to resist or consent of the other person or of [one (1)] of the otherpersons is substantially impaired because of a mental or physical conditionor because of advanced age.

(B) Whoever violates this section is guilty of gross sexual imposition.Except as otherwise provided in this section, a violation of division (a)(1),(2), (3), or (5) of this section is a [felony of the fourth degree.] If the offenderunder division (a)(2) of this section substantially impairs the judgment orcontrol of the other person or [one (1)] of the other persons by administer-ing any controlled substance described in [insert citation] to the personsurreptitiously or by force, threat of force, or deception, a violation of divi-sion (a)(2) of this section is a [felony of the third degree.] A violation ofdivision (a)(4) of this section is a [felony of the third degree.]

(C) A victim need not prove physical resistance to the offender in pros-ecutions under this section.

(D) Evidence of specific instances of the victim�s sexual activity, opinionevidence of the victim�s sexual activity, and reputation evidence of the victim�ssexual activity shall not be admitted under this section unless it involvesevidence of the origin of semen, pregnancy, or disease, or the victim�s pastsexual activity with the offender, and only to the extent that the court findsthat the evidence is material to a fact at issue in the case and that itsinflammatory or prejudicial nature does not outweigh its probative value.

Evidence of specific instances of the defendant�s sexual activity, opinionevidence of the defendant�s sexual activity, and reputation evidence of thedefendant�s sexual activity shall not be admitted under this section unlessit involves evidence of the origin of semen, pregnancy, or disease, thedefendant�s past sexual activity with the victim, or is admissible againstthe defendant under [insert citation,] and only to the extent that the courtfinds that the evidence is material to a fact at issue in the case and that itsinflammatory or prejudicial nature does not outweigh its probative value.

(E) Prior to taking testimony or receiving evidence of any sexual activ-ity of the victim or the defendant in a proceeding under this section, thecourt shall resolve the admissibility of the proposed evidence in a hearing


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in chambers, which shall be held at or before preliminary hearing and notless than [three (3)] days before trial, or for good cause shown during thetrial.

(F) Upon approval by the court, the victim may be represented by coun-sel in any hearing in chambers or other proceeding to resolve the admissi-bility of evidence. If the victim is indigent or otherwise is unable to obtainthe services of counsel, the court, upon request, may appoint counsel torepresent the victim without cost to the victim.

Section 6. [Additional Penalties.](A) Except as provided in division (E), (F), or (G) of this section and

unless a specific sanction is required to be imposed or is precluded frombeing imposed pursuant to law, a court that imposes a sentence upon anoffender for a felony may impose any sanction or combination of sanctionson the offender that are provided in section 7 of this Act and [insert cita-tion.] The sentence shall not impose an unnecessary burden on state orlocal government resources.

If the offender is eligible to be sentenced to community control sanc-tions, the court shall consider the appropriateness of imposing a financialsanction pursuant to [insert citation] or a sanction of community servicepursuant to [insert citation] as the sole sanction for the offense. Except asotherwise provided in this division, if the court is required to impose a man-datory prison term for the offense for which sentence is being imposed, thecourt also may impose a financial sanction pursuant to [insert citation] butmay not impose any additional sanction or combination of sanctions under[insert citation.]

If the offender is being sentenced for a [fourth degree felony] [OMVI]offense, in addition to the mandatory term of local incarceration or themandatory prison term required for the offense by division (G)(1) or (2) ofthis section, the court shall impose upon the offender a mandatory fine inaccordance with [insert citation] and may impose whichever of the follow-ing is applicable:

(1) If division (G)(1) of this section requires that the offender besentenced to a mandatory term of local incarceration, an additional com-munity control sanction or combination of community control sanctionsunder [insert citation;]

(2) If division (G)(2) of this section requires that the offender besentenced to a mandatory prison term, an additional prison term as de-scribed in division (D)(4) of section 7 of this Act.

(B) (1) Except as provided in division (B)(2), (E), (F), or (G) of this sec-tion, in sentencing an offender for a [felony of the fourth or fifth degree,] thesentencing court shall determine whether any of the following apply:

(a) In committing the offense, the offender caused physical harmto a person.


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(b) In committing the offense, the offender attempted to causeor made an actual threat of physical harm to a person with a deadly weapon.

(c) In committing the offense, the offender attempted to causeor made an actual threat of physical harm to a person, and the offenderpreviously was convicted of an offense that caused physical harm to a per-son.

(d) The offender held a public office or position of trust and theoffense related to that office or position; the offender�s position obliged theoffender to prevent the offense or to bring those committing it to justice; orthe offender�s professional reputation or position facilitated the offense orwas likely to influence the future conduct of others.

(e) The offender committed the offense for hire or as part of anorganized criminal activity.

(f) The offense is a sex offense that is a [fourth] or [fifth] degreefelony violation of sections 4 and 5 of this Act and [insert citation] of statelaw.

(g) The offender previously served a prison term.(h) The offender previously was subject to a community control

sanction, and the offender committed another offense while under the sanc-tion.

(2) (a) If the court makes a finding described in division (B)(1)(a),(b), (c), (d), (e), (f), (g), or (h) of this section and if the court, after consideringthe factors set forth in [insert citation,] finds that a prison term is consis-tent with the purposes and principles of sentencing set forth in [insert cita-tion] and finds that the offender is not amenable to an available commu-nity control sanction, the court shall impose a prison term upon the of-fender.

(b) Except as provided in division (E), (F), or (G) of this section,if the court does not make a finding described in division (B)(1)(a), (b), (c),(d), (e), (f), (g), or (h) of this section and if the court, after considering thefactors set forth in [insert citation,] finds that a community control sanc-tion or combination of community control sanctions is consistent with thepurposes and principles of sentencing set forth in [insert citation,] the courtshall impose a community control sanction or combination of communitycontrol sanctions upon the offender.

(C) Except as provided in division (E) or (F) of this section, in determin-ing whether to impose a prison term as a sanction for a [felony of the thirddegree] or a [felony drug offense] that is a violation of [insert citation] andthat is specified as being subject to this division for purposes of sentencing,the sentencing court shall comply with the purposes and principles of sen-tencing under [insert citation.]

(D) Except as provided in division (E) or (F) of this section, for a [felonyof the first or second degree] and for a [felony drug offense] that is a viola-tion of any provision of [insert citation] for which a presumption in favor of


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a prison term is specified as being applicable, it is presumed that a prisonterm is necessary in order to comply with the purposes and principles ofsentencing under [insert citation.] Notwithstanding the presumption es-tablished under this division, the sentencing court may impose a commu-nity control sanction or a combination of community control sanctions in-stead of a prison term on an offender for a [felony of the first or seconddegree] or for a [felony drug offense] that is a violation of any provision of[insert citation] for which a presumption in favor of a prison term is speci-fied as being applicable if it makes both of the following findings:

(1) A community control sanction or a combination of communitycontrol sanctions would adequately punish the offender and protect thepublic from future crime, because the applicable factors under [insert cita-tion] indicating a lesser likelihood of recidivism outweigh the applicablefactors under that section indicating a greater likelihood of recidivism.

(2) A community control sanction or a combination of communitycontrol sanctions would not demean the seriousness of the offense, becauseone or more factors under [insert citation] that indicate that the offender�sconduct was less serious than conduct normally constituting the offenseare applicable, and they outweigh the applicable factors under that sectionthat indicate that the offender�s conduct was more serious than conductnormally constituting the offense.

(E) (1) Except as provided in division (F) of this section, for any drugoffense that is a violation of any provision of [insert citation] and that is a[felony of the third, fourth, or fifth degree,] the applicability of a presump-tion under division (D) of this section in favor of a prison term or of division(B) or (C) of this section in determining whether to impose a prison term forthe offense shall be determined as specified in [insert citation,] whicheveris applicable regarding the violation.

(2) If an offender who was convicted of or pleaded guilty to a [felonydrug offense] in violation of a provision of [insert citation] violates the con-ditions of a community control sanction imposed for the offense solely bypossession or using a controlled substance and if the offender has not failedto meet the conditions of any drug treatment program in which the of-fender was ordered to participate as a sanction for the offense, the court, aspunishment for the violation of the sanction, shall order that the offenderparticipate in a drug treatment program or in alcoholics anonymous, nar-cotics anonymous, or a similar program if the court determines that anorder of that nature is consistent with the purposes and principles of sen-tencing set forth in [insert citation.] If the court determines that an orderof that nature would not be consistent with those purposes and principlesor if the offender violated the conditions of a drug treatment program inwhich the offender participated as a sanction for the offense, the court mayimpose on the offender a sanction authorized for the violation of the sanc-tion, including a prison term.


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(F) Notwithstanding divisions (A) to (E) of this section, the court shallimpose a prison term or terms under [insert citation] and except as specifi-cally provided in [insert citation] or when parole is authorized for the of-fense under [insert citation,] shall not reduce the terms pursuant to [insertcitation,] or any other provision of [insert citation] for any of the followingoffenses:

(1) Aggravated murder when death is not imposed or murder;(2) [Rape or] any rape, regardless of whether force was involved and

regardless of the age of the victim, or an attempt to commit rape by forcewhen the victim is under [thirteen (13)] years of age;

(3) Gross sexual imposition or sexual battery, if the victim is under[thirteen (13)] years of age, if the offender previously was convicted of orpleaded guilty to [rape,] the former offense of [felonious sexual penetration,gross sexual imposition, or sexual battery,] and if the victim of the previousoffense was under [thirteen (13)] years of age;

(4) A felony violation of [insert citation] if [insert citation] requiresthe imposition of a prison term;

(5) A [first, second, or third degree felony drug offense] for which[insert citation,] whichever is applicable regarding the violation, requiresthe imposition of a mandatory prison term;

(6) Any offense that is a [first or second degree felony] and that isnot set forth in division (F)(1), (2), (3), or (4) of this section, if the offenderpreviously was convicted of or pleaded guilty to [aggravated murder, mur-der, any first or second degree felony, or an offense] under an existing orformer law of this state, another state, or the United States that is or wassubstantially equivalent to [one (1)] of those offenses;

(7) Any offense, other than a violation of [insert citation,] that is a[felony,] if the offender had a firearm on or about the offender�s person orunder the offender�s control while committing the [felony,] with respect to aportion of the sentence imposed pursuant to division (D)(1)(a) of section 7for having the firearm;

(8) Corrupt activity in violation of [insert citation] when the mostserious offense in the pattern of corrupt activity that is the basis of theoffense is a [felony of the first degree;]

(9) Any [sexually violent offense] for which the offender also is con-victed of or pleads guilty to a [sexually violent predator specification] thatwas included in the indictment, count in the indictment, or informationcharging the [sexually violent offense.]

(G) Notwithstanding divisions (A) to (E) of this section, if an offender isbeing sentenced for a [fourth degree felony] [OMVI] offense, the court shallimpose upon the offender a mandatory term of local incarceration or a man-datory prison term in accordance with the following:

(1) Except as provided in division (G)(2) of this section, the courtshall impose upon the offender a mandatory term of local incarceration of


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[sixty (60)] days as specified in [insert citation] and shall not reduce theterm pursuant to [insert citation,] or any other provision of [insert cita-tion.] The court that imposes a mandatory term of local incarceration un-der this division shall specify whether the term is to be served in a jail, acommunity-based correctional facility, a halfway house, or an alternativeresidential facility, and the offender shall serve the term in the type of facil-ity specified by the court. The court shall not sentence the offender to aprison term and shall not specify that the offender is to serve the manda-tory term of local incarceration in prison. A mandatory term of local incar-ceration imposed under division (G)(1) of this section is not subject to ex-tension under [insert citation,] to a period of post-release control under[insert citation,] or to any other [insert citation] provision that pertains to aprison term.

(2) If the offender previously has been sentenced to a mandatoryterm of local incarceration pursuant to division (G)(1) of this section for a[fourth degree felony] [OMVI] offense, the court shall impose upon the of-fender a mandatory prison term of [sixty (60)] days as specified in [insertcitation] and shall not reduce the term pursuant to [insert citation,] or anyother provision of the [insert citation.] In no case shall an offender whoonce has been sentenced to a mandatory term of local incarceration pursu-ant to division (G)(1) of this section for a [fourth degree felony] [OMVI]offense be sentenced to another mandatory term of local incarceration un-der that division for a [fourth degree felony] [OMVI] offense. The court shallnot sentence the offender to a community control sanction under [insertcitation.] The [Department of Rehabilitation and Correction] may place anoffender sentenced to a mandatory prison term under this division in an[intensive program prison] established pursuant to [insert citation] if the[department] gave the sentencing judge prior notice of its intent to placethe offender in an [intensive program prison] established under that sec-tion and if the judge did not notify the [department] that the judge disap-proved the placement.

(H) If an offender is being sentenced for a [sexually oriented offense]committed on or after the effective date of this amendment, the judge shallrequire the offender to submit to a DNA specimen collection procedure pur-suant to [insert citation] if either of the following applies:

(1) The offense was a [sexually violent offense,] and the offenderalso was convicted of or pleaded guilty to a [sexually violent predator speci-fication] that was included in the indictment, count in the indictment, orinformation charging the [sexually violent offense.]

(2) The judge imposing sentence for the [sexually oriented offense]determines pursuant to [insert citation] that the offender is a [sexual preda-tor.]

(I) If an offender is being sentenced for a [sexually oriented offense]committed on or after the effective date of this amendment, the judge shall


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include in the sentence a summary of the offender�s duty to register pursu-ant to [insert citation,] the offender�s duty to provide notice of a change inresidence address and register the new residence address pursuant to [in-sert citation,] the offender�s duty to periodically verify the offender�s cur-rent residence address pursuant to [insert citation,] and the duration of theduties. The judge shall inform the offender, at the time of sentencing, ofthose duties and of their duration and, if required under [insert citation,]shall perform the duties specified in [insert citation.]

Section 7. [Sentencing.](A) Except as provided in division (C), (D)(2), (D)(3), (D)(4), or (G) of this

section and except in relation to an offense for which a sentence of [death]or [life imprisonment] is to be imposed, if the court imposing a sentenceupon an offender for a felony elects or is required to impose a prison termon the offender pursuant to this section and is not prohibited by [insertcitation] from imposing a prison term on the offender, the court shall im-pose a definite prison term that shall be [one (1)] of the following:

(1) For a [felony of the first degree,] the prison term shall be [three(3),] [four (4,] [five (5),] [six (6),] [seven (7),] [eight (8),] [nine (9),] or [ten(10)] years.

(2) For a [felony of the second degree,] the prison term shall be [two(2),] [three (3),] [four (4),] [five (5),] [six (6),] [seven (7),] or [eight (8)] years.

(3) For a [felony of the third degree,] the prison term shall be [one(1),] [two (2),] [three (3),] [four (4),] or [five (5)] years.

(4) For a [felony of the fourth degree,] the prison term shall be [six(6),] [seven (7),] [eight (8),] [nine (9),] [ten (10),] [eleven (11),] [twelve (12),][thirteen (13),] [fourteen (14),] [fifteen (15),] [sixteen (16),] [seventeen (17),]or [eighteen (18)] months.

(5) For a [felony of the fifth degree,] the prison term shall be [six(6),] [seven (7),] [eight (8),] [nine (9),] [ten (10),] [eleven (11),] or [twelve(12)] months.

(B) Except as provided in division (C), (D)(2), (D)(3), or (G) of this sec-tion, in section 3, or in [insert citation,] if the court imposing a sentenceupon an offender for a [felony] elects or is required to impose a prison termon the offender and if the offender previously has not served a prison term,the court shall impose the [shortest] prison term authorized for the offensepursuant to division (A) of this section, unless the court finds on the recordthat the [shortest] prison term will demean the seriousness of the offender�sconduct or will not adequately protect the public from future crime by theoffender or others.

(C) Except as provided in division (G) of this section or [insert citation,]the court imposing a sentence upon an offender for a [felony] may imposethe [longest] prison term authorized for the offense pursuant to division (A)of this section only upon offenders who committed the worst forms of the


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offense, upon offenders who pose the greatest likelihood of committing fu-ture crimes, upon certain major drug offenders under division (D)(3) of thissection, and upon certain repeat violent offenders in accordance with divi-sion (D)(2) of this section.

(D) (1) (a) (i) Except as provided in division (D)(1)(b) of this section, ifan offender who is convicted of or pleads guilty to a [felony] also is convictedof or pleads guilty to a specification of the type described in [insert citation]that charges the offender with having a firearm that is an automatic fire-arm or that was equipped with a firearm muffler or silencer on or about theoffender�s person or under the offender�s control while committing the[felony,] a specification of the type described in [insert citation] that chargesthe offender with having a firearm on or about the offender�s person orunder the offender�s control while committing the offense and displayingthe firearm, brandishing the firearm, indicating that the offender possessedthe firearm, or using it to facilitate the offense, or a specification of the typedescribed in [insert citation] that charges the offender with having a fire-arm on or about the offender�s person or under the offender�s control whilecommitting the [felony,] the court, after imposing a prison term on the of-fender for the felony under division (A), (D)(2), or (D)(3) of this section, shallimpose an additional prison term, determined pursuant to this division,that shall not be reduced pursuant to [insert citation,] or any other provi-sion of [insert citation.] If the specification is of the type described in [insertcitation,] the additional prison term shall be [six (6)] years. If the specifica-tion is of the type described in [insert citation,] the additional prison termshall be [three (3)] years. If the specification is of the type described in[insert citation,] the additional prison term shall be [one (1)] year. A courtshall not impose more than [one (1)] additional prison term on an offenderunder this division for [felonies] committed as part of the same act or trans-action. If a court imposes an additional prison term under division (D)(1)(a)(ii)of this section, the court is not precluded from imposing an additional prisonterm under this division.

(ii) Except as provided in division (D)(1)(b) of this section, ifan offender who is convicted of or pleads guilty to a violation of [insertcitation] or to a [felony] that includes, as an essential element, purposely orknowingly causing or attempting to cause the death of or physical harm toanother, also is convicted of or pleads guilty to a specification of the typedescribed in [insert citation] that charges the offender with committing theoffense by discharging a firearm from a motor vehicle, as defined in [insertcitation,] other than a manufactured home, as defined in [insert citation,]the court, after imposing a prison term on the offender for the violation of[insert citation] or for the other [felony] offense under division (A), (D)(2), or(D)(3) of this section, shall impose an additional prison term of [five (5)]years upon the offender that shall not be reduced pursuant to [insert cita-tion,] or any other provision of [insert citation.] A court shall not impose


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more than [one (1)] additional prison term on an offender under this divi-sion for [felonies] committed as part of the same act or transaction. If acourt imposes an additional prison term on an offender under this divisionrelative to an offense, the court also shall impose an additional prison termunder division (D)(1)(a)(i) of this section relative to the same offense, pro-vided the criteria specified in that division for imposing an additional prisonterm are satisfied relative to the offender and the offense.

(b) The court shall not impose any of the additional prison termsdescribed in division (D)(1)(a) of this section upon an offender for a viola-tion of [insert citation.] The court shall not impose any of the additionalprison terms described in that division upon an offender for a violation of[insert citation] unless all of the following apply:

(i) The offender previously has been convicted of [aggra-vated murder,] [murder,] or any [felony of the first or second degree.]

(ii) Less than [five (5)] years have passed since the offenderwas released from prison or post-release control, whichever is later, for theprior offense.

(2) (a) If an offender who is convicted of or pleads guilty to a [felony]also is convicted of or pleads guilty to a specification of the type described in[insert citation] that the offender is a [repeat violent offender,] the courtshall impose a prison term from the range of terms authorized for the of-fense under division (A) of this section that may be the [longest] term in therange and that shall not be reduced pursuant to [insert citation,] or anyother provision of [insert citation.] If the court finds that the [repeat violentoffender,] in committing the offense, caused any physical harm that carrieda substantial risk of death to a person or that involved substantial perma-nent incapacity or substantial permanent disfigurement of a person, thecourt shall impose the [longest] prison term from the range of terms autho-rized for the offense under division (A) of this section.

(b) If the court imposing a prison term on a [repeat violent of-fender] imposes the [longest] prison term from the range of terms autho-rized for the offense under division (A) of this section, the court may imposeon the offender an additional definite prison term of [one (1),] [two (2),][three (3),] [four (4),] [five (5),] [six (6),] [seven (7),] [eight (8),] [nine (9),] or[ten (10)] years if the court finds that both of the following apply with re-spect to the prison terms imposed on the offender pursuant to division(D)(2)(a) of this section and, if applicable, divisions (D)(1) and (3) of thissection:

(i) The terms so imposed are inadequate to punish the of-fender and protect the public from future crime, because the applicablefactors under [insert citation] indicating a greater likelihood of recidivismoutweigh the applicable factors under that section indicating a lesser like-lihood of recidivism.

(ii) The terms so imposed are demeaning to the serious-


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ness of the offense, because [one (1)] or more of the factors under [insertcitation] indicating that the offender�s conduct is more serious than con-duct normally constituting the offense are present, and they outweigh theapplicable factors under [insert citation] indicating that the offender�s con-duct is less serious than conduct normally constituting the offense.

(3) (a) Except when an offender commits a violation of [insert cita-tion] and the penalty imposed for the violation is [life imprisonment] orcommits a violation of [insert citation,] if the offender commits a violationof [insert citation] and [insert citation] requires the imposition of a [ten(10)] year prison term on the offender or if a court imposing a sentenceupon an offender for a [felony] finds that the offender is guilty of a specifica-tion of the type described in [insert citation,] that the offender is a [majordrug offender,] is guilty of [corrupt activity] with the most serious offense inthe pattern of [corrupt activity] being a [felony of the first degree,] or isguilty of an attempted forcible violation of section 3 with the victim beingunder [thirteen (13)] years of age and that attempted violation is the [felony]for which sentence is being imposed, the court shall impose upon the of-fender for the [felony] violation a [ten (10)] year prison term that cannot bereduced pursuant to [insert citation.]

(b) The court imposing a prison term on an offender under divi-sion (D)(3)(a) of this section may impose an additional prison term of [one(1),] [two (2),] [three (3),] [four (4),] [five (5),] [six (6),] [seven (7),] [eight (8),][nine (9),] or [ten (10)] years, if the court, with respect to the term imposedunder division (D)(3)(a) of this section and, if applicable, divisions (D)(1)and (2) of this section, makes both of the findings set forth in divisions(D)(2)(b)(i) and (ii) of this section.

(4) If the offender is being sentenced for a [fourth degree felony][OMVI] offense and if division (G)(2) of section 6 requires the sentencingcourt to impose upon the offender a mandatory prison term, the sentencingcourt shall impose upon the offender a mandatory prison term in accor-dance with that division. In addition to the mandatory prison term, thesentencing court may sentence the offender to an additional prison term ofany duration specified in division (A)(4) of this section minus the [sixty(60)] days imposed upon the offender as the mandatory prison term. Thetotal of the additional prison term imposed under division (D)(4) of thissection plus the [sixty (60)] days imposed as the mandatory prison termshall equal [one (1)] of the authorized prison terms specified in division(A)(4) of this section. If the court imposes an additional prison term underdivision (D)(4) of this section, the offender shall serve the additional prisonterm after the offender has served the mandatory prison term required forthe offense. The court shall not sentence the offender to a [community con-trol sanction] under [insert citation.]

(E) (1) If a mandatory prison term is imposed upon an offender pursu-ant to division (D)(1)(a) of this section for having a firearm on or about the


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offender�s person or under the offender�s control while committing a [felony]or if a mandatory prison term is imposed upon an offender pursuant todivision (D)(1)(b) of this section for committing a felony specified in thatdivision by discharging a firearm from a motor vehicle, the offender shallserve the mandatory prison term consecutively to and prior to the prisonterm imposed for the underlying felony pursuant to division (A), (D)(2), or(D)(3) of this section or any other section of [insert citation] and consecu-tively to any other prison term or mandatory prison term previously orsubsequently imposed upon the offender.

(2) If an offender who is an inmate in a jail, prison, or other residen-tial detention facility violates [insert citation,] if an offender who is underdetention at a detention facility commits a [felony] violation of [insert cita-tion,] or if an offender who is an inmate in a jail, prison, or other residentialdetention facility or is under detention at a detention facility commits an-other [felony] while the offender is an escapee in violation of [insert cita-tion,] any prison term imposed upon the offender for [one (1)] of those viola-tions shall be served by the offender consecutively to the prison term orterm of imprisonment the offender was serving when the offender commit-ted that offense and to any other prison term previously or subsequentlyimposed upon the offender. As used in this division, �detention� and �deten-tion facility� have the same meanings as in [insert citation.]

(3) If a prison term is imposed for a violation of [insert citation,] theoffender shall serve that prison term consecutively to any other prison term.

(4) If multiple prison terms are imposed on an offender for convic-tions of multiple offenses, the court may require the offender to serve theprison terms consecutively if the court finds that the consecutive service isnecessary to protect the public from future crime or to punish the offenderand that consecutive sentences are not disproportionate to the seriousnessof the offender�s conduct and to the danger the offender poses to the public,and if the court also finds any of the following:

(a) The offender committed the multiple offenses while the of-fender was awaiting trial or sentencing, was under a sanction imposed pur-suant to [insert citation,] or was under [post-release control] for a prioroffense.

(b) The harm caused by the multiple offenses was so great orunusual that no single prison term for any of the offenses committed aspart of a single course of conduct adequately reflects the seriousness of theoffender�s conduct.

(c) The offender�s history of criminal conduct demonstrates thatconsecutive sentences are necessary to protect the public from future crimeby the offender.

(5) When consecutive prison terms are imposed pursuant to divi-sion (E)(1), (2), (3), or (4) of this section, the term to be served is the aggre-gate of all of the terms so imposed.


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(F) If a court imposes a prison term of a type described in [insert cita-tion,] it shall include in the sentence a requirement that the offender besubject to a period of [post-release control] after the offender�s release fromimprisonment, in accordance with [insert citation.] If a court imposes aprison term of a type described in [insert citation,] it shall include in thesentence a requirement that the offender be subject to a period of [post-release control] after the offender�s release from imprisonment, in accor-dance with [insert citation,] if the parole board determines that a period of[post-release control] is necessary.

(G) If a person is convicted of or pleads guilty to a [sexually violentoffense] and also is convicted of or pleads guilty to a [sexually violent preda-tor specification] that was included in the indictment, count in the indict-ment, or information charging that offense, the court shall impose sentenceupon the offender in accordance with [insert citation] applies regarding theprison term or term of [life imprisonment without parole] imposed uponthe offender and the service of that term of imprisonment.





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Hospital Conversions

This Act requires nonprofit health organizations to notify the state inwriting 90 days in advance if the organizations intend to sell their facilities.The written notification shall include specific information enumerated inthe Act, including a general summary of the intended transaction, a gen-eral description of the assets involved and their intended use and the an-ticipated date of completion. The written notification is a public record.

Within 30 days after the written notification is sent, the parties to thetransaction shall select a person to conduct a public hearing and set a timeand place for the public hearing. Within the same 30 days the interestedparties shall also publish a notice of the hearing at least three consecutivetimes in at least one newspaper of general circulation in the county wherethe nonprofit health care entity has its principle place of business. The pub-lic hearing shall be held within 10 days after the last publication.

At the public hearing, the involved parties shall provide a written sum-mary with the information enumerated in the Act regarding the impact ofthe intended transaction. A final report of the public hearing proceedingsshall be prepared by the hearing officer and sent to the state CorporationCommission, the state Department of Health Services, and the state attor-ney general.

Submitted as:ArizonaCH 73, laws of 1997 (H Version of SB 1288)Enacted into law, 1997.



Section 1. [Short Title.] This Act may be cited as an �Act Relating toHospital and Community Health Center Mergers.�

Section 2. [Tax Exempt Nonprofit Corporation Sale of Assets; Notice;Public Hearing; Exceptions.]

(A) Except as provided in subsection D of this section and [insert cita-tion,] any person who intends to purchase, lease or otherwise acquire all orsubstantially all of the assets of a tax exempt corporation described in[insert citation,] or all or substantially all of the assets located in thisstate of a tax exempt foreign corporation described in section 501(c)(3)of the Internal Revenue Code of 1986 and is conducting affairs in thisstate, shall comply with subsection B of this section before such pur-

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chase, lease or acquisition if either:(1) The person is a tax exempt organization described in [insert

citation,] or section 501(c)(3) of the Internal Revenue Code of 1986 but in-tends to use in an unrelated trade or business, determined by applyingsection 43-1201, paragraph 4 or section 513(a) of the Internal Revenue Codeof 1986 to such organization, any substantial portion of the assets to beacquired which were not being used in an unrelated trade or business ofthe corporation or foreign corporation conveying the assets immediatelybefore the proposed purchase, lease or acquisition.

(2) The person is not a tax exempt organization described in [insertcitation] or section 501(c)(3) of the Internal Revenue Code of 1986.

(B) A person subject to the requirements of this section shall give publicnotice of the intended transaction in accordance with subsection C of thissection and shall hold a public hearing on the intended transaction no lessthan [ten (10)] days after the first publication of the notice and no less than[ten (10)] days before the intended purchase, lease or acquisition occurs.The sole purpose of the public hearing is to receive public comment regard-ing the proposed transaction. The public hearing shall be held before atleast [two (2)] representatives of the person intending to purchase, lease orotherwise acquire the assets of the corporation or foreign corporation andat least [two (2)] representatives of the corporation or foreign corporation.

(C) Notice of the intended transaction shall include the time, date andplace of the public hearing, the names of the parties to the transaction, ageneral summary of the intended transaction, a general description of theassets to be purchased, leased or otherwise acquired and a general descrip-tion of the intended use of the assets after the completion of the transac-tion. The notice shall be published [three (3)] consecutive times in a news-paper of general circulation in the county of the known place of business ofthe corporation or foreign corporation from which the assets are intendedto be purchased, leased or otherwise acquired. The first notice shall be pub-lished no less than [twenty (20)] days before the intended purchase, leaseor acquisition occurs.

(D) The requirements of subsections B and C of this section do not applyto the purchase, lease or other acquisition of assets under this section froma domestic or foreign corporation as provided in this section if any of thefollowing applies:

(1) The transaction involves assets having a book value at the timeof the transaction, net of accumulated depreciation, of less than [five hun-dred thousand (500,000)] dollars.

(2) The transaction is in the usual course of business of the transf-eror or in connection with the mortgage or pledge of any or all property andassets of the corporation or foreign corporation whether or not in its usualand regular course of business.

(3) The transferor has assets immediately prior to such transaction,


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with a book value of less than [one million (1,000,000)] dollars, net of accu-mulated depreciation.

(4) The transaction is to enable the transferor to finance the pur-chase of assets or to refinance assets already owned by it, or if, after thetransaction has been completed, the transferor continues to have posses-sion of the assets purchased, leased or otherwise acquired for use in theusual and regular course of its business.

(5) The transferor offers goods or services only to members who areentitled to vote for its board of directors.

(6) The transferor is organized for religious purposes and does nothave, as a substantial portion of its business, the offering of goods or ser-vices on a regular basis to the public for remuneration.

(7) The purchase, lease or sale of assets as described in subsection Aof this section by the United States, this state, a political subdivision of thisstate or an agency or instrumentality of such a governmental entity.

(8) The purchase, lease or sale of assets as described in subsection Aof this section by a hospital, medical, dental or optometric service corpora-tion licensed pursuant to [insert citation.]

(E) For the purpose of subsection D, paragraph 6 of this section:(1) Goods and services shall include, but are not limited to, medical,

hospital, dental or counseling or social services offered on a regular basis tothe public for remuneration.

(2) A transferor organized for religious purposes includes a corpora-tion or foreign corporation that controls or is controlled directly or indi-rectly by a corporation or foreign corporation organized for religious pur-poses.

(F) The exemption provided by subsection D, paragraph 7 of this sectiondoes not apply to a corporation or foreign corporation which provides ser-vices to or operates assets of such a governmental entity pursuant to alease or contract.

Section 3. [Hospital and Community Health Center Mergers and OtherTransactions; Definitions.]

(1) �Assets� means all real, personal, tangible and intangible prop-erty and rights in property, including cash, buildings, equipment, invest-ments and contracts with other entities.

(2) �Community benefit activity� means any activity furthering com-munity benefit purposes including any health care activity that includeseducation, prevention, promotion of community health, indigent care or anyother charitable purpose.

(3) �Community benefit assets� means every asset that has beenused in connection with community benefit activity during the previousyear.

(4) �Community benefit purposes� means those purposes for which


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an entity may qualify for exemption pursuant to [insert citation,] or section501(c)(3) of the Internal Revenue Code, or for similar activity engaged in bya for-profit organization.

(5) �Community benefit organization� means a nonprofit charitableorganization that is tax exempt under section 501(c)(3) of the Internal Rev-enue Code and whose mission is solely to engage in community benefitactivities.

(6) �Community health center� means a primary care facility thatprovides medical care in medically underserved areas as designated in [in-sert citation] or in medically underserved areas or medically underservedpopulations as designated by the United States Department of Health andHuman Services.

(7) �Nonprofit health care entity� means a licensed hospital or com-munity health center that holds tax exempt status pursuant to [insert cita-tion,] or section 501(c)(3) of the Internal Revenue Code.

(8) �Notice of completion� means the written notice that is sent bythe [hearing officer] to the [chairman of the corporation commission] afterthe [hearing officer] holds a public hearing and files a summary reportpursuant to section 5.

Section 4. [Scope; Included Transactions; Excluded Transactions.](A) Except as provided in subsections B and C of this section, this Act

applies to any nonprofit health care entity that intends to sell, transfer,lease, exchange, option, convey, convert, give, merge or otherwise dispose ofall or substantially all of its assets to or with another nonprofit health careentity or a for profit entity, including entering into a joint venture involvingall or substantially all of its assets. The requirements of section 2 do notapply to a nonprofit health care entity.

(B) This Act does not apply to any physician or licensed health careprovider contract with a hospital or community health center. This articleshall not affect any contract entered into between a physician or licensedhealth care provider or group of physicians or licensed health care provid-ers with a licensed hospital.

(C) This Act does not apply to transactions:(1) Involving a transfer of community benefit assets of a licensed

hospital or community health center with a book value of less than [onemillion (1,000,000)] dollars, net of accumulated depreciation as of the dateof the closing date of the intended transaction.

(2) Enabling a party to finance the purchase of assets, refinanceassets, mortgage or pledge assets already owned by the party, whether ornot in its usual course of business.

(3) Between or among a nonprofit health care entity and affiliatednonprofit entities that are part of a common line of ownership or control.


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Section 5. [Public Hearing; Notice; Requirements; Summary Report](A) No later than [ninety (90)] days before the anticipated closing of the

intended transaction, any nonprofit health care entity that intends to en-gage in any of the transactions described in section 4, subsection a shallgive written notice to the [chairman of the corporation commission,] the[director of the department of health services] and the [attorney general.]The written notice shall include all of the following information:

(1) The names, addresses and telephone numbers of the parties tothe intended transaction.

(2) The names, addresses and telephone numbers of the attorneysor other persons who represent the parties in connection with the intendedtransaction.

(3) A general summary of the intended transaction.(4) A general description of the assets involved in the intended trans-

action and the intended use of the assets after the closing of the intendedtransaction.

(5) A general summary of all collateral transactions that relate tothe intended transaction, including the names, addresses and telephonenumbers of the parties involved in the collateral transactions.

(6) The anticipated date of completion of the intended transaction.(B) The notice and information required pursuant to subsection a of this

section and information submitted pursuant to subsection H of this sectionare public records.

(C) Within [thirty (30)] days after the nonprofit health care entity sendsthe written notice prescribed in subsection a of this section, the parties tothe intended transaction shall:

(1) Select a [hearing officer] to conduct the public hearing requiredby this section and determine a time and place within this state for thepublic hearing with the agreement of both the [chairman of the corporationcommission] and the [director of the department of health services.]

(2) Publish a notice of the time and place for the public hearing atleast [three (3)] consecutive times in at least [one (1)] newspaper of generalcirculation in the county in which the nonprofit health care entity has itsprincipal place of business.

(D) The [hearing officer] shall hold the public hearing within [ten (10)]days after the last publication of the public notice.

(E) The purpose of the public hearing is to provide the information de-scribed in subsection F of this section and to receive comments from thepublic and other interested parties.

(F) The parties shall present written summary information at the pub-lic hearing that sets forth all of the following:

(1) The extent to which the intended transaction impacts commu-nity benefit activities and is consistent with community benefit purposes,including a description of the resources that will be committed to commu-


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nity benefit purposes following the intended transaction.(2) Whether the intended transaction creates or has the likelihood

of creating an adverse effect on the access to or availability or cost of healthcare services.

(3) Whether any director, officer, agent or employee of the entity willreceive any community benefit asset or will benefit directly or indirectlyfrom the intended transaction, except for the receipt of compensation forprofessional services relating to the intended transaction for normal com-pensation for services rendered.

(4) The extent to which the nonprofit health care entity used duediligence in the selection of the entity that will receive any community ben-efit asset and in the negotiation of the price and other terms and conditionsof the transaction.

(5) The extent to which the parties will continue to use the non-profit health care entity�s community benefit assets for community benefitpurposes following the intended transaction, or, if applicable, the proceedsof the disposition of the assets will be deposited in a community benefitorganization for community benefit purposes.

(6) Whether any initial board of directors members of any entitychanged or created by the intended transaction will reside in or near thecommunities affected by the intended transaction.

(7) That any community benefit organization established to holdthe proceeds of the disposition of assets is organized for community benefitpurposes as required under federal and state law.

(G) The [attorney general] may present information at the public hear-ing.

(H) The [hearing officer] conducting the public hearing shall compile asummary report of the public hearing proceedings and shall transmit thesummary report, a notice of completion and copies of all written informa-tion presented at the hearing to the [chairman of the corporation commis-sion,] with copies to the [director of the department of health services] andthe [attorney general.]

(I) The parties to the intended transaction shall pay for all costs associ-ated with the [hearing officer,] notice, publication of notice, public hearingand summary report.

Section 6. [Applicability.](A) Nothing in this Act:

(1) Affects the provisions of [insert citation] regarding the [corpora-tion commission�s] acceptance or denial of new, restated or amended ar-ticles of incorporation.

(2) Affects the operation of state or federal antitrust laws or the[attorney general�s] enforcement of those laws.

(3) Is intended to create any private or governmental right or cause


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of action relating to the transaction or related parties.(B) This Act does not apply to any transactions for which a letter of

intent or memorandum of understanding or similar documentation wasexecuted on or before [December 31, 1996.]





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Inmate Assaults with Body Fluids or OtherHazardous Substances

This Act directs that inmates commit a crime of assault in the seconddegree if they throw or expel infected body fluids or other hazardous mate-rial at prison employees or others who provide prison services. The lawdirects that inmates who commit such crimes can be tested for communi-cable diseases and that the test results can be disclosed to their crime vic-tims.

Submitted as:ColoradoCH 270 (Laws of 1997)Enacted into law, 1997.



Section 1. [Short Title.] This Act may be cited as �An Act to Impose Pen-alties on Inmates Who Assault Employees of Detention Facilities ThroughContact With Substances That May Cause Injury or Disease.�

Section 2. [Assault in the Second Degree.](1) A person commits the crime of assault in the second degree if:

(a) While lawfully confined in a detention facility within this state,a person with intent to infect, injure, harm, harass, annoy, threaten, or alarma person in a detention facility whom the actor knows or reasonably shouldknow to be an employee of a detention facility, causes such employee tocome into contact with blood, seminal fluid, urine, feces, saliva, mucus, vomit,or any toxic, caustic, or hazardous material by any means, including but notlimited to throwing, tossing, or expelling such fluid or material.

(2) (a) Any adult or juvenile who is bound over for trial for the offensedescribed in subparagraph (1)(a) of this section, subsequent to a prelimi-nary hearing or after having waived the right to a preliminary hearing, anyperson who is indicted for or is convicted of any such offense, or any personwho is determined to have provided blood, seminal fluid, urine, feces, sa-liva, mucus, or vomit to a person bound over for trial for, indicted for, orconvicted of such an offense shall be ordered by the court to submit to amedical test for communicable diseases and to supply blood, feces, urine,saliva, or other bodily fluid required for the test. The results of such testshall be reported to the court or the court�s designee, who shall then dis-

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close the results to any victim of the offense who requests such disclosure.Review and disclosure of medical test results by the court shall be closedand confidential, and any transaction records relating thereto shall alsobe closed and confidential. If a person subject to a medical test forcommunicable diseases pursuant this subparagraph voluntarily submitsto a medical test for communicable diseases, the fact of such person�svoluntary submission shall be admissible in mitigation of sentence ifthe person is convicted of the charged offense.

(b) In addition to any other penalty provided by law, the court mayorder any person who is convicted of the offense described in subparagraph(1)(a) of this section to meet all or any portion of the financial obligations ofmedical tests performed on and treatment prescribed for the victim or vic-tims of the offense.

(c) At the time of sentencing, the court may order that an offenderdescribed in subparagraph (2)(b) of this section be put on a period of proba-tion for the purpose of paying the testing and treatment costs of the victimor victims; except that the period of probation, when added to any timeserved, shall not exceed the maximum sentence that can be imposed for theoffense.

(3) (a) As used in this Act, �detention facility� means any building, struc-ture, enclosure, vehicle, institution, or place, whether permanent or tempo-rary, fixed or mobile, where persons are or may be lawfully held in custodyor confinement under the authority of this state or any political subdivisionof this state.

(b) As used in this Act, �employee of a detention facility� includesemployees of the [Department of Corrections,] employees of any agency orperson operating a detention facility, law enforcement personnel, and anyother persons who are present in or in the vicinity of a detention facilityand are performing services for a detention facility. �employee of a deten-tion facility� does not include a person lawfully confined in a detention fa-cility.




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Institutions of Public Charity (Statement)

Although most states have defined charities in their tax codes or otherstatutes, this item may be of interest to states that want to clarify or updatetheir definitions of charities. It also contains two provisions that may beunique; �voluntary payment to localities� and �unfair competition clause.�This Statement is excerpted from a state legislative summary.

Pennsylvania�s Act 55 of 1997 (HB 55, P.N. 2575) provides a statutorydefinition of the term �institution of purely public charity.� The Pennsylva-nia Constitution permits the General Assembly to exempt such institu-tions from tax, but it does not define the term. Since the term was first usedin the Constitution of 1874, case law has been used to determine the quali-fications for exemption.

The Pennsylvania Supreme Court, in the 1985 Hospital UtilizationProject (HUP) case, outlined the five criteria which must be met in order foran institution to qualify for exemption. This legislation uses the criteriaestablished by the Court and details what the institution must do to meeteach of the criteria. Although the Court intended the HUP decision to be asynthesis of prior case law, some local governments had exploited certainambiguities in the language of the decision in an attempt to reduce thenumber of institutions which have historically qualified for tax exemption.Act 55 provides statutory guidelines to assist charitable institutions andgovernmental entities in determining which organizations meet the crite-ria for exemption.

This legislation, in addition to establishing statutory standards for ex-emption, defines certain property owned by state-related universities aspublic property for tax-exemption purposes. It requires institutions quali-fying for tax exemption to disclose certain information, restricts unfair com-petition between tax-exempt institutions and small businesses and pro-vides for voluntary agreements between local governments and institutionsof purely public charity.

Other than the definition of the term �institution of purely public char-ity,� Act 55 addresses two areas of national significance which have beenthe subject of attention from outside the commonwealth. First, the Act grantsinstitutions of purely public charity a number of incentives to enter intovoluntary agreements with political subdivisions. The Act also contains in-tent language encouraging financially secure institutions to enter into vol-untary agreements to help defray some of the cost of local government ser-vices. (More detail on the voluntary-agreement section is contained in item3 of this analysis.) Second, the Act prohibits institutions of purely publiccharity, with certain exceptions and limitations, from using their tax-ex-empt status to unfairly compete with small business. (More detail on theunfair- competition section is contained in item 4 of this analysis.)


The key event leading to this Act is a Pa. Supreme Court decision in-volving an organization called Hospital Utilization Project (HUP). The Su-preme Court, in the opinion delivered on that case, took the opportunity tooutline the standards which the court determined must be met for an insti-tution to qualify as an �institution of purely public charity.� In this decision,the Court attempted to synthesize the principles contained in its prior deci-sions into five general criteria.

The Court did not give specific guidance on how to apply the newlyformulated criteria to the various types of institutions involved in servingthe public. This lack of specific guidance presented some uncertainty as tohow the criteria should be interpreted. The uncertainty created an oppor-tunity for some local governments to attempt to define the criteria in waysthat limited the number of institutions that had historically qualified forexemption. These local governments treated the criteria as a departurefrom prior case law instead of a synthesis of prior decisions.

In the time elapsing between the HUP decision and the enactment ofHB 55, the courts ruled on various cases attempting to further define thefive criteria and apply them to specific fact situations. It proved to be adifficult task because no two charitable institutions serve the public in ex-actly the same way. The multitude of decisions by the various common pleascourts and the Commonwealth Court did not settle the debate. However,two major Pa. Supreme Court decisions in the post-HUP period (St. Marga-ret Seneca Place - 1994 and Washington and Jefferson College - 1997) havereigned in some of the more excessive local government interpretations ofthe criteria, but the need remained for statutory guidance. Act 55 is a re-sponse to that need.

Major Provisions

1. Criteria for Designation as an �Institution of Purely PublicCharity.�

General Rule. All institutions must meet each of the five following crite-ria to qualify as an institution of purely public charity. There is generallymore than one way for an institution to demonstrate that it meets a specificcriterion. It is important to note that qualification as an institution of purelypublic charity does not automatically mean that all property owned by theinstitution is exempt from tax. The institution must prove to the local as-sessment board that the property is used for an exempt purpose as re-quired under current law.

Charitable Purpose. An institution must be organized and operated tofulfill charitable purposes (i.e., relief of poverty, advancement of education,advancement of religion, prevention and treatment of disease or injury, gov-ernment or municipal purposes, or accomplishment of social, moral or physi-cal objectives important to and beneficial to the community).



