Issue 21 REGISTE NEW YORK STATE R - dos.ny.gov

May 23, 2018 DEPARTMENT OF STATEVol. XL Division of Administrative RulesIssue 21

NEW YORK STATE

REGISTER

INSIDE THIS ISSUE:

D Sanitary Condition of Shellfish LandsD Excelsior ScholarshipD Enhanced Tuition Awards Program

Court Notices

State agencies must specify in each notice which proposes a rule the last date on which they will accept public

comment. Agencies must always accept public comment: for a minimum of 60 days following publication in the

Register of a Notice of Proposed Rule Making, or a Notice of Emergency Adoption and Proposed Rule Making; and

for 30 days after publication of a Notice of Revised Rule Making, or a Notice of Emergency Adoption and Revised

Rule Making in the Register. When a public hearing is required by statute, the hearing cannot be held until 60 days

after publication of the notice, and comments must be accepted for at least 5 days after the last required hearing.

When the public comment period ends on a Saturday, Sunday or legal holiday, agencies must accept comment through

the close of business on the next succeeding workday.

For notices published in this issue:

– the 60-day period expires on July 22, 2018– the 30-day period expires on June 22, 2018

ANDREW M. CUOMOGOVERNOR

ROSSANA ROSADOSECRETARY OF STATE

NEW YORK STATE DEPARTMENT OF STATE

For press and media inquiries call:(518) 474-0050

For State Register production, scheduling and subscription informationcall: (518) 474-6957

E-mail: [email protected]

For legal assistance with State Register filing requirementscall: (518) 474-6740

E-mail: [email protected]

The New York State Register is now available on-line at:www.dos.ny.gov/info/register.htm

The New York State Register (ISSN 0197 2472) is published weekly. Subscriptions are $80 per

year for first class mailing and $40 per year for periodical mailing. The New York State Register

is published by the New York State Department of State, One Commerce Plaza, 99 Washington

Avenue, Albany, NY 12231-0001. Periodical postage is paid at Albany, New York and at additional

mailing offices.

POSTMASTER: Send address changes to NY STATE REGISTER, the Department of State, Division of

Administrative Rules, One Commerce Plaza, 99 Washington Avenue, Albany, NY 12231-0001

printed on recycled paper

Be a part of the rule making process!

The public is encouraged to comment on any of the proposed rules appearing in this issue. Comments

must be made in writing and must be submitted to the agency that is proposing the rule. Address your com-

ments to the agency representative whose name and address are printed in the notice of rule making. No

special form is required; a handwritten letter will do. Individuals who access the online Register

(www.dos.ny.gov) may send public comment via electronic mail to those recipients who provide an e-mail ad-

dress in Notices of Proposed Rule Making. This includes Proposed, Emergency Proposed, Revised Proposed

and Emergency Revised Proposed rule makings.

To be considered, comments should reach the agency before expiration of the public comment period.

The law provides for a minimum 60-day public comment period after publication in the Register of every No-

tice of Proposed Rule Making, and a 30-day public comment period for every Notice of Revised Rule Making.

If a public hearing is required by statute, public comments are accepted for at least five days after the last such

hearing. Agencies are also required to specify in each notice the last date on which they will accept public

comment.

When a time frame calculation ends on a Saturday or Sunday, the agency accepts public comment

through the following Monday; when calculation ends on a holiday, public comment will be accepted through

the following workday. Agencies cannot take action to adopt until the day after expiration of the public com-

ment period.

The Administrative Regulations Review Commission (ARRC) reviews newly proposed regulations to

examine issues of compliance with legislative intent, impact on the economy, and impact on affected parties.

In addition to sending comments or recommendations to the agency, please do not hesitate to transmit your

views to ARRC:

Administrative Regulations Review Commission

State Capitol

Albany, NY 12247

Telephone: (518) 455-5091 or 455-2731

---------------------------------------------------------------------------------------------------------

Each paid subscription to the New York State Register includes one weekly issue for a full year and four

“Quarterly Index” issues. The Quarterly is a cumulative list of actions that shows the status of every rule mak-

ing action in progress or initiated within a calendar year.

The Register costs $80 a year for a subscription mailed first class and $40 for periodical (second) class.

Prepayment is required. To order, send a check or money order payable to the NYS Department of State to the

following address:

NYS Department of StateOne Commerce Plaza99 Washington AvenueSuite 650Albany, NY 12231-0001Telephone: (518) 474-6957

NEW YORK STATE

REGISTER

KEY: (P) Proposal; (RP) Revised Proposal; (E) Emergency; (EP) Emergency and Proposal; (A) Adoption; (AA) Amended Adoption; (W)Withdrawal

Individuals may send public comment via electronic mail to those recipients who provided an e-mail address in Noticesof Proposed Rule Making. This includes Proposed, Emergency Proposed, Revised Proposed and Emergency RevisedProposed rule makings. Choose pertinent issue of the Register and follow the procedures on the website(www.dos.ny.gov)

Rule Making ActivitiesAgriculture and Markets, Department of

1 / Incorporate by Reference in 1 NYCRR the 2018 Edition of National Institute of Standards andTechnology (‘‘NIST’’) Handbook 133 (P)

Alcoholism and Substance Abuse Services, Office of

2 / Credentialing of Addictions Professionals (P)

3 / Appeals, Hearings and Rulings (P)

Audit and Control, Department of

5 / Adjustments to Merchandise/invoice Receipt Dates (P)

Civil Service, Department of6 / Notice of expiration6 / Jurisdictional Classification (P)

Education Department

14 / Reports of Incidents of Harassment, Bullying And/or Discrimination Pursuant to the Dignity for AllStudents Act (DASA) (EP)

18 / Continuous Accreditation Requirement for Educator Preparation Providers (A)

18 / Safety Nets for Teacher Certification Examinations (A)

19 / Mental Health Education (A)

19 / Graduate Admission Examination Requirements (A)

19 / Endorsement Requirements for Licensure as a Dentist (A)

20 / Allow Individuals Completing a Program Accredited by the American Speech, Language, and Hear-ing Association (ASHA) to Obtain an Initial Teaching Certificate (P)

21 / Voluntary Institutional Accreditation for Title IV Purposes (P)

Elections, State Board of

24 / Implementation of the Democracy Protection Act (P)

Environmental Conservation, Department of25 / Erratum28 / Sanitary Condition of Shellfish Lands (E)

32 / Sanitary Condition of Shellfish Lands (P)

35 / Northern Catskill Riparian Areas (P)

Higher Education Services Corporation

37 / Enhanced Tuition Awards Program (E)

39 / Excelsior Scholarship (E)

42 / New York State Science, Technology, Engineering and Mathematics Incentive Program (E)

Justice Center for the Protection of People with Special Needs

44 / Protocols for Interviewing Service Recipients (P)

People with Developmental Disabilities, Office for

45 / Certificate of Incorporation (P)

Public Service Commission

46 / Property Tax Expenses and Refunds of Over-Collections for Such Expenses (P)

46 / Con Edison’s Petition for the Smart Solutions for Natural Gas DR Pilot Implementation Plan and As-

New York State Register May 23, 2018/Volume XL, Issue 21

sociated Budget (P)

47 / Establish New SC No. 7—High Density Loads Individual Negotiated Contract (P)

47 / Intent to Submeter Electricity at 98 Front Street, Brooklyn, New York (P)

47 / Electric Ratemaking Policy for Direct Current Fast Charging (DCFC) Facilities Used to RechargeElectric Vehicles (P)

48 / Waiver of PSC Regulations, 16 NYCRR Sections 86.3(a)(1), (2), (b)(1), (2), 86.6, 86.10 and88.4(a)(4) (P)

Taxation and Finance, Department of

49 / Fuel Use Tax on Motor Fuel and Diesel Motor Fuel and the Art. 13-A Carrier Tax JointlyAdministered Therewith (A)

49 / Fuel Use Tax on Motor Fuel and Diesel Motor Fuel and the Art. 13-A Carrier Tax JointlyAdministered Therewith (P)

Workers’ Compensation Board

49 / Workers’ Compensation Board - Legal Internship Program (P)

Hearings Scheduled for Proposed Rule Makings / 52Action Pending Index / 55

Securities Offerings

101 / State Notices

Advertisements for Bidders/Contractors

103 / Sealed Bids

Miscellaneous Notices/Hearings

107 / Notice of Abandoned Property Received by the State Comptroller

107 / Public Notice

Court Notices

113 / Supreme Court, Appellate Division

RULE MAKINGACTIVITIES

Each rule making is identified by an I.D. No., which consistsof 13 characters. For example, the I.D. No. AAM-01-96-00001-E indicates the following:

AAM -the abbreviation to identify the adopting agency01 -the State Register issue number96 -the year00001 -the Department of State number, assigned upon

receipt of notice.E -Emergency Rule Making—permanent action

not intended (This character could also be: Afor Adoption; P for Proposed Rule Making; RPfor Revised Rule Making; EP for a combinedEmergency and Proposed Rule Making; EA foran Emergency Rule Making that is permanentand does not expire 90 days after filing.)

Italics contained in text denote new material. Bracketsindicate material to be deleted.

Department of Agriculture andMarkets

PROPOSED RULE MAKING

NO HEARING(S) SCHEDULED

Incorporate by Reference in 1 NYCRR the 2018 Edition ofNational Institute of Standards and Technology (‘‘NIST’’)Handbook 133

I.D. No. AAM-21-18-00032-P

PURSUANT TO THE PROVISIONS OF THE State Administrative Pro-cedure Act, NOTICE is hereby given of the following proposed rule:

Proposed Action: This is a consensus rule making to amend section 221.11of Title 1 NYCRR.

Statutory authority: Agriculture and Markets Law, sections 16, 18 and179

Subject: Incorporate by reference in 1 NYCRR the 2018 edition ofNational Institute of Standards and Technology (‘‘NIST’’) Handbook 133.

Purpose: To incorporate by reference in 1 NYCRR the 2018 edition ofNIST Handbook 133.

Text of proposed rule: Section 221.11 of 1 NYCRR is amended to read asfollows:

221.11 Test procedures, magnitude of permitted variations.(a) The test procedures for testing packaged commodities shall be those

contained in National Institute of Standards and Technology Handbook133, [2014] 2018 Edition, Checking the Net Contents of Packaged Goods,as adopted by the 102nd National Conference on Weights and Measures.The document is available from the National Conference on Weights andMeasures, 1135 M Street, Suite 110, Lincoln, NE 68508, or the Superin-tendent of Documents, U.S. Government Printing Office, Washington, DC

20402. It is available for public inspection and copying in the office of theDirector of Weights and Measures, 10B Airline Drive, Albany, NY 12235or in the office of the Department of State, One Commerce Plaza, 99Washington Avenue, Suite 650, Albany, NY 12231.

(b) The magnitude of variations permitted under section 221.10 of thisPart shall be those contained in the procedures and tables of NationalInstitute of Standards and Technology Handbook 133, [2014] 2018 Edi-tion, Checking the Net Contents of Packaged Goods, as adopted by the[95th] 102nd National Conference on Weights and Measures.

Text of proposed rule and any required statements and analyses may beobtained from: Mike Sikula, Director, Bureau of Weights & Measures,NYS Dept. of Agriculture and Markets, 10B Airline Drive, Albany, NY12235, (518) 457-3146, email: [email protected]

Data, views or arguments may be submitted to: Same as above.

Public comment will be received until: 60 days after publication of thisnotice.

Consensus Rule Making Determination

The proposed rule will amend 1 NYCRR section 221.11 to incorporateby reference the 2018 edition of National Institute of Standards andTechnology Handbook 133 in place of the 2014 edition which is presentlyincorporated by reference. Handbook 133 contains test procedures that areused by state regulatory officials to determine whether the actual contentsof a packaged commodity is sufficiently consistent with the declaration ofnet contents set forth on its label.

The proposed rule is non-controversial. The 2018 edition of Handbook133 has been adopted or is in use in the great majority of states; manufac-turers of packaged commodities located in New York already, therefore,conform their operations to the provisions of this document in order to sellsuch commodities in interstate commerce. The proposed rule will not,therefore, have any adverse impact upon regulated businesses and is,therefore, non-controversial.

Job Impact Statement

The proposed rule will not have an adverse impact on jobs or onemployment opportunities.

The proposed rule will incorporate by reference in 1 NYCRR section221.11 the 2018 edition of National Institute of Standards and TechnologyHandbook 133 (henceforth, “Handbook 133 (2018 edition)”) whichcontains test procedures for weights and measures officials to determinewhether the net weight declarations on labels of packaged commoditiesare accurate. The 2014 edition of Handbook 133 is presently incorporatedby reference and Handbook 133 (2018 edition) differs substantively fromthe 2014 edition only to the extent that the 2018 edition provides new orrevised procedures for determining the accuracy, quality, or weight ofBorax audit tests, fresh and frozen chitterlings, peat moss, mulch and soils,fresh oysters, firewood, and polyethylene sheeting.

Handbook 133 (2018) edition has been adopted by or is in use in thegreat majority of states; manufacturers of packaged commodities locatedin New York already, therefore, conform their operations to the provisionsof this document in order to sell their products in interstate commerce.

The proposed rule will not, therefore, have any adverse impact uponjobs or employment opportunities.

1

mailto: [email protected]

Office of Alcoholism andSubstance Abuse Services



Credentialing of Addictions Professionals

I.D. No. ASA-21-18-00025-P


Proposed Action: Repeal of Part 853; and addition of new Part 853 toTitle 14 NYCRR.

Statutory authority: Mental Hygiene Law, sections 19.07, 19.09, 19.40,32.01 and 32.07

Subject: Credentialing of Addictions Professionals.

Purpose: Repeal obsolete rules; update process of credentialing addic-tions professionals.

Substance of proposed rule (Full text is posted at the following Statewebsite: https://www.oasas.ny.gov/): The Proposed Rule repeals Part 853and replaces with a new Part 853 relating to credentialing of addictionprofessionals. The proposed rule streamlines credentialing regulations to amore accessible page length by posting lists of required coursework on theagency website and consolidating repetitive provisions; clarifies the roleof the Credentials Board; adds an option to hold a credential in inactivestatus for a period of years; clarifies the process of reviewing complaintsand subsequent investigations; addresses issues regarding status ofcredentials during investigation, hearing and penalty processes; updatesdescriptions of misconduct and ethical violations; and discontinues thegambling counselor credential in the context of staffing changes due to theincrease in State Education Department licensed professionals completingthe gambling treatment training approved by the Office and the NYSCouncil on Problem Gambling.

§ 853.1 Legal base. Sets forth the legal basis for the provisions of thisPart.

§ 853.2 Applicability. Any person who initiates an application for a newcredential or designation, or to renew or re-activate an existing or inactivecredential or designation.

§ 853.3 Definitions. Definitions significant to this Part include “activeapplication period,” “approved work setting,” “credentialed professional,”“dual relationship,” “addiction services,” “qualified prevention supervi-sor,” “renewal period,” “scope of practice” and “staff exclusion list.”

§ 853.4 Credentials Board. Scope and functions of the credentials boardconsistent with statutory role of advising commissioner on the process ofcredentialing.

§ 853.5 Minimum qualifications for all credentials. Includes age (18),NY state residency, minimum educational requirements, and criminal his-tory review.

§ 853.6 Credentialing applications. Minimum application criteria for alltypes or stages (initial, renewal, extension, inactive) of credential applica-tions regarding character evaluations, education and work experience,contact information, fees, and circumstances under which an applicationmay be denied.

§ 853.7 Additional qualifications to become a Credentialed Alcoholismand Substance Abuse Counselor (CASAC) or CASAC-Trainee. Corecompetencies, education, training and work experience, and examination.

§ 853.8 Additional qualifications to become a Credentialed PreventionProfessional (CPP) or Credentialed Prevention Specialist (CPS). Perfor-mance domains, education, training and work experience, andexamination.

§ 853.9 Additional qualifications to receive a Gambling designation.Requirements for a CASAC, CPP or CPS to acquire an additional“designation”; defines “qualified problem gambling professional”; statusof previously credentialed problem gambling counselors (CPGC).

§ 853.10 Issuance and registration of credentials. Date of issue, expira-tion dates, registry maintained by the Office, and required criminal historyinformation review.

§ 853.11 Credential renewal; inactive status. Requirements and processfor renewal; status of expired credentials or inactive status; conditionalrenewals for active military service.

§ 853.12 Reciprocity. Applicable only to CASAC and CPS credentials;issuance and renewal of credential based on reciprocity.

§ 853.13 Misconduct. All credentialed professionals must abide by the

Canon of Ethical Principles or Professional Code and Ethical Standardsapplicable to their professions as well as the Justice Center’s Code ofConduct for Custodians (when employed). Defines what constitutesmisconduct subject to penalties or other remedial actions consistent withstatute, scope of practice, and codes of conduct.

§ 853.14 Complaints and investigations. Process for Office receipt andreview of complaints; subsequent investigations; relationship to JusticeCenter investigations; notice provisions.

§ 853.15 Penalties. Options available to the commissioner includeadministrative reprimand, suspension or revocation, and fines; criteria forconsideration of penalty.

§ 853.16 Summary action and other remedial actions. Consistent withstatutory authority the commissioner may take summary action to suspendany credential in the interest of public safety and may revoke credentialsissued to persons who have been placed on the staff exclusion list. Otherremedial actions include dismissal with guidance or annulment of errone-ously issued credentials.

§ 853.17 Notifications; right to a hearing. Due process provisions.§ 853.18 Application following revocation. Criteria to request permis-

sion to apply for a new credential after a credential has been revoked;request may not be submitted until five (5) years or more after the effec-tive date of the revocation.

§ 853.19 Canons of Ethical Principles, Ethical Standards, and Code ofConduct. Canons of Ethical Principles applies to CASACS and preventionprofessionals; Ethical standards applies to Gambling credentials anddesignations; Code of Conduct is a Justice Center requirement forcustodians in OASAS programs.

§ 853.20 Severability. Declares provisions of this Part to be severable.

Text of proposed rule and any required statements and analyses may beobtained from: Sara Osborne, Associate Attorney, NYS Office of Alcohol-ism and Substance Abuse Services, 1450 Western Ave., Albany, NY 12203,(518) 485-2317, email: [email protected]



Regulatory Impact Statement1. Statutory Authority:(a) Section 19.07(a) of the Mental Hygiene Law charges the Office of

Alcoholism and Substance Abuse Services (OASAS or “Office”) with as-suring the development of comprehensive plans, programs and servicesfor research, prevention, care, treatment, rehabilitation, education andtraining related to substance use disorder and compulsive gambling.

(b) Section 19.07(d) of the Mental Hygiene Law directs the Office tofoster programs for the training and development of persons capable ofproviding substance use disorder and gambling addiction services; to es-tablish minimum qualifications for credentialed professionals; to issuecredentials to persons who meet such qualifications; and to suspend orrevoke such credentials for good cause.

(c) Section 19.20 of the Mental Hygiene Law authorizes the Office toreceive and review criminal history information from the Justice Centerrelated to employees or volunteers of treatment facilities certified, licensedor operated by the Office.

(d) Section 19.20-a of the Mental Hygiene Law authorizes the Office toreceive and review criminal history information from the Justice Centerrelated to persons seeking to be credentialed by the Office or applicantsfor an operating certificate issued by the Office.

(e) Section 32.01 of the Mental Hygiene Law authorizes the Commis-sioner of the Office to adopt any regulation reasonably necessary to imple-ment and effectively exercise the powers and perform the duties conferredby Article 32 of the Mental Hygiene Law.

(f) Section 32.02 of the Mental Hygiene Law authorizes the Commis-sioner of the Office to adopt regulations necessary to ensure quality ser-vices to those suffering from problem gambling disorder.

(g) Section 554 of the Executive Law (Chapter 501 of the Laws of2012), requires custodians, as defined in Part 836 of this Title, in programslicensed, certified or operated by the Office, to adhere to the code ofconduct for custodians developed by the Justice Center.

(h) The Protection of People with Special Needs Act (Chapter 501 ofthe Laws of 2012) establishes the Justice Center and requires criminal his-tory information reviews be conducted for applicants for any credential is-sued by the Office pursuant to this Part.

(i) Section 495 of the Executive Law (Chapter 501 of the Laws of 2012)establishes the “Register of Substantiated Category One Cases of Abuseand Neglect” maintained by the Justice Center.

(j) Article 23-A of the Corrections Law is applicable to any applicationfor a credential by a person who has previously been convicted of one ormore criminal offenses in New York or in any other jurisdiction.

2. Legislative Objectives: Articles 19 and 32 of the Mental HygieneLaw authorize the promulgation of rules and regulations to regulate and

NYS Register/May 23, 2018Rule Making Activities

2


assure the consistent quality of services provided within the state topersons suffering from chemical abuse or dependence, their families andsignificant others, as well as those who are at risk of becoming chemicallydependent. The Office is also directed to foster programs for the trainingand development of persons capable of providing substance use disorderand gambling addiction services; to establish minimum qualifications forcredentialed professionals; to issue credentials to persons who meet suchqualifications; and to suspend or revoke such credentials for good cause.14 NYCRR Part 853 establishes the process for credentialing treatmentprofessionals and criteria for maintaining professional standards includingcompliance with codes of conduct.

3. Needs and Benefits: The proposed rule is intended to enable the Of-fice to more thoroughly and efficiently monitor the quality and competencyof its credentialed professionals and enable providers of services topersons seeking treatment for addiction disorders to secure appropriateand properly trained individuals to staff their facilities and programs. Theregulation is consolidated to a more accessible page length by posting listsof required coursework on the agency website and consolidating repetitiveprovisions; updated to clarify the role of the Credentials Board; adds anoption to hold a credential in inactive status for a period of years; clarifiesthe process of reviewing complaints and subsequent investigations; ad-dresses issues regarding status of credentials during investigation, hearingand penalty processes; updates descriptions of misconduct and ethicalviolations; and discontinues the gambling counselor credential in thecontext of staffing changes due to the increase in State Education Depart-ment licensed professionals completing the gambling treatment trainingapproved by the Office and the NYS Council on Problem Gambling. TheBehavioral Health Services Advisory Council recommended advancementof this rule on April 26, 2018.

The proposal accomplishes updates due to implementation obstaclesthat have come to light regarding consistently tracking status of credentialsissued, complaint review, investigation and penalties. The proposal alsomakes the regulation more “user friendly” by consolidating repetitive pro-visions, making it easier to update coursework requirements by postingthem on the agency website, and incorporating the option of a gamblingdesignation for the more numerous credentials and consistent with theincrease in State Education licensed professionals who have completedthe gambling treatment training recognized by the Office and the Councilfor Problem Gambling.

4. Costs: No additional administrative costs to the agency are anticipatedsince review of applications for credentials is an existing function. No ad-ditional costs to programs/providers are anticipated since their obligationsfor supervision are not changed.

5. Paperwork: The proposed regulation will not require any additionalpaperwork and may reduce paperwork due to documentation accessible onthe agency website.

6. Local Government Mandates: This regulation imposes no newmandates on local governments operating certified OASAS programs evenif they employ OASAS credentialed professionals.

7. Duplication: This proposed rule does not duplicate any State orfederal statute or rule.

8. Alternatives: Continue with outdated regulations that are not consis-tent with current standards. The new rule does not reduce standards butconsolidates language into a more concise regulation and adds options tocredentialed professionals to expand their expertise and/or stay involvedin the profession.

9. Federal Standards: This regulation does not conflict with federalstandards.

10. Compliance Schedule: This rulemaking will be effective upon pub-lication of a Notice of Adoption in the State Register.

Regulatory Flexibility AnalysisOASAS has determined that the rule will not impose any adverse impact

on small businesses or local governments. This proposed rulemaking doesnot affect businesses or local governments as it streamlines and clarifiesthe application and administrative review process of obtaining a credentialissued by the Office.

The proposed rule will be posted on the agency website. Agency reviewprocess involves input from trade organizations representing providers indiverse geographic locations, local governments, and other behavioralhealth providers.

Rural Area Flexibility AnalysisOASAS has determined that the rule will not impose any adverse impact

on rural areas or reporting, recordkeeping or other compliance require-ments on public or private entities in rural areas. This proposed rulemak-ing does not affect businesses or local governments in any geographicarea, including rural areas, since it streamlines and clarifies the applicationand administrative review process of obtaining a credential issued by theOffice.

The proposed rule will be posted on the agency website. Agency review

process involves input from trade organizations representing providers indiverse geographic locations, local governments, and other behavioralhealth providers.Job Impact StatementNo change in the number of jobs and employment opportunities isanticipated as a result of the proposed new regulation because the amend-ments either clarify or streamline existing applicant and Office administra-tive actions. The Office will not need to hire additional staff or reduce staffsize; the proposed changes will not adversely impact jobs outside of theagency; the proposed changes will not result in the loss of any jobs withinNew York State.



Appeals, Hearings and Rulings

I.D. No. ASA-21-18-00026-P


Proposed Action: Amendment of Part 831 of Title 14 NYCRR.Statutory authority: Mental Hygiene Law, sections 19.07, 19.09, 19.40,32.01 and 32.07

Subject: Appeals, Hearings and Rulings.

Purpose: Protect patient confidentiality, update due process provisions,technical amendments.

Text of proposed rule: 14 NYCRR Part 831 is amended to read as follows:§ 831.1 Applicability.If the Commissioner gives notice of any action pursuant to provisions

of this [Title] Chapter for which an opportunity to be heard is provided,the provisions of this Part shall apply. Notice shall include the time withinwhich a hearing must be requested.

§ 831.2 Request for hearing, scheduling and notice.(a) If the party provided notice as described in section 831.1 of this Part

desires a hearing, such party shall submit a written request for a hearing tothe Commissioner within [10 business days] thirty (30) days of the date ofmailing [receipt] of the notice.

(b) [Within 20 days of receipt of a request for hearing, the Commis-sioner shall provide notice to the requesting party of the date and locationof the hearing, to be held without undue delay.] The Commissioner shallacknowledge receipt of a request for a hearing, in writing to the request-ing party, within twenty (20) days of receipt of such request. Without unduedelay thereafter, the Commissioner shall provide notice to the requestingparty of the date and location of the hearing.

(c) Notice of the hearing shall be served on the party, either by handdelivery, certified mail or other verifiable written communication, at least10 days before the scheduled hearing date and shall specify the time andplace of the hearing, the names of the person who will conduct the hear-ing, and include a basis for action taken. If required by law or by consentor permission, a written answer shall be provided at least three days beforethe scheduled hearing date.

§ 831.3 Rights of parties.(a) Each party shall have the right to be represented by counsel.(b) Upon request of any party, the Hearing Officer may permit discovery

which shall be limited to the production of documents and other tangiblethings.

(c) Any party may request that the Hearing Officer recuse [him/herself]themself from the proceeding when the party believes that the Hearing Of-ficer has a conflict of interest which would render [him/her] them unableto provide a fair and impartial recommendation to the Commissioner. TheHearing Officer’s [refusal] recusal determination shall be final. If a Hear-ing Officer recuses [him/herself] themself, the Commissioner shall appointa new Hearing Officer and promptly reschedule the hearing.

(d) Each party shall have the right to present evidence and cross-examine witnesses.

§ 831.4 Conduct of hearing.(a) Presentation of case. (1) The Office shall have the right to present

its [prima facie] case first and shall also have the right to rebuttal, at theconclusion of the other party’s case, [at] in the course of which any and allwitnesses and/or other evidence pertinent to the case may be additionallypresented.

(2) The party requesting the hearing shall present its case at theconclusion of the [prima facie] case presented by the [office] Office.

(b) Burden of Proof. The burden of proof shall be on the party request-ing the hearing to show by a preponderance of the evidence that the Com-missioner’s decision is not in conformity with the standards and criteriaset forth in the applicable laws and provisions of this Title.

NYS Register/May 23, 2018 Rule Making Activities

3

(c) Hearings shall be [open] closed to the public due to the protection ofpatients’ rights unless otherwise ordered by the Commissioner or HearingOfficer [due to the protection of patient’s rights] or upon a showing ofother compelling reasons.

(d) The Hearing Officer shall not communicate ex parte, either directlyor indirectly, in connection with any issue [that relates] relating to themerits of a pending adjudicatory proceeding in which they are the HearingOfficer unless all parties have first been given notice of the intended com-munication and an opportunity to participate.

§ 831.5 Powers of hearing officers.(a) The Hearing Officer shall have the power to administer oaths and af-

firmations, issue subpoenas and otherwise control the conduct of thehearing.

(b) The Hearing Officer shall not be bound by the rules of evidenceobserved by courts, except that the rules of privilege recognized by lawshall be respected.

(c) The Hearing Officer, with the consent of all parties, may waive anytime requirement provided for in this Part.

(d) The Hearing Officer may consult on questions of law with the [of-fice’s] Office’s counsel or another designated Office attorney, providedthat said attorney has not been engaged in investigative or [prosecuting]prosecutorial functions in connection with the proceeding under consider-ation or a factually related adjudicatory proceeding.

§ 831.6 Post-hearing Procedure.(a) The Hearing Officer shall fix the time [, not to exceed 15 days] from

the date [of] the hearing transcript becomes available, within which theparties may provide the Hearing Officer with written memoranda in sup-port of their positions.

(b) Within 20 days of the date fixed for submission of written memo-randa, the Hearing Officer shall submit a final report of findings andrecommendations to the Commissioner with the entire record of thehearing.

(c) The Commissioner shall render a final decision in writing within 10days of receipt of the Hearing Officer’s report. In the event that the Com-missioner renders a final decision that conflicts with the Hearing Officer’srecommendations, the Commissioner shall set forth the reasons for thedecision.

§ 831.7 Verbatim record.(a) A verbatim [recording] record of the [proceedings] hearing shall be

made by whatever means the Office deems appropriate.(b) A transcription of the [recording] hearing shall be made available to

any party requesting it upon payment [of the party] of the cost of transcrip-tion by the requesting party. If more than one party requests the transcript,the cost will be allocated among the parties.

(c) The [office] Office may waive the transcript cost [on] upon a show-ing of hardship by the requesting party. Requests for transcripts and forwaiver of transcript costs must be made in writing to the Commissionerand must be submitted no later than the first day of the hearing.

§ 831.8 Hearing record.The hearing record shall [include:] consist of the notice of proposed ac-

tion, the request for the hearing, the notice of hearing [ including the reportof finds], motions submitted and rulings thereon, the [recording oftranscript] transcription of the testimony taken at the hearing, exhibits,stipulations and memoranda of law filed in connection with the hearing,the Hearing Officer’s report of findings and recommendations to the Com-missioner, and the Commissioner’s final ruling.

§ 831.9 Administrative appeals.(a) Where an opportunity for an administrative appeal is afforded pur-

suant to the provisions of this [Title] Chapter, the provisions of this [Sec-tion] section shall apply.

(b) All requests for administrative appeals shall be in writing anddelivered by [registered] certified mail, return receipt requested, to theCommissioner within thirty (30) [business] days of receipt of the ap-plicable agency decision.

(c) A request for an administrative appeal shall include a written detailedstatement of the factual issues in dispute.

(d) Administrative appeals shall be based upon the written submissionsof the party requesting the appeal and any relevant agency documentation.The burden of proof on appeal shall be on the party requesting the appealto demonstrate that the agency’s action is not in conformance with the ap-plicable [regulatory standards] statutes or regulations.

(e) [The Commissioner may, in his or her sole discretion, hold a confer-ence including all relevant parties.] A conference including all relevantparties may be held at the sole discretion of the Commissioner.

(f) Within thirty (30) business days of receipt of the request foradministrative appeal, or within fifteen (15) days after the conference asset forth in subdivision (e) of this [Section] section, the Commissionerwill issue a final determination in writing. Formal notification of the deter-mination shall be sent to the party requesting the appeal by certified mail,return receipt requested.

(g) The determination after administrative review of the appeal shall befinal and is not subject to further administrative review.

§ 831.10 Declaratory Rulings.(a) Pursuant to section 204 of the administrative procedure law, persons

may petition the Office for a declaratory ruling on the applicability of anyregulation or statute enforceable by the Office.

(b) Procedure. Petitions must be in writing and addressed to Counsel,New York State Office of Alcoholism and Substance Abuse, 1450 WesternAve., Albany, NY 12203, by certified mail, return receipt requested. Peti-tions must contain the following:

(1) name and address of petitioner;(2) a statement requesting a declaratory ruling, specifying the rule or

statutory provision for which the declaratory ruling is requested;(3) a statement of relevant facts and circumstances, and full disclosure

of petitioner’s interest; and(4) verification under oath by petitioner of all facts and assertions

therein.(c) Ruling. Counsel shall issue and mail to petitioner, certified mail,

return receipt requested, a declaratory ruling within 60 days of the receiptof a completed petition, or a statement declining to issue a declaratoryruling. Rulings shall be available for public inspection at the Office.

(d) Conditions. No correspondence or opinion issued by the Office shallbe construed as a declaratory ruling unless it is identified as a declaratoryruling and is issued in response to a petition pursuant to [with] this section.

(e) Nothing in this section shall be construed to prohibit the determina-tion of the validity or applicability of the regulation in any other action orproceeding in which its invalidity or inapplicability is asserted, and noth-ing in this section shall be construed to limit any rights which may existunder article seventy-eight of the civil practice law and rules.

Text of proposed rule and any required statements and analyses may beobtained from: Sara Osborne, Associate Attorney, NYS Office of Alcohol-ism and Substance Abuse Services, 1450 Western Ave., Albany, NY 12203,(518) 485-2317, email: [email protected]



Regulatory Impact Statement1. Statutory Authority:(a) Section 19.07(a) of the Mental Hygiene Law provides that the Of-

fice of Alcoholism and Substance Abuse Services (OASAS or “Office”) ischarged with the responsibility for assuring the development of compre-hensive plans, programs and services in the areas of research, prevention,care, treatment, rehabilitation, education and training of persons whoabuse or are dependent on alcohol and/or substances and their families.

(b) Section 19.07(d) of the Mental Hygiene Law directs the Office tofoster programs for the training and development of persons capable ofproviding alcoholism and/or substance abuse services, including the issu-ance of credentials to persons who meet minimum qualifications set by theOffice; and to suspend or revoke such credentials for good cause.

(c) Section 19.09 of the Mental Hygiene law authorizes the Commis-sioner to adopt regulations necessary and proper to implement any matterunder his or her jurisdiction.

(d) Section 31.04(c)(7) of the Mental Hygiene law provides fordetermining the validity or applicability of any regulation pursuant to apetition for declaratory judgment.

(e) Section 32.01 of the Mental Hygiene Law authorizes the Commis-sioner of the Office to adopt any regulation reasonably necessary to imple-ment and effectively exercise the powers and perform the duties conferredby Article 32 of the Mental Hygiene Law.

(f) Section 32.05 of the Mental Hygiene Law provides that no substanceuse disorder services may be established without the approval of theCommissioner.

(g) Section 32.07(a) of the MHL authorizes the Commissioner to adoptregulations to effectuate the provisions and purposes of Article 32 of theMHL.

(h) Section 32.21 of the MHL provides the Commissioner with theauthority to suspend, revoke or limit operating certificates and impositionof fines.

(i) Article 3 of the State Administrative Procedure Act (SAPA) autho-rizes agencies that conduct adjudicatory proceedings to adopt rules provid-ing for procedures on adjudicatory proceedings and appeals.

(j) Section 305 of SAPA authorizes each agency conducting adjudica-tory proceedings to adopt rules providing for discovery and depositions tothe extent and manner appropriate to its proceedings.

(k) Section 204 of SAPA authorizes agencies to prescribe by rule theprocedure for submission, consideration and disposition of petitions fordeclaratory rulings.

2. Legislative Objectives: Articles 19 and 32 of the Mental HygieneLaw authorize the promulgation of rules and regulations to regulate and


4


assure the consistent quality of services provided within the state topersons suffering from chemical abuse or dependence, their families andsignificant others, as well as those who are at risk of becoming chemicallydependent.

14 NYCRR Part 831 establishes the requirements for hearings, schedul-ing and notices. These revisions ensure that patients records are protected,clarify scheduling and due process provisions.

3. Needs and Benefits: This is a discretionary rule revision to bring cur-rent practice into regulation. The proposed rule amends Part 831 toproperly protect confidentiality of patient records from inadvertent publicdisclosure in the context of administrative hearings, conforms schedulingand due process provisions. It makes other technical amendments includ-ing use of gender pronouns, capitalizations and internal citations. TheBehavioral Health Services Advisory Council recommended advancementof this proposal on April 26, 2018.

4. Costs: No additional administrative costs to the agency are anticipatedsince the rulemaking does not change existing processes to require ad-ditional staff or paperwork.

5. Paperwork: The proposed regulation will not require any additionalpaperwork.

6. Local Government Mandates: This regulation imposes no newmandates on local governments since the rulemaking applies only to ac-tions of the Office.

7. Duplication: This proposed rule does not duplicate any State orfederal statute or rule.

8. Alternatives: Continue with outdated regulations that are not consis-tent with current standards. The new rule does not reduce standards butclarifies existing standards and processes.

9. Federal Standards: This regulation does not conflict with federalstandards.

10. Compliance Schedule: This rulemaking will be effective upon pub-lication of a Notice of Adoption in the State Register.

Regulatory Flexibility AnalysisOASAS has determined that the rule will not impose any adverse impacton small businesses or local governments. This proposed rulemaking doesnot affect businesses or local governments as it addresses internalprocesses of the Office related to administrative hearings. The proposedrule will be posted on the agency website. Agency review process involvesinput from trade organizations representing providers in diverse geo-graphic locations, local governments, and other behavioral healthproviders.

Rural Area Flexibility AnalysisOASAS has determined that the rule will not impose any adverse impact

on rural areas or reporting, recordkeeping or other compliance require-ments on public or private entities in rural areas. This proposed rulemak-ing does not affect businesses or local governments in any geographicarea, including rural areas, since it applies only to administrative practiceof the Office related to administrative hearings.

The proposed rule will be posted on the agency website. Agency reviewprocess involves input from trade organizations representing providers indiverse geographic locations, local governments, and other behavioralhealth providers.

Job Impact StatementNo change in the number of jobs and employment opportunities isanticipated as a result of the proposed rulemaking because the amend-ments apply only to internal processes of the Office related to administra-tive hearings. The Office will not need to hire additional staff or reducestaff size; the proposed changes will not adversely impact jobs outside ofthe agency; the proposed changes will not result in the loss of any jobswithin New York State.

Department of Audit andControl



Adjustments to Merchandise/invoice Receipt Dates

I.D. No. AAC-21-18-00037-P


Proposed Action: This is a consensus rule making to repeal section 18.10;amend sections 18.7, 18.14, 18.16 and 18.17 of Title 2 NYCRR.Statutory authority: State Finance Law, section 179-mSubject: Adjustments to merchandise/invoice receipt dates.Purpose: To correct internal regulatory inconsistencies relating to adjust-ments to merchandise/invoice receipt dates.Text of proposed rule: 18.7 Comptroller audit.

(a) The MIR date shall be determined in accordance with subdivision(c) of this section whenever the Comptroller in the course of [his] an auditdetermines that there is reasonable cause to believe that, as a substantivematter, payment may not properly be due to the contractor, in whole or inpart.

(b) Whenever the Comptroller makes the determination set forth insubdivision (a) of this section, [he] the Comptroller shall send the [contrac-tor written] agency notice of such determination, unless [he] the Comptrol-ler suspects illegal or similar activity on the part of the contractor whichwould make such notice inappropriate, in which event [he] the Comptrol-ler shall make a dated written record of such determination in [his ] theComptroller’s files. The [written] notice shall include a request for all in-formation and material which the Comptroller deems necessary todetermine whether or not payment is properly due [, and a copy of suchnotice shall be sent to the agency]. Promptly upon completion of [ his ] anaudit, the Comptroller shall notify the [contractor and ] agency of theresults of [his ]such audit unless [he ] the Comptroller suspects illegalactivity, in which event [he] the Comptroller shall make a dated writtenrecord of[ his ]such audit conclusions for [his] the Comptroller’s file.

(c) Period of adjustment.Where, after an audit pursuant to subdivision (a) of this section, the

Comptroller determines that all or a portion of the amount claimed by thecontractor is, in fact, due, the MIR date of the invoice shall be the originalMIR date increased by a number of days equal to the number of days fromthe date that the Comptroller sends the [contractor] agency the [written]notice required by subdivision (b) of this section, or in the case ofsuspected fraud, from the date the Comptroller enters the written determi-nation required by subdivision (b) in[ his ] the Comptroller’s files, to thedate that the Comptroller sends [written ] notice to the [contractor ] agencyof the resolution of the matter.

Section 18.10 of Part 18 of Title 2 NYCRR is REPEALED.18.14 Notice of defects.(a) Each State agency shall have 15 calendar days after receipt of an

invoice by the State agency at its designated payment office, or in the caseof an invoice received from a small business, 7 calendar days, to notify thecontractor of (1) defects in the delivered goods, property or services, (2)defects in the invoice, or (3) suspected improprieties of any kind.

(b) Except as provided in subdivision (c) of this section, when a Stateagency notifies a contractor of such defects or suspected improprieties,and the contractor thereafter submits a corrected invoice or delivers cor-rected goods or services, the MIR date shall be the date upon which thecorrected invoice or corrected goods or services are received by theagency. If a corrected invoice or corrected goods or services are notrequired, the MIR date shall be the date upon which the agency determinesthat the suspected improprieties have been resolved.

(c) If a State agency fails to notify a contractor of such defects orsuspected improprieties within 15 calendar days, or 7 calendar days ifsuch contractor is a small business, of receipt of an invoice, the MIR date,as determined by subdivision (b) of this section, shall be adjusted to anearlier date, by a number of days equal to the number of days in excess of15, or 7 if payment is for a small business, that the State agency took afterreceipt of an invoice to notify the contractor of the defects or suspectedimproprieties.

18.16 Receipt of an approvable voucher.(a) [The date of receipt of an approvable voucher by the Comptroller

shall be the date on which an approvable voucher is received by the Officeof the State Comptroller at 110 State Street, Albany, NY or at a locationoffsite from such address where there is an audit unit designated by theComptroller to review such voucher. In any case where, after receipt of anapprovable voucher, an MIR date is adjusted pursuant to sections 18.7-18.14 of this Part, the date of receipt of an approvable voucher shall beincreased by a number of days equal to the adjustment provided by sec-tions 18.7-18.14 of this Part.

(b) All approvable vouchers which are sent to the State Comptrollermust be addressed to the Office of the State Comptroller, Receiving Unit,Document Control Section, Bureau of the Contract and State Expenditures,110 State Street, Albany, NY 12236-0001 ] Unless otherwise directed inthe Comptroller’s Guide to Financial Operations (GFO), vouchers requir-ing the Comptroller’s approval shall be transmitted electronically to theComptroller’s office through the Statewide Financial System (SFS) exceptwhere an offsite location has been authorized by the Comptroller to reviewsuch vouchers in which case the [approvable ]vouchers may be [addressed


5

or] delivered to such location. The date of OSC receipt of an approvablevoucher is the first business day after agency submission of an approvablevoucher in SFS.

(b) In any case where, after receipt of an approvable voucher, an MIRdate is adjusted pursuant to sections 18.7-18.14 of this Part, the date ofreceipt of an approvable voucher shall be increased by a number of daysequal to the adjustment provided by sections 18.7-18.14 of this Part.