Private Profit Motive. The institution must operate free from any pri-vate profit motive. This means that neither the institution�s net earningsnor donations it receives may inure to the benefit of private shareholders orother individuals. Furthermore, the compensation of any employee, officeror director cannot be based primarily upon the financial performance of theinstitution. Any excess of revenue over expenditures must be used to fur-ther the institution�s charitable purpose or fund other nonprofit charitableinstitutions. The institution must incorporate provisions in its articles ofincorporation or governing legal documents which prohibit the private is-suance to any person in the event of a sale or dissolution of the institution.

Community Service. The institution must donate or render gratuitouslya substantial portion of its services. The term �substantial� in this contextmeans something of value as opposed to an amount which is insignificant.This prevents organizations making only token donations from qualifyingunder this criterion. Satisfaction of this criterion is measured primarily bydetermining the amount of �uncompensated goods or services� provided bythe organization. Various numerical tests are then used to measure whethera substantial portion of the institution�s goods or services have been ren-dered gratuitously.

Charity to Persons. An institution must benefit a substantial and indefi-nite class of persons who are legitimate subjects of charity. This sectionrequires that the general public (or a broad segment of the general public)be the beneficiary of the goods or services provided by the institution. Theseindividuals must be unable to provide themselves the goods or services theinstitution provides for them. Institutions that have membership are notexcluded from meeting this criterion as long as their membership is notpredetermined in number and cannot be arbitrarily denied by a vote of theexisting members. Furthermore, an institution is not disqualified if it pro-vides its goods or services only to those who are in need of its goods orservices (i.e., a hospital which only serves people in need of health-careservices). Organizations that serve a private membership or have prima-rily a private interest would not qualify.

The following types of organizations generally would not be exempt (un-less they qualified for exemption under section 501(c)(3) of the InternalRevenue Code) because they serve primarily a private membership and donot serve the general public: associations of employees, labor organizations,agricultural or horticultural organizations, business leagues, clubs orga-nized for recreation or pleasure and fraternal beneficiary societies, ordersor associations.

Government Service. An institution must relieve the government of someof its burden. The �burden� of government is interpreted to include servicesthat the government currently provides, has provided in the past or thatthe government funds. It also includes services that provide a service to thepublic which directly or indirectly reduce dependence on government pro-



grams or relieve or lessen the burden borne by government for the advance-ment of social, moral, educational or physical objectives.

2. Rebuttable Presumption for Institutions Approved by theDepartment of Revenue.

An institution which the Department of Revenue has determined meetsthe criteria in the Act may assert a presumption that it meets the criteriafor local property tax-exemption purposes. When a presumption is appli-cable, the burden of proof for denying status as an institution of purelypublic charity is on the political subdivision which challenges the institu-tion.

An institution with annual program service revenue exceeding $10 mil-lion may assert the presumption only with respect to a political subdivisionwith which the institution has a voluntary agreement to make payments ofcash, property or services.

The rationale for the rebuttable presumption is that the Department ofRevenue must use the same standards as a political subdivision for deter-mining whether an institution meets the criteria as an institution of purelypublic charity. Without all of the additional bureaucracy which may be re-quired by establishing a statewide certification program, the General As-sembly can accomplish its goal of fostering increased uniformity withrespect to determination of qualification for institutions of purely publiccharity.

Taxability of individual parcels is still based on the use of the par-cels, as determined under existing assessment law. A political subdivi-sion may challenge the exempt status of an institution with a valid salestax exemption, but would have to demonstrate, through a preponderance ofthe evidence, that the institution does not meet the five criteria, as definedin Act 55.

3. Voluntary Agreements.Act 55 contains provisions creating incentives for institutions of purely

public charity to enter into voluntary agreements with political subdivi-sions. All contributions received pursuant to voluntary agreements shall beused by political subdivisions to help ensure that essential governmental,public or community services will continue to be provided in a manner thatwill permit an institution to fulfill its charitable mission.

Institutions and political subdivisions may establish public-service foun-dations for the purpose of receiving contributions from institutions of purelypublic charity and making grants or distributions to participating politicalsubdivisions. Political subdivisions which receive a grant or distributionfrom a public-service foundation are prohibited from assessing or seeking aseparate contribution for services from institutions participating in a foun-dation.



An incentive for larger institutions (greater than $10 million in annualprogram service revenues) is the limitation on the use of the rebuttablepresumption unless the institution has a voluntary agreement in place witha political subdivision (see item 2 above).

All institutions which have a voluntary agreement in place with a po-litical subdivision will be eligible to claim the contribution at either 150%,250% or 350% of its actual value (depending upon the size of the contribu-tion) for the purpose of meeting the quantitative standards contained inthe community service portion of the five-part test. Finally, an institutionwith a voluntary agreement is deemed to have met the government-serviceportion of the five-part test.

The Act provides that �nothing in the Act shall be construed to affect,impair, terminate or supersede any contract, agreement or arrangement�between an institution and a political subdivision in effect on or before theeffective date of this Act which authorizes or requires payment of taxes,amounts in lieu of taxes, or other charges or fees for the services of a politi-cal subdivision.� Furthermore, nothing in the Act shall be �construed toimpair, or otherwise inhibit, the right or ability of any institution seeking orpossessing an exemption as an institution of purely public charity, a public-service foundation or political subdivision from executing voluntary agree-ments after the effective date� of the Act.

4. Unfair Compensation with Small Business.Institutions of purely public charity shall not fund, capitalize, guaran-

tee the indebtedness of, lease obligations of, or subsidize a commercial busi-ness that is unrelated to the institution�s charitable purpose as stated inthe institution�s charter or governing legal documents, with certain excep-tions. The prohibitions would not apply to: 1) institutions which do not �sub-stantially expand� the scope of a commercial business existing on the effec-tive date of the Act; 2) any commercial business that is intended only forthe use of an institution�s employees, staff, alumni, faculty, members, stu-dents, clients, volunteers, patients or residents; 3) any commercial businesswhich results in only incidental or periodic sales to the public; 4) invest-ments in stocks, bonds or real estate; and 5) activities the institution isformally requested to undertake by the commonwealth or a political subdi-vision.

Small businesses aggrieved by the actions of an institution of purelypublic charity may file a complaint with the Department of State, whichwould then initiate an arbitration process. If either the institution of purelypublic charity or the small business are dissatisfied with the results of thearbitration, they may appeal to the court of common pleas.

5. Accountability/Disclosure.Institutions of purely public charity must file a copy of their Internal



Revenue Service Information Return (Form 990 and Schedule A) with theDepartment of State each year. Institutions which already file the sameinformation with the Department of State under the Solicitation of Fundsfor Charitable Purposes Act are exempt from requirements of this section.Institutions include information about their organizational affiliates, howthese affiliates are organized, the relationship to the filing entity, and therelationship with other nonprofit organizations. Bona fide duly constitutedreligious institutions and such separate groups or corporations which forman integral part of a religious institution and which are included in a con-solidated return filed by the parent organization are exempt from separatefiling. Also exempt from filing are institutions which receive contributionsof less than $25,000 per year and which have annual program service rev-enue not exceeding $5 million. The information required under this sectionwould be available to the public.

6. State Related Universities / Federal Government Instrumen-talities

Property owned by the state-related universities (Pennsylvania StateUniversity, University of Pittsburgh, Temple University, and Lincoln Uni-versity) is deemed to be public property for the purposes of taxation. Thepublic-property exemption does not apply to property owned by the state-related university, but leased to a for-profit enterprise.

Real property owned by a corporation established by an Act of Congressof the United States, that is required to submit annual reports of its activi-ties to Congress containing itemized accounts of all receipts and expendi-tures after being fully audited by the Department of Defense, is deemed tobe property of a federal government instrumentality and thus exempt fromall state and local taxation.

7. Effective Date.The bill took effect immediately upon the governor�s signature (Novem-

ber 26, 1997). The unfair competition and reporting sections took effect 120days after enactment.

Interested readers should note that the applicable language that is high-lighted in this Statement actually starts on page 17 of the bill. They cancontact the Pennsylvania legislature to get a copy of the Act.



Intimidating Legislative Witnesses

This Act makes it unlawful for any person to intimidate a legislativewitness, by use of a threat, in order to intentionally influence or induce alegislative witness to:

� Appear or not appear before a committee of the General Assembly;� Give or refrain from giving testimony to a committee of the General

Assembly;� Testify falsely before a committee of the General Assembly; or� Avoid legal process summoning the legislative witness to attend and

testify before a committee of the General Assembly.The Act makes it unlawful for any person to take any action against a

legislative witness for testifying before a committee of the General Assem-bly. It defines �legislative witness� as any individual that intends to testifyor testifies before a committee of the General Assembly either voluntarilyor pursuant to a subpoena issued by any committee of the General Assem-bly or of either house thereof. It defines �threat� as the direct communica-tion of an intent to do any act that is intended to harm the health, safety,property, business, or financial condition of the legislative witness.

The law specifies the penalties for a violation and allows legislativewitnesses to recover damages for injuries suffered through a violation.




Section 1. [Short Title.] This Act may be cited as an �Act ConcerningIntimidation of Legislative Witnesses.�

Section 2. [Preventing Legislative and Judicial Access to Employees -Intimidation of Legislative Witnesses - Penalty.] It is unlawful for any per-son:

(1) To intimidate a legislative witness, by use of a threat, in order tointentionally influence or induce a legislative witness:

(i) To appear or not appear before a committee of the [GeneralAssembly;]

(ii) To give or refrain from giving testimony to a committee ofthe [General Assembly;]

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(iii) To testify falsely before a committee of the [General As-sembly;] or

(iv) To avoid legal process summoning the legislative witnessto attend and testify before a committee of the [General Assembly;] or

(2) To take any action against a legislative witness for testifyingbefore a committee of the [General Assembly.]

Section 3. [Definitions.] As used in this Act:(1) �legislative witness� means any individual that intends to tes-

tify or testifies before a committee of the [General Assembly] either volun-tarily or pursuant to a subpoena issued by any committee of the [GeneralAssembly] or of either house thereof.

(2) �threat� means to communicate directly the intent to do any actthat is intended to harm the health, safety, property, business, or financialcondition of the legislative witness.

Section 4. [Penalties.] Any person violating any provision of this Act isguilty of a misdemeanor and, upon conviction thereof, shall be punished bya fine of not more than [one thousand (1,000)] dollars.

Section 5. [Damages.](a) An employee, a franchisee, or an agent or an entity under the control

of any person, or a legislative witness may recover damages, including rea-sonable attorney fees, from any person for injuries suffered through a viola-tion of this Act.

(b) Nothing in this Act shall be construed to prohibit an employee, afranchisee, or an agent or an entity under the control of any person, or alegislative witness from pursuing any other right of action permitted pur-suant to law for injuries suffered through a violation of this Act.




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Land Bank Authorities

This Act enables cities and counties to enter into inter-local cooperationagreements to establish land bank authorities. Localities can establish theseauthorities to acquire tax-delinquent properties in order to use those prop-erties to provide housing, new industry and jobs for the citizens of the af-fected localities.

A consolidated government may adopt a resolution to establish a landbank authority.

Land bank authorities are public bodies, corporate and politic, withthe power to sue and be sued, accept and issue deeds in their name, and toinstitute quia timet actions.

Submitted as:GeorgiaSB 143Enacted into law, 1997.



Section 1. [Short Title.] This Act may be cited as the �Land Bank Au-thority Act.�

Section 2. [Definitions.] As used in this Act:�Agreement� means:

(1) An interlocal cooperation agreement entered into by the partiespursuant to this Act; or

(2) A resolution of a consolidated government establishing an au-thority pursuant to this Act.

�Authority� means the land bank authority established pursuant to thisAct.

�Parties� means the parties to the agreement, which shall include one ormore cities and the county containing such cities, or a consolidated govern-ment which has adopted a resolution establishing an authority.

�Property� means real property, including any improvements thereon.�Tax-delinquent property� means any property on which the taxes lev-

ied and assessed by any party remain in whole or in part unpaid on thedate due and payable.

Section 3. [Land Bank Authority; Creation, Powers and Duties](a) One or more cities and the county containing such cities may enter

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into an interlocal cooperation agreement, or a consolidated government mayadopt a resolution, for the purpose of establishing a land bank authoritypursuant to this Act.

(b) The authority shall be a public body corporate and politic with thepower to sue and be sued, to accept and issue deeds in its name, and toinstitute quia timet actions and shall have any other powers necessary andincidental to carry out the powers granted by this Act.

(c) The authority shall be established to acquire the tax delinquent prop-erties of the parties in order to foster the public purpose of returning landwhich is in a non-revenue-generating, non-tax-producing status to an effec-tive utilization status in order to provide housing, new industry, and jobsfor the citizens of the county. The authority shall have the powers providedin this Article and those necessary and incidental to the exercise of suchpowers.

(d) Any authority established pursuant to this Act may be dissolved byany party to the agreement or by resolution of a consolidated governmentor, where multiple cities are involved, any city may withdraw from the agree-ment which established the authority, or such authority may be dissolvedby local Act of the [General Assembly.]

(e) An authority whose parties form a consolidated government afterentering into an interlocal cooperation agreement shall thereafter operateunder and be governed

by the provisions of this Act applicable to authorities of consolidatedgovernments as if created by resolution of a consolidated government. Theboard governing such an authority shall be reconstituted by resolution ofthe consolidated governments in conformity with the provisions of subsec-tion (a) of Section 4 of this Act prior to the first meeting of such boardsubsequent to the effective date of consolidation of the party governments.

Section 4. [Administration and Staff.](a) The authority shall be governed by a board composed in such a man-

ner as to provide [two (2)] members to represent each party: [two (2)] ap-pointed by the mayor of each party city and [two (2)] appointed by the countycommission of the party county. An authority established by resolution of aconsolidated government shall be governed by a board composed of [four(4)] members to be appointed by the governing authority of the consoli-dated government. Each member shall serve at the pleasure of the respec-tive appointing authority for a term of [four (4)] years and shall serve with-out compensation. The members shall be residents of the county and maybe employees of the parties. Any vacancy shall be filled for the remainder ofthe unexpired term in the same manner as the original appointment.

(b) The board of the authority shall meet from time to time as required,and the presence of either [three (3)] members, if there are only [two (2)]parties to the agreement or if the authority was created by a consolidated


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government or [fifty (50)] percent of the members then in office, if there aremore than [two (2)] parties to the agreement, shall constitute a quorum.Approval by a majority of the membership then in office shall be necessaryfor any action to be taken by the authority. All meetings shall be open to thepublic, except as otherwise provided by state law, and a written record shallbe maintained of all meetings. A chairperson shall be elected from amongthe members, and he or she shall execute all deeds, leases, and contracts ofthe authority when authorized by the board.

(c) The authority may employ its own staff or may utilize employees ofthe parties, as determined by the agreement.

Section 5. [Property Acquisition and Disposal.](a) The authority shall hold in its own name, for the benefit of the par-

ties, all properties conveyed to it by the parties, all tax-delinquent proper-ties acquired by it pursuant to this Act, and all properties otherwise ac-quired.

(b) It shall be the duty of the authority to administer the propertiesacquired by it as follows:

(1) All property acquired by the authority shall be inventoried andappraised, and the inventory shall be maintained as a public record;

(2) The authority shall organize and classify the property on thebasis of suitability for use;

(3) The authority shall maintain all property held by it in accor-dance with applicable laws and codes; and

(4) The authority shall have the power to manage, maintain, pro-tect, rent, lease, repair, insure, alter, sell, trade, exchange, or otherwise dis-pose of any property on terms and conditions determined in the sole discre-tion of the authority. The authority may assemble tracts or parcels of prop-erty for public parks or other public purposes and to that end may exchangeparcels and otherwise effectuate the purposes determined by agreementwith any party.

(c) The acquisition and disposal of property by the authority shall not begoverned or controlled by any regulations or laws of the parties unless spe-cifically provided in the agreement, and transfers of property by parties tothe authority shall be treated as transfers to a body politic as contemplatedby [insert citation.]

(d) Property held by the authority may be sold, traded, exchanged, orotherwise disposed of by the authority so long as the disposition is approvedby a majority of the membership, as required in subsection (b) of Section 4of this Act, for any action by the authority, and approved as follows:

(1) If the property is located within a party city and the party county,approved by both authority members appointed by the mayor of such cityand one of the authority members appointed by the county commission;

(2) If the property is located within the county party but outside all


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the party cities, approved by both authority members appointed by thecounty commission;

(3) If the property is located within a party city but outside theparty county, approved by both authority members of such city; or

(4) If the property is located within the boundaries of a consolidatedgovernment, approved by a majority of the authority members.

Section 6. [Taxes.](a) If any party obtains a judgment for taxes against a tax-delinquent

property within the party county, any of the party cities, or the boundariesof the consolidated government and, the property is ordered sold at a taxsale to satisfy the judgment, the authority may tender one bid at such sale,and such bid shall comprise the authority�s commitment to pay not morethan all costs of the sale and its assumption of liability for all taxes, accruedinterest thereon, and penalties, and, if there is no other bid, the tax com-missioner shall accept the authority�s bid and make a deed of the propertyto the authority.

(b) In accordance with the provisions of [insert citation,] the authorityshall have the right to foreclose the right to redeem property at any timeafter the [twelve (12)] month redemption period has expired pursuant toSection 7 of this Act. Notwithstanding the foregoing provisions of this sub-section, the right of redemption shall automatically terminate and expireupon failure to redeem in accordance with [insert citation] where the taxsale was conducted pursuant to [insert citation.]

(c) When a property is acquired by the authority, the authority shallhave the power to extinguish all county and city or consolidated govern-ment taxes, including school district taxes, at the time it sells or otherwisedisposes of property; provided, however, that, with respect to school districttaxes, the authority shall first obtain the consent of the board of educationgoverning the school district in which the property is located. In determin-ing whether or not to extinguish taxes, the authority shall consider thepublic benefit to be gained by tax forgiveness with primary considerationgiven to purchasers who intend to build or rehabilitate low-income hous-ing. The decision by the authority to extinguish taxes is subject to the voterequirements for dispositions of property under subsection (d) of Section 5of this Act.

(d) At the time that the authority sells or otherwise disposes of propertyas part of its land bank program, the proceeds from the sale, if any, shall beallocated as determined by the authority among the following priorities:

(1) furtherance of authority operations;(2) recovery of authority expenses; and(3) distribution to the parties and the appropriate school district in

proportion to and to the extent of their respective tax bills and costs. Anyexcess proceeds shall be distributed pursuant to the agreement of the par-


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ties or by resolution of the consolidated government in accordance with thepublic policy stated in this Act.

(e) The authority shall have full discretion in determining the sale priceof the property. The agreement of the parties shall provide for a distribu-tion of property that favors neighborhood nonprofit entities obtaining theland for low-income housing and, secondarily, other entities intending toproduce low-income or moderate-income housing.

Section 7. [Foreclosure.]The authority may foreclose the right of redemption to the property

conveyed to the authority pursuant to a tax sale conducted in accordancewith [insert citation] in the following manner:

(1) The record title to the property shall be examined and a certifi-cate of title shall be prepared for the benefit of the authority;

(2) The authority shall serve the prior owner whose interest wasforeclosed upon and all persons having record title or interest in or lienupon the property with a notice of foreclosure of this right to redeem inconformance with [insert citation;]

(3) In the event persons entitled to service are located outside thecounty, they may be served by certified mail; or

(4) In the event the sheriff is unable to perfect service or certifiedmail attempts are returned unclaimed, the authority shall conduct a searchfor the person with an interest in the property conveyed to the authority,which search must, at a minimum, have included the following:

(A) An examination of the addresses given on the face of theinstrument vesting interest or the addresses given to the clerk of the supe-rior court by the transfer tax declaration form. The clerk of the superiorcourt and the tax assessor of the county are required to share informationcontained in the transfer tax declaration form with one another in a timelymanner;

(B) A search of the current telephone directory for the countyin which the property is located;

(C) A letter of inquiry to the person who sold the property tothe defendant in the tax sale at the address shown in the transfer tax dec-laration form or in the telephone directory;

(D) A letter of inquiry to the attorney handling the closing priorto the tax sale if provided on the deed forms;

(E) A sign being no less than [four (4)] feet by [six (6)] feet shallbe erected on the property and maintained by the authority for a minimumof [thirty (30)] days reading as follows:

�THIS PROPERTY HAS BEEN CONVEYED TO THE____________________ LAND BANK AUTHORITY BY VIRTUE OF ASALE FOR UNPAID TAXES. PERSONS WITH INFORMATION RE-


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GARDING THE PRIOR OWNER OF THE PROPERTY ARE RE-QUESTED TO CALL _________________.�; and

(F) If the authority has made the search as required by thisparagraph and been unable to locate those persons required to be servedunder paragraph (2) of this section or, having located additional addressesof those persons through such search, attempted without success to servethose persons in either manner provided by paragraph (2) or (3) of thissection, the authority shall make a written summary of the attempts madeto serve the notice, in recordable form, and may authorize the foreclosure ofthe redemption rights of record.�





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Lead Exposure

This Act establishes voluntary standards to reduce the risk of exposureto lead in residences that were built before 1978. Owners who bring theirbuildings into compliance with these standards also limit their liability inlawsuits over lead exposure to occupants of their buildings.

Submitted as:North CarolinaSB 806, engrossed version.

Readers should note that the SSL committee reviewed SB 806, but thelegislation highlighted in this volume is actually based on language thatwas enacted as part of Chapter 443 of the 1997 North Carolina SessionLaws. That chapter contains the same language as SB 806. The committeesubstituted the applicable language of Chapter 443 for SB 806 in this Sug-gested State Legislation volume because SB 806 did not pass the Legisla-ture.



Section 1. [Short Title.] This Act may be cited as the �Childhood LeadExposure Act.�

Section 2. [Definitions.] As used in this Act:(1) �Abatement� means identifying lead-based paint, identifying or as-

sessing a lead-based paint hazard, or undertaking any of the followingmeasures to eliminate a lead-based paint hazard:

(i) Removing lead-based paint from a surface and repainting thesurface.

(ii) Removing a component, such as a windowsill, painted with lead-based paint and replacing the component.

(iii) Enclosing a surface painted with lead-based paint with panel-ing, vinyl siding, or another approved material.

(iv) Encapsulating a surface painted with lead-based paint with asealant.

(v) Any other measure approved by the [Commission.]The term includes an inspection and a risk assessment.(2) �Confirmed lead poisoning� means a blood lead concentration of

[twenty (20)] micrograms per deciliter or greater determined by the lowerof [two (2)] consecutive blood tests within a [six (6)] month period.

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(3) �Child-occupied facility� means a building, or portion of a building,constructed prior to 1978, regularly visited by a child who is less than [six(6)] years of age. Child-occupied facilities may include, but are not limitedto, child care facilities, preschools, nurseries, kindergarten classrooms,schools, clinics, or treatment centers including the common areas, thegrounds, any outbuildings, or other structures appurtenant to the facility.

(4) �Department� means the [Department of Environment, Health, andNatural Resources] or its authorized agent.

(5) �Elevated blood lead level� means a blood lead concentration of [ten(10)] micrograms per deciliter or greater determined by the lower of [two(2)] consecutive blood tests within a [six (6)] month period.

(6) �Lead-based paint hazard� means a condition that is likely to causeadverse health effects as a result of exposure to lead-based paint or to soilor dust that contains lead derived from lead-based paint.

(7) �Lead poisoning hazard� means the presence of readily accessible ormouthable lead-bearing substances, including lead-based paint, measur-ing [one (1.0)] milligram per square centimeter or greater by X-ray fluores-cence or [one-half of one (0.5)] percent or greater by chemical analysis; or[fifteen (15)] parts per billion or greater in drinking water; or [one hundred(100)] micrograms per square foot or greater for dust on floors; or [five hun-dred (500)] micrograms per square foot or greater for dust on windowsills;or [eight hundred (800)] micrograms per square foot or greater for dust inwindow troughs, or soil lead concentrations in an amount greater than orequal to [four hundred (400)] parts per million that is determined by the[Department] to present a hazard in light of the condition and use of theland and other relevant factors.

(8) �Lead-safe housing� is housing that was built since 1978 or has beentested by a person that has been certified to perform risk assessments andfound to have no lead-based paint hazards within the meaning of the Resi-dential Lead-Based Paint Reduction Act of 1992, 42 U.S.C. ß 4851b(15).

(9) �Managing agent� means any person who has charge, care, or controlof a building or part thereof in which dwelling units or rooming units areleased.

(10) �Maintenance standard� means the following:(i) Using safe work practices, repairing and repainting areas of de-

teriorated paint inside a residential housing unit and for single-family andduplex residential dwellings built prior to 1950, repairing and repaintingareas of deteriorated paint on interior and exterior surfaces;

(ii) Cleaning the interior of the unit to remove dust that constitutesa lead poisoning hazard;

(iii) Adjusting doors and windows to minimize friction or impact onsurfaces;

(iv) Subject to the occupant�s approval, appropriately cleaning anycarpets;

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(v) Taking such steps as are necessary to ensure that all interiorsurfaces on which dust might collect are readily cleanable; and

(vi) Providing the occupant or occupants all information required tobe provided under the Residential Lead-Based Paint Hazard Reduction Actof 1992, and amendments thereto.

(11) �Mouthable lead-bearing substance� means any substance on sur-faces or fixtures five feet or less from the floor or ground that form a pro-truding corner or similar edge, or protrude one-half inch or more from a flatwall surface, or are freestanding, containing lead-contaminated dust at alevel that constitutes a lead poisoning hazard. Mouthable surfaces or fix-tures include toys, vinyl miniblinds, doors, door jambs, stairs, stair rails,windows, windowsills, and baseboards.

(12) �Persistent elevated blood lead level� means a blood lead concentra-tion of [fifteen to nineteen (15-19)] micrograms per deciliter determined bythe lowest of [three (3)] consecutive blood tests. The first [two (2)] bloodtests shall be performed within a [six (6)] month period, and the [third (3)]blood test shall be performed at least [twelve (12)] weeks and not morethan [six (6)] months after the [second (2)] blood test.

(13) �Readily accessible lead-bearing substance� means any substancecontaining lead at a level that constitutes a lead poisoning hazard whichcan be ingested or inhaled by a child under [six (6)] years of age. Readilyaccessible substances include deteriorated paint that is peeling, chipping,cracking, flaking, or blistering to the extent that the paint has separatedfrom the substrate. Readily accessible substances also include soil, water,and paint that is chalking.

(14) �Regularly visits� means the presence at a residential housing unitor child-occupied facility on at least [two (2)] different days within any week,provided that each day�s visit lasts at least [three (3)] hours and the com-bined weekly visits last at least [six (6)] hours, and the combined annualvisits last at least [sixty (60)] hours.

(15) �Remediation� means the elimination or control of lead poisoninghazards by methods approved by the [Department.]

(16) �Residential housing unit� means a dwelling, dwelling unit, or otherstructure, all or part of which is designed or used for human habitation,including the common areas, the grounds, any outbuildings, or other struc-tures appurtenant to the residential housing unit.

(17) �Supplemental address� means a residential housing unit or child-occupied facility where a child with a persistent elevated blood lead level ora confirmed lead poisoning regularly visits or attends. Supplemental ad-dress also means a residential housing unit or child-occupied facility wherea child resided, regularly visited, or attended within the six months imme-diately preceding the determination of a persistent elevated blood lead levelor a confirmed lead poisoning.

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Section 3. [Reports of Blood Levels in Children.]All laboratories doing business in this state shall report to the [Depart-

ment] blood lead levels of [one (1)] microgram per deciliter or greater forchildren less than [six (6)] years of age and for individuals whose ages areunknown at the time of testing. Reports shall be made within [five (5)]working days after test completion on forms provided by the [Department]or on self-generated forms containing: the child�s full name, date of birth,sex, race, address, and Medicaid number, if any; the name, address, andtelephone number of the requesting health care provider; the name, ad-dress, and telephone number of the testing laboratory; the laboratory re-sults, the specimen type � venous or capillary; the laboratory sample num-ber, and the dates the sample was collected and analyzed. Such reportsmay be made by electronic submissions.

Section 4. [Examination and Testing.]When the [Department] has a reasonable suspicion that a child less

than [six (6)] years of age has a persistent elevated blood lead level or aconfirmed lead poisoning, the [Department] may require that child to beexamined and tested within [thirty (30)] days. The [Department] shall re-quire from the owner, managing agent, or tenant of the residential housingunit or child-occupied facility information on each child who resides in, regu-larly visits, or attends, or, who has within the past [six (6)] months, residedin, regularly visited, or attended the unit or facility. The information re-quired shall include each child�s name and date of birth, the names andaddresses of each child�s parents, legal guardian, or full-time custodian.The owner, managing agent, or tenant shall submit the required informa-tion within [ten (10)] days of receipt of the request from the [Department.]

Section 5. [Investigation to Identify Lead Poisoning Hazards.](a) When the [Department] learns of a persistent elevated blood lead

level or a confirmed lead poisoning, the [Department] shall conduct an in-vestigation to identify the lead poisoning hazards to children. The [Depart-ment] shall investigate the residential housing unit or child-occupied facil-ity where the child with the persistent elevated blood lead level or the con-firmed lead poisoning resides, regularly visits, or attends. The [Depart-ment] shall also investigate the supplemental addresses of the child whohas a persistent elevated blood lead level or a confirmed lead poisoning.

(b) The [Department] shall also conduct an investigation when it rea-sonably suspects that a lead poisoning hazard to children exists in a resi-dential housing unit or child-occupied facility occupied, regularly visited, orattended by a child less than [six (6)] years of age.

(c) In conducting an investigation, the [Department] may take samplesof surface materials, or other materials suspected of containing lead, foranalysis and testing. If samples are taken, chemical determination of the

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lead content of the samples shall be by atomic absorption spectroscopy orequivalent methods approved by the [Department.]

Section 6. [Notification.]Upon determination that a lead poisoning hazard exists, the [Depart-

ment] shall give written notice of the lead poisoning hazard to the owner ormanaging agent of the residential housing unit or child-occupied facilityand to all persons residing in, attending, or regularly visiting the unit orfacility. The written notice to the owner or managing agent shall include alist of possible methods of abatement of the lead-based paint hazards andof possible methods of remediation of any other lead poisoning hazard.

Section 7. [Abatement and Remediation.](a) Upon determination that a child less than [six (6)] years of age has a

confirmed lead poisoning of [twenty (20)] micrograms per deciliter or greaterand that child resides in, attends, or regularly visits, a residential housingunit or child-occupied facility containing lead poisoning hazards, the [De-partment] shall require abatement of the lead-based paint hazards and theremediation of other lead poisoning hazards. The [Department] shall alsorequire the abatement of the lead-based paint hazards and the remediationof other lead poisoning hazards identified at the supplemental addresses ofa child less than [six (6)] years of age with a confirmed lead poisoning of[twenty (20)] micrograms per deciliter or greater.

(b) When abatement of lead-based paint hazards or remediation of otherlead poisoning hazards is required under subsection (a) of this section, theowner or managing agent shall submit a written remediation plan to the[Department] within [fourteen (14)] days of receipt of the lead poisoninghazard notification and shall obtain written approval of the plan prior toinitiating abatement of lead-based paint hazards or remediation of otherlead poisoning hazards. The remediation plan shall comply with subsec-tions (g), (h), and (i) of this section.

(c) If the remediation plan submitted fails to meet the requirements ofthis section, the [Department] shall issue an order requiring submission ofa modified plan. The order shall indicate the modifications which shall bemade to the remediation plan and the date by which the plan as modifiedshall be submitted to the [Department.]

(d) If the owner or managing agent does not submit a remediation planwithin [fourteen (14)] days, the [Department] shall issue an order requir-ing submission of a remediation plan within [five (5)] days of receipt of theorder.

(e) The owner or managing agent shall notify the [Department] and theoccupants of the dates of remediation activities at least [three (3)] daysprior to the commencement of the activities.

(f) Abatement of lead-based paint hazards and remediation of other lead

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poisoning hazards shall be completed within [sixty (60)] days of the[Department�s] approval of the remediation plan. If these activities are notcompleted within [sixty (60)] days as required, the [Department] shall is-sue an order requiring completion of the activities. An owner or managingagent may apply to the [Department] for an extension of the deadline. The[Department] may issue an order extending the deadline for [thirty (30)]days upon proper written application by the owner or managing agent.

(g) The following methods of abatement of lead-based paint hazards areprohibited:

(1) Stripping paint on-site with methylene chloride-based solutions;(2) Torch or flame burning;(3) Heating paint with a heat gun above [one-thousand one hun-

dred (1,100)] degrees Fahrenheit;(4) Covering with new paint or wallpaper unless all readily acces-

sible lead-based paint has been removed;(5) Uncontrolled abrasive blasting; or(6) Uncontrolled water blasting.

(h) All lead-containing waste and residue shall be removed and dis-posed of in accordance with applicable federal, state, and local laws andrules.

(i) All remediation plans shall require that the lead poisoning hazardsbe reduced to below the following levels:

(1) Floor lead dust levels are less than [one hundred (100)] micro-grams per square foot;

(2) Windowsill lead dust levels are less than [five hundred (500)]micrograms per square foot;

(3) Window trough lead dust levels are less than [eight hundred(800)] micrograms per square foot;

(4) Soil lead levels are less than [four hundred (400)] parts per mil-lion or such other level higher than [four hundred (400)] parts per millionas determined by the [Department] to prevent a hazard in light of the con-dition and use of the land and in light of other relevant factors; and

(5) Drinking water lead levels less than [fifteen (15)] parts per bil-lion.

(j) The [Department] shall verify by visual inspection that the approvedremediation plan has been completed. The [Department] may also verifyplan completion by residual lead dust monitoring and soil or drinking wa-ter lead level measurement. Compliance with the maintenance standardshall be deemed equivalent to meeting the remediation plan requirementsas long as exterior surfaces are also addressed. (k) Removal of childrenfrom the residential housing unit or child-occupied facility shall not consti-tute abatement or remediation if the property continues to be used for aresidential housing unit or child-occupied facility.

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Section 8. [Effect of Compliance with Maintenance Standard.]Any owner of a residential housing unit constructed prior to [1978] who

is sued by a current or former occupant seeking damages for injuries alleg-edly arising from exposure to lead-based paint or lead-contaminated dust,shall not be deemed liable:

(1) for any injuries sustained by that occupant after the owner firstcomplied with the maintenance standard defined under Section 2 (10) ofthis Act provided the owner has repeated the steps provided for in the main-tenance standard annually and obtained a certificate of compliance underSection 9 annually during such occupancy; or

(2) if the owner is able to show by other documentation that compli-ance with the maintenance standard has been maintained during the pe-riod when the injuries were sustained; or

(3) if the owner is able to show that the unit was lead-safe housingcontaining no lead-based paint hazards during the period when the inju-ries were sustained.

Section 9. [Effect of Evidence of Compliance.]An owner of a unit who has complied with the maintenance standard

may apply annually to the [Department] for a certificate of compliance.Upon presentation of acceptable proof of compliance, the [Department] shallprovide to the owner a certificate evidencing compliance. The [Department]may issue a certificate based solely on information provided by the ownerand may revoke the certificate upon showing that any of the information iserroneous or inadequate, or upon finding that the unit is no longer in com-pliance with the maintenance standard.

Section 10. [Discrimination in Financing.](a) No bank or financial institution in the business of lending money for

the purchase, sale, construction, rehabilitation, improvement, or refinanc-ing of real property or the lending of money secured by an interest in realproperty may refuse to make such loans merely because of the presence oflead-based paint on the residential real property or in the residential hous-ing unit provided that the owner is in compliance with the maintenancestandard and has obtained a certificate of compliance under Section 9 an-nually.

(b) Nothing in this section shall require a financial institution to extenda loan or otherwise provide financial assistance if it is clearly evident thathealth-related issues, other than those related to lead-based paint, makeoccupancy of the housing accommodation an imminent threat to the healthor safety of the occupant, or be construed to preclude a financial institutionfrom considering the fair market value of the property which will securethe proposed loan.

(c) Failure to meet the maintenance standard shall not be deemed a

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default under existing mortgages.

Section 11. [Resident Responsibilities.]In any residential housing unit occupied by a child less than [six (6)]

years old who has an elevated blood lead level of [ten (10)] micrograms perdeciliter or greater, the [Department] shall advise, in writing, the owner ormanaging agent and the child�s parents or legal guardian as to the impor-tance of carrying out routine cleaning activities in the units they occupy,own, or manage. Such cleaning activities shall include:

(1) Wiping clean all windowsills with a damp cloth or sponge atleast weekly;

(2) Regularly washing all surfaces accessible to children;(3) In the case of a leased residential housing unit, identifying any

deteriorated paint in the unit and notifying the owner or managing agentof such conditions within [seventy-two (72)] hours of discovery; and

(4) Identifying and understanding potential lead poisoning hazardsin the environment of each child under the age of [six (6)] in the unit (in-cluding toys, vinyl miniblinds, playground equipment, drinking water, soil,and painted surfaces), and taking steps to prevent children from ingestinglead such as encouraging children to wash their faces and hands frequentlyand especially after playing outdoors.�

Section 12. [Rules.] The [Commission for Health Services] shall adoptrules to implement this Act.




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Limited-Service Rural Hospitals

Legislation from Utah that addresses access to health care in rural com-munities is highlighted in a �Health Note� in the 1998 Suggested StateLegislation volume. That legislation, Utah HB 216, mandates that HealthMaintenance Organization (HMO) members who live in communities withless than 100 people per square mile can visit local doctors who are notcovered by their HMO plans when the members would have to travel morethan 30 miles to see a doctor who is covered by their HMO plan.

This Act establishes limited-service rural hospitals. Limited-service ru-ral hospitals:

� Are facilities which provide 24-hour emergency services;� Provide inpatient care for a period not exceeding 96 hours;� Are located within 20 miles of another, full-service hospital; and� Are limited to 15 acute care beds.

Submitted as:NebraskaLB 837Enacted into law, 1997.



Section 1. [Short Title.] This Act may be cited as the �Limited ServiceRural Hospitals Act.�

Section 2. [Legislative Findings.] The legislature finds and declares forthe purposes of limited-service rural hospitals as defined in subdivision(24) of section 4 of this Act:

(1) [One-half (1/2)] of the state population, or about [eight hundredthousand (800,000)] people, reside in rural areas, and maintaining accessto health care services continues to be a struggle for such rural residentswho must overcome geographic barriers, limited capital resources, and thedifficulty of recruiting and retaining physicians and other health care pro-fessionals;

(2) Rural areas have a larger proportion of elderly residents;(3) Nationally, inadequate Medicare reimbursement and burden-

some and inflexible requirements have contributed to a high closure rateamong rural hospitals, resulting in reduced access to primary care and emer-gency services for millions of rural residents;

(4) Over the past [seven (7)] years, the federal government has sup-

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ported the development of limited-service rural hospitals in several statesto provide an alternative for rural communities that can no longer supporta traditional hospital in remote or sparsely populated areas; and

(5) The purpose of the creation of limited-service rural hospitals isto (a) ensure access to health care services for rural communities by allow-ing hospitals to be designated as limited-service rural hospitals if such hos-pitals limit the scope of available inpatient acute care services, (b) providemore appropriate and flexible staffing and licensure standards, (c) enhancethe financial security of limited-service rural hospitals by reimbursing suchfacilities on a reasonable cost basis, and (d) promote linkages between lim-ited-service rural hospitals licensed by the state and broader programs sup-porting the development of and transition to integrated provider networks.

Section 3. [Standards.] In addition to the authority of the [Departmentof Health and Human Services Regulation and Licensure] pursuant to sec-tion 5 of this Act, the [department] is hereby authorized to adopt and pro-mulgate rules, regulations, and standards with respect to limited-servicerural hospitals as defined in subdivision (24) of section 4 of this Act. Suchrules, regulations, and standards shall include, but not be limited to:

(1) Minimum staffing requirements regarding the number of hoursduring a day or days during a week in which a facility must be open andfully staffed when no inpatient is present;

(2) Minimum standards for the governing board, medical staff, nurs-ing services, and quality assurance program of a limited-service rural hos-pital; and

(3) Minimum standards for the scope of services provided by suchhospital, including inpatient medical care which shall be subject to lengthof stay limits, emergency medical care, diagnostic and therapeutic services,and laboratory, radiology, surgery, and anesthesia services.

Section 4. [Definitions.] For purposes of this Act, unless the context oth-erwise requires:

(1) Care shall mean the exercise of concern or responsibility for thecomfort and welfare of the residents of a facility by the owner, occupant,administrator, or operator of the facility in addition to the provision of foodand shelter to the residents and shall include, but not be limited to, themaintenance of a minimum amount of supervision of the activities of theresidents of the facility as well as the provision of a minimum amount ofassistance to the residents and shall also include personal care, hereby de-fined as the provision of health-related services for people who are in needof a protective environment but who are otherwise able to manage the nor-mal activities of daily living;

(2) Hospital shall mean (a) any institution, facility, place, or build-ing which is devoted primarily to the maintenance and operation of facili-


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ties for the diagnosis, treatment, or medical care over a period exceeding[twenty-four (24)] consecutive hours of [two (2)] or more unrelated peoplesuffering from illness, condition, injury, or deformity, (b) any institution,facility, place, or building which is devoted primarily to the rendering overa period exceeding [twenty-four (24)] consecutive hours of obstetrical orother medical care for [two (2)] or more unrelated people, or (c) any institu-tion, facility, place, or building in which any accommodation is primarilymaintained, furnished, or offered for the medical and nursing care over aperiod exceeding [twenty-four (24)] consecutive hours of [two (2)] or moreunrelated aged or infirm persons requiring or receiving convalescent care.Hospital shall include, but not be limited to, facilities or parts of facilitieswhich provide space for general acute hospitals, short-term hospitals, reha-bilitation hospitals, long-term care hospitals, limited-service rural hospi-tals, psychiatric or mental hospitals, and emergency hospitals or treatmentcenters. Hospital shall not be construed to include the residence, office, orclinic of a private physician or of an association of physicians, any otherhealth practitioner, or any practitioner or association of practitioners li-censed pursuant to [insert citation,] in which residence, office, or clinic pa-tients are not treated or given care for a period in excess of [twenty-four(24)] consecutive hours;

(3) General acute hospital shall mean a hospital having a duly con-stituted governing body which exercises administrative and professionalresponsibility and an organized medical staff which provides inpatient care,including medical, nursing, surgical, anesthesia, laboratory, diagnostic ra-diology, pharmacy, and dietary services. Such services may be providedthrough a contract or agreement;

(4) Short-term hospital shall mean a hospital that (a) is primarilydevoted to the diagnosis and treatment of people requiring short-term treat-ment or treatment of diagnosis consistent with the medical support avail-able and (b) has written coordination agreements with a general acutehospital for transfers and quality assurance programs. Short-term hospitalshall not mean a facility for the treatment of mental diseases, a rehabilita-tion hospital, or a substance abuse treatment center;

(5) Rehabilitation hospital shall mean a hospital which is operatedfor the primary purpose of assisting in the rehabilitation of disabled per-sons through an integrated program of medical and other services providedunder professional supervision;

(6) Long-term care hospital shall mean any hospital, any distinctpart of any hospital, or any portion of a hospital which is primarily devotedto providing the care and services as set forth in subdivisions (10), (11), and(21) of this section;

(7) Psychiatric or mental hospital shall mean a hospital which isprimarily engaged in providing to inpatients, by or under the supervision ofa physician, psychiatric services for the diagnosis and treatment of men-


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tally ill persons;(8) Emergency hospital or treatment center shall mean a hospital

primarily devoted to the diagnosis and treatment of people requiring emer-gency outpatient services and emergency care and with written coordina-tion agreements with a general acute hospital for transfers and qualityassurance programs;

(9) Health clinic shall mean an institution, a facility, a place, a build-ing, or any distinct part of an institution, a facility, a place, or a building, notlicensed as a hospital, in which advice, counseling, diagnosis, treatment,surgery, care, or services relating to the preservation or maintenance ofhealth are provided on an outpatient basis and for a period not exceeding[twenty-four (24)] consecutive hours primarily or exclusively to persons notresiding or confined in such institution, facility, place, building, or distinctpart of such institution, facility, place, or building. Health clinic shall in-clude, but not be limited to, an ambulatory surgical center. Satellite clinicsoperated on an intermittent basis at a specific location or site and provid-ing services within a portion of the total geographic area served by a li-censed health clinic need not be separately licensed but may be operated asa part of a parent clinic and share administration and services. Healthclinic shall not include the residence, office, clinic, or any distinct part of theresidence, office, or clinic of a private physician or association of physicians,any other health practitioner or association of practitioners, or any practi-tioner licensed pursuant to [insert citation] unless such residence, office,clinic, or distinct part of the residence, office, or clinic is an ambulatorysurgical center or unless [ten (10] or more abortions, as defined in [insertcitation,] are performed during any [one (1)] calendar week in such resi-dence, office, clinic, or distinct part of the residence, office, or clinic. Healthclinic shall not include an institution, a facility, a place, a building, or anydistinct part of an institution, a facility, a place, or a building which pro-vides only routine health screenings, health education, or immunizations.For purposes of this subdivision, routine health screenings shall mean thecollection of health data through the administration of a screening tool de-signed for a specific health problem, evaluation and comparison of resultsto referral criteria, and referral to appropriate sources for care, if indicated,and screening tool shall mean a simple interview or testing procedure tocollect basic information on health status;

(10) Skilled nursing facility shall mean any institution, facility, place,or building or a distinct part of any institution, facility, place, or buildingwhich is primarily devoted to providing to inpatients skilled nursing careand related services for patients who require medical or nursing care orrehabilitation of injured, disabled, or sick persons. Unless a waiver is grantedpursuant to [insert citation,] a skilled nursing facility shall use the servicesof (a) a licensed registered nurse for at least [eight (8)] consecutive hoursper day, [seven (7)] days per week and (b) a licensed registered nurse or


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licensed practical nurse on a [twenty-four (24)] hour basis [seven (7)] daysper week. Except when waived under [insert citation,] a skilled nursingfacility shall designate a licensed registered nurse or licensed practical nurseto serve as a charge nurse on each tour of duty. The director of nursingservices shall be a licensed registered nurse, and this requirement shall notbe waived. The director of nursing services may serve as a charge nurseonly when the skilled nursing facility has an average daily occupancy of[sixty (60)] or fewer residents;

(11) Intermediate care facility shall mean any institution, facility, place,or building in which accommodation and board for a period exceeding[twenty-four (24)] consecutive hours and also nursing care and related medi-cal services are provided for [two (2)] or more unrelated people who are ill,injured, or disabled but not in need of hospital or skilled nursing facilitycare, but who by reason of illness, disease, injury, deformity, disability, con-valescence, or physical or mental infirmity require such nursing care andrelated medical services. An intermediate care facility shall provide at least[one (1)] licensed registered nurse or licensed practical nurse on duty onthe day shift [seven (7)] days per week and at least [one (1)] licensed regis-tered nurse, licensed practical nurse, or care staff member on duty on theother [two (2)] shifts [seven (7)] days per week. An intermediate care facil-ity shall provide a director of nursing services, who shall be a licensed reg-istered nurse, to administer, supervise, delegate, and evaluate nursing andnursing support services of the facility. The director of nursing services shallserve on the day shift [five (5)] days per week, [eight (8)] hours per day,except when it is necessary to vary working hours to provide supervision onother shifts, and may satisfy the day-shift nurse requirement for [five (5)] of[seven (7)] days per week if he or she can meet both the nursing care needsof the patients or residents for that shift and his or her administrative andsupervisory responsibilities as director of nursing services;

(12) Intermediate care facility for the mentally retarded shall mean anyinstitution, facility, place, or building, not licensed as a hospital, that pro-vides accommodation, board, training or habilitation services, advice, coun-seling, diagnosis, treatment, and care, including nursing care and relatedmedical services, for a period exceeding [twenty-four (24)] consecutive hoursfor [fifteen (15)] unrelated people who have mental retardation or relatedconditions, including epilepsy, cerebral palsy, or other developmental dis-abilities. The requirement of [fifteen (15)] or more unrelated people shallnot apply to any intermediate care facility for the mentally retarded whichhas a valid license as of [January 1, 1988;]

(13) Residential care facility shall mean any institution, facility, place,or building in which there are provided for a period exceeding [twenty-four(24)] consecutive hours accommodation, board, and care, such as personalassistance in feeding, dressing, and other essential daily living activities, to[four (4)] or more unrelated people who by reason of illness, disease, injury,


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deformity, disability, or physical or mental infirmity are unable to suffi-ciently or properly care for themselves or manage their own affairs but donot require the daily services of a licensed registered nurse or licensed prac-tical nurse;

(14) Domiciliary facility shall mean any institution, facility, place, orbuilding in which there are provided for a period exceeding [twenty-four(24)] consecutive hours accommodation and supervision to four or morepeople, not related to the owner, occupant, manager, or administrator thereof,who are essentially capable of managing their own affairs but who are inneed of supervision, including supervision of nutrition, by the institution,facility, place, or building on a regular, continuing basis but not necessarilyon a consecutive [twenty-four (24)] hour basis. This definition shall not in-clude those homes or facilities providing casual care at irregular intervals;

(15) Mental health center shall mean any institution, facility, place, orbuilding, not licensed as a hospital, which is used to provide for a periodexceeding [twenty-four (24)] consecutive hours accommodation, board, andadvice, counseling, diagnosis, treatment, care, or services primarily or ex-clusively to persons residing or confined in the institution, facility, place, orbuilding who are afflicted with a mental disease, disorder, or disability;

(16) Center for the developmentally disabled shall mean any residen-tial institution, facility, place, or building, not licensed as a hospital, whichis used to provide accommodation, board, and training, advice, counseling,diagnosis, treatment, care, including medical care when appropriate, or ser-vices primarily or exclusively to four or more persons residing in the insti-tution, facility, place, or building who have developmental disabilities;

(17) Substance abuse treatment center shall mean any institution, fa-cility, place, or building, not licensed as a hospital, including any privatedwelling, which is used to provide residential care, treatment, services,maintenance, accommodation, or board in a group setting primarily or ex-clusively for people who are substance abusers. Substance abuse treatmentcenter shall include those settings which provide programs and services onan outpatient basis primarily or exclusively to people who are substanceabusers but not services that can be rendered only by a physician or withinthe confines of a hospital. Specific types or categories of substance abusetreatment centers may be further defined by appropriate rule and regula-tion of the department not inconsistent with this definition. For purposes ofthis subdivision, substance abuse shall mean the abuse of substances whichhave significant mood-changing or perception-changing capacities, whichare likely to be physiologically or psychologically addictive, and the contin-ued use of which may result in negative social consequences, and abuseshall mean the use of substances in ways that have or are likely to havesignificant adverse social consequences;

(18) Home health agency shall mean a public agency, private organiza-tion, or subdivision of such an agency or organization which is primarily


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engaged in providing skilled nursing care or a minimum of one other thera-peutic service as defined by the department on a full-time, part-time, orintermittent basis to patients in a place of temporary or permanent resi-dence used as the patient�s home under a plan of care as prescribed by theattending physician and which meets the rules, regulations, and standardsas established by the [department.] Nothing in this subdivision shall beconstrued to require (a) a physician�s plan of care, (b) a summary report tothe physician, (c) a progress report, or (d) a discharge summary when onlypersonal care or assistance with the activities of daily living, as such termsare defined in [insert citation] are provided. Parent home health agencyshall mean the primary home health agency which establishes, maintains,and assures administrative and supervisory control of branch offices andsubunits. Branch office shall mean a home health agency which is at alocation or site providing services within a portion of the total geographicarea served by the parent agency and is in sufficient proximity to shareadministration, supervision, and services with its parent agency in a man-ner that renders it unnecessary for the branch independently to meet licen-sure requirements. A branch office shall be part of its parent home healthagency and share administration and services. Subunit shall mean a homehealth agency which serves patients in a geographic area different fromthat of the parent agency and which, by virtue of the distance between itand the parent agency, is judged incapable of sharing administration, su-pervision, and services on a daily basis and shall independently meet thelicensing requirements for home health agencies. Home health agency shallnot include private duty nursing registries as long as the private duty nurs-ing registrant is the direct payee from the patient. Home health agencyshall not apply to the practice of home health care by other licensed medi-cal persons as authorized by the practice of their particular specialty nor tothe people providing homemaker or chore services within the home;

(19) Developmental disability shall mean a severe, chronic disability ofa person which (a) is attributable to a mental or physical impairment orcombination of mental and physical impairment, (b) is manifested beforethe person attains age [twenty-two (22),] (c) is likely to continue indefi-nitely, (d) results in substantial functional limitations in three or more ofthe following areas of major life activity: self-care; receptive and expressivelanguage; learning; mobility; self-direction; capacity for independent living;and economic self-sufficiency, and (e) reflects the person�s need for a combi-nation and sequence of special interdisciplinary or generic care, treatment,or other services which are of lifelong or extended duration and are indi-vidually planned and coordinated;

(20) Qualified mental retardation professional shall mean any personwho meets the requirements of 42 C.F.R. 483.430(a);

(21) Nursing facility shall mean any institution, facility, place, or build-ing or a distinct part of any institution, facility, place, or building which is


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primarily devoted to providing to inpatients nursing care and related ser-vices for patients who require medical or nursing care or rehabilitation ofinjured, disabled, or sick persons. Unless a waiver is granted pursuant to[insert citation,] a nursing facility shall use the services of (a) a licensedregistered nurse for at least [eight (8)] consecutive hours per day, [seven(7)] days per week and (b) a licensed registered nurse or licensed practicalnurse on a [twenty-four (24)] hour basis [seven (7)] days per week. Exceptwhen waived under [insert citation,] a nursing facility shall designate alicensed registered nurse or licensed practical nurse to serve as a chargenurse on each tour of duty. The director of nursing services shall be a li-censed registered nurse, and this requirement shall not be waived. Thedirector of nursing services may serve as a charge nurse only when thenursing facility has an average daily occupancy of [sixty (60] or fewer resi-dents;

(22) Department shall mean the [Department of Health and HumanServices Regulation and Licensure;] and

(23) Ambulatory surgical center shall mean any facility, not licensed asa hospital, (a) the primary purpose of which is to provide surgical servicesto patients not requiring hospitalization, in which the patient is admittedto and discharged from such facility within the same working day and isnot permitted to stay overnight, (b) which meets all state licensure require-ments of a health clinic pursuant to subdivision (9) of this section, and 13(c) which has qualified for a written agreement with the [Health Care Fi-nance Administration] of the [United States Department of Health andHuman Services] or its successor to participate in Medicare as an ambula-tory surgical center as defined in 42 C.F.R 17 416 et seq. or which receivesother third-party reimbursement for facility services. Ambulatory surgicalcenter shall not include an office or clinic used solely by a practitioner orgroup of practitioners in the practice of medicine, dentistry, or podiatry;and

(24) Limited-service rural hospital shall mean a facility which (a) pro-vides inpatient care to ill or injured persons prior to their transportation toa hospital or provides inpatient medical care to persons needing such carefor a period of no longer than [ninety-six (96)] hours, (b) is located no lessthan [twenty (20)] road miles from the nearest hospital, (c) may have up to[fifteen (15)] acute care inpatient beds and can participate in the swing-bedprogram, (d) makes available emergency services on a [twenty-four (24)]hour basis, and (e) is required to have formal agreements with at least [one(1)] hospital and other appropriate providers for such services as patientreferral and transfer, communications systems, provision of emergency andnonemergency transportation, and backup medical and emergency services.

Section 5. [Rules and Regulations.] To protect the health, safety, andwelfare of the public and to ensure to the greatest extent possible the effi-


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cient, adequate, and safe practice of health care in any hospital or relatedinstitution as defined in this Act, the [Uniform Controlled Substances Act,]the [Uniform Licensing Law,] and in [insert citation,] the [department] shalladopt, promulgate, and enforce rules, regulations, and standards with re-spect to the different types of hospitals and related institutions except nurs-ing homes to be licensed hereunder as may be designed to further the ac-complishment of the purposes of this Act. Such rules, regulations, and stan-dards shall be modified, amended, or rescinded from time to time in thepublic interest by the [department.] The [department,] with the advice ofthe [Nursing Home Advisory Council,] shall adopt, promulgate, and en-force rules, regulations, and standards with respect to nursing homes. Suchrules, regulations, and standards shall be in compliance with the [insertcitation.] Such rules, regulations, and standards shall be modified, amended,or rescinded from time to time in the public interest by the [department]with the advice of the [Nursing Home Advisory Council.]





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Livestock Management FacilitiesThis legislation combines language from Illinois HB 3151, which was

enacted into law in 1996, and amendments to HB 3151, which were subse-quently enacted in Section 10 of Illinois HB 1547 in 1998. Both the originalAct and its amendments respond to a trend in the livestock industry toconcentrate increasing numbers of animals at livestock facilities, which inturn generates concerns or complaints about odors from the facility andgroundwater contamination.

This Act sets requirements for registering, certifying, building, modify-ing, closing and inspecting earthen livestock waste lagoons.

It requires owners/operators of livestock management facilities of a cer-tain size to file a livestock waste management plan with the state Depart-ment of Agriculture. Applying livestock waste to the land is acceptable prac-tice in the state. Thus, these plans shall include:

� Estimates of the volume of waste to be disposed of annually;� The number of acres available for disposing livestock waste;� Estimates of the nutrient value of the waste; and,� Provisions governing where and how the waste is applied.The Act establishes a Certified Livestock Manager program and sets

requirements where livestock waste handling facilities must be supervisedby a certified livestock manager. It also establishes setbacks for livestockmanagement facilities and livestock waste handling facilities.

The Act directs the state agriculture department to fund environmen-tal research projects pertinent to livestock management facilities.

The Act also provides that:� Earthen livestock waste lagoons must include a secondary berm, fil-

ter strip, grass waterway, or terrace or any combination thereof;� State inspectors must give owner/operators of earthen livestock waste

lagoons a written report of the inspection findings and remedial measureson the day of inspection;

� The state must inform the affected county government of a notice ofintent to build or modify an earthen waste lagoon within seven days aftersuch notice is received by the state;

� After receiving a notice to build or modify an earthen livestock wastelagoon, county governments have 30 days to call a public informationalmeeting;

� Waste lagoon owner/operators must report to the state any release oflivestock waste from a lagoon and within 24 hours after the discovery of therelease;

� Such lagoons shall shut down after three violations until the viola-tions are corrected; and

� The state shall inspect earthen livestock waste lagoons at least once ayear on a random basis.


Submitted as:IllinoisHB 3151 (enacted into law, 1996) and Amendments in HB 1547 (en-

acted into law, 1998).



Section 1. [Short Title.] This Act may be cited as �The Livestock Man-agement Facilities Act.�

Section 2. [Policy.](a) The [General Assembly] finds the following:

(1) Enhancements to the current regulations dealing with livestockproduction facilities are needed.

(2) The livestock industry is experiencing rapid changes as a resultof many different occurrences within the industry including increased so-phistication of production technology, maintain or expand operations, in-creased demand for capital to and changing consumer demands for a qual-ity product.

(3) The livestock industry represents a major economic activity inthe state economy.

(4) The trend is for larger concentration of animals at a livestockmanagement facility due to various market forces.

(5) Current regulation of the operation and management of live-stock production is adequate for today�s industry with a few modifications.

(6) Due to the increasing numbers of animals at a livestock man-agement facility, there is a potential for greater impacts on the immediatearea.

(7) Livestock waste lagoons must be constructed according to stan-dards to maintain structural integrity and to protect groundwater.

(8) Since a majority of odor complaints result from manure applica-tion,

livestock producers must be provided with an educational program thatwill enhance neighbor awareness and their environmental managementskills, with emphasis on management of livestock wastes.

(b) Therefore, it is the policy of this state to maintain an economicallyviable livestock industry in the state while protecting the environment forthe benefit of both the livestock producer and persons who live in the vicin-ity of a livestock production facility.

Section 3. [Definitions.] In this Act words and phrases have the mean-ings set forth in the following Sections, unless the context clearly requires

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otherwise:�[Agency]� means the state [Environmental Protection [Agency].]�Animal feeding operation� means a feeding operation as defined in [in-

sert citation] and the rules promulgated under that [insert citation] con-cerning agriculture related pollution.

�Animal unit� means a unit of measurement for any animal feedingoperation calculated as follows:

(1) Brood cows and slaughter and feeder cattle multiplied by [1.0.](2) Milking dairy cows multiplied by [1.4.](3) Young dairy stock multiplied by [0.6.](4) Swine weighing over [fifty-five (55)] pounds multiplied by [0.4.](5) Swine weighing under [fifty-five (55)] pounds multiplied by [0.03.](6) Sheep, lambs, or goats multiplied by [0.1.](7) Horses multiplied by [2.0.](8) Turkeys multiplied by [0.02.](9) Laying hens or broilers multiplied by [0.01] (if the facility has

continuous overflow watering).(10) Laying hens or broilers multiplied by [0.03] (if the facility has a

liquid manure handling system).(11) Ducks multiplied by [0.02.]

�Certified livestock manager� means a person that has been duly certi-fied by the [Department] as an operator of a livestock waste-handling facil-ity.

�Department� means the state [Department of Agriculture.]�Farm residence� means any residence on a farm owned or occupied by

the farm owners, operators, tenants, or seasonal or year-round hired work-ers. For purposes of this definition, a �farm� is the land, buildings, and ma-chinery used in the commercial production of farm products, and �farmproducts� are those plants and animals and their products which are pro-duced or raised for commercial purposes and include but are not limited toforages and sod crops, grains and feed crops, dairy and dairy products, poul-try and poultry products, livestock, fruits, vegetables, flowers, seeds, grasses,trees, fish, honey any other plant, animal, or plant or animal with food,feed, fiber, or fur and other similar products, or product which suppliespeople.

�Lagoon� means any excavated, diked or walled structure or combina-tion of structures designed for biological stabilization and storage of live-stock wastes. A lagoon does not include structures such as manufacturedslurry storage structures or pits under buildings as defined in rules underthe [insert citation] concerning agriculture related pollution.

�Livestock management facility� means any animal feeding operation,livestock shelter, or on-farm milking and accompanying milk-handling area.Two or more livestock management facilities under common ownership,where the facilities are not separated by a minimum distance of [one-quar-

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ter (l/4)] mile, and that share a common livestock waste-handling facilityshall be considered a single livestock management facility. A livestock man-agement facility at educational institutions, livestock pasture operations,where animals are housed on a temporary basis such as county and statefairs, livestock shows, race tracks and horse breeding and foaling farms,and market holding facilities are not subject to this Act.

�Livestock waste� means livestock excreta and associated feed losses,bedding wash waters, sprinkling waters from livestock cooling, precipita-tion polluted by falling on or flowing onto an animal feeding operation, andother materials polluted by livestock.

�Livestock waste-handling facility� means individually or collectivelythose immovable constructions or devices, except sewers used for collect-ing, pumping, treating or disposing of livestock waste or for the recovery ofbyproducts from the livestock waste. [Two (2)] or more livestock waste han-dling facilities under common ownership and where the facilities are notseparated by a minimum distance of [one-quarter (1/4)] mile shall be con-sidered a single livestock waste-handling facility.

�Modified� means structural changes to a lagoon that increase its volu-metric capacity.

�New Facility� means a livestock management facility or a livestockwaste-handling facility the construction or expansion of which is commencedon or after the effective date of this Act. Expanding a facility where thefixed capital cost of the new components constructed within the [two (2)]year period does not exceed [fifty (50)] percent if the fixed capital cost of acomparable entirely new facility shall not be deemed a new facility as usedin this Act.

�Non-farm residence� means any residence which is not a farm resi-dence.

�Owner or Operator� means any person who owns, leases, controls orsupervises a livestock management facility or livestock waste-handling fa-cility.

�Person� means any individual, partnership, co-partnership, firm, com-pany, corporation, association, joint stock company, trust, estate, politicalsubdivision, state [Agency], or any other legal entity or their legal repre-sentative, agent or assigns.

�Populated Area� means any area where at least [ten (10)] inhabitednon-farm residences are located or where at least [fifty (50)] people fre-quent a common place of assembly or a non-farm business at least [one (1)]time per week.

Section 4. [Livestock Waste Lagoon.](a) Standards for livestock waste lagoon construction. Any earthen live-

stock waste lagoon subject to registration shall be constructed or modifiedin accordance with �Design of Anaerobic Lagoons for Animal Waste Man-

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agement� promulgated by the American Society of Agricultural Engineersand designated (ASAE EP403.1) or the national guidelines as published bythe United States Department of Agriculture

Natural Resource Conservation Service in this state and titled WasteTreatment Lagoon. The owner or operator of the earthen livestock lagoonmay, with approval from the [Department,] modify or exceed these stan-dards in order to meet site specific objectives.

The [Department] shall determine compliance with these requirements.The [Department] may require changes in design or additional require-ments to protect groundwater, such as extra liner depth or synthetic liners,when it appears groundwater could be impacted.

(b) Registration and certification. Any earthen livestock waste lagoonnewly constructed or modified (does not include repairs) after the effectivedate of rules adopted for the implementation of this Act shall be registeredby the owner or operator with the [Department] on a form provided by the[Department]. Lagoons constructed prior to the effective date of rules adoptedfor the implementation of this Act may register with the [Department] atno charge.

In order to give the [Department] notice of the owner�s or operator�sintent to construct or modify an earthen livestock waste lagoon, the owneror operator shall register such lagoon with the [Department] during thepreconstruction phase. Construction shall not begin until [thirty (30)] daysafter submittal of a registration form by certified mail to the [Department].When an informational, meeting is requested by the county, constructionshall not begin until after the informational meeting has been held.

Livestock waste lagoon registration forms shall be made available toproducers at offices of the [Department of Agriculture, Cooperative Exten-sion Service,] and [Soil and Water Conservation Districts.]

Registration information shall include the following:(1) Name(s) and address(es) of the owner and operator who are re-

sponsible for the livestock waste lagoon.(2) General location of lagoon.(3) Design construction plans and specifications.(4) Specific location information:

(A) Distance to a private or public potable well;(B) Distance to closest occupied private residence (other than

any occupied by owner or operator);(C) Distance to nearest stream; and(D) Distance to nearest populated area.

(5) Anticipated beginning and ending dates of construction.(6) Type of livestock and number of animal units.

The [Department of Agriculture] upon receipt of a livestock waste la-goon registration form shall review the form to determine that all requiredinformation has been provided. The person filing the registration shall be


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notified within [fifteen (15)] working days that the registration is completeor that clarification of information is needed. No later than [ten (10)] work-ing days after receipt of the clarification information, the [Department]shall notify the owner or operator that the registration is complete.

The [Department] shall inspect an earthen livestock waste lagoon dur-ing preconstruction, construction, and post-construction. The [Department]shall require modifications when necessary to bring construction in compli-ance with the standards as set forth in subsection (a) of Section 4. Theperson making the inspection shall discuss with the owner, operator, certi-fied livestock manager an evaluation of the livestock waste lagoon construc-tion and shall (i) provide on-site written recommendations to the owner oroperator or, certified livestock manager of what modifications are neces-sary or (ii) inform the owner, operator, or certified livestock manager thatthe lagoon meets the standards set forth in subsection (a), of Section 4. Onthe day of the inspection, the person making the inspection shall give theowner, operator, or certified livestock manager a written report of his or herfindings based on the inspection, together with an explanation of any reme-dial measures necessary to enable the lagoon to meet the standards setforth in subsection (a).

The person making any inspection shall comply with reasonable ani-mal health protection procedures as requested by the owner, et operator, orcertified livestock manager.

Upon completion of the construction or modification, but prior to plac-ing the lagoon in service, the owner or operator of the livestock waste la-goon shall certify on a form provided by the [Department] that the lagoonhas been constructed or modified in accordance with the standards set forthin subsection (a) of Section 4 and that the information provided on theregistration form is correct.

(1) The certification notice to the [Department] shall include a certi-fication statement and signature.

(2) The certification shall state: �I hereby certify that the informa-tion provided on this form is correct and that the lagoon has been con-structed in accordance with the standards as required by the [LivestockManagement Facilities Act.�]

The owner or operator of the lagoon may proceed to place the lagoon inservice no earlier than [ten (10)] working days after submitting to the [De-partment] a certification of compliance statement.

(c) Public informational meeting. Within [seven (7)] days after receivinga registration form giving notice of an intent to construct or modify anearthen livestock waste lagoon after the effective date of this Act, the [De-partment] shall send a copy of the registration form to the county board ofthe county in which the lagoon is or is to be located. After receiving a copy ofa lagoon registration form from the [Department] under this subsection,within [thirty (30)] days the county board may at its discretion request that


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the [Department] conduct a public informational meeting within [fifteen(15)] days of the request concerning the proposed construction or modifica-tion of the lagoon. If the [Department] conducts such a meeting, then atleast [ten (10)] days before the meeting, the [Department] shall cause no-tice of the meeting to be published in a newspaper of a general circulationin the county or the state newspaper. The owner or operator who submittedthe registration form to the [Department] shall appear at the meeting. Atthe meeting, the [Department] shall afford members of the public an oppor-tunity to ask questions and present oral or written testimony concerningthe proposed construction or modification of the lagoon.

(d) Complaint procedure. Any person having a complaint concerning anearthen livestock waste lagoon may file a complaint with the [Agency]. Ifthe [Agency] finds that groundwater has been negatively impacted becauseof structural problems with the earthen lagoon, the [Agency] shall notifythe [Department] that modification of the lagoon is necessary. The livestockowner or operator or the [Department] may request guidance from theUnited States Department of Agriculture Natural Resource ConservationService or the [University of Illinois Cooperative Extension Service.]

The person making any inspection shall comply with animal healthprotection procedures as requested by the owner or operator.

Any earthen livestock waste lagoon in service prior to the effective dateof the rules for implementation of this Act is not subject to registration butis only subject to the complaint procedure. However, any such livestockwaste lagoon found impacting groundwater shall be required to be repaired,modified, or have procedures instituted so groundwater is not negativelyimpacted.

If an investigation reveals groundwater has been negatively impacted,the [Department] and [Agency] shall cooperate with the owner or operatorof the affected livestock waste lagoon to provide a reasonable solution toprotect the groundwater.

Nothing in this Section shall limit the [Agency]�s authority under [in-sert citation] to investigate and respond to violations of [insert citation.]

(e) Livestock waste lagoon registration fee. The livestock waste lagoonregistration fee is [fifty (50)] dollars.

(f) [Reporting Release of Waste.] An owner or operator of a lagoon shallreport to the [Agency] any release of livestock waste from a lagoon within[twenty-four (24)] hours after the discovery of the release. The procedurefor reporting releases shall be adopted by the [Agency] by rule.

For a first violation of this subsection (f) by the owner or operator of alivestock management facility or livestock waste-handling facility, the [De-partment] shall send the owner or operator a written notice of the violationby certified mail, return receipt requested.

If after an administrative hearing the [Department] finds that the owneror operator of a livestock management facility or livestock waste-handling


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facility has committed a second violation of this subsection (f), the [Depart-ment] shall impose on the owner or operator a civil administrative penaltyin an amount not exceeding [one thousand (1,000)] dollars. The AttorneyGeneral may bring an action in the circuit court to enforce the collection ofa penalty imposed under this subsection (f).

If after that the owner or operator of a livestock management facility orlivestock waste-handling facility has committed a third violation of thissubsection (f), the [Department] shall enter an administrative order direct-ing that the owner or operator cease operation of the facility until the viola-tion is corrected.

If a livestock management facility or livestock waste-handling facilityhas not committed a violation of this subsection (f) within the [five (5)]years immediately preceding a violation, the violation shall be construedand treated as a first violation.

(g) Closure of livestock waste lagoons. When any earthen livestock wastelagoon is removed from service, it shall be completely emptied. Appropriateclosure procedures shall be followed as determined by rule. The remaininghole must be filled. The closure requirements shall be completed within[two (2)] years from the date of cessation of operation Unless the lagoon ismaintained or serviced. The [Department] may grant a waiver to the be-fore-stated closure requirements that will permit the lagoon to be used foran alternative purpose. Upon a change in ownership of a registered earthenlivestock waste lagoon, the owner shall notify the [Department] of the changewithin [thirty (30)] working days of the closing of the transaction.

(h) Administrative authority. All actions of the [Department of Agricul-ture] are subject to the state [Administrative Procedure Act.]

Any earthen livestock waste lagoon subject to registration shall not be-gin operation until the owner or operator of the lagoon has met the require-ments of this Act.

The owner or operator of any earthen livestock waste lagoon subject toregistration that has not been registered or constructed in accordance withstandards set forth in subsection (a) of Section 4 shall, upon being identi-fied as such by the [Department], be given written notice by, the [Depart-ment] to register and certify the lagoon within [ten (10)] working days ofreceipt of the notice. The [Department] may inspect such lagoon and re-quire compliance in accordance with subsections (a) and (b) of this Section.If the owner or operator of the livestock waste lagoon that is subject toregistration fails to comply with the notice, the [Department] may issue acease and desist order until such time as compliance is obtained with therequirements of this Act. Failure to construct the lagoon in accordance withthe construction plan and [Department] recommendations is a businessoffense punishable by a fine of not more than [five thousand (5,000)] dol-lars.


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Section 5. [Inspection of Earthen Livestock Waste Lagoons.]At least once each year on a random basis, the [Department] shall in-

spect every earthen livestock waste lagoon that services [one thousand(1,000)] or more animal units and is required to be registered under thisAct. The owner or operator of the lagoon or a certified livestock managermust be present during the inspection. If the owner, operator, or certifiedlivestock manager is not present at the scheduled date, time, and place ofthe inspection, the inspection shall proceed in his or her absence. The per-son making the inspection shall conduct a visual inspection to determineonly whether any of the following are present: burrow holes, trees or woodyvegetation, proper freeboard, erosion, settling of the berm, bermtop main-tenance, leaks, and seepage. The person making the inspection shall dis-cuss with the owner, operator, or certified livestock manager an evaluationof the livestock waste lagoon�s current condition and shall (i) provide on-site written recommendations to the owner, operator, or certified livestockmanager of what corrective actions are necessary or (ii) inform the owner,operator, or certified livestock manager that the lagoon meets the stan-dards set forth in this subsection.

The person making any inspection shall comply with reasonable ani-mal health protection procedures as requested by the owner, operator, orcertified livestock manager.

The [Department] shall send official written notice of any deficienciesto the owner or operator of the lagoon by certified mail, return receipt re-quested. The owner or operator and the [Department] shall enter into anagreement of compliance setting forth the specific action and timetable tocorrect the deficiencies. The person making the reinspection shall notifythe [Department] of the results of the reinspection, and the [Department]shall take the appropriate action under this Section. If the [Department]�sinspector finds a release or evidence of a release, the [Department] shallimmediately report such information to the [Agency.]

For a first violation of this section by the owner or operator of a livestockmanagement facility or livestock waste-handling facility, the [Department]shall send the owner or operator a written notice of the violation by certi-fied by mail, return receipt requested.

If after an administrative hearing the [Department] finds that the owneror operator of a livestock management facility or livestock waste-handlingfacility has committed a [second (2)] violation of this Section, the [Depart-ment] shall impose on the owner or operator a civil administrative penaltyin an amount not exceeding [one thousand (1,000)] dollars. The [AttorneyGeneral] may bring an action in the circuit court to enforce the collection ofa penalty imposed under this Section.

If after an administrative hearing the [Department] finds that the owneror operator of a livestock management facility or livestock waste-handlingfacility has committed a [third (3)] violation of this Section, the [Depart-


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ment] shall enter an administrative order directing that the owner or op-erator cease operation of the facility until the violation is corrected.

If, a livestock management facility or livestock waste-handling facilityhas not committed a violation of this Section within the [five (5)] yearsimmediately preceding a violation, the violation shall be construed andtreated as a [first (1)] violation.

Section 6. [Financial Responsibility.] Owners of new or modified lagoonsregistered under the provisions of this Act shall establish and maintainevidence of financial responsibility to provide for the closure of the lagoonsand the proper disposal of their contents within the time provisions out-lined in this Act. Financial responsibility may he evidenced by any combi-nation of the following:

(1) Commercial or private insurance;(2) Guarantee;(3) Surety bond;(4) Letter of credit;(5) Certificate of Deposit or designated savings;(6) Participation in a livestock waste lagoon closure fund managed

by the state [Farm Development Authority.]The level of surety required shall be determined by rule and be

based upon the volumetric capacity of the lagoon. Surety instruments re-quired under this Section shall be required after the effective date of rulesadopted for the implementation of this Act.

Section 7. [Handling, Storing and Disposing of Livestock Waste.](a) The livestock management facility owner or operator shall comply

with the requirements for handling, storing, and disposing of livestock wastesas set forth in the rules adopted pursuant to the [insert citation] concerningagriculture related pollution.

(b) the livestock management facility owner or operator at a facility ofless than [one thousand (1,000)] animal units shall not be required to pre-pare and maintain a waste management plan.

(c) The livestock management facility owner or operator at a facility of[one thousand (1,000)] or greater animal units but less than [seven thou-sand (7,000)] animal units shall prepare and maintain on file at the live-stock management facility a general waste management plan. Notwith-standing this requirement, a livestock management facility subject to thissubsection may be operated on an interim basis but not to exceed [six (6)]months after the effective date of the rules promulgated pursuant to thisAct to allow for the owner or operator of the facility to develop a wastemanagement plan. The waste management plan shall be available for in-spection during normal business hours by [Department] personnel.

(d) The livestock management facility owner or operator at a facility of


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[seven thousand (7,000)] or greater animal units shall prepare, maintain,and submit to the [Department] the waste management plan for approval.Approval of the waste management plan shall be predicated on compliancewith provisions of subsection (f). The waste management plan shall be ap-proved by the [Department] before operation of the facility or in the case ofan existing facility, the waste management plan shall be submitted within[sixty (60)] working days after the effective date of the rules promulgatedpursuant to this Act.

The owner or operator of an existing livestock management facility thatthrough growth meets or exceeds [seven thousand (7,000)] animal unitsshall file its waste management plan with the [Department] within [sixty(60)] working days after reaching the stated animal units.

The owner or operator of a livestock management facility that is subjectto this subsection (d) shall file within [sixty (60)] working days with the[Department] a revised waste management plan when there is a signifi-cant change in items (l), (2), or (10) of subsection (f) that will materiallyaffect compliance with the waste management plan.

(e) The waste management plan and records of livestock waste disposalshall be kept on file for [three (3)] years.

(f) The application of livestock waste to the land is an acceptable, recom-mended, and established practice in this state. However, when livestockwaste is not applied in a responsible manner, it may create pollution prob-lems. It should be recognized that, in most cases, if the agronomic nitrogenrate is met, the phosphorus applied will exceed the crop requirements, butnot all of the phosphorus may be available for use by the crop. It will beconsidered acceptable, therefore, to prepare and implement a waste man-agement plan based on the nitrogen rate. The waste management planshall include the following:

(1) An estimate of the volume of waste to be disposed of annually.(2) The number of acres available for disposal of the waste.(3) An estimate of the nutrient value of the waste.(4) An indication that the livestock waste will be applied at rates

not to exceed the agronomic nitrogen demand of the cross to be grown whenaveraged over a [five (5)] year period.

(5) A provision that livestock waste applied within [one-quarter (1/4)] mile any residence not part of the facility shall be injected or incorpo-rated on the day of application. However, livestock management facilitiesand livestock waste handling facilities that have irrigation systems in op-eration prior to the effective date of this Act or existing facilities applyingwaste on frozen ground are not subject to the provisions of this item (5).

(6) A provision that livestock waste may not be applied within [twohundred (200)] feet of surface water unless the water is upgrade or there isadequate diking, and waste will not be applied within [one hundred fifty(150)] feet of potable water supply wells.


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(7) A provision that livestock waste may not be applied in a [ten (l0)]year flood plain unless the injection or incorporation method of applicationis used.

(8) A provision that livestock waste may not be applied in water-ways.

(9) A provision that if waste is spread on frozen or snow-coveredland, the application will be limited to land areas on which:

(A) land slopes are [five (5)] percent or less, or(B) adequate erosion control practices exist.

(10) Methods for disposal of animal waste.(g) Any person who is required to prepare and maintain a waste man-

agement plan and who fails to do so shall be issued a warning letter by the[Department] for the [first (1)] violation and shall be given [thirty (30)]working days to prepare a waste management plan. For failure to prepareand maintain a waste management plan, the person shall be fined an ad-ministrative penalty of up to [one thousand (1,000)] dollars by the [Depart-ment] and shall be required to enter into an agreement of compliance toprepare and maintain a waste management plan within [thirty (30)] work-ing days for failure to prepare and maintain a waste management planafter the [second (2)] [thirty (30)] day period or for failure to enter into acompliance agreement, the [Department] may issue an operational ceaseand desist order until compliance is attained.

Section 8. [Odor Control.](a) Operators of livestock waste handling facilities shall practice odor

control methods during the course of manure removal and field applica-tion. Odor control methods shall be those methods identified in the rulesadopted pursuant to the [insert citation] concerning agriculture related pol-lution.

(b) Every single-stage livestock waste lagoon constructed after the ef-fective date of this Act shall comply with the following operational guide-lines:

(1) In operation, the lagoon must be maintained at not less than theminimum design volume.

(2) The livestock waste supply to the lagoon must be below the mini-mum design volume level.

(3) The livestock waste storage capacity of the lagoon must be greaterthan [two hundred seventy (270)] days.

(c) Above-ground livestock waste holding structures must be operatedusing odor control management guidelines based on scientific peer reviewaccepted by the [Department] and determined to be economically feasibleto the specific operation.

(d) For a first violation of this Section by the owner or operator of alivestock management facility or livestock waste-handling facility, the [De-


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partment] shall send the owner or operator a written notice of the violationby certified mail, return receipt requested.

If after an administrative hearing the [Department] finds that the owneror operator of a livestock management facility or livestock waste-handlingfacility has committed a second violation of this Section, the [Department]shall impose on the owner or operator a civil administrative penalty in anamount not exceeding [one thousand (1,000)] dollars. The [Attorney Gen-eral] may bring an action in the circuit court to enforce the collection of apenalty imposed under this Section.

If after an administrative hearing the [Department] finds that the owneror operator of a livestock management facility or livestock waste-handlingfacility has committed a [third (3)] violation of this Section, the [Depart-ment] shall enter an administrative order directing that the owner or op-erator cease operation of the facility until the violation is corrected.

If a livestock management facility or livestock waste-handling facilityhas not committed a violation of this Section within the [five (5)] days im-mediately preceding a violation, the violation shall be construed and treatedas a first violation.

Section 9. [Certified Livestock Manager.] The [Department] shall estab-lish a [Certified Livestock Manager Program] in conjunction with the live-stock industry that will enhance management skills in critical areas, suchas environmental awareness, safety concerns, odor control techniques andtechnology, neighbor awareness, current best management practices, andthe developing and implementing of manure management plans.

(a) A livestock waste-handling facility serving [three hundred (300)] orgreater animal units shall be operated only under the supervision of a cer-tified livestock manager. Notwithstanding the before-stated provision, alivestock waste handling facility may be operated on an interim basis, butnot to exceed [six (6)] months, to allow for the owner or operator of thefacility to become certified.

(b) A certification program shall include the following:(1) A general working knowledge of best management practices.(2) A general working knowledge of livestock waste handling prac-

tices and procedures.(3) A general working knowledge of livestock management opera-

tions and related safety issues.(4) An awareness and understanding of the responsibility of the

owner or operator for all employees who may be involved with waste han-dling.

(c) Any certification issued shall be valid for [three (3)] years and there-after be subject to renewal. A renewal shall be valid for a [three (3)] yearperiod and the procedures set forth in this Section shall be followed. The[Department] may require anyone who is certified to be recertified in less


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than [three (3)] years for just cause including but not limited to repeatedcomplaints where investigations reveal the need to improve managementpractices.

(d) Methods for obtaining certified livestock manager status.(1) The owner or operator of a livestock waste-handling facility serv-

ing [three hundred (300)] or greater animal units but less than [one thou-sand (1,000)] animal units shall become a certified livestock manager, by:

(A) attending a training session conducted by the [Departmentof Agriculture, Cooperative Extension Service,] or any agriculture associa-tion, which has been approved by or is in cooperation with the [Depart-ment;] or

(B) in lieu of attendance at a training session, successfully com-pleting a written competency examination.

(2) The owner or operator of a livestock waste-handling facility serv-ing [one thousand (1,000)] or greater animal units shall become a certifiedlivestock manager by attending a training session conducted by the [De-partment of Agriculture, Cooperative Extension Service,] or any agricul-ture association, which has been approved by or is in cooperation with the[Department] and successfully completing a written competency examina-tion.

(e) The certified livestock manager certificate shall be issued by the[Department] and shall indicate that the person named on the certificate iscertified as a livestock management facility manager, the dates of certifica-tion, and when renewal is due.

(f) The [Department] shall charge [ten (10)] dollars for the issuance orrenewal of a certified livestock manager certificate. The [Department] may,by rule, establish fees to cover the costs of materials and training for train-ing sessions given by the [Department].

(g) The owner or operator of a livestock waste-handling facility operat-ing in violation of the provisions of subsection (a) of this Section shall beissued a [warning letter for the first violation] and shall be required to havea certified manager for the livestock waste-handling facility within [thirty(30)] working days. For continued failure to comply, the [Department] mayissue an [operational cease and desist order] until compliance is attained.

Section 10. [Setbacks for Livestock Management and Livestock HandlingFacilities.]

(a) Livestock management facilities and livestock waste handling facili-ties in existence prior to [July 15, 1991] shall comply with setbacks in exist-ence prior to [July 15, 1991,] as set forth in [insert citation.]

(b) Requirements governing the location of a new livestock manage-ment facility and new livestock waste-handling facility and conditions forexemptions or compliance with the maximum feasible location as providedin rules adopted pursuant to [insert citation] concerning agriculture regu-


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lated pollution shall apply to those facilities identified in subsections (b)and (c) of this Section. With regard to the maximum feasible location re-quirements, any reference to a setback distance in the rules under [insertcitation] shall mean the appropriate distance as set forth in this Section.

(c) Setback category shall be determined by the design capacity in ani-mal units of the livestock management facility.

(d) Setbacks may be decreased when innovative designs as approved bythe [Department] are incorporated into the facility.

(e) A setback may be decreased when waivers are obtained from ownersof residences that are occupied and located in the setback area.

Section 11. [Environmental Research.] Environmental research is criti-cal to a livestock producer�s ability to implement sound, integrated man-agement systems that will enhance industry profitability and protect theenvironment. The [Department of Agriculture] shall annually request ap-propriations to fund environmental research projects pertinent to livestockmanagement facilities. Projects may include both university research andon-farm applied research. Priorities should be given to the following:

(1) Determination of the contribution of soil applied livestock nutri-ent volatilization, leaching or storage in the soil and methods of applica-tion.

(2) Integrated systems that maintain and enhance water quality.(3) Odor reduction and control through chemical, biological, or me-

chanical means.(4) Environmental quality in livestock facilities affecting owner, op-

erator, and employee health.(5) Environmental quality that could affect residents who live adja-

cent to livestock facilities.

Section 12. [Tax Abatement on Environmental Equipment.] The [De-partment] in cooperation with the [Agency] and the [Department of Rev-enue] shall recommend to the [General Assembly] incentive programs thatwill provide for the abatement of state income tax or real estate tax oncapital expenditures made by the facility owner for purchasing equipmentthat will mitigate air and water quality problems.

Section 13. [Intergovernmental Cooperation.] The [Department] shallconsult and advise owners and operators of livestock management facili-ties serving [seven thousand (7,000)] or greater animal units of applicablelaws and rules relating to environmental laws and rules, water usage lawsand local road standards.

Section 14. [Rules; Livestock Management Facilities Advisory Commit-tee.]


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(a) There is hereby established a [Livestock Management Facilities Ad-visory Committee,] which shall include the [Directors] of the [Departmentof Agriculture,] the [Environmental Protection Agency,] the [Department ofNatural Resources,] and the [Department of Public Health,] or their desig-nees. The [Director of Agriculture] or his or her designee shall serve as the[Chair] of the [Advisory Committee.] Members of the [Advisory Commit-tee] may organize themselves as they deem necessary and shall serve with-out compensation.

(b) The [Advisory Committee] shall review, evaluate, and make recom-mendations to the [Department of Agriculture] for rules necessary for theimplementation of this Act. Based upon the recommendations of the [Advi-sory Committee,] the [Department of Agriculture] shall, within [six (6)]months after the effective date of this Act, propose rules to the [PollutionControl Board] for the implementation of� this Act.

(c) Within [six (6)] months after the [Department of Agriculture] pro-posing rules to the [Pollution Control Board,] the [Board] shall hold hear-ings on and adopt rules for the implementation of this Act in the mannerprovided for in [insert citation.] Rules adopted pursuant to this Sectionshall take into account all available pollution control technologies, shall betechnologically feasible and economically reasonable, and may make dis-tinctions for the type and size of livestock management and livestock man-agement handling facilities and operations.

(d) The [Advisory Committee] shall meet once every [six (6)] monthsafter the effective date of this Act to review, evaluate, and make recommen-dations to the [Department of Agriculture] concerning the [Department�s]random inspection of livestock waste lagoons under Section 16 of this Act.

Section 15. [The Livestock Management Facilities Fund.] The [LivestockManagement Facilities Fund] is created as a [special] fund in the stateTreasury. All fees and fines collected under this Act shall be deposited intothis fund. Money from this fund shall be appropriated to the [Department]for the purposes of this Act.

Section 16. Nothing in this Act shall be construed as a limitation or pre-emption of any statutory or regulatory authority under [insert citation.]





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Livestock Waste Management

This Act provides for improved regulation of waste from livestock facili-ties in order to prevent pollution, especially to the waters of the state. It isthe intent of the Act to address the various possible routes of livestock wastepollution which could threaten surface and groundwater quality in the stateincluding leaching from lagoons or land application, runoff from land appli-cation, and catastrophic failure of lagoons or other containment structures.These concerns are addressed through inspection, review and oversight toensure proper design, engineering and operation of waste disposal facili-ties, land application and best management practices for runoff control.The Act also includes some provisions related to odor abatement.

The Act creates four size classes of facilities and authorizes greater scru-tiny of the larger facilities because if a large facility does have problems thegreater concentration of waste can overcome the assimilative capacity ofnatural systems far beyond their ability to sustain the damage. The classesare based on the number of Animal Units in a facility (one AU = 1 cow, or .4hogs).

The Act establishes criteria for permits and fees to build, operate andinspect such facilities. Permits may be denied for previous actions or his-tory of environmental violations or misrepresentation on a permit applica-tion.

The state Department of Environmental Quality (DEQ) may contractwith a Natural Resources District (NRD) to do some aspects of regulationand cooperative work with facilities, but DEQ retains actual permittingauthority and oversight. DEQ may use fee money for costs of the contractedNRD activities. This provision is especially intended to involve the inter-ested NRDs in nutrient management planning and control of land applica-tion of the waste, and in groundwater monitoring. It does not preclude theNRDs from involvement in other aspects of regulation under the Act.

The DEQ may identify dams or lagoons which could discharge to watersof the state in the event of failure for which they may require an additionalDepartment of Water Resources (DWR) inspection. DWR engineers haveexpertise in dam design and construction and this provision attempts toavoid the major dam or lagoon failures which caused massive pollution ofrivers.