18.17 Unapprovable vouchers.(a) In any case where the Comptroller determines that a voucher

delivered to [ his ] the Comptroller’s offices is not an approvable voucherbecause of a defect in the invoice or the voucher submitted by [the contrac-tor or ] the agency,[ he ] the Comptroller shall either:

(1) [make the appropriate adjustment to the invoice or voucher] rejectthe voucher and return it to the agency; or

(2)[ reject the voucher and return it to the agency] make the appropri-ate adjustment to the voucher.

(b) [ Where an unapprovable voucher is corrected, as described inparagraph (a)(1) of this section, the MIR date shall not be changed, but theComptroller may make an appropriate adjustment to the date of receipt ofan approvable voucher.

(c)] (1) Where the Comptroller rejects a voucher [ he ]the Comptrol-ler shall[, on the same day that he returns the voucher to the agency, ]sendnotification to the [contractor] agency that the voucher has been rejected[and returned to the agency ]for further information.

(2) Where a voucher is rejected pursuant to paragraph (a)([2] 1) ofthis section because of a defect in the invoice submitted by the contractor,upon correction of the invoice, the MIR date of the corrected invoice shallbe determined pursuant to section 18.14 of this Part.

(3) Where a voucher is rejected pursuant to paragraph (a)([2] 1) ofthis section because of an error in the voucher submitted by the agency,the MIR date shall not be changed, but the date of receipt of an approvablevoucher shall be the date that the voucher, properly adjusted, is receivedby the Comptroller.

(c) Where an unapprovable voucher is corrected, as described inparagraph (a)(2) of this section, the MIR date shall not be changed, butthe Comptroller may make an appropriate adjustment to the date of receiptof an approvable voucher.

Text of proposed rule and any required statements and analyses may beobtained from: Jamie Elacqua, Office of the State Comptroller, 110 StateStreet, Albany, NY 12236, (518) 473-4146, email: [email protected]



Consensus Rule Making Determination

This is a consensus rulemaking proposed for the purpose of addressinginconsistencies between certain Prompt Payment Processing Regulationsset forth in Chapter 1, Part 18 of Title 2 of the New York Codes, Rules andRegulations and the Payments of Vendor Claims And Statutory Expendi-tures set forth in Chapter 1, Part 6 of Title 2 of the New York Codes, Rulesand Regulations and certain provisions of Article 11-A of the State FinanceLaw. These technical amendments relate to the Comptroller’s audit ofpayments to contractors, the submission of vouchers electronically andapproval thereof, and statutory timeframes. The amendments furtherremove a regulation relating to provisions that are no longer set forth instatute. It has been determined that no person is likely to object to theadoption of the rule as written.

Department of Civil Service

NOTICE OF EXPIRATION

The following notice has expired and cannot be reconsidered un-less the Department of Civil Service publishes a new notice ofproposed rule making in the NYS Register.

Jurisdictional Classification

I.D. No. Proposed Expiration Date

CVS-18-17-00008-P May 3, 2017 May 3, 2018




I.D. No. CVS-21-18-00001-P


Proposed Action: Amendment of Appendix 1 of Title 4 NYCRR.Statutory authority: Civil Service Law, section 6(1)Subject: Jurisdictional Classification.Purpose: To classify positions in the exempt class.Text of proposed rule: Amend Appendix 1 of the Rules for the ClassifiedService, listing positions in the exempt class, in the Executive Departmentunder the subheading “Office of Information Technology Services,” byincreasing the number of positions of Assistant Public Information Officerfrom 1 to 3 and Secretary from 3 to 4.

Text of proposed rule and any required statements and analyses may beobtained from: Jennifer Paul, NYS Department of Civil Service, EmpireState Plaza, Agency Building 1, Albany, NY 12239, (518) 473-6598,email: [email protected]

Data, views or arguments may be submitted to: Marc Hannibal, Counsel,NYS Department of Civil Service, Empire State Plaza, Agency Building1, Albany, NY 12239, (518) 473-2624, email: [email protected]


Regulatory Impact StatementA regulatory impact statement is not submitted with this notice becausethis rule is subject to a consolidated regulatory impact statement that waspreviously printed under a notice of proposed rule making, I.D. No. CVS-12-18-00012-P, Issue of March 21, 2018.

Regulatory Flexibility AnalysisA regulatory flexibility analysis is not submitted with this notice becausethis rule is subject to a consolidated regulatory flexibility analysis that waspreviously printed under a notice of proposed rule making, I.D. No. CVS-12-18-00012-P, Issue of March 21, 2018.

Rural Area Flexibility AnalysisA rural area flexibility analysis is not submitted with this notice becausethis rule is subject to a consolidated rural area flexibility analysis that waspreviously printed under a notice of proposed rule making, I.D. No. CVS-12-18-00012-P, Issue of March 21, 2018.

Job Impact StatementA job impact statement is not submitted with this notice because this ruleis subject to a consolidated job impact statement that was previouslyprinted under a notice of proposed rule making, I.D. No. CVS-12-18-00012-P, Issue of March 21, 2018.




I.D. No. CVS-21-18-00002-P


Proposed Action: Amendment of Appendix 2 of Title 4 NYCRR.

Statutory authority: Civil Service Law, section 6(1)

Subject: Jurisdictional Classification.

Purpose: To delete a position from and classify positions in the non-competitive class.

Text of proposed rule: Amend Appendix 2 of the Rules for the ClassifiedService, listing positions in the non-competitive class, in the ExecutiveDepartment under the subheading “Division of Criminal Justices Ser-vices,” by deleting therefrom the position of Supervisor Forensic Labora-tory Accreditation Program (1) and by adding thereto the positions of Lab-oratory Accreditation Specialist 2 (1), øLatent Print Laboratory Director(1) and Supervisor Forensic Services (DNA) (1).



6



Data, views or arguments may be submitted to: Marc Hannibal, Counsel,NYS Department of Civil Service, Empire State Plaza, Agency Building1, Albany, NY 12239, (518) 473-2624, email: [email protected] comment will be received until: 60 days after publication of thisnotice.Regulatory Impact StatementA regulatory impact statement is not submitted with this notice becausethis rule is subject to a consolidated regulatory impact statement that waspreviously printed under a notice of proposed rule making, I.D. No. CVS-12-18-00012-P, Issue of March 21, 2018.







I.D. No. CVS-21-18-00003-P





Purpose: To classify a position in the non-competitive class.

Text of proposed rule: Amend Appendix 2 of the Rules for the ClassifiedService, listing positions in the non-competitive class, in the ExecutiveDepartment under the subheading “Office of Parks, Recreation andHistoric Preservation,” by adding thereto the position of InterpretiveProgram Assistant (1).











I.D. No. CVS-21-18-00004-P


Proposed Action: Amendment of Appendix 2 of Title 4 NYCRR.Statutory authority: Civil Service Law, section 6(1)Subject: Jurisdictional Classification.Purpose: To delete positions from and classify positions in the non-competitive class.Text of proposed rule: Amend Appendix 2 of the Rules for the ClassifiedService, listing positions in the non-competitive class, in the Departmentof Economic Development, by deleting therefrom the positions of øJobTraining Partnership Specialist 1 (2) and øJob Training PartnershipSpecialist 2 (2) and by increasing the number of positions of AssociateAgency Services Analyst from 5 to 7 and Senior Certification Analystfrom 10 to 16.











I.D. No. CVS-21-18-00005-P





Purpose: To classify positions in the non-competitive class.

Text of proposed rule: Amend Appendix 2 of the Rules for the ClassifiedService, listing positions in the non-competitive class, in the Departmentof Family Assistance under the subheading “Office of Temporary and Dis-ability Assistance,” by increasing the number of positions of MinorityBusiness Specialist 1 from 1 to 2 and øSecretary 2 from 5 to 7.



7













I.D. No. CVS-21-18-00006-P






Text of proposed rule: Amend Appendix 2 of the Rules for the ClassifiedService, listing positions in the non-competitive class, in the Departmentof State, by adding thereto the position of Minority Business Specialist 1(1).











I.D. No. CVS-21-18-00007-P





Purpose: To delete positions from the exempt class.

Text of proposed rule: Amend Appendix 1 of the Rules for the ClassifiedService, listing positions in the exempt class, in the Executive Departmentunder the subheading “Office of General Services,” by deleting therefromthe positions of Empire State Fellow (120).











I.D. No. CVS-21-18-00008-P






Text of proposed rule: Amend Appendix 2 of the Rules for the ClassifiedService, listing positions in the non-competitive class, in the ExecutiveDepartment under the subheading “Office of Information Technology Ser-vices,” by adding thereto the positions of Agency Emergency Manage-ment Coordinator (ITS) (1), Information Systems Auditor 1 (ITS) (10), In-formation Systems Auditor 2 (ITS) (5) and Information Systems Auditor 3(ITS) (2).


Data, views or arguments may be submitted to: Marc Hannibal, Counsel,


8




NYS Department of Civil Service, Empire State Plaza, Agency Building1, Albany, NY 12239, (518) 473-2624, email: [email protected]


Regulatory Impact Statement

A regulatory impact statement is not submitted with this notice becausethis rule is subject to a consolidated regulatory impact statement that waspreviously printed under a notice of proposed rule making, I.D. No. CVS-12-18-00012-P, Issue of March 21, 2018.

Regulatory Flexibility Analysis

A regulatory flexibility analysis is not submitted with this notice becausethis rule is subject to a consolidated regulatory flexibility analysis that waspreviously printed under a notice of proposed rule making, I.D. No. CVS-12-18-00012-P, Issue of March 21, 2018.

Rural Area Flexibility Analysis

A rural area flexibility analysis is not submitted with this notice becausethis rule is subject to a consolidated rural area flexibility analysis that waspreviously printed under a notice of proposed rule making, I.D. No. CVS-12-18-00012-P, Issue of March 21, 2018.


A job impact statement is not submitted with this notice because this ruleis subject to a consolidated job impact statement that was previouslyprinted under a notice of proposed rule making, I.D. No. CVS-12-18-00012-P, Issue of March 21, 2018.




I.D. No. CVS-21-18-00009-P






Text of proposed rule: Amend Appendix 2 of the Rules for the ClassifiedService, listing positions in the non-competitive class, in the Departmentof Health, by adding thereto the position of Assistant Counsel (1).











I.D. No. CVS-21-18-00010-P






Text of proposed rule: Amend Appendix 2 of the Rules for the ClassifiedService, listing positions in the non-competitive class, in the Departmentof Corrections and Community Supervision, by increasing the number ofpositions of øAssistant Counsel from 5 to 8, Assistant Parole ServicesProgram Specialist from 10 to 18 and øParole Services Program Specialistfrom 7 to 8.











I.D. No. CVS-21-18-00011-P






Text of proposed rule: Amend Appendix 2 of the Rules for the ClassifiedService, listing positions in the non-competitive class, in the ExecutiveDepartment under the subheading “Office of General Services,” by addingthereto the positions of Contract Management Specialist 1 (Market Analy-sis) (1) and Contract Management Specialist 2 (Market Analysis) (13).


Data, views or arguments may be submitted to: Marc Hannibal, Counsel,


9




NYS Department of Civil Service, Empire State Plaza, Agency Building1, Albany, NY 12239, (518) 473-2624, email: [email protected]









I.D. No. CVS-21-18-00012-P






Text of proposed rule: Amend Appendix 2 of the Rules for the ClassifiedService, listing positions in the non-competitive class, in the ExecutiveDepartment under the subheading “Gaming Commission,” by addingthereto the positions of Minority Business Specialist 1 (1) and MinorityBusiness Specialist 2 (1).











I.D. No. CVS-21-18-00013-P


Proposed Action: Amendment of Appendix 2 of Title 4 NYCRR.Statutory authority: Civil Service Law, section 6(1)Subject: Jurisdictional Classification.Purpose: To delete positions from and classify positions in the non-competitive class.Text of proposed rule: Amend Appendix 2 of the Rules for the ClassifiedService, listing positions in the non-competitive class, in the EducationDepartment under the subheading “New York State Higher Education Ser-vices Corporation,” by deleting therefrom the position of øAffirmativeAction Administrator 2 (1); in the Executive Department under thesubheading “Office of Information Technology Services,” by deletingtherefrom the positions of øDirector Information Technology Services 1(1) and by decreasing the number of positions of øManager InformationTechnology Services 2 from 2 to 1; in the Department of Family Assis-tance under the subheading “Office of Temporary and Disability Assis-tance,” by deleting therefrom the positions of Immigrant CommunitySpecialist 1 (1) and Immigrant Community Specialist 2 (5); in the Execu-tive Department under the subheading “Office of General Services,” byadding thereto the position of øAffirmative Action Administrator 2 (1); inthe Department of Financial Services, by adding thereto the positions oføDirector Information Technology Services 1 (1) and øManager Informa-tion Technology Services 2 (1); and, in the Department of State, by addingthereto the positions of Immigrant Community Specialist 1 (1) and Im-migrant Community Specialist 2 (5).











I.D. No. CVS-21-18-00014-P


Proposed Action: Amendment of Appendices 1 and 2 of Title 4 NYCRR.



10




Subject: Jurisdictional Classification.Purpose: To delete positions from and classify positions in the exemptand non-competitive classes.Text of proposed rule: Amend Appendix 1 of the Rules for the ClassifiedService, listing positions in the exempt class, in the Executive Departmentunder the subheading “Office of General Services,” by deleting therefromthe position of Regional Director Public Buildings Management and byincreasing the number of positions of Building Superintendent from 12 to13; and

Amend Appendix 2 of the Rules for the Classified Service, listing posi-tions in the non-competitive class, in the Department of Family Assistanceunder the subheading “Office of Children and Family Services,” by delet-ing therefrom the position of Agency Emergency Management Coordina-tor (OCFS) (1) and by adding thereto the position of Agency EmergencyManagement Coordinator (1); and, in the Department of Labor under thesubheading “State Insurance Fund,” by deleting therefrom the position oføDirector Training 2 (1) and by adding thereto the position of øAssociateDirector Training 2 (1).











I.D. No. CVS-21-18-00015-P



Statutory authority: Civil Service Law, sction 6(1)



Text of proposed rule: Amend Appendix 2 of the Rules for the ClassifiedService, listing positions in the non-competitive class, in the New YorkState Bridge Authority, by adding thereto the position of ComplianceSpecialist 1 (1).















I.D. No. CVS-21-18-00016-P






Text of proposed rule: Amend Appendix 2 of the Rules for the ClassifiedService, listing positions in the non-competitive class, in the ExecutiveDepartment under the subheading “Division of Homeland Security andEmergency Services,” by adding thereto the positions of DHSES LogisticsManager (1), DHSES Logistics Specialist (6) and DHSES LogisticsSupervisor (3).












11







I.D. No. CVS-21-18-00017-P


Proposed Action: Amendment of Appendix 1 of Title 4 NYCRR.Statutory authority: Civil Service Law, section 6(1)Subject: Jurisdictional Classification.Purpose: To classify positions in the exempt class.

Text of proposed rule: Amend Appendix 1 of the Rules for the ClassifiedService, listing positions in the exempt class, in the Department of Health,by increasing the number of positions of Assistant Public Information Of-ficer from 3 to 6.











I.D. No. CVS-21-18-00018-P





Purpose: To delete positions from the exempt class.

Text of proposed rule: Amend Appendix 1 of the Rules for the ClassifiedService, listing positions in the exempt class, in the Executive Departmentunder the subheading “Division of Alcoholic Beverage Control,” by delet-ing therefrom the position of Director, Alcoholic Beverage Control Licens-ing Operations; in the Executive Department under the subheading “Gam-ing Commission,” by deleting therefrom the positions of Deputy DirectorAudits Investigations and Licensing and Secretary NYS Racing and Wa-gering Board; in the Executive Department under the subheading “Officeof General Services,” by deleting therefrom the position of Empire StatePlaza Promotion Manager; in the Executive Department under thesubheading “Office of Information Technology Services,” by deletingtherefrom the position of Director Wagering Systems; in the ExecutiveDepartment under the subheading “Division of Veterans’ Affairs,” by

deleting therefrom the position of Assistant Deputy Director, Veterans’Af-fairs Field Operations; in the Executive Department under the subheading“Statewide Financial System,” by deleting therefrom the positions ofDirector Statewide Financial System and Manager Information Services;in the Department of Labor under the subheading “Workers’ Compensa-tion Board,” by deleting therefrom the positions of Assistant Director ofWorkers’ Compensation Inspectional Services, Director of Workers’Compensation Inspectional Services and Workers’ Compensation FraudInspector General; in the Department of Family Assistance under thesubheading “Office of Children and Family Services,” by deleting there-from the position of Planning Coordinator, Family and Children Services;and, in the Department of State under the subheading “Joint Commissionon Public Ethics,” by deleting therefrom the positions of InformationTechnology Specialist (JCOPE) and Training Assistant.Text of proposed rule and any required statements and analyses may beobtained from: Jennifer Paul, NYS Department of Civil Service, EmpireState Plaza, Agency Building 1, Albany, NY 12239, (518) 473-6598,email: [email protected], views or arguments may be submitted to: Marc Hannibal, Counsel,NYS Department of Civil Service, Empire State Plaza, Agency Building1, Albany, NY 12239, (518) 473-2624, email: [email protected]









I.D. No. CVS-21-18-00019-P


Proposed Action: Amendment of Appendices 1 and 2 of Title 4 NYCRR.



Purpose: To classify positions in the exempt class and to delete positionsfrom the non-competitive class.

Text of proposed rule: Amend Appendix 1 of the Rules for the ClassifiedService, listing positions in the exempt class, in the Department of Laborunder the subheading “Administration - General,” by increasing thenumber of positions of Special Assistant from 17 to 22; and

Amend Appendix 2 of the Rules for the Classified Service, listing posi-tions in the non-competitive class, in the Department of Labor, by deletingtherefrom the positions of øAssistant to Deputy Commissioner of Labor(4) and øAssistant to Executive Deputy Commissioner of Labor (1).





12















I.D. No. CVS-21-18-00020-P





Purpose: To delete a position from and classify positions in the non-competitive class.

Text of proposed rule: Amend Appendix 2 of the Rules for the ClassifiedService, listing positions in the non-competitive class, in the Departmentof Civil Service under the subheading “Public Employment RelationsBoard,” by deleting therefrom the position of øAssistant Trial Examiner(1) and by adding thereto the positions of øAssistant Trial Examiner.














I.D. No. CVS-21-18-00021-P


Proposed Action: Amendment of Appendix 2 of Title 4 NYCRR.Statutory authority: Civil Service Law, section 6(1)Subject: Jurisdictional Classification.Purpose: To classify positions in the non-competitive class.Text of proposed rule: Amend Appendix 2 of the Rules for the ClassifiedService, listing positions in the non-competitive class, in the Departmentof Corrections and Community Supervision, by increasing the number ofpositions of øAffirmative Action Administrator 2 from 5 to 7.Text of proposed rule and any required statements and analyses may beobtained from: Jennifer Paul, NYS Department of Civil Service, EmpireState Plaza, Agency Building 1, Albany, NY 12239, (518) 473-6598,email: [email protected], views or arguments may be submitted to: Marc Hannibal, Counsel,NYS Department of Civil Service, Empire State Plaza, Agency Building1, Albany, NY 12239, (518) 473-2624, email: [email protected] comment will be received until: 60 days after publication of thisnotice.Regulatory Impact StatementA regulatory impact statement is not submitted with this notice becausethis rule is subject to a consolidated regulatory impact statement that waspreviously printed under a notice of proposed rule making, I.D. No. CVS-12-18-00012-P, Issue of March 21, 2018.







I.D. No. CVS-21-18-00022-P


Proposed Action: Amendment of Appendices 1 and 2 of Title 4 NYCRR.Statutory authority: Civil Service Law, section 6(1)Subject: Jurisdictional Classification.Purpose: To delete positions from and classify positions in the exemptclass and to delete a position from the non-competitive class.Text of proposed rule: Amend Appendix 1 of the Rules for Classified Ser-vice, listing positions in the exempt class, in the Department of MentalHygiene under the subheading “Office for People with DevelopmentalDisabilities,” by deleting therefrom the positions of Assistant ChiefInvestigations (OPWDD) (5) and by adding thereto the positions of Assis-tant Chief Investigations (6); and

Amend Appendix 2 of the Rules for Classified Service, listing positionsin the non-competitive class, in the Department of Mental Hygiene underthe subheading “Office for People with Developmental Disabilities,” bydecreasing the number of positions of Internal Investigator 1 (OPWDD)from 65 to 64.



13



Data, views or arguments may be submitted to: Marc Hannibal, Counsel,NYS Department of Civil Service, Empire State Plaza, Agency Building1, Albany, NY 12239, (518) 473-2624, email: [email protected] comment will be received until: 60 days after publication of thisnotice.Regulatory Impact StatementA regulatory impact statement is not submitted with this notice becausethis rule is subject to a consolidated regulatory impact statement that waspreviously printed under a notice of proposed rule making, I.D. No. CVS-12-18-00012-P, Issue of March 21, 2018.







I.D. No. CVS-21-18-00023-P





Purpose: To classify a position in the exempt class.

Text of proposed rule: Amend Appendix 1 of the Rules for the ClassifiedService, listing positions in the exempt class, in the Department of MentalHygiene under the subheading “Office of Alcoholism and Substance AbuseServices,” by increasing the number of positions of Special Assistant from7 to 8.











I.D. No. CVS-21-18-00024-P






Text of proposed rule: Amend Appendix 2 of the Rules for the ClassifiedService, listing positions in the non-competitive class, in the Departmentof Environmental Conservation, by adding thereto the position of PublicInformation Specialist 1 (Digital Content) (1).








Education Department

EMERGENCY/PROPOSED

RULE MAKING


Reports of Incidents of Harassment, Bullying And/orDiscrimination Pursuant to the Dignity for All Students Act(DASA)

I.D. No. EDU-21-18-00039-EP

Filing No. 452

Filing Date: 2018-05-08

Effective Date: 2018-05-08

PURSUANT TO THE PROVISIONS OF THE State Administrative Pro-cedure Act, NOTICE is hereby given of the following action:

Proposed Action: Addition of section 100.2(kk)(1)(x) to Title 8 NYCRR.

Statutory authority: Education Law, sections 11(1-7), 13(1), 14(3), 15(notsubdivided), 16(not subdivided), 101(not subdivided), 207(not subdi-vided), 305(1), (2), 2854(1)(b); L. 2010, ch. 482


14




Finding of necessity for emergency rule: Preservation of general welfare.Specific reasons underlying the finding of necessity: The proposedamendment is necessary to implement Regents policy to add a newsubparagraph (x) to include illustrative examples of the types of incidentsof harassment, bullying and/or discrimination which shall be reported tothe principal, superintendent or designee and may constitute a violation ofthe Dignity for All Students Act (DASA).

Since the Board of Regents meets at fixed intervals, the earliest theproposed rule can be presented for regular (non-emergency) adoption, af-ter expiration of the required 60-day public comment period provided forin the State Administrative Procedure Act (SAPA) sections 201(1) and (5),would be the September 17-18, 2018 Regents meeting. Furthermore, pur-suant to SAPA section 203(1), the earliest effective date of the proposedrule, if adopted at the September meeting, would be October 3, 2018, thedate a Notice of Adoption would be published in the State Register.However, the proposed rule would further illustrate the types of incidentsof harassment, bullying and/or discrimination which shall be reported tothe principal, superintendent or designee when reported to or witnessed bya school employee. Therefore, emergency action is necessary at the May2018 Regents meeting for the preservation of the general welfare in orderto ensure that incidents of harassment, bullying and/or discriminationwhich may constitute a violation of the Dignity for All Students Act arepromptly reported to the principal, superintendent or designee.

It is anticipated that the proposed rule will be presented for adoption asa permanent rule at the September 17-18, 2018 Regents meeting, which isthe first scheduled meeting after expiration of the 60-day public commentperiod prescribed in SAPA for State agency rule makings.

Subject: Reports of Incidents of Harassment, Bullying and/or Discrimina-tion Pursuant to the Dignity for All Students Act (DASA).

Purpose: To provide illustrative examples to the field to aid in thecontinued implementation of DASA.

Text of emergency/proposed rule: Paragraph (1) of subdivision (kk) ofsection 100.2 of the Regulations of the Commissioner of Education isamended by adding a new subparagraph (x) as follows:

(x) For purposes of this section, a “report of harassment, bullying,and/or discrimination” means a written or oral report of harassment, bul-lying, and/or discrimination that could constitute a violation of the Dignityfor All Students Act (article 2 of the Education Law). Such a report mayinclude, but is not limited to, the following examples:

(a) a report regarding the denial of access to school facilities, func-tions, opportunities or programs including, but not limited to, restrooms,changing rooms, locker rooms, and/or field trips, based on a person’sactual or perceived race, color, weight, national origin, ethnic group,religion, religious practice, disability, sexual orientation, gender (whichincludes gender identity and/or expression), or sex; or

(b) a report regarding application of a dress code, specific groomingor appearance standards that is based on a person’s actual or perceivedrace, color, weight, national origin, ethnic group, religion, religiouspractice, disability, sexual orientation, gender (which includes genderidentity and/or expression), or sex; or

(c) a report regarding the use of name(s) and pronoun(s) or thepronunciation of name(s) that is based on a person’s actual or perceivedrace, color, weight, national origin, ethnic group, religion, religiouspractice, disability, sexual orientation, gender (which includes genderidentity and/or expression), or sex; or

(d) a report regarding any other form of harassment, bullying and/ordiscrimination, based on a person’s actual or perceived race, color,weight, national origin, ethnic group, religion, religious practice, disabil-ity, sexual orientation, gender (which includes gender identity and/orexpression), or sex.

This notice is intended: to serve as both a notice of emergency adoptionand a notice of proposed rule making. The emergency rule will expireAugust 5, 2018.

Text of rule and any required statements and analyses may be obtainedfrom: Kirti Goswami, New York State Education Department, Office ofCounsel, 89 Washington Avenue, Room 112, Albany, NY 12234, (518)474-6400, email: [email protected]

Data, views or arguments may be submitted to: Renee Rider, AssociateCommissioner, NYSED, Office of School Operations and ManagementServices, 89 Washington Avenue, 319M EB, Albany, NY 12234, (518)474-4817, email: [email protected]


This rule was not under consideration at the time this agency submittedits Regulatory Agenda for publication in the Register.

Regulatory Impact Statement1. STATUTORY AUTHORITY:Education Law section 11, as added by section 2 of Chapter 482 of the

Laws of 2010 (Dignity for All Students Act – DASA) establishes defini-tions for purposes of the new Article 2 of the Education Law added bysuch statute.

Education Law section 13, requires school districts to create policies,procedures and guidelines intended to create a school environment that isfree from harassment, bullying and discrimination, including provisionsrelated to making and receiving reports of harassment, bullying anddiscrimination and the investigation of such reports.

Education Law section 14, requires the Commissioner to promulgateregulations to assist school districts in implementing DASA.

Education Law section 15, requires the Commissioner to create a pro-cedure under which material incidents of harassment, bullying or discrimi-nation on school grounds or at a school function are reported to the StateEducation Department at least on an annual basis. The procedure shallprovide that such reports shall, wherever possible, also delineate thespecific nature of such incidents of harassment, bullying or discrimination.

Education Law section 16, under certain specified conditions, immunityfrom civil liability on persons reporting discrimination or harassment ofstudents by a school employee or student. The statute further provides thatno school district or employee shall take, request or cause a retaliatory ac-tion against a person, acting reasonably and in good faith, who makes suchreport or who initiates, testifies, participates or assists in any formal orinformal proceeding under Education Law Article 2.

Education Law section 101 continues the existence of the EducationDepartment, with the Board of Regents at its head and the Commissionerof Education as the chief administrative officer, and charges the Depart-ment with the general management and supervision of public schools andthe educational work of the State.

Education Law section 207 grants general rule-making authority to theBoard of Regents to carry into effect the laws and policies of the State re-lating to education.

Education Law section 305(1) empowers the Commissioner of Educa-tion to be the chief executive officer of the State system of education andthe Board of Regents and authorizes the Commissioner to enforce laws re-lating to the educational system and to execute educational policiesdetermined by the Board of Regents. Education Law section 305(2)authorizes the Commissioner to have general supervision over all schoolssubject to the Education Law.

Education Law section 2854(1)(b) provides that charter schools shallmeet the same health and safety, civil rights, and student assessmentrequirements applicable to other public schools, except as otherwisespecifically provided in Article 56 of the Education Law.

2. LEGISLATIVE OBJECTIVES:Consistent with the above statutory authority, the proposed rule is nec-

essary to implement Regents policy and the Dignity for All Students Actto further clarify reports of incidents of harassment, bullying and/ordiscrimination pursuant to DASA.

3. NEEDS AND BENEFITS:In 2010, DASA added a new Article 2 to the Education Law to require,

among other things, school districts to create policies and guidelines to beused in school training programs to discourage harassment, bullying,and/or discrimination and to enable school personnel to prevent and re-spond to discrimination or harassment. DASA became effective on July 1,2012, and was later amended to include cyberbullying, effective July 1,2013. Subsequently, the Department worked with key stakeholdersthrough the DASA Task Force to develop and implement guidance andregulations to assist schools in implementing the provisions of the law.Since the adoption of Commissioner’s Regulations to implement DASA,the Department has worked to provide training to the field, updates to theDASA website, and several guidance documents.

DASA continues to be a powerful tool used to address bullying,discrimination, and harassment in our schools and to ensure that allstudents are educated in a safe and supportive school environment.However, the issues faced by students and schools in this area continue toevolve. The Department is committed to working with stakeholders toensure that all students have the opportunity to learn and to attend schoolfree from bullying, harassment, and/or discrimination.

To that end, in July 2015, the Department issued guidance, entitled“Creating a Safe and Supportive School Environment for Transgender andGender Nonconforming Students”, to assist school districts in fostering aneducational environment for all students that is safe and free from harass-ment, bullying, and discrimination — regardless of sex, gender identity, orexpression — and to facilitate compliance with local, state, and federallaws concerning bullying, harassment, discrimination, and student privacy.At the time the guidance document was issued, the Department receivednational recognition for the proactive nature of the guidance to protecttransgender and gender non-conforming students. In May 2016, this workwas highlighted by the United States Department of Education as a samplepolicy designed to address bullying, discrimination, and/or harassment oftransgender and gender non-conforming students.


15


In August 2016, Commissioner Elia, in partnership with Attorney Gen-eral Schneiderman, issued a memorandum, guidance, and model materialsto assist school districts in complying with DASA. That guidance providedschool districts with model forms to assist with investigating and verifyingreports of bullying, harassment, and/or discrimination.

In October 2017, the Office of the State Comptroller (OSC) issued anaudit report entitled “Implementation of the Dignity for All Students Act”.While OSC noted the efforts made by the Department to provide profes-sional development and technical assistance and the efforts of schooldistricts throughout the State to comply with DASA, OSC’s findings alsorevealed a need to provide additional guidance and training to the field,particularly in the area of identifying, documenting, investigating, andreporting DASA incidents.

In February 2017, the Commissioner again issued a joint memorandumwith the Attorney General to remind school districts of the obligation toprotect transgender students from bullying, discrimination, and harass-ment in their schools and at all school functions, despite actions taken bythe United States Department of Education (USDOE) and the UnitedStates Department of Justice (USDOJ) to rescind previously issued guid-ance surrounding the protection of transgender and gender non-conformingstudents. In response to USDOE’s confirmation in February 2018 that itwould no longer investigate civil rights complaints from transgenderstudents denied access to bathrooms consistent with their gender identity,the Commissioner and the Attorney General issued another joint memo-randum to school districts in which they reiterated New York’s commit-ment to creating safe and supportive learning environments for all NewYork students and school district’s obligation to comply with DASA.

The research shows that bullying and school climate are linked to chil-dren’s academic achievement, learning, and development. Specifically,children who are bullied are more likely to avoid school, more likely todrop out of school, have lower academic achievement, have lower self-esteem and higher levels of anxiety, depression and loneliness, and aremore likely to attempt suicide, both during childhood and later in life. Arecent national survey of school climate found that more than 80 percentof lesbian, gay, bisexual, and transgender (LGBT) youth reported someform of bullying or harassment at school. These concerns are especiallyurgent for transgender students for whom the data indicates that 1 in 2transgender students have had at least one suicide attempt by theirtwentieth birthday.

As a result of these developments, Department staff proposes to amendCommissioner’s Regulation § 100.2(kk)(1) to include illustrative ex-amples of the types of incidents of harassment, bullying and/or discrimina-tion which must be reported to the principal, superintendent. or designeewhen reported to or witnessed by a school employee. Specifically, theproposed amendment includes a definition of “report of harassment, bully-ing, and/or discrimination” to include, but not be limited to, the followingexamples:

D a report regarding the denial of access to school facilities, functions,opportunities or programs including, but not limited to, restrooms, chang-ing rooms, locker rooms, and/or field trips, based on a person’s actual orperceived race, color, weight, national origin, ethnic group, religion,religious practice, disability, sexual orientation, gender (which includesgender identity and/or expression), or sex; or

D a report regarding application of a dress code, specific grooming orappearance standards that is based on a person’s actual or perceived race,color, weight, national origin, ethnic group, religion, religious practice,disability, sexual orientation, gender (which includes gender identityand/or expression), or sex; or

D a report regarding the use of name(s) and pronoun(s) or the pronuncia-tion of name(s) that is based on a person’s actual or perceived race, color,weight, national origin, ethnic group, religion, religious practice, disabil-ity, sexual orientation, gender (which includes gender identity and/orexpression), or sex; or

D a report regarding any other form of harassment, bullying, and/ordiscrimination, based on a person’s actual or perceived race, color, weight,national origin, ethnic group, religion, religious practice, disability, sexualorientation, gender (which includes gender identity and/or expression), orsex.

The Department remains committed to working with all partnersthroughout the State to ensure that all students have an opportunity tothrive in a school environment that is safe, supportive and free from bully-ing, harassment, and/or discrimination. We will continue to support districtadministrators and school staff as they continue to take proactive steps tocreate a positive school culture and climate in which students feel safe andsupported, and fully included. The proposed amendment to Commis-sioner’s Regulations § 100.2(kk)(1) is intended to support these efforts byclarifying and assisting in DASA implementation statewide.

4. COSTS:(a) Costs to State government: None.(b) Costs to local government: None.

(c) Costs to private regulated parties: None.(d) Costs to regulating agency for implementation and continued

administration of this rule: None.The proposed rule is necessary to clarify the regulation to provide il-

lustrative examples to the field to aid in the continued implementation ofDASA pursuant to Education Law § 14(3) and will not impose any ad-ditional costs on the State, school districts, BOCES and charter schools, orthe State Education Department, beyond those imposed by the statute.

5. LOCAL GOVERNMENT MANDATES:The proposed rule is necessary to clarify the regulation to provide il-

lustrative examples to the field to aid in the continued implementation ofDASA pursuant to Education Law § 14(3). Additionally, Education Law§ 13 requires that districts have a process for receiving reports of andinvestigating oral or written reports of harassment, discrimination and/orbullying. As such the clarifying amendments will not impose any ad-ditional program, service, duty or responsibility beyond those imposed bythe statute.

6. PAPERWORK:The proposed rule does not impose and new paperwork requirements

beyond those already required by statute, but merely provides illustrativeexamples of the types of harassment, bullying and/or discrimination whichmust be reported to the principal, superintendent, or designee whenreported to or witnessed by a school employee.

7. DUPLICATION:The proposed rule does not duplicate existing State or Federal

regulations.8. ALTERNATIVES:The proposed rule is necessary to implement Regents policy related to

providing illustrative examples of the types of harassment, bullying and/ordiscrimination which must be reported to the principal, superintendent, ordesignee when reported to or witnessed by a school employee in compli-ance with DASA. There are no viable alternatives and none wereconsidered.

9. FEDERAL STANDARDS:There are no related Federal standards.10. COMPLIANCE SCHEDULE:The proposed rule is necessary to provide illustrative examples of the

types of harassment, bullying and/or discrimination which must bereported to the principal, superintendent, or designee when reported to orwitnessed by a school employee in compliance with DASA. Because therule merely provides additional illustrative examples, it is anticipated thatregulated parties will be able to achieve compliance with proposed rule byits effective date.

Regulatory Flexibility Analysis(a) Small businesses:The proposed rule is necessary to clarify the regulation to provide il-

lustrative examples to the field to aid in the continued implementation ofDASA pursuant to Education Law § 14(3). Additionally, Education Law§ 13 requires that districts have a process for receiving reports of andinvestigating oral or written reports of harassment, discrimination and/orbullying.

Because it is evident from the nature of the proposed amendment that itdoes not affect small businesses, no further measures were needed toascertain that fact and none were taken. Accordingly, a regulatory flex-ibility analysis for small businesses is not required and one has not beenprepared.

(b) Local governments:1. EFFECT OF RULE:The proposed amendment applies to each school district, BOCES and

charter school in the State pursuant to Education Law Article 2.2. COMPLIANCE REQUIREMENTS:In 2010, DASA added a new Article 2 to the Education Law to require,

among other things, school districts to create policies and guidelines to beused in school training programs to discourage harassment, bullying,and/or discrimination and to enable school personnel to prevent and re-spond to discrimination or harassment. DASA became effective on July 1,2012, and was later amended to include cyberbullying, effective July 1,2013. Subsequently, the Department worked with key stakeholdersthrough the DASA Task Force to develop and implement guidance andregulations to assist schools in implementing the provisions of the law.Since the adoption of Commissioner’s Regulations to implement DASA,the Department has worked to provide training to the field, updates to theDASA website, and several guidance documents.

DASA continues to be a powerful tool used to address bullying,discrimination, and harassment in our schools and to ensure that allstudents are educated in a safe and supportive school environment.However, the issues faced by students and schools in this area continue toevolve. The Department is committed to working with stakeholders toensure that all students have the opportunity to learn and to attend schoolfree from bullying, harassment, and/or discrimination.


16

To that end, in July 2015, the Department issued guidance, entitled“Creating a Safe and Supportive School Environment for Transgender andGender Nonconforming Students”, to assist school districts in fostering aneducational environment for all students that is safe and free from harass-ment, bullying, and discrimination — regardless of sex, gender identity, orexpression — and to facilitate compliance with local, state, and federallaws concerning bullying, harassment, discrimination, and student privacy.At the time the guidance document was issued, the Department receivednational recognition for the proactive nature of the guidance to protecttransgender and gender non-conforming students. In May 2016, this workwas highlighted by the United States Department of Education as a samplepolicy designed to address bullying, discrimination, and/or harassment oftransgender and gender non-conforming students.

In August 2016, Commissioner Elia, in partnership with Attorney Gen-eral Schneiderman, issued a memorandum, guidance, and model materialsto assist school districts in complying with DASA. That guidance providedschool districts with model forms to assist with investigating and verifyingreports of bullying, harassment, and/or discrimination.

In October 2017, the Office of the State Comptroller (OSC) issued anaudit report entitled “Implementation of the Dignity for All Students Act”.While OSC noted the efforts made by the Department to provide profes-sional development and technical assistance and the efforts of schooldistricts throughout the State to comply with DASA, OSC’s findings alsorevealed a need to provide additional guidance and training to the field,particularly in the area of identifying, documenting, investigating, andreporting DASA incidents.

In February 2017, the Commissioner again issued a joint memorandumwith the Attorney General to remind school districts of the obligation toprotect transgender students from bullying, discrimination, and harass-ment in their schools and at all school functions, despite actions taken bythe United States Department of Education (USDOE) and the UnitedStates Department of Justice (USDOJ) to rescind previously issued guid-ance surrounding the protection of transgender and gender non-conformingstudents. In response to USDOE’s confirmation in February 2018 that itwould no longer investigate civil rights complaints from transgenderstudents denied access to bathrooms consistent with their gender identity,the Commissioner and the Attorney General issued another joint memo-randum to school districts in which they reiterated New York’s commit-ment to creating safe and supportive learning environments for all NewYork students and school district’s obligation to comply with DASA.

The research shows that bullying and school climate are linked to chil-dren’s academic achievement, learning, and development. Specifically,children who are bullied are more likely to avoid school, more likely todrop out of school, have lower academic achievement, have lower self-esteem and higher levels of anxiety, depression and loneliness, and aremore likely to attempt suicide, both during childhood and later in life. Arecent national survey of school climate found that more than 80 percentof lesbian, gay, bisexual, and transgender (LGBT) youth reported someform of bullying or harassment at school. These concerns are especiallyurgent for transgender students for whom the data indicates that 1 in 2transgender students have had at least one suicide attempt by theirtwentieth birthday.

As a result of these developments, Department staff proposes to amendCommissioner’s Regulation § 100.2(kk)(1) to include illustrative ex-amples of the types of incidents of harassment, bullying and/or discrimina-tion which must be reported to the principal, superintendent. or designeewhen reported to or witnessed by a school employee. Specifically, theproposed amendment includes a definition of “report of harassment, bully-ing, and/or discrimination” to include, but not be limited to, the followingexamples:

D a report regarding the denial of access to school facilities, functions,opportunities or programs including, but not limited to, restrooms, chang-ing rooms, locker rooms, and/or field trips, based on a person’s actual orperceived race, color, weight, national origin, ethnic group, religion,religious practice, disability, sexual orientation, gender (which includesgender identity and/or expression), or sex; or

D a report regarding application of a dress code, specific grooming orappearance standards that is based on a person’s actual or perceived race,color, weight, national origin, ethnic group, religion, religious practice,disability, sexual orientation, gender (which includes gender identityand/or expression), or sex; or

D a report regarding the use of name(s) and pronoun(s) or the pronuncia-tion of name(s) that is based on a person’s actual or perceived race, color,weight, national origin, ethnic group, religion, religious practice, disabil-ity, sexual orientation, gender (which includes gender identity and/orexpression), or sex; or

D a report regarding any other form of harassment, bullying, and/ordiscrimination, based on a person’s actual or perceived race, color, weight,national origin, ethnic group, religion, religious practice, disability, sexualorientation, gender (which includes gender identity and/or expression), orsex.

The Department remains committed to working with all partnersthroughout the State to ensure that all students have an opportunity tothrive in a school environment that is safe, supportive and free from bully-ing, harassment, and/or discrimination. We will continue to support districtadministrators and school staff as they continue to take proactive steps tocreate a positive school culture and climate in which students feel safe andsupported, and fully included. The proposed amendment to Commis-sioner’s Regulations § 100.2(kk)(1) is intended to support these efforts byclarifying and assisting in DASA implementation statewide.

3. PROFESSIONAL SERVICES:The proposed rule does not impose any additional professional services

requirements on local governments.4. COMPLIANCE COSTS:The proposed rule is necessary to clarify the regulation to provide il-

lustrative examples to the field to aid in the continued implementation ofDASA pursuant to Education Law § 14(3). Additionally, Education Law§ 13 requires that districts have a process for receiving reports of andinvestigating oral or written reports of harassment, discrimination and/orbullying. As such the clarifying amendments will not impose any ad-ditional program, service, duty, responsibility or costs beyond thoseimposed by the statute.

5. ECONOMIC AND TECHNOLOGICAL FEASIBILITY:The proposed amendment does not impose any new technological

requirements on school districts or charter schools. Economic feasibility isaddressed in the Costs section above.