The Act creates an Environmental Quality Council and directs the councilto adopt rules and regulations for this permit and inspection program in-cluding:

� Design, construction, operating permit criteria and fees;� A registry for potential permittees;� Adequate land area for waste application;� Best management practices to reduce waste runoff and odor;


� Groundwater monitoring requirements;� Record keeping and reporting;� Financial assurance requirements for class III facilities;

and� Employee training and closure requirements.

* Concentrated or large animal waste lots can also be subject to the U.S.EPA�s National Pollutant Discharge Elimination System. Applicable com-ponents of these regulations are outlined on the following pages as an aidto readers.

Submitted as:NebraskaLB 1209Enacted into law, 1998.



Section 1. [Short Title.] This Act may be cited as the �Livestock WasteManagement Act.�

Section. 2. [Definitions.] For purposes of the [Livestock Waste Manage-ment Act:]

(1) Animal unit means a unit of measurement for any livestock opera-tion calculated by adding the following numbers: The number of slaughterand feeder cattle multiplied by [1.0,] plus the number of mature dairy cattlemultiplied by [1.4,] plus the number of swine weighing [fifty-five (55)] poundsor more multiplied by [0.4,] plus the number of weaned pigs weighing lessthan [fifty-five (55)] pounds multiplied by [0.04,] plus the number of sheepmultiplied by [0.1,] plus the number of horses multiplied by [2.0,] plus thenumber of chickens multiplied by [0.01,] plus the number of turkeys multi-plied by (0.02), plus the number of ducks multiplied by [0.2.] Such calcula-tion may be modified for immature animals under section 13 of this Act;

(2) Best management practices means schedules of activities, prohibi-tions, maintenance procedures, and other management practices found tobe the most effective and practicable methods for specific sites to prevent orreduce the discharge of pollutants to waters of the state or control odorwhere appropriate. Best management practices also includes operating pro-cedures and practices to control site runoff, spillage, leaks, sludge or wastedisposal, or drainage from raw material storage;

(3) Council means the [Environmental Quality Council;](4) Department means the [Department of Environmental Quality;](5) Discharge means the accidental or intentional spilling, leaking, pump-


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ing, pouring, emitting, emptying, or dumping of pollutants into any watersof the state or in a place which will likely reach waters of the state;

(6) Existing livestock waste control facility means any livestock wastecontrol facility that holds a permit issued by the [department] before theoperative date of this section;

(7) Livestock operation means the feeding or holding of beef cattle, dairycattle, horses, swine, sheep, poultry, and other livestock in buildings, lots, orpens which normally are not used for the growing of crops or vegetation butdoes not include the holding of cattle in calving operations for less than[ninety (90)] days per year. [Two (2)] or more livestock operations undercommon ownership are deemed to be a single livestock operation if they areadjacent to each other or if they utilize a common area or system for thedisposal of livestock wastes;

(8) Livestock waste control facility means any structure or combinationof structures utilized to control livestock waste until it can be used, re-cycled, or disposed of in an environmentally acceptable manner. Such struc-tures include, but are not limited to, diversion terraces, holding ponds, de-bris basins, liquid manure storage pits, lagoons, and other such devicesutilized to control livestock waste;

(9) New livestock waste control facility means any livestock waste con-trol facility that applies for a permit from the [department] on or after theoperative date of this section;

(10) Person has the same meaning as in [insert citation;](11) Prior pending application means an application for a livestock waste

control facility received by the [[department]] prior to the operative date ofthis section; and

(12) Waters of the state has the same meaning as in [insert citation.]

Section 3. [Task Force.] In order to implement the [Livestock Waste Man-agement Act,] the [Governor] shall appoint a [livestock waste managementtask force] to work with the [department] to conduct the study as requiredby subsection (2) of section 8 of this Act. [Task force] members shall include:

(1) [Three (3)] representatives of the livestock industry, [one (1)] repre-senting a [class I] livestock waste control facility, [one (1)] representing a[class II] livestock waste control facility, and [one (1)] representing either a[class III] or [class IV] livestock waste control facility;

(2) A [biological systems engineer] from the [University of Nebraska;](3) [One (1)] elected representative from the [natural resources districts]

who is not involved in the livestock industry;(4) An [agronomist] from the [University of Nebraska;](5) A representative from the [natural resource conservation service;](6) A member of the [general public representing environmental inter-

ests;] and(7) A representative of [municipalities.]


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The [task force] shall cease to exist on [December 1, 1998.]

Section 4. [Permits and Classification.](1) When there is a potential for discharge into waters of the state, as

determined by the [department:](a) No person shall construct a livestock waste control facility with-

out first obtaining a construction permit from the [department;] and(b) No person shall operate a livestock waste control facility with-

out an operating permit or interim use authorization from the [department.](2) Livestock waste control facilities shall be classified according to the

[maximum] number of animal units for which the livestock waste controlfacility is designed. The [council,] in adopting rules and regulations undersection 13 of this Act, shall set out the requirements for any livestock wastecontrol facility which is reclassified after permit issuance. Classificationsshall be as follows:

(a) A [class I] livestock waste control facility is designed for [onethousand (1,000)] or less animal units;

(b) A [class II] livestock waste control facility is designed for morethan [one thousand (1,000)] and [five thousand (5,000)] or less animal units;

(c) A [class III] livestock waste control facility is designed for morethan [five thousand (5,000)] animal units and [twenty thousand (20,000)]or less animal units; and

(d) A [class IV] livestock waste control facility is designed for morethan [twenty thousand (20,000)] animal units.

Section 5. [Forms.] Any person required to obtain a permit under sec-tion 4 of this Act may begin construction of the proposed livestock operationafter the person acknowledges on a form provided by the [department] thata permit may not be approved.

Section 6. [Inspections.](1) Any person owning or operating a livestock operation that does not

hold a permit or has not been notified by the [department] that no permitwas required shall, on forms prescribed by the [department,] request the[department] to inspect such person�s livestock operation to determine if alivestock waste control facility is required. If an inspection is requestedprior to [January 1, 1999,] an inspection fee for such inspection shall not beassessed. For inspections requested on or after [January 1, 1999,] thereshall be an inspection fee of [fifty (50)] dollars for a [class I] or [class II]livestock waste control facility and an inspection fee of [five hundred (500)]dollars for a [class III] or [class IV] livestock waste control facility. A personwho requests an inspection prior to [January 1, 2000,] shall not be deter-mined by the [department] to be in violation of the permitting provisions ofthe [Livestock Waste Management Act] prior to issuance or denial of a per-


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mit for such livestock waste control facility. However, the person shall notviolate any provisions of the [insert citation.]

(2) The Department shall, in conjunction with [natural resources dis-tricts] and the [Cooperative Extension Service of the University of Nebraska,]publicize information to make owners and operators of affected livestockoperations aware of the need to request an inspection.

Section 7. [Permits; Validity and Modification.](1) A permit issued under section 4 of this Act or a permit for an existing

livestock waste control facility shall be valid as long as the livestock opera-tion continues to operate. The [department] may modify any permit duringits term in the event rules and regulations adopted under the [LivestockWaste Management Act] change in such a manner as to affect provisions inthe permit. The [department] may require the permit holder to furnishsuch information as is necessary to determine compliance with current rulesand regulations.

(2) The [department,] in modifying permits under this section, shallinclude conditions in the permit which will allow a reasonable period oftime of up to [one (1)] year to achieve compliance with the rules and regula-tions and the Act. Modifications shall be done in accordance with [insertcitation] and pursuant to rules and regulations as adopted under section 13of this Act.

(3) Any person holding a permit issued under section 4 of this Act or apermit issued for an existing livestock waste control facility shall notify the[department] of a change of ownership and other information as prescribedby the [department] for purposes of review under section 9 of this Act.

Section. 8. [Applications and Fees.](1) On or after June 1, 1998, any person required to obtain a permit for

a livestock waste control facility under section 4 of this Act shall file anapplication with the [department] in the manner established by the [de-partment.] The application fees shall be [three hundred (300)] dollars for a[class I] livestock waste control facility, [eight (800)] hundred dollars for a[class II] livestock waste control facility, [one thousand five hundred (1,500)]dollars for a [class III] livestock waste control facility, and [five thousand(5,000)] dollars for a [class IV] livestock waste control facility. For permitmodifications the fee shall equal the [amount of the application fee for theclass of the proposed modification minus the application fee paid for theoriginal application.] If the permit modification will result in a lower classdesignation, there shall be no fee.

(2) The [department,] in conjunction with the [livestock waste manage-ment task force,] shall conduct a study to recommend appropriate inspec-tion or operation fees which may be charged to livestock waste control fa-cilities under the [Livestock Waste Management Act.] Such fees shall, if


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implemented, in conjunction with other recommended revenue sources, besufficient to pay the costs of administering and enforcing the Act. Suchstudy shall also include best management practices for odor control, thefeasibility of requiring financial assurance requirements for [class III] andclass IV livestock waste control facilities and the creation of an indemnifi-cation fund, and an analysis of the new technologies available relating tothe disposal of dead animals. A report of such study shall be submitted tothe [Natural Resources Committee] of the [Legislature] no later than [De-cember 1, 1998.]

(3) All fees collected under this section and section 6 of this Act shall beremitted to the [State Treasurer] for credit to the [Livestock Waste Man-agement Cash Fund] which is created for the purposes described in the Act.Any money in the fund available for investment shall be invested by the[state investment officer] pursuant to the [insert citation.]

(4) On or before [January 1] of each year, the [department] shall submita report to the [Legislature] in sufficient detail to document all direct andindirect costs incurred in the previous fiscal year in carrying out the [Live-stock Waste Management Act] including the number of inspections con-ducted for each class of livestock waste control facility, the number of per-mitted livestock waste control facilities, the number of livestock operationsinspected, the size of the livestock waste control facilities, and other ele-ments relating to carrying out the Act. The [Appropriations Committee] ofthe [Legislature] shall review the report in its analysis of executive pro-grams in order to verify that the revenue generated from fees was usedsolely to offset appropriate and reasonable costs associated with carryingout the Act.

Section 9. [Disqualification.](1) In addition to other permit review determinations under the [Live-

stock Waste Management Act] and the [insert citation,] the [department]may reject an application for a construction or operating permit, includinga prior pending application for a permit, for a livestock waste control facil-ity upon a finding that the applicant is unsuited or unqualified to performthe obligations of a permit holder. An applicant is unsuited or unqualifiedto perform the obligations of a permit holder if the applicant, any officer,director, partner, or resident general manager of the livestock operation forwhich application has been made:

(a) Has intentionally misrepresented a material fact in applying fora permit;

(b) Has habitually or intentionally violated environmental laws ofany state or the United States or any other nation, which violation hasresulted in significant and material environmental damage;

(c) Has had any permit revoked due to a violation of the environ-mental laws of any state or the United States or any other nation; or


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(d) Has otherwise demonstrated through clear and convincing evi-dence of previous actions that the applicant lacks the necessary compe-tency to reliably carry out the obligations imposed by law upon the permitholder.

(2) An application for a permit for a livestock waste control facility shallinclude a certification, sworn under oath and signed by the applicant, thathe or she is suited or qualified under this section to obtain such a permit.Any material misrepresentation of fact in regard to this certification mayresult in rejection of the application or revocation of an existing permit asprovided for in this section.

Section 10. [Post Construction Inspection.]The [department,] or an individual or organization the [department]

deems qualified, shall perform a post construction inspection on all live-stock waste control facilities requiring a permit prior to use of the livestockwaste control facility and within [thirty (30)] days after the [department]receives notification of the completion of the facility. Such period may bereasonably extended by the [department] due to adverse weather condi-tions or an act of God that would not allow an inspection within [thirty (30)]days. If the inspection is not done within the time specified in this section,the livestock waste control facility may proceed with operations.

Section 11. [Contracts.](1) In carrying out its responsibilities under the [Livestock Waste Man-

agement Act,] the [department] may contract with the various [naturalresources districts] as appropriate. The contract may include all tasks orduties necessary to carry out the Act but shall not enable the [natural re-sources districts] to issue permits or initiate enforcement proceedings. Thecontract may provide for payment of [natural resources districts�] costs bythe [department.]

(2) Upon receipt of a livestock waste control facility permit application,the [department] shall notify the [natural resources district] or districts inwhich the livestock waste control facility is to be located of the permit ap-plication. The [natural resources district] or [districts] shall have [twenty(20)] days to comment to the [department] regarding any conditions thatmay exist at the proposed site which the [department] should know whendetermining the appropriateness of issuing such permit. Such [natural re-sources district] or [districts] may request the [department] for a [twenty(20)] day extension of the comment period.

(3) The [department] shall notify the [county board] or [boards] whenan application for a livestock waste control facility has been submitted tothe [department.]

(4) Upon initial receipt of the permit application, the [department] has[thirty (30)] days to conduct a preliminary review of the application and to


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formally request in writing additional information or to acknowledge thatthe application is complete. Within [sixty (60)] days after receipt of a com-pleted permit application, the [department] shall transmit its written find-ings, conclusions, and reasons for approval or disapproval to the applicant.This subsection applies to permit applications received by the [department]on or after [September 1, 1998,] for any pending application or any newpermit application.

(5) The [department] shall provide for public notice of such permit ap-plication for all [class III] and [class IV] livestock waste control facilities inthe county or counties where the livestock waste control facility is to belocated.

Section 12. [Application Approval.](1) An applicant for a permit for a livestock waste control facility under

the [Livestock Waste Management Act] shall, before issuance of a permitby the [Department of Environmental Quality,] obtain any necessary ap-provals from the [Department of Water Resources] under [insert citation,]and certify such approvals to the [Department of Environmental Quality.]The [Department of Environmental Quality,] with the concurrence of the[Department of Water Resources,] may require the applicant to obtain ap-proval from the [Department of Water Resources] for any dam or lagoonstructure, the failure of which could result in a significant discharge intowaters of the state and have a significant impact on the environment. Whensuch approval is required, the [Department of Water Resources] shall ap-prove or deny the dam or lagoon structure within [sixty (60)] days after therequest is made. The [Department of Environmental Quality] may providefor the payment of such costs of the [Department of Water Resources] withrevenue generated under section 8 of this Act.

(2) Notwithstanding the provisions of the [insert citation,] the [Depart-ment of Environmental Quality] shall have authority to determine engi-neering requirements for [class I] livestock waste control facilities and ex-isting non-permitted livestock waste control facilities.

Section 13. [Rules.](1) The [council] shall adopt and promulgate rules and regulations to

carry out the [Livestock Waste Management Act] within [twelve (12)] monthsafter the operative date of this section. The rules and regulations shall in-clude a permit program for livestock waste control facilities which providesfor:

(a) A permitting process which includes:(i) A construction permit which prohibits construction of a live-

stock waste control facility prior to its issuance;(ii) An operating permit for new and existing livestock waste

control facilities to be issued after terms of the construction permit have


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been fulfilled and which may be terminated, modified, or revoked by the[department] for cause;

(iii) An application process which requires a permitting deter-mination by the [department] within [sixty (60)] days after receipt of a com-plete application, an acknowledgment by the applicant that a constructionpermit may not be approved, and an operating plan to be incorporated intothe permit;

(iv) Monitoring of surface or ground water by the permitteewhich may be necessary as determined by the [department] where a sig-nificant risk to waters of the state exists;

(v) Modification of operating permits in accordance with sec-tion 7 of this Act; and

(vi) Notification of the applicant by the [department] within[thirty (30)] days if the application is complete or, if the application is notcomplete, notification as to what information or requirements are needed;

(b) Requirements for existing livestock waste control facilities whosepermits are being modified under section 7 of this Act;

(c) Best management practices where appropriate to specific sitesto control runoff of waste, including adequate area for land application andproper methods and rates of disposal of waste and nutrients such as nitro-gen and phosphorus, and best management practices for control of odorwhich terminate [July 1, 1999;]

(d) Modifications to the calculation of animal units for immatureanimals; and

(e) A training program for land application of waste which may in-clude contracting with the [Cooperative Extension Service of the Univer-sity of Nebraska] for curriculum development and instruction.

(2) Rules and regulations adopted and promulgated under this sectionmay be based upon size classification of livestock waste control facilitiesand the form of waste management and may include more stringent re-quirements for facilities of larger size classes and waste control technolo-gies that are more likely to cause adverse impacts.

(3) The [council] may adopt and promulgate any other rules and regula-tions necessary to carry out the purposes of the [Livestock Waste Manage-ment Act.]

Section 14. [Legislative Intent.] It is the intent of the [Legislature] thatin enforcing the provisions of the [Livestock Waste Management Act] the[department] shall give priority to livestock waste control facilities withinclasses in the following order: [class IV,] [class III,] [class II,] and [class I.]




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TITLE 40�PROTECTION OF ENVIRONMENTCHAPTER I�ENVIRONMENTAL PROTECTION AGENCY (CONTINUED)

PART 122�EPA ADMINISTERED PERMIT PROGRAMS:THE NATIONAL POLLUTANT DISCHARGE ELIMINATION SYSTEM

(NPDES)

Table of Contents

Subpart B�Permit Application and Special NPDES Program Require-ments.

Sec. 122.23 Concentrated animal feeding operations (applicable to stateNPDES programs, see Sec. 123.25).

(a) Permit requirement. Concentrated animal feeding operations arepoint sources subject to the NPDES permit program.

(b) Definitions.(1) Animal feeding operation means a lot or facility (other than an

aquatic animal production facility) where the following conditions are met:(i) Animals (other than aquatic animals) have been, are, or will

be stabled or confined and fed or maintained for a total of 45 days or morein any 12-month period, and

(ii) Crops, vegetation forage growth, or post-harvest residuesare not sustained in the normal growing season over any portion of the lotor facility.

(2) Two or more animal feeding operations under common owner-ship are considered, for the purposes of these regulations, to be a singleanimal feeding operation if they adjoin each other or if they use a commonarea or system for the disposal of wastes.

(3) Concentrated animal feeding operation means an �animal feed-ing operation�� which meets the criteria in appendix B of this part, or whichthe Director designates under paragraph (c) of this section.

(c) Case-by-case designation of concentrated animal feeding operations.(1) The Director may designate any animal feeding operation as a

concentrated animal feeding operation upon determining that it is a sig-nificant contributor of pollution to the waters of the United States. In mak-ing this designation, the Director shall consider the following factors:

(i) The size of the animal feeding operation and the amount ofwastes reaching waters of the United States;

(ii) The location of the animal feeding operation relative to wa-ters of the United States;

(iii) The means of conveyance of animal wastes and processwaste waters into waters of the United States;

(iv) The slope, vegetation, rainfall, and other factors affectingthe likelihood or frequency of discharge of animal wastes and process waste


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waters into waters of the United States; and(v) Other relevant factors.

(2) No animal feeding operation with less than the numbers of ani-mals set forth in appendix B of this part shall be designated as a concen-trated animal feeding operation unless:

(i) Pollutants are discharged into waters of the United Statesthrough a man-made ditch, flushing system, or other similar man-madedevice; or

(ii) Pollutants are discharged directly into waters of the UnitedStates which originate outside of the facility and pass over, across, or throughthe facility or otherwise come into direct contact with the animals confinedin the operation.

(3) A permit application shall not be required from a concentratedanimal feeding operation designated under this paragraph until the Direc-tor has conducted an on-site inspection of the operation and determinedthat the operation should and could be regulated under the permit pro-gram.

Sec. 122.24 Concentrated aquatic animal production facilities (appli-cable to state NPDES programs, see Sec. 123.25).

(a) Permit requirement. Concentrated aquatic animal production facili-ties, as defined in this section, are point sources subject to the NPDES per-mit program.

(b) Definition. Concentrated aquatic animal production facility means ahatchery, fish farm, or other facility which meets the criteria in appendix Cof this part, or which the Director designates under paragraph (c) of thissection.

(c) Case-by-case designation of concentrated aquatic animal productionfacilities.

(1) The Director may designate any warm or cold water aquaticanimal production facility as a concentrated aquatic animal production fa-cility upon determining that it is a significant contributor of pollution towaters of the United States. In making this designation the Director shallconsider the following factors:

(i) The location and quality of the receiving waters of the UnitedStates;

(ii) The holding, feeding, and production capacities of the facil-ity;

(iii) The quantity and nature of the pollutants reaching watersof the United States; and

(iv) Other relevant factors.(2) A permit application shall not be required from a concentrated

aquatic animal production facility designated under this paragraph untilthe Director has conducted on-site inspection of the facility and has deter-mined that the facility should and could be regulated under the permitprogram.


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Local Government Service Delivery Systems

This legislation requires city and county governments in the state toexecute a local government service-delivery strategy agreement by July 1,1999. The strategy must identify which services will be provided, whichgovernments will provide the services, funding sources, and mechanismsfor implementation. The strategy must promote efficient, effective, and re-sponsive services and avoid overlapping and unnecessary competition andduplication by the service providers. The law prescribes that local govern-ments which are not in a verified service-delivery strategy by July 1, 1999will not be able to receive state money after that date.

Strategies may be revised due to:� Updated comprehensive plans;� Changes in service delivery or revenue-distribution arrangements; or� The creation, abolition, or consolidation of local governments.

Submitted as:GeorgiaHB 489Enacted into law, 1997.



Section 1. [Short Title.] This Act may be cited as an �Act to Provide forthe Adoption of a Local Government Service Delivery Strategy Agreementby Municipalities and Counties.�

Section 2. [Legislative Findings.] Local governments of this state are ofvital importance to the state and its citizens. The state has an essentialpublic interest in promoting, developing, sustaining, and assisting local gov-ernments. In addition, the natural resources, environment, and vital areasof the state are of vital importance to the state and its citizens. The statehas an essential public interest in protecting and preserving the naturalresources, the environment, and the vital areas of the state. The purpose ofthis Act is to provide for local governments to serve these essential publicinterests of this state by authorizing and promoting the establishment,implementation, and performance of coordinated and comprehensive plan-ning by municipal governments and county governments, and this Act shallbe construed liberally to achieve that end.

Section 3. [Definitions.] As used in this Act, the term:

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(1) �Comprehensive plan� means any plan by a county or municipalitycovering such county or municipality proposed or prepared pursuant to theminimum standards and procedures for preparation of comprehensive plansand for implementation of comprehensive plans established by the [depart-ment.]

(2) �Coordinated and comprehensive planning� means planning by coun-ties and municipalities undertaken in accordance with the minimum stan-dards and procedures for preparation of plans, for implementation of plans,and for participation in the coordinated and comprehensive planning pro-cess, as established by the [department.]

(3) �County� applies to any county of this state.(4) �Department� means the [Department of Community Affairs] of this

state created pursuant to [insert citation.](5) �Governing authority� or �governing body� means the board of com-

missioners of a county, sole commissioner of a county, council, commission-ers, or other governing authority for a county or municipality.

(6) �Inactive municipality� means any municipality which has not for aperiod of [three (3)] consecutive calendar years carried out any of the fol-lowing activities:

(A) The levying or collecting of any taxes or fees;(B) The provision of any of the following governmental services: wa-

ter; sewage; garbage collection; police protection; fire protection; or library;or

(C) The holding of a municipal election.(7) �Local government� means any county as defined in paragraph 3 of

this section or any municipality as defined in paragraph 10 of this section.The term does not include any school district of this state.

(8) �Mechanisms� includes, but is not limited to, intergovernmental agree-ments, ordinances, resolutions, and local Acts of the [General Assembly] ineffect on [July 1, 1997,] or executed thereafter.

(9) �Minimum standards and procedures� means the minimum standardsand procedures for preparation of comprehensive plans, for implementa-tion of comprehensive plans, and for participation in the coordinated andcomprehensive planning process, as established by the [department] in ac-cordance with [insert citation.] Minimum standards and procedures shallinclude any standards and procedures for such purposes prescribed by aregional development center for counties and municipalities within its re-gion and approved in advance by the [department.]

(10) �Municipality� means any municipal corporation of the state andany consolidated city-county government of the state.

(11) �Region� means the territorial area within the boundaries of opera-tion for any regional development center, as such boundaries shall be es-tablished from time to time by the board of the [department.]

(12) �Regional development center� means a regional development cen-


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ter established under [insert citation.]

Section 4. [Local Governments - Powers and Duties Relative to this Act.]The governing bodies of municipalities and counties are authorized:

(1) To develop, or to cause to be developed pursuant to a contract orother arrangement approved by the governing body, a comprehensive plan;

(2) To develop, establish, and implement land use regulations which areconsistent with the comprehensive plan of the municipality or county, asthe case may be;

(3) To develop, establish, and implement a plan for capital improve-ments which conforms to minimum standards and procedures and to makeany capital improvements plan a part of the comprehensive plan of themunicipality or county, as the case may be;

(4) To employ personnel, or to enter into contracts with a regional devel-opment center or other public or private entity, to assist the municipality orcounty in developing, establishing, and implementing its comprehensiveplan;

(5) To contract with one or more counties or municipalities, or both, forassistance in developing, establishing, and implementing a comprehensiveplan, regardless of whether the contract is to obtain such assistance or toprovide such assistance; and

(6) To take all action necessary or desirable to further the policy of thestate for coordinated and comprehensive planning, without regard forwhether any such action is specifically mentioned in this Act or is other-wise specifically granted by law.

Section 5. [Regional Development Centers.](a) Each municipality and county shall automatically be a member of

the [regional development center] for the region which includes such mu-nicipality or county, as the case may be.

(b) Each municipality and county shall pay, when and as they becomedue, the annual dues required for membership in its [regional developmentcenter.]

(c) Each municipality and county shall participate in compiling a statedatabase and network, coordinated by the [department] to serve as a com-prehensive source of information available, in an accessible form, to localgovernments and state agencies.

Section 6. [Zoning.](a) Except as provided in subsection (b) of this section, nothing in this

Act shall limit or compromise the right of the governing body of any countyor municipality to exercise the power of zoning.

(b) Any municipality which is as of [insert date] an inactive municipal-ity shall not exercise any powers under this Act or exercise any zoning


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powers, until and unless the municipality is restored to active status by theenactment of an appropriate new or amended charter by local Act of the[General Assembly.] Any municipality which becomes an inactive munici-pality after [insert date,] shall not after becoming inactive exercise powersunder this or exercise any zoning powers, until and unless the municipalityis restored to active status by the enactment of an appropriate new oramended charter by local Act of the [General Assembly.]

(c) Any county which has located within its boundaries all or any part ofany inactive municipality shall have full authority to exercise through itsgoverning body all planning and zoning powers within the area of suchinactive municipality within the county, in the same manner as if such areawere an unincorporated area.

Section 7. [Service Delivery System - Legislative Intent.] The intent ofthis section is to provide a flexible framework within which local govern-ments in each county can develop a service delivery system that is bothefficient and responsive to citizens in their county. The [General Assembly]recognizes that the unique characteristics of each county throughout thestate preclude a mandated legislative outcome for the delivery of servicesin every county. The process provided by this section is intended to mini-mize inefficiencies resulting from duplication of services and competitionbetween local governments and to provide a mechanism to resolve disputesover local government service delivery, funding equity, and land use. Thelocal government service delivery process should result in the minimiza-tion of incompatible municipal and county land use plans and in a simple,concise agreement describing which local governments will provide whichservice in specified areas within a county and how provision of such ser-vices will be funded.

Section 8. [Executing Local Government Service Delivery Agreements -Deadlines.] Each county and municipality shall execute an agreement forthe implementation of a local government service delivery strategy as setforth in this Act by [July 1, 1999.]

Section 9. [Initiating a Process to Develop a Local Government ServiceDelivery Strategy - Deadlines.] Each county shall initiate the process fordeveloping a local government service delivery strategy after [July 1, 1997,]but no later than [January 1, 1998.] Initiation of the strategy shall be ac-complished by the provision of a written notice from the county to the gov-erning bodies of all municipalities located wholly or partially within thecounty or providing services within the county and to other counties pro-viding services within the county. Such notice shall state the date, time,and place for a joint meeting at which designated representatives of alllocal governing bodies shall assemble for the purpose of commencing delib-


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erations on the service delivery strategy. The notice shall be sent not morethan [forty-five (45)] and not less than [fifteen (15)] days prior to the meet-ing date. In the event the county governing authority fails to initiate theprocess by [January 1, 1998,] any municipality within the county may do soby sending a written notice, containing the required information, to thecounty and all other municipalities.

Section 10. [Strategy Components.] Each local government service de-livery strategy shall include the following components:

(1) An identification of all local government services presently providedor primarily funded by each general purpose local government and eachauthority within the county, or providing services within the county, and adescription of the geographic area in which the identified services are pro-vided by each jurisdiction;

(2) An assignment of which local government or authority, pursuant tothe requirements of this Act, will provide each service, the geographic areasof the county in which such services are to be provided, and a description ofany services to be provided by any local government to any geographic areaoutside its geographical boundaries. In the event two or more local govern-ments within the county are assigned responsibility for providing identicalservices within the same geographic area, the strategy shall include anexplanation of such arrangement;

(3) A description of the source of the funding for each service identifiedpursuant to paragraph (2) of this section; and

(4) An identification of the mechanisms to be utilized to facilitate theimplementation of the services and funding responsibilities identified pur-suant to paragraphs (2) and (3) of this section.

Section 11. [Performance Criteria.] In the development of a service de-livery strategy, the following criteria shall be met:

(1) The strategy shall promote the delivery of local government servicesin the most efficient, effective, and responsive manner. The strategy shallidentify steps which will be taken to remediate or avoid overlapping andunnecessary competition and duplication of service delivery and shall iden-tify the time frame in which such steps shall be taken. When a municipalityprovides a service at a higher level than the base level of service providedthroughout the geographic area of the county by the county, such serviceshall not be considered a duplication of the county service;

(2) (A) The strategy shall provide that water or sewer fees charged tocustomers located outside the geographic boundaries of a service providershall not be arbitrarily higher than the fees charged to customers receivingsuch service which are located within the geographic boundaries of the ser-vice provider.

(B) If a governing authority disputes the reasonableness of water


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and sewer rate differentials imposed within its jurisdiction by another gov-erning authority, that disputing governing authority may hold a public hear-ing for the purpose of reviewing the rate differential. Following the prepa-ration of a rate study by a qualified engineer, the governing authority maychallenge the arbitrary rate differentials on behalf of its residents in a courtof competent jurisdiction. Prior to such challenge, the dispute shall be sub-mitted to some form of alternative dispute resolution;

(3) (A) The strategy shall ensure that the cost of any service which acounty provides primarily for the benefit of the unincorporated area of thecounty shall be borne by the unincorporated area residents, individuals,and property owners who receive the service. Further, when the county andone or more municipalities jointly fund a county-wide service, the countyshare of such funding shall be borne by the unincorporated residents, indi-viduals, and property owners that receive the service.

(B) Such funding shall be derived from special service districts cre-ated by the county in which property taxes, insurance premium taxes, as-sessments, or user fees are levied or imposed or through such other mecha-nism agreed upon by the affected parties which complies with the intent ofsubparagraph (A) of this paragraph; and

(4) (A) Local governments within the same county shall, if necessary,amend their land use plans so that such plans are compatible and noncon-flicting, or, as an alternative, they shall adopt a single land use plan for theunincorporated and incorporated areas of the county.

(B) The provision of extraterritorial water and sewer services byany jurisdiction shall be consistent with all applicable land use plans andordinances.

(C) A process shall be established by [July 1, 1998,] to resolve landuse classification disputes when a county objects to the proposed land useof an area to be annexed into a municipality within the county.

Section 12. [Approval of Local Government Service Delivery Strategies.](a) Approval of the local government service delivery strategy shall be

accomplished as provided for in this section.(b) The county and each municipality within the county shall partici-

pate in the development of the strategy. Approval of the strategy shall beaccomplished by adoption of a resolution:

(1) By the county governing authority;(2) By the governing authority of municipalities located within the

county which have a population of [nine thousand (9,000)] or greater withinthe county;

(3) By the municipality which serves as the county site if not in-cluded in paragraph (2) of this subsection; and

(4) By no less than [fifty (50)] percent of the remaining municipali-ties within the county which contain at least [five hundred (500)] people


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within the county if not included in paragraph (2) or (3) of this section.(c) For the purpose of determining population, the population in the

most recent United States decennial census shall be utilized.(d) If a county and the necessary number of cities in the county cannot

reach an agreement on the strategy, a means for facilitating an agreementthrough some form of alternative dispute resolution shall be employed.Where the alternative dispute resolution action is unsuccessful, the neu-tral party or parties shall prepare a report which shall be provided to eachgoverning authority and made a public record. The cost of alternative dis-pute resolution authorized by this subsection shall be shared by the partiesto the dispute pro rata based on each party�s population according to themost recent United States decennial census. The county�s share shall bebased upon the unincorporated population of the county.

(e) The adoption of a service delivery strategy specified in section 8 ofthis Act may be extended to a date certain no later than [one hundred twenty(120)] days following the date otherwise specified in section 8 upon writtenagreement of the local governments enumerated in subsection (b) of thissection. In the event such an agreement is executed, the sanctions specifiedin section 14 shall not apply until on and after such extended date.

Section 13. [Agreement Verification.]Each county shall file the agreement for the implementation of strategy

required by section 8 with the [department.] The [department] shall, within[thirty (30)] days of receipt, verify that the strategy includes the compo-nents enumerated in section 10 and the minimum criteria enumerated insection 11 of this Act. The [department,] however, shall neither approve nordisapprove the specific elements or outcomes of the strategy.

Section 14. [State Financial Assistance.]On and after [July 1, 1999,] no state administered financial assistance

or grant, loan, or permit shall be issued to any local government or author-ity which is not included in a [department] verified strategy or for any projectwhich is inconsistent with such strategy.

Section 15. [Strategy Revisions.]Each county and municipality shall review, and revise if necessary, the

approved strategy:(1) In conjunction with updates of the comprehensive plan as required

by this Act;(2) Whenever necessary to change service delivery or revenue distribu-

tion arrangements; or(3) In the event of the creation, abolition, or consolidation of local gov-

ernments.


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Nonhazardous and Nonliquid Waste Handling(Statement)

Illinois P.A. 90-502 of 1997 (HB 2164) law amends the state Environ-mental Protection Act to exclude most nonhazardous and nonliquid indus-trial-process and pollution-control wastes from the definition of special waste.Generally, businesses that certify that they are following the new law�s re-quirements may dispose of such waste as ordinary municipal waste if thewaste has never exhibited characteristics of, or been listed by the EPA ashazardous waste; if the waste is not liquid waste; and if it does not containasbestos, polychlorinated biphenyls (PCBs) or auto fluff. Auto fluff comesfrom recycling and shredding vehicles.

New certifications are required for each change in process or raw mate-rials. Certifications must be provided when requested by the state EPA, thewaste hauler, or the facility receiving the waste. The excluded wastes nolonger require manifests (documents that track their journey from genera-tor to receiving facility). They need not be transported by special-wastehaulers; and receiving facilities need not have special-waste authorization.However, wastes that cannot have their special designation removed throughthe new generator-certification process must continue to be manifested andmanaged accordingly.

The new law provides stiff penalties for false certification. Anyone whoknowingly and falsely certifies that an industrial-process or pollution-con-trol waste is not a special waste commits a Class 4 felony for a first offense,and a Class 3 felony for any subsequent offense. In addition to other penal-ties prescribed by law, anyone convicted of a Class 4 felony is subject to afine not to exceed $50,000 for each day of the offense. A Class 3 felony car-ries a maximum fine of $250,000 for each day the offense continues.

Industrial-process waste is generated directly or indirectly in the manu-facture of a product or the performance of a service. Examples include chemi-cal catalysts, paint sludge, incinerator ash, metallic dust sweepings andoff-specification, contaminated or recalled wholesale or retail products.Pollution-control waste is generated directly or indirectly in the removalof contaminants from air, land or water. Examples include wastewatertreatment plant sludge, baghouse dusts, landfill waste, scrubber sludgeand chemical-spill cleanings.

In addition to these wastes, the containers that once held them mayalso be excluded from the definition of special waste (and disposed of asmunicipal waste) provided the container no longer contains a liquid, allwastes have been removed by means appropriate for the material and thecontainer, any remaining residue is less than one inch thick, and any innerliner has been removed and managed as special waste.


Readers should note that the key components of this Act begin on page30, under Section 45, �Special Waste.� Other less important componentsaddress dry cleaning, fluorescent bulbs and high-intensity discharge lamps.

Interested readers can contact the state legislature to obtain a copy ofthis Act.

Nonhazardous and Nonliquid Waste Handling (Statement)


Obesity

It is reported that 35 percent of the adult population is obese, and thatprevalence of obesity increased 35 percent over the last decade. This resolu-tion directs the state secretary of health and hospitals to study the effect ofobesity in adults and children on health complications such as diabetes,hypertension, heart disease and stroke. The resolution directs the secre-tary to make recommendations to improve the awareness of the problem ofobesity and suggested treatment modalities, and to report the findings ofthe study to the legislature prior to convening the 1999 Regular Session.

Submitted as:LouisianaHouse Concurrent Resolution 11 (enrolled version)Passed in 1998.



Section 1. [Short Title.] This Act may be cited as a �Resolution to Directa Study of Obesity.�

Section 2. [Legislative Findings.]WHEREAS, studies performed recently by the federal Center For Dis-

ease Control and Prevention and the Coalition for Excess Weight Risk Edu-cation indicate that [insert city] has a high rate of obesity relative to allmajor metropolitan areas in the United States, with over [insert percent]obesity among the adult population; and

WHEREAS, a causal relationship exists between obesity and a numberof serious disorders, including hypertension, dyslipidemia, cardiovasculardisease, diabetes (type two), gall bladder disease, respiratory dysfunction,gout, and osteoarthritis; and

WHEREAS, the National Institute of Diabetes and Digestive and Kid-ney Diseases provided information which indicates that nearly [eighty (80)]percent of patients with diabetes mellitus are obese and the incidence ofsymptomatic gallstones soars as a person�s body mass index increases be-yond a certain level; and

WHEREAS, the information also reveals that nearly [seventy (70)] per-cent of diagnosed cases of cardiovascular disease are related to obesity, andobesity more than doubles a person�s chances of developing high blood pres-sure, and almost half of breast cancer cases are diagnosed among obesewomen, and [forty-two (42)] percent of colon cancer cases are among obese

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individuals; and WHEREAS, obesity ranks second only to smoking as apreventable cause of death and results in some [three hundred thousand(300,000)] deaths annually; and

WHEREAS, it is estimated that [thirty-five (35)] percent of the adultpopulation is obese and the prevalence of obesity grew a shocking [thirty-four (34)] percent during the past [ten (10)] years; and

WHEREAS, a 1997 study by Kaiser Permanente indicated that the to-tal direct costs of obesity-related diseases in the United States in 1990 was$45.8 billion; and

WHEREAS, the Kaiser study concluded that there is a significant po-tential for a reduction in health care expenditures through obesity preven-tion efforts; and

WHEREAS, there is an urgent need for state health care groups andmedical societies to place obesity at the top of the state�s health care agenda;and

WHEREAS, many physicians do not treat obesity because they mistak-enly believe there is no treatment for it; and

WHEREAS, the National Institute of Health, the American Society forBariatric Surgery, and the American Obesity Association recommend thatpatients who are morbidly obese receive responsible, affordable medicaltreatment for their obesity; and

WHEREAS, the diagnosis of morbid obesity should be a clinical deci-sion made by a physician based on proper medical protocols; and

WHEREAS, the recent breakthroughs in drug therapy can treat obe-sity successfully and the New England Journal of Medicine recently em-phasized the legitimate use of pharmacotherapy as a component of treat-ment of medically significant obesity; and

WHEREAS, the new breakthroughs in obesity treatment are not widelyknown and efforts must be made to inform the general public and healthcare professionals that pharmacotherapy can be used as an effective andcost-effective treatment for obesity; and

WHEREAS, there is also great concern regarding what effect obesity inchildren may have on overall health in children, health care costs for chil-dren, and treatment modalities to address the problem of obesity in chil-dren; and

WHEREAS, this study by the [Secretary] of the [Department of Healthand Hospitals] is critical to raise the awareness of the public and privatesectors that obesity is a disease of epidemic proportions that is treatableand that proper treatment will reduce health care costs and improve thequality of life for a large number of our citizens.

THEREFORE, BE IT RESOLVED that the [Legislature] does herebydirect the [Secretary] of the [Department of Health and Hospitals] to studythe effect of obesity in both adults and children on costly health complica-tions such as diabetes, hypertension, heart disease, and stroke, and health

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complications in children, and make recommendations for improvement inawareness of the problem of obesity and suggested treatment modalities,and to report the findings of such study and such recommendations to thefull [Legislature] prior to the convening of the [1999 regular] session.




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Perpetrator�s Assumption of Risk (Note)

At least four states limit people from recovering civil damages for inju-ries they sustain when committing crimes; Delaware, Minnesota, Missis-sippi and North Dakota.

Delaware HB 49, a 1997 law, prevents criminals from recovering civildamages from their victims when the criminals are injured while commit-ting felony crimes or attempting to avoid being captured for their felonycrimes.

Minnesota Stat. 611A.08 declares perpetrators assume the risk of loss,injury or death resulting from or arising out of a course of criminal conductinvolving a violent crime, engaged in by the perpetrator or an accomplice.This 1996 law makes crime victims immune from and not liable for anycivil damages as a result of acts or omissions of the victims if the victimsuse reasonable force to protect themselves. Violent crimes include man-slaughter, murder, assault, aggravated robbery, kidnapping, arson and crimi-nal sexual conduct.

Mississippi Chapter Law 471 of 1997 (HB 100) says perpetrators as-sume the risk of loss, injury or death resulting from or arising out of acourse of criminal trespass, engaged in by the perpetrator or an accomplice.The law says crime victims are immune from and not liable for any civildamages as a result of acts or omissions of the victims. Criminal trespassincludes arson, destroying boundary landmarks, burglary and destroyingproperty and buildings.

North Dakota SB 2221 states that a perpetrator assumes the risk ofloss, injury, or death resulting from or arising out of a course of criminalconduct involving a crime, engaged in by the perpetrator or an accomplice.The 1997 law says crime victims are immune from and not liable for anydamages as a result or acts or omissions of the victim. A North Dakotalegislative staff report defines crimes as include murder, manslaughter,homicide, assault, terrorizing, gross sexual imposition, sexual assault, rob-bery, burglary or criminal trespass.

Interested readers can contact the states to get a copy of the laws thatare highlighted by this �Note.�


Premium Sharing

This Act authorizes a state health agency to set up a demonstrationprogram to provide health insurance to uninsured and chronically ill people.The law directs a state health agency to contract with a private insurancecarrier to provide the insurance and uses state funds to offset the cost of thepremiums to program enrollees.

Submitted as:ArizonaCH 186 (Laws of 1997)Enacted into law, 1997.



Section 1. [Short Title.] This Act may be cited as an �Act Relating to ThePremium Sharing Demonstration Project.�

Section 2. [Premium Sharing Demonstration Project; Implementation;Requirements; Definitions.]

(A) Beginning [October 1, 1997,] the [health care cost containment sys-tem administration] is authorized to contract with health plans that con-tract with the [health care cost containment system] pursuant to [insertcitation,] in order to establish the premium sharing demonstration projectto provide services to uninsured people as authorized pursuant to this sec-tion. If the [director] of the [health care cost containment system adminis-tration] determines there is insufficient coverage in a county participatingin the demonstration project, the [director] shall attempt to contract with aprepaid capitate provider as defined in [insert citation,] to provide servicesunder the demonstration project. Enrollees shall pay a copayment, as speci-fied in subsection D of this section, at the time services are rendered, and amonthly premium to obtain access to medical services. The premium shar-ing demonstration project fund, established pursuant to [insert citation,]shall be used to subsidize portions of the enrollee�s total premium costs.The total amount of state money that may be spent in any fiscal year by the[administration] for the premium sharing demonstration project shall notexceed the amount appropriated or authorized by [insert citation.] Enroll-ees shall receive medical services if they pay the required monthly pre-mium costs minus the state subsidized amount, pay all of their copaymentcharges and comply with all other provisions of this section.

(B) The [director] of the [health care cost containment system adminis-

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tration] shall administer and implement the demonstration project. The[director] has full operational authority and shall use [health care group,]established pursuant to [insert citation,] to carry out the administrativefunctions of the demonstration project and shall:

(1) Establish a process for billing and collecting the enrollee�scopayments and monthly premiums.

(2) Maintain enrollee data information.(3) Establish an aggressive disenrollment process for enrollees who

default on paying premiums or who do not comply with premium paymentdeadlines. The [administration] shall disenroll an enrollee from the demon-stration project if the enrollee fails to make the required payments within aspecified period of time as prescribed by the [administration.] Participantswho leave the demonstration project shall not be eligible to re-enroll for aperiod of [twelve (12)] months from the date of disenrollment.

(4) Establish a system for tracking an enrollee�s premium collectionand noncollection.

(C) For the purposes of determining eligibility, the [director of the healthcare cost containment system administration] shall develop:

(1) A presumptive eligibility application process for demonstrationproject applicants to be used by participating eligibility entities. The [healthcare cost containment administration] may enter into an intergovernmen-tal agreement with the [Department of Economic Security,] a county orcounties or contract with the participating health plans to conduct eligibil-ity determinations for the demonstration project. Gross annual income shallbe calculated by multiplying by [four (4)] the applicant�s household incomefor the [three (3)] months immediately before the application for eligibilityfor the premium sharing demonstration project.

(2) A process to review the eligibility of the enrollee every [six (6)]months.

(3) Language in the contract or in the intergovernmental agree-ment for sanctions for erroneous eligibility determinations and a process toaudit the eligibility determinations made by the entities with which the[administration] contracts or enters into intergovernmental agreements.

(D) An enrollee shall receive health care services as prescribed in [in-sert citation,] and pursuant to the limitations and exclusions in this sec-tion, except that enrollees shall pay:

(1) [Ten dollars (10)] for each physician visit.(2) [Twenty-five dollars (25)] for each emergency room visit. This

fee shall be waived if the person is admitted to the hospital.(3) [Fifty (50)] dollars for each inpatient stay.(4) [Fifty (50)] dollars for each emergency room visit that is for a

nonemergency situation.(5) [Three (3)] dollars for each prescription that is filled with a ge-

neric drug and [fifty (50)] percent of the cost of each prescription that is

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filled with a brand name pharmaceutical unless a generic drug is unavail-able or not medically appropriate, in which case the enrollee shall pay [three(3)] dollars for each prescription.