6. MINIMIZING ADVERSE IMPACT:There were no significant alternatives and none were considered. The

proposed rule is necessary to clarify the regulation to provide illustrativeexamples to the field to aid in the continued implementation of DASA pur-suant to Education Law § 14(3). Additionally, Education Law § 13requires that districts have a process for receiving reports of and investigat-ing oral or written reports of harassment, discrimination and/or bullying.As such the clarifying amendments will not impose any additionalprogram, service, duty or responsibility beyond those imposed by thestatute.

Because the statute upon which the proposed amendment is based ap-plies to all school districts in the State and to charter schools and registerednonpublic high schools, it is not possible to establish differing complianceor reporting requirements or timetables or to exempt schools from cover-age by the proposed amendment.

7. LOCAL GOVERNMENT PARTICIPATION:Comments on the proposed rule were solicited from school districts

through the offices of the district superintendents of each supervisorydistrict in the State, from the chief school officers of the five big city schooldistricts and from charter schools.

Rural Area Flexibility Analysis1. TYPES AND ESTIMATED NUMBERS OF RURAL AREAS:The proposed amendment applies to each of the 689 public school

districts in the State, charter schools, and registered nonpublic schools inthe State, to the extent that they offer instruction in the high school grades,including those located in the 44 rural counties with less than 200,000 in-habitants and the 71 towns in urban counties with a population density of150 per square mile or less. At present, there is one charter school locatedin a rural area that is authorized to issue diplomas.

2. REPORTING, RECORDKEEPING AND OTHER COMPLIANCEREQUIREMENTS; AND PROFESSIONAL SERVICES:

The proposed rule is necessary to clarify the regulation to provide il-lustrative examples to the field to aid in the continued implementation ofDASA pursuant to Education Law § 14(3). Additionally, Education Law§ 13 requires that districts have a process for receiving reports of andinvestigating oral or written reports of harassment, discrimination and/orbullying. As such the clarifying amendments will not impose any ad-ditional reporting, recordkeeping or professional service beyond those al-ready imposed by the statute.

3. COMPLIANCE COSTS:None.4. MINIMIZING ADVERSE IMPACT:There were no significant alternatives and none were considered. The

proposed rule is necessary to clarify the regulation to provide illustrativeexamples to the field to aid in the continued implementation of DASA pur-suant to Education Law § 14(3). Additionally, Education Law § 13requires that districts have a process for receiving reports of and investigat-ing oral or written reports of harassment, discrimination and/or bullying.As such the clarifying amendments will not impose any additionalprogram, service, duty or responsibility beyond those imposed by thestatute.

Because the statute upon which the proposed amendment is based ap-plies to all school districts in the State and to charter schools and registerednonpublic high schools, it is not possible to establish differing complianceor reporting requirements or timetables or to exempt schools in rural areasfrom coverage by the proposed amendment.


17

5. RURAL AREA PARTICIPATION:Comments on the proposed rule were solicited from the Department’s

Rural Advisory Committee, whose membership includes school districtslocated in rural areas.Job Impact Statement

The proposed amendment is necessary to The proposed rule is neces-sary to clarify the regulation to provide illustrative examples to the field toaid in the continued implementation of DASA pursuant to Education Law§ 14(3).

The proposed amendment will not have a substantial adverse impact onjobs or employment opportunities. Because it is evident from the nature ofthe proposed amendment that it will have no impact, or a positive impact,on jobs or employment opportunities, no further steps were needed toascertain that fact and none were taken. Accordingly, a job impact state-ment is not required and one has not been prepared.

NOTICE OF ADOPTION

Continuous Accreditation Requirement for Educator PreparationProviders

I.D. No. EDU-06-18-00006-A

Filing No. 447




Action taken: Amendment of Subpart 4-2 and section 52.21 of Title 8NYCRR.

Statutory authority: Education Law, sections 101, 207, 210, 215 and 305

Subject: Continuous accreditation requirement for educator preparationproviders.

Purpose: Allows institutions of higher education with registered educatorpreparation programs to be accredited by accrediting association seekingrecognition.

Text or summary was published in the February 7, 2018 issue of the Reg-ister, I.D. No. EDU-06-18-00006-P.

Final rule as compared with last published rule: No changes.

Text of rule and any required statements and analyses may be obtainedfrom: Kirti Goswami, NYS Education Department, Office of Counsel, 89Washington Avenue, Room 112, Albany, NY 12234, (518) 474-6400,email: [email protected]

Initial Review of RuleAs a rule that requires a RFA, RAFA or JIS, this rule will be initiallyreviewed in the calendar year 2021, which is no later than the 3rd year af-ter the year in which this rule is being adopted.

Assessment of Public CommentSince publication of the Notice of Proposed Rule Making in the State

Register on February 7, 2018, the State Education Department (SED)received the following comments on the proposed amendment. Below isan assessment of the public comments received.

1. COMMENT:Several commenters agreed with the Department’s proposal to allow

institutions to apply for accreditation through an accrediting associationthat is seeking recognition from the CHEA or USDE, but has not yetachieved recognition status, because it provides them with options fornational accreditation; CAEP would no longer be the only option. At leasttwo commenters noted that having options for national accreditation isbeneficial because it recognizes and allows for variation in educator prep-aration providers, including the diversity of size and mission. One com-menter also explained that having options promotes transparency and ac-countability and makes all accreditors strive for improvement andresponsiveness. In addition, the commenter highlighted the time sensitiv-ity of adding options because many institutions are in the midst of upcom-ing CAEP accreditation site visits and CAEP continues to be a movingtarget. Another commenter added that the proposal to give institutions fiveyears from the date of notification to successfully complete the accredita-tion process with an accrediting association that is seeking recognitionfrom the CHEA or USDE is fair and reasonable.

DEPARTMENT RESPONSE:No response is necessary because the comments are supportive.2. COMMENT:Two commenters support the Department’s proposal because it would

specifically allow the Association for Advancing Quality in Educator Prep-aration (AAQEP) to become an option for the accreditation of educator

preparation providers in New York State. They indicated that AAQEP of-fers a system of accreditation superior to CAEP in a number of essentialways, including taking into account differences in institutions and havinga process where institutions undergoing review in the same semester areplaced in cohorts and can communicate with each other several semestersin advance of the site visit. They also expressed concerns with particularCAEP Standards. AAQEP’s reasonable yet challenging standards, theircollaborative approach with educator preparation providers, and theirfocus on validity and methodological rigor demonstrate to one commenterthat they are run by a team of highly respected experts in the field. Theother commenter is impressed with AAQEP’s philosophy that recognizesthe importance of collaboration, a broader view of P-12 partnerships, andthe encouragement of innovation and continuous improvement.

DEPARTMENT RESPONSE:No response is necessary because the comment is supportive.3. COMMENT:One commenter expressed frustration over the lengthy comment period

for the proposal because her college department of education agreed thatAAQEP is a better fit than CAEP for their department, but their CAEP ac-creditation report was due one month before the Board of Regents wasscheduled to make a decision about the proposal. As a result, they had tocomplete a report that they have no intention of following through withCAEP.

DEPARTMENT RESPONSE:The State Administrative Procedure Act requires that all proposed

rulemakings have a 60-day public comment period. Since this is a statu-tory requirement, no regulatory changes are needed.

NOTICE OF ADOPTION

Safety Nets for Teacher Certification Examinations

I.D. No. EDU-06-18-00007-A

Filing No. 448




Action taken: Amendment of section 80-1.5 of Title 8 NYCRR.

Statutory authority: Education Law, sections 207, 305, 3001, 3003, 3004and 3009

Subject: Safety nets for teacher certification examinations.

Purpose: Extension of all safety nets to allow candidates to complete allother certification requirements by 6/30/18.



Text of rule and any required statements and analyses may be obtainedfrom: Kirti Goswami, NYS Education Department, 89 Washington Ave-nue, Room 112, Albany, NY 12234, (518) 474-6400, email:[email protected]


Assessment of Public CommentSince publication of the Notice of Proposed Rule Making in the State

Register on February 7, 2018, the State Education Department (SED)received the following comments on the proposed amendment. Below isan assessment of the public comments received.

1. COMMENT:Commenter expressed concern that the Department wants to grant certi-

fication to people with no experience and failing test scores. Commenternoted that there are several teachers with safety nets teaching in schools,and that is a disaster.

DEPARTMENT RESPONSE:The commenter is concerned with the use of safety nets to satisfy

teacher certification requirements in general and does not refer to specificissues with the Department’s proposal to remove a deadline related to thesafety nets.

At this time, the Commissioner’s Regulations require candidates tocomplete all other certification requirements on or before June 30, 2018 tobe eligible to use one of the safety nets for the teacher certificationexaminations. The Department is proposing to eliminate this requirementfor candidates who use one or more safety nets. Candidates must continue


18

to take advantage of safety nets before their applicable expiration date(s),as outlined in Section 80-1.5 of the Commissioner’s Regulations; however,they do not have to complete all additional requirements for certificationby June 30, 2018. Currently, the June 30, 2018 deadline would requirecandidates to complete the additional certification requirements prior tothe expiration dates for the safety nets for the EAS and the CST. Theproposed amendment provides candidates with flexibility to complete alladditional certification requirements at their own pace while still beingrequired to take advantage of the safety nets by their applicable expirationdate(s).

2. COMMENT:Commenter thinks that the teacher safety net should not have been

removed and recommends extending the safety net until the teacher profes-sion improves.

DEPARTMENT RESPONSE:The Department’s proposal to remove a deadline related to the safety

nets does not discontinue the use of safety nets for the teacher certificationexaminations. Candidates could continue to take advantage of safety netsbefore their applicable expiration date(s), as outlined in Section 80-1.5 ofthe Commissioner’s Regulations; however, they would not have tocomplete all additional requirements for certification on or before June 30,2018. The current June 30, 2018 deadline would require candidates tocomplete the additional certification requirements prior to the expirationdates for the safety nets for the EAS and the CST. The proposed amend-ment provides candidates with flexibility to complete all additional certifi-cation requirements at their own pace while still being required to takeadvantage of the safety nets by their applicable expiration date(s).

3. COMMENT:Commenter requests eliminating the edTPA requirement for teacher

certification, especially for out-of-state certified teachers.DEPARTMENT RESPONSE:No response is necessary because the edTPA requirement for teacher

certification is not related to the Department’s proposal regarding safetynets.

NOTICE OF ADOPTION

Mental Health Education

I.D. No. EDU-06-18-00008-A

Filing No. 449




Action taken: Amendment of sections 135.1 and 135.3 of Title 8 NYCRR.

Statutory authority: Education Law, sections 101(notsubdivided), 207(notsubdivided), 305(1), (2), 308(not subdivided), 804(1)-(7); L. 1998, ch.401; L. 2016, ch. 390; L. 2017, ch. 1

Subject: Mental Health Education.

Purpose: To implement the provisions of chapter 390 of the Laws of 2016and chapter 1 of the Laws of 2017.





Assessment of Public CommentSince publication of a Notice of Proposed Rule Making in the State

Register on February 7, 2018, the State Education Department (SED)received the following comments on the proposed amendment.

1. COMMENT:The New York State Psychological Association (NYSPA), strongly sup-

ports the proposed amendments to § 135.1 and § 135.3 related to mentalhealth instruction in schools. The NYSPA additionally requested the op-portunity to participate on the New York State Mental Health EducationAdvisory Council.

DEPARTMENT RESPONSE:No response necessary as the comment is supportive. However, al-

though the NYSPA did have representation on the New York State MentalHealth Education Advisory Council, the Department extended the op-portunity for additional NYSPA members to participate.

2. COMMENT:Commenter, a family practitioner, expressed the importance including

at least one experienced primary care physician with experience teachingday-to-day mental health with patients on the New York State MentalHealth Education Advisory Council. Commenter was particularly con-cerned with the expertise necessary to develop useful curriculum to bedeveloped for classroom teachers.

DEPARTMENT RESPONSE:No response necessary as the comment is outside the scope of the

proposed rule. However, the Department extended the opportunity to thisindividual to participate as a member of the New York State Mental HealthEducation Advisory Council.

NOTICE OF ADOPTION

Graduate Admission Examination Requirements

I.D. No. EDU-06-18-00009-A

Filing No. 450




Action taken: Amendment of section 52.21 of Title 8 NYCRR.

Statutory authority: Education Law, sections 101, 207, 210-a; L. 2017,ch. 454

Subject: Graduate admission examination requirements.

Purpose: To implement chapter 454 of the Laws of 2017.

Text or summary was published in the February 7, 2018 issue of the Reg-ister, I.D. No. EDU-06-18-00009-EP.




Assessment of Public CommentThe agency received no public comment.

NOTICE OF ADOPTION

Endorsement Requirements for Licensure as a Dentist

I.D. No. EDU-06-18-00010-A

Filing No. 451




Action taken: Amendment of section 61.4 of Title 8 NYCRR.

Statutory authority: Education Law, sections 207(not subdivided),6504(not subdivided), 6506(6), 6507(2) and 6604(3)

Subject: Endorsement Requirements for Licensure as a Dentist.

Purpose: To permit dentists with licenses issued by a Canadian provinceto become licensed dentists in New York State by endorsement.






19

Assessment of Public CommentSince publication of a Notice of Proposed Rulemaking in the February

7, 2018 State Register, the State Education Department received the fol-lowing comments:

1. COMMENT:The Federal Trade Commission of the United States of America (FTC),

submitted comments in support of the proposed amendment. The FTCstates that its comment on the “proposed amendment builds on [its]extensive experience in two important areas that affect many consumers:oral health care and occupational licensing barriers to providing healthcare services across state boundaries.” The FTC also summarizes some ofits recent law enforcement, research and advocacy activities in these twoareas. The FTC further states that its prior “advocacy comments and activi-ties, which underscore the importance of licensure portability to an oc-cupation and consumers, underpin [its comment on the proposedamendment].”

In summary, the FTC states that “[c]ompetition among health profes-sionals, including dentists, have the potential to benefit consumers. Byextending New York’s existing process for endorsement to dental licensesissued by Canadian provinces, the proposed amendment would decreasebarriers to licensure of Canadian dentists and increase the pool of dentistsqualified for licensure. Accordingly, the proposed amendment couldpotentially increase the supply of dentists, and thereby promote competi-tion and consumer choice, increase access to dental care, and decrease theprice of dental services. The proposed amendment may promote suchbenefits in both underserved areas, such as the North Country region, andother areas of New York. It could also improve the ability of dental schoolsto recruit Canadian dentists to faculty positions, which might also increaseaccess to care in nearby underserved communities. In sum, [FTC] staffsupport the proposed amendment because it would likely increase compe-tition among dentists, increase access to dental services, improve dentaloutcomes, and reduce consumers’ dental costs, thereby benefitting NewYork residents.”

DEPARTMENT RESPONSE:No response necessary as the comment is supportive and recognizes

that the Department is working to both protect the public and providegreater access to dental care for New Yorkers.

2. COMMENT:Commenter, who identified himself as a graduate of a California dental

school and a holder of a California dentist license, states that he has beenworking in Canada as a dentist since his graduation and supports theproposed amendment because he would like to work in New York andcontribute to the oral health of the population.

DEPARTMENT RESPONSE:No response necessary as the comment is supportive and recognizes

that the Department is working to both protect the public and providegreater access to dental care for New Yorkers.



Allow Individuals Completing a Program Accredited by theAmerican Speech, Language, and Hearing Association (ASHA) toObtain an Initial Teaching Certificate

I.D. No. EDU-21-18-00040-P


Proposed Action: Amendment of section 80-3.16 of Title 8 NYCRR.

Statutory authority: Education Law, sections 101, 207, 305, 3001, 3004and 3009

Subject: Allow Individuals Completing a Program Accredited by theAmerican Speech, Language, and Hearing Association (ASHA) to Obtainan Initial Teaching Certificate.

Purpose: Allow individuals completing a program accredited by ASHA toobtain an initial certificate in speech language disabilities.

Text of proposed rule: 1. A new section 80-3.16 shall be added to theRegulations of the Commissioner of Education as follows:

§ 80-3.16 Additional Certification Pathway for an Initial Certificate forCertain Teacher Candidates Completing a Speech-Language PathologyProgram Accredited by the American Speech, Language and HearingAssociation.

(a) Initial teaching certificate for candidates completing a speech-language pathology program accredited by the American Speech, Lan-guage, and Hearing Association (ASHA). In lieu of meeting the require-ments prescribed in section 80-3.3 of this Subpart, a candidate may meetthe following requirements for an initial certificate as a teacher of speechand language disabilities (all grades):

(1) Education: The candidate shall meet the education requirementby satisfactorily completing a master’s or higher degree program inspeech-language pathology accredited by the American Speech, Language,and Hearing Association (ASHA) from a regionally or nationally accred-ited institution of higher education in the U.S. or its territories or from aninstitution of higher education authorized by the Regents to confer degreesand whose programs are registered by the Department.

(2) Examination: The candidate must achieve a satisfactory passingscore on the Educating All Students (EAS) exam.

(3) Practicum: The candidate shall satisfactorily complete a college-supervised practicum, as defined in section 52.21(b)(1) of this Title, of 150clock hours that includes experiences with students with speech andlanguage disabilities in early childhood (birth-grade 2), childhood (grades1-6), middle childhood (grades 5-9), and adolescence (grades 7-12). Thepracticum shall include experiences in elementary and/or secondaryschools.

(4) Additional requirements: The candidate must complete all otherrequirements for an Initial certificate prescribed in Subpart 80-1 of thisTitle, including all required workshops and fingerprinting.

Text of proposed rule and any required statements and analyses may beobtained from: Kirti Goswami, NYS Education Department, Office ofCounsel, 89 Washington Avenue, Room 112, Albany, NY 12234, (518)474-6400, email: [email protected], views or arguments may be submitted to: Rebecca Coyle, NYSEducation Department, 89 Washington Avenue, Room 975 EBA, Albany,NY 12234, (518) 473-9763, email: [email protected]


Regulatory Impact Statement1. STATUTORY AUTHORITY:Education Law 101 (not subdivided) charges the Department with the

general management and supervision of all public schools and all of theeducational work of the state.

Education Law 207 (not subdivided) grants general rule-making author-ity to the Regents to carry into effect State educational laws and policies.

Education Law 210 (not subdivided) authorizes the Regents to registerdomestic and foreign institutions in terms of New York standards.

Education Law 305(1) authorizes the Commissioner to enforce laws re-lating to the State educational system and execute Regents educationalpolicies. Section 305(2) provides the Commissioner with general supervi-sion over schools and authority to advise and guide school district officersin their duties and the general management of their schools.

Education Law 3001 establishes the qualifications of teachers in theclassroom.

Education Law 3004(1) authorizes the Commissioner to promulgateregulations governing the certification requirements for teachers employedin public schools.

Education Law 3009 prohibits school district money from being used topay the salary of an unqualified teacher.

2. LEGISLATIVE OBJECTIVES:The purpose of the proposed amendment to add a new Section 80-3.16

of the Regulations of the Commissioner of Education is to allow candidateswho complete a speech-language pathology program accredited by ASHAto obtain an Initial certificate in speech and language disabilities (allgrades). In New York State, candidates can obtain this certificate bycompleting an approved teacher education program in speech andlanguage disabilities or meeting certification requirements through indi-vidual evaluation, which includes completion of a college-supervisedpracticum of 150 hours. However, most other states do not require comple-tion of a teacher education program for individuals to provide speech ser-vices in a school or have speech language pathology programs that mayinclude very little pedagogical coursework for classroom instruction. Assuch, most institutions of higher education outside of New York do nothave separate teacher education programs in speech and languagedisabilities. Rather, most other states require completion of a program ac-credited by the American Speech, Language, and Hearing Association(ASHA) for individuals to provide speech services in school.

3. NEEDS AND BENEFITS:There is currently a shortage of teachers in the area of speech and

language disabilities in districts across the state. To help alleviate thisshortage area, the proposed certification pathway for candidates whocomplete a speech-language pathology program accredited by ASHAwould provide another option for qualified candidates both out of state andin New York to obtain an Initial certificate in speech and language dis-abilities (all grades).

4. COSTS:a. Costs to State government: The amendments do not impose any costs

on State government, including the State Education Department.b. Costs to local government: The amendments do not impose any costs

on local government.


20


c. Costs to private regulated parties: The amendment do not impose anycosts on private regulated parties.

d. Costs to regulating agency for implementation and continuedadministration: See above.

5. LOCAL GOVERNMENT MANDATES:The proposed amendment does not impose any additional program, ser-

vice, duty or responsibility upon any local government.6. PAPERWORK:The proposed amendment does not impose any additional paperwork

requirements.7. DUPLICATION:The proposed amendment does not duplicate existing State or Federal

requirements.8. ALTERNATIVES:Because the State believes that uniform certification standards are

required across the State, no alternatives were considered.9. FEDERAL STANDARDS:There are no applicable Federal standards.10. COMPLIANCE SCHEDULE:It is anticipated that the proposed amendment will be permanently

adopted by the Board of Regents at its September 2018 meeting. If adoptedat the September meeting, the proposed amendment will become effectiveon October 3, 2018.

Regulatory Flexibility AnalysisThe purpose of the proposed amendment to add a new Section 80-3.16

of the Regulations of the Commissioner of Education is to allow candidateswho complete a speech-language pathology program accredited by ASHAto obtain an Initial certificate in speech and language disabilities (allgrades). In New York State, candidates can obtain this certificate bycompleting an approved teacher education program in speech andlanguage disabilities or meeting certification requirements through indi-vidual evaluation, which includes completion of a college-supervisedpracticum of 150 hours. However, most other states do not require comple-tion of a teacher education program for individuals to provide speech ser-vices in a school or have speech language pathology programs that mayinclude very little pedagogical coursework for classroom instruction. Assuch, most institutions of higher education outside of New York do nothave separate teacher education programs in speech and languagedisabilities. Rather, most other states require completion of a program ac-credited by the American Speech, Language, and Hearing Association(ASHA) for individuals to provide speech services in school.

The amendment does not impose any new recordkeeping or othercompliance requirements, and will not have an adverse economic impacton small businesses or local governments. Because it is evident from thenature of the proposed amendment that it does not affect small businessesor local governments, no further steps were needed to ascertain that factand none were taken. Accordingly, a regulatory flexibility analysis forsmall businesses is not required and one has not been prepared.

Rural Area Flexibility Analysis1. TYPES AND ESTIMATED NUMBERS OF RURAL AREAS:This proposed amendment applies to all individuals in New York State

who complete a speech-language pathology program accredited by theAmerican Speech, Language, and Hearing Association (ASHA) andpursue an Initial certificate in the classroom teaching service in speech andlanguage disabilities (all grades), including those located in the 44 ruralcounties with fewer than 200,000 inhabitants and the 71 towns and urbancounties with a population density of 150 square miles or less.

2. REPORTING, RECORDKEEPING, AND OTHER COMPLIANCEREQUIREMENTS; AND PROFESSIONAL SERVICES:

The purpose of the proposed amendment to add a new Section 80-3.16of the Regulations of the Commissioner of Education is to allow candidateswho complete a speech-language pathology program accredited by ASHAto obtain an Initial certificate in speech and language disabilities (allgrades). In New York State, candidates can obtain this certificate bycompleting an approved teacher education program in speech andlanguage disabilities or meeting certification requirements through indi-vidual evaluation, which includes completion of a college-supervisedpracticum of 150 hours. However, most other states do not require comple-tion of a teacher education program for individuals to provide speech ser-vices in a school or have speech language pathology programs that mayinclude very little pedagogical coursework for classroom instruction. Assuch, most institutions of higher education outside of New York do nothave separate teacher education programs in speech and languagedisabilities. Rather, most other states require completion of a program ac-credited by the American Speech, Language, and Hearing Association(ASHA) for individuals to provide speech services in school.

There is currently a shortage of teachers in the area of speech andlanguage disabilities in districts across the state. To help alleviate thisshortage area, the proposed certification pathway for candidates who

complete a speech-language pathology program accredited by ASHAwould provide another option for qualified candidates both out of state andin New York to obtain an Initial certificate in speech and language dis-abilities (all grades).

3. COSTS:The proposed amendment does not impose any costs on teacher certifi-

cation candidates and/or the New York State school districts/BOCES whowish to hire them.

4. MINIMIZING ADVERSE IMPACT:The Department believes that uniform standards for certification must

be established across the State. Therefore, no alternatives were consideredfor those located in rural areas of the State.

5. RURAL AREA PARTICIPATION:Copies of the proposed amendments have been provided to Rural Advi-

sory Committee for review and comment.

Job Impact StatementThe purpose of the proposed amendment to add a new Section 80-3.16

of the Regulations of the Commissioner of Education is to allow candidateswho complete a speech-language pathology program accredited by ASHAto obtain an Initial certificate in speech and language disabilities (allgrades).

There is currently a shortage of teachers in the area of speech andlanguage disabilities in districts across the state. To help alleviate thisshortage area, the proposed certification pathway for candidates whocomplete a speech-language pathology program accredited by ASHAwould provide another option for qualified candidates both out of state andin New York to obtain an Initial certificate in speech and language dis-abilities (all grades).

Because it is evident from the nature of the proposed amendment that itwill have no impact on the number of jobs or employment opportunities inNew York State, no further steps were needed to ascertain that fact andnone were taken.



Voluntary Institutional Accreditation for Title IV Purposes

I.D. No. EDU-21-18-00048-P



Statutory authority: Education Law, sections 207, 210, 212, 214, 215 and305

Subject: Voluntary Institutional Accreditation for Title IV Purposes.

Purpose: To establish a fee structure for institutional accreditation by theBoard of Regents and Commissioner of Education.

Text of proposed rule: 1. Subdivision (b) of Section 4-1.3 of the Rules ofthe Board of Regents, shall be amended, as follows:

(b) Duration of accreditation. Accreditation shall be for a term of 10years unless otherwise limited to a lesser period for good cause asdetermined by the commissioner and the Board of Regents, based upon areview conducted pursuant to this Subpart. [The term of accreditation maybe extended by the commissioner on one or more occasions for a periodnot to exceed 12 months on each occasion for good cause as determinedby the commissioner, including but not limited to inability to conduct sitevisits because of unforeseen events and the department’s plan to coordi-nate a site visit with a site visit by another accrediting agency.] One ormore administrative extensions of the term of accreditation may be grantedfor a period not to exceed 12 months on each occasion for good cause asdetermined by the Commissioner, for reasons including but not limited to,an inability to conduct site visits because of unforeseen events and/or thescheduling of a meeting of the Regents Advisory Council on InstitutionalAccreditation and/or the Board of Regents, provided however that anadministrative extension granted by the Commissioner pursuant to thissubdivision shall not extend the corrective action period granted to aninstitution pursuant to section 4-1.3(d)(ii) of this Subpart.

2. A new paragraph (i) shall be added to Section 4-1.3 of the Rules ofthe Board of Regents, as follows:

(i) Fees.(1) Applications for initial accreditation pursuant to section 4-1.5 of

this Subpart shall include a non-refundable payment of $3,000 to theDepartment for expenses related to the review of the self-study submittedpursuant to section 4-1.5(a)(3) of this Subpart.

(2) Institutions seeking initial accreditation pursuant to this Subpart,for which the Department has determined that the self-study is sufficient indepth and breadth to form a reasonable basis for a site review to be


21

conducted pursuant to section 4-1.5(a)(4) of this Subpart, shall remit tothe Department a fee of $10,000 for expenses related to the site visit andsubsequent procedures related to initial accreditation pursuant to thisSubpart.

(3) Institutions accredited by the Commissioner and the Board ofRegents pursuant to this Subpart shall remit a non-refundable annual feeof $35,000 in a timeframe and manner prescribed by the Department forexpenses related to accreditation. Failure to remit the annual fee in accor-dance with the schedule set by the Department shall result in an adverseaccreditation action against the institution.

(4) The filing of an appeal of a determination of an adverse accredita-tion action pursuant to section 4-1.5(a)(11) of this Subpart shall include apayment of $10,000 for expenses related to processing such appeal.

(5) The department shall periodically review, and if necessary revise,this fee schedule to ensure that it is sufficient to meet the expenses relatedto accreditation.

Text of proposed rule and any required statements and analyses may beobtained from: Kirti Goswami, NYS Education Department, Office ofCounsel, 89 Washington Avenue, Room 112, Albany, NY 12234, (518)474-6400, email: [email protected]

Data, views or arguments may be submitted to: Rebecca Coyle, NYSEducation Department, Office of Higher Education, 89 Washington Ave-nue, Room 975 EBA, Albany, NY 12234, (518) 473-9763, email:[email protected]


Regulatory Impact Statement1. STATUTORY AUTHORITY:Education Law 207 (not subdivided) grants general rule-making author-

ity to the Regents to carry into effect State educational laws and policies.Education Law 210 authorizes the Board of Regents to register domes-

tic and foreign institutions in terms of New York standards, and fix thevalue of degrees, diplomas and certificates issued by institutions of otherstates or countries.

Education Law 212 authorizes the Department to charges fees for cer-tificates or permits for which fees are not otherwise provided, as fixed byregulations of the Department.

Education Law 215 authorizes the Commissioner to require reportsfrom schools under State educational supervision.

Education Law 305(1) authorizes the Commissioner to enforce laws re-lating to the State educational system and execute Regents educationalpolicies. Section 305(2) provides the Commissioner with general supervi-sion over schools and authority to advise and guide school district officersin their duties and the general management of their schools.

2. LEGISLATIVE OBJECTIVES:The purpose of the proposed amendment is to clarify that the extensions

provided for in the Rules of the Board of Regents are specificallyadministrative in nature, and are granted for reasons such as the schedul-ing of site visits, meetings of the Board of Regents or the Regents Advi-sory Council, etc., and that these administrative extensions do not extendthe corrective action period granted to an institution to come into compli-ance with the standards for accreditation. The proposed amendment alsoestablishes a fee structure for institutions of higher education seeking tobecome accredited or accredited by the Commissioner and the Board ofRegents.

3. NEEDS AND BENEFITS:On February 8, 2018, the Department appeared before the National Ad-

visory Committee on Institutional Quality and Integrity (NACIQI)concerning the petition of the Board of Regents and Commissioner ofEducation for renewal of recognition by the U.S. Secretary of Educationas an institutional accrediting agency. NACIQI is charged with making arecommendation to the Secretary of Education concerning applications forrecognition as institutional accrediting agencies. At the February 8, 2018NACIQI meeting, the Committee accepted the following motion concern-ing the Board of Regents and Commissioner of Education’s recognition:

NACIQI recommends to continue the agency’s current recognition andrequire the agency to come into compliance within 12 months, and submita compliance report 30 days after the 12 month period that demonstratesthe agency’s compliance.

NACIQI identified one area of noncompliance in the Rules of the Boardof Regents regarding the language in § 4-1.3(b) concerning duration ofaccreditation. NACIQI felt that the language concerning extensions of theterm of accreditation as determined by the Commissioner should beamended to be explicit about the use of administrative extensions, and toensure that enforcement timelines are not exceeded.

The proposed amendment would make clear that the extensionsprovided for in this section of the Rules of the Board of Regents arespecifically administrative in nature, and are granted for reasons such asthe scheduling of site visits, meetings of the Board of Regents or the

Regents Advisory Council, etc., and that these administrative extensionsdo not extend the corrective action period granted to an institution to comeinto compliance with the standards for accreditation.

Upon enactment of the proposed amendment, the Department willprepare the required compliance report for submission to NACIQI.

In the Regents 2017-2018 State Budget Priorities, the Board proposedthe enactment of an appropriation that would allow the Department tocharge fees for institutional accreditation and spend the funds raised bythose fees on expenses incurred in conducting the accreditation function,including the addition of dedicated accreditation staff.

The approved FY 2019 State Budget included the necessary spendingauthority language for the Department. An account will be established forthe funds raised by fees charged to institutions applying for accreditationand those institutions accredited by the Regents and Commissioner ofEducation.

The proposed amendment establishes a fee structure for institutional ac-creditation by the Board of Regents and Commissioner of Education. Theproposed fee structure is based upon the number of institutions currentlyaccredited by the Board of Regents and Commissioner. As the number ofaccredited institutions changes, the Department will review the feescheduled to ensure that it is sufficient to meet the expenses related to ac-creditation and make recommendations to the Regents for any necessaryrevisions to the fee schedule.

4. COSTS:a. Costs to State government: The amendment does not impose any

costs on State government, including the State Education Department.b. Costs to local government: The amendment does not impose any

costs on local government.c. Costs to private regulated parties: The amendment sets out a fee

schedule for any higher education institution seeking accreditation by theDepartment as follows:

D Applications for initial accreditation pursuant to section 4-1.5 of thisSubpart shall include a non-refundable payment of $3,000 to the Depart-ment for expenses related to the review of the self-study submitted pursu-ant to section 4-1.5(a)(3) of this Subpart.

D Institutions seeking initial accreditation pursuant to this Subpart, forwhich the Department has determined that the self-study is sufficient indepth and breadth to form a reasonable basis for a site review to beconducted pursuant to section 4-1.5(a)(4) of this Subpart, shall remit to theDepartment a fee of $10,000 for expenses related to the site visit andsubsequent procedures related to initial accreditation pursuant to thisSubpart.

D Institutions accredited by the Commissioner and the Board of Regentspursuant to this Subpart shall remit a non-refundable annual fee of $35,000in a timeframe and manner prescribed by the Department for expenses re-lated to accreditation. Failure to remit the annual fee in accordance withthe schedule set by the Department shall result in an adverse accreditationaction against the institution.

D The filing of an appeal of a determination of an adverse accreditationaction pursuant to section 4-1.5(a)(11) of this Subpart shall include a pay-ment of $10,000 for expenses related to processing such appeal.

D The Department shall periodically review, and if necessary revise,this fee schedule to ensure that it is sufficient to meet the expenses relatedto accreditation.

d. Costs to regulating agency for implementation and continuedadministration: See above.

5. LOCAL GOVERNMENT MANDATES:The proposed amendment does not impose any additional program, ser-

vice, duty or responsibility upon any local government.6. PAPERWORK:The proposed amendment does not impose any additional paperwork

requirements.7. DUPLICATION:The proposed amendment does not duplicate existing State or Federal

requirements.8. ALTERNATIVES:No alternatives were considered.9. FEDERAL STANDARDS:There are no applicable Federal standards.10. COMPLIANCE SCHEDULE:It is anticipated that the proposed amendment will be adopted as a per-

manent rule by the Board of Regents at its September 2018 meeting. Ifadopted at the September 2018 meeting, the proposed amendment willbecome effective on October 3, 2018.

Regulatory Flexibility Analysis(a) Local governments:The amendment does not impose any new recordkeeping or other

compliance requirements, and will not have an adverse economic impacton local governments. Because it is evident from the nature of the proposedamendment that it does not affect local governments, no further steps were


22


needed to ascertain that fact and one were taken. Accordingly, a regulatoryflexibility analysis for local governments is not required and one has notbeen prepared.

(b) Small businesses:1. EFFECT OF RULE:The Office of College and University Evaluation Services estimates

that there are at least 10 currently accredited institutions currently operat-ing as small businesses with fewer than 100 employees in this State.

2. COMPLIANCE REQUIREMENTS:On February 8, 2018, the Department appeared before the National Ad-

visory Committee on Institutional Quality and Integrity (NACIQI)concerning the petition of the Board of Regents and Commissioner ofEducation for renewal of recognition by the U.S. Secretary of Educationas an institutional accrediting agency. NACIQI is charged with making arecommendation to the Secretary of Education concerning applications forrecognition as institutional accrediting agencies. At the February 8, 2018NACIQI meeting, the Committee accepted the following motion concern-ing the Board of Regents and Commissioner of Education’s recognition:



The proposed amendment would make clear that the extensionsprovided for in this section of the Rules of the Board of Regents arespecifically administrative in nature, and are granted for reasons such asthe scheduling of site visits, meetings of the Board of Regents or theRegents Advisory Council, etc., and that these administrative extensionsdo not extend the corrective action period granted to an institution to comeinto compliance with the standards for accreditation.





3. PROFESSIONAL SERVICES:No professional services are needed to comply with the proposed

amendment.4. COMPLIANCE COSTS:The amendment sets out a fee schedule for any higher education institu-

tion seeking accreditation by the Department as follows:D Applications for initial accreditation pursuant to section 4-1.5 of this

Subpart shall include a non-refundable payment of $3,000 to the Depart-ment for expenses related to the review of the self-study submitted pursu-ant to section 4-1.5(a)(3) of this Subpart.





5. ECONOMIC AND TECHNOLOGICAL FEASIBILITY:The proposed amendment does not impose any additional technological

requirements on any regulated parties.6. MINIMIZING ADVERSE IMPACT:In an effort to have uniform standards for all accredited institutions

across the State, no alternatives were considered.7. LOCAL GOVERNMENT PARTICIPATION:Comments on the proposed rule were solicited from accredited institu-

tions across the State.Rural Area Flexibility Analysis

1. TYPES AND ESTIMATED NUMBERS OF RURAL AREAS:This proposed amendment applies to all institutions of higher education

in New York State with education preparation programs registered by theDepartment, including those located in the 44 rural counties with fewerthan 200,000 inhabitants and the 71 towns and urban counties with apopulation density of 150 square miles or less.

2. REPORTING, RECORDKEEPING, AND OTHER COMPLIANCEREQUIREMENTS; AND PROFESSIONAL SERVICES:

On February 8, 2018, the Department appeared before the National Ad-visory Committee on Institutional Quality and Integrity (NACIQI)concerning the petition of the Board of Regents and Commissioner ofEducation for renewal of recognition by the U.S. Secretary of Educationas an institutional accrediting agency. NACIQI is charged with making arecommendation to the Secretary of Education concerning applications forrecognition as institutional accrediting agencies. At the February 8, 2018NACIQI meeting, the Committee accepted the following motion concern-ing the Board of Regents and Commissioner of Education’s recognition:



The proposed amendment would make clear that the extensionsprovided for in this section of the Rules of the Board of Regents arespecifically administrative in nature, and are granted for reasons such asthe scheduling of site visits, meetings of the Board of Regents or theRegents Advisory Council, etc., and that these administrative extensionsdo not extend the corrective action period granted to an institution to comeinto compliance with the standards for accreditation.





3. COSTS:The amendment sets out a fee schedule for any higher education institu-

tion seeking accreditation by the Department as follows:D Applications for initial accreditation pursuant to section 4-1.5 of this

Subpart shall include a non-refundable payment of $3,000 to the Depart-ment for expenses related to the review of the self-study submitted pursu-ant to section 4-1.5(a)(3) of this Subpart.



23




4. MINIMIZING ADVERSE IMPACT:The Department believes that all accredited institutions across the State,

whether or not they are located in rural areas or not, should be held to thesame uniform standards. Therefore, no alternatives were considered.

5. RURAL AREA PARTICIPATION:Copies of the proposed amendments have been provided to Rural Advi-

sory Committee for review and comment.

Job Impact StatementThe purpose of the proposed amendment is to clarify that the extensions

provided for in the Rules of the Board of Regents are specificallyadministrative in nature, and are granted for reasons such as the schedul-ing of site visits, meetings of the Board of Regents or the Regents Advi-sory Council, etc., and that these administrative extensions do not extendthe corrective action period granted to an institution to come into compli-ance with the standards for accreditation. The proposed amendment alsoestablishes a fee structure for institutions of higher education seeking tobecome accredited or accredited by the Commissioner and the Board ofRegents.

Because it is evident from the nature of the proposed amendments thatthey will have no impact on the number of jobs or employment opportuni-ties in New York State, no further steps were needed to ascertain that factand none were taken.

State Board of Elections



Implementation of the Democracy Protection Act

I.D. No. SBE-21-18-00047-P


Proposed Action: Amendment of section 6200.10; addition of section6200.11 to Title 9 NYCRR.

Statutory authority: Election Law, sections 14-107(5-a), 14-107-b and3-102(17)

Subject: Implementation of the Democracy Protection Act.

Purpose: The rule effectuates the amendments to article 14 of the ElectionLaw resulting from chapter 59 of the Laws of 2018.

Substance of proposed rule (Full text is posted at the following Statewebsite:www.elections.ny.gov): The proposed amendment to section6200.10, and the addition of section 6200.11, implements changes in lawresulting from the New York State Democracy Protection Act, Chapter 59of the Laws of 2018, Part JJJ. The proposed regulation modifies currentregulations as follows: a) Prohibits foreign entities from forming an inde-pendent expenditure committee and purchasing political ads in order toinfluence New York elections; b) Requires that internet and digitaladvertisements paid for by Independent Expenditure Committees andtargeted to 50 or more members of the General Public Audience be subjectto disclosure requirements; c) Requires all paid independent politicalonline ads to clearly display that the ad was not authorized by anycandidate and who actually paid for the ad; and d) Requires television orradio broadcast stations, provider of cable or satellite televisions, or onlineplatforms to collect the registration documents of Independent Expendi-ture committees when such committees purchase purchases communica-tions in the form of an independent expenditure.

Additionally, the proposed regulation defines “online platform” asfollows: ‘‘An online platform means: (1) a public-facing Internet Web site,web application, or digital application, including a social network, adnetwork or search engine, which sells political advertisements and has

50,000,000 or more unique monthly United States visitors or users for amajority of months during the preceding 12 months.’’Text of proposed rule and any required statements and analyses may beobtained from: Nicholas R. Cartagena, Esq., State Board of Elections, 40North Pearl Street, Ste. 5, Albany, NY 12207, (518) 474-2064, email:[email protected], views or arguments may be submitted to: Same as above.Public comment will be received until: 60 days after publication of thisnotice.Regulatory Impact Statement

1. Statutory authority: The New York State Democracy Protection Act,Chapter 59 of the Laws of 2018, Part JJJ, requires the New York StateBoard of Elections to promulgate rules related to the Board maintainingand making available for public inspection records and copies of paidinternet or digital advertisements by Independent Expenditure committees.Further the Act requires the Board to promulgate regulations defining thescope of the term ‘‘online platform.” Election Law §§ 14-107 [5-a] and14-107-b expressly authorizes the New York State Board of Elections topromulgate such rules and regulations. Election Law § 3-102(17) autho-rizes the State Board of Elections to “perform such other acts as may benecessary to carry out the purposes of this chapter.’’

2. Legislative objectives: The legislative objective furthered by theproposed regulation is to ensure transparency for independent expendituresin the form of internet and digital advertising and to protect New Yorkelections from foreign influence.

3. Needs and benefits: The regulation increases transparency by requir-ing internet and digital political advertisements in the form of independentexpenditures on online platforms to comply with certain disclosurerequirements. The proposed regulation also aims to prevent foreign influ-ence in State and Local elections by prohibiting foreign entities frompurchasing political advertisements. Further, the proposed regulationrequires Independent Expenditure committees to disclose internet anddigital political advertisements to the State Board in certain formats so theBoard can create and maintain a database of internet and digital politicaladvertisements on its website.

4. Costs:a. This regulatory amendment does not increase costs to regulated par-

ties as the regulation reflects only existing statutory obligations. There is acost related to the time and effort of Online Platforms, who now have tocollect registration forms from Independent Expenditure committeespurchasing political advertisements. There is an increased cost to the timeand effort for Independent Expenditure committees who have to report allinternet and digital advertisements and disclose them to the State Board incertain formats.

b. There is an increased cost to the State Board, as the State Board isnow obligated to collect records and copies of internet and digitaladvertisements from Independent Expenditure Committees and create andmaintain a database on its website of such advertisements.

c. This assessment of cost is based on the nature of the regulation.d. This regulatory amendment does not create new costs as the report-

ing obligations are in Election Law 14-107.5. Local government mandates: There are no additional responsibilities

imposed by this rule upon any county, city, town, village, school district,fire district or other special district.

6. Paperwork: This proposed rule imposes no new reporting or regula-tory filing requirements not provided for by statute, but statutory compli-ance requires Online Platforms to collect registration documents from In-dependent Expenditure committees.

7. Duplication: There is no jurisdictional duplication created by thisrulemaking.

8. Alternatives: This rulemaking amends the existing regulations toconform to the requirements of Election Law §§ 14-107 and 14-107-b asamended by Chapter 59 of the Laws of 2018. The definition of the termonline platform could be amended to include more or less entities.

9. Federal standards: Not applicable.10. Compliance schedule: The rule provides no new compliance

schedules not already expressly provided for by §§ 14-107 and 14-107-bof the Election Law.

Regulatory Flexibility Analysis1. Effect of rule: There is no impact on local government due to this

rule. This rule will have a minimal impact on small business. Should asmall business engage in independent expenditures, the existing statuteand regulation would require the committee to register and report activityto the State Board of Elections. This rule reflects a statutory amendment toElection Law §§ 14-107 and 14-107-b in 2018.

2. Compliance requirements: If a small business engaged in indepen-dent expenditures, it is required under existing law to register with theState Board of Elections as a political committee and to comply with theprovisions of Article 14 of the Election Law, as applicable, including


24


disclosing internet and digital political ads. In regards to the definition of“Online Platform,” the proposed definition functionally excludes smallbusinesses that operate a website. This rule has no impact on localgovernments.

3. Professional services: A small business that engages in independentexpenditures may acquire accounting services to maintain and report activ-ity to comply with the existing reporting requirements. This rule making,conforming the statute to the regulatory text, does not significantly changeany such potential need.

4. Compliance costs: It is unclear what the compliance costs are forregulated business or industry to comply with this rule. This rule making,conforming the statute to the regulatory text, does not significantly changeany such potential need. Nothing in this rule mandates any entity to engagein the activities triggering filing requirements.

5. Economic and technological feasibility: Our assessment of the eco-nomic and technological feasibility of compliance with this rule, as withthe existing rule, is that a small business would need a computer to makerequired disclosures.

6. Minimizing adverse impact: The rule requires no mitigation ofimpacts on small businesses as it regulates independent expenditures andreporting by those entities which choose to engage in those activities on anequal basis. The rules does not require engaging in such activities. Therules has no impact on local governments.

7. Small business and local government participation: The State Boardof Elections has solicited and will continue to solicit public comment.This would include comments that may suggest alternatives to minimizethe impact on small businesses that choose to make independent expendi-tures regulated by Article 14 of the Election Law.

For rules that either establish or modify a violation or penalties associ-ated with a violation: not applicable.

Initial review of the rule, pursuant to SAPA § 207: not applicable.

Rural Area Flexibility AnalysisUnder SAPA 202-bb(4)(a), when a rule does not impose an adverse eco-nomic impact on rural areas and the agency finds it would not imposereporting, recordkeeping, or other compliance requirements on public orprivate entities in rural areas, the agency may file a Statement in Lieu of.This rule has statewide application, amending the rules for independentexpenditure reporting as provided by Election Law §§ 14-107 and 14-107-b. The proposed rule does not create any new reporting, recordkeep-ing or other routine compliance requirements as they are already expresslyrequired by law. Accordingly, this rule has no adverse impacts on any area.

Job Impact Statement1. Nature of impact: This rule should have minimal or no impact on

jobs as it amends existing independent disclosure requirements by politi-cal committees and provides that Online Platforms collect registrationforms from Independent Expenditure committees.

2. Categories and numbers affected: This rule will impact committeeswhich engage in independent expenditure activity and Online Platforms.This rules will not create employment opportunities.

3. Regions of adverse impact: This rules has a statewide applicability,and has no disproportionate adverse impact on jobs or employment op-portunities in any region.

4. Minimizing adverse impact: The State Board of Elections has nottaken any measures to minimize adverse impact on existing jobs orpromote the development of new employment opportunities because theState Board of Elections has determined this rule would not have anadverse impact on jobs.

5. Self-employment opportunities: Not applicable.6. Initial review of the rule, pursuant to SAPA § 207: Not applicable.

Department of EnvironmentalConservation

ERRATUM

The Department of Environmental Conservation submitted an updatedRegulatory Impact Statement, Regulatory Flexibility Analysis and JobImpact Statement for ID No. ENV-12-18-00043-P pertaining to BEACHAct Standards and Reclassification Rule for publication in the May 9,2018 issue, however the original statements were inadvertentlyrepublished instead. The revised statements are printed below.

The Department of State apologizes for any inconvenience this mayhave caused.

Revised Regulatory Impact StatementThe New York State Department of Environmental Conservation

(Department) is proposing revisions to New York’s water qualitystandards to meet the requirements of the federal Beaches EnvironmentalAssessment and Coastal Health (BEACH) Act of 2000 (P.L. 106-284).The Department is also proposing upgrades to the classification of twowater bodies.

1. Statutory AuthorityThe statutory authority for adoption of water quality standards and

classifications is found in the Environmental Conservation Law (ECL)Articles 3 and 17. ECL Article 3 provides that the Commissioner of theDepartment may adopt regulations to carry out the purposes of the ECLin general. ECL Article 17 directs the Department to classify the watersof the state in accordance with best usage and maintain reasonablestandards consistent with public health and public enjoyment of thewaters. Specifically, Section 17-0301 provides that the Department ‘‘shallgroup the designated waters of the state into classes. Such classificationshall be made in accordance with considerations of best usage in theinterest of the public’’ and further that the Department ‘‘shall adopt andassign standards of quality and purity for each such classificationnecessary for the public use or benefit contemplated by suchclassification.’’

2. Legislative ObjectivesThe legislative objectives related to this proposed rule are to

‘‘conserve, improve and protect [the State’s] natural resources andenvironment and to prevent, abate and control water, land and airpollution, in order to enhance the health, safety and welfare of the peopleof the state and their overall economic and social well being.’’ ECL1-0101(1). Furthermore, it is the policy of the state to guarantee that the‘‘widest range of beneficial uses of the environment is attained withoutrisk to health or safety, unnecessary degradation or other undesirable orunintended consequences.’’ ECL 1-0101(3)(b). In furtherance of thesebroad policies, specific objectives are to ‘‘maintain reasonable standardsof purity of the waters of the state consistent with public health andpublic enjoyment thereof...’’ ECL 17-0101.

3. Needs and BenefitsThe proposed rule would adopt new pathogen standards for all coastal

recreation waters and new definitions for the terms “coastal recreationwaters” and “primary contact recreation season,” which are needed tomeet the requirements of the federal BEACH Act. The proposedstandards are consistent with the United States Environmental ProtectionAgency’s (USEPA’s) 2012 Recreational Water Quality Criteria (RWQC).The RWQC are USEPA’s recommendations for protecting human healthin waters designated for primary contact recreation use. The proposedstandards are: a 90-day Geometric Mean (GM) of 35 cfu/100mL and astatistical threshold value (STV) of 130 cfu/100mL for enterococci, and a90-day GM of 126 cfu/100mL and a STV of 410 cfu/100mL for E.coli.Existing total and fecal coliform standards for recreational use protectionwould be maintained.

In evaluating the waters that would be defined as “coastal recreationwaters,” and covered by this proposed rule, the Department identified twolarge coastal waters, currently designated as Class I, that were notdesignated as having a best usage of primary contact recreation: UpperNew York Bay (6 NYCRR § 890.6 - Item No. 6); and a portion of LowerNew York Bay (6 NYCRR § 890.6 - Item No. 4). In 1985, theDepartment determined that these waters were unable to support a bestusage of primary contact recreation. See Use Attainability Analysis of theNew York Harbor Complex, August 1985, Page 17. Since that time, thewater quality in the two water bodies proposed for reclassification hasimproved dramatically. See New York Harbor Water Quality Report,2016. In 2015, the Department revised its regulations to require that ClassSD and I waters be of quality suitable for swimming. That rulemaking didnot designate a best usage of primary contact recreation for Class SD or Iwaters. Considering the water quality improvements in these twowaterbodies and that they are adjacent to numerous public beaches, theDepartment has determined that they should be reclassified from Class Ito Class SB to designate the best usage of primary contact recreation. Theproposed pathogen standards would thus apply to the reclassified waters,consistent with the federal BEACH Act requirements for all marinecoastal recreation waters, as well as a more stringent dissolved oxygenstandard for Class SB waters.

4. CostsThe Department reviewed this proposed rule and identified the likely

anticipated costs. The Department identified 41 municipal wastewatertreatment plants ranging from 0.1 million gallons per day (MGD) to 135MGD treatment capacity discharging to coastal recreation waters(including waters proposed for reclassification by this rule). Sixteen (16)


25

of the 41 municipal wastewater treatment plants discharge to the GreatLakes, while the remaining 25 facilities discharge to marine coastalrecreation waters (including waters proposed for reclassification by thisrule). Additionally, 4 Private, Commercial, and Institutional (PCI)facilities were identified as surface water sanitary dischargers to marinecoastal recreation waters.

The financial impact due to the adoption of the proposed E. colistandard is considered to be de minimus, as existing disinfectiontreatment facilities discharging to the Great Lakes are expected to meetthe proposed standard without significant adjustments.

Under the proposed enterococci standards 25 municipal wastewatertreatment plants and 4 PCI facilities discharging to marine coastalrecreation waters (including waters proposed for reclassification by thisrule) will likely need to upgrade their existing disinfection systems orincur increased operation and maintenance (O&M) costs resulting fromhigher dosing. The Department analyzed the costs associated withdisinfection using both chlorination and ultraviolet radiation (UV).

The estimated unit cost for building a UV disinfection system is$512,676/MGD design flow in capital costs with an estimated O&M costof $10,000/MGD per year. Given that the total capital cost for conversionto UV disinfection is significantly higher than other alternatives, theestimated financial impact assumes that the impacted facilities will notchoose the UV option. For facilities that already have an existing UVdisinfection system, the most cost-effective alternative is to double theUV light intensity or dosing, thus the financial impact of $10,000/MGDper year will be that resulting solely from increased O&M expenditures.Construction of a de-chlorination facility is estimated to cost $220,000/MGD. The average O&M cost of approximately $18,600/MGD per yearwas used to determine the potential financial impact associated withO&M for facilities utilizing chlorination and de-chlorination and$27,900/MGD per year for facilities that currently chlorinate but willneed to add de-chlorination facilities. The estimated total financial impactis as follows: 9 municipal wastewater treatment facilities and 2 PCIfacilities would incur a collective capital cost of approximately $55million to construct chlorination/dechlorination; 29 impacted facilitieswould incur increased O&M costs, collectively totaling approximately$14 million per year.

Certain coastal Class SB waters (including waters proposed forreclassification from Class I to Class SB by this rule) are impacted byCombined Sewer Overflows (CSO). The New York City (NYC) CSOcontrol program is being implemented through the development of LongTerm Control Plans (LTCPs). The LTCPs must meet the regulatoryrequirements of the EPA’s CSO Control Policy as per the Clean Water Act(CWA) section 402(q), and adhere to the terms of the 2005 Consent Orderbetween NYSDEC and NYC (Case No. CO2-20000107-8), as modifiedin 2008, 2009, 2012, 2015, 2016, and 2017 (collectively the “ConsentOrder”). LTCPs evaluate the cost-effectiveness of a range of controloptions/strategies, including up to 100% CSO capture. Given that NYCmust currently comply with EPA’s CSO control policy through thedevelopment and implementation of these LTCPs, no additional costs areanticipated to be driven by this rulemaking beyond those already requiredby the Consent Order, the LTCPs, NYC’s State Pollutant DischargeElimination System (SPDES) Permits, the CSO Control Policy and CWAsection 402(q). These existing and continuing requirements are expectedto result in the submission of approvable Jamaica Bay and City-WideLTCPs that will include projects designed to achieve the highestattainable condition within the CSO impacted waterbodies.

The proposed reclassification would also cause a more stringent,existing Class SB aquatic life standard for Dissolved Oxygen (DO) toapply to these waters. The existing DO standard for Class I is a minimumof 4.0 mg/L, while the existing DO standard for Class SB is a minimumof 4.8 mg/L, with allowable excursions below 4.8 mg/L for limitedperiods of time. An examination of the current DO levels in these waterbodies reveals that the new standard would be attained and not likelyresult in additional costs.

5. Local Government MandatesAs described in this document, this proposed rule would revise and

update New York State’s water quality standards which in turn would beincorporated into permits issued under Titles 7 and 8 of Article 17 of theEnvironmental Conservation Law. Any county, city, town, village, schooldistrict, fire district, or other special district permitted to discharge underthe above statute may be responsible for complying with revised effluentlimitations resulting from the proposed rule. The Department hasreviewed potentially affected permits and included the estimated costs tocomply with the proposed rule discussed above. Beyond these costs, this

rule would not impose any additional program, service, duty, orresponsibility upon any county, city, town, village, school district, firedistrict, or other special district.

6. PaperworkAs part of the SPDES program, all significant permittees (for permit

classifications see the Department’s Technical & Operational GuidanceSeries (TOGS) 1.2.2) are required to periodically report monitoring datafor substances included in their permit. The proposed regulations are notexpected to increase or decrease the number of significant SPDESpermittees. Dischargers that may be required to report on a parameter forwhich they were previously not regulated would have to maintain recordsand report the discharge level of the newly regulated parameter onexisting reports. This proposed rule does not require the submission ofany new forms.

7. DuplicationBoth federal law and federal regulations set forth requirements for

states regarding water quality standards (uses and criteria). Under federallaw, promulgation of surface water standards is primarily a stateresponsibility. EPA provides oversight and guidance and approves statestandards for surface water, but does not promulgate standards that applynationwide. However, where a state’s standards are inadequate, and EPAdisapproves, EPA must then promulgate standards for the state if the statedoes not timely address the inadequacies.

8. AlternativesThe Department considered the ‘‘no action’’ alternative which would

place the state in the position of not meeting the federal BEACH Act. Theno action alternative was rejected as it was determined to be lessprotective of coastal recreation waters than the proposed rule and wouldnot implement the requirements of the BEACH Act. The ‘‘no action”alternative for the reclassification was also rejected because thereclassification is appropriate at this time because of improvements inwater quality since 1985 and because the two large coastal waters areadjacent to numerous public beaches.

9. Federal StandardsThe proposed regulatory changes do not exceed any federal minimum

standards. The proposal is consistent with the requirements of the federalBEACH Act. For more information, please see Section 7 of thisdocument, titled “Duplication.”

10. Compliance ScheduleThe proposed rule, if adopted, would take effect on the date that the

Notice of Adoption is published in the State Register. However, theDepartment recognizes that it may be unreasonable, both physically andfiscally, to expect regulated parties to comply with the regulationsimmediately. After the rulemaking becomes effective it would beimplemented in permits when modified. If additional treatment isrequired, a compliance schedule in the permit may be established on acase-by-case basis with the permittee, and may require the permittee tosubmit a report describing their chosen treatment alternative and includea schedule for construction. Under such a scenario, the Department wouldreview and, if appropriate, would approve the report before constructionwould commence. Although it is difficult to estimate, with accuracy, theamount of time necessary for regulated parties to achieve compliancewith the proposed rule, it is expected that the Department will be able toreview and renew affected permits within five years of the effective dateof promulgation.

Revised Regulatory Flexibility AnalysisThe New York State Department of Environmental Conservation

(Department) is proposing new standards for all coastal recreation watersto meet the requirements of the federal Beaches EnvironmentalAssessment and Coastal Health (BEACH) Act of 2000 (P.L. 106-284). Inaddition, the Department is proposing to reclassify certain Class I watersconsisting of Upper New York Bay and a portion of Lower New YorkBay to add the best usage of primary contact recreation to these waters.

1. Effect of RuleThe Department reviewed the proposed rule and identified the likely

anticipated costs that are set forth in this section. The Departmentidentified 41 municipal wastewater treatment plants ranging from 0.1million gallons per day (MGD) to 135 MGD treatment capacitydischarging to coastal recreation waters (including waters proposed forreclassification by this rule). Sixteen (16) of the 41 municipal wastewatertreatment plants discharge to the Great Lakes, while the remaining 25facilities discharge to marine coastal recreation waters (including watersproposed for reclassification by this rule). Additionally, 4 Private,Commercial, and Institutional (PCI) facilities were identified as surfacewater sanitary dischargers to marine coastal recreation waters.


26

The financial impact due to the adoption of the proposed E. colistandard is considered to be de minimus, as existing disinfectiontreatment facilities discharging to the Great Lakes are expected to meetthe proposed standard without significant adjustments.

Under the proposed enterococci standards 25 municipal wastewatertreatment plants and 4 PCI facilities discharging to marine coastalrecreation waters (including waters proposed for reclassification by thisrule) will likely need to upgrade their existing disinfection systems orincur increased operation and maintenance (O&M) costs resulting fromhigher dosing. The Department analyzed the costs associated withdisinfection using chlorination and ultraviolet radiation (UV).

The estimated unit cost for building a UV disinfection system is$512,676/MGD design flow in capital costs with an estimated O&M costof $10,000/MGD per year. Given that the total capital cost for conversionto UV disinfection is significantly higher than other alternatives, theestimated financial impact assumes that the impacted facilities will notchoose the UV option. For facilities that already have an existing UVdisinfection system, the most cost-effective alternative is to double theUV light intensity or dosing, thus the financial impact of $10,000/MGDper year will be that resulting solely from increased O&M expenditures.Construction of a de-chlorination facility is estimated to cost $220,000/MGD. The average O&M cost of approximately $18,600/MGD per yearwas used to determine the potential financial impact associated withO&M for facilities utilizing chlorination and de-chlorination and$27,900/MGD per year for facilities that currently chlorinate but willneed to add de-chlorination facilities. The estimated total financial impactis as follows: 9 municipal wastewater treatment facilities and 2 PCIfacilities would incur a collective capital cost of approximately $55million to construct chlorination/dechlorination; 29 impacted facilitieswould incur increased O&M costs, collectively totaling approximately$14 million per year.

Certain coastal Class SB waters (including waters proposed forreclassification from Class I to Class SB by this rule) are impacted byCombined Sewer Overflows (CSO). The New York City (NYC) CSOcontrol program is being implemented through the development of LongTerm Control Plans (LTCPs). The LTCPs must meet the regulatoryrequirements of the EPA’s CSO Control Policy as per the Clean Water Act(CWA) section 402(q), and adhere to the terms of the 2005 Consent Orderbetween NYSDEC and NYC (Case No. CO2-20000107-8), as modifiedin 2008, 2009, 2012, 2015, 2016, and 2017 (collectively the “ConsentOrder”). LTCPs evaluate the cost-effectiveness of a range of controloptions/strategies, including up to 100% CSO capture. Given that NYCmust currently comply with EPA’s CSO control policy through thedevelopment and implementation of these LTCPs, no additional costs areanticipated to be driven by this rulemaking beyond those already requiredby the Consent Order, the LTCPs, NYC’s State Pollutant DischargeElimination System (SPDES) Permits, the CSO Control Policy and CWAsection 402(q). These existing and continuing requirements are expectedto result in the submission of approvable Jamaica Bay and City-WideLTCPs that will include projects designed to achieve the highestattainable condition within the CSO impacted waterbodies.


2. Compliance RequirementsAs part of the SPDES program, all significant permittees (for permit

classifications see the Department’s Technical & Operational GuidanceSeries (TOGS) 1.2.2) are required to periodically report monitoring datafor substances include in their permit. The proposed regulations are notexpected to increase or decrease the number of significant SPDESpermittees. Dischargers that may be required to report on a parameter forwhich they were previously not regulated would have to maintain recordsand report the discharge level of the newly regulated parameter onexisting reports. This proposed rule does not require the submission ofany new forms. As mentioned above, the Department has identified costsassociated with the proposed rule that may be incurred by smallbusinesses or local governments.

3. Professional ServicesThere may be professional engineering services needed for the

facilities potentially affected by the proposed rule, as mentioned above, toupgrade existing disinfection systems.

4. Compliance CostsThe Department reviewed the proposed rule and identified the likely

anticipated costs that are set forth in this section. The estimated totalfinancial impact for the municipal wastewater treatment facilities and PCIfacilities to meet the proposed standards is a capital cost of approximately$55 million and a net increase in O&M costs of approximately $14million per year. For a more detailed discussion please see above.

5. Economic and Technological FeasibilityThe Department has concluded that compliance by regulated parties is

both economically and technologically feasible. Under the proposedenterococci standards 25 municipal wastewater treatment plants and 4PCI facilities discharging to marine coastal recreation waters (includingwaters proposed for reclassification by this rule) will likely need toupgrade their existing disinfection systems or incur increased O&M costsresulting from higher dosing.

6. Minimizing Adverse ImpactIn developing this rulemaking, consideration was given to approaches

that would minimize adverse economic impacts of the rule on smallbusinesses and local governments such as differing requirements,outcome standards, and potential exemptions from coverage. Given thenature of this rule, and in order to adequately protect the waters of theState and to meet the requirements of federal law, differing requirementsor potential exemptions for small businesses and local governments werenot feasible. However, for the potentially impacted facilities subject tothis rule, the Department will allow necessary time to establish a path tocompliance.

The proposed regulatory changes, if adopted, would take effect on thedate that the Notice of Adoption is published in the State Register. TheDepartment recognizes that it may be unreasonable, both physically andfiscally, to expect regulated parties to comply with the regulationsimmediately. After the rulemaking becomes effective it would beimplemented in permits when modified. If additional treatment isrequired, a compliance schedule in the permit may be worked out on acase-by-case basis with the permittee. Such a compliance schedule mayrequire the permittee to submit a report describing their chosen treatmentalternative and include a schedule for construction. Under such ascenario, the Department would review and, if appropriate, wouldapprove the report before construction would commence. Although it isdifficult to estimate, with accuracy, the amount of time necessary forregulated parties to achieve compliance with the proposed rule, it isexpected that the Department will be able to review and renew affectedpermits within five years of the effective date of promulgation.

7. Small Business and Local Government ParticipationThe Department will inform the public about the proposed rule through

the Department website, letters to dischargers and municipalities, andnotices in the Environmental Notice Bulletin and the State Register. TheDepartment will hold two public hearings pertaining to the rulemaking.The public will have the opportunity to comment on the proposed rule byattending a public hearing or by submitting written comments to theDepartment.

Revised Job Impact StatementThis document is prepared in accordance with the State Administrative

Procedure Law (SAPA) § 201-a. Pursuant to SAPA § 201-a (2) (a), theDepartment has determined that a Job Impact Statement is not requiredbecause the proposed rule will not have a substantial adverse impact onjobs and employment opportunities. This document contains theDepartment’s rationale for this determination.

1. Nature of ImpactThe Department is proposing new standards for all coastal recreation

waters to meet the requirements of the federal Beaches EnvironmentalAssessment and Coastal Health (BEACH) Act of 2000 (P.L. 106-284). Inaddition, the Department is proposing to reclassify certain Class I watersconsisting of Upper New York Bay and a portion of Lower New YorkBay to add the best usage of primary contact recreation to these waters.The only businesses or entities that could potentially be adverselyimpacted by this rule are those that hold State Pollutant DischargeElimination System (SPDES) permits for discharge to the affectedwaterbodies.

2. Categories and Numbers AffectedThe Department reviewed the proposed rule and identified the likely

anticipated costs that are set forth in this section. The Departmentidentified 41 municipal wastewater treatment plants ranging from 0.1million gallons per day (MGD) to 135 MGD treatment capacitydischarging to coastal recreation waters (including waters proposed forreclassification by this rule). Sixteen (16) of the 41 municipal wastewater


27

treatment plants discharge to the Great Lakes, while the remaining 25facilities discharge to marine coastal recreation waters (including watersproposed for reclassification by this rule). Additionally, 4 Private,Commercial, and Institutional (PCI) facilities were identified as surfacewater sanitary dischargers to marine coastal recreation waters.

The financial impact due to the adoption of the proposed E. colistandard is considered to be de minimus, as existing disinfectiontreatment facilities discharging to the Great Lakes are expected to meetthe proposed standard without significant adjustments. Under theproposed enterococci standards 25 municipal wastewater treatment plantsand 4 PCI facilities discharging to marine coastal recreation waters(including waters proposed for reclassification from Class I to Class SBby this rule) will likely need to upgrade their existing disinfectionsystems or incur increased operation and maintenance (O&M) costsresulting from higher dosing. The Department analyzed the costsassociated with disinfection using chlorination and ultraviolet radiation(UV).

The estimated unit cost for building a UV disinfection system is$512,676/MGD design flow in capital costs with an estimated O&M costof $10,000/MGD per year. Given that the total capital cost for conversionto UV disinfection is significantly higher than other alternatives, theestimated financial impact assumes that the impacted facilities will notchoose the UV option. For facilities that already have an existing UVdisinfection system, the most cost-effective alternative is to double theUV light intensity or dosing, thus the financial impact of $10,000/MGDper year will be that resulting solely from increased O&M expenditures.Construction of a de-chlorination facility is estimated to cost $220,000/MGD. The average O&M cost of approximately $18,600/MGD per yearwas used to determine the potential financial impact associated withO&M for facilities utilizing chlorination and de-chlorination and$27,900/MGD per year for facilities that currently chlorinate but willneed to add de-chlorination facilities.

The estimated total financial impact is as follows: 9 municipalwastewater treatment facilities and 2 PCI facilities would incur acollective capital cost of approximately $55 million to constructchlorination/dechlorination; 29 impacted facilities would incur increasedO&M costs, collectively totaling approximately $14 million per year.

Although these costs are not de minimis, they are spread across a largenumber of facilities over time and are not likely to impact in anymeasurable way job opportunities in New York State. To the contrary, thisrule may create job opportunities for engineers and construction firms todesign and construct necessary waste water treatment plant retrofits.

Certain coastal Class SB waters (including waters proposed forreclassification from Class I to Class SB by this rule) are impacted byCombined Sewer Overflows (CSO). The New York City (NYC) CSOcontrol program is being implemented through the development of LongTerm Control Plans (LTCPs). The LTCPs must meet the regulatoryrequirements of the EPA’s CSO Control Policy as per the Clean Water Act(CWA) section 402 (q), and adhere to the terms of the 2005 ConsentOrder between NYSDEC and NYC (Case No. CO2-20000107-8), asmodified in 2008, 2009, 2012, 2015, 2016, and 2017 (collectively the“Consent Order”). LTCPs evaluate the cost-effectiveness of a range ofcontrol options/strategies, including up to 100% CSO capture. Given thatNYC must currently comply with EPA’s CSO control policy through thedevelopment and implementation of these LTCPs, no additional costs areanticipated to be driven by this rulemaking beyond those already requiredby the Consent Order, the LTCPs, NYC’s SPDES Permits, the CSOControl Policy and CWA section 402 (q). These existing and continuingrequirements are expected to result in the submission of approvableJamaica Bay and City-Wide LTCPs that will include projects designed toachieve the highest attainable condition within the CSO impactedwaterbodies.


3. Regions of Adverse ImpactThis rule would set forth new water quality standards for coastal

recreation waters. These waters are found along the shores of Bronx,Cayuga, Chautauqua, Erie, Jefferson, Kings, Monroe, Nassau, Niagara,Orleans, Oswego, Queens, Richmond, St. Lawrence, Suffolk, Wayne, and

Westchester counties. This rule would also upgrade the classification ofClass I coastal waters of Upper New York Bay and a portion of LowerNew York Bay, found along the shores of Kings, New York, andRichmond counties. However, as mentioned above, the proposed rule isnot likely to negatively impact in any measurable way job opportunitiesin the state of New York. To the contrary, this rule may create jobopportunities for engineers and construction firms to design and constructnecessary wastewater treatment plant retrofits and may result in fewerbeach closures which in turn would potentially increase tourism revenuefor the affected areas.

4. Minimizing Adverse ImpactThe proposed regulatory changes, if adopted, would take effect on the

date that the Notice of Adoption is published in the State Register.However, the Department recognizes that it may be unreasonable, bothphysically and fiscally, to expect regulated parties to comply with theregulations immediately. After the rulemaking becomes effective it wouldbe implemented in permits when modified. If additional treatment isrequired, a compliance schedule in the permit may be worked out on acase-by-case basis with the permittee. Such a compliance schedule mayrequire the permittee to submit a report describing their chosen treatmentalternative and include a schedule for construction. Under such ascenario, the Department would review and, if appropriate, wouldapprove the report before construction would commence. Although it isdifficult to estimate, with accuracy, the amount of time necessary forregulated parties to achieve compliance with the proposed rule, it isexpected that the Department will be able to review and renew affectedpermits within five years of the effective date of promulgation.

5. ConclusionThe Department has determined that this potential impact is not a

“substantial adverse impact on jobs and employment opportunities” asthat term is defined in section 201-a (6) (c) of the New York StateAdministrative Procedure Act. In addition, this rule will not have ameasurable impact on self-employment. Therefore, the Department hasdetermined that a Job Impact Statement is not required.

EMERGENCY

RULE MAKING

Sanitary Condition of Shellfish Lands

I.D. No. ENV-21-18-00027-E

Filing No. 410




Action taken: Amendment of Part 41 of Title 6 NYCRR.

Statutory authority: Environmental Conservation Law, sections 13-0307and 13-0319

Finding of necessity for emergency rule: Preservation of public health.

Specific reasons underlying the finding of necessity: Shellfish are filterfeeders that consume plankton, other minute organisms and particulatematter found in the water column. They are capable of accumulating patho-genic bacteria, viruses and toxic substances within their bodies. Conse-quently, shellfish harvested from areas that do not meet the bacteriologicalstandards for certification have an increased potential to cause illness inshellfish consumers. Closures of shellfish lands that do not meet the waterquality standards provide essential protection of public health. Some shell-fish growing areas will require reclassification as uncertified year-roundand/or seasonally uncertified. Recent evaluations of current water qualitydata indicate that the bacteriological standards for certified shellfish landsare not being met in the affected areas and an increased risk of illness ex-ists for shellfish consumers.

Some shellfish growing areas will require reclassification as certifiedyear-round and seasonally uncertified. Recent evaluations of current waterquality data also indicate that the bacteriological standards for other shell-fish growing areas are being met and those areas can be reclassified as cer-tified year-round or seasonally uncertified for the harvest of shellfish.Technical changes are also needed to clarify descriptions for enforcementpurposes, to correct inconsistent spellings of similar names and to removeunnecessary ordinal indicators in the description of closure dates.

The promulgation of this regulation on an emergency basis is necessaryto protect public health. If the department does not adopt this rule makingon an emergency basis, areas that do not meet bacteriological standards


28

will remain open for the harvest and consumption of potentially harmfulshellfish.Subject: Sanitary Condition of Shellfish Lands.Purpose: To reclassify underwater shellfish lands to protect public health.

Text of emergency rule: 6 NYCRR Part 41 is amended to read as follows:Clause 41.2(b)(1)(ii)(‘e’) is amended to read as follows:

(‘e’) [All] During the period of November 1 through April 30,both dates inclusive, all that area of East Bay and all other bays, creeks,canals and tributaries lying [east and within the boundaries north of a lineextending southerly from the westernmost point of land at Big Crow Islandat Neds Creek to the southwestern corner of the Fundy Channel Bridge ofthe Meadowbrook Parkway on West Crow Island, and] north of a lineextending easterly from the southwestern corner of the Fundy ChannelBridge of the Meadowbrook Parkway on West Crow Island to thenorthwestern tip of the Sloop Channel Bridge of the Wantagh StateParkway connecting Green Island with Jones Beach State Park, and westof a line extending northerly along the western shoreline of Green Islandto the southwestern tip of the Goose Creek Bascule Bridge of the WantaghState Parkway, connecting Green Island with Great (Low) Island, [andsouth of a line extending westerly to the westernmost point of land of BigCrow Island on Neds Creek.] then continuing northerly along the shorelineto the westernmost point of Great (Low) Island, and continuing northwest-erly to the southernmost point of land at Whaleneck Point, and lying southand east of a line extending southwesterly to the northernmost tip of BigCrow Island at Neds Creek, continuing along the western shore of BigCrow Island, to the southwestern corner of the Fundy Channel Bridge ofthe Meadowbrook Parkway on West Crow Island.

Clause 41.2(b)(3)(ii)(‘c’) is amended to read as follows:(‘c’) All that area of West Pond and that portion of Hempstead

Harbor lying [southerly and easterly of a line extending northerly from thewesternmost end of the rock jetty, located southerly of the mouth of WestPond, to the westernmost end of the rock jetty with adjacent woodenwalkway, located on Dosoris Island, northerly of the mouth of West Pond(local names, local landmarks).] between lines extending 500 feetnorthwesterly from the seaward ends of the rock jetties on each side of theentrance to West Pond (local names, local landmarks).

Clause 41.2(b)(4)(ii)(‘c’) is amended to read as follows:(‘c’) All that area of West Pond and that portion of Hempstead


Subparagraph 41.3(b)(4)(xiv) is amended to read as follows:(xiv) [Noyac] Noyack Creek. During the period May [1st] 1

through November [30th] 30 (both dates inclusive) all that area of [Noyac]Noyack Creek lying southerly of a line extending southwesterly from thesouthwesternmost point of land on Clam Island to the opposite shorelinelocated at Morton National Wildlife Refuge in Noyack.

Clauses 41.3(b)(4)(xv)(‘a’), (‘b’) and (‘c’) are amended to read asfollows:

(‘a’) During the period May [15th] 1 through [October 15th]November 30 (both dates inclusive), all that area of Cold Spring Pondwithin the former Lobster Inn Boat Basin (local names, local landmark),lying northwest of a line extending northeasterly along the fixed woodendock of the former Lobster Inn Restaurant to the opposite shoreline, andall that area lying southeast of a line extending southwesterly from thenorthwesternmost point of land on the unnamed peninsula bordering thenortheastern side of the cove, continuing southwesterly to the oppositeshoreline (adjacent to the former Lobster Inn Restaurant).

(‘b’) During the period January [1st] 1 through December [31st]31 (both dates inclusive), all that area of the former Lobster Inn Boat Basinlying southeast of a line extending northeasterly along the fixed woodendock of the former Lobster Inn Restaurant to the opposite shoreline.

(‘c’) During the period May [1st] 1 through November [30th]30, both dates inclusive, all that area of Cold Spring Pond lying northeastof a line extending southeasterly from an orange marker located on thenorthern shoreline in the northeastern corner of the pond to another orangemarker located on the eastern shoreline adjacent to Shrubland Road.

Subparagraph 41.3(b)(5)(vii) is amended to read as follows:(vii) [During the period May 15th through October 15th (both dates

inclusive), all] Devon Yacht Club. All that area of the Devon Yacht ClubBoat Basin (local name), located on the southern side of Napeague Bay.

Clause 41.3(b)(5)(viii)(‘a’) is amended to read as follows:(‘a’) Alewife Pond. All that area of Alewife Pond, including

entrance channel and all that area of Northwest Harbor, within [50] 300yards in all directions from the inlet of Alewife Pond.

Clause 41.3(b)(5)(ix)(‘c’) is amended to read as follows:(‘c’) In the absence of [the] one or both painted markers, all of

Northwest Creek is uncertified.Clause 41.3(b)(7)(iii)(‘c’) is amended to read as follows:

(‘c’) Wickham Creek. During the period of May 15 throughOctober 31, both dates inclusive, all that area of Wickham Creek and itstributaries.

Subclauses 41.3(b)(7)(iii)(‘c’)(‘1’) and (‘2’) are repealed.Subclause 41.3(b)(7)(iii)(‘c’)(‘3’) is renumbered Subclause

41.3(b)(7)(iii)(‘c’)(‘1’).Clause 41.3(b)(7)(xi)(‘e’) is amended to read as follows:

(‘e’) West Creek. During the period of [May 1st throughNovember 30th] January 1 through December 31, both dates inclusive, allthat area of West Creek [including], and all that area of Great Peconic Baywithin 750 feet in all directions of the southernmost point of the jetty onthe east side of the mouth of West Creek.

Subclause 41.3(b)(7)(xii)(‘b’)(‘2’) is amended to read as follows:(‘2’) During the period [April 15th to December 31st] May 1

through November 30, both dates inclusive, all that area of Jockey Creek,Town Creek and tributaries, lying west of a line extending southerly fromthe south end of Terry Road directly to the opposite shore.

Clause 41.3(b)(7)(xii)(‘d’) is amended to read as follows:(‘d’) Goose Creek. During the period [April 15th through

December 31st] May 1 through November 30, both dates inclusive, all thatarea of Goose Creek lying south and west of the Goose Creek Bridge (lo-cal landmarks).

Clause 41.3(b)(7)(xiii)(‘a’) is amended to read as follows:(‘a’) Oyster Ponds. During the period May 15[th] through

October 31[st], both dates inclusive, all that area of Orient Harbor [lyingeast of a line extending northerly from the tip of the northwesternmostdock of the Orient Yacht Club to the northernmost corner of the bulkheadat the shoreline at the foot of the Harbor River Road] and its tributaries ly-ing north and east of the fixed dock at Orient Yacht Club and then east of aline extending northerly from the northwestern corner of the northwesternmost dock of the Orient Yacht Club to an orange marker on the beach 275yards northwest of the northernmost corner of the bulkhead at the foot ofHarbor River Road and all that area of Oyster Ponds in its entirety.

Clauses 41.3(b)(7)(xiii)(‘c’) and (‘d’) are repealed.Clause 41.3(b)(7)(xiii)(‘e’) is renumbered Clause 41.3(b)(7)(xiii)(‘c’).Renumbered Clause 41.3(b)(7)(xiii)(‘c’) is amended to read as follows:

(‘c’) Spring Pond. During the period January 1[st] throughDecember 31[st], both dates inclusive, all that area of Spring Pond includ-ing tributaries, and all that area of Orient Harbor within 500 feet in alldirections of the southeastern end of the easternmost bulkhead at theentrance to Spring Pond.

Clause 41.3(b)(7)(xiii)(‘f’) is repealed.Subparagraph 41.3(b)(7)(xv) is amended to read as follows:

(xv) Little Peconic Bay. Richmond Creek. During the period [April1st] May 1 through October 31[st], both dates inclusive, all that area ofRichmond Creek lying west of a line extending north from the easternmostpoint of land at the south side of the mouth of Richmond Creek to the op-posite shore.

Paragraph 41.3(b)(10) is amended to read as follows:(10) Town of [Smith Town] Smithtown

Clauses 41.3(b)(10)(i)(‘a’) and (‘b’) are amended to read as follows:(‘a’) All that area of Smithtown Bay, including the Nissequogue

River and its tributaries and Sunken Meadow Creek, lying south of a lineextending northeasterly from the flagpole at the East Bath House at SunkenMeadow State Park (local landmark) to Buoy BW ‘‘NR’’, located (atcoordinates 40° 55.395' N latitude and 73° 13.745' W longitude), ap-proximately one mile north of the mouth of the Nissequogue River, thencesoutheasterly to the flagpole located at the Town of Smithtown Beach atShort Beach (local landmark).

(‘b’) All that area within a one-half mile radius of Buoy BW‘‘NR’’, (at coordinates 40° 55.395' N latitude and 73° 13.745' W longi-tude), approximately one mile north of the mouth of the NissequogueRiver.

This notice is intended to serve only as a notice of emergency adoption.This agency intends to adopt this emergency rule as a permanent rule andwill publish a notice of proposed rule making in the State Register at somefuture date. The emergency rule will expire July 30, 2018.

Text of rule and any required statements and analyses may be obtainedfrom: Matthew Richards, NYS Department of Environmental Conserva-tion, 205 N. Belle Mead Road, Suite 1, East Setauket, NY 11733, (631)444-0491, email: [email protected]

Regulatory Impact Statement1. Statutory authority:The statutory authority for designating shellfish lands as certified or

uncertified is given in Environmental Conservation Law (ECL) section


29

13-0307. Subdivision 1 of section 13-0307 of the ECL requires the Depart-ment of Environmental Conservation (the department) to periodicallyconduct examinations of all shellfish lands within the marine district toascertain the sanitary condition of these areas. Subdivision 2 of this sec-tion requires the department to certify which shellfish lands are in suchsanitary condition that shellfish may be taken for food. Such lands aredesignated as certified shellfish lands. All other shellfish lands aredesignated as uncertified. The statutory authority for promulgating regula-tions with respect to the harvest of shellfish is given in ECL section 13-0319.

2. Legislative objectives:There are two purposes of the legislation: to ensure that shellfish lands

are appropriately classified as either certified or uncertified and to protectpublic health by preventing the harvest and consumption of shellfish fromlands that do not meet the standards for a certified shellfish land. Thislegislation requires the department to examine shellfish lands anddetermine which shellfish lands meet the sanitary criteria for a certifiedshellfish land, as set forth in Part 47 of Title 6 NYCRR, promulgated pur-suant to section 13-0319 of the ECL. Shellfish lands which meet thesecriteria must be designated as certified. Shellfish lands which do not meetcriteria must be designated as uncertified to prevent the harvest of shellfishfrom those lands.

3. Needs and benefits:To protect public health and to comply with ECL 13-0307, the Division

of Marine Resources’ Shellfish Sanitation Program conducts and maintainssanitary surveys of shellfish growing areas (SGA) in the marine district inNew York State. Maintenance of these surveys includes the regular collec-tion and bacteriological examination of water samples to monitor thesanitary condition of SGAs. Annual water quality evaluation reports writ-ten in 2017 are prepared by the staff of the Shellfish Sanitation Programfor each SGA. These reports present the results of statistical analyses ofwater quality data comprised of a minimum of 30 water quality data points.The years involved can vary based on the number of samples collected foreach year, for each growing area.

The report summary may state that all or portions of an SGA should bedesignated as uncertified for the harvest of shellfish or that all, or portionsof an SGA should be designated as certified or seasonally uncertified forthe harvest of shellfish based on criteria in 6NYCRR Part 47. Seasonallyuncertified areas are closed for the harvest of shellfish during particularmonths that are specified in regulations and those months can vary fromSGA to SGA.

Regulations that designate shellfish lands as certified are needed to al-low the harvest of shellfish from lands that meet the sanitary criteria for acertified area. Shellfish are a valuable state resource and, where possible,should be available for commercial and recreational harvest. The clas-sification of previously uncertified shellfish lands as certified may provideadditional sources of income for commercial shellfish diggers by increas-ing the amount of areas available for harvest. The direct harvest of shell-fish for use as food is allowed from certified shellfish lands only. Recre-ational harvesters also benefit by having increased harvest opportunitiesand the ability to make use of a natural resource readily available to thepublic.

Regulations that designate shellfish lands as uncertified are needed toprevent the harvest and consumption of shellfish from lands that do notmeet the sanitary criteria for a certified area. Shellfish harvested fromuncertified shellfish lands have a greater potential to cause human illnessdue to the possible presence of pathogenic bacteria or viruses. Thesepathogens may cause the transmission of infectious disease to the shellfishconsumer.

These regulations also protect the shellfish industry. Commercial shell-fish harvesters and seafood wholesalers, retailers, and restaurants areadversely affected by public reaction to instances of shellfish relatedillness. By prohibiting the harvest of shellfish from lands that fail to meetthe sanitary criteria, these regulations can ensure that only wholesomeshellfish are allowed to be sold to the shellfish consumer.