(6) [Eight (8)] dollars for each laboratory visit.(7) [Eight (8)] dollars for each x-ray service.(8) [Fifty (50)] dollars for each behavioral health admission to an

inpatient behavioral facility. Enrollees are eligible for a maximum of [thirty(30)] days of inpatient behavioral health services annually.

(9) [Ten (10)] dollars for individual outpatient behavioral health ser-vices. Enrollees are eligible for a maximum of [thirty (30)] outpatient be-havioral health visits annually.

(10) [Five (5)] dollars for outpatient behavioral health group ser-vices.

(11) The full cost of any nonemergency transportation.(E) Unless an enrollee meets the requirements for coverage as a chroni-

cally ill person pursuant to subsection O, paragraph 2, subdivision (D) ofthis section, an enrollee is not eligible to receive transplant services.

(F) Medical service providers may withhold nonemergency medical ser-vices to enrollees who do not pay copayments in full at the time the serviceis rendered.

(G) The [director] of the [health care cost containment system adminis-tration] shall require as a condition of a contract with any provider that amarketing plan be developed to reach people eligible pursuant to this sec-tion.

(H) For the purposes of the demonstration project, the [health care costcontainment system administration] shall establish the total premium costsand shall establish the portion of the monthly premium that each enrolleeshall pay based on the following:

(1) The enrollee�s household gross income and household size. Anenrollee with an annual gross household income of up to and including [two(200)] hundred percent of the federal poverty guidelines shall pay a portionof the premium shall that does not exceed [four (4)] percent of the enrollee�shousehold gross income. An enrollee who is chronically ill pursuant to sub-section O, paragraph 2, subdivision (D) of this section and who has an an-nual gross household income above [two hundred (200)] percent of the fed-eral poverty guidelines but not more than [four hundred (400)] percent ofthe federal poverty guidelines shall pay the full premium established bythe [administration.]

(2) The total amount of money available in the premium sharingdemonstration project fund established by [insert citation.] The total amountof state money that may be spent in any fiscal year by the [administration]for the premium sharing demonstration project shall not exceed the amountappropriated or authorized by [insert citation.]

(3) The [administration] shall establish actuarially sound capita-

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tion rates. The [administration] may adjust the initial capitation rates, ex-cept that any increase exceeding [ten (10)] percent of the established ratemust first be reviewed by the [oversight committee.]

(I) Enrollees shall pay the required enrollee premium payment and fullcopayment charges established by the [administration.]

(J) On implementation of the federal waiver for eligibility based on [onehundred (100)] percent of the federal poverty level by the federal HealthCare Financing Administration, enrollees in the premium sharing demon-stration project who have incomes that are less than [one hundred (100)]percent of the federal poverty guidelines as published annually by the UnitedStates Department of Health and Human Services shall not be eligible forthe premium sharing demonstration project and shall reapply for the planimplemented after the waiver is approved.

(K) On implementation of a state children�s health insurance programestablished pursuant to Title XXI of the Social Security Act, any child whois eligible for that program is not eligible for the premium sharing demon-stration project. Eligibility for the premium sharing demonstration projectshall continue for not more than [ninety (90)] days after the implementa-tion date of the state children�s health insurance program to allow the en-rollee sufficient time to submit an application and to be determined eligiblefor that program. If the enrollee does not apply for the state children�s healthinsurance program, eligibility for the premium sharing demonstrationproject terminates [ninety (90)] days after the implementation date of thestate children�s health insurance program.

(L) Pregnancy shall not be considered a pre-existing condition for thepurposes of refusing services.

(M) Once a participant is determined eligible, the participant�s familymembers are also considered eligible. Participants shall enroll all familymembers who are not currently insured and who have not been insured forthe preceding [six (6)] months unless the household member is eligible pur-suant to subsections J or K of this section.

(N) Notwithstanding any other law, health care cost containment sys-tem health plans that participate in the premium sharing demonstrationproject and [health care group] for the purposes of the demonstration shallnot be subject to the provisions of the Health Insurance Portability andAccountability Act of 1996 (P.L. 104-191), but participants in the premiumsharing demonstration project shall be allowed to use enrollment in thepremium sharing demonstration project as creditable coverage as definedin the Health Insurance Portability and Accountability Act of 1996.

(O) For the purposes of this section:(1) �Chronic disease� means:

(a) Alpha-1-antitrypsin deficiency.(b) Amyotrophic lateral sclerosis.(c) Cardiomyopathy.

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(d) Chronic liver disease.(e) Chronic pancreatitis.(f) Chronic rheumatoid arthritis.(g) Congenital heart disease.(h) Cystic fibrosis.(i) Growth hormone deficiency.(j) Hematologic cancer.(k) Hemophilia.(l) History of any solid organ transplant.(m) Acquired immunodeficiency syndrome.(n) Hodgkins disease.(o) Metastatic cancer.(p) Multiple sclerosis.(q) Muscular dystrophies.(r) Pulmonary hypertension.(s) Sickle cell disease.

(2) �Enrollee� means a resident of this state and of either [one (1)] of[two (2)] urban counties with a population of more than [five hundred thou-sand (500,000)] people or of [one (1)] of [two (2)] rural counties with a popu-lation of less than [five hundred thousand (500,000)] people chosen by theadministration to participate in the demonstration project who is a citizenof the United States or who meets the alienage requirements that are es-tablished pursuant to [insert citation,] and who:

(a) Has been screened pursuant to subsection c of this sectionand is ineligible for services pursuant [insert citation.]

(b) Submits an application for the premium sharing demon-stration project as prescribed by the [health care cost containment systemadministration.]

(c) Except as provided in subdivision (d) of this paragraph, hasan annual household gross income that does not exceed [two hundred (200)]percent of the federal poverty guidelines as published annually by the UnitedStates Department of Health and Human Services.

(d) Has an annual household gross income of between [zero (0)]and [four hundred (400)] percent of the federal poverty guidelines and whohas at least [one (1)] chronic disease as defined in this subsection. If thechronic disease is caused by alcohol, drug or chemical addiction, the appli-cant is not eligible for the premium sharing demonstration project. A per-son who is chronically ill and who has an annual gross household incomeabove [two hundred (200)] percent of the federal poverty guidelines shallhave been eligible for health care services pursuant to [insert citation,] for[twelve (12)] consecutive months immediately preceding the date of appli-cation for the premium sharing program. A direct state subsidy shall not becontributed to share in the cost of any enrollee whose gross income exceeds[two hundred (200)] percent of the federal poverty guidelines.

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(e) Demonstrates that the enrollee has not been insured by ahealth care insurer or [health care group] at any time during the [six (6)]months preceding the date of application. this subdivision does not apply toany applicant who is no longer eligible pursuant to [insert citation,] or to aperson who is chronically ill and who has an annual household gross in-come above [two hundred (200] percent of the federal poverty guidelinesbut not more than [four hundred (400)] percent of the federal poverty guide-lines.

(f) Agrees to share in the cost of the premiums established bythe [administration] pursuant to subsection H of this section.

(g) Agrees to cooperate fully with the administration in the de-termination of household income for the purposes of determining gross in-come and premium costs.

(h) Is not eligible for Medicare benefits through Title XVIII ofthe Social Security Act or Supplemental Security Income payments associ-ated with blindness or disability.

(i) Is ineligible for coverage through the Veterans� Administra-tion for the condition or conditions in question.

(j) Has not been found by a governmental agency or a court oflaw to have committed an act of fraud or abuse with respect to any cash orin-kind benefit program including temporary assistance to needy families,general assistance, food stamps, a state Medicaid program or any state orcounty sponsored medical assistance program.

(k) Is not eligible for benefits under Title XIX of the Social Se-curity Act. however, women who are eligible for the Sixth Omnibus BudgetReconciliation Act extension may apply for the premium sharing demon-stration project.

(3) �Federal poverty guidelines� means the guidelines published an-nually by the United States Department of Health and Human Services.

(4) �Health care group� includes the separate organization estab-lished pursuant to [insert citation.]

(5) �Plan� means the federal waiver for eligibility based on one hun-dred percent of the federal poverty level and as approved by the federalHealth Care Financing Administration.

(6) �Population� means the population according to the most recentUnited States decennial census.

Section 3. [Premium Sharing Demonstration Project; Enrollment Cap.]The [health care cost containment system administration] shall limit

enrollment in the premium sharing demonstration project established pur-suant to section 3 of this Act so that annual premium expenditures by thestate for the project do not exceed the annual appropriation to the projectpursuant to [insert citation.] The [administration] shall determine the num-ber of demonstration project participants that can be enrolled. The [admin-

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istration] shall limit the total number of all chronically ill enrollees in thepremium sharing demonstration project to [two hundred (200)] people, sub-ject to the availability of money.




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Prisoner Litigation Reform

This Act requires state prisoners to exhaust administrative remediesprior to bringing any lawsuit based upon prison conditions under any statestatute or constitutional provision. It permits a court to dismiss a prisoner�slawsuit without exhaustion of administrative remedies if it is frivolous,malicious, fails to state a claim or seeks monetary relief against an immunedefendant.

The Act prohibits a prisoner from filing another lawsuit based on prisonconditions if the prisoner has on three or more occasions filed a frivolouslawsuit. It permits the prisoner to file an action if approved by a judge or ifthe prisoner is in imminent danger of serious physical injury.

The law requires that any monetary award to a prisoner must be usedto satisfy any pending court-ordered payment before payment to the pris-oner.

The Act limits attorney fees that may be awarded against a defendantin a prisoner lawsuit to an amount:

� Actually incurred in proving a violation of the prisoner�s rights;� Proportionately related to the relief ordered or incurred in enforcing

the award; and� Based upon an hourly rate of not more than 150% of the amount paid

to court-appointed counsel.The law requires that an amount not to exceed 25% of any monetary

judgment awarded in a prisoner lawsuit be used to satisfy any award ofattorney fees entered in the lawsuit. If a state prisoner is to file an action orappeal without prepaying the filing fee, the prisoner must:

� File verified statements of the prisoner�s trust fund account for thepreceding 6 months;

� If the prisoner has ten dollars or more in his or her trust fund account,to make an initial payment in accordance with the court�s order; and

� To make continuing monthly payments equal to 20% of the previousmonth�s deposits in the prisoner�s trust fund account until the filing fee ispaid in full.





Section 1. [Short Title.] This Act may be cited as an �Act ConcerningPrisoner Lawsuits.�

Section 2. [Definitions.] As used in this Act:(1) �Civil action� means the filing of a complaint, petition, writ, or mo-

tion with any court within the state, including any appellate court; exceptthat �civil action� does not include any criminal action or an action for Ha-beas Corpus under [insert citation.]

(2) �Detaining facility� means any state correctional facility, as definedin [insert citation,] including the youthful offender system, any private cor-rectional facility housing state prisoners pursuant to [insert citation], orany local jail, as defined in [insert citation,] or community corrections pro-gram, established in [insert citation.] A detaining facility shall not includeany juvenile detention facility that detains only juveniles.

Section 3. [Exhaustion of Remedies.](1) No inmate shall bring a civil action based upon prison conditions

under any statute or constitutional provision until all available adminis-trative remedies have been exhausted in a timely fashion by the entityoperating the detaining facility and inmate. For purposes of this subsec-tion, an inmate shall be considered to have exhausted all available ad-ministrative remedies when the inmate has completed the last step inthe inmate grievance process as set forth in the regulations promul-gated for the detaining facility.

(2) Notwithstanding subsection (1) of this section, if a court finds that aclaim filed by an inmate is frivolous, malicious, fails to state a claim uponwhich relief may be granted, or seeks monetary relief from a defendant whois immune from monetary relief, a court may dismiss the claim withoutfirst requiring exhaustion of administrative remedies.

Section 4. [Successive Claims.](1) No inmate who on [three (3)] or more occasions has brought an ac-

tion based upon prison conditions that has been dismissed on the groundsthat it was frivolous, malicious, failed to state a claim upon which reliefmay be granted, or sought monetary relief from a defendant who is im-mune from such relief, shall bring a civil action based upon prison condi-tions under any statute or constitutional provision.

(2) Notwithstanding subsection (1) of this section, an inmate may file asuit with the written permission of a judge of the court in which the actionis to be filed or if the inmate is in imminent danger of serious physicalinjury.

Section 5. [Court-Ordered Payment.] Any compensatory damages


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awarded to an inmate in connection with a civil action brought against anyfederal, state, or local jail, prison, or facility or against any official or agentof a jail, prison, or facility, after deduction for any award of attorney feespursuant to section 6 (1) (c), shall be paid directly to satisfy any outstand-ing court-ordered payments pending against the inmate, including but notlimited to restitution or child support. The remainder of the award afterfull payment of all pending court orders shall be forwarded to the inmate.

Section 6. [Assessment of Costs and Attorney Fees - Review of InmateSpending from Account - Recovery of Costs from Inmate Accounts - Alterna-tive Sanctions - Continuing Garnishment Authorized.]

(1) (a) In any action based upon prison conditions brought under anystatute or constitutional provision, if attorney fees are recoverable pursu-ant to any state or federal statute, no attorney fees shall be awarded to aninmate, except to the extent that:

(i) The fees were directly and reasonably incurred in provingan actual violation of the inmate�s rights protected by the Constitution orstatute; and

(ii) The amount of the fees is proportionately related to the court-ordered relief for the violation or the fees were directly and reasonablyincurred in enforcing the relief ordered for the violation.

(b) No award of attorney fees under this section shall be based onan hourly rate in excess of [one hundred fifty (150)] percent of the hourlyrate paid to court-appointed counsel in the district in which the action wasfiled.

(c) Whenever a separate monetary judgment is awarded in an ac-tion in which attorney fees are awarded under this section, a portion of thejudgment not to exceed [twenty-five (25)] percent shall be applied to reducethe amount of attorney fees awarded against the defendant.

(d) Nothing in this section shall prohibit an inmate from enteringinto an agreement to pay an attorney fee in excess of the amount autho-rized in this section, if the fee is paid by the individual rather than by adefendant.

Section 7. [Filing Fees.](1) An inmate seeking to bring a civil action or appeal a judgment in a

civil action without prepayment of fees, in addition to filing any requiredaffidavit, shall submit a copy of the inmate�s trust fund account statementfor the [six (6)] month period immediately preceding the filing of the com-plaint or notice of appeal, certified by an appropriate official at the detain-ing facility. If the inmate account demonstrates that the inmate has suffi-cient funds to pay the filing fee, the motion to proceed as a poor person shallbe denied.

(2) Any inmate who is allowed to proceed in the civil action as a poor


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person shall be required to pay the full amount of the filing fee in the fol-lowing installments:

(a) If the inmate has [ten (10)] dollars or more in his or her inmatetrust fund account, make an initial partial payment in accordance with theorder of the court; and

(b) Make continuing monthly payments to the court equal to [twenty(20)] percent of the preceding month�s deposits in the inmate�s trust ac-count until the fee is paid in full.

(3) In no event shall an inmate be prohibited from filing a civil ac-tion or appealing a civil or criminal judgment because the inmate has noassets and no means by which to pay the initial partial payment.




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Private School Tuition; Tax Credit

This Act establishes criteria for $500 tax credit for voluntary contribu-tions to school-tuition organizations. School-tuition organizations are chari-table organizations that devote at least 90 percent of their annual revenueto educational scholarships or tuition grants to children to allow them toattend any qualified school of their parents� choice.

Submitted as:ArizonaCH 48, Laws of 1997Enacted into law, 1997.



Section 1. [Short Title.] This Act may be cited as the �Private School TaxCredit Act.�

Section 2. [Additions to Definitions of Gross Income - State Income Tax.]In computing adjusted gross income, the following amounts shall be

added to gross income:(1) Any amount deducted pursuant to section 170 of the Internal Rev-

enue Code representing contributions to a school tuition organization forwhich a credit is claimed under sections 3 or 4 of this Act.

Section 3. [Credit for Voluntary Contributions to School Tuition Organi-zation; Definitions.]

(A) For taxable years beginning from and after [December 31, 1997,] acredit is allowed against the taxes imposed by [insert citation] for the amountof voluntary cash contributions made by the taxpayer during the taxableyear to a school tuition organization, but not exceeding [five hundred (500)]dollars in any taxable year. The [five hundred (500)] dollar limitation alsoapplies to taxpayers who elect to file a joint return for the taxable year. Ahusband and wife who file separate returns for a taxable year in whichthey could have filed a joint return may each claim only [one-half (1/2)] ofthe tax credit that would have been allowed for a joint return.

(B) If the allowable tax credit exceeds the taxes otherwise due under[insert citation] on the claimant�s income, or if there are no taxes due under[insert citation,] the taxpayer may carry the amount of the claim not usedto offset the taxes under [insert citation] forward for not more than [five (5)]

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consecutive taxable years� income tax liability.(C) The credit allowed by this section is in lieu of any deduction pursu-

ant to section 170 of the Internal Revenue Code and taken for state taxpurposes.

(D) The tax credit is not allowed if the taxpayer designates the taxpayer�sdonation to the school tuition organization for the direct benefit of any de-pendent of the taxpayer.

(E) For purposes of this section:(1) �Qualified school� means a nongovernmental primary or second-

ary school in this state that does not discriminate on the basis of race, color,sex, handicap, familial status or national origin and that satisfies the re-quirements prescribed by law for private schools in this state on [January1, 1997.]

(2) �School tuition organization� means a charitable organization in thisstate that is exempt from federal taxation under section 501 (c) (3) of theInternal Revenue Code and that allocates at least [ninety (90)] percent ofits annual revenue for educational scholarships or tuition grants to chil-dren to allow them to attend any qualified school of their parents� choice. Inaddition, to qualify as a school tuition organization the charitable organiza-tion shall provide educational scholarships or tuition grants to studentswithout limiting availability to only students of one school.

Section 4. [Tax Credit; Public School Fees; Definition.](A) For taxable years beginning from and after [December 31, 1997,] a

credit is allowed against the taxes imposed by [insert citation] for the amountof any fees paid by a taxpayer during the taxable year to a public schoollocated in this state for the support of extra curricular activities of the pub-lic school, but not exceeding [two hundred (200)] dollars.

(B) The [two hundred (200)] dollar limitation also applies to taxpayerswho elect to file a joint return for the taxable year. A husband and wife whofile separate returns for a taxable year in which they could have filed a jointreturn may each claim only [one-half (1/2)] of the tax credit that would havebeen allowed for a joint return.

(C) The credit allowed by this section is in lieu of any deduction pursu-ant to section 170 of the Internal Revenue Code and taken for state taxpurposes.

(D) If the allowable tax credit exceeds the taxes otherwise due under[insert citation] on the claimant�s income, or if there are no taxes due under[insert citation,] the taxpayer may carry the amount of the claim not usedto offset the taxes under [insert citation] forward for not more than [five (5)]consecutive taxable years� income tax liability.

(E) For purposes of this section, �extra curricular activities� means schoolsponsored activities that require enrolled students to pay a fee in order toparticipate including fees for:


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1. Band uniforms.2. Equipment or uniforms for varsity athletic activities.3. Scientific laboratory materials.

Section 5. [Department of Revenue; Report of Fiscal Impact.]The [director] of the [Department of Revenue] shall submit a report to

the [governor,] the [president of the Senate] and the [speaker of the Houseof Representatives] regarding the fiscal impact of the tax credit providedfor donations to school tuition organizations on [July 1, 1999.]




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Quarry Operation, Reclamation and SafeClosure

This Act establishes procedures to regulate quarries, from notificationof operation to reclamation of closed quarries.

Submitted as:ArkansasAct 1116 of 1997 (SB 397)Enacted into law, 1997.



Section 1. [Short Title.] This Act may be cited as the �Quarry Operation,Reclamation and Safe Closure Act.�

Section 2. [Definitions.] As used in this Act:(a) �Active� means a quarry wall where extraction is occurring or is

planned to occur.(b) �Affected Land� means the area of land to the nearest acre, where

the quarrying of stone, industrial activity, and the stockpiling of topsoil andspoil occur.

(c) �Citation� means a written warning of a violation that may be ac-companied by a fine when given [two (2)] times for the same violation.

(d) �Commission� means the [Pollution Control and Ecology Commis-sion] or such [Commission] or other entity as may lawfully succeed to thepowers and duties of the [Commission.]

(e) �Default� means an operation that has uncorrected violations of therequirements of this Act which allows the [Department] to forfeit the bondto have the site reclaimed as per the reclamation plan.

(f) �Department� means the [Department of Pollution Control and Ecol-ogy,] or such [Department] or other entity which may lawfully succeed tothe powers and duties of the [Department.]

(g) �Director� means the executive head and active administrator of the[Department.]

(h) �Exhausted Quarry� means a quarry where the stone is depleted.(i) �Final Floor� means the bottom surface created in a quarry.(j) �Final Wall� means the last wall created in a quarry.(k) �Inactive Status� means the period of time a quarry is inactive or

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temporarily shut down.(l) �Notification of Intent� is the operator�s proper notification to the

[Department] of the Operator�s intent to open a quarry, to temporarily closea quarry, to reactivate a quarry, and to shut down an exhausted quarry.

(m) �Notification in Process� means that a �Notification of Intent� is onfile and incomplete.

(n) �Operator� means any person engaged in or controlling a quarryingoperation.

(o) �Quarry� means an excavation or pit from which stone is removed.(p) �The Quarry Rim� means the top surface of the quarry behind the

wall from which has been removed the topsoil and spoil.(q) �Reclamation Plan� is a plan presented to the [Department] by an

Operator detailing the reclamation and revegetation of lands affected byquarrying both contemporaneously and after the quarry is exhausted, andrequired by this Act.

(r) �Start Up� means the date an Operator begins site preparation forquarrying.

(s) �Fine� means a penalty for non-compliance which may accompany asecond citation, except as provided in other sections of this Act for specificviolations. Fines are not retroactive, and the amounts cannot be changedexcept by legislative action.

(t) �Fee� means the notification or annual operating payment made bythe Operator to the [Department.] The amount cannot be changed exceptby legislative action. This fee will be payable on or before [July 1,] for alloperating quarries in the current calendar year.

(u) �Spoil� means the unconsolidated boulders, soil and other naturallyoccurring materials which lie above a deposit of quarriable stone, whichmust be excavated from above a deposit so that extraction can begin.

(v) �Topsoil� means the top strata of soil normally associated with thegrowth of vegetation. It is generally free of boulders, cobbles or other float-ing rock and exhibits the growing properties normally associated with, at aminimum, the pasturing of cattle.

Section 3. [General Notification.](a) It shall be unlawful for any Operator to engage in a quarrying opera-

tion without first submitting to the [Department,] a �Notification of Intentto Quarry,� or a �Notification of Reactivated Quarry,� in accordance withthis Act. The submittal, with returned receipt, shall enable the operator tobegin or continue quarrying as long as the required reclamation bond is inforce, and proof of public notification is included. An Operator shall be deemedto be quarrying from the time he begins start up until reclamation is com-pleted at the exhausted quarry.

(b) Only new quarries or any land purchased or leased for a quarry after[January 1, 1997] will be subject to this Act.

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(c) There will be no requirements for a �Notification of Intent� to be filedwith the [Department] for temporarily closed, or exhausted quarries in ex-istence prior to [January 1, 1998.] These quarries will be exempt from therequirements of this Act unless reactivated.

(d) New �Notification of Intent to Quarry� shall be required if a changein the majority ownership of an Operator occurs.

(e) Representatives of the [Department] may make regular site visits toquarry operations, as necessary, to determine compliance with the require-ments of the operator�s notification. On these visits the Operator will makehis quarry operation accessible to the [Department.]

(f) Upon receipt of �Notifications of Intent,� the [Department] will have[ninety (90)] days to respond to the Operator by certified mail to errors and/or omissions in the notifications.

(g) On completion of a notification, the [Department] will issue the op-erator a notice, which will be posted on quarry premises at all times whenquarry is in operation. The notice will state that the company has com-pleted the requirements, as set out by this Act, and has the unconditionalauthorization to quarry at this site, so long as the quarry is in compliancewith all laws and regulations for up to [five (5)] years.

(h) The [Department,] upon finding the Operator to be out of compli-ance with the requirements of his notification, may issue Warnings, Cita-tions and Notices of Default to the Operator.

(i) All filings and other communication will be by certified mail.(j) Operator will give notice to the public in a local newspaper of general

circulation that he intends to open or reactivate a quarry. Said notificationwill be part of an Operator�s intent and will be published in the newspaperat the same time the intent is filed with the [Department.] Said notificationwill indicate the approximate location of quarry, the date of startup and thedate Operator plans to temporarily close, if applicable, as well as Operator�sname, address, phone number and contact person. Proof of publication shallbe provided to the [Department] in the operator�s notice of intent. The Op-erator will keep responses from the public on file for [two (2)] years. The[Department] will forward responses it receives to the Operator. The Op-erator will keep a record of all actions taken resulting from public responsesfor [two (2)] years, notifying the [Department] of each action.

Section 4. [Notification of Intent to Quarry; Filing and Composition.](a) Except for operators of quarries excluded by Section 3(b), any opera-

tor desiring to engage in quarrying shall complete a �Notification of Intentto Quarry� which, when submitted to the [Department] by certified mail,will entitle said Operator to conduct quarry operations. For all active quar-ries, as of [January 1, 1998,] a �Notification of Intent� must be on file, or inprocess, at the [Department.] For all new quarries to be opened after [Janu-ary 1, 1998,] �Notification of Intent� must be on file, or in process, at the


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[Department] before the Operator may begin quarry operations. The notifi-cation shall be accompanied by the payment of a [two hundred and fiftydollar (250.00)] fee. The submittal shall be an agreement between the Op-erator and the [Department.] The Operator shall pay an annual fee to the[Department] in the amount of [twenty five dollars (25.00)] per acre of af-fected land, not to exceed [one thousand dollars (1,000.00)] per quarry.

(b) The �Notification of Intent� shall include [one (1)] copy of the follow-ing.

(1) The Company name, Officers, majority of Ownership, Onsite Su-perintendents, addresses, name of quarry, phone numbers, anticipated startup and shut down dates.

(2) The following Right to Quarry, signed and notarized:

I, the Operator of Quarry Name located at legal description in County,have the legal right by deeds, leases or other instruments to conductquarry operations for commercial and other purposes at this loca-tion. I will comply with all state and federal laws and regulations inthis operation.

_______________________________ Company Name

_______________________________ President

_______________________________ Secretary

(c) A Location Map which contains the following:(1) 7.5 minute topographic quadrangle map as prepared by the

U.S.G.S.(2) Clearly marked legal boundaries of area to be quarried.(3) Clearly defined entrances onto pubic roads.(4) Present use of property.(5) Legal description.

(d) A [five (5) year] Quarry Operation Map which contains the follow-ing:

(1) Scaled dimensions (i.e., 1:200).(2) Approximate property boundaries.(3) The location and identification of all affected lands to the near-

est acre, anticipated for up to [five (5)] years.(4) All pertinent man-made and natural structures including the

plant location and the location of safeguarding items as required by Section10.

(5) Location of topsoil and spoil stockpiles.(6) Entrances onto public roads.(7) Areas of natural rock exposure (no topsoil or spoil).


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(e) A Notification of Intent to Reclaim Quarry.I, Operator of Quarry Name located at legal description in County,agree to reclaim said described quarry in conformance with the [state]Quarry Operation, Reclamation and Safe Closure Act, when thequarry is exhausted.

_______________________________ Company Name

_______________________________ President

_______________________________ Secretary

(f) The Operator�s Financial plan for Reclamation will include:(1) Estimate of reclamation cost.(2) An acceptable bond, or substitute security.

(g) All operators will have [sixty (60)] days to correct any errors or omis-sions to a �Notification of Intent� if notified by the [Department] that a�Notification of Intent� is incomplete.

(h) A fine of not more than [one hundred dollars (100.00)] per day, percitation, may be levied against an Operator whose �Notification of Intent�is not completed and on file in the [Department] within [sixty (60) days]after receipt of notice by the [Department] of errors and omissions in thefirst filing. The maximum fine is [five thousand dollars (5,000.00).]

(i) A fine of not more than [one hundred dollars (100.00)] per day, percitation, may be levied against Operators which are found to be out of com-pliance with these requirements. The maximum fine is [five thousand dol-lars (5,000.00).]

Section 5. [Notification of Temporarily Closed Quarry.](a) Quarry sites in which operations are only occasionally conducted, in

which the Operator anticipates future quarry activity, can be shut down ona temporary basis. If so, the Operator will file a �Notification of TemporarilyClosed Quarry� with the [Department,] within [thirty (30)] days after anoperation is closed. Full reclamation will not be required until no furtheradditional quarrying is anticipated, or the quarry is exhausted. All opera-tional safeguards, as described in this Act, will remain in place as requireduntil the quarry is exhausted. The �Notification of Temporarily ClosedQuarry� will contain the following:

(1) Same information as �Notification of Intent� per Section 4(a).(2) Right to Temporarily Close as follows:

I, Operator of Quarry Name located at legal description in County,have the legal right by deeds, leases or other instruments to tempo-rarily close this quarry operation until such time as it becomes nec-


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essary to reactivate this operation. I will comply with all state andfederal laws and regulations during this temporary closure and in-active status.

(b) When an Operator closes a quarry, and fails to file a �Notification ofTemporarily Closed Quarry� with the [Department] within [sixty (60)] days,the [Department] may levy a fine of not more than [one hundred dollars(100.00)] per day by citation until said notification is received. The maxi-mum fine is [five thousand dollars (5,000.00).]

(c) If a �Notification of Temporarily Closed Quarry� is not received within[ninety (90) days] of the issuance of the citation, the [Department] maydeclare that the quarry is in default and require Operator to reclaim thesite as per the bonding and reclamation requirements or the [Department]may forfeit the bond and issue a contract to have the site reclaimed as perthe reclamation requirements.

Section 6. [Notification of Reactivated Quarry.] Prior to resuming op-eration in a temporarily closed quarry, an Operator will notify the [Depart-ment] by certified mail with a �Notification of Reactivated Quarry.� Thisnotification will consist of the resubmittal of the �Notification of Intent�along with any modifications required, necessary by changed conditions atthe quarry site.

Section 7. [Notification; Refiling.] Every [five (5)] years all �Notifica-tions of Intent to Quarry,� and of �Temporarily Closed Quarry� must berefiled with the [Department] by certified mail on or before the Operator�sanniversary date, with any modifications made necessary by; changed con-ditions in the quarry site, such as changes in the affected acreage, majorityownership of the Operator, or changes in public roads and man-made struc-tures adjacent to the quarry site, or new technology. For failure to refile a�Notification of Intent� or �Notifications of Temporarily Closed Quarry,� [De-partmental] enforcement procedures, citations and fines will be the sameas for Section 5.

Section 8. [Notifications of Exhausted Quarry.](a) When a quarry becomes exhausted, the Operator will notify the [De-

partment] by registered mail that the quarry is an exhausted quarry. Thisnotification will contain the following:

(1) Updated information as required for the �Notification of Intent�per section 4(a).

(2) Beginning date of quarry reclamation must be within [six (6)]months of �Notification of Exhausted Quarry�.

(3) Anticipated date reclamation will be completed (all earthworkand revegetation must be completed within the specified time). If revegeta-


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tion is not approved, Operator will have another year to complete seeding,as required.

(4) Quarry Reclamation Map should contain the following:(i) Identification of all planned roads, water impoundments, fi-

nal walls, final floors, unconsolidated slopes, quarry rims, areas to be reveg-etated, berms, other man-made structures and unaffected areas.

(ii) Map shall show planned reclamation according to the re-quirements of the reclamation plan.

(iii) Affected land acreage to be reclaimed will be shown to thenearest acre.

(b) If the Operator fails to notify the [Department] of this change ofstatus, the [Department] will notify Operator by citation. The Operator willthen have [sixty (60)] days, to file said notification and commence with plansto reclaim quarry site as per the requirements of this Act.

(c) If Operator fails to file notification within the required [sixty (60)]days, the [Department] may levy a fine of [one hundred dollars (100.00)]per day by citation to the Operator until notification is received by the [De-partment.] The maximum fine is [five thousand dollars (5,000.00).]

(d) If Operator fails to notify the [Department] within [sixty (60)] days,and the fine is in effect, then the [Department] may declare the Operator indefault and order Operator to begin reclamation as required or the [De-partment] may forfeit bond and issue a contract to have the site reclaimedas per the reclamation plan.

Section 9. [Reclamation.](a) When the quarry is exhausted, the planned reclamation of all af-

fected lands at the quarry site will be completed by the Operator, his sub-contractor, or by the [Department] once the bond has been forfeited.

(b) The minimum reclaimed condition of the exhausted quarry will beas a lake, pasture, timberland or wetlands, or a combination thereof. Wherepre-affected lands consist of natural rock outcrops, floors, walls and ledges,where no topsoil or minimal spoil exists, post-reclaimed land of approxi-mately the same area may be left for self revegetation, within the totalaffected land to be reclaimed. Acreage of the pre-affected lands will be cal-culated to the nearest acre. Exhausted highwalls and safety benches maybe left for self reclamation.

(1) All equipment, tools, man-made structures and debris will beremoved from affected lands, or disposed of on property in a safe manner bymutual agreement between the Operator and the landowner. Said agree-ment will be on file at Operator�s offices and sent to the [Department] withnotification of exhausted quarry.

(2) If uncovered spoil, earth or rock formations cause acidic drain-age, all acid-forming materials will be covered with at least [three (3)] feetof spoil and available topsoil, with topsoil in the top [one (1) foot,] and seeded


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as required by this Act.(3) Available topsoil and spoil removed during quarrying will be

stockpiled for use during reclamation. If either material is not available inquantities necessary for reclamation, then priority will be given to areaswith acid forming materials in (2). If contemporaneous reclamation is ongo-ing, then the Operator may reclaim in areas of his own discretion. Thick-ness of spoil may be varied, but in no case will be combined thickness beless than [six (6)] inches. Spoil and topsoil which are surplus to full recla-mation may be disposed of at the discretion of the Operator. No topsoil ordirt is required to be hauled from another location to the quarry site.

(4) Lime, fertilizer and seeding will be completed as necessary tosustain growth over [seventy-five (75)] percent of the affected area, or acomplete reseeding of bald spots will be required.

(5) If revegetation during reclamation is to be accomplished by plant-ing of trees, the planting guideline of the [State Forestry Commission] shallbe complied with. A [fifty (50] percent coverage is required after [two (2)]years. Otherwise, bald spots will be replanted.

(6) All erosion control will be covered under �Operator�s StormwaterPollution Prevention Plan.�

(7) Site process water quality, storage, handling and discharge willbe covered under the Operator�s NPDES permit.

(8) Quarry site reclamation must be completed through the firstseeding within [one (1)] year for quarry sites of less than [fifty (50)] acres,within [two (2)] years for quarry sites of more than [fifty (50)] acres and lessthan [one hundred (100),] and within [three (3)] years for quarry sites ofmore than [one hundred (100)] acres and less than [two hundred (200).]This time requirement for sites larger than [two hundred (200)] may bemodified, at the discretion of the [Department,] upon agreement with theOperator.

(9) If an Operator fails to begin reclamation during the first [six (6)months] after a quarry is exhausted, the [Department] will notify the Op-erator by citation of the above violation. If an Operator then fails to beginreclamation within the [sixty (60)] days after receiving said notification,the [Department] may then issue a second citation. The second citation willbe accompanied by a fine of not more than [fifty dollars (50.00)] per dayuntil reclamation begins. If Operator�s reclamation effort does not beginwithin [sixty (60)] days of the second citation, and the fine is in force forthat period, then the [Department] will notify Operator that the operationis in default. The [Department] will then use the proceeds of the Operator�sforfeited bond to have the quarry site reclaimed as per the reclamationplan.

Section 10. [Safeguards.] The quarry operator will take the followingmeasures to safeguard the operations for the benefit of neighbors and other


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citizens and to restrain trespassers from entering onto the quarry or plantsite.

(a) One, or a combination of the following will be installed around thequarry and plant site to compliment natural barriers to trespassing as re-quired.

(1) A minimum [four (4)] foot high, [four (4)] strand, barbed wirefence boundary attached to steel posts.

(2) A [five (5)] foot high earth and/or rock berm with slopes steeperthan [1.5 to 1] and a minimum top width of [five (5)] feet.

(3) A protective barrier of boulders, concrete or other objects ca-pable of discouraging pedestrian or vehicular traffic.

(b) Brightly colored warning signs [(blaze orange is recommended)] willbe installed every [three hundred (300)] feet in clear view.

(c) Barriers or lockable gates, capable of withstanding normal vandal-ism, are to be installed at all quarry site entrances. During temporary clo-sure, and after full reclamation of an exhausted quarry, barriers of rock orsecurely locked gates will be installed at all entrances on safety benchesand haul roads so that no traffic or dumping can occur on the affected landsor in the quarry itself.

(d) After [January 1, 1998,] no active quarry wall will be closer than[fifty (50)] feet to a public road right of way, where the quarry�s adjacentfloor elevation is at or above the elevation of the right of way of the publicroad at the property line. Where active quarry floors are below said right ofway, quarrying will be permitted only after a vegetated berm, a minimumof [ten (10)] feet high, [eight (8)] feet wide at the crest and with [one-and-a-half (1 1/2) to one (1)] slopes is installed for public safety.

(e) After [January 1, 1998,] no active quarry wall will be closer than[fifty (50)] feet from any private property line unless written permission isgiven by the adjacent property owner. Permission will be on file at Operator�soffice and a copy will be sent to the [Department.]

(f) Where truck traffic to and from the quarry site entrance creates apublic safety nuisance, because of fugitive dust, the Operator will take theappropriate measures to treat the roadbed for dust control in the vicinity ofthe quarry entrance.

(g) Blasting will be regulated under present MSHA or state labor codes.(h) Hazardous wastes will be regulated under the present [Hazardous

Waste Codes.](i) Active quarry and plant sites will have until [January 1, 1998] to

comply with the requirements of this section, except for Subsection (f). Re-quirements of Subsection (f) are to be in force by [July 1, 1997.]

(j) If the [Department] finds the Operator to be out of compliance withany of the requirements of subsection (a), (b), and (c) of this section, a cita-tion will be given to the Operator to comply within [ninety (90) days.] IfOperator fails to comply within the [ninety (90)] days time requirement, or


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shows no effort to comply, the [Department] may levy by citation a fine ofnot more than [one hundred dollars (100.00)] per day until Operator com-plies with said requirements. The maximum fine is [five thousand dollars(5,000.00).]

(k) Any Operator quarrying in violation of subsections (d) and (e) of thissection will be subject to an immediate assessment of a fine of not morethan one [hundred dollars (100.00)] per day and/or a �Shut Down Order� bythe [Department.] Said Order will stay in effect at the discretion of the[Department] until Operator is no longer in violation.

Section 11. [Complaints.](a) The Operator is required to document and respond to complaints by

neighbors and citizens as they relate to the requirements of this Act. Arecord of the complaints and responses will be kept on file, at the quarryoffice or company office, for a minimum of [two (2)] years and sent to the[Department.]

(b) Any complaints received by the [Department] as they relate to thisAct, will be forwarded to the Operator. Operator�s response will be kept onfile for future Departmental review, at the quarry office or the companyoffice, for a minimum of [two (2)] years.

(c) The [Department] shall investigate complaints by neighbors and citi-zens to determine if violations of this Act have occurred.

Section 12. [Bonds.](a) In order to assure that all reclamation is completed as required and

within a reasonable length of time, the Operator shall submit a bond, orsubstitute security, used specifically for the quarry described in the legaldescription of the �Notification of Intent.� Said bond, or substitute securityshall be in force prior to the Operator commending a new or reactivatedquarry operation and in force for all active quarry operations by [January1, 1998.]

(b) As of [January 1, 1998,] the reclamation bond required for accep-tance of an operator�s Notice of Intent to open a quarry, or to reactivate aquarry, will be [one thousand dollars (1,000)] per acre of affected land. Theface value of the bond will be evaluated every [five (5)] years by the opera-tor and a representative of the [Department.] In the event it is determinedthat the bond or substitute security are inadequate, the surety will be noti-fied, and the bond limits, or amount of security, will be increased. If saidsecurity is determined to be surplus, then the amount required will be de-creased.

(c) Bonding, or substitute security may be incrementally increased basedon the annual acreage to be affected, but must be sufficient in total to fundfull reclamation as required by this Act.

(d) Bonding or substitute security, shall be incrementally decreased as


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reclamation is completed. When final reclamation is completed, remainingbond, or substitute security, will be released to the Operator.

(e) The Operator may submit any of the following three (3) types ofbonds, or substitute security:

(1) A Surety Bond.(2) A Collateral Bond with supporting collateral consisting of Irre-

vocable Letters of Credit or Certificate of Deposit in favor of the [Depart-ment.]

(3) A Self Bond with unencumbered right to certain property to beheld by the [Department.]

(i) Recommended bond forms shall be provided by the [Depart-ment.] A variation of the language in all but the Self Bond form may beacceptable, provided the requirements of the Act and this Code are incorpo-rated and the [Department] approves the language.

(ii) In the event Self Bonding is used, the following conditionsapply:

(I) The applicant must use the Self Bond form provided bythe [Department.]

(II) The Collateral to be offered must be appraised by alicensed appraiser approved by the Operator and the [Department.]

(III) The Operator must have unencumbered ownership ofthe Collateral, and provide proof of such ownership to the [Department.]

(IV) The value of the Collateral as bond will be [eighty (80)]percent of the fair market value of the Collateral as established by theappraiser.

(V) Any Collateral that decreases in value due to usage,(i.e., rolling stock) will be not be acceptable.

(VI) In the event the Collateral consists of real property, anenvironmental audit of the area must be provided to the [Department.]

(VII) Where applicable, a lien will be filed against the Col-lateral until the affected area is reclaimed and released by the [Commis-sion.]

Section 13. [Hearings.] An operator may request and obtain an adjudi-catory hearing and review by the [Commission] of any decision by the di-rector to enforce the provisions of this Act, including any action to impose acivil penalty, stop quarrying activities or forfeit a bond. The decision of the[Commission] shall be final, and may be appealed by the operator to thecircuit court of the county in which the quarry is located in accordance withstate law.

Section 14. [Distribution of Fees, Fines, and Forfeiture Amounts.] The[Department] shall collect fees, fines, and bond forfeiture amounts pursu-ant to this Act. These revenues, along with gifts, grants, donations and other


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funds received under this Act, including all interest earned, shall be depos-ited in the [Land Reclamation Fund] established by [A.C.A. 15-57-319.]The [Department] shall use these funds pursuant to this Act for contractawards for the reclamation of affected lands as required by this Act. Whenaccumulated funds equal the product of [ten (10)] percent of the number ofacres of affected lands times [one thousand dollars (1,000),] surplus fundsshall be deposited into the State Treasury as general revenues.

Section 15. [Severability.] If any provision of this Act or the applicationthereof to any person or circumstance is held invalid, such invalidity shallnot affect other provisions or applications of the Act which can be giveneffect without the invalid provision or application, and to this end the pro-visions of this Act are declared to be severable.

Section 16.[Repealer.] All laws and parts of laws in conflict with this Actare hereby repealed.



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Self-Employment Assistance

This Act authorizes the state labor department to establish a pilot pro-gram to pay a �self-employment assistance allowance� in lieu of unemploy-ment benefits to people who are trying to start their own businesses. Theprogram would also offer such people �self-employment assistance activi-ties� such as entrepreneurial training, business counseling and technicalassistance.

Submitted as:PennsylvaniaPA 54, Laws of 1997Enacted into law, 1997.



Section 1. [Short Title.] This Act may be cited as �The Self-EmploymentAssistance Program Act.�

Section 2. [Definitions.] The following words and phrases when used inthis Act shall have the meanings given to them in this section unless thecontext clearly indicates otherwise:

(1) �Department.� The [Department of Labor and Industry of the Com-monwealth.]

(2) �Full-time basis.� The devoting of such amount of time as is pre-scribed by the [Department of Labor and Industry,] on its own or in consul-tation with its designated service provider, to be necessary for a programparticipant to establish a business and become self-employed.

(3) �Program.� The [Self-Employment Assistance Program] establishedin section 3 of this Act.

(4) �Program participant.� An individual:(i) who is selected for participation in the program, at the discretion

of the [Department of Labor and Industry,] from among individuals whoare eligible for regular benefits and are identified through a worker profil-ing system as likely to exhaust regular benefits;

(ii) who is eligible for funding for participation in the program;(iii) for whom funding for participation in the program is available;

and(iv) who has not been terminated from or voluntarily left the pro-

gram.

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(5) �Regular benefits.� Benefits payable to a person under state unem-ployment compensation law at [insert citation,] or unemployment compen-sation benefits payable to Federal civilian employees and to ex-service mem-bers pursuant to Federal law, other than additional and extended benefits.

(6) �Self-employment assistance activities.� Activities, including, but notlimited to, entrepreneurial training, business counseling and technical as-sistance, approved by the [Department of Labor and Industry,] on its ownor in consultation with its designated service provider, for the program par-ticipant. These activities may be provided by either the [Department ofLabor and Industry] or its designated service provider.

(7) �Self-employment assistance allowance.� An allowance in lieu of regu-lar benefits and funded in the same manner as regular benefits, payable toa program participant who meets the requirements of this Act.

(8) �Unemployment Compensation Law.� Means applicable state unem-ployment compensation law.

Section 3. [Program.] The [department] shall establish a self-employ-ment assistance program in accordance with the provisions of this Act, sub-ject to the availability of all funds necessary for the program. The [depart-ment] may implement the program on a pilot basis. Information about theprogram shall be made available to potential program participants.