Additionally, these regulations include changes to the shellfish growingarea descriptions that will update, clarify and correct them to match thecurrent physical appearance and names of local landmarks cited in thedescriptions and to achieve better consistency within Part 41. Thesechanges will aid harvesters and law enforcement officials in determiningwhich areas are uncertified for the harvest of shellfish.

4. Costs:There will be no costs to State or local governments. No direct costs

will be incurred by regulated commercial shellfish harvesters in the formof initial capital investment or initial non-capital expenses, in order tocomply with these proposed regulations. The department cannot providean estimate of potential lost income to shellfish harvesters when areas areclassified as uncertified, due to a number of variables that are associatedwith commercial shellfish harvesting; nor can the potential benefits beestimated when areas are reopened. Those variables are listed in the fol-lowing three paragraphs.

As of December 31, 2016, the department had issued 1,746 New YorkState shellfish digger’s permits for the year 2016. However, the actualnumber of those individuals who harvest shellfish commercially full timeis not known. Recreational harvesters who wish to harvest more than thedaily recreational limit of 100 hard clams, with no intent to sell their catch,can only do so by purchasing a New York State digger’s permit. Thenumber of individuals who hold shellfish digger’s permits for that type ofrecreational harvest is unknown. The department’s records do not dif-ferentiate between full time and part-time commercial or recreationalshellfish harvesters.

The number of harvesters working in a particular area cannot beestimated for the reason stated above. In addition, the number of harvest-ers in a particular area is dependent upon the season, the amount of shell-fish resource in the area, the price of shellfish and other economic factors,unrelated to the department’s proposed regulatory action. When a particu-lar area is classified as uncertified (closed to shellfish harvesting), harvest-ers can shift their efforts to other certified areas.

Estimates of the existing shellfish resource in a particular embaymentare not known. Recent shellfish population assessments have not beenconducted by the department. Without this information, the departmentcannot determine the effect a closure or reopening would have on the exist-ing shellfish resource.

The department’s actions to classify areas as certified or uncertified arenot dependent on the shellfish resources in a particular area. They arebased solely on the results of water quality analyses, the need to protectpublic health, and statutory requirements.

There is no cost to the department. Administration and enforcement ofthe proposed amendment are covered by existing programs.

5. Local government mandates:The proposed rule does not impose any mandates on local government.6. Paperwork:No new paperwork is required.7. Duplication:The proposed amendment does not duplicate any state or federal

requirement.8. Alternatives:There are no acceptable alternatives. ECL section 13-0307 stipulates

that when the department has determined that a shellfish land meets thesanitary criteria for certified shellfish lands, the department must designatethe land as certified and open to shellfish harvesting. All other shellfishlands must be designated as uncertified and closed to shellfish harvesting.These actions are necessary to protect public health. Failure to complywith the National Shellfish Sanitation Program (NSSP) guidelines couldresult in a ban on New York State shellfish in interstate commerce andwould cause undue hardship to the commercial harvesting industry.

9. Federal standards:There are no federal standards regarding the certification of shellfish

lands. New York and other shellfish producing and shipping states partici-pate in the National Shellfish Sanitation Program (NSSP) which providesguidelines intended to promote uniformity in shellfish sanitation standardsamong members. The NSSP is a cooperative program consisting of thefederal government, states and the shellfish industry. Participation in theNSSP is voluntary, but participating states agree to follow NSSP waterquality standards. Each state adopts its own regulations to implement ashellfish sanitation program consistent with the NSSP. The U.S. Food andDrug Administration (FDA) evaluates state programs and standards rela-tive to NSSP guidelines. Substantial non-conformity with NSSP guidelinescan result in sanctions being taken by FDA, including removal of thestate’s shellfish shippers from the Interstate Certified Shellfish ShippersList. This would effectively bar a non-conforming state’s shellfishproducts from interstate commerce.

10. Compliance schedule:Compliance with any new regulations designating areas as certified or

uncertified does not require additional capital expense, paperwork, recordkeeping or any action by the regulated parties. Immediate compliancewith any regulation designating shellfish lands as uncertified is necessaryto protect public health. Shellfish harvesters are notified of changes in theclassification of shellfish lands by mail either prior to, or concurrent with,the adoption of new regulations. Therefore, immediate compliance can bereadily achieved.

Regulatory Flexibility Analysis1. Effect of rule:As of December 31, 2016, there were 1,746 licensed shellfish diggers in

New York State for the year 2016. The numbers of permits issued for areasin the State are as follows: Town of Babylon, 47; Town of Brookhaven,286; Town of East Hampton, 235; Town of Hempstead, 108; Town ofHuntington, 156; Town of Islip, 139; Town of North Hempstead, 9; Townof Oyster Bay, 108; Town of Riverhead, 69; Town of Shelter Island, 52;Town of Smithtown, 38; Town of Southampton, 173; Town of Southold,251; New York City, 46; and Other, 16.


30

The Department of Environmental Conservation (the department)periodically conducts examinations of all shellfish lands within the marinedistrict to ascertain the sanitary condition of these areas. As a result ofthese examinations, the department will designate lands as certified for theharvest of shellfish or uncertified for the harvest of shellfish. Any changein the designation of shellfish lands may have an effect on shellfish diggers.Each time shellfish lands or portions of shellfish lands are designated asuncertified, there may be some loss of income for shellfish diggers whoare harvesting shellfish from the lands to be closed. This loss may bedetermined by the acreage to be closed, the type of closure (whether year-round or seasonal), the species of shellfish present in the area, the area’sproductivity, and the market value of the shellfish resource in the particu-lar area.

When uncertified shellfish lands are found to meet the department’ssanitary criteria and are designated by the department as certified, there isa benefit to shellfish diggers. More shellfish lands are made available forthe harvest of shellfish, and there is a potential for an increase in incomefor shellfish diggers. Again, the effect of the re-opening of a harvestingarea is determined by the shellfish species present, the area’s productivity,and the market value of the shellfish resource in the area.

Shellfish growing area descriptions will be updated, clarified and cor-rected to match the current physical appearance and names of locallandmarks cited in the descriptions and to achieve better consistencywithin Part 41. These changes will aid harvesters and law enforcement of-ficials in determining which areas are uncertified for the harvest ofshellfish.

Local governments on Long Island exercise management authority andshare law enforcement responsibility for shellfish with the State and thecounties of Nassau and Suffolk. These include the towns of Hempstead,North Hempstead and Oyster Bay in Nassau County and the towns ofBabylon, Islip, Brookhaven, Southampton, East Hampton, Southold,Shelter Island, Riverhead, Smithtown and Huntington in Suffolk County.Changes in the classification of shellfish lands impose no additionalrequirements on local governments above the level of management andenforcement that they normally undertake; therefore, there should be noeffect on local governments.

2. Compliance requirements:There are no reporting or recordkeeping requirements for small busi-

nesses or local governments.3. Professional services:Small businesses and local governments will not require any profes-

sional services to comply with proposed rules.4. Compliance costs:There are no capital costs which will be incurred by small businesses or

local governments.5. Economic and technological feasibility:There is no reporting, recordkeeping, or affirmative actions that small

businesses or local governments must undertake to comply with theproposed rules. Similarly, small businesses and local governments will nothave to retain any professional services or incur any capital costs tocomply with such rules. As a result, it should be economically and techni-cally feasible for small businesses and local governments to comply withthis rule.

6. Minimizing adverse impact:The designation of shellfish lands as uncertified may have an adverse

impact on commercial shellfish diggers. All diggers in the towns affectedby proposed closures will be notified by mail of the designation of shell-fish lands as uncertified prior to, or concurrent with the date the closuresgo into effect. Shellfish lands which fail to meet the sanitary criteria dur-ing specific months of the year will be designated as uncertified only dur-ing those months. During the other months, shellfish may be harvestedfrom those lands when they are certified. To further minimize any adverseeffects of proposed closures, towns may request that uncertified shellfishlands be considered for conditionally certified designation or for a shell-fish transplant project. Shellfish diggers will also be able to shift harvest-ing effort to nearby certified shellfish lands. There should be no significantadverse impact on local governments from these changes in the classifica-tion of shellfish lands.

7. Small business and local government participation:Impending shellfish closures are discussed at regularly scheduled Shell-

fish Advisory Committee meetings. This committee, organized by thedepartment, is comprised of representatives of local baymen’s associa-tions, shellfish shippers and local town officials. Through their representa-tives, shellfish harvesters and shippers can express their opinions and giverecommendations to the department concerning shellfish landclassification. Local governments, state legislators, and baymen’sorganizations are notified by mail and given the opportunity to commenton any proposed rulemaking. The department will consider any such com-ments prior to filing a Notice of Adoption with the Department of State.

8. Cure period or other opportunity for ameliorative action:

Pursuant to SAPA 202-b (1-a)(b), no such cure period is included in therule because of the potential adverse impact that it could have on the healthof shellfish consumers. Immediate compliance is required to ensure thatpublic health is protected.

9. Initial review of the rule, pursuant to SAPA § 207 as amended by L.2012, ch. 462:

The rule will be reviewed in three years.Rural Area Flexibility AnalysisThe Department of Environmental Conservation has determined that thisrule will not impose an adverse impact on rural areas. This rule makingonly affects the marine and coastal district of the State; there are no ruralareas within the marine and coastal district. The shellfish fishery is entirelylocated within the marine and coastal district, and is not located adjacentto any rural areas of the State. The proposed rule will not impose anyreporting, record keeping, or other compliance requirements on public orprivate entities in rural areas. Since no rural areas will be affected by theproposed amendments of 6 NYCRR Part 41, DEC has determined that aRural Area Flexibility Analysis is not required.

Job Impact Statement1. Nature of impact:Environmental Conservation Law section 13-0307 requires that the

department examine shellfish lands and certify which shellfish lands are insuch sanitary condition that shellfish may be taken for use as food. Shell-fish lands that do not meet the criteria for certified (open) shellfish landsmust be designated as uncertified (closed) to protect public health.

Rule makings to amend 6 NYCRR 41, Sanitary Condition of ShellfishLands, can potentially have a positive or negative effect on jobs for shell-fish harvesters. Amendments to reclassify areas as certified may increasejob opportunities, while amendments to reclassify areas as uncertified maylimit harvesting opportunities.

The department does not have specific information regarding the loca-tions in which individual diggers harvest shellfish, and therefore is unableto assess the specific job impacts on individual shellfish diggers. In gen-eral terms, amendments of 6 NYCRR Part 41 to designate areas as uncerti-fied can have negative impacts on harvesting opportunities. The extent ofthe impact will be determined by the acreage closed, the type of closure(year-round or seasonal), the area’s productivity, and the market value ofthe shellfish. In general, any negative impacts are small because thedepartment’s actions to designate areas as uncertified typically only affecta small portion of the shellfish lands in the state. Negative impacts are alsodiminished in many instances by the fact that shellfish harvesters are ableto redirect effort to adjacent certified areas.

Amendments of 6 NYCRR Part 41 to designate areas as certified canhave positive impacts on harvesting opportunities. This action results infinancial benefits for commercial fisherman and increased opportunitiesfor recreational shellfish harvesters. Increasing the amount of certifiedshellfish harvesting areas can provide a financial benefit due to theincreased availability of shellfish resources.

2. Categories and numbers affected:Licensed commercial shellfish diggers can be affected by amendments

to 6 NYCRR Part 41. Most harvesters are self-employed, but there aresome who work for companies with privately controlled shellfish lands orwho harvest surf clams or ocean quahogs in the Atlantic Ocean.

As of December 31, 2016, there were 1,746 licensed shellfish diggers inNew York State for the year 2016. The numbers of permits issued for areasin the State are as follows: Town of Babylon, 47; Town of Brookhaven,286; Town of East Hampton, 235; Town of Hempstead, 108; Town ofHuntington, 156; Town of Islip, 139; Town of North Hempstead, 9; Townof Oyster Bay, 108; Town of Riverhead, 69; Town of Shelter Island, 52;Town of Smithtown, 38; Town of Southampton, 173; Town of Southold,251; New York City, 46; and Other, 16.

It is estimated that ten (10) to twenty-five (25) percent of the diggers arefull-time harvesters. The remainder are seasonal or part-time harvesters.

3. Regions of adverse impact:Certified shellfish lands that could potentially be affected by amend-

ments to 6 NYCRR Part 41 are located within or adjacent to NassauCounty and Suffolk County. There is no potential adverse impact to jobsin any other areas of New York State.

4. Minimizing adverse impact:Shellfish lands are designated as uncertified to protect public health as

required by the Environmental Conservation Law. Some impact from rulemakings to close areas that do not meet the criteria for certified shellfishlands is unavoidable.

To minimize the impact of closures of shellfish lands, the departmentevaluates areas to determine whether they can be opened seasonally dur-ing periods of improved water quality. The department also operatesconditional harvesting programs at the request of, and in cooperation with,local governments. Conditional harvesting programs allow harvest inuncertified areas under prescribed conditions, determined by studies, when


31

bacteriological water quality is acceptable. Additionally, the departmentoperates shellfish transplant harvesting programs which allow removal ofshellfish from closed areas for bacterial cleansing in certified areas, therebyrecovering a valuable resource. Conditional harvesting and shellfish trans-plant programs increase harvesting opportunities by making the resourcein a closed area available under controlled conditions.

5. Self-employment opportunities:A large majority of shellfish harvesters in New York State are self-

employed. Rule makings to change the classification of shellfish lands canhave an impact on self-employment opportunities. The impact is depen-dent on the size and productivity of the affected area and the availabilityof adjacent lands for shellfish harvesting.



Sanitary Condition of Shellfish Lands

I.D. No. ENV-21-18-00028-P


Proposed Action: Amendment of Part 41 of Title 6 NYCRR.

Statutory authority: Environmental Conservation Law, sections 13-0307and 13-0319

Subject: Sanitary Condition of Shellfish Lands.

Purpose: To reclassify underwater shellfish lands to protect public health.

Text of proposed rule: 6 NYCRR Part 41 is amended to read as follows:Clause 41.2(b)(1)(ii)(e) is amended to read as follows:

(e) [All] During the period of November 1 through April 30,both dates inclusive, all that area of East Bay and all other bays, creeks,canals and tributaries lying [east and within the boundaries north of a lineextending southerly from the westernmost point of land at Big Crow Islandat Neds Creek to the southwestern corner of the Fundy Channel Bridge ofthe Meadowbrook Parkway on West Crow Island, and] north of a lineextending easterly from the southwestern corner of the Fundy ChannelBridge of the Meadowbrook Parkway on West Crow Island to thenorthwestern tip of the Sloop Channel Bridge of the Wantagh StateParkway connecting Green Island with Jones Beach State Park, and westof a line extending northerly along the western shoreline of Green Islandto the southwestern tip of the Goose Creek Bascule Bridge of the WantaghState Parkway, connecting Green Island with Great (Low) Island, [andsouth of a line extending westerly to the westernmost point of land of BigCrow Island on Neds Creek.] then continuing northerly along the shorelineto the westernmost point of Great (Low) Island, and continuing northwest-erly to the southernmost point of land at Whaleneck Point, and lying southand east of a line extending southwesterly to the northernmost tip of BigCrow Island at Neds Creek, continuing along the western shore of BigCrow Island, to the southwestern corner of the Fundy Channel Bridge ofthe Meadowbrook Parkway on West Crow Island.

Clause 41.2(b)(3)(ii)(c) is amended to read as follows:(c) All that area of West Pond and that portion of Hempstead


Clause 41.2(b)(4)(ii)(c) is amended to read as follows:(c) All that area of West Pond and that portion of Hempstead


Subparagraph 41.3(b)(4)(xiv) is amended to read as follows:(xiv) [Noyac] Noyack Creek. During the period May [1st] 1

through November [30th] 30 (both dates inclusive) all that area of [Noyac]Noyack Creek lying southerly of a line extending southwesterly from thesouthwesternmost point of land on Clam Island to the opposite shorelinelocated at Morton National Wildlife Refuge in Noyack.

Clauses 41.3(b)(4)(xv)(a), (b) and (c) are amended to read as follows:(a) During the period May [15th] 1 through [October 15th]

November 30 (both dates inclusive), all that area of Cold Spring Pondwithin the former Lobster Inn Boat Basin (local names, local landmark),

lying northwest of a line extending northeasterly along the fixed woodendock of the former Lobster Inn Restaurant to the opposite shoreline, andall that area lying southeast of a line extending southwesterly from thenorthwesternmost point of land on the unnamed peninsula bordering thenortheastern side of the cove, continuing southwesterly to the oppositeshoreline (adjacent to the former Lobster Inn Restaurant).

(b) During the period January [1st] 1 through December [31st]31 (both dates inclusive), all that area of the former Lobster Inn Boat Basinlying southeast of a line extending northeasterly along the fixed woodendock of the former Lobster Inn Restaurant to the opposite shoreline.

(c) During the period May [1st] 1 through November [30th] 30,both dates inclusive, all that area of Cold Spring Pond lying northeast of aline extending southeasterly from an orange marker located on thenorthern shoreline in the northeastern corner of the pond to another orangemarker located on the eastern shoreline adjacent to Shrubland Road.

Subparagraph 41.3(b)(5)(vii) is amended to read as follows:(vii) [During the period May 15th through October 15th (both dates

inclusive), all] Devon Yacht Club. All that area of the Devon Yacht ClubBoat Basin (local name), located on the southern side of Napeague Bay.

Clause 41.3(b)(5)(viii)(a) is amended to read as follows:(a) Alewife Pond. All that area of Alewife Pond, including

entrance channel and all that area of Northwest Harbor, within [50] 300yards in all directions from the inlet of Alewife Pond.

Clause 41.3(b)(5)(ix)(c) is amended to read as follows:(c) In the absence of [the] one or both painted markers, all of

Northwest Creek is uncertified.Clause 41.3(b)(7)(iii)(c) is amended to read as follows:

(c) Wickham Creek. During the period of May 15 throughOctober 31, both dates inclusive, all that area of Wickham Creek and itstributaries.

Subclauses 41.3(b)(7)(iii)(c)(1) and (2) are repealed.Subclause 41.3(b)(7)(iii)(c)(3) is renumbered Subclause

41.3(b)(7)(iii)(c)(1).Clause 41.3(b)(7)(xi)(e) is amended to read as follows:

(e) West Creek. During the period of [May 1st through Novem-ber 30th] January 1 through December 31, both dates inclusive, all thatarea of West Creek [including], and all that area of Great Peconic Baywithin 750 feet in all directions of the southernmost point of the jetty onthe east side of the mouth of West Creek.

Subclause 41.3(b)(7)(xii)(b)(2) is amended to read as follows:(2) During the period [April 15th to December 31] May 1

through November 30, both dates inclusive, all that area of Jockey Creek,Town Creek and tributaries, lying west of a line extending southerly fromthe south end of Terry Road directly to the opposite shore.

Clause 41.3(b)(7)(xii)(d) is amended to read as follows:(d) Goose Creek. During the period [April 15th through Decem-

ber 31st] May 1 through November 30, both dates inclusive, all that areaof Goose Creek lying south and west of the Goose Creek Bridge (locallandmarks).

Clause 41.3(b)(7)(xiii)(a) is amended to read as follows:(a) Oyster Ponds. During the period May [15th] 1 through

October 31[st], both dates inclusive, all that area of Orient Harbor [lyingeast of a line extending northerly from the tip of the northwesternmostdock of the Orient Yacht Club to the northernmost corner of the bulkheadat the shoreline at the foot of the Harbor River road] and its tributaries ly-ing north and east of the fixed dock at Orient Yacht Club and then east of aline extending northerly from the northwestern corner of the northwesternmost dock of the Orient Yacht Club to an orange marker on the beach 275yards northwest of the northernmost corner of the bulkhead at the foot ofHarbor River Road and all that area of Oyster Ponds in its entirety.

Clauses 41.3(b)(7)(xiii)(c) and (d) are repealed.Clause 41.3(b)(7)(xiii)(e) is renumbered Clause 41.3(b)(7)(xiii)(c).Renumbered Clause 41.3(b)(7)(xiii)(c) is amended to read as follows:

(c) Spring Pond. During the period January 1[st] throughDecember 31[st], both dates inclusive, all that area of Spring Pond includ-ing tributaries, and all that area of Orient Harbor within 500 feet in alldirections of the southeastern end of the easternmost bulkhead at theentrance to Spring Pond.

Clause 41.3(b)(7)(xiii)(f) is repealed.Subparagraph 41.3(b)(7)(xv) is amended to read as follows:

(xv) Little Peconic Bay. Richmond Creek. During the period [April1st] May 1 through October 31[st], both dates inclusive, all that area ofRichmond Creek lying west of a line extending north from the easternmostpoint of land at the south side of the mouth of Richmond Creek to the op-posite shore.

Paragraph 41.3(b)(10) is amended to read as follows:(10) Town of [Smith Town] Smithtown

Clauses 41.3(b)(10)(i)(a) and (b) are amended to read as follows:(a) All that area of Smithtown Bay, including the Nissequogue

River and its tributaries and Sunken Meadow Creek, lying south of a line


32

extending northeasterly from the flagpole at the East Bath House at SunkenMeadow State Park (local landmark) to Buoy BW ‘‘NR’’, located (atcoordinates 40° 55.395' N latitude and 73° 13.745' W longitude), ap-proximately one mile north of the mouth of the Nissequogue River, thencesoutheasterly to the flagpole located at the Town of Smithtown Beach atShort Beach (local landmark).

(b) All that area within a one-half mile radius of Buoy BW‘‘NR’’, (at coordinates 40° 55.395' N latitude and 73° 13.745' W longi-tude), approximately one mile north of the mouth of the NissequogueRiver.Text of proposed rule and any required statements and analyses may beobtained from: Matthew Richards, NYS Department of EnvironmentalConservation, 205 N. Belle Mead Road, Suite 1, East Setauket, NY 11733,(631) 444-0491, email: [email protected], views or arguments may be submitted to: Same as above.Public comment will be received until: 60 days after publication of thisnotice.Regulatory Impact Statement

1. Statutory authority:The statutory authority for designating shellfish lands as certified or

uncertified is given in Environmental Conservation Law (ECL) section13-0307. Subdivision 1 of section 13-0307 of the ECL requires the Depart-ment of Environmental Conservation (the department) to periodicallyconduct examinations of all shellfish lands within the marine district toascertain the sanitary condition of these areas. Subdivision 2 of this sec-tion requires the department to certify which shellfish lands are in suchsanitary condition that shellfish may be taken for food. Such lands aredesignated as certified shellfish lands. All other shellfish lands aredesignated as uncertified. The statutory authority for promulgating regula-tions with respect to the harvest of shellfish is given in ECL section 13-0319.

2. Legislative objectives:There are two purposes of the legislation: to ensure that shellfish lands

are appropriately classified as either certified or uncertified and to protectpublic health by preventing the harvest and consumption of shellfish fromlands that do not meet the standards for a certified shellfish land. Thislegislation requires the department to examine shellfish lands anddetermine which shellfish lands meet the sanitary criteria for a certifiedshellfish land, as set forth in Part 47 of Title 6 NYCRR, promulgated pur-suant to section 13-0319 of the ECL. Shellfish lands which meet thesecriteria must be designated as certified. Shellfish lands which do not meetcriteria must be designated as uncertified to prevent the harvest of shellfishfrom those lands.

3. Needs and benefits:To protect public health and to comply with ECL 13-0307, the Division

of Marine Resources’ Shellfish Sanitation Program conducts and maintainssanitary surveys of shellfish growing areas (SGA) in the marine district inNew York State. Maintenance of these surveys includes the regular collec-tion and bacteriological examination of water samples to monitor thesanitary condition of SGAs. Annual water quality evaluation reports writ-ten in 2017 are prepared by the staff of the Shellfish Sanitation Programfor each SGA. These reports present the results of statistical analyses ofwater quality data comprised of a minimum of 30 water quality data points.The years involved can vary based on the number of samples collected foreach year, for each growing area.

The report summary may state that all or portions of an SGA should bedesignated as uncertified for the harvest of shellfish or that all, or portionsof an SGA should be designated as certified or seasonally uncertified forthe harvest of shellfish based on criteria in 6NYCRR Part 47. Seasonallyuncertified areas are closed for the harvest of shellfish during particularmonths that are specified in regulations and those months can vary fromSGA to SGA.

Regulations that designate shellfish lands as certified are needed to al-low the harvest of shellfish from lands that meet the sanitary criteria for acertified area. Shellfish are a valuable state resource and, where possible,should be available for commercial and recreational harvest. The clas-sification of previously uncertified shellfish lands as certified may provideadditional sources of income for commercial shellfish diggers by increas-ing the amount of areas available for harvest. The direct harvest of shell-fish for use as food is allowed from certified shellfish lands only. Recre-ational harvesters also benefit by having increased harvest opportunitiesand the ability to make use of a natural resource readily available to thepublic.

Regulations that designate shellfish lands as uncertified are needed toprevent the harvest and consumption of shellfish from lands that do notmeet the sanitary criteria for a certified area. Shellfish harvested fromuncertified shellfish lands have a greater potential to cause human illnessdue to the possible presence of pathogenic bacteria or viruses. Thesepathogens may cause the transmission of infectious disease to the shellfishconsumer.

These regulations also protect the shellfish industry. Commercial shell-fish harvesters and seafood wholesalers, retailers, and restaurants areadversely affected by public reaction to instances of shellfish relatedillness. By prohibiting the harvest of shellfish from lands that fail to meetthe sanitary criteria, these regulations can ensure that only wholesomeshellfish are allowed to be sold to the shellfish consumer.

Additionally, these regulations include changes to the shellfish growingarea descriptions that will update, clarify and correct them to match thecurrent physical appearance and names of local landmarks cited in thedescriptions and to achieve better consistency within Part 41. Thesechanges will aid harvesters and law enforcement officials in determiningwhich areas are uncertified for the harvest of shellfish.

4. Costs:There will be no costs to State or local governments. No direct costs

will be incurred by regulated commercial shellfish harvesters in the formof initial capital investment or initial non-capital expenses, in order tocomply with these proposed regulations. The department cannot providean estimate of potential lost income to shellfish harvesters when areas areclassified as uncertified, due to a number of variables that are associatedwith commercial shellfish harvesting; nor can the potential benefits beestimated when areas are reopened. Those variables are listed in the fol-lowing three paragraphs.

As of December 31, 2016, the department had issued 1,746 New YorkState shellfish digger’s permits for the year 2016. However, the actualnumber of those individuals who harvest shellfish commercially full timeis not known. Recreational harvesters who wish to harvest more than thedaily recreational limit of 100 hard clams, with no intent to sell their catch,can only do so by purchasing a New York State digger’s permit. Thenumber of individuals who hold shellfish digger’s permits for that type ofrecreational harvest is unknown. The department’s records do not dif-ferentiate between full time and part-time commercial or recreationalshellfish harvesters.

The number of harvesters working in a particular area cannot beestimated for the reason stated above. In addition, the number of harvest-ers in a particular area is dependent upon the season, the amount of shell-fish resource in the area, the price of shellfish and other economic factors,unrelated to the department’s proposed regulatory action. When a particu-lar area is classified as uncertified (closed to shellfish harvesting), harvest-ers can shift their efforts to other certified areas.

Estimates of the existing shellfish resource in a particular embaymentare not known. Recent shellfish population assessments have not beenconducted by the department. Without this information, the departmentcannot determine the effect a closure or reopening would have on the exist-ing shellfish resource.

The department’s actions to classify areas as certified or uncertified arenot dependent on the shellfish resources in a particular area. They arebased solely on the results of water quality analyses, the need to protectpublic health, and statutory requirements.

There is no cost to the department. Administration and enforcement ofthe proposed amendment are covered by existing programs.

5. Local government mandates:The proposed rule does not impose any mandates on local government.6. Paperwork:No new paperwork is required.7. Duplication:The proposed amendment does not duplicate any state or federal

requirement.8. Alternatives:There are no acceptable alternatives. ECL section 13-0307 stipulates

that when the department has determined that a shellfish land meets thesanitary criteria for certified shellfish lands, the department must designatethe land as certified and open to shellfish harvesting. All other shellfishlands must be designated as uncertified and closed to shellfish harvesting.These actions are necessary to protect public health. Failure to complywith the National Shellfish Sanitation Program (NSSP) guidelines couldresult in a ban on New York State shellfish in interstate commerce andwould cause undue hardship to the commercial harvesting industry.

9. Federal standards:There are no federal standards regarding the certification of shellfish

lands. New York and other shellfish producing and shipping states partici-pate in the National Shellfish Sanitation Program (NSSP) which providesguidelines intended to promote uniformity in shellfish sanitation standardsamong members. The NSSP is a cooperative program consisting of thefederal government, states and the shellfish industry. Participation in theNSSP is voluntary, but participating states agree to follow NSSP waterquality standards. Each state adopts its own regulations to implement ashellfish sanitation program consistent with the NSSP. The U.S. Food andDrug Administration (FDA) evaluates state programs and standards rela-tive to NSSP guidelines. Substantial non-conformity with NSSP guidelinescan result in sanctions being taken by FDA, including removal of the


33


state’s shellfish shippers from the Interstate Certified Shellfish ShippersList. This would effectively bar a non-conforming state’s shellfishproducts from interstate commerce.

10. Compliance schedule:Compliance with any new regulations designating areas as certified or

uncertified does not require additional capital expense, paperwork, recordkeeping or any action by the regulated parties. Immediate compliancewith any regulation designating shellfish lands as uncertified is necessaryto protect public health. Shellfish harvesters are notified of changes in theclassification of shellfish lands by mail either prior to, or concurrent with,the adoption of new regulations. Therefore, immediate compliance can bereadily achieved.Regulatory Flexibility Analysis

1. Effect of rule:As of December 31, 2016, there were 1,746 licensed shellfish diggers in

New York State for the year 2016. The numbers of permits issued for areasin the State are as follows: Town of Babylon, 47; Town of Brookhaven,286; Town of East Hampton, 235; Town of Hempstead, 108; Town ofHuntington, 156; Town of Islip, 139; Town of North Hempstead, 9; Townof Oyster Bay, 108; Town of Riverhead, 69; Town of Shelter Island, 52;Town of Smithtown, 38; Town of Southampton, 173; Town of Southold,251; New York City, 46; and Other, 16.

The Department of Environmental Conservation (the department)periodically conducts examinations of all shellfish lands within the marinedistrict to ascertain the sanitary condition of these areas. As a result ofthese examinations, the department will designate lands as certified for theharvest of shellfish or uncertified for the harvest of shellfish. Any changein the designation of shellfish lands may have an effect on shellfish diggers.Each time shellfish lands or portions of shellfish lands are designated asuncertified, there may be some loss of income for shellfish diggers whoare harvesting shellfish from the lands to be closed. This loss may bedetermined by the acreage to be closed, the type of closure (whether year-round or seasonal), the species of shellfish present in the area, the area’sproductivity, and the market value of the shellfish resource in the particu-lar area.

When uncertified shellfish lands are found to meet the department’ssanitary criteria and are designated by the department as certified, there isa benefit to shellfish diggers. More shellfish lands are made available forthe harvest of shellfish, and there is a potential for an increase in incomefor shellfish diggers. Again, the effect of the re-opening of a harvestingarea is determined by the shellfish species present, the area’s productivity,and the market value of the shellfish resource in the area.

Shellfish growing area descriptions will be updated, clarified and cor-rected to match the current physical appearance and names of locallandmarks cited in the descriptions and to achieve better consistencywithin Part 41. These changes will aid harvesters and law enforcement of-ficials in determining which areas are uncertified for the harvest ofshellfish.

Local governments on Long Island exercise management authority andshare law enforcement responsibility for shellfish with the State and thecounties of Nassau and Suffolk. These include the towns of Hempstead,North Hempstead and Oyster Bay in Nassau County and the towns ofBabylon, Islip, Brookhaven, Southampton, East Hampton, Southold,Shelter Island, Riverhead, Smithtown and Huntington in Suffolk County.Changes in the classification of shellfish lands impose no additionalrequirements on local governments above the level of management andenforcement that they normally undertake; therefore, there should be noeffect on local governments.

2. Compliance requirements:There are no reporting or recordkeeping requirements for small busi-

nesses or local governments.3. Professional services:Small businesses and local governments will not require any profes-

sional services to comply with proposed rules.4. Compliance costs:There are no capital costs which will be incurred by small businesses or

local governments.5. Economic and technological feasibility:There is no reporting, recordkeeping, or affirmative actions that small

businesses or local governments must undertake to comply with theproposed rules. Similarly, small businesses and local governments will nothave to retain any professional services or incur any capital costs tocomply with such rules. As a result, it should be economically and techni-cally feasible for small businesses and local governments to comply withthis rule.

6. Minimizing adverse impact:The designation of shellfish lands as uncertified may have an adverse

impact on commercial shellfish diggers. All diggers in the towns affectedby proposed closures will be notified by mail of the designation of shell-fish lands as uncertified prior to, or concurrent with the date the closures

go into effect. Shellfish lands which fail to meet the sanitary criteria dur-ing specific months of the year will be designated as uncertified only dur-ing those months. During the other months, shellfish may be harvestedfrom those lands when they are certified. To further minimize any adverseeffects of proposed closures, towns may request that uncertified shellfishlands be considered for conditionally certified designation or for a shell-fish transplant project. Shellfish diggers will also be able to shift harvest-ing effort to nearby certified shellfish lands. There should be no significantadverse impact on local governments from these changes in the classifica-tion of shellfish lands.

7. Small business and local government participation:Impending shellfish closures are discussed at regularly scheduled Shell-

fish Advisory Committee meetings. This committee, organized by thedepartment, is comprised of representatives of local baymen’s associa-tions, shellfish shippers and local town officials. Through their representa-tives, shellfish harvesters and shippers can express their opinions and giverecommendations to the department concerning shellfish landclassification. Local governments, state legislators, and baymen’sorganizations are notified by mail and given the opportunity to commenton any proposed rulemaking. The department will consider any such com-ments prior to filing a Notice of Adoption with the Department of State.

8. Cure period or other opportunity for ameliorative action:Pursuant to SAPA 202-b (1-a)(b), no such cure period is included in the

rule because of the potential adverse impact that it could have on the healthof shellfish consumers. Immediate compliance is required to ensure thatpublic health is protected.

9. Initial review of the rule, pursuant to SAPA § 207 as amended by L.2012, ch. 462:

The rule will be reviewed in three years.

Rural Area Flexibility AnalysisThe Department of Environmental Conservation has determined that thisrule will not impose an adverse impact on rural areas. This rule makingonly affects the marine and coastal district of the State; there are no ruralareas within the marine and coastal district. The shellfish fishery is entirelylocated within the marine and coastal district, and is not located adjacentto any rural areas of the State. The proposed rule will not impose anyreporting, record keeping, or other compliance requirements on public orprivate entities in rural areas. Since no rural areas will be affected by theproposed amendments of 6 NYCRR Part 41, DEC has determined that aRural Area Flexibility Analysis is not required.

Job Impact Statement1. Nature of impact:Environmental Conservation Law section 13-0307 requires that the

department examine shellfish lands and certify which shellfish lands are insuch sanitary condition that shellfish may be taken for use as food. Shell-fish lands that do not meet the criteria for certified (open) shellfish landsmust be designated as uncertified (closed) to protect public health.

Rule makings to amend 6 NYCRR 41, Sanitary Condition of ShellfishLands, can potentially have a positive or negative effect on jobs for shell-fish harvesters. Amendments to reclassify areas as certified may increasejob opportunities, while amendments to reclassify areas as uncertified maylimit harvesting opportunities.

The department does not have specific information regarding the loca-tions in which individual diggers harvest shellfish, and therefore is unableto assess the specific job impacts on individual shellfish diggers. In gen-eral terms, amendments of 6 NYCRR Part 41 to designate areas as uncerti-fied can have negative impacts on harvesting opportunities. The extent ofthe impact will be determined by the acreage closed, the type of closure(year-round or seasonal), the area’s productivity, and the market value ofthe shellfish. In general, any negative impacts are small because thedepartment’s actions to designate areas as uncertified typically only affecta small portion of the shellfish lands in the state. Negative impacts are alsodiminished in many instances by the fact that shellfish harvesters are ableto redirect effort to adjacent certified areas.

Amendments of 6 NYCRR Part 41 to designate areas as certified canhave positive impacts on harvesting opportunities. This action results infinancial benefits for commercial fisherman and increased opportunitiesfor recreational shellfish harvesters. Increasing the amount of certifiedshellfish harvesting areas can provide a financial benefit due to theincreased availability of shellfish resources.

2. Categories and numbers affected:Licensed commercial shellfish diggers can be affected by amendments

to 6 NYCRR Part 41. Most harvesters are self-employed, but there aresome who work for companies with privately controlled shellfish lands orwho harvest surf clams or ocean quahogs in the Atlantic Ocean.

As of December 31, 2016, there were 1,746 licensed shellfish diggers inNew York State for the year 2016. The numbers of permits issued for areasin the State are as follows: Town of Babylon, 47; Town of Brookhaven,286; Town of East Hampton, 235; Town of Hempstead, 108; Town of


34

Huntington, 156; Town of Islip, 139; Town of North Hempstead, 9; Townof Oyster Bay, 108; Town of Riverhead, 69; Town of Shelter Island, 52;Town of Smithtown, 38; Town of Southampton, 173; Town of Southold,251; New York City, 46; and Other, 16.

It is estimated that ten (10) to twenty-five (25) percent of the diggers arefull-time harvesters. The remainder are seasonal or part-time harvesters.

3. Regions of adverse impact:Certified shellfish lands that could potentially be affected by amend-

ments to 6 NYCRR Part 41 are located within or adjacent to NassauCounty and Suffolk County. There is no potential adverse impact to jobsin any other areas of New York State.

4. Minimizing adverse impact:Shellfish lands are designated as uncertified to protect public health as

required by the Environmental Conservation Law. Some impact from rulemakings to close areas that do not meet the criteria for certified shellfishlands is unavoidable.

To minimize the impact of closures of shellfish lands, the departmentevaluates areas to determine whether they can be opened seasonally dur-ing periods of improved water quality. The department also operatesconditional harvesting programs at the request of, and in cooperation with,local governments. Conditional harvesting programs allow harvest inuncertified areas under prescribed conditions, determined by studies, whenbacteriological water quality is acceptable. Additionally, the departmentoperates shellfish transplant harvesting programs which allow removal ofshellfish from closed areas for bacterial cleansing in certified areas, therebyrecovering a valuable resource. Conditional harvesting and shellfish trans-plant programs increase harvesting opportunities by making the resourcein a closed area available under controlled conditions.

5. Self-employment opportunities:A large majority of shellfish harvesters in New York State are self-

employed. Rule makings to change the classification of shellfish lands canhave an impact on self-employment opportunities. The impact is depen-dent on the size and productivity of the affected area and the availabilityof adjacent lands for shellfish harvesting.



Northern Catskill Riparian Areas

I.D. No. ENV-21-18-00029-P


Proposed Action: Addition of section 190.36 to Title 6 NYCRR.

Statutory authority: Environmental Consevation Law, sections1-0101(3)(b), 3-0301(1)(b), (d), (2)(m), 9-0105(1) and (3)

Subject: Northern Catskill Riparian Areas.

Purpose: To ensure public safety and protect natural resources on theNorthern Catskill Riparian Areas.

Text of proposed rule: Existing section 190.36 will be renumbered 190.38and a new section 190.36 will be added to read:

Section 190.36 Northern Catskill Riparian Areas.In addition to other applicable provisions of this Part, the following

requirements apply to the Northern Catskill Riparian Areas. In the eventof a conflict between this section and another section of this Part, the morerestrictive provision will control.

(a) Description. For the purposes of this section, Northern Catskill Ri-parian Areas means the following state forest preserve lands:

(1) The Kaaterskill Clove Riparian Corridor located in the towns ofHunter and Catskill in Greene County, along State Route 23A, beginningat the intersection of Spruce Creek and Kaaterskill Creek and extendingdownstream on Kaaterskill Creek approximately 2 miles to the state landboundary line. The regulated corridor includes the creek bed, the riparianarea on the side of the creek in which State Route 23A is located, extend-ing from the edge of the creek bed to State Route 23A or 300 feet, which-ever is greater, and the riparian area on the other side of the creek extend-ing 300 feet from the edge of the creek bed.

(2) The Kaaterskill Falls Riparian Area located in the town of Hunterin Greene County, beginning at a point 150 feet upstream of the Kaaterskillwaterfall on Spruce Creek, and extending downstream to the base of thewaterfall at the start of the man-made stone staircase. The regulated areaincludes the Kaaterskill creek bed, an area on the side of the creek whichincludes the stone staircase extending 300 feet from the edge of the streambed or the staircase and the connector trail leading to the EscarpmentTrail, whichever is greater, and on the other side of the creek extending300 feet from the edge of the stream bed.

(3) The Platte Clove Riparian Corridor, located in the town of Hunter

in Greene County, and the town of Saugerties in Ulster County, beginningat the state land boundary near the intersection of Platte Clove Road andSteenburg Road and extending downstream to the southeast along PlatteClove Road and the Plattekill creek to the boundary of state land, ap-proximately 1.6 miles. The regulated corridor includes the Plattekill creekbed, an area on the side of the creek which includes Platte Clove Roadextending 300 feet from the edge of the creek bed to Platte Clove Road or300 feet, whichever is greater, and an area on the other side of the creekextending 300 feet from the edge of the creek bed.

(4) The Colgate Lake Wild Forest Area located in the town of Jewettin Greene County, including 1,375 acres at the eastern end of CountyRoute 78 (Colgate Lake Road), bordered by the Windham-BlackheadRange Wilderness to the north, south, and east. The unit boundary asposted follows the 2,400’ contour on the north and south.

(b) No person shall kindle, build, maintain or use a fire, including, butnot limited to, charcoal fires, wood fires, gas grills, propane stoves, orother portable stoves, within the Northern Catskill Riparian Areas, exceptat designated campsites or where camped in compliance with subdivision190.3 (b) of this Part.

(c) No person shall possess a glass container within the NorthernCatskill Riparian Areas, except when necessary for the storage ofmedicines.

(d) No person, within the Northern Catskill Riparian Areas, shall playan audio device, including, but not limited to, radios, tape players,compact disc or digital players, except at designated campsites, or wherecamped in compliance with subdivision 190.3 (b) of this Part, unless thenoise is rendered inaudible to the public by a noise-damping device, suchas headphones or earbuds. At designated campsites or where camped incompliance with subdivision 190.3 (b) of this Part, no person shall useany audio device which is audible outside the immediate area of thecampsite.

(e) No person shall possess or consume beverages containing alcohol,including, but not limited to beer, wine, and liquor within the NorthernCatskill Riparian Areas, except when transporting to, or at, designatedcamping sites, or where camped in compliance with subdivision 190.3 (b)of this Part.

(f) No person shall enter restricted areas, as designated by signs in theNorthern Catskill Riparian Areas.

(g) No person shall possess a portable generator within the KaaterskillClove Riparian Corridor, the Kaaterskill Falls Riparian Area, or theColgate Lake Wild Forest Area, except at designated campsites or wherecamped in compliance with subdivision 190.3 (b) of this Part. Possessionof portable generators is prohibited within the Northern Catskill RiparianCorridor in the Indian Head Wilderness Area, located in the Town ofHunter, Greene County and the towns of Saugerties and Woodstock, UlsterCounty, lying generally west of the east boundary of the Catskill Park,south of Platte Clove, east of Devil’s Tombstone Campground and northof the hamlets of Lake Hill and Shady.

(h) No person shall enter into, or remain in, the Kaaterskill Clove orPlatte Clove Riparian Corridors between one-half hour after sunset andone-half hour before sunrise except for:

(1) persons camping at designated campsites, or where camped incompliance with subdivision 190.3 (b) of this Part;

(2) licensed hunters, anglers, and trappers for the purpose of hunt-ing, fishing, or trapping;

(3) pedestrians using marked hiking trails to cross the areas; or(4) persons otherwise authorized by permit issued by the department.

(i) In the Kaaterskill Falls Riparian Area, no person shall enter thearea located within six (6) feet of cliff edges, except: on marked trails,including the man-made stone staircase and the trail leading to the firstwater plunge pool, commonly referred to as the mid-pool; when engagedin ice climbing or rappelling by rope; or by authorized permit issued bythe department.

(j) In the Kaaterskill Falls Riparian Area, no person shall enter the wa-ter, wade, or swim within 150 feet upstream of Kaaterskill Falls.

Text of proposed rule and any required statements and analyses may beobtained from: Peter Frank, Bureau Chief, Forest Preserve, NYS DEC,625 Broadway, Albany, New York 12233, (518) 473-9518, email:[email protected]



Additional matter required by statute: A Short EAF was completed forcompliance with the State Environmental Quality Review Act.

Regulatory Impact Statement1. Statutory authority:Environmental Conservation Law (“ECL”) section 1-0101(3) (b) directs

the Department of Environmental Conservation (Department) to guarantee“that the widest range of beneficial uses of the environment is attained


35


without risk to health or safety, unnecessary degradation or other undesir-able or unintentional consequences.” ECL section 3-0301(1)(b) gives theDepartment the responsibility to “promote and coordinate managementof...land resources to assure their protection, enhancement, provision, al-location, and balanced utilization...and take into account the cumulativeimpact upon all such resources in promulgating any rule or regulation.”ECL section 3-0301(1)(d) authorizes the Department to “provide for thecare, custody and control of the Forest Preserve.” ECL section 9-0105(1)authorizes the Department to ‘‘[e]xercise care, custody, and control of theseveral preserves, parks and other State lands described in [Article 9 of theECL],” which includes Forest Preserve lands. Article XIV, Section 1 of theNew York State Constitution provides that the lands of the Forest Preserve“shall be forever kept as wild forest lands.” ECL section 3-0301(2) (m)authorizes the Department to adopt rules and regulations “as may be nec-essary, convenient or desirable to effectuate the purposes of [the ECL],”and ECL 9-0105(3) authorizes the Department to “[m]ake necessary rulesand regulations to secure proper enforcement of [ECL Article 9].”

2. Legislative objectives:Paragraph 1 of section 3 of Article XIV of the New York State Constitu-

tion provides that “forest and wild life conservation are. . . policies of theState.” Article XIV, section 1 of the New York State Constitution providesthat the lands of the Forest Preserve “shall be forever kept as wild forestlands,” and ECL sections 3-0301(1)(b) and 9-0105(1) give the Departmentjurisdiction to manage Forest Preserve lands. The Department is also au-thorized to promulgate rules and regulations for the use of such lands (seeECL sections 3-0301(2) (m) and 9-0105(3)). Consistent with this author-ity, the proposed regulations are crafted to protect natural resources andthe health, safety and general welfare of those who engage in recreationalactivities within the Northern Catskill Riparian Areas: Kaaterskill Falls,Kaaterskill Clove, Platte Clove, and Colgate Lake, of the Forest Preservein the Catskill Park.

3. Needs and benefits:The Northern Catskill Riparian Areas is composed of four separate ar-

eas, encompassing almost 2,000 acres of Forest Preserve lands in theTowns of Catskill, Hunter, and Jewett in Greene County, and a small por-tion in the Town of Saugerties, in Ulster County.

The Kaaterskill Clove Riparian Corridor is in the towns of Hunter andCatskill in Greene County, along State Route 23A. It begins at the intersec-tion of Spruce Creek and Kaaterskill Creek and extends downstream onKaaterskill Creek about 2 miles to the state land boundary. The corridorextends 300 feet from each side of the creek bed or to Route 23A, which-ever is the greater distance.

The Kaaterskill Falls Riparian Area is in the town of Hunter, GreeneCounty. It begins 150 feet upstream of Kaaterskill Falls, located on SpruceCreek and extends to the base of the waterfalls, including the stonestaircase and the mid-pool. The regulated area extends 300 feet from eachside of the creek bed or to the connector trail to the escarpment trail,whichever is the greater distance.

The Platte Clove Riparian Corridor is in the town of Hunter in GreeneCounty and a small portion of the town of Saugerties in Ulster County. Itbegins at the state land boundary near the intersection of Platte CloveRoad and Steenburgh Road, extending downstream along the creek, about1.6 miles. The regulated corridor extends 300 feet from each side of thecreek or to Platte Clove Road, whichever is greater.

The Colgate Lake Wild Forest Area is in the town of Jewett in GreeneCounty, including about 1,375 acres at the eastern end of County Route 78(Colgate Lake Road), bordered by the Windham-Blackhead RangeWilderness.

These areas have been popular public destinations since before the statebegan acquiring land in this area, which began in 1930 and extendedthrough the 1960s, ending most recently in 2016. Kaaterskill Falls hasbeen a tourist destination since the mid-1800s. As a result of increasedsocial media and New York tourism promotion, public use has increaseddramatically. The Department estimates approximately 100,000 peoplevisit the site each year. Public use has also increased dramatically in theKaaterskill Clove area during the summer over the last decade, as peopleuse the area mainly to swim and picnic. Platte Clove is used year around,including ice climbing in the winter. The Colgate Lake area is one of thefew public lakes available to the public in this portion of the Catskills andis heavily used during the summer.

Due to this dramatic increase in public use, serious public health andsafety issues are being created. The natural resources of the areas arerapidly becoming despoiled and fragile ecosystems are being degraded.There have been numerous fatalities over the last decade in these areas.Multiple people have fallen to their deaths at Kaaterskill Falls, KaaterskillClove, and Platte Clove. In addition, a person was paralyzed at ColgateLake as a result of unsafe diving.

The Department has improved safety at Kaaterskill Falls with the in-stallation of a viewing platform, stone staircase, sections of split rail fenc-ing, and the installation of a foot bridge upstream of the falls, allowing

people to cross the stream safely. However, even with these measures,people still engage in unsafe behaviors, such as wading in a very slipperystream just upstream of the falls and walking along the cliff faces.

The actions of people at Platte Clove and Kaaterskill Clove has resultedin recent fatalities and injuries. This regulation is intended to reduce thenumber of people who use the area, and restrict inappropriate activities toprotect the public health and safety and the resource.

Colgate Lake provides a unique experience in the Catskills. Access to asmall public lake for swimming and picnicking is uncommon in thenorthern Catskills. Public use of this area continues to increase, as peoplehear about this resource, especially through social media, and come toenjoy “a quiet” location. Site degradation is occurring in the immediatearea adjacent to the lake and the popular camping sites nearby within thisWild Forest unit. These regulations are targeted to reduce the number ofpeople who recreate here, provide an enjoyable user experience, andprotect the resource.

Site degradation is also an issue at Kaaterskill Falls, Kaaterskill Clove,and Platte Clove. The trampling of vegetation has resulted in exposed andcompacted soil. Trees are being stripped of their limbs for firewood, andindiscriminately located campfires are creating carbon scars on the ground.Garbage, trash, and broken glass are despoiling the wild character of theareas and raising public safety concerns.

The use of portable generators and audio devices have negativelyimpacted the quiet and solitude of these areas. The regulation will prohibitthe use of portable generators and require that an individual listening tomusic must utilize headphones or other similar devices. Under currentregulations, section 196.8 (b), portable generators, and other motorizedequipment, are prohibited in Wilderness Areas. The Platte Clove RiparianCorridor is located within the Indian Head Wilderness, where the use ofportable generators is already prohibited.

The conditions outlined are proposed to be addressed by varying levelsof regulation in the four areas, as described below.

The following proposed restrictions would apply in all areas, except forpeople that are legally camped:

1. No fires, including gas grills and propane stoves2. No glass containers except when containing medicine (currently

posted by sign only at Kaaterskill Clove)3. No playing audio devices without a personal noise damping device4. No alcohol5. No portable generatorsIn Kaaterskill Clove and Platte Clove, a further proposed restriction is

closure of the area from dusk (1/2 hour after sunset) to dawn (1/2 hourbefore sunrise), excepting legal campers, licensed hunters, anglers, trap-pers, and those on marked trails. It is dangerous for individuals to hike inthis area at night. High cliff faces and very steep terrain are not evident inthe dark and a person falling can be seriously injured or killed.

At Kaaterskill Falls, two additional restrictions include: the prohibitionof people entering the area within six feet of a cliff edge (except on markedtrails, by ice climbers, or those rappelling by rope) and the prohibition ofpeople entering the water within 150’ upstream of the falls. The proposedrestrictions are for the safety of users. There are numerous high cliffs ac-cessible to hikers, resulting in falls leading to serious injury or death. Thestream bed is extremely slippery and stepping into the water near the edgeof the falls can be dangerous. A tragic accident occurred several years agowhen a woman was swept over the falls after slipping while stepping intothe water to cross the stream above the falls. Local law enforcement andpublic safety officials are the first responders to incidents on these areas.Local governments support the regulatory proposal.

The Department has presented the proposed regulation at several meet-ings of local stakeholders in this area of the northern Catskills, includingthe Kaaterskill Clove working group and the Catskill Forest Preserve Ad-visory Committee. Local governments, including tourism and the countyplanning department, along with local user groups, first responders, sportspeople, and the hiking community, have attended these meetings. In addi-tion, information regarding the Department’s intent to propose theseregulations, content of the regulation, and the public process associatedwith the rulemaking, will appear in a widely distributed newspaper in thearea. A public meeting in the local community will also be held during theformal regulatory comment period. All regulatory documents will appearon the Department’s website.

4. Costs:There are no costs to the regulated community as a result of this

proposed regulation. Costs to the state for the additional management ac-tions are minimal and are estimated at $2,500 for new signage and postingof the Colgate Lake Wild Forest.

5. Local government mandates:This proposal will not impose any program, service, duty or responsibil-

ity upon any county, city, town, village, school district or fire district.6. Paperwork:The proposed regulations will not impose any reporting requirements or

other paperwork on any private or public entity.


36

7. Duplication:There is no duplication, conflict, or overlap with state or federal

regulations.8. Alternatives:The no-action alternative is not feasible since it does not adequately

protect the Northern Catskill Riparian Areas from overuse and abuse anddoes not protect the public health, safety, and general welfare. The exist-ing generic 6 NYCRR Part 190 regulations for state lands are not adequatein protecting the Northern Catskill Riparian Areas because of their uniquecharacteristics, remote locations and very high level of public use.

Closing these areas to public use is also not an acceptable alternative.Forest Preserve land is acquired for the use of and enjoyment by the public.ECL section 9-0301(1) provides that “all lands in the Catskill Park. . .shall be forever reserved and maintained for the free use of all the people. ..” The closure of Forest Preserve land to public use should not occur exceptwhen absolutely necessary to protect public health or the resource. Closurewould also be impractical due to the number of people who use these areas.Any closure would be ignored and enforcement would not be feasible.

9. Federal standards:There is no relevant federal standard governing the use of State lands.10. Compliance schedule:Once the regulations are adopted, they are effective immediately, and

all persons will be expected to comply with them upon their effective date.The Department will educate the public about the regulations through in-formation posted on the Departments’ website, signage posted on the prop-erty, and by working with user groups and other stakeholders to help dis-seminate information regarding the regulations.Regulatory Flexibility Analysis

Adoption of a new section 190.36 to 6 NYCRR will address publicsafety and natural resource degradation issues on the Northern Catskill Ri-parian Areas while still providing a quality outdoor experience for users.A Regulatory Flexibility Analysis for Small Businesses and Local Govern-ments is not submitted with these regulations because the proposal willnot impose any reporting, record-keeping or other compliance require-ments on small businesses or local governments.

Since there are no identified cost impacts for compliance with theproposed regulations on the part of small businesses and local govern-ments, they will bear no economic impact as a result of this proposal. Theproposed regulations relate solely to protecting public safety and naturalresources on the Northern Catskill Riparian Areas.Rural Area Flexibility AnalysisAdoption of a new subdivision 190.36 will address public safety and natu-ral resource degradation issues on the Northern Catskill Riparian Areaswhile still providing a quality outdoor experience for users. A Rural AreaFlexibility Analysis is not submitted with this proposal because the pro-posal will not impose any reporting, record-keeping or other compliancerequirements on rural areas. The proposed regulations relate solely toprotecting public safety and natural resources on the Northern Catskill Ri-parian Areas.

Job Impact StatementAdoption of a new section 190.36 to 6 NYCRR will address public safetyand natural resource degradation issues on the Northern Catskill RiparianAreas while still providing a quality outdoor experience for users. A JobImpact Statement is not submitted with this proposal because the proposalwill have no substantial adverse impact on existing or future jobs andemployment opportunities. The proposed regulations relate solely toprotecting public safety and natural resources on the Northern Catskill Ri-parian Areas.

Higher Education ServicesCorporation

EMERGENCY

RULE MAKING

Enhanced Tuition Awards Program

I.D. No. ESC-21-18-00034-E

Filing No. 413




Action taken: Addition of section 2201.19 to Title 8 NYCRR.Statutory authority: Education Law, sections 653, 655 and 667-dFinding of necessity for emergency rule: Preservation of general welfare.Specific reasons underlying the finding of necessity: This statement isbeing submitted pursuant to subdivision (6) of section 202 of the StateAdministrative Procedure Act and in support of the New York State HigherEducation Services Corporation’s (HESC) Emergency Rule Making seek-ing to add a new section 2201.19 to Title 8 of the Official Compilation ofCodes, Rules and Regulations of the State of New York.

This regulation implements a statutory student financial aid programproviding for awards to be made to students beginning with the fall 2017term, which generally starts in August. Emergency adoption is necessaryto avoid an adverse impact on the processing of awards to eligible scholar-ship applicants. The statute provides for tuition benefits to college-goingstudents pursuing their undergraduate studies at a New York State privateinstitution of higher education. Decisions on applications for this Programare made prior to the beginning of the term. Therefore, it is critical that theterms of the Program as provided in the regulation be effective im-mediately in order for HESC to process scholarship applications in atimely manner. To accomplish this mandate, the statute further providesfor HESC to promulgate emergency regulations to implement the Program.For these reasons, compliance with section 202(1) of the State Administra-tive Procedure Act would be contrary to the public interest.

Subject: Enhanced Tuition Awards program.

Purpose: To implement the Enhanced Tuition Awards program.

Text of emergency rule: New section 2201.19 is added to Title 8 of theNew York Code, Rules and Regulations to read as follows:

Section 2201.19 Enhanced Tuition Awards.(a) Definitions. For purposes of this section and Education Law, section

667-d, the following definitions shall apply:(1) Award shall mean an Enhanced Tuition Award pursuant to Educa-

tion Law, section 667-d.(2) Full-time attendance or full-time study, for purposes of Education

Law, section 667-d(1)(d)(ii), shall mean enrollment in at least 12 creditsper semester and completion of at least 30 combined credits per year fol-lowing the student’s start date, or its equivalent, applicable to his or herprogram of study, excluding any permissible interruption of study asdetermined by the corporation, and except as provided in subdivision (b)of this section and Education Law, section 667-d(1)(d)(ii). Noncreditcourses shall not be considered as contributing toward full-timeattendance.

(3) Half-time shall mean enrollment in at least six but less than 12credits, or the equivalent, per semester.

(4) Interruption in undergraduate study shall mean a temporary pe-riod of leave for a definitive length of time due to circumstances asdetermined by the corporation, including, but not limited to, death of afamily member, medical leave, military service, service in the Peace Corpsor parental leave.

(5) Program shall mean the Enhanced Tuition Awards codified inEducation Law, section 667-d.

(6) Satisfactory progress shall have the same meaning as successfulcompletion.

(7) Student’s start date (i) for purposes of Education Law, section667-d(1)(d)(i), shall mean the date the student began attendance as a firsttime college student; and (ii) for purposes of Education Law, section 667-d(1)(d)(ii), shall mean the date the college determines such recipient wasfirst in attendance at that institution.

(8) Successful completion shall mean a student has earned at least 30combined credits in each consecutive year following the student’s startdate, or its equivalent, applicable to his or her program or programs ofstudy except as provided in subdivision (b) of this section and EducationLaw, section 667-d(1)(d)(ii).

(b) Eligibility. In addition to the requirements of Education Law, sec-tion 667-d, an applicant must also satisfy the general eligibility require-ments provided in Education Law, section 661. As authorized by Educa-tion Law, section 667-d, the following exceptions and modifications to theeligibility requirements shall apply:

(1) College credit earned toward a recipient’s program(s) of studywhile a high school student or other non-matriculated status shall beconsidered as contributing toward full-time attendance. For a recipientwho earned college credit toward his or her program(s) of study prior toenrolling in college as a matriculated student and who is making satisfac-tory progress toward timely completion of his or her program(s) of study,and is enrolled in coursework not applicable toward his or her program(s)of study, such coursework outside of his or her program(s) of study shallbe considered as contributing toward full-time attendance.

(2) A recipient must be in full-time attendance as defined in thissection.

(3) For purposes of Education Law, section 667-d(1)(d)(i), an ap-


37

plicant must have completed at least 30 combined credits in each consecu-tive year following his or her start date applicable to his or her program(s)of study which were accepted by his or her current institution at the timeof application for this award, except for any permissible interruption ofstudy as determined by the corporation. Notwithstanding, an applicantwho enrolled in a program(s) of study leading to an undergraduate degreeand enrolled as a first-time college student: (i) in the 2015-16 academicyear who earned at least 54 combined credits applicable to his or herprogram(s) of study by the end of the 2016-17 academic year, shall becomeeligible to receive an award in the 2018-19 academic year and thereafterif such student completes at least 90 combined credits applicable to his orher program(s) of study by the end of the 2017-18 academic year; or (ii)in the 2016-17 academic year who earned at least 24 combined creditsapplicable to his or her program(s) of study by the end of the 2016-17 ac-ademic year, shall become eligible to receive an award in the 2018-19 ac-ademic year and thereafter if such student completes at least 60 combinedcredits applicable to his or her program(s) of study by the end of the2017-18 academic year.

(4) For students who are disabled as defined by the Americans withDisabilities Act of 1990, 42 USC 12101, the full-time attendance require-ment is eliminated, subject to the parameters of paragraph 3 of subdivi-sion e of this section.

(c) Recipient selection. If there are more applicants than availablefunds, the following provisions shall apply:

(1) In the program’s first year:(i) First priority shall be given to eligible applicants who are cur-

rently in attendance at an institution of higher education. If there are moreapplicants than available funds, recipients shall be chosen by lottery.

(ii) Second priority shall be given to eligible applicants who arematriculated in an approved program leading to an undergraduate degreeat a private not-for-profit degree granting institution of higher educationlocated in New York State, except those institutions set forth in EducationLaw, section 661(4)(b), for the first time. If there are more applicants thanavailable funds, recipients shall be chosen by lottery.

(2) After the program’s first year:(i) First priority shall be given to eligible applicants who have

received payment of an award pursuant to this section in a prior year andare currently in attendance at a private not-for-profit degree grantinginstitution of higher education located in New York State, except thoseinstitutions set forth in Education Law, section 661(4)(b). If there are moreapplicants than available funds, recipients shall be chosen by lottery.

(ii) Second priority shall be given to eligible applicants who havenot received payment of an award in a prior year and are currently in at-tendance at an institution of higher education. If there are more applicantsthan available funds, recipients shall be chosen by lottery.

(iii) Third priority shall be given to eligible applicants who arematriculated in an approved program leading to an undergraduate degreeat a private not-for-profit degree granting institution of higher educationlocated within New York State, except those institutions set forth in Educa-tion Law, section 661(4)(b), for the first time. If there are more applicantsthan available funds, recipients shall be chosen by lottery.

(d) Administration. In addition to the requirements contained in Educa-tion Law, section 667-d, the following requirements shall also apply.

(1) Applicants for an award shall:(i) apply for program eligibility on forms and in a manner

prescribed by the corporation. The corporation may require applicants toprovide additional documentation evidencing eligibility; and

(ii) electronically transmit applications for program eligibility tothe corporation on or before the date prescribed by the corporation for theapplicable academic year.

(2) Recipients of an award shall:(i) execute a contract with the corporation agreeing to reside in

New York State for a continuous number of years equal to the duration ofthe award received and, if employed during such time, to be employed inNew York State;

(ii) apply for payment annually on forms specified by the corpora-tion; and

(iii) receive such awards for not more than two academic years offull-time undergraduate study if enrolled in an eligible two year programof study or four academic years of full-time undergraduate study or fiveacademic years if the program of study normally requires five years, asdefined by the commissioner pursuant to article thirteen of the educationlaw, excluding any allowable interruption of study as defined in thissection. For purposes of this subparagraph, a recipient’s academic yearshall begin with the term he or she was first in attendance at the institutionin which he or she is currently enrolled.

(3) Institutions.(i) Certification. For each recipient, institutions shall certify on

forms and in the manner prescribed by the corporation the tuition ratecharged by the institution, the amount of the institution’s matching award,

eligibility to receive the award, the number of credits completed each aca-demic term, the cumulative credits at the end of each academic term, andany other information requested by the corporation.

(ii) College Option. (A) An institution may annually choose toparticipate in the Program or to opt out of the Program in the mannerprescribed by the corporation; (B) Institutional participation shall be foran entire academic year; (C) An institution may establish a cap on itsparticipation based on a dollar threshold or a maximum number ofstudents; (D) An institution that opts out of the Program shall continue toprovide the institutional matching award and applicable tuition rate to allaward recipients until such recipients have exhausted eligibility or are nolonger eligible for award payments.

(e) Amounts.(1) The amount of the award shall be determined in accordance with

Education Law, section 667-d.(2) Disbursements shall be made each term to institutions, on behalf

of recipients, within a reasonable time subject to the verification and certi-fication by the institution of the recipient’s full-time status and othereligibility and certification requirements.

(3) For students who are disabled as defined by the Americans withDisabilities Act of 1990, 42 USC 12101, upon each certification by thecollege or university, payment eligibility shall be determined and mea-sured proportionally in equivalence with full-time study.

(f) Contractual obligation.(1) For the purpose of complying with Education Law, section 667-

d(1)(f), military personnel, including those in the Military Reserves andROTC or CSPI, for whom New York is his or her legal state of residenceshall be deemed to reside and be employed in New York State regardless ofwhere the individual is stationed or deployed.

(2) For the purpose of complying with Education Law, section 667-d(1)(f), for a recipient who is no longer eligible to receive award pay-ments, the duration he or she resides in New York State while completingundergraduate or graduate study, including medical residency, shall becredited toward the time necessary to satisfy the recipient’s residency andemployment requirement.

(3) Where a recipient, within six months of receipt of his or her finalaward payment, fails to maintain permanent domicile in New York Statefor a continuous number of years equal to the duration of the awardreceived or, during such time, is employed in any other state, the corpora-tion shall convert all award monies received to a 10-year student loan,without interest. However, the requirement to maintain permanent domi-cile, and only be employed, in New York State, may be deferred to completeundergraduate study or attend graduate school, including medicalresidency, on at least a half-time basis.

(4) Where a recipient has demonstrated extreme hardship as a resultof a disability, labor market conditions, or other such circumstances, thecorporation may, in its discretion, postpone converting the award to astudent loan, temporarily suspend repayment of the amount owed, dis-charge the amount owed, or take such other appropriate action. Notwith-standing, the corporation shall prorate the amount owed commensuratewith the length of time the recipient complied with the residency andemployment requirements.

This notice is intended to serve only as a notice of emergency adoption.This agency intends to adopt this emergency rule as a permanent rule andwill publish a notice of proposed rule making in the State Register at somefuture date. The emergency rule will expire August 4, 2018.

Text of rule and any required statements and analyses may be obtainedfrom: Cheryl B. Fisher, NYS Higher Education Services Corporation, 99Washington Avenue, Room 1325, Albany, New York 12255, (518) 474-5592, email: [email protected]

Regulatory Impact StatementStatutory authority:The New York State Higher Education Services Corporation’s (HESC)

statutory authority to promulgate regulations and administer EnhancedTuition Awards (Program) is codified within Article 14 of the EducationLaw. In particular, Part III of Chapter 59 of the Laws of 2017 created theProgram by adding a new section 667-d to the Education Law. Subdivi-sion 9 of section 667-d of the Education Law authorizes HESC topromulgate emergency regulations for the purpose of administering thisProgram.

Pursuant to Education Law § 652(2), HESC was established for thepurpose of improving the post-secondary educational opportunities ofeligible students through the centralized administration of New York Statefinancial aid programs and coordinating the State’s administrative effort instudent financial aid programs with those of other levels of government.

In addition, Education Law § 653(9) empowers HESC’s Board of Trust-ees to perform such other acts as may be necessary or appropriate to carryout the objects and purposes of the corporation including the promulgationof rules and regulations.


38

HESC’s President is authorized, under Education Law § 655(4), topropose rules and regulations, subject to approval by the Board of Trust-ees, governing, among other things, the application for and the grantingand administration of student aid and loan programs, the repayment ofloans or the guarantee of loans made by HESC; and administrative func-tions in support of state student aid programs. Also, consistent with Educa-tion Law § 655(9), HESC’s President is authorized to receive assistancefrom any Division, Department or Agency of the State in order to properlycarry out his or her powers, duties and functions. Finally, Education Law§ 655(12) provides HESC’s President with the authority to perform suchother acts as may be necessary or appropriate to carry out effectively thegeneral objects and purposes of HESC.

Legislative objectives:The Education Law was amended to add a new section 667-d to create

the Enhanced Tuition Awards program (Program). This Program is aimedat reducing tuition costs and accelerating completion rates for studentswho attend a private college in New York State.

Needs and benefits:Many studies have underscored the importance of a college degree in

today’s global economy. According to a report by the Center on Educationand the Workforce (CEW) at Georgetown University, by 2020, 65 percentof all jobs will require some form of postsecondary education or training,compared to 59 percent of jobs in 2010. The CEW report finds that havinga skilled workforce is critical if the United States is to “remain competi-tive, attract the right type of industry, and engage the right type of talent ina knowledge-based and innovative economy.” At the current pace, theUnited States will fall short of its skilled workforce needs by 5 millionworkers. The disparity in earning potential between high school graduatesand college graduates has never been greater, nor has the student loan debt– which stands at $1.3 trillion – being carried by those who have pursued apostsecondary education.

Recognizing the growing need for workers with postsecondary educa-tion and training, the wage earnings benefits for those with training be-yond high school, the rapidly rising college costs and mounting studentloan debt, this Program awards students up to $6,000 to offset students’ tu-ition costs through a combination of a New York State Tuition AssistanceProgram (TAP) award, the Enhanced Tuition Award and a match fromthose private colleges who elect to participate in the Program. When fullyphased in, Program awards will be available to resident, undergraduatestudents from households with incomes of up to $125,000. To be eligiblefor a Program award, students must be on track to complete an associate’sdegree in two years or a bachelor’s degree in four years by taking at least30 credits each year. Payments will be made directly to colleges anduniversities on behalf of students upon certification of their successfulcompletion of the academic term.

Students receiving Enhanced Program Awards must sign a contractagreeing to live in New York State for the number of years equal to theduration of the award received and, if employed, work within the Stateduring this time. Recipients who do not satisfy this obligation will havethe value of their awards converted to an interest-free student loan.

Costs:a. It is anticipated that there will be no costs to the agency for the

implementation of, or continuing compliance with this rule.b. Private colleges that opt to participate in the Program are required to

credit each recipients remaining tuition expenses in an amount equal to therecipient’s award (“matching award”). Such credit will be applied after therecipient has received an institutional aid package, if any, to ensure thatthis program does not reduce institutional aid that would otherwise begranted. The maximum amount of the matching award to a recipient is$3,000.

c. The maximum cost of the program to the State is $19 million in thefirst year based upon budget estimates.

d. It is anticipated that there will be no costs to Local Governments forthe implementation of, or continuing compliance with, this rule.

e. The source of the cost data in (c) above is derived from the New YorkState Division of the Budget.

Local government mandates:No program, service, duty or responsibility will be imposed by this rule

upon any county, city, town, village, school district, fire district or otherspecial district.

Paperwork:This proposal will require applicants to file an electronic application for

each year they wish to receive an award up to and including five years ofeligibility. Recipients are required to sign a contract agreeing to live inNew York State, and not be employed outside the State, in exchange for anaward. Recipients must submit annual status reports until a final disposi-tion is reached in accordance with the written contract.

Duplication:No relevant rules or other relevant requirements duplicating, overlap-

ping, or conflicting with this rule were identified.

Alternatives:The proposed regulation is the result of HESC’s outreach efforts to

financial aid professionals with regard to this Program. Several alterna-tives were considered in the drafting of this regulation, such as the ap-plication of the credit requirement. Given the statutory language as setforth in section 667-d of the Education Law, a “no action” alternative wasnot an option.

Federal standards:This proposal does not exceed any minimum standards of the Federal

Government.Compliance schedule:The agency will be able to comply with the regulation immediately

upon its adoption.Regulatory Flexibility Analysis

This statement is being submitted pursuant to subdivision (3) of section202-b of the State Administrative Procedure Act and in support of the NewYork State Higher Education Services Corporation’s (HESC) EmergencyRule Making, seeking to add a new section 2201.19 to Title 8 of the Of-ficial Compilation of Codes, Rules and Regulations of the State of NewYork.

This rule implements a statutory student financial aid program thatprovides tuition benefits to college students who pursue their undergradu-ate studies at a New York State private institution of higher education.Colleges that opt to participate in the Program are required to credit eachrecipients remaining tuition expenses in an amount equal to the recipient’saward (“matching award”). Such credit will be applied after the recipienthas received an institutional aid package, if any, to ensure that this programdoes not reduce institutional aid that would otherwise be granted. Themaximum amount of the matching award to a recipient is $3,000.Notwithstanding, HESC finds that this rule will not impose any compli-ance requirement or adverse economic impact on small businesses or localgovernments. Rather, it has potential positive impacts by offering $19 mil-lion in new financial aid support for students seeking to enroll in a privatecollege in New York state and providing students with additional tuitionaward benefits. Students will be rewarded for remaining and working inNew York, which will provide an economic benefit to the State’s smallbusinesses and local governments as well.

Rural Area Flexibility AnalysisThis statement is being submitted pursuant to subdivision (4) of section

202-bb of the State Administrative Procedure Act and in support of theNew York State Higher Education Services Corporation’s Emergency RuleMaking, seeking to add a new section 2201.19 to Title 8 of the OfficialCompilation of Codes, Rules and Regulations of the State of New York.

It is apparent from the nature and purpose of this rule that it will notimpose an adverse impact on rural areas. Rather, it has potential positiveimpacts inasmuch as it implements a statutory student financial aidprogram that provides tuition benefits to college students who pursue theirundergraduate studies at a New York State private institution of highereducation. Students will be rewarded for remaining and working in NewYork, which will benefit rural areas around the State as well.

This agency finds that this rule will not impose any reporting, recordkeeping or other compliance requirements on public or private entities inrural areas.

Job Impact StatementThis statement is being submitted pursuant to subdivision (2) of section

201-a of the State Administrative Procedure Act and in support of the NewYork State Higher Education Services Corporation’s Emergency RuleMaking seeking to add a new section 2201.19 to Title 8 of the OfficialCompilation of Codes, Rules and Regulations of the State of New York.

It is apparent from the nature and purpose of this rule that it will nothave any negative impact on jobs or employment opportunities. Rather, ithas potential positive impacts inasmuch as it implements a statutorystudent financial aid program that provides tuition benefits to collegestudents who pursue their undergraduate studies at a New York Stateprivate institution of higher education. Students will be rewarded forremaining and working in New York, which will benefit the State as well.

EMERGENCY

RULE MAKING

Excelsior Scholarship

I.D. No. ESC-21-18-00035-E

Filing No. 414





39

Action taken: Addition of section 2201.18 to Title 8 NYCRR.Statutory authority: Education Law, sections 653, 655 and 669-hFinding of necessity for emergency rule: Preservation of general welfare.Specific reasons underlying the finding of necessity: This statement isbeing submitted pursuant to subdivision (6) of section 202 of the StateAdministrative Procedure Act and in support of the New York State HigherEducation Services Corporation’s (HESC) Emergency Rule Making seek-ing to add a new section 2201.18 to Title 8 of the Official Compilation ofCodes, Rules and Regulations of the State of New York.

This regulation implements a statutory student financial aid programproviding for awards to be made to students beginning with the fall 2017term, which generally starts in August. Emergency adoption is necessaryto avoid an adverse impact on the processing of awards to eligible scholar-ship applicants. The statute provides for full tuition benefits to college-going students pursuing their undergraduate studies at a New York Statepublic institution of higher education. Decisions on applications for thisProgram are made prior to the beginning of the term. Therefore, it is criti-cal that the terms of the Program as provided in the regulation be effectiveimmediately in order for HESC to process scholarship applications in atimely manner. To accomplish this mandate, the statute further providesfor HESC to promulgate emergency regulations to implement the Program.For these reasons, compliance with section 202(1) of the State Administra-tive Procedure Act would be contrary to the public interest.

Subject: Excelsior Scholarship.

Purpose: To implement the Excelsior Scholarship.


Section 2201.18 Excelsior Scholarship.(a) Definitions. For purposes of this section and Education Law, section

669-h, the following definitions shall apply:(1) Award shall mean an Excelsior Scholarship award pursuant to

Education Law, section 669-h.(2) Full-time attendance or full-time study, for purposes of Education

Law, section 669-h(1)(c), shall mean enrollment in at least 12 credits persemester and completion of at least 30 combined credits per year follow-ing the student’s start date, or its equivalent, applicable to his or herprogram of study, excluding any permissible interruption of study asdetermined by the corporation, and except as provided in subdivision (b)of this section and Education Law, section 669-h(1)(c). Noncredit coursesshall not be considered as contributing toward full-time attendance.

(3) Half-time shall mean enrollment in at least six but less than 12credits, or the equivalent, per semester.

(4) Interruption in undergraduate study shall mean a temporary pe-riod of leave for a definitive length of time due to circumstances asdetermined by the corporation, including, but not limited to, death of afamily member, medical leave, military service, service in the Peace Corpsor parental leave.

(5) Program shall mean the Excelsior Scholarship codified in Educa-tion Law, section 669-h

(6) Public institution of higher education shall mean the StateUniversity of New York, as defined in Education Law, section 352(3), acommunity college as defined in Education Law, section 6301(2), or theCity University of New York as defined in Education Law, section 6202(2).

(7) Satisfactory progress shall have the same meaning as successfulcompletion.

(8) Student’s start date (i) for purposes of Education Law, section669-h(1)(b), shall mean the date the student began attendance as a firsttime college student; and (ii) for purposes of Education Law, section 669-h(1)(c), shall mean the date the college determines such recipient was firstin attendance at that institution.

(9) Successful completion shall mean a student has earned at least 30combined credits in each consecutive year following the student’s startdate, or its equivalent, applicable to his or her program or programs ofstudy except as provided in subdivision (b) of this section and EducationLaw, section 669-h(1)(c).

(b) Eligibility. In addition to the requirements of Education Law, sec-tion 669-h, an applicant must also satisfy the general eligibility require-ments provided in Education Law, section 661. As authorized by Educa-tion Law, section 669-h, the following exceptions and modifications to theeligibility requirements shall apply:

(1) College credit earned toward a recipient’s program(s) of studywhile a high school student or other non-matriculated status shall beconsidered as contributing toward full-time attendance. For a recipientwho earned college credit toward his or her program(s) of study prior toenrolling in college as a matriculated student and who is making satisfac-tory progress toward timely completion of his or her program(s) of study,and is enrolled in coursework not applicable toward his or her program(s)of study, such coursework outside of his or her program(s) of study shallbe considered as contributing toward full-time attendance.

(2) A recipient must be in full-time attendance as defined in thissection.

(3) For purposes of Education Law, section 669-h(1)(b), an applicantmust have completed at least 30 combined credits in each consecutiveyear following his or her start date applicable to his or her program(s) ofstudy which were accepted by his or her current institution at the time ofapplication for this award, except for any permissible interruption of studyas determined by the corporation. Notwithstanding, an applicant whoenrolled in a program(s) of study leading to an undergraduate degree andenrolled as a first-time college student: (i) in the 2015-16 academic yearwho earned at least 54 combined credits applicable to his or her pro-gram(s) of study by the end of the 2016-17 academic year, shall becomeeligible to receive an award in the 2018-19 academic year and thereafterif such student completes at least 90 combined credits applicable to his orher program(s) of study by the end of the 2017-18 academic year; or (ii)in the 2016-17 academic year who earned at least 24 combined creditsapplicable to his or her program(s) of study by the end of the 2016-17 ac-ademic year, shall become eligible to receive an award in the 2018-19 ac-ademic year and thereafter if such student completes at least 60 combinedcredits applicable to his or her program(s) of study by the end of the2017-18 academic year.

(4) For students who are disabled as defined by the Americans withDisabilities Act of 1990, 42 USC 12101, the full-time attendance require-ment is eliminated, subject to the parameters of paragraph 4 of subdivi-sion d of this section.

(c) Administration. In addition to the requirements contained in Educa-tion Law, section 669-h, the following requirements shall also apply.

(1) Applicants for an award shall:(i) apply for program eligibility on forms and in a manner

prescribed by the corporation. The corporation may require applicants toprovide additional documentation evidencing eligibility; and

(ii) electronically transmit applications for program eligibility tothe corporation on or before the date prescribed by the corporation for theapplicable academic year.

(2) Recipients of an award shall:(i) execute a contract with the corporation agreeing to reside in

New York State for a continuous number of years equal to the duration ofthe award received and, if employed during such time, to be employed inNew York State;

(ii) apply for payment annually on forms specified by the corpora-tion; and

(iii) receive such awards for not more than two academic years offull-time undergraduate study if enrolled in an eligible two year programof study or four academic years of full-time undergraduate study or fiveacademic years if the program of study normally requires five years, asdefined by the commissioner pursuant to article thirteen of the educationlaw, excluding any allowable interruption of study as defined in thissection. For purposes of this subparagraph, a recipient’s academic yearshall begin with the term he or she was first in attendance at the institutionin which he or she is currently enrolled.

(3) For each recipient, institutions shall certify on forms and in themanner prescribed by the corporation the tuition rate charged by theinstitution, eligibility to receive the award, the number of credits completedeach academic term, the cumulative credits at the end of each academicterm, the type and amount of each student financial aid award received,excluding loans and work study, and any other information requested bythe corporation.

(d) Amounts.(1) The amount of the award shall be determined in accordance with

Education Law, section 669-h.(2) Disbursements shall be made each term to institutions, on behalf

of recipients, within a reasonable time subject to the verification and certi-fication by the institution of the recipient’s full-time status and othereligibility and certification requirements.

(3) Awards shall be reduced by the value of other educational grantsand scholarships that cover the cost of attendance unless the award isexclusively for non-tuition expenses as authorized by Education Law, sec-tion 669-h.

(4) For students who are disabled as defined by the Americans withDisabilities Act of 1990, 42 USC 12101, upon each certification by thecollege or university, payment eligibility shall be determined and mea-sured proportionally in equivalence with full-time study.

(e) Contractual obligation.(1) For the purpose of complying with Education Law, section 669-

h(4)(e), military personnel, including those in the Military Reserves andROTC or CSPI, for whom New York is his or her legal state of residenceshall be deemed to reside and be employed in New York State regardless ofwhere the individual is stationed or deployed.

(2) For the purpose of complying with Education Law, section 669-h(4)(e), for a recipient who is no longer eligible to receive award pay-


40

ments, the duration he or she resides in New York State while completingundergraduate or graduate study, including medical residency, shall becredited toward the time necessary to satisfy the recipient’s residency andemployment requirement.

(3) Where a recipient, within six months of receipt of his or her finalaward payment, fails to maintain permanent domicile in New York Statefor a continuous number of years equal to the duration of the awardreceived or, during such time, is employed in any other state, the corpora-tion shall convert all award monies received to a 10-year student loan,without interest. However, the requirement to maintain permanent domi-cile, and only be employed, in New York State, may be deferred to completeundergraduate study or attend graduate school, including medicalresidency, on at least a half-time basis.

(4) Where a recipient has demonstrated extreme hardship as a resultof a disability, labor market conditions, or other such circumstances, thecorporation may, in its discretion, postpone converting the award to astudent loan, temporarily suspend repayment of the amount owed, dis-charge the amount owed, or take such other appropriate action. Notwith-standing, the corporation shall prorate the amount owed commensuratewith the length of time the recipient complied with the residency andemployment requirements.



Regulatory Impact StatementStatutory authority:The New York State Higher Education Services Corporation’s (HESC)

statutory authority to promulgate regulations and administer the ExcelsiorScholarship (Program) is codified within Article 14 of the Education Law.In particular, Part HHH of Chapter 59 of the Laws of 2017 created theProgram by adding a new section 669-h to the Education Law. Subdivi-sion 6 of section 669-h of the Education Law authorizes HESC topromulgate emergency regulations for the purpose of administering thisProgram.




Legislative objectives:The Education Law was amended to add a new section 669-h to create

the Excelsior Scholarship (Program). This Program makes college tuition-free for New York’s middle class families at all State University of NewYork (SUNY) and City University of New York (CUNY) two-year andfour-year colleges.

Needs and benefits:Many studies have underscored the importance of a college degree in

today’s global economy. According to a report by the Center on Educationand the Workforce (CEW) at Georgetown University, by 2020, 65 percentof all jobs will require some form of postsecondary education or training,compared to 59 percent of jobs in 2010. The CEW report finds that havinga skilled workforce is critical if the United States is to “remain competi-tive, attract the right type of industry, and engage the right type of talent ina knowledge-based and innovative economy.” At the current pace, theUnited States will fall short of its skilled workforce needs by 5 millionworkers. The disparity in earning potential between high school graduatesand college graduates has never been greater, nor has the student loan debt– which stands at $1.3 trillion – being carried by those who have pursued a

postsecondary education. Recognizing the growing need for workers withpostsecondary education and training, the wage earnings benefits for thosewith training beyond high school, the rapidly rising college costs andmounting student loan debt, this Program makes college tuition-free forNew York’s students attending a State University of New York (SUNY) orCity University of New York (CUNY) two-year or four-year college.

The Program provides for annual tuition awards up to $5,500 for resi-dent, undergraduate students from households with incomes of up to$125,000, when fully phased in. Students must be on track to complete anassociate’s degree in two years or a bachelor’s degree in four years by tak-ing at least 30 credits each year. Awards are reduced by other financial aidreceived by the student, such as a Tuition Assistance Program (TAP)award. Any remaining tuition expense will be covered through a collegecredit. Payments will be made directly to the public college or universityon behalf of the student upon certification of his or her successful comple-tion of the academic term.