Section 4. [Self-Employment Assistance Allowance.] Subject to the pro-visions of section 5, the weekly self-employment assistance allowance pay-able under this Act to a program participant shall be equal to the weeklybenefit amount for regular benefits otherwise payable. The sum of the al-lowances paid under this Act and regular benefits paid with respect to anybenefit year shall not exceed the maximum amount payable for the benefityear under [insert citation] of state law.

Section 5. [Eligibility.](a) General rule. The self-employment assistance allowance described

in section 4 shall be payable to a program participant who participates inself-employment assistance activities and is actively engaged on a full-timebasis in efforts to establish a business and become self-employed. The self-employment assistance allowance shall be payable at the same interval, onthe same terms and subject to the same conditions as regular benefits, withthe following exceptions:

(1) Such program participant shall be considered to be unemployedunder [insert citation] of state law; and

(2) [insert citation.](b) Ineligibility. A program participant who fails to participate in self-

employment assistance activities or who fails to actively engage on a full-time basis in efforts to establish a business and become self-employed shall


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be ineligible for a self-employment assistance allowance for a week in whichsuch failure occurs.

Section 6. [Termination.] A program participant may be terminated fromthe program by the [department] if the individual fails to participate inself-employment assistance activities or fails to actively engage on a full-time basis in efforts to establish a business and become self-employed. Peoplewho are terminated from or voluntarily leave the program may receive, ifotherwise eligible, regular benefits with respect to the benefit year, pro-vided that the sum of regular benefits paid and self-employment assistanceallowances paid with respect to the benefit year shall not exceed the maxi-mum amount payable for the benefit year under [insert citation] of statelaw.

Section 7. [Limitation.] For a specific time period, the number of pro-gram participants receiving a self-employment assistance allowance underthis Act shall not exceed [five (5)] percent of the number of people receivingregular benefits during that time period.

Section 8. [Costs.] Self-employment assistance allowances paid underthis Act shall be charged to employers as regular benefits are charged un-der [insert citation.]

Section 9. [Applicability of Unemployment Compensation Law.](a) General. Except where inconsistent with this Act, all terms and con-

ditions of federal law and the applicable state unemployment law under[insert citation] concerning regular benefits shall be applicable to self-em-ployment assistance allowances under this Act.

Section 10. [Rules and Regulations.] The [department] may promulgateregulations to carry out the purposes of this Act.

Section 11. [Report to General Assembly.](a) General rule. The [department] shall make a report of the program

provided for in this Act to the [Labor and Industry Committee] of the [Sen-ate] and the [Labor Relations Committee] of the [House of Representa-tives] by [March 1, 1999,] and annually by the [first] day of [March] there-after.

(b) Content. This report shall include annual data on the number ofprogram participants and the number of businesses developed under theprogram, business survival data, the cost of operating the program, compli-ance with program requirements and data related to business income, thenumber of employees and wages paid in the new businesses and the inci-dence and duration of unemployment after business start-up. The report


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may also include any recommended changes in the program.Section 12. [Severability.] [Insert severability clause.]




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Slamming and Loading

This Act designates the practice of �slamming� telephone customers asconsumer fraud. It also prohibits telephone companies from �loading� ser-vices on customers. Slamming means changing customers� subscriber ser-vice providers without the customers� permission. Loading means addingand billing telephone services to customers without the customers� permis-sion.

This Act does not define penalties for violations. However, a legislativereport on the Minnesota law that is the basis for this Act says that compa-nies that engage in slamming can be fined up to $25,000 per violation inMinnesota. Such penalties are outlined under another section of the Min-nesota Statutes.

Submitted as:MinnesotaCH 68 Laws of 1997, 1997 (HF 1123)Enacted into law, 1997.



Section 1. [Short Title.] This Act may be cited as an �Act Relating to thePractices of Slamming and Loading.�

Section 2. [Prohibited Practices.](a) A telephone company or telecommunications carrier may not do any

of the following with respect to services regulated by the [commission:](1) upon request, fail to disclose in a timely and uniform manner

information necessary for the design of equipment and services that willmeet the specifications for interconnection;

(2) intentionally impair the speed, quality, or efficiency of services,products, or facilities offered to a consumer under a tariff, contract, or pricelist;

(3) fail to provide a service, product, or facility to a consumer otherthan a telephone company or telecommunications carrier in accordance withits applicable tariffs, price lists, or contracts and with the commission�s rulesand orders;

(4) refuse to provide a service, product, or facility to a telephonecompany or telecommunications carrier in accordance with its applicable

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tariffs, price lists, or contracts and with the commission�s rules and orders;(5) impose restrictions on the resale or shared use of its services or

network functions, provided that:(i) it may require that residential service may not be resold as

a different class of service; and(ii) the [commission] may prohibit resale of services it has ap-

proved for provision for not-for-profit entities at rates less than those of-fered to the general public; or

(6) provide telephone service to a person acting as a telephone com-pany or telecommunications carrier if the [commission] has ordered thetelephone company or telecommunications carrier to discontinue service tothat person.

(b) A telephone company or telecommunications carrier may not violatea provision of section 6 of this Act with regard to any of the services pro-vided by the company or carrier.

Section 3. [Revocation and Temporary Suspension.] Any certificate ofauthority may, after notice of hearing and a hearing, be revoked or tempo-rarily suspended by the [commission,] in whole or in part, for the failure ofits holder to furnish reasonably adequate telephone service within the areaor areas determined and defined in the certificate of authority; failure tomeet the terms and conditions of its certificate; intentional violation of the[commission�s] rules or orders; or intentional violation of any applicablestate or federal law relating to the provision of telephone or telecommuni-cations services.

Section 4. [Loading.](a) Except as provided in paragraph (b) or (c) of this section, a telephone

company or telecommunications carrier providing local service shall notcharge a telephone service subscriber as defined in [insert citation] or atelephone or telecommunications service that is not required by the [com-mission] to be offered and for which the subscriber did not explicitly con-tract.

(b) If a charge is assessed on a per use basis for a service described inparagraph (a), the charge shall be applied as a credit to the subscriber�snext monthly bill, if the subscriber notifies the telephone company or tele-communications carrier that the subscriber did not utilize the service ordid not authorize the utilization of the service.

(c) A telephone company or telecommunications carrier that receives anotification from a telephone service subscriber under paragraph (b) shallinform the subscriber of the ability to block the services from future use bythe subscriber, and shall block the services from future use by the sub-scriber, if the subscriber so requests. If a subscriber requests that the car-rier or company not block the service or later requests to have the block


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lifted, the subscriber shall be responsible for charges caused by the futureutilization of that service. The carrier or company may not charge a recur-ring fee for blocking the service.

Section 5. [Fraudulent Telephone Services; Slamming.](a) For the purposes of this section, a �telephone service subscriber� means

a person who contracts with a telephone company for telephone services ora telecommunications company for telecommunications services.

(b) The definitions contained in [insert citation] apply to this section.

Section 6. [Slamming Deemed Consumer Fraud.](a) It is fraud under [insert citation] to request a change in a telephone

service subscriber�s local exchange or interexchange carrier without thesubscriber�s verified consent.

(b) A telephone service subscriber may employ the remedies provided in[insert citation] for violations of paragraph (a).

(c) For the purposes of paragraph (a):(1) the consent of the telephone service subscriber may be verified

utilizing any method that is consistent with federal law or regulation;(2) compliance with applicable federal law and regulation, or state

law and rule, whichever is more stringent, is a complete defense to an alle-gation of consumer fraud under paragraph (a); and

(3) it is the responsibility of the company or carrier requesting achange in a telephone service subscriber�s company or carrier to verify thatthe subscriber has authorized the change. A telephone company or telecom-munications carrier providing local exchange service who has been requestedby another telephone company or telecommunications carrier to process achange in a subscriber�s carrier is only liable under this section if it know-ingly participates in processing a requested change that is unauthorized.Nothing in this section shall be construed to change a telephone company�sor telecommunications carrier�s obligations under [insert citation.]




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Small Business Air Quality Assistance

This Act establishes a program to help small businesses comply withair pollution regulations that govern stationary emission sources. The lawestablishes an advisory panel of small business representatives and gov-ernment officials to help small businesses comply with such regulations.

Submitted as:KansasSB 121Enacted into law, 1997.



Section 1. [Short Title.] This Act may be cited as the �Small BusinessAssistance Act.�

Section 2. [Program Established.](a) There is hereby created the [Small Business Stationary Source Tech-

nical and Environmental Compliance Assistance Program,] to be adminis-tered by the [secretary.] The program shall include each of the following:

(1) Adequate mechanisms for developing, collecting and coordinat-ing information concerning compliance methods and technologies for smallbusiness stationary sources and programs to encourage lawful cooperationamong such sources and other persons to further compliance with this Act.

(2) Adequate mechanisms for assisting small business stationarysources with pollution prevention and accidental release detection and pre-vention, including providing information concerning alternative technolo-gies, process changes, products and methods of operation that help reduceair pollution.

(3) A designated office within the [Department of Health and Envi-ronment,] reporting directly to the [secretary,] to serve as ombudsman forsmall business stationary sources in connection with implementation ofthis Act.

(4) A compliance assistance program for small business stationarysources which assists small business stationary sources in determiningapplicable requirements and in receiving permits under this Act in a timelyand efficient manner.

(5) Adequate mechanisms to assure that small business stationary

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sources receive notice of their rights under this Act in such manner andform as to assure reasonably adequate time for such sources to evaluatecompliance methods and any relevant or applicable proposed or final ruleand regulation or standard adopted under this Act.

(6) Adequate mechanisms for informing small business stationarysources of their obligations under this Act, including mechanisms for refer-ring such sources to qualified auditors or for providing audits of the opera-tions of such sources to determine compliance with this Act.

(7) Procedures for consideration of requests from a small businessstationary source for modification of:

(A) Any work practice or technological method of compliance;or

(B) The schedule of milestones for implementing such work prac-tice or method of compliance preceding any applicable compliance date,based on the technological and financial capability of any such small busi-ness stationary source. No such modification may be granted unless it is incompliance with the applicable requirement of this Act and rules and regu-lations promulgated hereunder.

(b) �Small business stationary source� means a stationary air contami-nant emission source that:

(1) Is owned or operated by a person that employs [one hundred(100)] or fewer people;

(2) is a small business concern as defined in the federal Small Busi-ness Act;

(3) is not a major stationary source;(4) does not emit [fifty (50)] tons or more per year of any regulated

air contaminant; and(5) emits less than [seventy-five (75)] tons per year of all regulated

air contaminants.(c) Upon petition by a source, the [secretary], after notice and opportu-

nity for public comment, may include as a small business stationary sourcefor purposes of this section any stationary source which does not meet thecriteria of subsection (b)(3), (4) or (5) but which does not emit more than[one hundred (100)] tons per year of all regulated air contaminants.

(d) The [secretary] may exclude from the small business stationary sourcedefinition any category or subcategory of sources that the administrator ofthe United States Environmental Protection Agency determines to havesufficient technical and financial capabilities to meet the requirements ofthe federal Clean Air Act without the application of this program, as pro-vided by section 507(c)(3)(A) of the 1990 amendments to the federal CleanAir Act.

(e) The [secretary], in consultation with the administrator of the UnitedStates Environmental Protection Agency and the administrator of the UnitedStates Small Business Administration and after providing notice and the


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opportunity for public hearing, may exclude from the small business sta-tionary source definition any category or subcategory of sources that the[secretary] determines to have sufficient technical and financial capabili-ties to meet the requirements of the Act without the application of thissection.

(f) There is hereby created a compliance advisory panel composed of[seven (7)] people. The compliance advisory panel shall:

(1) Render advisory opinions concerning the effectiveness of the smallbusiness stationary source technical and environmental compliance assis-tance program, difficulties encountered and degree and severity of enforce-ment;

(2) make periodic reports to the administrator of the United StatesEnvironmental Protection Agency concerning compliance of the [Small Busi-ness Stationary Source Technical and Environmental Compliance Assis-tance Program] with the requirements of the federal Paperwork ReductionAct, the Regulatory Flexibility Act and the Equal Access to Justice Act;

(3) review information for small business stationary sources to as-sure such information is understandable by the lay person; and

(4) have the small business stationary source technical and envi-ronmental compliance assistance program serve as the secretariat for thedevelopment and dissemination of such reports and advisory opinions.

(g) The compliance advisory panel shall consist of:(1) [two (2)] members who are not owners, or representatives of

owners, of small business stationary sources, appointed by the [governor]to represent the general public;

(2) [two (2)] members who are owners, or who represent owners, ofsmall business stationary sources, [one (1)] appointed by the [speaker] and[one (1)] appointed by the [minority leader of the House of Representa-tives;]

(3) [two (2)] members who are owners, or who represent owners, ofsmall business stationary sources, [one (1)] appointed by the [president]and one appointed by the [minority leader of the Senate;] and

(4) [one (1)] member appointed by the [secretary] to represent the[Department of Health and Environment.]

(h) Members of the compliance advisory panel shall serve for terms of[two (2)] years serving on the effective date of this Act by appointment bythe [governor,] the [speaker of the House of Representatives ] or the [presi-dent of the Senate] shall serve for terms ending [date;] members serving onthe effective date of this Act by appointment by the [minority leader of theHouse of Representatives ,] [the minority leader of the Senate] or the [sec-retary of Health and Environment] shall serve for terms ending [date]. Uponexpiration of such terms, the term of each member appointed to a vacancycreated by expiration of a term shall be [two (2)] years commencing on [July1] immediately following expiration of the term of the member�s predeces-


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sor. Any vacancy in the office of an appointed member occurring on thepanel shall be filled for the unexpired term by appointment by the originalappointing authority.

(i) A chairperson shall be elected annually by the members of the com-pliance advisory panel. A vice-chairperson shall be designated by the chair-person to serve in the absence of the chairperson.

(j) The [secretary] may reduce any fee required by this Act for any clas-sification of small business sources to take into account the financial re-sources of such classification.




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Standby Guardianship

This Act is based on a 1998 Virginia law that allows a parent who isseriously ill to designate, either by obtaining prior court approval or by amore informal written designation, a standby guardian. The other parentand specified family members are to be given notice of the appointment.The standby guardian will be authorized to act for the parent with respectto a minor child of the parent upon the occurrence of a �triggering event,�which must be specified by the court or the parent (e.g., the parent�s incom-petence or debilitation and consent). Provisions are included for reviewingcontinuation of an ongoing standby guardianship and for revoking or oth-erwise terminating the authority of the standby guardian. Responsibility isplaced on the standby guardian to ensure that permanent arrangementsfor the care of the child are made when the parent is no longer able to do so.

This Act differs from the 1996 Suggested State Legislation �Guardian-ship of Minors and Estates of Minors� by setting up a way to appoint aguardian in advance of and contingent upon a triggering act or situation.The 1996 entry addresses how guardians are directly appointed by petitionor upon the parents� deaths.

Submitted as:VirginiaCH 829, Article 17Enacted into law, 1998



Section 1. [Short Title.] This Act may be cited as an �Act to EstablishStandby Guardianship.�

Section 2. [Definitions.](a) �Attending physician� means the physician who has primary respon-

sibility for the treatment and care of a qualified parent.(b) �Designation� means a writing which is voluntarily executed in con-

formance with the requirements of section 4 of this Act and signed by aparent and names a person to act as standby guardian.

(c) �Determination of debilitation� means a written determination madeby an attending physician that a qualified parent is chronically and sub-stantially unable to care for a minor child as a result of a debilitating ill-

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ness, disease or injury. Such a determination shall include the physician�smedical opinion to a reasonable degree of medical certainty, regarding thenature, cause, extent and probable duration of the parent�s debilitating con-dition.

(d) �Determination of incompetence� means a written determinationmade by the attending physician that to a reasonable degree of medicalcertainty a qualified parent is chronically and substantially unable to un-derstand the nature and consequences of decisions concerning the care of aminor child as a result of a mental or organic impairment and is conse-quently unable to care for the child. Such a determination shall include thephysician�s medical opinion, to a reasonable degree of medical certainty,regarding the nature, cause, extent and probable duration of the parent�sincompetence.

(e) �Parent� means a genetic or adoptive parent or parent determined inaccordance with the standards set forth in [insert citation,] and includes aperson, other than a parent, who has physical custody of a child and whohas either been awarded custody by a court or claims a right to custody.

(f) �Qualified parent� means a parent who has been diagnosed, as evi-denced in writing, by a licensed physician to be afflicted with a progressiveor chronic condition caused by injury, disease or illness from which, to areasonable degree of medical probability, the patient cannot recover.

(g) �Standby guardian� means a person who, in accordance with thisarticle, is designated in writing or approved by the court to temporarilyassume the duties of guardian of the person or guardian of the property, orboth, of a minor child on behalf of or in conjunction with a qualified parentupon the occurrence of a triggering event. The term shall be so construed asto enable the parent to plan for the future care of a child, without terminat-ing parental or legal rights, and to give the standby guardian the authorityto act in a manner consistent with the known wishes of a qualified parentregarding the care, custody and support of the minor child.

(h) �Triggering event� means the event upon the occurrence of whichthe standby guardian may be authorized to act. The triggering event shallbe specified in the court order or written designation and shall be the ear-lier of a determination of incompetence or the death of the qualified parent.However, in the case of a standby guardian judicially approved pursuant tosection 3 of this Act, the triggering event may also be specified as the quali-fied parent�s written consent to the commencement of the standby guardian�sauthority. In the case of a standby guardian designated pursuant to section4, the triggering event may also be specified as a determination of debilita-tion of the qualified parent and that parent�s written consent to the com-mencement of the designated standby guardian�s authority.

Section 3. [Petition for Court Approval of Standby Guardian.](a) Upon petition of any person, the juvenile court of the jurisdiction in


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which a child resides may approve a person as standby guardian for a childof a qualified parent upon the occurrence of a specified triggering event. Ifrequested in the petition, the court may also approve an alternate standbyguardian identified by the petitioner, to act in the event that at any timeafter approval pursuant to this section the standby guardian is unable orunwilling to assume the responsibilities of the standby guardianship.

(b) The petition shall state:(1) The name and address of the petitioner and his relationship to

the child and the name and address of the child�s qualified parent, and thename and address of any other parent of the child whose identity and where-abouts are known to the petitioner or can reasonably be ascertained;

(2) The name, address and birth date of the child;(3) The nature of the proposed triggering event, including when a

qualified parent�s consent would be effective in those cases where such con-sent is chosen as the triggering event;

(4) Whether a determination of incompetence or debilitation hasbeen made and, if so, when and by whom;

(5) Whether there is a significant risk that the qualified parent willimminently become physically or mentally incapable of caring for the childor die as the result of a progressive chronic condition or illness; however, apetitioner shall not be required to submit medical documentation of aparent�s medical status with the petition;

(6) The name and address of the person proposed as standby guard-ian and any alternate and whether the petition requests that such personbe given authority as a guardian of the person or guardian of the propertyof the minor, or both;

(7) A statement of any known reasons as to why the child�s otherparent is not assuming or should not assume the responsibilities of a standbyguardian;

(8) Whether there is any prior judicial history regarding custody ofthe child or any pending litigation regarding custody of the child; and

(9) The name and address of the attending physician.(c) Upon the filing of a petition, notice of the filing shall promptly be

given to each parent of the child whose identity and whereabouts are knownto the petitioner. The court shall direct the issuance of summonses to thechild, if the child is twelve or more years of age and the proposed standbyguardian and alternate, if any, and such other persons as appear to thecourt to be proper or necessary parties to the proceedings including thechild�s parents, guardian, legal custodian or other person standing in locoparentis, if the identity and whereabouts of such persons are known. Ser-vice of the summons shall be made pursuant to [insert citation.]

(d) An order approving the standby guardian shall not be entered with-out a hearing if there is another known parent, stepparents, adult siblings,or other adult related to the child by blood, marriage, or adoption who re-


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quests a hearing within [ten (10)] days of the date that notice of the filingwas sent or if there is other litigation pending regarding custody of thechild.

(e) Prior to any hearing on the petition, the court may appoint a discreetand competent attorney at law as guardian ad litem to represent the childpursuant to [insert citation.] In the case of a petition filed by anyone otherthan a parent of the child, the court shall appoint a guardian ad litem. Thequalified parent shall not be required to appear in court if the parent ismedically unable to appear, except upon motion for good cause shown.

Section 4. [Court Order Approving Standby Guardianship; Authority;When Effective.]

(a) Upon consideration of the factors set out in [insert citation] and find-ing that the child�s parent is a qualified parent and appointment of a standbyguardian is in the best interest of the child, the court shall appoint a properand suitable person as standby guardian and, if requested, a proper andsuitable person as alternate standby guardian. However, when a petition isfiled by a person other than a parent having custody of the child, the standbyguardian shall be appointed only with the consent of the qualified parentunless the court finds that such consent cannot be given for medical rea-sons.

(b) The order shall specify the triggering event and shall provide thatthe authority of the standby guardian is effective upon receipt by the standbyguardian of a determination of incompetence or a certificate of death or theearlier of either or if so requested in the petition, upon receipt by the standbyguardian of a written consent of the qualified parent and filing of the con-sent with the court. The written consent shall be executed after the entry ofthe court order and signed by the qualified parent, or by another in hispresence and on his behalf.

(c) As soon as practicable after entry of the order, a copy shall be servedon the standby guardian.

(d) A standby guardian shall have the powers and duties of a guardianof the person and a guardian of the property of a minor, unless otherwisespecified in the order.

(e) The standby guardian shall file with the court, as soon as practicablebut in no event later than [thirty (30)] days following a parent�s death,determination of incompetence or consent, a copy of the certificate of death,determination of incompetence or consent of the qualified parent upon whichhis authority is based. Failure to file within the time specified shall begrounds for the court to rescind the authority of the standby guardian suasponte or upon petition of any person but all acts undertaken by the standbyguardian on behalf of and in the interests of the child shall be valid andenforceable.


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Section 5. [Written Designation of a Standby Guardian by a Parent; Com-mencement of Authority; Court Approval Required.]

(a) A parent may execute a written designation of a standby guardianat any time. The written designation shall be signed by the parent. Anotheradult may sign the written designation on behalf of the parent if the parentis physically unable to do so, provided the designation is signed at the ex-press request of the parent and in the presence of the parent. The desig-nated standby guardian or alternate may not sign on behalf of the parent.The signed designation shall be delivered to the standby guardian and anyalternate named as soon as practicable. The written designation shall state:

(1) The name, address and birth date of the child affected;(2) The triggering event; and(3) The name and address of the person designated as standby guard-

ian or alternate.(b) Following such delivery of the designation, the authority of a standby

guardian to act for a qualified parent shall commence upon the occurrenceof the specified triggering event and receipt by him of a determination ofincompetence, a certificate of death of the parent, or a determination ofdebilitation and the qualified parent�s written consent to such commence-ment, signed by the parent or another on his behalf and at his direction asprovided in subsection (a) for the designation.

(c) A standby guardian under a designation shall have the authority ofa guardian of the person and a guardian of the property of the child, unlessotherwise specified in the designation.

(d) A designated standby guardian or alternate shall file a petition forapproval as standby guardian. The petition shall be filed as soon as practi-cable after the occurrence of the triggering event but in no event later than[thirty (30)] days after the date of the commencement of his authority. Theauthority of the standby guardian shall cease upon his failure to so file, butshall recommence upon such filing. The petition shall be accompanied by acopy of the designation and any determinations of incapacity or debilita-tion or a certificate of death.

(e) The provisions of section 3 (c) of this Act shall apply to a petition filedpursuant to this section. The court shall enter an order approving the des-ignated guardian as standby guardian upon finding that:

(1) The person was duly designated as standby guardian pursuantto this section and the designation has not been revoked;

(2) A determination of incompetence was made; a determination ofdebilitation was made and the parent consented to commencement of thestandby guardian�s authority; or the parent has died as evidenced by adeath certificate;

(3) The best interests of the child will be served by approval of thestandby guardian; and

(4) If the petition is by an alternate, that the designated standby


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guardian is unwilling or unable to serve.

Section 6. [Further Proceedings to Determine Permanent Guardianship,Custody.]

(a) If the triggering event was death of the qualified parent, within [ninety(90)] days following the occurrence of the triggering event or, if later, com-mencement of the standby guardian�s authority, the standby guardian shallpetition for appointment of a guardian for the child as otherwise providedby law or initiate other proceedings to determine custody of the child pur-suant to [insert citation,] or both.

(b) In all other cases a standby guardian shall promptly after occur-rence of the triggering event initiate such proceedings to determine perma-nent custody, absent objection by the qualified parent.

(c) The petition shall be accompanied by:(1) The court order approving or written designation of a standby

guardian; and(2) The attending physician�s written determination of incompetence

or debilitation or a verification of death.

Section 7. [Revocation, Refusal, Termination of Standby Guardianship.](a) The authority of a standby guardian approved by the court may be

revoked by the qualified parent by his filing a notice of revocation with thecourt. The notice of revocation shall identify the standby guardian or alter-nate standby guardian to which the revocation will apply. A copy of therevocation shall also be delivered to the standby guardian whose authorityis revoked and any alternate standby guardian who may then be autho-rized to act. At any time following his approval by the court, a standbyguardian approved by the court may decline to serve by filing a writtenstatement of refusal with the court and having the statement personallyserved on the qualified parent and any alternate standby guardian whomay then be authorized to act.

(b) When a written designation has been executed, but is not yet effec-tive because the triggering event has not yet occurred, the parent may re-voke or the prospective standby guardian may refuse the designation bynotifying the other party in writing. A written designation may also be re-voked by the execution of a subsequent inconsistent designation.

(c) When a standby guardian�s authority is effective upon debilitation orincompetence of the qualified parent, the standby guardian�s authority toact on behalf of the parent continues even though the parent is restored tohealth unless the qualified parent notifies the guardian and, if appropriate,the court, in writing, that the standby guardian�s authority is revoked uponsuch restoration or otherwise. If at any time the court finds that the parentno longer meets the definition of �qualified parent,� the court shall rescind


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its approval of the standby guardian.

Section 8. [Review of Standby Guardianship.](a) A child�s parent, stepparent, adult sibling or any adult related to the

child by blood, marriage or adoption may petition the court which approvedthe standby guardian at any time following such approval and prior to anytermination of the standby guardianship for review of whether continua-tion of the standby guardianship is in the best interests of the child. Noticeof the filing of a petition shall promptly be given to the standby guardian,the child, if the child is [twelve (12)] or more years of age, and each parent ofthe child whose identity and whereabouts are known or could reasonablybe ascertained.

(b) That the [Office of the Executive Secretary of the Supreme Court]shall develop a form for the notice which is required pursuant to section 3(c) of this Act, which shall include notice that no change in custody or otherlegal rights is effected by the appointment of a standby guardian and thatit is not necessary for a recipient of the notice to appear.





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State Internet Legislation (Note)

The Internet is one of the most advanced and challenging developmentsof the 20th Century. Government decisions about whether, how and when toregulate the Internet will greatly affect the lives of people in the 21st Cen-tury. The debate includes taxes, consumer protection, privacy, protectingminors and unsolicited e-mail.

TAXATION

Internet taxation is being debated at the federal level, where the U.S.House of Representatives passed in 1998, HR 4105, its version of the InternetTax Freedom Act. Major provisions of HR 4105 would establish a three-year moratorium on state and local taxation of Internet access, byte taxes,or multiple and discriminatory taxes on electronic commerce. The morato-rium would apply to all 50 states, but eight states that currently claim totax Internet access could opt out if they enact legislation within one yearthat expressly affirms their intention to tax Internet access. This provisionwould apply to Connecticut, Iowa, New Mexico, North Dakota, Ohio, SouthDakota, Tennessee and Wisconsin.

The bill also establishes an Advisory Commission on Electronic Com-merce to examine: (1) state and local taxation of transactions using theInternet and Internet access; (2) the imposition of collection requirementson all remote sellers regardless of nexus; (3) the collection and administra-tion of consumption taxes on remote commerce in the United States andother countries; (4) the impact on the global economy; and (5) ways to sim-plify taxes imposed on the provision of telecommunications services.

Across the country, several states have already enacted laws restrictingor outlawing taxation of the Internet. In 1998, New York passed AB 10952/SB 7356 which exempts Internet access from the sales tax and clarifiesthat the Internet is not a telecommunications service for tax purposes. Thebill also states that nexus is not created by the presence of a server or theability to access a web page in New York. Virginia�s HB 278, also enacted in1998, similarly exempts Internet access from the state�s sales tax.

Colorado (SB 49), Missouri (SB 627) and Alabama (HB 160) passed simi-lar bills in 1998 that clarify that Internet access and interactive computerservices are not subject to tax. Other states that have passed legislationrestricting Internet taxation include Georgia, Massachusetts and Wash-ington in 1997 and Pennsylvania in 1998.

CONSUMER PROTECTION


The rapid growth in Internet commerce has prompted some states toconsider legislation that would expand existing consumer-fraud protectionsto include transactions over the Internet. Other states have looked tostrengthen investigation powers of law enforcement agencies.

California enacted legislation in 1996 (AB 3320) that expanded the state�slaws governing telephone, mail order and catalog sales practices to includesales made over the Internet. The state currently has legislation pending(SB 597) that would add false claims disseminated via the Internet to thecurrent law regarding unlawful advertising practices. The bill also exemptsInternet service providers and commercial online services from liability.Similarly, Georgia enacted legislation in 1997 (HB 708) prohibiting fraudu-lent schemes perpetrated through telemarketing or over computer networks.

In 1997, the New Jersey High Technology Crimes and InvestigationSupport Unit was created within the Division of State Police. The legisla-ture is now considering a bill (SB 75) that would codify this administrativeaction. The Unit�s functions include investigating computer-manipulationcrimes, illegal online activities, telecommunications crimes, thefts of com-puter-related technologies and related activities.

PRIVACY

The major trend in privacy legislation this year has been bills to defineand strengthen penalties for the much-publicized crime of identity fraud.As of this writing, proposals have been introduced in 37 states, and havebeen enacted in Arizona, Colorado, Georgia, Kansas, Mississippi, West Vir-ginia and Wisconsin.

The complexity of balancing privacy concerns with the need to protect afree flow of information on the Internet has prompted some states to con-sider legislation establishing privacy task forces or commissions, ratherthan enacting blanket restrictions on information use. One example is Cali-fornia SB 1659, which in 1996 created the Joint Task Force on PersonalInformation and Privacy. The purpose of the Task Force was to examineexisting laws relating to the use or distribution of personal information bypublic and private entities and to make recommendations regarding anychanges needed to those statutes. The Task Force was composed of an equalnumber of members of the Assembly and the Senate, as well as an advisorycommittee made up of industry, public interest, consumer protection andgovernmental organizations.

PROTECTION OF MINORS

Several states have wrestled with possible ways to restrict access topornography and other material considered �harmful to minors.� Legisla-tors are challenged with balancing these concerns with protecting free speech



and avoiding undue liability for innocent third parties. In addition, there isthe controversial issue of defining what is and is not �harmful to minors.�There seems to be a general consensus that an important element in thiseffort is encouraging parental use of commercially available blocking soft-ware.

California enacted AB 181 in 1997 which makes it a crime to use elec-tronic mail, the Internet or an online service to distribute pornographicmaterial to minors or seduce minors. The bill holds harmless Internet ser-vice providers, commercial on-line service providers and cable televisioncompanies from criminal liability for the actions of their subscribers or ser-vice users. In New Mexico, a bill enacted in 1998 which establishes as crimi-nal offenses �dissemination of material that is harmful to a minor by com-puter� and �child luring� by computer has been blocked by a preliminaryinjunction issued by a federal district court. Similar legislation has beenconsidered in 15 states.

New York�s Penal Law 235.22 of 1996 makes it a crime to disseminateindecent materials online to minors for the specific purpose of inducingthem to engage in sexual acts. Legal defenses contained in the statute in-clude good faith, reasonable, effective and appropriate actions to restrict orprevent minors� access to indecent materials.

UNSOLICITED E-MAIL

Though several states have struggled with balancing the use of technol-ogy as a legitimate advertising tool with the potential harm and abuses ofunsolicited e-mail, only Nevada has enacted legislation restricting suchmessages. Ten states introduced bills on unsolicited e-mail in 1998. Theseproposals attracted much debate, but the only agreement reached in 1998was by Washington-state lawmakers, who enacted legislation establishinga task force to study the issue further and issue a report by November 15,1998. The 1997 bill enacted in Nevada (SB 13) allows a recipient to collectcivil damages and attorney�s fees if an unsolicited e-mail message does not



contain required disclosures.

State Transportation Infrastructure Bank (Note)

The federal Intermodal Surface Transportation Efficiency Act of 1991,as amended, and the National Highway System Designation Act of 1995, asamended, enable states to establish �state infrastructure banks for makingloans and providing other assistance to public and private entities� to buildor maintain the nation�s transportation infrastructure. The national Actalso grants consent to two or more states to enter an interstate compact toestablish such a bank.

At least three states created these infrastructure banks in 1997; Louisi-ana, New Jersey and North Carolina. However, as of June 1998, none ofthese states had enacted an interstate compact in conjunction with thefederal law.

Louisiana Act 1372 of 1997 establishes an infrastructure bank to �makeloans and provide other assistance to public and private entities carryingout or proposing to carry out eligible infrastructure projects and enter intosuch cooperative agreements, interstate compacts and cooperative endeavoragreements as necessary to fulfill� the Act. Funding sources include thefederal and state governments and other sources.

The Act authorizes the infrastructure bank to establish and administera revolving fund to finance eligible infrastructure projects. Financing in-struments include loans, bonds and purchase and lease agreements. Projectsmust also be approved by the State Bond Commission.

The bank is governed by a board of directors which includes the statetreasurer, secretary of transportation, secretary of economic development,the chairs of several legislative committees (e.g., Senate TransportationCommittee), and one member who is nominated by the state bankers asso-ciation and has experience in investment banking. The treasurer chairs theboard. Louisiana�s law also requires the bank to charge interest at or belowmarket interest rates on its loans.

New Jersey Chapter 142 of 1997 establishes �a special non-lapsing, re-volving sub-account of the Special Transportation Fund to be known as theState Transportation Infrastructure Bank. The bank shall be credited withstate and federal funds appropriated to it, monetary donations made avail-able to the state to support the Transportation Infrastructure Bank Pro-gram and any money received as repayment of the money loaned under theAct.

The Act directs that money in the infrastructure bank be used to pro-vide loans or other assistance to public or private entities or consortia thereoffor the purpose of financing all or a portion of the costs incurred for theplanning, acquisition, engineering, construction, reconstruction, repair and


rehabilitation of a transportation project permitted under the program.North Carolina SL 428 of 1997 says the state Department of Transpor-

tation �shall have such powers as are necessary to establish, administer,and receive federal funds for a transportation infrastructure banking pro-gram as authorized by the Intermodal Surface Transportation EfficiencyAct of 1991 - as amended, and the National Highway System DesignationAct of 1995 as amended.�

The law authorizes the state Department of Transportation to apply for,receive, administer and comply with all conditions and requirements re-lated to federal financial assistance necessary to fund the infrastructurebanking program. The program may use federal and state funds to provideloans or other financial assistance to governmental units, including tollauthorities.

The North Carolina Act also directs the state transportation depart-ment and the state treasurer to jointly establish a separate infrastructurebanking account with necessary fiscal controls and accounting procedures.Governmental units that apply for loans and execute debt instruments underthe program must pledge as security for such obligations revenues derivedfrom the operation of the benefited facilities or systems, other sources ofrevenue, or their full faith and credit or any combination thereof.

Interested readers can contact the states to get a copy the laws men-

State Transportation Infrastructure Bank (Note)


tioned in this �Note.�

Student Religious LibertyThree states took action during 1997 and 1998 to address religion and

free speech in schools; Alabama, Kentucky and Tennessee.Alabama SB 82 would create a safe harbor for public schools desiring to

comply with judicial decisions concerning religion and free speech. The billspecified when certain religious behavior on public-school property is ac-ceptable and not acceptable. It also provided for specific administrative rem-edies and the institution of legal action challenging public-school policy.Alabama SB 82 died in committee in April 1998.

Kentucky HB 2 establishes religious and free speech rights of students.It provides that students can voluntarily pray, express religious viewpointsand possess and distribute religious literature as long as such practices donot disrupt the schools or become harassing. Generally, its language is similarto Tennessee�s. Kentucky enacted HB 2 into law in 1998.

Tennessee was the first state of the three to enact such a law. Therewere no court challenges to Tennessee�s law as of June 1998. This Act isbased on Tennessee�s law. This Act establishes religious and free speechrights of students. It also provides that students can voluntarily pray, ex-press religious viewpoints and possess and distribute religious literatureas long as such practices do not disrupt the schools or become harassing.

Submitted as:TennesseeCH 422, Laws of 1997Enacted into law, 1997.



Section 1. [Short Title.] This Act may be cited as the �Student ReligiousLiberty Act�.

Section 2. [Legislative Findings and Intent.](a) The [General Assembly] finds the following:

(1) Judicial decisions concerning religion, free speech and publiceducation are widely misunderstood and misapplied.

(2) Confusion surrounding these decisions has caused some to beless accommodating of the religious liberty and free speech rights of stu-dents than permitted under the First Amendment to the United StatesConstitution.

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(3) Confusion surrounding these decisions has resulted in needlesslitigation and conflicts.

(4) The Supreme Court of the United States has ruled that the es-tablishment clause of the First Amendment to the United States Constitu-tion requires that public schools neither advance nor inhibit religion. Pub-lic schools should be neutral in matters of faith and treat religion withfairness and respect.

(5) Neutrality to religion does not require hostility to religion. Theestablishment clause does not prohibit reasonable accommodation of reli-gion, nor does the clause bar appropriate teaching about religion.

(6) Accommodation of religion is required by the free speech andfree exercise clauses of the First Amendment as well as by the Equal AccessAct (20 U.S.C. 4071 et seq.) and the Religious Freedom Restoration Act of1993 (42 U.S.C. 2000bb et seq.).

(7) Setting forth the religious liberty rights of students in a statutewould assist students and parents in the enforcement of the religious lib-erty rights of the students and provide impetus to efforts in public schoolsto accommodate religious belief in feasible cases.

(b) The purpose of this Act is to create a safe harbor for schools desiringto avoid litigation and to allow the free speech and religious liberty rights ofstudents to the extent permissible under the establishment clause.

Section 3. [Definitions.] As used in this Act unless the context otherwiserequires:

(1) �Establishment clause� means the portion of the First Amend-ment to the United States Constitution that forbids laws respecting anestablishment of religion.

(2) �Free exercise clause� means the portion of the First Amend-ment to the United States Constitution that forbids laws prohibiting thefree exercise of religion.

(3) �Free speech clause� means the portion of the First Amendmentto the United States Constitution that forbids laws abridging the freedomof speech.

(4) �Public school� means any school that:(A) Is operated by the state, a political subdivision of the state,

or governmental agency within the state; and(B) Receives state financial assistance.

(5) �Student� means an individual attending a public school.

Section 4. [Student Rights.](a) A student shall have the right to carry out an activity described in

any of subparts one (1) through four (4) of subsection (b), if the student doesnot:

(1) Infringe on the rights of the school to:

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(A) Maintain order and discipline;(B) Prevent disruption of the educational process; and(C) Determine educational curriculum and assignments;

(2) Harass other persons or coerce other persons to participate inthe activity; or

(3) Otherwise infringe on the rights of other persons.(b) Subject to the provisions of subsection (a) of this section, a student

shall be permitted to voluntarily:(1) Pray in a public school, vocally or silently, alone or with other

students to the same extent and under the same circumstances as a stu-dent is permitted to vocally or silently reflect, meditate or speak on non-religious matters alone or with other students in such public school;

(2) Express religious viewpoints in a public school to the same ex-tent and under the same circumstances as a student is permitted to ex-press viewpoints on non-religious topics or subjects in such school;

(3) Speak to and attempt to share religious viewpoints with otherstudents in a public school to the same extent and under the same circum-stances as a student is permitted to speak to and attempt to share non-religious viewpoints with such other students;

(4) Possess or distribute religious literature in a public school, sub-ject to reasonable time, place, and manner restrictions to the same extentand under the same circumstances as a student is permitted to possess ordistribute literature on non-religious topics or subjects in such school; and

(5) Be absent, in accordance with local education agency attendancepolicy, from a public school to observe religious holidays and participate inother religious practices to the same extent and under the same circum-stances as a student is permitted to be absent from a public school for non-religious purposes.

(c) No action may be maintained pursuant to this Act unless the stu-dent has exhausted the following administrative remedies:

(1) The student or the student�s parent or guardian shall state theircomplaint to the school�s principal.

(2) If the concerns are not resolved, then the student or the student�sparent or guardian shall make complaint in writing to the superintendentwith the specific facts of the alleged violation.

(3) The superintendent shall investigate and take appropriate ac-tion to ensure the rights of the student are resolved within [thirty (30)]days of receiving the written complaint.

(4) Only after the superintendent�s investigation and action may astudent or the student�s parent or guardian pursue any other legal actionpursuant to this Act.

(d) If a right of a student established under this section is violated by apublic school, the student may assert the violation as a cause of action or adefense in a judicial proceeding and obtain appropriate relief against the


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public school. Any such action shall be brought in the circuit or chancerycourt where the violation occurred or where the student resides. Standingto assert a cause of action or defense under this section shall be governedby the [insert citation] and common law interpretations of such rules.

(e) A student prevailing in a claim brought against a public school for aviolation of this section or an action brought by a public school against astudent for conduct covered by this section shall be entitled to reasonableattorney fees, court costs, and the cost of bringing or defending the action.

Section 4. [Pre-emption.](a) Nothing in this Act shall be construed to affect, interpret, or in any

way address the establishment clause.(b) The specification of religious liberty or free speech rights in this Act

shall not be construed to exclude or limit religious liberty or free speechrights otherwise protected by federal, state or local law.

Section 5. [School Employees.] Nothing in this Act shall be construed tosupport, encourage or permit a teacher, administrator or other employee ofthe public schools to lead, direct or encourage any religious or anti-religiousactivity in violation of that portion of the First Amendment of the UnitedStates Constitution prohibiting laws respecting an establishment of reli-gion.

Section 6. [Severability.] If any provision of this Act or the applicationthereof to any person or circumstance is held invalid, such invalidity shallnot affect other provisions or applications of the Act which can be giveneffect without the invalid provision or application, and to that end the pro-visions of this Act are declared to be severable.



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Tax Credits for School-to-Career Internships

This Act creates a tax credit of 10 percent of the amount that companiesspend on wages, workers compensation, unemployment insurance and train-ing expenses to be used to employ students or to allow students to partici-pate in internships.

�Qualified school-to-career� program means a program that integratesschool curriculum with job training and encourages placement of studentsin jobs or internships that will teach the students new skills and improvetheir school performance.

Submitted as:ColoradoCH 247, Laws of 1997 (HB 97-1152)Enacted into law, 1997.



Section 1. [Short Title.] This Act may be cited as an �Act Concerning aState Income Tax Credit as an Incentive for Investment in Qualified School-to-Career Programs.�

Section 2. [Credit Against Tax - Investment in School-To-Career Pro-gram.]

(1) The [General Assembly] hereby recognizes that businesses and otheraspects of the economy need trained, educated, and motivated workers. It istherefore the intent of the [General Assembly] to encourage private invest-ment in programs that integrate traditional education with on-the-job train-ing. It is further the intent of the [General Assembly] to foster and encour-age cooperation among the private sector and the educational communityin creating programs that will open doors of opportunity for students andenable them to develop the knowledge and skills that will empower them tobecome productive members of society.

(2) (a) For income tax years beginning on or after [January 1, 1997,]there shall be allowed to any person as a credit against the tax imposed bythis article an amount equal to [ten (10] percent of the total qualified in-vestment made in a qualified school-to-career program.

(b) For purposes of this subsection (2):(i) �Qualified investment� means money directly expended for

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wages, workers� compensation insurance, unemployment insurance, andtraining expenses to employ a student to work or to allow a student toparticipate in an internship through a qualified school-to-career program.

(ii) �Qualified school-to-career program� means a program thatintegrates school curriculum with job training, that encourages placementof students in jobs or internships that will teach them new skills and im-prove their school performance, and that is approved by:

(A) The board of education of the school district in whichthe program is operating;

(B) The [state board for community colleges and occupa-tional education;]

(C) The [division of private occupational schools] createdpursuant to [insert citation;] or

(D) The state [commission on higher education.](3) If the amount of the credit provided for pursuant to subsection (2) of

this section exceeds the amount of income taxes due on the income of thetaxpayer in the income tax year for which the credit is being claimed, theamount of the credit not used as an offset against income taxes in saidincome tax year shall not be allowed as a refund but may be carried for-ward as a credit against subsequent years� tax liability for a period notexceeding [five (5)] years and shall be applied first to the earliest incometax years possible. Any amount of the credit that is not used during saidperiod shall not be refundable to the taxpayer.




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Year 2000/Y2K (Note)

Most states have recognized the importance of preparing for the Year2000 (Y2K) date change. The three major issue areas that have been ad-dressed at the state level are compliance of government-operated systems,funding and government liability for damages resulting from Y2K systemfailure.

For example, Florida�s SB 3619, which became law on May 28, 1998,authorizes the Governor to transfer resources, including personnel, betweenagencies to deal with Y2K-related system failure or potential failure. Fund-ing to deal with Y2K conversion costs had been provided in nearly all states,either through special appropriation (such as the $152 million provided inGeorgia�s HB 1166) or through transfer and reallocation of existing tech-nology funding.

Many states have provided immunity from liability for Y2K-related fail-ure of state-operated systems, either through interpretation of existing doc-trine of sovereign immunity or through specific legislation. Nevada�s SB180 (1997), for example, extends Y2K immunity to state entities, politicalsubdivisions, employees, and �immune contractors.� In Virginia, HB 277(1998) specifically gives immunity from a �claim arising from the failure ofa computer, software program, database, network, information system, firm-ware or any other device, whether operated by or on behalf of the common-wealth of Virginia or one of its agencies, to interpret, produce, calculate,generate, or account for a date which is compatible with the �Year 2000�date change,� (The clause �or on behalf of� apparently extends the state�simmunity to contracted operations.)