Students receiving an Excelsior Scholarship award must sign a contractagreeing to live in New York State for a number of years equal to the dura-tion of the award received and, if employed, work within the State duringthis time. Recipients who do not satisfy this obligation will have the valueof their awards converted to an interest-free student loan.


implementation of, or continuing compliance with this rule.b. The maximum cost of the program to the State is $87 million in the

first year based upon budget estimates.c. It is anticipated that there will be no costs to Local Governments for

the implementation of, or continuing compliance with, this rule.d. The source of the cost data in (b) above is derived from the New York

State Division of the Budget.Local government mandates:No program, service, duty or responsibility will be imposed by this rule



each year they wish to receive an award up to and including five years ofeligibility. Recipients are required to sign a contract agreeing to live inNew York State, and not be employed outside the State, in exchange for anaward. Recipients must submit annual status reports until a final disposi-tion is reached in accordance with the written contract.


ping, or conflicting with this rule were identified.Alternatives:The proposed regulation is the result of HESC’s outreach efforts to

financial aid professionals with regard to this Program. Several alterna-tives were considered in the drafting of this regulation, such as the ap-plication of the credit requirement. Given the statutory language as setforth in section 669-h of the Education Law, a “no action” alternative wasnot an option.


Government.Compliance schedule:The agency will be able to comply with the regulation immediately

upon its adoption.

Regulatory Flexibility AnalysisThis statement is being submitted pursuant to subdivision (3) of section

202-b of the State Administrative Procedure Act and in support of the NewYork State Higher Education Services Corporation’s (HESC) EmergencyRule Making, seeking to add a new section 2201.18 to Title 8 of the Of-ficial Compilation of Codes, Rules and Regulations of the State of NewYork.

It is apparent from the nature and purpose of this rule that it will notimpose an adverse economic impact on small businesses or localgovernments. HESC finds that this rule will not impose any compliancerequirement or adverse economic impact on small businesses or localgovernments. Rather, it has potential positive impacts inasmuch as itimplements a statutory student financial aid program that provides full tu-ition benefits to college students who pursue their undergraduate studies ata New York State public institution of higher education. Students will berewarded for remaining and working in New York, which will provide aneconomic benefit to the State’s small businesses and local governments aswell.


202-bb of the State Administrative Procedure Act and in support of theNew York State Higher Education Services Corporation’s Emergency Rule


41

Making, seeking to add a new section 2201.18 to Title 8 of the OfficialCompilation of Codes, Rules and Regulations of the State of New York.

It is apparent from the nature and purpose of this rule that it will notimpose an adverse impact on rural areas. Rather, it has potential positiveimpacts inasmuch as it implements a statutory student financial aidprogram that provides full tuition benefits to college students who pursuetheir undergraduate studies at a New York State public institution of highereducation. Students will be rewarded for remaining and working in NewYork, which will benefit rural areas around the State as well.




It is apparent from the nature and purpose of this rule that it will nothave any negative impact on jobs or employment opportunities. Rather, ithas potential positive impacts inasmuch as it implements a statutorystudent financial aid program that provides full tuition benefits to collegestudents who pursue their undergraduate studies at a New York State pub-lic institution of higher education. Students will be rewarded for remain-ing and working in New York, which will benefit the State as well.

EMERGENCY

RULE MAKING

New York State Science, Technology, Engineering andMathematics Incentive Program

I.D. No. ESC-21-18-00036-E

Filing No. 415




Action taken: Addition of section 2201.13 to Title 8 NYCRR.

Statutory authority: Education Law, sections 653, 655 and 669-e

Finding of necessity for emergency rule: Preservation of general welfare.

Specific reasons underlying the finding of necessity: This statement isbeing submitted pursuant to subdivision (6) of section 202 of the StateAdministrative Procedure Act and in support of the New York State HigherEducation Services Corporation’s (“HESC”) Emergency Rule Makingseeking to add a new section 2201.13 to Title 8 of the Official Compilationof Codes, Rules and Regulations of the State of New York.

This regulation implements a statutory student financial aid programproviding for awards to be made to students beginning with the fall 2014term. Emergency adoption is necessary to avoid an adverse impact on theprocessing of awards to eligible scholarship applicants. The statuteprovides for tuition benefits to college-going students who, beginningAugust 2014, pursue an undergraduate program of study in science,technology, engineering, or mathematics at a New York State publicinstitution of higher education. High school students entering college inAugust must inform the institution of their intent to enroll no later thanMay 1. Therefore, it is critical that the terms of the program as provided inthe regulation be available immediately in order for HESC to processscholarship applications so that students can make informed choices. Toaccomplish this mandate, the statute further provides for HESC topromulgate emergency regulations to implement the program. For thesereasons, compliance with section 202(1) of the State Administrative Pro-cedure Act would be contrary to the public interest.

Subject: New York State Science, Technology, Engineering and Mathemat-ics Incentive Program.

Purpose: To implement the New York State Science, Technology,Engineering and Mathematics Incentive Program.


Section 2201.13 New York State Science, Technology, Engineering andMathematics Incentive Program.

(a) Definitions. The following definitions apply to this section:(1) “Award” shall mean a New York State Science, Technology,

Engineering and Mathematics Incentive Program award pursuant to sec-tion 669-e of the New York State education law.

(2) “Employment” shall mean continuous employment for at leastthirty-five hours per week in the science, technology, engineering ormathematics field, as published on the corporation’s web site, for a publicor private entity located in New York State for five years after the comple-tion of the undergraduate degree program and, if applicable, a higherdegree program or professional licensure degree program and a grace pe-riod as authorized by section 669-e(4) of the education law.

(3) “Grace period” shall mean a six month period following a recip-ient’s date of graduation from a public institution of higher education and,if applicable, a higher degree program or professional licensure degreeprogram as authorized by section 669-e(4) of the education law.

(4) “High school class” shall mean the total number of studentseligible to graduate from a high school in the applicable school year.

(5) “Interruption in undergraduate study or employment” shall meana temporary period of leave for a definitive length of time due to circum-stances as determined by the corporation, including, but not limited to,maternity/paternity leave, death of a family member, or military duty.

(6) “Program” shall mean the New York State Science, Technology,Engineering and Mathematics Incentive Program codified in section 669-eof the education law.

(7) “Public institution of higher education” shall mean the stateuniversity of New York, as defined in subdivision 3 of section 352 of theeducation law, a community college as defined in subdivision 2 of section6301 of the education law, or the city university of New York as defined insubdivision 2 of section 6202 of the education law.

(8) “School year” shall mean the period commencing on the first dayof July in each year and ending on the thirtieth day of June next following.

(9) “Science, technology, engineering and mathematics” programsshall mean those undergraduate degree programs designated by thecorporation on an annual basis and published on the corporation’s website.

(10) “Successful completion of a term” shall mean that at the end ofany academic term, the recipient: (i) met the eligibility requirements forthe award pursuant to sections 661 and 669-e of the education law; (ii)completed at least 12 credit hours or its equivalent in a course of studyleading to an approved undergraduate degree in the field of science,technology, engineering, or mathematics; and (iii) possessed a cumulativegrade point average (GPA) of 2.5 as of the date of the certification by theinstitution. Notwithstanding, the GPA requirement is preliminarily waivedfor the first academic term for programs whose terms are organized insemesters, and for the first two academic terms for programs whose termsare organized on a trimester basis. In the event the recipient’s cumulativeGPA is less than a 2.5 at the end of his or her first academic year, the re-cipient will not be eligible for an award for the second academic term forprograms whose terms are organized in semesters or for the third aca-demic term for programs whose terms are organized on a trimester basis.In such case, the award received for the first academic term for programswhose terms are organized in semesters and for the first two academicterms for programs whose terms are organized on a trimester basis mustbe returned to the corporation and the institution may reconcile thestudent’s account, making allowances for any other federal, state, orinstitutional aid the student is eligible to receive for such terms unless: (A)the recipient’s GPA in his or her first academic term for programs whoseterms are organized in semesters was a 2.5 or above, or (B) the recipient’sGPA in his or her first two academic terms for programs whose terms areorganized on a trimester basis was a 2.5 or above, in which case theinstitution may retain the award received and only reconcile the student’saccount for the second academic term for programs whose terms areorganized in semesters or for the third academic term for programs whoseterms are organized on a trimester basis. The corporation shall issue aguidance document, which will be published on its web site.

(b) Eligibility. An applicant for an award under this program pursuantto section 669-e of the education law must also satisfy the general eligibil-ity requirements provided in section 661 of the education law.

(c) Class rank or placement. As a condition of an applicant’s eligibility,the applicant’s high school shall provide the corporation:

(1) official documentation from the high school either (i) showing theapplicant’s class rank together with the total number of students in suchapplicant’s high school class or (ii) certifying that the applicant is in thetop 10 percent of such applicant’s high school class; and

(2) the applicant’s most current high school transcript; and(3) an explanation of how the size of the high school class, as defined

in subdivision (a), was determined and the total number of students insuch class using such methodology. If the high school does not rank thestudents in such high school class, the high school shall also provide thecorporation with an explanation of the method used to calculate the top 10percent of students in the high school class, and the number of students inthe top 10 percent, as calculated. Each methodology must comply with theterms of this program as well as be rational and reasonable. In the eventthe corporation determines that the methodology used by the high school


42

fails to comply with the term of the program, or is irrational or unreason-able, the applicant will be denied the award for failure to satisfy theeligibility requirements; and

(4) any additional information the corporation deems necessary todetermine that the applicant has graduated within the top 10 percent ofhis or her high school class.

(d) Administration.(1) Applicants for an award shall:

(i) apply for program eligibility on forms and in a mannerprescribed by the corporation. The corporation may require applicants toprovide additional documentation evidencing eligibility; and

(ii) postmark or electronically transmit applications for programeligibility to the corporation on or before the date prescribed by thecorporation for the applicable academic year. Notwithstanding any otherrule or regulation to the contrary, such applications shall be received bythe corporation no later than August 15th of the applicant’s year of gradu-ation from high school.

(2) Recipients of an award shall:(i) execute a service contract prescribed by the corporation;(ii) apply for payment annually on forms specified by the corpora-

tion;(iii) confirm annually their enrollment in an approved undergradu-

ate program in science, technology, engineering, or mathematics;(iv) receive such awards for not more than four academic years of

full-time undergraduate study or five academic years if the program ofstudy normally requires five years, as defined by the commissioner pursu-ant to article thirteen of the education law, excluding any allowable inter-ruption of study; and

(v) respond to the corporation’s requests for a letter from theiremployer attesting to the employee’s job title, the employee’s number ofhours per work week, and any other information necessary for thecorporation to determine compliance with the program’s employmentrequirements.

(e) Amounts.(1) The amount of the award shall be determined in accordance with

section 669-e of the education law.(2) Disbursements shall be made each term to institutions, on behalf

of recipients, within a reasonable time upon successful completion of theterm subject to the verification and certification by the institution of the re-cipient’s GPA and other eligibility requirements.

(3) Awards shall be reduced by the value of other educational grantsand scholarships limited to tuition, as authorized by section 669-e of theeducation law.

(f) Failure to comply.(1) All award monies received shall be converted to a 10-year student

loan plus interest for recipients who fail to meet the statutory, regulatory,contractual, administrative or other requirement of this program.

(2) The interest rate for the life of the loan shall be fixed and equal tothat published annually by the U.S. Department of Education for under-graduate unsubsidized Stafford loans at the time the recipient signed theservice contract with the corporation.

(3) Interest shall begin to accrue on the day each award payment isdisbursed to the institution.

(4) Interest shall be capitalized on the day the award recipientviolates any term of the service contract or the date the corporation deemsthe recipient was no longer able or willing to perform the terms of the ser-vice contract. Interest on this amount shall be calculated using simpleinterest.

(5) Where a recipient has demonstrated extreme hardship as a resultof a total and permanent disability, labor market conditions, or other suchcircumstances, the corporation may, in its discretion, postpone convertingthe award to a student loan, temporarily suspend repayment of the amountowed, prorate the amount owed commensurate with service completed,discharge the amount owed, or such other appropriate action. Where a re-cipient has demonstrated in-school status, the corporation shall temporar-ily suspend repayment of the amount owed for the period of in-schoolstatus.



Regulatory Impact StatementStatutory authority:The New York State Higher Education Services Corporation’s

(“HESC”) statutory authority to promulgate regulations and administer

the New York State Science, Technology, Engineering and MathematicsIncentive Program (“Program”) is codified within Article 14 of the Educa-tion Law. In particular, Part G of Chapter 56 of the Laws of 2014 createdthe Program by adding a new section 669-e to the Education Law. Subdivi-sion 5 of section 669-e of the Education Law authorizes HESC topromulgate emergency regulations for the purpose of administering thisProgram.




Legislative objectives:The Education Law was amended to add a new section 669-e to create

the “New York State Science, Technology, Engineering and MathematicsIncentive Program” (Program). This Program is aimed at increasing thenumber of individuals working in the fields of science, technology,engineering and mathematics (STEM) in New York State to meet theincreasingly critical need for those skills in the State’s economy.

Needs and benefits:According to a February 2012 report by President Obama’s Council of

Advisors on Science and Technology, there is a need to add to the Ameri-can workforce over the next decade approximately one million more sci-ence, technology, engineering and mathematics (STEM) professionalsthan the United States will produce at current rates in order for the countryto stay competitive. To meet this goal, the United States will need toincrease the number of students who receive undergraduate STEM degreesby about 34% annually over current rates. The report also stated that fewerthan 40% of students who enter college intending to major in a STEMfield complete a STEM degree. Further, a recent Wall Street Journal articlereported that New York state suffers from a shortage of graduates in STEMfields to fill the influx of high-tech jobs that occurred five years ago. At aplant in Malta, about half the jobs were filled by people brought in fromoutside New York and 11 percent were foreigners. According to the article,Bayer Corp. is due to release a report showing that half of the recruitersfrom large U.S. companies surveyed couldn’t find enough job candidateswith four-year STEM degrees in a timely manner; some said that had ledto more recruitment of foreigners. About two-thirds of the recruiterssurveyed said that their companies were creating more STEM positionsthan other types of jobs. There are also many jobs requiring a two-yeardegree. In an effort to deal with this shortage, companies are using moreinternships, grants and scholarships.

The Program is aimed at increasing the number New York graduateswith two and four year degrees in STEM who will be working in STEMfields across New York state. Eligible recipients may receive annualawards for not more than four academic years of undergraduate full-timestudy (or five years if enrolled in a five-year program) while matriculatedin an approved program leading to a career in STEM.

The maximum amount of the award is equal to the annual tuitioncharged to New York State resident students attending an undergraduateprogram at the State University of New York (SUNY), including stateoperated institutions, or City University of New York (CUNY). The cur-rent maximum annual award for the 2014-15 academic year is $6,170.Payments will be made directly to schools on behalf of students upon cer-tification of their successful completion of the academic term.

Students receiving a New York State Science, Technology, Engineeringand Mathematics Incentive Program award must sign a service agreementand agree to work in New York state for five years in a STEM field andreside in the State during those five years. Recipients who do not fulfilltheir service obligation will have the value of their awards converted to astudent loan and be responsible for interest.


implementation of, or continuing compliance with this rule.


43

b. The maximum cost of the program to the State is $8 million in thefirst year based upon budget estimates.

c. It is anticipated that there will be no costs to Local Governments forthe implementation of, or continuing compliance with, this rule.

d. The source of the cost data in (b) above is derived from the New YorkState Division of the Budget.

Local government mandates:No program, service, duty or responsibility will be imposed by this rule



each year they wish to receive an award up to and including five years ofeligibility. Recipients are required to sign a contract for services inexchange for an award. Recipients must submit annual status reports untila final disposition is reached in accordance with the written contract.


ping, or conflicting with this rule were identified.Alternatives:The proposed regulation is the result of HESC’s outreach efforts to

financial aid professionals with regard to this Program. Several alterna-tives were considered in the drafting of this regulation. For example, sev-eral alternatives were considered in defining terms/phrases used in theregulation as well as the academic progress requirement. Given the statu-tory language as set forth in section 669-e of the Education Law, a “no ac-tion” alternative was not an option.


Government, and efforts were made to align it with similar federal subjectareas as evidenced by the adoption of the federal unsubsidized Staffordloan rate in the event that the award is converted into a student loan.

Compliance schedule:The agency will be able to comply with the regulation immediately

upon its adoption.

Regulatory Flexibility AnalysisThis statement is being submitted pursuant to subdivision (3) of section

202-b of the State Administrative Procedure Act and in support of the NewYork State Higher Education Services Corporation’s (“HESC”) Emer-gency Rule Making, seeking to add a new section 2201.13 to Title 8 of theOfficial Compilation of Codes, Rules and Regulations of the State of NewYork.

It is apparent from the nature and purpose of this rule that it will notimpose an adverse economic impact on small businesses or localgovernments. HESC finds that this rule will not impose any compliancerequirement or adverse economic impact on small businesses or localgovernments. Rather, it has potential positive impacts inasmuch as itimplements a statutory student financial aid program that provides tuitionbenefits to college students who pursue their undergraduate studies in thefields of science, technology, engineering, or mathematics at a New YorkState public institution of higher education. Students will be rewarded forremaining and working in New York, which will provide an economicbenefit to the State’s small businesses and local governments as well.


202-bb of the State Administrative Procedure Act and in support of theNew York State Higher Education Services Corporation’s Emergency RuleMaking, seeking to add a new section 2201.13 to Title 8 of the OfficialCompilation of Codes, Rules and Regulations of the State of New York.

It is apparent from the nature and purpose of this rule that it will notimpose an adverse impact on rural areas. Rather, it has potential positiveimpacts inasmuch as it implements a statutory student financial aidprogram that provides tuition benefits to college students who pursue theirundergraduate studies in the fields of science, technology, engineering, ormathematics at a New York State public institution of higher education.Students will be rewarded for remaining and working in New York, whichwill benefit rural areas around the State as well.




It is apparent from the nature and purpose of this rule that it will nothave any negative impact on jobs or employment opportunities. Rather, ithas potential positive impacts inasmuch as it implements a statutory

student financial aid program that provides tuition benefits to collegestudents who pursue their undergraduate studies in the fields of science,technology, engineering, or mathematics at New York State public institu-tion of higher education. Students will be rewarded for remaining andworking in New York, which will benefit the State as well.

Justice Center for the Protection ofPeople with Special Needs



Protocols for Interviewing Service Recipients

I.D. No. JCP-21-18-00030-P


Proposed Action: Addition of Part 705 to Title 14 NYCRR.

Statutory authority: Executive Law, section 553(28); L. 2014, ch. 394,section 3

Subject: Protocols for interviewing service recipients.

Purpose: To ensure interviews of service recipients during investigationsare conducted in a safe and sensitive manner.

Substance of proposed rule (Full text is posted at the following Statewebsite: www.justicecenter.ny.gov): Part 705 is added to Title 14 to estab-lish protocols for interviewing service recipients.

A statement of background and intent is provided and indicates theintent to protect service recipients from an interview process which maybe unintentionally harmful to their wellbeing. This rule seeks to balancethe safety of service recipients in light of their clinical, personal consider-ations and the need for the timely completion of an effective investigation.

This rule applies to all investigations of alleged abuse and neglectconducted by the Justice Center, as well as investigations conducted bystate agencies whose programs are under the jurisdiction of the JusticeCenter and by the facilities and programs defined in section 488(4) of theSocial Services Law when acting as the delegate investigatory entity.

The statutory authority for this rule is Executive Law section 553(28).The rule establishes a process for providing notification to service

recipients who are alleged victims or potential witnesses and/or theirpersonal representatives, as defined in the rule, that the alleged victim orpotential witness may be interviewed as part of the investigation into theallegation of abuse and neglect. It also sets forth exceptions to the notifica-tion requirements.

The rule also establishes a process for making determinations regardingthe appropriateness of conducting an interview given a service recipients’diagnosis. Under certain circumstances, the investigator shall documentwhy proceeding with certain interviews is appropriate and include thesteps take to protect the service recipient’s health, safety, and wellbeingduring the interview.

Finally, the rule establishes a process for determining whether the pres-ence of the personal representative at the interview is to be permitted andindicates that service recipients or their personal representatives are ad-vised about what to expect in an interview and that participation in theinterview is entirely voluntary.

Text of proposed rule and any required statements and analyses may beobtained from: Rebecca Mudie, Justice Center for the Protection of Peoplewith Special Needs, 161 Delaware Avenue, Delmar, NY 12054, (518) 549-0254, email: [email protected]



Regulatory Impact Statement1. Statutory authority: Executive Law Section 553(28) enacted by

chapter 394 of the laws of 2014 requires the Justice Center to developprotocols in consultation with state oversight agencies for interviewingservice recipients during investigations of allegations of abuse and/or ne-glect and to promulgate regulations describing and implementing suchprotocols.

2. Legislative objectives: The proposed rule comports with the legisla-tive directive to develop and implement protocols so that interviews ofservice recipients during investigations are conducted in a safe and ap-propriately sensitive manner.


44


3. Needs and benefits: The purpose of this rule is to protect servicerecipients from an interview process which may be unintentionally harm-ful to their wellbeing. This rule is required by statute and is intended tobalance the safety of service recipients in light of their clinical, personalconsiderations and the need for the timely completion of an effectiveinvestigation.

4. Costs: Service providers are already required to report allegations ofabuse and neglect and assist the Justice Center or state oversight agencieswith any ensuing investigations. This rule was previously adopted byemergency regulation, and guidance documents were issued to stateoversight agencies. Since service providers are already complying withthe provisions of this rule, costs will not be incurred to comply with thisrule. Annual cost for continuing compliance would depend upon the sizeof the provider agency, the number of service recipients served, and theprevalence of investigations. Continuing compliance costs are unlikely toincrease for state oversight or provider agencies.

5. Local government mandates: This rule imposes no program, service,duty or responsibility upon any county, city, town, village, school district,fire district or other special district.

6. Paperwork: 1) Service providers and state oversight agencies arerequired to document in writing that notification to service recipientsand/or their personal representatives that a service recipient may beinterviewed during an investigation has been made, or that a diligent effortwas made to provide such notification. A template for notification ofpersonal representatives has been provided to state oversight agencies andposted on the Justice Center’s website.

2) Under limited circumstances, investigators are required to documentin the investigative record why certain interviews occurred and the stepstaken to protect the service recipient’s health, safety and wellbeing duringthe interview.

3) Investigators are required to document in the investigative record ifhe or she determines that a service recipient’s personal representativeshould not be present at an interview or should leave once an interview isunderway.

7. Duplication: There are no relevant rules or other legal requirementsof the state and federal governments that duplicate, overlap or conflictwith the rule.

8. Alternatives: There were no significant alternatives considered.9. Federal standards: This rule does not exceed any minimum standards

of the federal government.10. Compliance schedule: While the protocols have been developed and

implemented, they are not currently in regulation and the agency needs toadopt a final regulation to comply with the enabling statute and to continuethe protection of the health, safety and welfare of service recipients duringthe interview process.

Regulatory Flexibility Analysis1. Effect of rule: Approximately 2,500 provider agencies, as defined in

Social Services Law 488(4):1) program in which services are provided and which is operated,

licensed or certified by the office of mental health, the office for peoplewith developmental disabilities or the office of alcoholism and substanceabuse services;

2) any residential programs or facilities licensed or certified by the of-fice of children and family services, excluding foster family homes andresidential programs for victims of domestic violence;

3) adult care facilities, which shall mean adult homes or enriched hous-ing programs that (A) that have a licensed capacity of eighty or more beds;and (B) in which at least twenty-five percent of the residents are personswith serious mental illness as defined by mental hygiene law section1.03(52);

4) any overnight, summer day and traveling summer day camps forchildren with developmental disabilities as defined in regulations promul-gated by the commissioner of health; or

5) the New York state school for the blind and the New York state schoolfor the deaf, which operate pursuant to Education Law articles 87 and 88;

6) an institution for the instruction of the deaf and the blind which has aresidential component and is subject to the visitation of the commissionerof education pursuant to Education Law Article 85 with respect to its dayand residential components;

7) special act school districts serving students with disabilities; or8) in-state private schools which have been approved by the commis-

sioner of education for special education services or programs, and whichhave a residential program.

2. Compliance requirements: Providers agencies are required to docu-ment in writing that notification to service recipients and/or their personalrepresentatives that a service recipient may be interviewed during aninvestigation has been made, or that a diligent effort was made to providesuch notification.

3. Professional services: Professional services are not necessary tocomply with this rule.

4. Compliance costs: Since provider agencies are already complyingwith the provisions of this rule, initial capital costs will not be incurred tocomply with this rule. Annual cost for continuing compliance woulddepend upon the size of the provider agency, the number of servicerecipients served, and the prevalence of investigations. Continuing compli-ance costs are unlikely to vary for provider agencies.

5. Economic and technological feasibility: Provider agencies are al-ready complying with the provisions of this rule.

6. Minimizing adverse impact: The implementation of this rule wasdirected by statute and does not impose an adverse economic impact onservice providers. Service providers are already required to report allega-tions of abuse and neglect and assist the Justice Center or state oversightagencies with any ensuing investigations.

7. Small business and local government participation: Small businessesand local governments will have an opportunity for public comment dur-ing this rule make process.

Rural Area Flexibility AnalysisThis rule imposes neither an adverse impact on rural areas; nor report-

ing, recordkeeping or other compliance requirements on public or privateentities in rural areas that are not similarly imposed upon service providersin other areas of the State.

The proposed rule sets forth the procedures developed and implementedby the Justice Center pursuant to statutory direction to ensure thatinterviews of service recipients during the course of an investigation of al-leged abuse and neglect are conducted in a safe and appropriately sensi-tive manner.

Comments will be received and entertained during the public commentperiod associated with the Proposed Rulemaking portion of this Notice.

Job Impact StatementA Job Impact Statement (JIS) is not required because it is evident from

the subject matter of this proposal that it will have no impact on jobs andemployment opportunities.

The proposed consensus rule merely clarifies language in the existingrule and makes minor technical corrections.

Accordingly, the adoption of this rule will not affect existing investiga-tor jobs or employment opportunities.

Office for People withDevelopmental Disabilities



Certificate of Incorporation

I.D. No. PDD-21-18-00046-P


Proposed Action: This is a consensus rule making to amend Part 681 ofTitle 14 NYCRR.

Statutory authority: Mental Hygiene Law, sections 13.07, 13.09(b) and16.00

Subject: Certificate of Incorporation.

Purpose: Remove a requirement for certificate holders that is no longerrequired under Mental Hygiene Law section 16.07.

Text of proposed rule: Existing paragraph 681.3(h) is amended as follows:(h) The certificate holder shall obtain prior approval from OPWDD to:

(1) change the address of physical location of the intermediate carefacility or utilize additional physical locations or premises or parts ofpremises;

(2) initiate any changes in the overall provision of services; or[(3) change the powers or purposes set forth in any certificate of

incorporation or partnership agreement; or]3[(4)] change the certified residential capacity of the intermediate

care facility.

Text of proposed rule and any required statements and analyses may beobtained from: Office of Counsel, Bureau of Policy and Regulatory Af-fairs, Office for People With Developmental Disabilities (OPWDD), 44Holland Avenue, 3rd Floor, Albany, NY 12229, (518) 474-7700, email:[email protected]



45

mailto:[email protected]

Public comment will be received until: 60 days after publication of thisnotice.Additional matter required by statute: Pursuant to the requirements of theState Environmental Quality Review Act, OPWDD, as lead agency, hasdetermined that the action described herein will have no effect on theenvironment and an E.I.S. is not needed.


Consensus Rule Making DeterminationIn 2010, Mental Hygiene Law repealed Section 16.07 to discontinue the

requirement that certificates of incorporation be approved by the commis-sioner of OPWDD. In conformance with the repeal of Section 16.07,OPWDD is removing the requirement for certificate holders to receive ap-proval from OPWDD to change the powers or purposes set forth in anycertificate of incorporation or partnership agreement.

OPWDD has determined that due to the nature and purpose of theamendments no person is likely to object to the rule as written.

Job Impact StatementA Job Impact Statement for the proposed amendments is not being

submitted because it is apparent from the nature and purposes of theamendments that they will not have a substantial adverse impact on jobsand/or employment opportunities.

The proposed regulations update 14 NYCRR Part 681.1(h) by remov-ing the requirement for certificate holders to receive approval fromOPWDD to change the powers or purposes set forth in any certificate ofincorporation or partnership agreement. The amendments will not result incosts, including staffing costs, or new compliance requirements for provid-ers and consequently, the amendments will not have a substantial impacton jobs or employment opportunities in New York State.




Property Tax Expenses and Refunds of Over-Collections for SuchExpenses

I.D. No. PSC-21-18-00033-P


Proposed Action: The Commission is considering the amount by whichNew York American Water, Inc. (NYAW) over-collected property tax ex-penses from customers and the means of refunding such over-collectionsto ratepayers.

Statutory authority: Public Service Law, sections 89-b and 89-c

Subject: Property tax expenses and refunds of over-collections for suchexpenses.

Purpose: To ensure just and reasonable rates.

Substance of proposed rule: The Commission is considering the amountby which New York American Water, Inc. (NYAW) over-collected prop-erty tax expenses from customers and the means of refunding such over-collections to ratepayers. On April 30, 2018, Department of Public ServiceStaff (Staff) filed a report with the Commission consisting of its review ofNYAW’s calculation of its over-payments of property tax expenses and re-lated customer impact. The Report determined that the customer impact ofNYAW overpayment to taxing authorities totaled approximately $2.3million. The Report recommends a refund to customers which would aver-age $65.37 per customer. The Report also states that ratepayers couldexpect a $2.4 million reduction in future yearly rates due to the correctionof the property tax assessments. The Report recommends revised propertytax targets and related surcharges in the current rate plan. The Report sup-plies the Commission with three options for making ratepayers whole forthe property tax errors: First, provide all ratepayers a monthly sur-credit of$4.57 for one year, using the variance during the previous rate plan withinterest to offset the deferrals related to the cancelled $26.95 surcharge,and leave the authorized but uncollected deferral amounts unchanged;Second, subtract the deferrals on the Company’s book against the $2.3million ratepayers impact and sur-credit the balance to ratepayers of$65.37 for one year; and Third, approve the net credits owed ratepayersfrom NYAW’s prior rate plan in Case 11-W-0472, but leave all regulatoryassets resulted from previous rate plan on NYAW’s books, along with the

customer impact during the current rate plan in Case 16-W-0259 for dis-position through NYAW’s existing property tax reconciliationmechanisms. Staff recommends the second option. The Commission maychoose one of the proposed options or decide on an alternative method ofmaking ratepayers whole. The full text of the Staff Report and the full caserecord of the proceeding may be reviewed online at the Department ofPublic Service web page: www.dps.ny.gov. The Commission may adopt,reject or modify, in whole or in part, the action proposed and may resolverelated matters.

Text of proposed rule and any required statements and analyses may beobtained by filing a Document Request Form (F-96) located on ourwebsite http://www.dps.ny.gov/f96dir.htm. For questions, contact: JohnPitucci, Public Service Commission, 3 Empire State Plaza, Albany, NewYork 12223-1350, (518) 486-2655, email: [email protected]

Data, views or arguments may be submitted to: Kathleen H. Burgess,Secretary, Public Service Commission, 3 Empire State Plaza, Albany, NewYork 12223-1350, (518) 474-6530, email: [email protected]


Regulatory Impact Statement, Regulatory Flexibility Analysis, RuralArea Flexibility Analysis and Job Impact StatementStatements and analyses are not submitted with this notice because theproposed rule is within the definition contained in section 102(2)(a)(ii) ofthe State Administrative Procedure Act.(16-W-0259SP3)



Con Edison’s Petition for the Smart Solutions for Natural GasDR Pilot Implementation Plan and Associated Budget

I.D. No. PSC-21-18-00041-P


Proposed Action: The Commission is considering the Smart Solutions forNatural Gas Customers Gas Demand Response (DR) Pilot Implementa-tion Plan filed by Consolidated Edison Company of New York, Inc. (ConEdison) on April 26, 2018.

Statutory authority: Public Service Law, sections 5, (2), 65 and 66

Subject: Con Edison’s petition for the Smart Solutions for Natural GasDR Pilot Implementation Plan and associated budget.

Purpose: To promote gas system reliability by encouraging gas demandreductions during peak gas demand days.

Substance of proposed rule: The Public Service Commission (Commis-sion) is considering the Smart Solutions for Natural Gas Customers GasDemand Response (DR) Pilot Implementation Plan filed by ConsolidatedEdison Company of New York, Inc. (Con Edison) on April 26, 2018,requesting approval for the Gas DR Pilot that aims to reduce net customergas demand during a peak gas demand day during the coldest days of theyear. The Gas DR Pilot consists of a performance-based Gas DR programprimarily targeting Commercial & Industrial gas customers and multi-family buildings with centralized heating systems, as well as a DirectLoad Control Gas DR Pilot targeting residential gas customers. ConEdison is requesting funding of $5 million to administer the Gas DR Pilotprogram over a three-year period, seeks flexibility to reallocate fundswithin the Gas DR Pilot as needed, and the ability to defer additionalincentive costs for recovery in the next gas rate filing if those incentivecosts are higher than estimated in the Implementation Plan. The Gas DRPilot is one of the multi-solution proposals in Con Edison’s Smart Solu-tions for Natural Gas Customers Program portfolio, which was filed inCase 17-G-0606 on September 29, 2017. The Smart Solutions for NaturalGas Customers Program is a multi-solution strategy to decrease gas usageand procure alternative resources so that Con Edison may meet its custom-ers’ demand for natural gas despite a forecasted growing shortfall of peakgas day pipeline capacity. The full text of the filing and the full record ofthe proceeding may be reviewed online at the Department of Public Ser-vice web page: www.dps.ny.gov. The Commission may adopt, reject, ormodify, in whole or in part, the action proposed, and may resolve other re-lated matters.



46




Regulatory Impact Statement, Regulatory Flexibility Analysis, RuralArea Flexibility Analysis and Job Impact Statement

Statements and analyses are not submitted with this notice because theproposed rule is within the definition contained in section 102(2)(a)(ii) ofthe State Administrative Procedure Act.

(17-G-0606SP2)



Establish New SC No. 7—High Density Loads Individual

Negotiated Contract

I.D. No. PSC-21-18-00042-P


Proposed Action: The Commission is considering a proposal filed by theCity of Jamestown Board of Public Utilities (Jamestown), to P.S.C. No.7—Electricity, to establish Service Classification (SC) No. 7—HighDensity Loads Individual Negotiated Contract.

Statutory authority: Public Service Law, sections 65 and 66

Subject: Establish new SC No. 7—High Density Loads Individual Negoti-ated Contract.

Purpose: To ensure that high density load customers receive cost-basedrates that do not provide an undue preference.

Substance of proposed rule: The Commission is considering a proposalfiled, on May 1, 2018, by the City of Jamestown Board of Public Utilities(Jamestown), to amend its tariff to add P.S.C. No. 7—Electricity, to estab-lish Service Classification (SC) No. 7 — High Density Loads IndividualNegotiated Contract. The new classification would apply to new and exist-ing High Density Load (HDL) customers who do not qualify under exist-ing business development assistance programs as contemplated in RiderNo. 5 of the Jamestown tariff. The proposed SC No. 7 will apply to HDLcustomers who have a maximum load greater than 300 kW and an annualEnergy Use Intensity greater than 250 kWh per operating space squarefootage. In addition to a fixed monthly customer charge and a reactivepower charge calculated per kW of measured demand, energy and demandcharges will be specified in individually negotiated contracts with HDLcustomers. Energy charges will be adjusted monthly by the incrementalpurchased power costs incurred by the Jamestown for all HDL customersserved. Jamestown states that the addition of a new service classificationis necessary to protect exiting municipal electric utility customers fromincreased supply costs resulting from high density load customers. Theproposed amendments have an effective date of September 1, 2018. Thefull text of the filing and the full record of the proceeding may be reviewedonline at the Department of Public Service web page: www.dps.ny.gov.The Commission may adopt, reject or modify, in whole or in part, the ac-tion proposed and may resolve related matters.






(18-E-0265SP1)



Intent to Submeter Electricity at 98 Front Street, Brooklyn, NewYork

I.D. No. PSC-21-18-00043-P


Proposed Action: The Commission is considering the notice of intent of80 Adams Property Owner, LLC to submeter electricity at 98 Front Street,Brooklyn, New York.

Statutory authority: Public Service Law, sections 2, 4(1), 30, 32-48, 52,53, 65(1), 66(1), (2), (3), (4), (12) and (14)

Subject: Intent to submeter electricity at 98 Front Street, Brooklyn, NewYork.

Purpose: To ensure adequate submetering equipment and consumerprotections are in place.

Substance of proposed rule: The Commission is considering the notice ofintent filed by 80 Adams Property Owner, LLC (Owner) on May 3, 2018,to submeter electricity at 98 Front Street, Brooklyn, New York located inthe service territory of Consolidated Edison Company of New York, Inc.(Con Edison). By stating its intent to submeter electricity, 80 Adams Prop-erty Owner, LLC, has requested authorization to take electric service fromCon Edison and then distribute and meter that electricity to tenants.Submetering of electricity to residential tenants is allowed so long as itcomplies with the protections and requirements of the Commission’sregulations at 16 NYCRR Part 96. The full text of the notice of intent andthe full record of the proceeding may be reviewed online at the Depart-ment of Public Service web page: www.dps.ny.gov. The Commission mayadopt, reject or modify, in whole or in part, the action proposed and mayresolve related matters.




Regulatory Impact Statement, Regulatory Flexibility Analysis, RuralArea Flexibility Analysis and Job Impact StatementStatements and analyses are not submitted with this notice because theproposed rule is within the definition contained in section 102(2)(a)(ii) ofthe State Administrative Procedure Act.(18-E-0268SP1)



Electric Ratemaking Policy for Direct Current Fast Charging(DCFC) Facilities Used to Recharge Electric Vehicles

I.D. No. PSC-21-18-00044-P


Proposed Action: The Commission is considering a petition filed the NewYork Power Authority, the DEC, the DOT, and the Thruway Authorityregarding electric rates for Direct Current Fast Charging (DCFC) facilities.

Statutory authority: Public Service Law, sections 5, 65 and 66

Subject: Electric ratemaking policy for Direct Current Fast Charging(DCFC) facilities used to recharge electric vehicles.

Purpose: To ensure just and reasonable rates in the context of chargingelectric vehicles.

Substance of proposed rule: The Commission is considering a proposalfiled by the New York Power Authority, the New York State Departmentof Environmental Conservation, the New York State Department ofTransportation, and the New York State Thruway Authority (Petitioners),on April 13, 2018, requesting the Commission direct utilities to shift allcustomer accounts for publicly accessible Direct Current Fast Charging


47




(DCFC) equipment to a non-demand metered rate and to consider long-term rate modifications that take into account the low load factors andsporadic usage of DCFC equipment. The Petitioners request that the Com-mission direct investor-owned utilities to modify their Service Classifica-tion 2 (SC-2) or Small General non-demand metered tariffs so that DCFCcustomers: 1) qualify for non-demand metered SC-2 classification; 2) areexempt from any kW or kWh limit that would jeopardize their entitlementto take non-demand metered service; and 3) are provided a one-time op-portunity to elect to take service under the applicable demand-meteredservice classification. The Petitioners also request that the Commissioncommence a proceeding to establish principals to guide investor-ownedutilities in redesigning rates applicable to DCFC accounts and in thedevelopment of broader Electric Vehicle implementation plans. Addition-ally, the Petitioners request the Commission direct Consolidated EdisonCompany of New York, Inc. to expand its Business Incentive Ratediscounts eligibility to NYPA DCFC accounts served under the SmallGeneral non-demand-metered rate. The full text of the filing and the fullrecord of the proceeding may be reviewed online at the Department ofPublic Service web page: www.dps.ny.gov. The Commission may adopt,reject or modify, in whole or in part, the action proposed and may resolverelated matters.




Regulatory Impact Statement, Regulatory Flexibility Analysis, RuralArea Flexibility Analysis and Job Impact StatementStatements and analyses are not submitted with this notice because theproposed rule is within the definition contained in section 102(2)(a)(ii) ofthe State Administrative Procedure Act.(18-E-0138SP1)



Waiver of PSC Regulations, 16 NYCRR Sections 86.3(a)(1), (2),(b)(1), (2), 86.6, 86.10 and 88.4(a)(4)

I.D. No. PSC-21-18-00045-P


Proposed Action: The Commission is considering a motion by NorthBergen Liberty Generating, LLC for a waiver of certain provisions of 16NYCRR with respect to an application to amend a Certificate of Environ-mental Compatibility and Public Need pursuant to PSL Article VII.

Statutory authority: Public Service Law, sections 4, 5 and 122

Subject: Waiver of PSC regulations, 16 NYCRR Sections 86.3(a)(1), (2),(b)(1), (2), 86.6, 86.10 and 88.4(a)(4).

Purpose: To ensure application to amend certificate issued under PSLArticle VII contains sufficient information for review to proceed.

Substance of proposed rule: The Public Service Commission is consider-ing a motion filed on April 2, 2018, by North Bergen Liberty Generating,LLC (NBLG), for a waiver or partial waiver of certain requirements forthe content of an application for an amendment of a Certificate ofEnvironmental Compatibility and Public Need (Certificate) under PublicService Law Article VII. The Certificate, originally issued by the Com-mission on April 17, 2003 in Case 01-T-1474, and amended by the Com-mission on October 24, 2004, is currently held by Cross Hudson, LLC(Cross Hudson). NBLG, as Cross Hudson’s authorized agent, proposes tobuild an approximately 9.6-mile submarine and underground, double-circuit, 345 kilovolt (kV) transmission generator lead and associatedequipment extending from NBLG’s proposed generation facility in NorthBergen, New Jersey to the Consolidated Edison Company of New York,Inc.’s substation at West 49th Street in Manhattan. Approximately 3.42miles of the generator lead will run within New York waters and.40 mileswill run underground in Manhattan. The generator lead will run under-ground from North Bergen to Edgewater, New Jersey, where it will enterthe Hudson River. Once in the Hudson River, the generator lead willcontinue east crossing the 750-foot wide Federal Navigation Channel,

known locally as the Weehawken-Edgewater Reach, with a target burialdepth of 15 feet below the river bottom. After crossing the Weehawken-Edgewater Reach, the generator lead will proceed east into New YorkState waters. The generator lead will turn to the south approximately op-posite West 114th Street and run generally parallel to the Hudson Rivershoreline. The generator lead will then cross over the two 24-inch WGP-Transco gas pipelines that run between West 76th Street in Manhattan andGuttenberg, New Jersey, and will continue south to enter the 48-foot meanlow-water Federal Navigation Channel, which begins at about West 59thStreet in Manhattan. The generator lead will be brought ashore at whatNBLG says is a “mostly undeveloped” area of the Hudson River ParkTrust’s Clinton Cove Park, then proceed south underground within thebike path along Route 9A, cross 12th Avenue (also known as the WestSide Highway) at West 49th Street and continue into the substation. NBLGfiled its Article VII amendment application and waiver motion on April 2,2018. NBLG specifically seeks waivers of 16 NYCRR 86.3(a)(1) and(a)(2), 86.3(b)(1) and (b)(2), 86.6, 86.10 and 88.4(a)(4), relating to the fil-ing of certain maps, aerial photographs, architectural drawings, totalcapital cost estimates, and a System Reliability Impact Study. As to themaps showing the right-of-way of the proposed facilities, NBLG seeks touse National Oceanic and Atmospheric Administration (NOAA) naviga-tional charts for the submarine portion of the route instead of New YorkState Department of Transportation (DOT) topographic maps. NBLGproposes to use maps showing a one-mile area on either side of theproposed facility, rather than the five-mile area required by the regulations.NBLG proposes that, with respect to depicting known archaeological,geologic, historical or scenic area, park or untouched wilderness, the radiusbe reduced from a three-mile corridor around the underground route to ap-proximately 1,000 feet on DOT topographic maps. In showing the rela-tionship of the proposed facility to NBLG’s overall system, NBLGproposes to use DOT maps at a scale of 1:24,000, rather than at a scale of1:250,000. NBLG proposes the use of NOAA navigational charts of thesubmarine portion of the generator lead instead of aerial photographs ofthe Hudson River, and it proposes to use aerial photographs of urban andurbanizing fringe areas taken on September 9, 2016 as depicting actualcurrent conditions in lieu of aerial photographs taken within six months ofthe date NBLG filed its Article VII amendment application. NBLGproposes to submit engineering drawings showing the design of the proj-ect, including cross section of the generator lead installation, rather thanarchitectural drawings and descriptions showing a profile of the centerlineof the right-of-way at exaggerated vertical scale. NBLG proposes toprovide an overall cost estimate for the project instead of a detailedestimate of the total capital costs of the proposed facilities. Finally, NBLGrequests a waiver of the requirement to submit a System Reliability ImpactStudy with its application and proposes to submit such a study as soon aspossible. The full text of the motion and the full record of the proceedingmay be reviewed online at the Department of Public Service web page:www.dps.ny.gov. The Commission may adopt, reject or modify, in wholeor in part, the action proposed and may resolve related matters.