In addition to the treatment of state liability for Y2K-related systemfailure, several bills have been introduced in state legislatures to addressthe question of limiting private-sector liability for damages resulting fromsuch failures. In California, SB 1710 (1998) specifies that recovery of dam-ages resulting from computer-date failure would be limited to damages re-sulting from bodily injury and would exclude emotional injury. The bill alsowould allow costs reasonably incurred to reprogram or replace and inter-nally test the relevant computer system, program or software. The bill alsowould cap damages for non-economic losses at $250,000. Similarly, in Penn-sylvania, SB 1434 limits the types of damages that can be awarded in ac-tions based on a Y2K system failure.

Although not a legislative issue, many states are also wrestling withthe issue of information technology inter-operability. Specifically, there isconcern about possible effect on state programs if all systems operating inconjunction with state systems are not Y2K compatible. Oregon HB 2903


(1997) recognizes that errors and problems may occur in state computers inthe year 2000. The law directs the state administrative services depart-ment to develop and implement a plan to prevent such problems and estab-lish a corps of state employees to work on them. The law also directs thedepartment to establish agreements with state universities to developcourses that provide the training and skills to work on the Y2K project inthe state.

Interested readers can contact the states to get copies of the legislation

Year 2000/Y2K (Note)


mentioned in this �Note.�

Federal Mandates For State Action (Note)

Federal mandates are traditionally described as actions by the federalgovernment to force states to do something or pre-empt state authority. Thenational 55 mph speed limit was a classic example of the former. Pendingcongressional legislation to stop states from taxing Internet commerce isan example of the latter. Mandates can come from any branch of the federalgovernment, and arise in the form of laws, regulations and court rulings.Suggested State Legislation volumes have highlighted congressional man-dates on the states since 1992, beginning with legislation in the 101st Con-gress. This �Note� addresses the first session of the 105th Congress, January3 through November 13, 1997, wherein 153 public bills were enacted intolaw.

Defining congressional mandates was supposedly made easier by theUnfunded Mandates Reform Act of 1995 (UMRA). UMRA requires the Con-gressional Budget Office (CBO) to review virtually all bills reported by thecongressional committees for the presence of federal mandates and to esti-mate the costs of such mandates. Federal legislation that imposes $50 mil-lion or more in unfunded annual costs to the states is officially considered amandate.

Using UMRA criteria, the CBO reports that Congress did not enact anylegislation in 1997 that exceeded the $50 million threshold. The CBO saysthe procedures established by the UMRA appear to be achieving their goalsby focusing greater attention on the costs of federal mandates and ensur-ing that Congress knows about those costs when it considers legislation.

However, three bills were introduced during the first session that theCBO expects will exceed the threshold:

� S 1150, The Agricultural Research, Extension and Education ReformAct - A provision in this bill limits the federal government�s responsibilityto provide funding to states for the administrative costs of the Food StampProgram. The CBO deemed this bill a mandate because it forces states toabsorb added program costs without giving them the option to cut servicesto reduce these costs.

� S 442, The Internet Tax Freedom Act - This bill prohibits state andlocal governments from imposing direct or indirect taxes on the Internet oron interactive computer services.

� S 104 and HR 1270, The Nuclear Waste Policy Act - This bill acceler-ates the payment of certain fees by nuclear utilities - including the NewYork Power Authority. The CBO identified the acceleration of those pay-ments as a federal mandate on New York state government and privateutilities. These bills carried over into 1998, the second session of the 105th


Congress. UMRA may be the benchmark for judging congressional man-dates on the states, but it may not be the only criteria. Strictly speaking,any law that affects state authority in any way could be viewed as a man-date. Laws from the first session of the 105th Congress that meet this re-laxed definition include:

� Assisted Suicide Funding Restriction Act of 1997 (Public Law: 105-12,04/30/97) - This Act prohibits the states from using money from certainfederal block grants to pay for health-care services that help people commitsuicide.

� Individuals with Disabilities Education Act Amendments of 1997 (Pub-lic Law: 105-17, 06/04/97) - This Act contains provisions that require statesto offer voluntary mediation procedures to help parents of children withdisabilities resolve disputes with public schools over educating such chil-dren.

� Riegle-Neal Amendments Act of 1997 (Public Law: 105-24, 07/03/97) -This Act contains provisions that address state chartered banks. Basically,it declares that the laws of a host state shall apply to any out-of-state bankbranch in that state to the same extent as such laws apply to a branch inthe host state of an out-of-state national bank. These include laws on com-munity reinvestment, consumer protection, fair lending, and establishmentof intrastate branches.

� Atlantic Striped Bass Conservation Act Amendments of 1997 (PublicLaw: 105-146, 12/16/97) � This law imposes a moratorium on fishing forAtlantic striped bass in the coastal waters of states that the Atlantic statesMarine Fisheries Commission and the secretaries of Commerce and theInterior determine are not complying with the Commission�s plan for man-aging Atlantic striped bass.

� The Balanced Budget Act of 1997 - This omnibus legislation containsmany provisions that affect the states because it encompasses major pro-grams such as Food Stamps, Social Security and Medicaid. The law con-tains both carrot and stick components for the states. Such provisions in-clude:

1. Prohibiting states from imposing certain taxes onMedicare+Choice organizations;

2. Establishing a Medicare Rural Hospital Flexibility Programunder which participating states must develop at least one rural healthnetwork in the state and at least one facility designated as a critical accesshospital in accordance with prescribed guidelines;

3. Excluding some convicted criminals from Medicare and statehealth-care programs;

4. Amending Medicaid to require any state contracting with Med-icaid managed care organizations to develop and implement a quality as-sessment and improvement strategy incorporating certain access standards,monitoring procedures, and other measures;



5. Requiring direct state Medicaid payment to hospitals for cer-tain managed care enrollees.

6. Revising how revenue from certain state hospital taxes is fac-tored into calculating the Federal share of Medicaid expenditures;

7. Requiring state Medicaid plan coverage for low-income Medi-care beneficiaries whose income otherwise disqualifies them for specifiedMedicare benefits;

8. A provision in the new State Children�s Health Insurance Pro-gram that prohibits using federal appropriations under the program to pro-vide abortions unless they are necessary to save the life of the mother or ifthe pregnancy results from rape or incest;

9. Amending the Temporary Assistance for Needy Families(TANF) provisions to require states receiving certain grants to provide theImmigration and Naturalization Service with identifying information aboutillegal aliens; and

10. Amending the Personal Responsibility and Work OpportunityReconciliation Act of 1996 to require states to develop procedures to safe-guard information that is obtained through the Federal Parent LocatorService.

11. Finally, from the state perspective, the second session of the105th Congress will probably be more controversial than the first, whetherone uses the CBO definition of mandates or a broader definition. This isbecause the states are also watching federal legislation on electricity utilityderegulation, juvenile justice, tax reform, product liability, property �tak-ings,� financial services, managed care and blood-alcohol requirements todetermine whether drivers are intoxicated. CSG will report on these issuesin the next Suggested State Legislation volume.



Index

Cumulative Index, 1979-1999

The following cumulative index covers volumes of Suggested State Legis-lation since 1979 and includes the legislation through this current edition.

This index uses extensive subject headings, sub-headings and cross refer-ences (�see� and �see also� entries). Draft legislation is listed by title under appro-priate subjects. Individual bills are often included under several headings, if theycover more than one topic.

Specific entries are of two kinds:(1) Titles of bills followed by the year of the volume in parentheses and the

page numbers. To find the text of a draft bill, you should consult the volume for thespecific year listed.

(2) References are also provided to parts of draft bills, by subject. These refer-ences do not list the full title of the draft bill, but cite only the year and the pagenumbers.

All entries under subject headings are listed in the order in which they werepublished. An index to volumes before 1980 may be found in Volume 47 (1988).

Academic records, see records managementAcid rain, see conservation and the environmentAdoption, see domestic relationsAged: Grandparents as Foster Parents, (1999)

112-13;abuse and neglect of elderly: Protection of the Eld-

erly, (1983) 130-36banking: Lifeline Banking, (1986) 143-44environment: Senior Environmental Corps Act,

(1994) 152-54health: Long Term Care Act, (1989) 157-59;

Alzheimer�s Disease Assistance Act, (1989)160-64; Adult Day Care Center Program Act,(1990) 96-98; Open Drug Formulary Act,(1990) 113-14

housing: Senior Citizens and Disabled ProtectedTenancy, (1983) 96-104; (1984) 177-82; Pro-tection for Tenants in Condominium Conver-sion, (1985) 35-42; (1986) 40-41; DelinquentReal Property Tax Notification Act, (1988)38-40; Home Care Regulation, (1978) 95-102;Home Care Services, (1980) 187-98; Rightsof Nursing Home Residents, (1982) 206-09;Community Services for the Elderly, (1983)83-94; Protection of Long-Term NursingHome Patients, (1983) 105-10; Respite Dem-onstration Program, (1983) 111-16; (1986)168-78; Public Guardians for the Elderly,(1987) 140-43; Unfair Home ImprovementLoans for Senior Citizens, (1997) 24-26;

Alzheimer�s Care Disclosure, Nursing HomeViolations (1998) 16-18

transportation: School Bus Service for the Eld-erly, (1983) 95

see also: state and local government - public pen-sions

Agriculturefarm credit: Agricultural Linked Deposit Act

(Statement), (1988) 192; Farm Mediationand Arbitration Program Act, (1989) 165-68

farms: Farmland and Open Space, (1983) 61-74;Agricultural Area Security, (1984) 183-90;Agricultural Land Preservation Act (State-ment), (1991) 90-92; Sustainable AgricultureAct, (1991) 93-95; Farm and Ranch SolidWaste Cleanup and Abatement Program,(1999) 56-60;

inspection: (1981) 151-154licenses and licensing: (1986) 198-203; State Grain

Insurance Act (Statement), (1988) 282livestock: Humane Slaughter (amendments),

(1981) 151-54; Downed Animals Act, (1995)142; Livestock Exhibitions, (1996) 307-315;Livestock Management Facilities, (1999)171-86; Livestock Waste Management,(1999) 187-98;

marketing: Grain Warehouse Failure, (1986) 187-97; Farm Product Producer Lien, (1986) 204-05; Organic Food Products Standards, (1987)167-69; Agriculture: False Information,


Index

(1998) 164-166; Fertilizer, (1999) 61-71;milk and milk products: Milk Producer Security,

(1986) 198-203pest control: Pest Control Compact, (1978) 161-

71see also: conservation and the environment;

labor - migrant workersAir pollution, see conservation and the environ-

mentAlcohol, see drugs and alcohol; consumer pro-

tectionArt, see business and commerce - copyright; cul-

ture, the arts and recreationAsbestos, see hazardous material and waste dis-

posalAssistance for handicapped, see handicapped

personsAthletics: Athlete Agent Restrictions Act, (1989)

117-19; Action for Violation of NCAA Rules,(1989) 120-24

Atomic energy, see nuclear energyAuditors, see public finance and taxation�ac-

counting and auditorsAutomobiles, see transportationBallot, see electionBanks and financial institutions: Reverse

Annunity Mortgage Act, (1986) 40-41; MoneyLaundering Act (Statement), (1988) 48; Limi-tation on Business Transacted with ProducerControlled-Insurer Act, (1988) 104-05; Cash-ing of State Checks Act, (1990) 139-40; StopPayment Orders for Cashier�s, Teller�s or Cer-tified Checks, (1992) 123-24; Collateral Poolfor Public Deposits Act, (1992) 127-39; In-terstate Bank Branching Act, (1994) 84-89;ATM Safety Act, (1997) 16-23; Foreign Capi-tal Depository, (1999) 72-106;

funds transfer: Electronic Banking, (1983) 258-84; Electronic Fund Transfer Privacy, (1986)184-86; Direct Deposit, (1987) 181-83; FundsTransfers Act (Statement), (1992) 125-26;State Transportation Infrastructure Banks(Note), (1999) 260-61;

guaranteed loans: Linked Deposit Act, (1986) 55-59

liquidation of closed banks: Model LiquidationCode for Closed, Insured Banks, (1985) 139-43

rules of procedure: Lifeline Banking, (1986) 143-44; Bank Account Availability, (1986) 206-09

securities and investments: Limitation on Busi-ness Transacted with Producer Controlled-Insurer Act, (1988) 104-05; InvestmentAdvisory Activities Act, (1989) 86-95

see also: consumer protection; insuranceBirth certificates, see domestic relations - adop-

tion; records managementBlood donors, see health careBoats and boating, see transportationBonds and notes, see public finance and taxa-

tionBudgets, see public finance and taxationBuilding codes, see housing, land and propertyBuildings, see housing, land and property; cul-

ture, the arts and recreation - historic pres-ervation

Burial sites, Desecration of Burial Sites, (1985)101-03

Business and commerceadvance notice: Advance Notice by Businesses of

Cessation of Operations, (1985) 134-35advertisements: Celebrity Rights Act, (1988) 276-

81commercial law: (1981) 63-66; Uniform Commer-

cial Code Lease Act (Note), (1988) 31-35;Money Laundering Act (Statement), (1988)48; Shareholders Protection Act, (1988) 49-57; Recreational Water Contact Facility Act,(1988) 58-61; Utility Holding CompanyRegulation Act (Statement), (1988) 62; Buy-ers� Club Regulation Act, (1988) 63-67;Health Insurance Pool Act (Statement),(1988) 68; Travel Promotion Regulation Act,(1988) 69-71; Videotape Rental Future Ser-vices Contract Act (Statement), (1988) 72;Flexible Rate Limitations For Problem In-surance Markets Act, (1988) 73-76; Limita-tions on Cancellation and Non-Renewal ofPersonal Insurance Policies Act, (1988) 77-82; Limitations on Cancellation and Non-Renewal of Commercial Insurance PoliciesAct, (1988) 83-91; Authority to Activate JointUnderwriting Association Act, (1988) 92-98;Municipal Reciprocal Insurer Act, (1988) 99-101; Limitation on Holdings of Non-Invest-ment Grade Obligations Act, (1988) 102-03;Limitation on Business Transacted withProducer Controlled-Insurer Act, (1988) 104-05; Financial Guaranty Insurance Act,(1988) 106-19; Insurance Holding CompanySystem Act, (1988) 120-43; Requirement for


Index

Independent Loss Reserve Certification Act,(1988) 144-45; Seizure of Impaired InsurersAct, (1988) 146-49; Unfair Claim SettlementPractices Act, (188) 150-51; Risk RetentionGroups and Purchasing Groups Act, (1988)152-68; Fair Rates for Credit Insurance Act,(1988) 169-72; Collision Damage Waiver In-surance Act, (1988) 173-77; Prohibition ofAnti-competitive Behavior, (1988) 178-80;Duties of Excess Lines Brokers Act, (1988)181-86; Prohibited Dread Disease InsuranceCoverages Act, (1988) 187-88; InsuranceFrauds Prevention Act, (1988) 189-91; Lease-Purchase Agreement Act, (1991) 103-07; StopPayment Orders for Cashier�s, Teller�s or Cer-tified Checks, (1992) 123-24; Funds Trans-fers Act (Statement), (1992) 125-26; PropertyInsurance Declination, Termination and Dis-closure Act, (1992) 140-44; Interstate Insur-ance Receivership Compact, (1996) 103-22;Collection of Royalties Bill, (1996) 123-27;Insurance Fraud Act, (1996) 139-52; UniformTobacco Products Sales Laws, (1997) 29-31

copyrights and patents: Protection of OwnershipRights of Artists, (1985) 98; Protection ofArtists Whose Work Has Been Altered,(1985) 99-100

corporate acquisitions: Corporate Takeovers(Note), (1986) 69; Corporate ShareholderProtection, (1986) 70-73; Corporate TakeoverRegulation, (1986) 74-81; Corporate Take-over Disclosure, (1986) 82-90; ShareholdersProtection Act, (1988) 49-57; Hospital Con-versions, (1999) 131-37;

development: Economic Adjustment, (1985) 136-38; Business Infrastructure Development(1986) 42-47; Community Economic Devel-opment Support Act (Statement), (1988) 47;BIDCO Act, (1989) 57-81; Defense Contrac-tor Restructuring Assistance Act, (1994) 75-83; Export Trade Revolving Loan Fund Act,(1994) 96-98

employee-owned businesses: Employee Owner-ship Assistance, (1984) 153-60; (1985) 136-38 ; Business Coordination, (1999) 20-22;

small business: (1981) 109-11; Small Business Eq-uity Corporation and Small Business Invest-ment, (1982) 100-18; Regulation of PreciousMetal Dealers, (1982) 146-49; Liens on Per-sonal Property in Self-Service Storage,(1982) 213-17; Mold and Die Retention,(1983) 295-96; Small Business Litigation

Expenses, (1985) 125-26; Capital Loan Fund,(1986) 48-54; Linked Deposit, (1986) 55-59;Small Business Set-Aside, (1986) 65-68;Small Business Incubator, (1986) 91-95;BIDCO Act, (1989) 57-81; Self-employmentAssistance, (1999) 239-42; Small BusinessAir Quality Assistance, (1999) 246-49;

unfair trade practices: Motion Picture Fair Com-petition, (1981) 53-55; (1985) 111-14; TravelPromotion Regulation Act, (1988) 69-71; Vid-eotape Rental Future Services Contract Act(Statement), (1988) 72; Seizure of ImpairedInsurers Act, (1988) 146-49; Unfair ClaimSettlement Practices Act, (1988) 150-51; RiskRetention Groups and Purchasing GroupsAct, (1988) 152-68; Collision Damage WaiverInsurance Act, (1988) 173-77; Prizes andGifts Act, (1992) 145-48; Prize and Sweep-stakes Regulation Act, (1995) 114-17

see also: banks and financial institutions; con-sumer protection - motor vehicles; economicdevelopment; exports; licensing; transporta-tion - motor vehicles

Campaign finance, see elections; ethicsCarnival amusement rides, see culture, the

arts and recreationCarpooling, see transportation - ridesharingCemeteries, see burial sitesCharitable organizationssolicitation: Solicitation of Charitable Funds,

(1984) 75-81; Charitable Funds SolicitationAct, (1988) 283-91; Institutions of PublicCharity, (Statement);

Child abuse, see crime and criminalsChild visitation, see crime and criminalsCivil disorder, Crowd Control, (1982) 175-78Clinics, see health care - hospitals and clinicsColleges, see education - universities and collegesCommerce, see business and commerceCommercial development, see business and

commerceCommercial law, see business and commerceCommunications: Year 2000/Y2K (Note), (1999)telecommunications: Federal Telecommunications

Act of 1996 (Note), (1997) 34-39; Digital Sig-natures (Amendments), (1997) 75-96; Rights-of-Way: Telecommunications Providers,(1997) 97-103; Slamming and Loading,(1999) 243-45; State Internet Legislation(Note), (1999) 257-59;

telefacsimile: Unsolicited Telefacsimile Advertis-ing Act, (1990) 63-64


Index

telephone: Telephone Membership Corporation,(1983) 256-57; Universal Telephone ServiceProgram, (1985) 72-73; Phone Rate ChangeMoratorium, (1986) 109-10; Telephone RateEquity, (1987) 127-32; Cellular Radio Tele-phone Privacy Act, (1989) 103-06; One-CallSystem (�Call Before You Dig�), (1990) 55-62; Telephone Recorded Message ServicesAct, (1990) 65-67; Alternate Operator Ser-vice Provider Act, (1991) 98-99; GeneralAcute Care Hospital Interpreter Act, (1992)45-47; Cellular Mobile Radio Communica-tions Act (Statement), (1993) 133-34; Tele-phone Caller Identification Services Act,(1994) 172-75; Counterfeit Cellular Tele-phones, (1998) 67-70

television: Statement on Cable Television Fran-chises, (1983) 297; Cable TV Trespass andLarceny, (1984) 59-60; Communications Con-sumer Privacy, (1984) 61; Cable SubscriberPrivacy Protection Act, (1990) 134-38; Alter-nate Operator Service Provider Act, (1991)98-99

Community development, see growth manage-ment

Community health services, see health careComparable worth, see labor - pay equityComputer crime, see crime and criminalsConflict of interest, see ethicsConservation and the environmentacid rain: Acid Precipitation, (1983) 16-17air pollution: Reciprocal Transboundary Pollution

Remedies, (1983) 18-19; Woodstove Pollution,(1986) 7-9; Chlorofluorocarbon and HalonCompounds Control Legislation (Note),(1992) 67-69; State Fleet Alternative FuelsAct, (1992) 87-89; Emissions Reduction Mar-ket System (1998) 1-9; Quarry Operation,Reclamation and Safe Closure, (1999) 227-38; Small Business Air Quality Assistance(1999) 246-49;

education: Environmental Education Program,(1994) 155-64

environmental protection: State Dam, (1983) 121-23; Open Lands Management, (1986) 37-39;Scenic Roads Conservation, (1987) 1-4; StateFlood Hazard Area Regulation Act, (1988)1-21; Statewide Source Separation and Re-cycling Act (Statement), (1988) 23; StateUnderwater Antiquities Act, (1988) 266-75;Radon Gas Study, Monitoring, Informationand Certification Program Acts, (1989) 6-10;

Ocean Resources Management Planning Act,(1990) 29-38; Promotion of Paper Bag Us-age Act, (1990) 53-54; Solid Waste Manage-ment Act (Statement), (1991) 58-59; Hard-to-Dispose Materials Act (Statement), (1991)60-61; Agricultural Chemical GroundwaterProtection Act, (1991) 62-75; Resources En-hancement and Protection Fund, (1991) 76-84; Sanitary Landfill and Solid Waste Man-agement Legislation (Note), (1992) 70-73;Limited Immunity for Persons Respondingto Oil Spills, (1992) 81-83; Senior Environ-mental Corps Act, (1994) 152-54; Oilfield SiteRestoration Act, (1995) 40-54; Environmen-tal Audit Privilege and Voluntary DisclosureAct, (1995) 55-60; Environmental RegulationCommission Act, (1996) 27-32; Environmen-tal Opportunity Zone Act, (1997) 1- 8; Aquac-ulture, (1998) 167-173; Vegetative FilterStrips, (1998) 174-175; Environmental Lead-ership Program (1999) 44-51;

erosion: Coastal Construction Control Act (State-ment), (1984) 33

forestry: Reforestation of Timberlands, (1983) 75-82; Comprehensive Forest Resource Pro-gram Planning, (1985) 1-3; Forestry Incen-tives Program, (1986) 14-19

refuse disposal and recycling: Litter and Recy-cling, (1980) 94-105; Purchases of RecyclingPaper, (1980) 106; Litter Control and Recy-cling, (1982) 86-92; Sanitary Landfill Clo-sure, (1983) 44-49; (1984) 3-10; StatewideSource Separation and Recycling Act (State-ment), (1988) 23; Promotion of Paper BagUsage Act, (1990) 53-54; Plastic ContainerCoding System Act, (1990) 51-52; Solid WasteManagement Act (Statement), (1991) 58-59;Hard-to-Dispose Materials Act (Statement),(1991) 60-61; Sanitary Landfill and SolidWaste Management Legislation (Note),(1992) 70-73; Used Oil Collection Act, (1993)68-73; Land Recycling and EnvironmentalRemediation Standards Act, (1996) 33-60;Conservation and Use of Sewage Effluent,(1997) 9-11; Farm and Ranch Solid WasteCleanup and Abatement, (1999) 56-60; Non-hazardous and Nonliquid Waste Handling(Statement), (1999) 207-08;

water pollution: Oil Spill Compensation and Con-trol, (1980) 113-24; (1983) 6-15; Groundwa-ter Management (Statement), (1985) 13;Ocean Resources Management Planning Act,


Index

(1990) 29-38; Agricultural Chemical Ground-water Protection Act, (1991) 62-75; LimitedImmunity for Persons Responding to OilSpills, (1992) 81-83; Stormwater Manage-ment and Sediment Reduction Act, (1993)87-97; Marine Sewage Pumpout Act, (1994)151; Adopt-A-River Program Act, (1995) 61-62.

wetlands: Wetlands Regulation, (1985) 4-12;Freshwater Wetlands Protection Act (State-ment), (1989) 1-5

see also: fish and wildlife; hazardous materialsand waste; public utilities and public works� water treatment

Construction, building, see housing, land andproperty

Consumer protection: (1984) 61; Money Laun-dering Act (Statement), (1988) 48; Recre-ational Water Contact Facility Act, (1988) 58-61; Buyers� Club Regulation Act, (1988) 63-67; Health Insurance Pool Act (Statement),(1988) 68; Travel Promotion Regulation Act,(1988) 69-71; Limitations on Cancellationand Non-Renewal of Personal InsurancePolicies Act, (1988) 77-82; Seizure of Im-paired Insurers Act, (1988) 146-49; Chari-table Funds Solicitation Act, (1988) 283-91;Radon Gas Study, Monitoring, Informationand Certification Program Acts, (1989) 6-10;Lawn Care Products Application and NoticeAct, (1991) 53-57; Tanning Facility SafetyStandards Act, (1991) 100-02; Lease-Pur-chase Agreement Act, (1991) 103-07; Prop-erty Insurance Declination, Termination andDisclosure Act, (1992) 140-44; Prizes andGifts Act, (1992) 145-48; Residential RealEstate Disclosure Act, (1993) 110-14; Psy-chotherapy Grievance Board Act, (1994) 138-50; Riverboat Gambling Control Legislation(Note), (1995) 112-13; Prize and SweepstakesRegulation Act, (1995) 114-17; New AssistiveDevices Warranty Act, (1995) 118-22

consumer advocate: Office of Consumer Advocate,(1981) 56-62

consumer information: (1984) 161-71; Alcohol-Blended Fuel Labeling, (1986) 210-11; Or-ganic Food Products Standards, (1987) 167-69; Uniform Open Dating Regulation, (1987)170-73; Lawn Care Products Application andNotice Act, (1991) 53-57; Lease-PurchaseAgreement Act, (1991) 103-07; Property In-surance Declination, Termination and Dis-

closure Act, (1992) 140-44; Prizes and GiftsAct, (1992) 145-48; Salvaged Food Act, (1996)97-99; Ephedrine and Pseudoephedrine,(1998) 79-84

credit and creditors: Credit Services Regulation,(1986) 96-100; Credit, Charge Card, andRetail Installment Account Disclosure Acts,(1988) 292-300

credit practices: Credit, Charge Card, and RetailInstallment Account Disclosure Acts, (1988)292-300

household hazards: Uniform State Food, Drug,and Cosmetic (Statement), (1986) 217; ToxicHousehold Products Act, (1993) 48-51

merchandise, solicitation of: Mail Order AddressDisclosure, (1985) 104; Buyers� Club Regu-lation Act, (1988) 63-67

motor vehicles: New Motor Vehicle Warranty andDispute Resolutions Procedures, (1985) 105-10; Protection for Owners of Defective Mo-tor Vehicles, (1985) 111-14; (1986) 210-11;Used Car Sales Protection, (1986) 212-16;Motorcycle Rider Education Act, (1988) 196-99; New Motor Vehicle Warranties (State-ment), (1988) 301; All-Terrain Vehicles(Statement), (1989) 101-02; Repurchased Au-tomobile Act, (1993) 108

product safety: Uniform State Consumer Prod-uct Safety, (1987) 174-80; Product LiabilityReform Act, (1989) 82-85; Lawn Care Prod-ucts Application and Notice Act, (1991) 53-57; Tanning Facility Safety Standards Act,(1991) 100-02; Toxic Household Products Act,(1993) 48-51

sales practices: (1982) 71-74; Plain LanguageConsumer Contracts, (1982) 75-78; GasolinePrice Posting, (1982) 79-80; Uniform OpenDating Regulation, (1987) 170-73; Buyers�Club Regulation Act, (1988) 63-67; TravelPromotion Regulation Act, (1988) 69-71; Vid-eotape Rental Future Services Contract Act(Statement), (1988) 72; Flexible Rate Limi-tations For Problem Insurance Markets Act,(1988) 73-76; Grey Market Goods WarrantyDisclosure Act, (1988) 302-05; Lease-Pur-chase Agreement Act, (1991) 103-07; Prizesand Gifts Act, (1992) 145-48; Brokerage RealEstate Disclosure, (1999) 9-19; Slammingand Loading, (1999) 243-45;

see also: hazardous materials and waste - house-hold use

Controlled substances, see drugs and alcohol


Index

Copyrights, see business and commerceCorporate acquisitions, see business and com-

merceCourts, Prisoner Litigation Reform, (1999) 220-

23;insanity defense: Statement on Insanity Defense

Legislation, (1984) 57juveniles and children: Juvenile Justice, (1980)

211-60; State Juvenile Pretrial DiversionPrograms Act, (1988) 204-08; Actions byAdult Survivors of Childhood Sexual Abuse,(1991) 121-22; Visitation Dispute ResolutionAct, (1992) 104-05; Youth Mentor Program,(1998) 75-78; Teen Courts, (1998) 87-91

lawyers: Interest on Lawyer Trust Accounts,(1985) 74-78; Service of Legal Papers By Al-ternative Methods, (1991) 115-20

public guardian: Public Guardians for the Eld-erly, (1987) 140-43; Revision of AttorneyGuardian Ad Litem Program, (1996) 189-95;Guardianship of Minors and Estates of Mi-nors, (1996) 199-212

rules of procedure: Uniform Audio-Visual Depo-sition, (1980) 206-10; (1983) 231-36; Video-taped Testimony, (1986) 134-36; Grand JuryProcedures, (1986) 137-42; Victims of Crime(Note), (1988) 209; Actions by Adult Survi-vors of Childhood Sexual Abuse, (1991) 121-22; Battered Woman Syndrome Defense Act,(1992) 96-98; Uniform Correction of Clarifi-cation of Defamation Act, (1997) 137-141;Death Penalty: Unitary Review, (1998) 96-105

tort liability and negligence: Uniform Survivaland Death, (1980) 201-05; Product LiabilityReform Act, (1989) 82-85; Limited Immunityfor Persons Responding to Oil Spills, (1992)81-83; State Volunteer Service Act (State-ment), (1992) 106-07; SLAPP (Strategic Law-suits Against Political Participation) Legis-lation (Note), (1995) 21; Civil Liability forBias Crimes, (1995) 22-24

see also: business and commerce - small business;public finance and taxation

Credit, see consumer protection; crime and crimi-nals

Crime and criminalsbusiness: Animal Fighting and Baiting Act, (1988)

24-26; Money Laundering Act (Statement),(1988) 48

child abuse and domestic violence: Domestic Vio-lence, (1981) 30-38; Shelters for Victims of

Domestic Violence, (1982) 181-83; Child Por-nography, (1983) 178-82; Prevention of Do-mestic Violence, (1984) 69-74; Child Visita-tion Program, (1986) 145-46; (1986) 153-57;State Children�s Trust Fund Act, (1988) 210-17; Mandatory Protective Behavior Instruc-tion Act, (1988) 231-32; Batterers Pilot Pro-gram Act, (1990) 99-103; Actions by AdultSurvivors of Childhood Sexual Abuse, (1991)121-22; Prenatal Exposure to ControlledSubstances Act, (1992) 17-19; BatteredWoman Syndrome Defense Act, (1992) 96-98; Domestic Violence (No-Contact) Act,(1992) 99-100; Harassment Restraining Or-der Act, (1992) 101-03; Child Abuse and Ne-glect Reporting Legislation (Note), (1995) 68-69; Family Services Response System Act,(1995) 98-105

computers: Computer Crime, (1981) 41-49, 46-52;Computer Crime and Misuse, (1985) 127-29;Computer Crimes Including Offenses by Mi-nors, (1985) 130-33; Computer Crime CivilRedress, (1986) 123-26; ComprehensiveComputer Crime, (1986) 127-30

credit card theft: Financial Transaction CardCrime, (1981) 46-52

crime prevention: Missing Children Record Flag-ging Act, (1988) 222-24; Criminal HistoryRecord Check for Transfer of Firearms,(1991) 132-35; Motor Vehicle Theft Preven-tion Act, (1992) 149-52

criminal acts: (1984) 58, 59-60; Animal Fightingand Baiting Act, (1988) 24-26; Money Laun-dering Act (Statement), (1988) 48; InsuranceFrauds Prevention Act, (1988) 189-91; Ac-tion for Sexual Exploitation by Psychothera-pists, (1989) 107-09; Dangerous Dogs Act,(1989) 110-13; Replica Firearm WarningLabel Act,(1990) 144; Civil Liability for TheftAct, (1990) 145; Automobile Theft and FraudLegislation (Note), (1991) 108-14; Sex Of-fender Act, (1991) 123-30; Vulnerable AdultsAbuse and Exploitation Registry (State-ment), (1991) 131; International Terrorism,(1998) 73-74; Gross Sexual Imposition Witha Controlled Substance, (1999) 114-30; In-mate Assaults with Body Fluids or OtherHazardous Substances, (1999) 138-39; In-timidating Legislative Witnesses, (1999) 146-47; Perpetrator�s Assumption of Risk, (1999)212;

criminal profits: Criminal Profits Reparation,


Index

Home Detention Act, (1989) 114-16; Omni-bus Criminal Justice Reform Act (State-ment), (1993) 149-50; Inmate Assaults withBody Fluids or Other Hazardous Substances,(1999) 138-39;

rehabilitation: Pretrial Diversion, (1983) 219-20;Batterers Pilot Program Act, (1990) 99-103;Sex Offender Act, (1991) 123-30; JuvenileOffender Recidivism Reduction Act, (1994)119-21; Criminal Justice System SubstanceAbuse Act, (1995) 9-13

sentencing: Model Sentencing and Corrections,(1980) 269-70; (1982) 133-45; Uniformity inSentencing, (1983) 221-30; Alternative Sen-tencing, (1984) 52-56; Sex Offender Act,(1991) 123-30; Omnibus Criminal Justice Re-form Act (Statement), (1993) 149-50; Alter-nate Incarceration Program, (1995) 14-16;Intensive Criminal Sanctions Act, (1995) 17-20; Chemical Castration of Sex Offenders(Note), (1999) 23-24; Conditional Release ofSex Offenders, (1999) 29-35;

temporary leave:victim rights: (1980) 265-70; Restitution and Pre-

Trial Intervention, (1982) 133-45; Intimida-tion of Witnesses, (1983) 231-36; Victim Im-pact Statement, (1984), 50-51; Victim Noti-fication of Offender Release, (1985) 56-57;Victims of Crime (Note), (1988) 209; Victims�Rights Implementation Act, (1994) 122-37;Automated Victim Notification System,(1999) 7-8;

see also: state and local government - policeCriminal procedure, see criminal justice and

correctionsCulture, the arts and recreation Ticket Scalping

Act, (1997) 217-19; In-line Skates SafetyRequirements, (1997) 220-26

arts: Art Consignment, (1981) 63-66; Protectionof Ownership Rights of Artists, (1985) 98;Protection of Artists Whose Work Has BeenAltered, (1985) 99-100

carnival amusement rides: Carnival AmusementRides Safety and Inspection, (1983) 137-44

historic preservation: State Underwater Antiqui-ties Act, (1988) 266-75

parks: Private Lands and Public Recreation,(1980) 107-12; Trails System, (1980) 125-29;Urban Open Spaces and Recreation, (1983)1-5; (1986) 1-6, 37-38; Recreational Improve-ment and Rehabilitation, (1986) 179-83;Adopt-A-Park Program Act, (1993) 74-75

(1985) 50-52; Proceeds of Stories of Felons,(1985) 53-55; Comprehensive Forfeiture,(1985) 62-71

drug racketeering: Drug Racketeering ActivityProhibitions, (1985) 58-61

fugitives:law enforcement: Automobile Theft and Fraud

Legislation (Note), (1991) 108-14; Motor Ve-hicle Theft Prevention Act, (1992) 149-52

sexual assault: Mandatory Protective BehaviorInstruction Act, (1988) 231-32; Sex OffenderAct, (1991) 123-30; DNA Database andDatabank Act, (1996) 184-88; Chemical Cas-tration of Sex Offenders (Note), (1999) 23-24; Conditional Release of Sex Offenders, (1999)29-35;

shoplifting: Civil Liability for Theft Act, (1990)145

see also: criminal justice and corrections; courts;drugs and alcohol

Criminal justice and correctionscriminal procedure: Uniform Rules of Criminal

Procedure (Statement), (1986) 131-33; Pris-oner Litigation Reform, (1999) 220-23;

Uniform Criminal History Records Act (Note),(1988) 218-19; Uniform Rules of EvidenceAct (Amendments), (1988) 220-21; Actionsby Adult Survivors of Childhood SexualAbuse, (1991) 121-22; Battered Woman Syn-drome Defense Act, (1992) 96-98; MissingChild Rapid Response Act, (1996) 181-83;Concerning Imposition of the Death Penalty,(1996) 196-98; Habeas Corpus Petitions,(1997) 110-13; DNA Database and DatabankAct, (1997) 114-19; Filing Fees for CriminalOffenders, (1997) 120-22

early and work release:expungement of records: Expungement of

Records, (1983) 243-46juveniles: Juvenile Code, (1983) 183-218; State

Juvenile Pretrial Diversion Programs Act,(1988) 204-08; Juvenile Offender RecidivismReduction Act, (1994) 119-21; Juvenile Jus-tice Legislation (Note), (1995) 1-4; JuvenileFirearms Control Legislation (Note), (1995)5-8

parole and probation: Rights of Inmates, (1983)237-42; Compact for the Supervision of Pa-rolees and Probationers An Update, (1990)123-27; Conditional Release of Sex Offend-ers (1999) 29-35;

prisons: Community Corrections, (1980) 265-70;


Index

tourism: Tourist Information, (1980) 132-41;Travel Promotion Regulation Act, (1988) 69-71

Dams and reservoirs, see conservation and theenvironment - environmental protection

Deficit financing, see public finance and taxa-tion - public debt

Dentists, see health careDevelopment, see growth managementDevelopmental disabilities, see handicapped

personsDisabled persons, see handicapped personsDisasters, see state and local government - emer-

gency managementDiscrimination in employment, see laborDisease control, see health careDisposal of waste, see conservation and the en-

vironment; hazardous materials and wasteDistressed communities, see growth manage-

ment - community developmentDivorce, see domestic relationsDomestic relationsadoption: Adoptive Information (1981) 10-13;

Birth Certificates for Foreign Born Adoptees,(1981) 14-19; Adult Adoptee Access toRecords, (1984) 88-98; Voluntary AdoptionRegistry, (1984) 99-105; Access to AdoptionInformation Act (Statement), (1992) 108;Child Welfare Legislation (Note), (1996) 219-20; Grandparents as Foster Parents, (1999)112-13;

child care: Licensing for Placement and Care ofChildren, (1984) 106-23; Latch-Key ProgramAct, (1988) 227-30; Child Care Services Act,(1989) 141-47; Child Day Care Acts, (1990)68-85; Prevention, Early Assistance andEarly Childhood Act (Statement), (1991) 40-43; Tuition Assistance Program for Day CareProviders Act, (1991) 44-47; An Act Relatingto Pilot After-School Programs in the PublicSchools, (1997) 163-65

child custody: Awards of Custody, (1981) 7-9; ChildCustody, (1986) 158-61; Non-Spousal Artifi-cial Insemination Act, (1988) 261-65; Visita-tion Dispute Resolution Act, (1992) 104-05;Family Preservation Services Act, (1993) 42-46; Children�s Safety Centers Act, (1994) 117-18; Standby Guardianship, (1999) 250-56;

family planning: Pregnancy Options, (1987) 147-62; Non-Spousal Artificial Insemination Act,(1988) 261-65; Prevention, Early Assistanceand Early Childhood Act (Statement), (1991)

40-43; Act to Prohibit Surrogate ParentingContracts, (1994) 112-14; Cloning, (1999) 25-28;

financial support: Alimony and Child Support,(1981) 3-6; Interstate Income Withholding,(1987) 133-39; Pregnancy Options, (1987)147-62; Child Support Security Deposit Act,(1989) 148-51; Child Support EnforcementLegislation (Statement), (1994) 115-16

juveniles: Crisis Intervention Unit, (1984) 62-68marriage: Marital Property, (1985) 79-95see also: crime and criminals - child abuse and

domestic violence; labor - housewives andhomemakers

Domestic violence, see crime and criminals -child abuse and domestic violence

Drugs and alcoholalcoholism: Alcoholism and Drug Addiction Treat-

ment and Support Act, (1990) 118-22boating: Alcohol Boating Safety, (1986) 131-33narcotics: Trafficking in Controlled Substances,

(1982) 152-54; Imitation Controlled Sub-stances, (1983) 254-55; (1985) 58-61; De-signer Drugs, (1987) 166; Regulation of Pre-cursors to Controlled Substances Act, (1990)115-17; Uniform Controlled Substances Act1990 (Statement), (1992) 66; Sterile Needleand Syringe Exchange Program Act, (1993)14-16; Criminal Justice System SubstanceAbuse Act, (1995) 9-13; Nitrous Oxide, (1997)142-43; Controlled Substance Excise Tax Act(Statement), (1998) 71-72

treatment: Perinatal Providers - Easing the Short-age, (1992) 17-19; Sterile Needle and SyringeExchange Program Act, (1993) 14-16

Early release, see criminal justice and correc-tion

Economic developmentplanning: Industrial and Commercial Redevelop-

ment, (1981) 104-08; Small Business andLocal Corporation Capital Loan Program,(1981) 109-11; Enterprise Zone, (1984) 135-52; (1986) 60-64, 179-83; Technology FinanceCorporation, (1987) 38-41; Product Develop-ment Corporation, (1987) 59-67; State FloodHazard Area Regulation Act, (1988) 1-21;Community Economic Development SupportAct (Statement), (1988) 47; ComprehensivePlanning and Land Use Regulation Act,(1990) 9-28; Local Government Transfer ofDevelopment Rights Act, (1991) 85-89; Ag-ricultural Land Preservation Act (State-


Index

ment), (1991) 90-92; Sustainable AgricultureAct, (1991) 93-95; Critical Industries Devel-opment Account, (1997) 27-28

promotion of private industry: Cooperative Eco-nomic Development, (1982) 119-25; (1986)42-47, 48-54; Economic Revitalization TaxCredit, (1987) 48-58; Community EconomicDevelopment Support Act (Statement),(1988) 47; BIDCO Act, (1989) 57-81; DefenseContractor Restructuring Assistance Act,(1994) 75-83; Export Trade Revolving LoanFund Act, (1994) 96-98

see also: business and commerce - small business;conservation and the environment; exports;growth management

Education: Student Religious Liberty, (1999)262-65;

attendance: Homeless Child Education Act (State-ment), (1992) 109

environmental education: Environmental Educa-tion Program, (1994) 155-64

exchange student: Exchange Student PlacementAgency Licensing Act, (1992) 115-22

family: Family Education and Resource CenterActs, (1990) 86-88; Mandatory EducationalCourse on Children�s Needs for DivorcingParents - Pilot Program, (1997) 157-62

finance: State Baccalaureate Education SystemTrust, (1988) 233-44; Education Legislation(Note), (1991) 1-13; Private School Tuition,(1999) 224-26;

loans and scholarships: Scholarships for CrucialTeaching Areas, (1984) 1-2; Liberty Scholar-ship Program Act, (1990) 89-95; Nursing Pro-fession Acts, (1990) 106-12; Tuition Assis-tance Program for Day Care Providers Act,(1991) 44-47; American Indian EndowedScholarship Program Act, (1992) 112-14; In-tervention/Prevention Grants for Academi-cally At-Risk Children (North Carolina),(1996) 223-28; Intervention/PreventionGrants for Academically At-Risk Children(Utah), (1996) 229-30

planning: Educational Policy Planning, (1982)210-12; Schools for the Future Act, (1988)245-54; Nursing Profession Acts, (1990) 106-12

preschool: Prevention, Early Assistance and EarlyChildhood Act (Statement), (1991) 40-43;Parents as Teachers Grant Program Act,(1993) 55-58

reform: Education Legislation (Note), (1991) 1-

13; Educational Act for the 21st Century(Statement), (1993) 52-54; Improvement ofStudent Achievement Act (Statement),(1995) 106-08; School Improvement Act(Statement), (1996) 221-22; Home School In-terscholastic Activities, (1998) 136-137

special: Special Education Mediation, (1998) 108-112

teacher training: Information Technology Educa-tion, (1987) 163-65; Mandatory ProtectiveBehavior Instruction Act, (1988) 231-32;Tuition Assistance Program for Day CareProviders Act, (1991) 44-47; School Discipline(Note), (1998) 113-114; Alternative TeacherCertification, ( 1999) 1-6;

universities and colleges: Higher Education For-eign Gift Disclosure, (1986) 162-63; StateBaccalaureate Education System Trust,(1988) 233-44; College and University Secu-rity Information Act, (1990) 128-31; CollegeStudent Immunization Act, (1992) 63-65;Education of the Visually Impaired Act(Statement), (1995) 109; Prepaid TuitionPlans and College Savings Plans (Note),(1998) 115-115-117; Higher Education Per-formance Standards, (1998) 118-135

vocational: Private Vocational School RegulationAct (Statement), (1992) 110-11; Youth Ap-prentice Pilot Program Act, (1994) 105-07;Youth Apprenticeships Legislation (Note),(1995) 110-11; Tax Credits for School-to-Ca-reer Internships, (1999) 266-67;

see also: public finance and taxation; records man-agement - academic

Elderly, see agedElectionscampaign finance: Campaign Finance, Ethics and

Lobbying Regulation (Statement), (1992) 90-92;

Campaign Finance Legislation (Note), (1995) 144-47

election law: Act to Extend Qualifying Deadlinesfor Elections, (1993) 151

voting: Submarine Ballot, (1986) 111-13; Handi-capped Voting, (1986) 114-22; StatewideVoter Registration and Outreach Act, (1988)200-03; Mail Ballot Elections, (1997) 104-9

Electronic banking, see banks and financial in-stitutions - funds transfer

Emergency management, see state and localgovernment

Employees, see state and local government;


Index

laborEmployment, see laborEnergyconservation: State Energy Resources (State-

ment), (1982) 13-36; Statewide Source Sepa-ration and Recycling Act (Statement), (1988)23; State Fleet Alternative Fuels Act,(1992)87-89; Net Energy Metering, (1998) 9-11;Guaranteed Energy Contracts, (1998) 12-15

electricity: Utility Construction Review Act, (1991)96-97; Electricity Deregulation (Note), (1998)45-48

energy efficiency rating: Building Efficiency Rat-ing Act, (1996) 61-65

natural gas: Natural Gas Service Expansion Act,(1995) 66-67

oil and gasoline: (1982) 79-80; Standby PetroleumSet-Aside, (1984) 172-87; (1986) 210-11;Aboveground Storage Tank Act, (1992) 84-86; Used Oil Collection Act, (1993) 68-73

solar energy: Solar Energy Systems Encourage-ment, (1980) 78-85; Solar Development Com-mission, (1980) 86-93

see also: nuclear energyEnvironment, see conservation and the environ-

mentEnvironmental protection, see conservation

and the environmentEqual access, see handicapped personsErosion, see conservation and the environmentEthics, Campaign Finance, Ethics and Lobbying

Regulation (Statement), (1992) 90-92Euthanasia, see health care - right to dieExplosives and fireworks, Paramilitary Train-

ing Act, (1983) 128-29see also: hazardous materials and wasteExportscouncil: State Export Council, (1985) 123-24development: Export Development Authority and

Assistance, (1985)Family, see domestic relationsFarm credit, see agricultureFarms, see agricultureFinance, public, see public finance and taxa-

tionFinancial emergencies, local, see public fi-

nance and taxation - fiscal crisesFinancial institutions, see banks and financial

institutionsFirearms, see guns, firearms and other weap-

onsFirefighters, see hazardous materials - rules and

regulations; state and local governmentFireworks, see explosives and fireworksFiscal crises, local, see public finance and taxa-

tionFish and wildlife: State Fishing Enhancement

Act (Statement), (1988) 22conservation: Endangered Species, (1980) 74-77;

State Resources Reinvestment, (1987) 5-13;State Fishing Enhancement Act (State-ment), (1988) 22; Act to Ban the Exporta-tion and Importation of Wildlife, (1993) 76-86

habitat: Fish Habitat Improvement, (1984) 191-97

Flammable liquids, see hazardous materialsand waste cleanup - disposal

Food, drug, and cosmetics, see consumer pro-tection - household hazards

Food stamps, see public assistance - welfareForestry, see conservation and the environmentFunds transfer, see banks and financial insti-

tutionsGames of chance: Riverboat Gambling Act,

(1996) 282-306see also business and commerce - unfair trade

practicesGarbage, see conservation and the environment

- refuse disposalGifted, education of, see education - specialGold and silver dealers, see business and com-

merce - small businessGood samaritan laws, see hazardous materi-

als - cleanup; public assistance - foodGovernors, see state and local government - ex-

ecutive branchGrowth managementcommunity development: (1980) 63-73; Commer-

cial Redevelopment Districts, (1981) 96-103;(1981) 104-08; Neighborhood Assistance,(1982) 130-32; Summary from States andDistressed Communities Study, (1985) 149-51; (1986) 60-64; State Flood Hazard AreaRegulation Act, (1988) 1-21; ComprehensivePlanning and Land Use Regulation Act,(1990) 9-28; Local Government Transfer ofDevelopment Rights Act, (1991) 85-89

land development: (1984) 183-90; (1986) 37-41,179-83; State Flood Hazard Area RegulationAct, (1988) 1-21; Comprehensive Planningand Land Use Regulation Act, (1990) 9-28;Local Government Transfer of DevelopmentRights Act, (1991) 85-89; Agricultural Land


Index

Preservation Act (Statement), (1991) 90-92;Smart Growth, (1998) 35-43; Land BankAuthorities, (1999) 148-53;

planning: Comprehensive Planning and Land UseRegulation Act, (1990) 9-28; Local Govern-ment Transfer of Development Rights Act,(1991) 85-89; Agricultural Land PreservationAct (Statement), (1991) 90-92

urban development: (1982) 130-32; (1983) 1-5;Product Development Corporation, (1987)59-67; State Flood Hazard Area RegulationAct, (1988) 1-21; Development Impact FeeAct, (1993) 115-23; Urban Area Revitaliza-tion (Statement), (1998) 44

zoning: State Aviation Development Act (State-ment), (1988) 194

see also: economic development; housing, land andproperty; transportation - airports

Guns, firearms and other weaponscontrol: Gun Control, (1983) 124-27; Paramilitary

Training, (1983) 128-29; Metal Piercing Bul-lets, (1984) 58; Criminal History RecordCheck for Transfer of Firearms, (1991) 132-35; State Concealed Weapons Laws (Note),(1998) 85-86

replica: Replica Firearm Warning Label Act,(1990) 144

Handicapped, education of, see education -special

Handicapped persons, Handicapped Individu-als Rental Discrimination Act, (1988) 27

assistance: Assistance to Handicapped Child,(1986) 168-78; Community Care for Frail orImpaired Adults (1987) 144-46; HandicappedIndividuals Rental Discrimination Act,(1988) 27; Prevention, Early Assistance andEarly Childhood Act (Statement), (1991) 40-43; Service Dogs, (1998) 106-107

developmental disabilities: Community Care forFrail or Impaired Adults, (1987) 142-44; Self-Sufficiency Trust Fund Act, (1990) 104-05;Developmental Disabilities Services Acts,(1994) 54-64; Education of the Visually Im-paired Act (Statement), (1995) 109

equal access: Equal Access to Public Facilities,(1982) 169-74; Handicapped Voting, (1986)114-22; Handicapped Individuals RentalDiscrimination Act, (1988) 27; Waiving Con-struction Permit Fees to Promote Accessi-bility, (1998) 32-34

legal rights: Legal Rights for the Mentally Dis-

abled, (1984) 82-87; Handicapped Individu-als Rental Discrimination Act, (1988) 27; De-linquent Real Property Tax Notification Act,(1988) 38-40

prevention: Retardation Prevention and Commu-nity Services, (1982) 184-202

subsidies: Subsidy Program for Qualified Parents,(1982) 203-05

see also: education - special; aged - housingHazardous materials and wastecleanup: Hazardous Waste Cleanup �Good Sa-

maritan,� (1983) 50-51; Hazardous WasteResponse Fund (1984) 24-29; UndergroundStorage Tanks Fund Acts - Alternatives forthe States, (1989) 11-29; Hazardous SitesCleanup Act (Statement), (1992) 78-80; Vol-untary Remediation of Hazardous Sub-stances and Petroleum Act, (1993) 59-67; Vol-untary Hazardous Waste Cleanup Act(Statement), (1995) 63-65; Expedited Reme-dial Action Reform Act, (1996) 1-26

disposal: Hazardous Waste Site Approval andSelection, (1982) 39-55; Radioactive WasteStorage, (1984) 11-22; Asbestos Application,Removal, and Encapsulation, (1986) 10-13;Aboveground Flammable Liquids Storage,(1986) 20-22; Underground Storage TankRegulation (Statement), (1986) 23-24; Un-derground Storage Tank, (1987) 15-22; ToxicCatastrophe Prevention, (1987) 23-32; Un-derground Storage Tanks Fund Acts - Alter-natives for the States, (1989) 11-29; Hard-to-Dispose Materials Act (Statement), (1991)60-61

household use: Toxic Household Products Act,(1993) 48-51

reduction: Hazardous Waste Reduction Model Act,(1990) 39-50

rules and regulations: Toxic Substance Informa-tion, (1984) 30-32; Hazardous Waste Man-agement Service, (1985) 14-18; Fire ServiceRight to Know, (1985) 19-21; HazardousChemical Employee Information, (1985) 22-27; Community Right-to-Know, (1986) 25-35;Underground Storage Tank, (1987) 15-22;Toxic Catastrophe Prevention, (1987) 23-32;Radon Gas Study, Monitoring, Informationand Certification Program Acts, (1989) 6-10;Hazardous Waste Reduction Model Act,(1990) 39-50; Hard-to-Dispose Materials Act(Statement), (1991) 60-61; Aboveground


Index

Storage Tank Act, (1992) 84-86; Ozone Over-sight Act, (1997) 12-15; Nonhazardous andNonliquid Waste Handling (Statement), 207-08;

see also: conservation and the environment; con-sumer protection - household hazards; ex-plosives and fireworks

Health care: AIDS Legislation (Note), (1989)152-56; Alzheimer�s Disease Assistance Act,(1989) 160-64; Adult Day Care Center Pro-gram Act, (1990) 96-98; Open Drug Formu-lary Act, (1990) 113-14; Mandated BenefitsReview Procedures Act, (1991) 14-18; Accessto Health Care (Note), (1992) 1-5; BreastCancer Education, Detection and ScreeningStandards Acts, (1992) 6-16; Prenatal Expo-sure to Controlled Substances Act, (1992) 17-19; Perinatal Providers, Easing the Short-age, (1992) 20-27; Home Care Volunteer Pro-gram for Maternal and Child Health, (1992)28-29; Home Dialysis Agencies LicensingAct, (1992) 30-44; General Acute Care Hos-pital Interpreter Act, (1992) 45-47; UniformDisciplinary Act for Regulated Health Pro-fessions (Statement), (1992) 48-49; HealthCare Decisions and Treatment: Provisionsfor Durable Power of Attorney and HealthCare Agents (Note), (1992) 50-53; InsectSting Emergency Treatment Act, (1992) 61-62; College Student Immunization Act,(1992) 63-65; Health Care Surrogate Act,(1993) 33-41; Homeless Minors Health CareConsent Act (Statement), (1993) 47; HealthCare Legislation (Note), (1993) 1-5; HealthInsurance Reform Legislation (Note), (1994)1-11; Prioritization of Health Care ServicesAct, (1994) 12-23; Health Care Services Uti-lization Review Regulation Act, (1994) 31-39; Health Insurance Rates and Refunds Act,(1994) 40-42; Uniform Billing Format Act,(1994) 43-45; Maternity Care Access Act,(1994) 46-50; Breast Feeding Rights Act,(1994) 51; Mental Health Treatment ProxyAct, (1994) 52-53; Health Care Reform Leg-islation (Note), (1995) 26-28; Assisted Repro-ductive Technology Act, (1995) 29-33; Writ-ten Summary of Breast Cancer TreatmentAlternatives Act, (1995) 34-35; Children�sMental Health Integrated Fund (Statement),(1995) 36-38; Dosage Form Definition Act,(1995) 39; Regulation of Health Care andMental Health Services, (1996) 251-75;

Statewide Immunization Program, (1996)276-79; Health Care Legislation (Note),(1996) 277-81; Health Care - Elderly andDisabled Adults - Pilot Long-term Care Pro-gram, (1997) 144-56; Health Services Plans- Dispute Resolution, (1997) 174-78;Alzheimer�s Care Disclosure, Nursing HomeViolations, (1998) 16-18; Prenatal Care - HIVTesting (Note), (1998) 138-139; Health(Note), (1998) 140-144; Unauthorized Use ofSperm, Ova or Embryos, (1998) 145-146;Child Health Insurance (Note), (1998) 147;Telemedicine, (1998) 148-156; Cloning, (1999)25-28; Genetic Information Privacy, (1999) 107-11; Premium Sharing, (1999) 213-19;

assistance: Medicaid Reform, (1986) 168-78; LongTerm Care Act, (1989) 157-59; Prevention,Early Assistance and Early Childhood Act(Statement), (1991) 40-43; Access to HealthCare (Note), (1992) 1-5; Health Care Legis-lation (Note), (1993) 1-5; Health InsuranceReform Legislation (Note), (1994) 1-11;Prioritization of Health Care Services Act,(1994) 12-23; State Health Program Act,(1994) 24-30; Medical Savings Account Act,(1996) 231-34

blood donors: Minor�s Consent to Donate Blood,(1981) 20; Blood Safety Act, (1993) 29-30

cost containment: State Health Services CostReview Commission, (1981) 29; (1982) 179-80; Health Insurance Pool Act (Statement),(1988) 68; Open Drug Formulary Act, (1990)113-14; Access to Health Care (Note), (1992)1-5; Health Care Legislation (Note), (1993)1-5; Health Insurance Reform Legislation(Note), (1994) 1-11; Health Care Reform Leg-islation (Note), (1995) 26-28

dentists: Dental Practice, (1980) 164-86disease control: Blood Test, (1981) 21-22; Recre-

ational Water Contact Facility Act, (1988) 58-61; Infectious Waste Storage, Treatment andDisposal Acts, (1989) 30-41; AIDS Legisla-tion (Note), (1989) 152-56; College StudentImmunization Act, (1992) 63-65; InfectiousWaste Act, (1992) 74-77; Tuberculosis-Spe-cific Control Measures, (1997) 206-16

education: Breast Cancer Education, Detectionand Screening Standards Acts, (1992) 6-16;Hysterectomy Information Act, (1993) 31-32;Written Summary of Breast Cancer Treat-ment Alternatives Act, (1995) 34-35; Obesity,(1999) 209-11;


Index

hereditary diseases: Hereditary Disorders, (1984)124

home health care: Home Health Care Licensing,(1986) 164-67; Home Care Volunteer Pro-gram for Maternal and Child Health, (1992)28-29; Home Dialysis Agencies LicensingAct, (1992) 30-44

hospices: Hospice Program Licensing, (1985) 43-45

hospitals and clinics: General Acute Care Hospi-tal Interpreter Act, (1992) 45-47; HospitalCooperation Act, (1996) 235-41; HospitalConversions, (1999) 131-37;

laboratories: Clinical Laboratory Billing Informa-tion, (1981) 29; Confidentiality of GeneticTests, (1999) 36-40; Limited-Service RuralHospitals, (1999) 162-70;

organ donors: Anatomical Donations by MinorsAct, (1991) 37-39; Organ Procurement andStorage Act, (1992) 54-60; Amendments tothe Uniform Anatomical Gift Act, (1997)123-36

physicians: Perinatal Providers - Easing theShortage, (1992) 20-27; Malpractice Insur-ance for Retired Volunteer Physicians Act,(1993) 17-18; Medical Practices DiversionProgram, (1996) 246-50; Physician Disciplineand Physician Information (Note), (1998) 19-20

professionals: State Health Manpower Projects,(1983) 285-92; Emergency Medical ServicesRegulation and Licensing Act (Statement),(1988) 255; Emergency Medical Services Or-ganization Act (Statement), (1988) 260;Nursing Profession Acts, (1990) 106-12; Peri-natal Providers - Easing the Shortage, (1992)20-27; Uniform Disciplinary Act for Regu-lated Health Professions (Statement), (1992)48-49

records: Health Care Provider Records Access Act(Statement), (1988) 259; Disclosure of HealthCare Records Act, (1993) 19-28

right to die: Uniform Brain Death, (1980) 199-200; Do Not Resuscitate, (1997) 181-89

smoking: Prohibition of Employment Discrimina-tion on Basis of Smoking, (1991) 34-35

treatment: DES-Related Disorders, (1983) 117-18;Insect Sting Emergency Treatment, (1983)119-20; Hypertension Control Program,(1984); Vietnam Veterans Health Treatmentand Assessment, (1985) 46-49; Non-SpousalArtificial Insemination Act, (1988) 261-65;

Prenatal Exposure to Controlled SubstancesAct, (1992) 17-19; Home Dialysis AgenciesLicensing Act, (1992) 30-44; Health Care De-cisions and Treatment: Provisions for Du-rable Power of Attorney and Health CareAgents (Note), (1992) 50-53; Insect StingEmergency Treatment Act, (1992) 61-62; In-tractable Pain Treatment Act (1997) 166-68;Emergency Medical Services for Children,(1997) 169-73; Experimental Medical CareDisclosure (1999) 52-55;

Health maintenance organizations, seehealth care

Hereditary diseases, see health careHistoric preservation, see culture, the arts and

recreationHome care, see aged - nursing homesHome purchases, see housing, land and prop-

erty - real estate transactionsHospices, see health careHospitals, see health careHousewives, see laborHousing, land and propertybuilding construction and design: Mandatory

Sprinkler Systems, (1982) 81-85; (1982) 169-74; Fire Sprinkler Systems, (1987) 33-37; Eq-uitable Restrooms Act, (1993) 135-37

building renovation: Public Buildings Coopera-tive, (1980) 63-73; (1984) 177-82; SpecialUser Housing Rehabilitation Program Act,(1988) 41-44; Abandoned Housing Rehabili-tation, (1989) 54-56; Equitable RestroomsAct, (1993) 135-37; Lead Exposure, (1999)154-61;

development: Urban Neighborhood Redevelop-ment, (1987) 42-47; Comprehensive Plan-ning and Land Use Regulation Act, (1990)9-28; Local Government Transfer of Devel-opment Rights Act, (1991) 85-89; Develop-ment Impact Fee Act, (1993) 115-23; StateHousing Initiatives Partnerships, (1995)127-41; Land Use Mediation, (1998) 27-31;Land Bank Authorities, (1999) 148-53;

emergency assistance: Emergency Assistance toHomeowners, (1985) 31-34

home improvement: Housing and NeighborhoodConservation, (1980) 63-73; Energy CreditProgram, (1982) 13-36; Urban NeighborhoodRedevelopment, (1987) 42-47

landlords and tenants: Mobile Home Park Bill ofRights, (1981) 118-24; Handicapped Indi-viduals Rental Discrimination Act, (1988) 27


Index

manufacture: Common Interest Ownership(Statement), (1986) 36

personal property: (1982) 213-17; Uniform Statu-tory Rule Against Perpetuities Act (Note),(1988) 28-30; Private Property ProtectionAct, (1995) 123-26

public lands: (1981) 140-41; Public Lands, (1982)56-70; (1986) 179-83

real estate transactions: Alternate Mortgage,(1981) 125-39; Uniform Real Estate Time-Share (Statement), (1981) 161-62; Delin-quent Real Property Tax Notification Act,(1988) 38-40; Residential Real Estate Dis-closure Act, (1993) 110-14; Lease-to-OwnHousing Program Act, (1994) 165-68; Bro-kerage Real Estate Disclosure, (1999) 9-19;

see also: growth management; public finance andtaxation; public assistance - housing; aged -housing

Information systems, State Internet Legisla-tion (Note), 257-59;

privacy: Uniform Motor Vehicle Records Disclo-sure Act, (1997) 227-31; Public Access to Leg-islative Documents, (1998) 49-51; Use of E-mail, (1998) 157-163;

see also: banks and financial institutions; crimeand criminals

Infrastructure bank, see public finance andtaxation

Inspector general, see public finance and taxa-tion

Insurancecertification of insurers: Surplus Lines Insurance,

(1987) 68-78fire: Fire Insurance Policy Proceeds Lien, (1983)

247-49; Anti-Arson Applications, (1983) 250-53

group: (1980) 3-11, 142-48; Conversion of GroupHealth Insurance, (1981) 23-28; Health In-surance Pool Act (Statement), (1988) 68; Mu-nicipal Reciprocal Insurer Act, (1988) 99-101;Fair Rates for Credit Insurance Act, (1988)169-72; Access to Health Care (Note), (1992)1-5; Health Care Legislation (Note), (1993)1-5; Health Insurance Reform Legislation(Note), (1994) 1-11

insurance companies: Limitations on Cancellationand Non-Renewal of Commercial InsurancePolicies Act, (1988) 83-91; Municipal Recip-rocal Insurer Act, (1988) 99-101; Limitationon Holdings of Non-Investment Grade Obli-gations Act, (1988) 102-03; Limitation on

Business Transacted with Producer Con-trolled-Insurer Act, (1988) 104-05; FinancialGuaranty Insurance Act, (1988) 106-19; In-surance Holding Company System Act,(1988) 120-43; Seizure of Impaired InsurersAct, (1988) 146-49; Unfair Claim SettlementPractices Act, (1988) 150-51; Prohibition ofAnti-Competitive Behavior Act, (1988) 178-80; Duties of Excess Lines Brokers Act,(1988) 181-86; Property Insurance Declina-tion, Termination and Disclosure Act, (1992)140-44; Insurance Claims for ExcessiveCharges Act, (1993) 109; Health InsuranceRates and Refunds Act, (1994) 40-42; Experi-mental Medical Care Disclosure (1999) 52-55;

medical: Health Insurance Continuation and Con-version, (1980) 142-48; ComprehensiveHealth Insurance, (1980) 149-63; SecondMedical Opinion, (1982) 179-80; Health In-surance Pool Act (Statement), (1988) 68; Pro-hibited Dread Disease Insurance CoveragesAct, (1988) 187-88; Mandated Benefits Re-view Procedures Act, (1991) 14-18; Access toHealth Care (Note), (1992) 1-5; Health CareLegislation (Note), (1993) 1-5; Health Insur-ance Reform Legislation (Note), (1994) 1-11;Health Insurance Rates and Refunds Act,(1994) 40-42; Health Care Reform Legisla-tion (Note), (1995) 26-28; Health InsuranceCoverage for Off-Label Uses, (1996) 242-45;Genetic Discrimination, (1997) 190-92; In-dividual Health Insurance Market Reform,(1997) 193-205; Child Health Insurance(Note), (1998); Premium Sharing, (1999) 213-19;

motor vehicle: Collision Damage Waiver Insur-ance Act, (1988) 173-77; Motor Vehicle Li-ability Insurance Enforcement Act, (1994)169-71

property: Property Insurance Declination, Termi-nation and Disclosure Act, (1992) 140-44;Hurricane Relief Fund Act, (1996) 128-38

sales practices: Insurance Policy Language Sim-plification, (1982) 71-74; Flexible Rate Limi-tations For Problem Insurance Markets Act,(1988) 73-76; Limitations on Cancellationand Non-Renewal of Personal InsurancePolicies Act, (1988) 77-82; Authority to Acti-vate Joint Underwriting Association Act,(1988) 92-98

state: State Risk Management, (1987) 92-100;


Index

Municipal Reciprocal Insurer Act, (1988) 99-101; State Grain Insurance Act (Statement),(1988) 282

Intergovernmental relations:state/federal: Federal Mandates Act, (1996) 153-

60; Federal Mandates for State Action (Note),(1992) 153-59; Federal Mandates for StateAction (Note), (1993) 152-56; Federal Man-dates for State Action (Note), (1994) 179-85;Federal Mandates for State Action (Note),(1995) 150-54; Federal Mandates (Note),(1996) 171-73; Federal Mandates for StateAction (Note), (1997) 63-65; Federal Man-dates for State Action (Note), (1998) 52-60;Federal Mandates for State Action (Note),(1999) 270-72; Public Access Across FederalLands, (1996) 176-80; State Appropriationand Budgeting of Federal Funds, (1980) 12-14; Federal Land Acquisition, (1981) 140-41;

state/local: State and Local Government PooledInsurance, (1980) 3-11; State Compensationto Local Governments for State-Owned Prop-erty, (1980) 49-55; (1981) 88-95; MissingChildren Record Flagging Act, (1988) 222-24; Comprehensive Planning and Land UseRegulation Act, (1990) 9-28; Local Govern-ment Mandate Relief Legislation (Note),(1994) 176-78; Local Government ServiceDelivery Systems, (1999) 199-206;

state/state: Intergovernmental Tax Cooperation,(1980) 12-14; Interstate Income Withhold-ing, (1987) 133-39

see also: state and local governmentInterstate agreements, see intergovernmental

relations - state/stateInventions, see business and commerce - copy-

rights and patentsInvestments, see banks and financial institu-

tions; public finance and taxationItinerant vendors, see public finance and taxa-

tionJudicial branch, see courtsJuries, see courtsLabordiscrimination: Prohibition of Employment Dis-

crimination on Basis of Smoking, (1991) 34-35; Genetic Screening in the Workplace(Note), (1991) 36; Act Prohibiting Discrimi-nation Against Employees� Participation inLegal Activities During Non-Working Hours,(1994) 108-11; Genetic Screening ProhibitionAct (Statement), (1995) 25

employees: Right to Inspect Personnel Files,(1983) 293-94; Hazardous Chemical Em-ployee Information, (1985) 22-27; FamilyLeave Act, (1989) 135-40; State EmployeeLeave Transfer Program Act, (1991) 19-22;Employee Leasing Company RegistrationAct, (1993) 124-27; Multiracial ClassificationAct, (1997) 32-3; Defined Contribution Plans,(1999) 41-43;

employment incentives: (1984) 153-60; Aid Recipi-ent Employment Incentive Act, (1988) 45-46; Community Economic Development Sup-port Act (Statement), (1988) 47

housewives and homemakers: Displaced Home-makers, (1981) 16-19

migrant workers: Seasonal Farm Labor and Mi-grant Agricultural Workers, (1983) 145-68;(1984)

pay equity: Pay Equity for State Employees,(1985) 147-48

training programs: Civilian Conservation WorkProgram, (1985) 136-38; State ConservationCorps, (1986) 1-6; Youth Corps, (1986) 60-64; Aid Recipient Employment Incentive Act,(1988) 45-46; Community Economic Devel-opment Support Act (Statement), (1988) 47;Service Corps Program Act, (1993) 143-48;Workforce Development Partnership Pro-gram (Statement), (1994) 99-101

unemployment compensation: State EmployablesProgram, (1981) 16-19; (1982) 161-63;Shared Work Unemployment Compensation,(1982) 164-65; Aid Recipient Employment In-centive Act, (1988) 45-46

unions: Public Sector Labor-Management Coop-eration Act, (1994) 102-04

workers� compensation: Workers� CompensationReform Legislation (Note), (1991) 23-33

see also: state and local government - employeesLand, see housing, land and propertyLand development, see growth managementLand use planning, see growth management -

land developmentLandfills, see conservation and the environment

- refuse disposal and recyclingLandlords and tenants, see housing, land and

propertyLaw and lawyers, see courts; criminal justice

and correctionsLaw enforcement, see crime and criminalsLegal services, see courts - lawyers


Index

Licensing, enforcement and regulationbusiness: Business Regulation and Licensing Sys-

tem, (1981) 112-15; Business Regulation andLicensing, (1981) 116-17; Money Launder-ing Act (Statement), (1988) 48; RecreationalWater Contact Facility Act, (1988) 58-61;Utility Holding Company Regulation Act(Statement), (1988) 62; Buyers� Club Regu-lation Act, (1988) 63-67; Travel PromotionRegulation Act, (1988) 69-71; VideotapeRental Future Services Contract Act (State-ment), (1988) 72; Flexible Rate LimitationsFor Problem Insurance Markets Act, (1988)73-76; Limitations on Cancellation and Non-Renewal of Personal Insurance Policies Act,(1988) 77-82; Limitations on Cancellationand Non-Renewal of Commercial InsurancePolicies Act, (1988) 83-91; Authority to Acti-vate Joint Underwriting Association Act,(1988) 92-98; Municipal Reciprocal InsurerAct, (1988) 99-101; Limitation on Holdingsof Non-Investment Grade Obligations Act,(1988) 102-03; Limitation on Business Trans-acted with Producer Controlled-Insurer Act,(1988) 104-05; Financial Guaranty Insur-ance Act, (1988) 106-19; Insurance HoldingCompany System Act, (1988) 120-43; Re-quirement for Independent Loss ReserveCertification Act, (1988) 144-45; Seizure ofImpaired Insurers Act, (1988) 146-49; Un-fair Claim Settlement Practices Act, (1988)150-51; Risk Retention Groups and Purchas-ing Groups Act, (1988) 152-68; Fair Rates forCredit Insurance Act, (1988) 169-72; Colli-sion Damage Waiver Insurance Act, (1988)173-77; Prohibition of Anti-Competitive Be-havior Act, (1988) 178-80; Duties of ExcessLines Brokers Act, (1988) 181-86; ProhibitedDread Disease Insurance Coverages Act,(1988) 187-88; Insurance Frauds PreventionAct, (1988) 189-91; Model Veterinary DrugCode, (1989) 46-53; Check Cashing ServicesAct, (1990) 141-43; Utility Construction Re-view Act, (1991) 96-97; Health Care ServicesUtilization Review Regulation Act, (1994) 31-39; Riverboat Gambling Control Legislation(Note), (1995) 112-13; Business Coordina-tion, (1999) 20-22; Environmental Leader-ship Program, (1999) 44-51; Fertilizer, (1999)61-71;

child care: Licensing for Placement and Care ofChildren Act, (1984) 106-23

education: Private Vocational School RegulationAct (Statement), (1992) 110-11; ExchangeStudent Placement Agency Licensing Act,(1992) 115-22

health: Reorganization of Occupational and Pro-fessional Regulation, (1983) 285-92; HumanEmbryos Act, (1988) 256-58; Radon GasStudy, Monitoring, Information and Certifi-cation Program Acts, (1989) 6-10; Model Vet-erinary Drug Code, (1989) 46-53; Breast Can-cer Education, Detection and ScreeningStandards Acts, (1992) 6-16; Home DialysisAgencies Licensing Act, (1992) 30-44; OrganProcurement and Storage Act, (1992) 54-60;Health Care Services Utilization ReviewRegulation Act, (1994) 31-39; Registrationof Durable Powers of Attorney for HealthCare, (1997) 179-80; Confidentiality of Ge-netic Tests, (1999) 36-40; ExperimentalMedical Care Disclosure, (1999) 52-55; For-eign Capital Depository, (1999) 72-106;

professions: (1983) 285-92; Emergency MedicalServices Regulation and Licensing Act(Statement), (1988) 255; Emergency Medi-cal Services Organization Act (Statement),(1988) 260; Nursing Profession Acts, (1990)106-12; Uniform Disciplinary Act for Regu-lated Health Professions (Statement), (1992)48-49

see also: agriculture; business and commerce - se-curity guards; health care - hospices; natu-ral resources - mining

Litter, see conservation and the environment -refuse

Livestock, see agricultureLoans, see banks and financial institutionsLocal government, see state and local govern-

mentMarital property, see domestic relations - mar-

riageMarriage, see domestic relationsMigrant workers, see laborMines and minerals, see natural resourcesMissing persons: Missing Persons, (1986) 152children: Intergovernmental Missing Child Re-

covery, (1986) 147-51; Missing and ExploitedChildren, (1986) 153-57; Missing ChildrenRecord Flagging Act, (1988) 222-24

Mortgages: Reverse Annuity Mortgage, (1986)40-41

see also: housing, land and propertyMotor vehicles, see consumer protection; trans-


Index

portationNative Americans, American Indian Endowed

Scholarship Program Act, (1992) 112-14see also: burial sitesNatural resourcesmines and minerals: Uniform Dormant Mineral

Interests Act (Note), (1988) 36-37Negligence, see courts - tort liability and negli-

genceNoise pollution, see conservation and the envi-

ronmentNominations, see electionsNuclear energydecommissioning: Decommissioning Nuclear

Power Plants, (1983) 52-60environmental protection: Environmental Radia-

tion Protection, (1980) 130-32radiation control: Regulations for the Control of

Radiation (Statement), (1978) 185; RadiationControl, (1983) 27-43

see also: hazardous materials and waste - disposalNursing homes, see agedOmbudsman, see state and local government -

public relationsOne man-one vote, see elections - reapportion-

mentParamilitary training, see guns, firearms and

other weaponsParks, see culture, the arts and recreationParole, see criminal justice and correctionsPay equity, see state and local governmentPensions, see banks and financial institutions;

state and local governmentPersonal property, see housing, land and prop-

ertyPest control, see agriculturePesticides, see agriculturePhysicians, see health carePlea bargaining, see criminal justice and cor-

rections - sentencingPolice, see state and local governmentPollution, see conservation and the environmentPornography, see crime and criminals - child

abusePostal savings, see banks and financial institu-

tionsPrepaid medical services, see health care -

health maintenance organizationsPreschool education, see educationPrevention of retardation, see handicapped

personsPrimaries, see elections

Prisons, see criminal justice and correctionsPrivacy, see information systemsProbate, see willsProbation, see criminal justice and correctionsProcurement, see state and local government -

purchasingProduct safety, see consumer protection; courts;

insuranceProperty, see domestic relations - marriage;

housing, land and property; public financeand taxation

Prosecutors, see criminal justice and correctionsProtected tenancy, see aged - housingPublic assistanceemployment: Aid Recipient Employment Incen-

tive Act, (1988) 45-46; Welfare Reform Act(Statement), (1988) 225; Family Indepen-dence Act (Statement), (1988) 226; HomelessEmployment Program, (1989) 125-28; Fam-ily Transition Act, (1995) 70-82; Work-Not-Welfare Pilot Program Act, (1995) 83-97;Self-employment Assistance, (1999) 239-42;

food: Food Bank Good Samaritan (1984) 48-49;Food Donation Liability Legislation (Note),(1994) 70-74

homeowners: Emergency Assistance toHomeowners, (1985) 31-34; Revenue Annu-ity Mortgage, (1986) 40-41; Home OwnershipMade Easy Act, (1991) 48-52; Lease-to-OwnHousing Program Act, (1994) 165-68

housing: Housing Rehabilitation Program, (1984)177-82; Low-Income Housing Tax Credit Act,(1989) 96-100; Housing Legislation (Note),(1990) 1-5; Preservation of Moderate- andLow-income Housing Act, (1990) 6-8; Lease-to-Own Housing Program Act, (1994) 165-68; Increasing Homeownership Opportuni-ties for Police, (1998) 92-95

insurance or security funds: (1986) 187-97, 198-203

welfare: Administrative Procedures Act - FoodStamp Emergency Clause, (1980) 261; Wel-fare Reform Act (Statement), (1988) 225;Family Independence Act (Statement),(1988) 226; Individual Development Ac-counts Act, (1996) 213-18

see also: courts - public guardians; health carePublic buildings, see housing, land and prop-

ertyPublic debt, see public finance and taxationPublic employees, see state and local govern-

ment


Index

Public finance and taxationaccounting and auditors: Local Accounting, Au-

diting and Financial Reporting, (1980) 44-48; Auditor Revenue, (1981) 77; Grant AuditFinancing, (1981) 78; Auditor Access toRecords, (1981) 79-80; Duties of Agencieswith Regard to Audit Reports, (1981) 82-87

bonds and notes: (1982) 126-29; Agricultural LandPreservation Act (Statement), (1991) 90-92

budget: Capital Budgeting and Planning, (1982)126-29

fiscal crises: Prevention and Control of Local Gov-ernment Financial Emergencies, (1982) 93-97; Financially Distressed Municipality Act(Statement), (1988) 193

infrastructure bank: Infrastructure Bank, (1984)34-47

inspector general: Inspector General, (1983) 169-77

investments: Public Deposits and Investment ofIdle Funds, (1980) 15-19; Linked Deposit,(1986) 55-59; Agricultural Linked DepositAct (Statement), (1988) 192; Home Owner-ship Made Easy Act, (1991) 48-52; CollateralPool for Public Deposits Act, (1992) 127-39

itinerant vendors: Tax Registration of ItinerantVendors, (1985) 144-46

loans: Local Government Borrowing Supervisionand Assistance, (1981) 88-95; (1981) 104-08;(1986) 42-47; Capital Loan Fund, (1986) 48-54; (1986) 55-59, 91-95; Agricultural LinkedDeposit Act (Statement), (1988) 192; RefundAnticipation Loan Act, (1994) 90-95; ExportTrade Revolving Loan Fund Act, (1994) 96-98

public debt: (1982) 93-97taxation (income): Authorization for a Local In-

come Tax Supplement to the State IncomeTax, (1980) 12-14; Set-Off Debt Collection,(1981) 82-87; Indexation of Income Tax forInflation, (1982) 98-99; Economic Revitaliza-tion Tax Credit, (1987) 48-58

taxation (insurance): Fire Insurance Policy Pro-ceeds Lien Act, (1983) 247-49

taxation (motor vehicles): Weight-Distance Tax,(1987) 79-91

taxation (property): (1980) 12-14; Delinquent RealProperty Tax Notification Act, (1988) 38-40;Intercity High Speed Passenger Rail ScenesAct (Statement), (1988) 195

see also: business and commerce; courts; trans-portation

Public guardian, see courtsPublic utilities and public works: Retail

Transmission of Electricity, (1997) 40-6cable television: Cable Subscriber Privacy Protec-

tion Act, (1990) 134-38construction: Utility Construction Review Act,

(1991) 96-97consumers: Citizens Utility Board, (1984) 161-71;

Utility Holding Company Regulation Act(Statement), (1988) 62

operations: (1981) 56-62; Utility Holding Com-pany Regulation Act (Statement), (1988) 62;Limited Immunity for Persons Respondingto Oil Spills, (1990) 55-62

water treatment: Water Supply Management,(1983) 6-15; Sewage Sludge Resource Recov-ery, (1984) 3-10; Public SeweragePrivatization, (1987) 101-07

see also: communications; conservation and theenvironment - water pollution; nuclear en-ergy

Purchasing, see state and local governmentRadiation, see nuclear energy; state and local

government - emergency managementRailroads, see transportationRape, see crime and criminals - sexual assaultReal estate, see housing, land and propertyReceiverships, see banks and financial institu-

tions - liquidationRecords management and data collection:

Confidentiality of Genetic Tests, (1999) 29-35; Genetic Information Privacy, (1999) 107-11;

academic: Preservation of Academic Records,(1985) 96-97; Missing Children Record Flag-ging Act, (1988) 222-24; College and Univer-sity Security Information Act, (1990) 128-31

public records: (1981) 14-15, 39-40, 79-80; Vulner-able Adults Abuse and Exploitation Regis-try (Statement), (1991) 131; Criminal His-tory Record Check for Transfer of Firearms,(1991) 132-35; Public Records Storage on Op-tical Disk, (1993) 128-32; Filing Liens, (1997)51-62

vital statistics: Fraudulent Use of Birth Certifi-cates, (1981) 39-40; Missing Children RecordFlagging Act, (1988) 222-24; State Vital Sta-tistics Act (Statement of Availability), (1995)143

see also: domestic relations - adoptionRecreation, see culture, the arts and recreationRecycling, see conservation and the environ-


Index

ment - refuse disposalRefuse disposal, see conservation and the envi-

ronmentReligion: Student Religious Liberty, (1999) 262-

65.0;Relocation assistance, see housing, land and

propertyReorganization, governmental, see state and

local governmentRidesharing, see state and local government -

employeesRight to die, see health careRoads, see growth management; transportationSales practices, see consumer protectionSecurities, see banks and financial institutions;

public finance and taxationSenior citizens, see agedSewage disposal, see public utilities and public

works - water treatmentSexual assault, see crime and criminalsShoplifting, see crime and criminalsSmoking laws, see health careSnowmobiles, see transportationSolar energy, see energySovereign immunity, see state and local gov-

ernmentSpecial education, see educationSpouse abuse, see crime and criminalsState bill payments, see state and local gov-

ernment - administration of agenciesState funding, see public finance and taxation -

investmentsState and local government, Federal Man-

dates for State Action (Note), (1997); Regu-latory Reform Comparative Risk Assessmentand Cost/Benefit Analysis, (1997) 63-65

administration of agencies: (1986) 65-68; PromptPayment, (1986) 102-08; Intimidating Leg-islative Witnesses, (1999) 146-147

contracts: State Civil Rights Act, (1992) 93-95emergency management: Appendix - Example

State Disaster Act of 1972, (1981) 67-75;Radiation Accident Response Act, (1983) 20-26; State Flood Hazard Area Regulation Act,(1988) 1-21; Government Mutual Aid Agree-ments, (1994) 65-67; Disaster Services Vol-unteer Leave Act, (1994) 68-69; InterstateEmergency Management Assistance Com-pact, (1998) 21-26

employee pensions: Municipal Pension Fundingand Recovery (Statement), (1986) 101; De-

fined Contribution Plans, (1999) 41-43;employees: Nonpermanent Employees, (1980) 56-

59; Protection of Public Employees, (1982)155-57; Ridesharing Incentives, (1984) 127-34; (1985) 147-49; Direct Deposit, (1987) 181-83; State Employee Leave Transfer ProgramAct, (1991) 19-22; State Civil Rights Act,(1992) 93-95; Public Sector Labor Manage-ment Cooperation Act, (1994) 102-04

firefighters: (1981) 67-75information systems: On-Line Legislative Infor-

mation System Act, (1995) 148-49local government: (1980) 44-48; Summary from

States and Distressed Communities Study,(1985) 149-51; State Flood Hazard AreaRegulation Act, (1988) 1-21; Financially Dis-tressed Municipality Act (Statement), (1988)193; Local Government Transfer of Devel-opment Rights Act, (1991) 85-89; Local Gov-ernment Mandate Relief Legislation (Note),(1994) 176-78; Local Government Efficiencyand Cooperation Act, (1996) 161-70; Use ofE-mail, (1998), Local Government ServiceDelivery Systems, (1999) 199-206;

pay equity: Pay Equity for State Employees,(1985) 147-49

pensions: Consolidated State-Administered Pen-sion System, (1980) 20-37; Public Pension Re-view, (1980) 38-43; Contributions to Em-ployee Social Security (1980) 60-62; DirectDeposit, (1987) 181-83

police: 911 Emergency Number, (1981) 67-75;Hate Crime Reporting Act, (1990) 132-33;Criminal History Record Check for Trans-fer of Firearms, (1991) 132-35

productivity: Incentive Pay for State Employees,(1982) 158-60; Forms Management Center,(1982) 37-38; Reduced Worktime Program,(1982) 161-63; (1982) 164-65

public relations:purchasing: Model Procurement Code for State

and Local Government (Statement), (1980)271-72; (1986) 102-08; State Fleet Alterna-tive Fuels Act, (1992) 87-89; Targeted GroupSmall Business Procurement Program,(1993) 98-107

risk management: State Risk Management,(1987) 92-100

urban: Urban Neighborhood Redevelopment,(1987) 42-47

see also: intergovernmental relations; records


Index

management and data collectionState-federal relations, see intergovernmental

relationsStatistics, see records management and data col-

lectionTakeover legislation, see business and com-

merce - corporate acquisitionsTaxation, see public finance and taxationTelephones, see communicationsTelevision, see communicationsTimesharing agreements, see housing, land

and property - real estate transactionsTort liability and negligence, see courtsTourism, see culture, the arts and recreationToxic substances, see hazardous materials and

wasteTrade regulation, see business and commerce;

consumer protectionTraffic laws, see transportationTransportation: State Transportation Infra-

structure Banks (Note), (1999) 260-61;airports: Small Airport Zoning Regulation and Re-

striction, (1985) 28-30; State Aviation Devel-opment Act (Statement), (1988) 194

boats and boating: (1986) 131-33; Uniform BoatTitling, (1987) 108-14; Security Interest inBoats Act, (1993) 138-42

licenses and licensing: All Terrain Vehicle Regis-tration, (1987) 115-26; Motorcycle RiderEducation Act, (1988) 196-99; License PlateImpoundment for Repeat DWI Violations,(1989) 42-45

motor vehicles: All-Terrain Vehicle Registration,(1987) 115-26; Motorcycle Rider EducationAct, (1988) 196-99; License Plate Impound-ment for Repeat DWI Violations, (1989) 42-45; All-Terrain Vehicles (Statement), (1989)101-02; Automobile Theft and Fraud Legis-lation (Note), (1991) 108-14; Motor VehicleTheft Prevention Act, (1992) 149-52; Repur-chased Automobile Act, (1993) 108; MotorVehicle Liability Insurance Enforcement Act,(1994) 169-71; Drivers License Revocationand Ignition Interlock Devices, (1997) 66-71;Motor Vehicles - Weight Limits - Review ofBills Establishing Exceptions, (1997) 72-4;Airbag Safety and Anti-Theft, (1998) 61-66

railroads: Abandoned Railway Reopening TrustAgreements, (1982) 12; Intercity High SpeedPassenger Rail Service Act (Statement),(1988) 195; Railroad Trespassing Act, (1996)174-75

ridesharing: (1981) 142-46; Act to Remove LegalImpediments to Ridesharing Arrangements,(1981) 147-50; (1984) 127-34

taxation: Weight-Distance Tax, (1987) 79-91; In-tercity High Speed Passenger Rail ServiceAct (Statement), (1988) 195

traffic laws: Revisions in the Uniform Vehicle Code(Statement), (1981) 157-60; Standards forSpeed-Measuring Instruments, (1982) 150-51; Highway and Street Intersection SafetyAct, (1996) 100-02

see also: insurance - motor vehiclesUnemployment insurance, see laborUnfair trade practices, see business and com-

merceUnions, see laborUniversities, see educationUrban development, see growth managementVeterans, see health care - treatmentVictims� rights, see criminal justice and correc-

tionVital statistics, see records management and

data collectionVolunteer services: Act to Remove Barriers to

Coordinating Human Service Transporta-tion, (1981) 142-46; Community Resource,(1982) 166-68; Volunteer Service Credit Act,(1989) 129-34; Home Care Volunteer Pro-gram for Maternal and Child Health, (1992)28-29; State Volunteer Service Act (State-ment), (1992) 106-07; Adopt-A-Park ProgramAct, (1993) 74-75; Government Mutual AidAgreements, (1994) 65-67; Disaster ServicesVolunteer Leave Act, (1994) 68-69; Food Do-nation Liability Legislation (Note), (1994) 70-74; Adopt-A-River Program Act, (1995) 61-62

Voting, see electionsWaste disposal, see conservation and the envi-

ronmentWater pollution, see conservation and the envi-

ronmentWater treatment, see public utilities and public

worksWeapons, see guns, firearms and other weaponsWelfare, see public assistanceWetlands, see conservation and the environmentWills, see domestic relations - marital propertyWork release, see criminal justice and correc-

tionWorkers� compensation, see laborZoning, see growth management

Suggested State Legislation - i

ii - The Council of State Governments

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Suggested State Legislation - iii

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iv - The Council of State Governments

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