(18-T-0210SP1)


48



Department of Taxation andFinance

NOTICE OF ADOPTION

Fuel Use Tax on Motor Fuel and Diesel Motor Fuel and the Art.13-A Carrier Tax Jointly Administered Therewith

I.D. No. TAF-09-18-00007-A

Filing No. 411




Action taken: Amendment of section 492.1(b)(1) of Title 20 NYCRR.

Statutory authority: Tax Law, sections 171, subd. First, 301-h(c), 509(7),523(b) and 528(a)

Subject: Fuel use tax on motor fuel and diesel motor fuel and the art. 13-Acarrier tax jointly administered therewith.

Purpose: To set the sales tax component and the composite rate per gallonfor the period April 1, 2018 through June 30, 2018.

Text or summary was published in the February 28, 2018 issue of theRegister, I.D. No. TAF-09-18-00007-P.


Text of rule and any required statements and analyses may be obtainedfrom: Kathleen D. O’Connell, Tax Regulations Specialist, Department ofTaxation and Finance, Office of Counsel, Building 9, W.A. HarrimanCampus, Albany, NY 12227, (518) 530-4153, email:[email protected]

Assessment of Public CommentThe agency received no public comment.



Fuel Use Tax on Motor Fuel and Diesel Motor Fuel and the Art.13-A Carrier Tax Jointly Administered Therewith

I.D. No. TAF-21-18-00031-P


Proposed Action: Amendment of section 492.1(b)(1) of Title 20 NYCRR.

Statutory authority: Tax Law, sections 171, subd. First, 301-h(c), 509(7),523(b) and 528(a)

Subject: Fuel use tax on motor fuel and diesel motor fuel and the art. 13-Acarrier tax jointly administered therewith.

Purpose: To set the sales tax component and the composite rate per gallonfor the period July 1, 2018 through September 30, 2018.

Text of proposed rule: Pursuant to the authority contained in subdivisionFirst of section 171, subdivision (c) of section 301-h, subdivision 7 of sec-tion 509, subdivision (b) of section 523, and subdivision (a) of section 528of the Tax Law, the First Deputy Commissioner of Taxation and Finance,being duly authorized to act due to the vacancy in the office of the Com-missioner of Taxation and Finance, hereby proposes to make and adopt thefollowing amendments to the Fuel Use Tax Regulations, as published inArticle 3 of Subchapter C of Chapter III of Title 20 of the Official Compila-tion of Codes, Rules and Regulations of the State of New York.

Section 1. Paragraph (1) of subdivision (b) of section 492.1 of suchregulations is amended by adding a new subparagraph (xci) to read asfollows:

Motor Fuel Diesel Motor Fuel

Sales Tax Composite Aggregate Sales Tax Composite Aggregate

Component Rate Rate Component Rate Rate

(xc) April-June 2018

15.0 23.0 39.9 16.0 24.0 39.15

Motor Fuel Diesel Motor Fuel

Sales Tax Composite Aggregate Sales Tax Composite Aggregate

Component Rate Rate Component Rate Rate

(xci) July-September 2018

15.2 23.2 40.10 16.0 24.0 39.15

Text of proposed rule and any required statements and analyses may beobtained from: Kathleen D. O’Connell, Tax Regulations Specialist,Department of Taxation and Finance, Office of Counsel, Building 9, W.A.Harriman Campus, Albany, NY 12227, (518) 530-4153, email:[email protected], views or arguments may be submitted to: Same as above.

Public comment will be received until: July 16, 2018.

Regulatory Impact Statement, Regulatory Flexibility Analysis, RuralArea Flexibility Analysis and Job Impact StatementStatements and analyses are not submitted with this notice because theproposed rule is within the definition contained in section 102(2)(a)(ii) ofthe State Administrative Procedure Act.

Workers’ Compensation Board



Workers’ Compensation Board - Legal Internship Program

I.D. No. WCB-21-18-00038-P



Statutory authority: Workers’ Compensation Law, section 117(1)

Subject: Workers’ Compensation Board - Legal Internship Program.

Purpose: To allow a more expansive group of law school and legal internsto represent parties of interest in Board proceedings.

Text of proposed rule: § 302-1.6 Attorney admitted to practice in anotherstate and law school graduates and senior law students permitted topractice in this State

(a) An attorney duly admitted to practice in another state may be permit-ted to represent any party in interest before the board, on a particular mat-ter, upon proof submitted with his or her application that reciprocal privi-leges are accorded attorneys of this State.

(b) Law school graduates and senior law students permitted to practicelaw pursuant to the Judiciary Law under a program of activities approvedby the appellate division of the supreme court of the department withinwhich such activities are taking place [Appellate Division as provided insuch law], and the board, and designated as law interns or legal interns bya legal aid organization, including programs that provide assistance topersons who are financially unable to pay for legal services and areeligible to qualify for free legal services in accordance with the standardsand guidelines of the organization or program in which they are engaged,and whose program of activities has been so approved, may represent anyparty in interest before the board only in those type of matters that havebeen authorized by the Board and set forth in the approved program, uponcompliance with this subdivision. [Such legal aid organization] The partythat has received approval from the appellate division of the supreme courtof the department within which such activities are taking place shallsubmit to the board secretary a certified copy of the order of the AppellateDivision granting approval of such program of activities together with alist of law school graduates or senior law students designated as law internsor legal interns by such legal aid organization. Such law interns may, underthe general supervision of an attorney, file forms, [and] make applicationsas required, fully participate in informal adjudicatory proceedings,prepare and enter stipulations other than waiver agreements, [and] appearat hearings before Workers’ Compensation Law judges in noncontrovertedclaims or at such hearings, other than trial hearings, in controverted claims,and prepare and file applications for administrative review and full boardreview, and rebuttals, as necessary. Such law interns may, under the im-mediate supervision of an attorney, appear before Workers’ CompensationLaw judges at trial hearings in controverted claims and at all hearingsbefore board panels, and prepare and enter waiver agreements. “Immedi-


49

mailto:[email protected]

ate supervision” of a law intern shall mean that the supervising attorneyshall be personally present with the law intern throughout the hearing. Anattorney supervising such law interns shall be admitted to practice law inthis State, shall have two years experience in this State or another state,and shall be associated with the legal aid organization which has designatedsuch law interns. Any such supervising attorney shall be the attorney ofrecord in each case, shall assume personal professional responsibility forany work undertaken by a law intern, and shall supervise the preparationof such work. A law intern may appear before the board, in accordancewith the foregoing supervision requirements, on behalf of any party ininterest where such party gives written consent to such appearance andrepresentation and provided further that the supervising attorney also giveswritten consent to such appearance. The written consents herein shall befiled in the board case file, together with a retainer in the format prescribedby the chair of the board, including retainers limited to the pending issue.All [legal papers] formal filings in the case shall be endorsed by thesupervising attorney as attorney of record, and may contain the name ofthe law intern who participated in their preparation. Law interns may rep-resent a party only when such party is not otherwise represented by an at-torney or licensed representative and is eligible to qualify for [free] legalservices in accordance with the standards and guidelines of the organiza-tion or program in which the law intern is engaged. Such representation ofclaimants by law interns shall be without fee or any other remuneration,except that a request to approve reimbursement for disbursements may besubmitted to the board and if approved, such disbursement may be pay-able per section twenty-four of this chapter, and no law intern or supervis-ing attorney shall request or receive any fee or remuneration for suchrepresentation. Failure to comply with this subdivision shall be a sufficientbasis for denial or revocation of permission to engage in such representa-tion by law interns.

Text of proposed rule and any required statements and analyses may beobtained from: Heather MacMaster, Workers’ Compensation Board, Of-fice of General Counsel, 328 State Street, Schenectady, NY 12305-2318,(518) 486-9564, email: [email protected]




Regulatory Impact Statement1. Statutory AuthorityThe Chair of the Workers’ Compensation Board (Board) is authorized

to amend 12 NYCRR 302-1.6. The Board’s authority is derived fromWorkers’ Compensation Law (WCL) § 117(1), which authorizes the Chairto adopt reasonable regulations consistent with and supplemental to theprovisions of the WCL and the Labor Law.

2. Legislative ObjectivesWCL 117(1) authorizes the Chair to adopt reasonable regulations to

supplement the WCL. The WCL was enacted for socio-economic remedia-tion purposes to protect workers and their dependents from economic hard-ship in case of injury on the job (see Matter of Post v Burger & Gohlke,216 NY 544 [1916]; see also Matter of LaCroix v Syracuse Exec. Air Serv.,Inc., 8 NY3d 348 [2007]). The proposed rule will allow law student andlegal interns through the state, regardless of their association with a legalaid organization, to represent parties in Board proceedings upon approvalof the appellate division in which the law school sits and the claimant’spermission. The Board expects that these amendments will lessen the eco-nomic hardship to claimants insofar as the amended regulation will allowpreviously unrepresented claimants to retain adequate legal counsel. TheBoard anticipates that claims will be resolved faster with the assistance ofa legal intern, as opposed to when a party is unrepresented. As a result, theBoard expects that injured workers will receive the benefits they are duemore expeditiously as a result of the proposed amendment.

3. Needs and BenefitsThe purpose of the proposed rule is to allow a more expansive group of

law school and legal interns to represent parties of interest in Boardproceedings. Currently, the regulations only allow legal or law schoolinterns, as defined in Third Department Appellate Division rules (22NYCRR 805.5[b]), to represent a party of interest before the Board if theintern has been designated as a legal or law school intern by a legal aidorganization. The proposed amended regulation would allow law schooland legal interns statewide to represent parties before the Board by allow-ing the appellate division in which the intern’s activities are taking placeto permit law school graduates and senior law students to practice law,thereby expanding the appellate division departments which may autho-rize law student interns. Additionally, the term “legal aid organization” isdefined to include any organization with a program that provides assis-tance to persons who are financially unable to pay for legal services andare eligible to qualify for free legal services in accordance with thatprogram’s guidelines.

The Board believes that such amendments are necessary to decrease thetotal number of unrepresented claimants appearing in Board proceedings,particularly where no indemnity benefits are sought and the only issue isentitlement to medical treatment. Upon review of current internal records,the Board finds that, in 2016, there were 247 unrepresented claimants withcases pending before the Board, in which the claimant did not seekindemnity benefits. This number is largely consistent with past years; in2014 there were 229 such claimants and in 2015 there were 302. It is theBoard’s position that the legal assistance provided by a law school or legalintern will help many of these unrepresented claimants navigate the work-ers’ compensation law and the adversarial hearing process.

4. CostsThe proposed rule will not impose costs on any party. The Board expects

that the costs to the agency will be negligible, however. The proposedregulation will permit the Board to directly hire and supervise law schooland legal interns, who will represent parties of interest in Boardproceedings. The Board expects to hire such legal interns by working witharea law schools to arrange a work-for-credit program. As such, nomonetary compensation will be provided to the legal interns.

5. Local Government MandatesThe proposed regulation does not impose any program, service, duty, or

responsibility upon any county, city, town, village, school district, firedistrict, or other special district.

6. PaperworkThe proposed regulation does not impose any reporting requirements.

Claimants will be required to complete a form, consenting to be repre-sented by a legal intern. The Board does not expect such paperwork to beonerous, and it is necessary to ensure the claimant fully understands his orher rights.

7. Duplication22 NYCRR 805.5(b) allows law students who have completed at least

two semesters of law school and law school graduates appointed as lawinterns to engage in certain legal activities, including rendering legal ser-vices in contested proceedings before administrative agencies when underimmediate supervision. 12 NYCRR 302-1.6(b) specifically permits lawschool and legal interns, as defined in 22 NYCRR 805.5(b), to “representany party in interest before the [B]oard, on a particular matter[.]” However,12 NYCRR 302-1.6(b), as currently written, only allows those law schooland legal interns who have been designated by a legal aid organization torepresent parties of interest before the Board. The proposed rule thereforedoes not duplicate any relevant rules or legal requirements, but onlyexpands those who may qualify as law school and legal interns to repre-sent claimants in Board proceeds.

8. AlternativesNo significant alternatives to the proposed regulation were considered.9. Federal StandardsThere is no federal standard associated with or similar to the proposed

regulatory amendment. As such, the proposed rule does not exceed anyminimum standards set forth by the federal government.

10. Compliance ScheduleThe proposed rule does not impose obligations on any party. The

amendment would merely allow an expanded category of law student andlegal interns throughout the State of New York and regardless of their as-sociation with a legal aid organization to represent parties in Boardproceedings. Accordingly, there is no compliance schedule.

Regulatory Flexibility Analysis1. Effect of ruleThe Board does not expect the proposed rule to have any impact on

small businesses or local governments within New York State. The currentregulation allows legal interns associated with a legal aid organization torepresent parties before the Board. The proposed amendment wouldmerely allow an expanded category of law student and legal internsthroughout the State of New York to represent parties in Boardproceedings. Because the revised rule would only expand an existing rulethat has had no impact on small businesses or local governments, the Boarddoes not predict that small businesses or local governments will have tobear any cost associated with the proposed rule.

2. Compliance requirementsSmall businesses and local governments will not have to engage in any

reporting, recordkeeping or other affirmative acts as a result of theproposed amendment to 12 NYCRR 302-1.6.

3. Professional servicesSmall businesses and local governments will not need to obtain any

professional services as a result of the proposed amendment to 12 NYCRR302-1.6 insofar as the proposed rule does not impose any affirmativeobligations on small businesses or local governments.

4. Compliance costsThe Board does not expect businesses or local governments to incur

any capital costs as a result of the proposed rule, as the proposed rule doesnot impose any compliance requirements on businesses or localgovernments.


50


5. Economic and technological feasibilityThe Board does not expect small businesses and local governments to

bear economic or technological costs as a result of the amendments toBoard Rule 302-1.6. The proposed rule does not impose any affirmativeobligations on small businesses or local governments. Further, theproposed amendment would merely allow an expanded category of lawstudent and legal interns throughout the State of New York to representparties in Board proceedings. Because the revised rule would only expandan existing rule that has had no impact on small businesses or local govern-ments, the Board does not predict that small businesses or local govern-ments will now bear economic or technological costs as a result of theproposed rule.

6. Minimizing adverse impactThe proposed rule will have no adverse economic impact on small busi-

nesses or local governments. The proposed amendment to 12 NYCRR302-1.6 will merely allow the Board to hire and supervise law school andlegal interns to represent parties in Board proceedings. The Board expectsto recruit legal interns from law schools for this purpose and, wheneverfeasible, to offer school credit in exchange for the students’ participationrather than monetary compensation. The proposed rule imposes noburdens, obligations, or costs on the business community or localgovernments. The approaches for minimizing adverse economic impactsuggested in SAPA § 202-b(1) were considered, but not relevant giventhat the proposed regulation will not negatively impact small businesses orlocal governments.

7. Small business and local government participationThe Board will duly consider all public comments made by small busi-

ness and local government stakeholders in response to the proposedrulemaking.

Rural Area Flexibility Analysis1. Types and estimated numbers of rural areasThe proposed regulation does not specifically apply to rural areas, nor

are there anticipated impacts on rural areas. The proposed rule will allowlegal interns from law schools statewide, some of which may be in ruralareas, to represent parties in Board proceedings. The proposed rule doesnot impose any affirmative obligations or costs on localities, including ru-ral areas.

2. Reporting, recordkeeping and other compliance requirements; andprofessional services

Rural areas are not obligated to engage in any reporting, recordkeeping,or other compliance requirements as a result of the proposed rule, nor arethey expected to require professional services. The Board and law schoolswill maintain all records associated with an internship program stemmingfrom the revised regulation.

3. CostsThe Board does not anticipate that rural areas will bear any costs as-

sociated with the proposed amendment to 12 NYCRR 302-1.6. Becausethe revised rule would only expand an existing rule that has had no impacton rural areas, the Board does not predict that rural areas will now have tobear costs associated with the proposed rule.

4. Minimizing adverse impactBoard has reviewed the minimization approaches set forth in SAPA

202-bb(2) and finds them unnecessary to implement because the Boardanticipates that the proposed regulation will not negatively affect ruralareas. Indeed, the Board expects that the revised regulation will positivelyimpact claimants in rural areas who have been unable to find an attorney,insofar as this proposal will likely make it easier for claimants to retain alaw school intern and expeditiously resolve the dispute.

5. Rural area participationThe Board will duly assess all comments received by representatives of

rural areas during the public comment period.

Job Impact Statement1. Nature of impactThe proposed amendment to Board Regulation 302-1.6 is not expected

to have any adverse impact on jobs in New York State. Indeed, the Boardanticipates that any impact on jobs in New York State will be positive. It isexpected that by expanding the number of legal interns who may representparties of interest before the Board, the proposed regulation will expeditethe resolution of certain workers’ compensation disputes, allowing claim-ants to get the treatment they need and, when medically feasible, return tothe workforce faster, which will increase employer satisfaction. Further,the proposed amendment will provide crucial, hands-on training to lawstudents, which the Board expects will allow law school graduates to bemore competitive job candidates.

2. Categories and numbers affectedAs set forth above, the Board anticipates that any impact on jobs in

New York will be positive. The Board expects that law school studentswho have gained valuable practice representing parties in Board proceed-ings will be more competitive candidates in the legal market.

3. Regions of adverse impactThe Board does not expect the proposed regulation to have a dispropor-

tionate adverse impact on a particular region of New York. The proposedregulatory amendment will allow law school students statewide to repre-sent parties of interest in certain Board proceedings.

4. Minimizing adverse impactThe proposed regulation is not expected to have any adverse impact on

jobs. Because the proposed regulation would allow Board-supervisedinterns to represent parties of interest in Board proceedings, one potentialadverse impact would be on legal representatives or attorneys who wouldnormally have represented the party if not for the legal intern. The Boardwill minimize any adverse impact on this population by referring cases toa legal intern only if the claimant was unable to find legal representationon their own. Additionally, prior to proposing the amended regulation, theBoard consulted with members of the private bar to ensure that the regula-tion would supplement, and not supplant, currently available legalrepresentation. These stakeholders agreed that the proposed regulationwould not negatively impact the private bar.


51

HEARINGS SCHEDULED

FOR PROPOSED RULE MAKINGS

Agency I.D. No. Subject Matter Location—Date—Time

Environmental Conservation, Department of

ENV-12-18-00043-P . . . . . . . . . . . . . . . . . . . . . . . . BEACH Act standards and reclassificationrule

Department of Environmental Conservation,47-40 21st St., Long Island City, NY—June 7,2018, 2:00 p.m.

Department of Environmental Conservation,6274 E. Avon-Lima Rd., Avon, NY—June 5,2018, 2:00 p.m.

ENV-20-18-00006-P . . . . . . . . . . . . . . . . . . . . . . . . CO2 emissions standards for major electricgenerating facilities

Department of Environmental Conservation,625 Broadway, Public Assembly Rm. 129 A/B,Albany, NY—July 16, 2018, 11:00 a.m.

Department of Transportation, One Hunter’sPoint Plaza, 47-40 21st St., Rm. 834, LongIsland City, NY—July 18, 2018, 11:00 a.m.

Department of Environmental Conservation,6274 E. Avon-Lima Rd., (Rtes. 5 and 20),Conference Rm., Avon, NY—July 24, 2018,11:00 a.m.

ENV-20-18-00007-P . . . . . . . . . . . . . . . . . . . . . . . . Repeal and replace 6 NYCRR Parts 243, 244and 245 and amend 6 NYCRR Part 200

Department of Environmental Conservation,625 Broadway, Public Assembly Rm. 129 A/B,Albany, NY—July 16, 2018, 11:00 a.m.

Department of Transportation, One Hunter’sPoint Plaza, 47-40 21st St., Rm. 834, LongIsland City, NY—July 18, 2018, 11:00 a.m.

Department of Environmental Conservation,6274 E. Avon-Lima Rd., (Rtes. 5 and 20),Conference Rm., Avon, NY—July 24, 2018,11:00 a.m.

Labor, Department of

LAB-17-18-00005-P . . . . . . . . . . . . . . . . . . . . . . . . Hours worked, 24-hour shifts Department of Labor, 55 Hanson Place,Brooklyn, NY—July 11, 2018, 11:00 a.m.

Long Island Power Authority

LPA-15-18-00011-P . . . . . . . . . . . . . . . . . . . . . . . . The Authority’s discounts for low-incomecustomers

H. Lee Dennison Bldg., 100 Veterans Memo-rial Hwy., Hauppauge, NY—June 4, 2018,10:00 a.m.

Long Island Power Authority, 333 EarleOvington Blvd., 4th Fl., Uniondale, NY—June4, 2018, 2:00 p.m.

LPA-15-18-00012-P . . . . . . . . . . . . . . . . . . . . . . . . A new time-of-use pilot rate option for resi-dential customers

H. Lee Dennison Bldg., 100 Veterans Memo-rial Hwy., Hauppauge, NY—June 4, 2018,10:00 a.m.


LPA-15-18-00013-P . . . . . . . . . . . . . . . . . . . . . . . . Outdoor area lighting H. Lee Dennison Bldg., 100 Veterans Memo-rial Hwy., Hauppauge, NY—June 4, 2018,10:00 a.m.



PSC-20-18-00008-P . . . . . . . . . . . . . . . . . . . . . . . . Proposed major rate increase in O&R’s gasdelivery revenues of approximately $4.5 mil-lion (or 1.5% in total revenues)

Department of Public Service, Agency Bldg.Three, 3rd Fl. Hearing Rm., Albany, NY—July16, 2018, 10:00 a.m. and continuing daily asneeded (Evidentiary Hearing)*


52

*On occasion, there are requests to rescheduleor postpone evidentiary hearing dates. If such arequest is granted, notification of anysubsequent scheduling changes will be avail-able at the DPS website (www.dps.ny.gov)under Case 18-G-0068.

PSC-20-18-00009-P . . . . . . . . . . . . . . . . . . . . . . . . Proposed major rate increase in O&R’selectric delivery revenues of approximately$20.3 million (or 2.3% in total revenues)

Department of Public Service, Agency Bldg.Three, 3rd Fl. Hearing Rm., Albany, NY—July16, 2018, 10:00 a.m. and continuing daily asneeded (Evidentiary Hearing)*

*On occasion, there are requests to rescheduleor postpone evidentiary hearing dates. If such arequest is granted, notification of anysubsequent scheduling changes will be avail-able at the DPS website (www.dps.ny.gov)under Case 18-E-0067.

State, Department of

DOS-20-18-00001-EP . . . . . . . . . . . . . . . . . . . . . . Miminum standards for administration andenforcement of the Uniform Code and EnergyCode

Department of State, 99 Washington Ave., Rm.505, Albany, NY—July 17, 2018, 10:00 a.m.

DOS-20-18-00002-EP . . . . . . . . . . . . . . . . . . . . . . Suspension and revocation of certifications ofcode enforcement personnel

Department of State, 99 Washington Ave., Rm.505, Albany, NY—July 24, 2018, 10:00 a.m.


53

ACTION PENDING

INDEX

The action pending index is a list of all proposed rules whichare currently being considered for adoption. A proposed rule isadded to the index when the notice of proposed rule making isfirst published in the Register. A proposed rule is removedfrom the index when any of the following occur: (1) the pro-posal is adopted as a permanent rule; (2) the proposal isrejected and withdrawn from consideration; or (3) the propos-al’s notice expires.Most notices expire in approximately 12 months if the agencydoes not adopt or reject the proposal within that time. Theexpiration date is printed in the second column of the actionpending index. Some notices, however, never expire. Thosenotices are identified by the word “exempt” in the secondcolumn. Actions pending for one year or more are preceded byan asterisk(*).For additional information concerning any of the proposals

listed in the action pending index, use the identification numberto locate the text of the original notice of proposed rule making.The identification number contains a code which identifies theagency, the issue of the Register in which the notice wasprinted, the year in which the notice was printed and the no-tice’s serial number. The following diagram shows how to readidentification number codes.

Agencycode

Issuenumber

Yearpublished

Serialnumber

ActionCode

AAM 01 12 00001 P

Action codes: P — proposed rule making; EP — emergencyand proposed rule making (expiration date refers to proposedrule); RP — revised rule making

Agency I.D. No. Expires Subject Matter Purpose of Action

AGRICULTURE AND MARKETS, DEPARTMENT OF

AAM-13-18-00013-P . . . . . . . . . . . 03/28/19 National Institute of Standards andTechnology (‘‘NIST’’) Handbook 44

To incorporate NIST Handbook 44 (2018edition)

AAM-18-18-00003-P . . . . . . . . . . . 05/02/19 Repeal of Part 141 of 1 NYCRR (Control ofthe Emerald Ash Borer)

Repealing the regulation since quarantines inthe rule have not stopped the spread of thisinsect in New York State

AAM-18-18-00004-P . . . . . . . . . . . 05/02/19 Milk dealer reports To exempt milk dealers operating plants thatreceive 600,000 lbs. or less of milk, yearly,from having to file plant reports

AAM-21-18-00032-P . . . . . . . . . . . 05/23/19 Incorporate by reference in 1 NYCRR the2018 edition of National Institute of Standardsand Technology (‘‘NIST’’) Handbook 133

To incorporate by reference in 1 NYCRR the2018 edition of NIST Handbook 133

ALCOHOLISM AND SUBSTANCE ABUSE SERVICES, OFFICE OF

ASA-12-18-00001-P . . . . . . . . . . . 03/21/19 Problem Gambling Treatment and RecoveryServices

Repeals existing gambling regulation; replaceswith substantially updated provisions

ASA-13-18-00001-P . . . . . . . . . . . 03/28/19 Authorization for physicians to use controlledsubstances for treatment of chemicaldependence

Repeals obsolete regulation

ASA-21-18-00025-P . . . . . . . . . . . 05/23/19 Credentialing of Addictions Professionals Repeal obsolete rules; update process ofcredentialing addictions professionals

ASA-21-18-00026-P . . . . . . . . . . . 05/23/19 Appeals, Hearings and Rulings Protect patient confidentiality, update dueprocess provisions, technical amendments.

AUDIT AND CONTROL, DEPARTMENT OF

AAC-06-18-00002-P . . . . . . . . . . . 02/07/19 Update provisions relating to EmployerReporting; Service Credit Determination forcertain members; and Notice of Hearings

To update language necessitated by themodernization and redesign of the retirementsystem’s benefit administration system

AAC-21-18-00037-P . . . . . . . . . . . 05/23/19 Adjustments to merchandise/invoice receiptdates

To correct internal regulatory inconsistenciesrelating to adjustments to merchandise/invoicereceipt dates

NYS Register/May 23, 2018 Action Pending Index

55

CHILDREN AND FAMILY SERVICES, OFFICE OF

CFS-51-17-00017-ERP . . . . . . . . . . . 12/20/18 Specialized secure detention facilities To establish specialized secure detentionfacilities

CFS-13-18-00011-P . . . . . . . . . . . 03/28/19 Expansion of definition of prospective relativeguardian and expansion of KinGAP eligibility

To expand definition of prospective relativeguardian and KinGAP eligibility

CFS-14-18-00003-EP . . . . . . . . . . . 04/04/19 Group size and supervision ratios in legally-exempt child care settings & legally-exemptgroup child care financial incentives

To establish group size and supervision ratiosin legally-exempt child care settings & financialincentives

CFS-15-18-00007-EP . . . . . . . . . . . 04/11/19 Specialized secure detention facilities To establish specialized secure detentionfacilities

CIVIL SERVICE, DEPARTMENT OF

*CVS-18-17-00008-P . . . . . . . . . . . 05/03/18 Jurisdictional Classification To classify positions in the non-competitiveclass

CVS-30-17-00006-P . . . . . . . . . . . 07/26/18 Jurisdictional Classification To classify a position in the non-competitiveclass

CVS-30-17-00007-P . . . . . . . . . . . 07/26/18 Jurisdictional Classification To classify positions in the exempt class

CVS-30-17-00008-P . . . . . . . . . . . 07/26/18 Jurisdictional Classification To classify a position in the exempt class


CVS-30-17-00010-P . . . . . . . . . . . 07/26/18 Jurisdictional Classification To delete a position from and classify aposition in the exempt class

CVS-30-17-00011-P . . . . . . . . . . . 07/26/18 Jurisdictional Classification To classify positions in the non-competitiveclass


CVS-30-17-00013-P . . . . . . . . . . . 07/26/18 Jurisdictional Classification To delete positions from and classify positionsin the non-competitive class

CVS-30-17-00014-P . . . . . . . . . . . 07/26/18 Jurisdictional Classification To classify a position in the non-competitiveclass.






CVS-30-17-00020-P . . . . . . . . . . . 07/26/18 Jurisdictional Classification To delete positions from and classify positionsin the exempt class and to delete positionsfrom the non-competitive class.

CVS-30-17-00021-P . . . . . . . . . . . 07/26/18 Jurisdictional Classification To add a subheading and to classify positionsin the non-competitive class

NYS Register/May 23, 2018Action Pending Index


56



CVS-30-17-00023-P . . . . . . . . . . . 07/26/18 Jurisdictional Classification To classify positions in the exempt and non-competitive classes




CVS-33-17-00005-P . . . . . . . . . . . 08/16/18 Jurisdictional Classification To delete a position from and classify aposition in the non-competitive class



CVS-33-17-00008-P . . . . . . . . . . . 08/16/18 Jurisdictional Classification To classify positions in the exempt and non-competitive classes



CVS-47-17-00003-P . . . . . . . . . . . 11/22/18 Jurisdictional Classification To delete positions from and classify a positionin the exempt class




CVS-47-17-00007-P . . . . . . . . . . . 11/22/18 Jurisdictional Classification To classify positions in the exempt class.









57






CVS-50-17-00010-P . . . . . . . . . . . 12/13/18 Jurisdictional Classification To delete positions from and classify a positionin the non-competitive class







CVS-12-18-00012-P . . . . . . . . . . . 03/21/19 Jurisdictional Classification To classify a subheading and a position in thenon-competitive class








CVS-12-18-00020-P . . . . . . . . . . . 03/21/19 Jurisdictional Classification To delete subheading & positions from; to addheading, subheading & positions in exempt andnon-competitive classes




58


CVS-12-18-00022-P . . . . . . . . . . . 03/21/19 Jurisdictional Classification To delete positions in the exempt class and thenon-competitive class

CVS-12-18-00023-P . . . . . . . . . . . 03/21/19 Jurisdictional Classification To delete positions in the non-competitive class

CVS-12-18-00024-P . . . . . . . . . . . 03/21/19 Jurisdictional Classification To classify a position in the exempt class andto delete a position from the non-competitiveclass












CVS-12-18-00036-P . . . . . . . . . . . 03/21/19 Jurisdictional Classification To delete a position from and classify aposition in the non-competitive class



CVS-12-18-00039-P . . . . . . . . . . . 03/21/19 Jurisdictional Classification To classify a position in the exempt class andto delete a position from the non-competitiveclass


CVS-12-18-00041-P . . . . . . . . . . . 03/21/19 Jurisdictional Classification To delete a position from and classify aposition in the exempt class






59













CVS-15-18-00006-P . . . . . . . . . . . 04/11/19 Jurisdictional Classification To delete a position from and classify positionsin the non-competitive class


CVS-21-18-00002-P . . . . . . . . . . . 05/23/19 Jurisdictional Classification To delete a position from and classify positionsin the non-competitive class.





CVS-21-18-00007-P . . . . . . . . . . . 05/23/19 Jurisdictional Classification To delete positions from the exempt class





60






CVS-21-18-00014-P . . . . . . . . . . . 05/23/19 Jurisdictional Classification To delete positions from and classify positionsin the exempt and non-competitive classes




CVS-21-18-00018-P . . . . . . . . . . . 05/23/19 Jurisdictional Classification To delete positions from the exempt class

CVS-21-18-00019-P . . . . . . . . . . . 05/23/19 Jurisdictional Classification To classify positions in the exempt class and todelete positions from the non-competitive class

CVS-21-18-00020-P . . . . . . . . . . . 05/23/19 Jurisdictional Classification To delete a position from and classify positionsin the non-competitive class


CVS-21-18-00022-P . . . . . . . . . . . 05/23/19 Jurisdictional Classification To delete positions from and classify positionsin the exempt class and to delete a positionfrom the non-competitive class



COMMISSIONER OF PILOTS, BOARD OF

COP-18-18-00002-P . . . . . . . . . . . . exempt Pilotage fees for the Long Island Sound andBlock Island Sound

To assess fees for pilotage on the Long IslandSound and Block Island Sound

CORRECTION, STATE COMMISSION OF

CMC-44-17-00003-P . . . . . . . . . . . 11/01/18 Inmate confinement and deprivation Require local correctional facilities to record,review and report inmate cell confinement andessential service deprivation

CMC-44-17-00012-P . . . . . . . . . . . 11/01/18 Inmate confinement and deprivation Require local correctional facilities to record,review and report inmate cell confinement andessential service deprivation



61

ECONOMIC DEVELOPMENT, DEPARTMENT OF

EDV-08-18-00002-P . . . . . . . . . . . 02/21/19 Excelsior Jobs Program To update provisions of Excelsior JobsProgram to conform to statute

EDUCATION DEPARTMENT

EDU-27-17-00006-P . . . . . . . . . . . 07/05/18 Interstate Compact for EducationalOpportunity for Military Children and PhysicalEducation Requirements for a Diploma.

To implement Ch. 328 of the Laws of 2014 andto provide flexibility in the physical educationdiploma requirements.

EDU-52-17-00011-RP . . . . . . . . . . . 12/27/18 Grade-level extensions for certain candidateswho hold a Students with DisabilitiesGeneralist certificate

To expand the pool of qualified teachers ofstudents with disabilities by establishing gradelevel extensions for certificates

EDU-52-17-00012-ERP . . . . . . . . . . . 12/27/18 Superintendent determination for certainstudents with disabilities to graduate with alocal diploma

To expand the safety net options for studentswith disabilities to graduate with local diplomaswhen certain conditions are met

EDU-03-18-00001-ERP . . . . . . . . . . . 01/17/19 180 Day Requirement for State Aid purposes To clarify the requirement for 180 days ofinstruction for State aid purposes

EDU-13-18-00027-P . . . . . . . . . . . 03/28/19 Teacher Certification in Health Education Creation of a Transitional K Certificate forCertain New York State Licensed HealthProfessionals to Teach Health Education

EDU-13-18-00028-EP . . . . . . . . . . . 03/28/19 Laboratory Experiences Required to Take aScience Regents Examination for Students inCertain State Agency Educational Programs

To provide flexibility in meeting the sciencelaboratory requirements for certain students

EDU-17-18-00006-P . . . . . . . . . . . 04/25/19 To allow individual evaluation for certaincertificate titles in the classroom teachingservice

To help address the reported teacher shortagein NYS

EDU-17-18-00007-P . . . . . . . . . . . 04/25/19 Operation of Licensed Private Career Schools To make technical amendment to Part 126 toimplement the law and to conform to currentpractice

EDU-17-18-00008-P . . . . . . . . . . . 04/25/19 Teacher certification requirements forteachers who hold SWD generalist (7-12)certificate and teach in a special class

To create limited extensions for teacher holdinga students with disabilities generalist certificatewho teach a special class in grades 7-12

EDU-17-18-00016-P . . . . . . . . . . . 04/25/19 Registration standards for libraries andpreservation of library research materials

To clarify terminology relating to registrationstandards for libraries and to implement Ed.Law § 273 (7)

EDU-19-18-00006-P . . . . . . . . . . . 05/09/19 The implementation of New York’s approvedESSA plan to comply with the provisions ofthe Every Student Succeeds Act

To implement New York’s approved ESSA planand to comply with the provisions of the EveryStudent Succeeds Act

EDU-21-18-00039-EP . . . . . . . . . . . 05/23/19 Reports of Incidents of Harassment, Bullyingand/or Discrimination Pursuant to the Dignityfor All Students Act (DASA)

To provide illustrative examples to the field toaid in the continued implementation of DASA

EDU-21-18-00040-P . . . . . . . . . . . 05/23/19 Allow Individuals Completing a ProgramAccredited by the American Speech,Language, and Hearing Association (ASHA)to Obtain an

Allow individuals completing a programaccredited by ASHA to obtain an initialcertificate in speech language disabilities

EDU-21-18-00048-P . . . . . . . . . . . 05/23/19 Voluntary Institutional Accreditation for Title IVPurposes

To establish a fee structure for institutionalaccreditation by the Board of Regents andCommissioner of Education.



62

ELECTIONS, STATE BOARD OF

SBE-15-18-00010-EP . . . . . . . . . . . 04/11/19 Establishing a process for the state board topublish the campaign website addresses ofcertain candidates on its website

To allow voters to easily find a candidate’scampaign website and obtain more informationabout candidates for public office

SBE-18-18-00007-P . . . . . . . . . . . 05/02/19 Standardizes subpoena requests and requiresreporting of enforcement activity

Provides procedures related to the SBOE’ssubpoena authority and requires reporting ofthe SBOE’s enforcement activity

SBE-21-18-00047-P . . . . . . . . . . . 05/23/19 Implementation of the Democracy ProtectionAct

The rule effectuates the amendments to Article14 of the Election Law resulting from Chapter59 of the Laws of 2018.

ENVIRONMENTAL CONSERVATION, DEPARTMENT OF

*ENV-06-17-00001-RP . . . . . . . . . . . 06/29/18 Amendments to 6 NYCRR Part 617 (whichimplement the State Environmental QualityReview Act [Article 8 of the ECL])

The purpose of the rule making is to streamlinethe SEQR process without sacrificingmeaningful environmental review

ENV-22-17-00001-EP . . . . . . . . . . . 05/31/18 Regulations governing the recreationalharvest of summer flounder

To revise regulations concerning therecreational harvest of summer flounder in NewYork State

ENV-12-18-00043-P . . . . . . . . . . . 06/07/19 BEACH Act Standards and ReclassificationRule

To comply with the federal BEACH Act of 2000(P.L. 106-284) and protect coastal recreationwaters for recreation

ENV-13-18-00025-P . . . . . . . . . . . 03/28/19 Peekamoose Valley Riparian Corridor To establish a permit system to protect publicsafety and natural resources on thePeekamoose Valley Riparian Corridor

ENV-16-18-00003-EP . . . . . . . . . . . 04/18/19 Regulations governing the recreational andcommercial fishing of Tautog (blackfish)

To revise regulations concerning therecreational and commercial harvest of Tautogin New York State

ENV-16-18-00004-EP . . . . . . . . . . . 04/18/19 Regulations governing the recreational fishingof scup and summer flounder (fluke)

To revise regulations concerning therecreational harvest of scup and summerflounder in New York State

ENV-17-18-00004-P . . . . . . . . . . . 04/25/19 Control of the Emerald Ash Borer To repeal existing restrictions on the movementof ash wood, logs, firewood, nursery stock andwood chips

ENV-20-18-00003-EP . . . . . . . . . . . 05/16/19 Regulations governing the harvest of lobster To repeal the most restrictive rule as it appliesto closed seasons for lobster harvest

ENV-20-18-00006-P . . . . . . . . . . . 07/24/19 CO2 Emissions Standards for Major ElectricGenerating Facilities

To establish CO2 emissions standards forexisting major electric generating facilities

ENV-20-18-00007-P . . . . . . . . . . . 07/24/19 Repeal and replace 6 NYCRR Parts 243, 244and 245 and amend 6 NYCRR Part 200

Parts 243, 244 and 245 set forth the processthe Department will use to allocate allowancesunder EPA’s CSAPR Trading Programs

ENV-21-18-00028-P . . . . . . . . . . . 05/23/19 Sanitary Condition of Shellfish Lands To reclassify underwater shellfish lands toprotect public health

ENV-21-18-00029-P . . . . . . . . . . . 05/23/19 Northern Catskill Riparian Areas To ensure public safety and protect naturalresources on the Northern Catskill RiparianAreas



63

FINANCIAL SERVICES, DEPARTMENT OF

*DFS-17-16-00003-P . . . . . . . . . . . . exempt Plan of Conversion by Commercial TravelersMutual Insurance Company

To convert a mutual accident and healthinsurance company to a stock accident andhealth insurance company

*DFS-18-17-00020-ERP . . . . . . . . . . . 08/01/18 Establishment And Operation Of MarketStabilization Mechanisms For Certain HealthInsurance Markets

To allow for the implementation of a marketstabilization pool for the small group healthinsurance market

DFS-25-17-00002-EP . . . . . . . . . . . 06/21/18 Minimum standards for form, content and saleof health insurance, including standards of fulland fair disclosure

To ensure coverage for essential healthbenefits in all individual, small group, andstudent accident and health policies

DFS-39-17-00002-P . . . . . . . . . . . 09/27/18 Minimum Standards for Form, Content andSale of Health Insurance, Including Standardsof Full and Fair Disclosure

Provide a formulary exception process formedication for the detoxification ormaintenance treatment of a substance usedisorder

DFS-40-17-00003-P . . . . . . . . . . . 10/04/18 Registration Requirements and ProhibitedPractices for Credit Reporting Agencies

To address deficient practices of consumercredit reporting agencies and protect user ofand the market for financial services

DFS-52-17-00020-RP . . . . . . . . . . . 12/27/18 Suitability in Life Insurance and AnnuityTransactions

Establish suitability standards for life insuranceand clarify that a transaction must be in thebest interest of the consumer.

GAMING COMMISSION, NEW YORK STATE

SGC-09-18-00005-P . . . . . . . . . . . 02/28/19 The licensing and registration of gamingfacility employees and vendors

To govern the licensing and registration ofgaming facility employees and vendors

SGC-17-18-00002-P . . . . . . . . . . . 04/25/19 Regulation of courier services that purchaseand claim certain Lottery tickets and prizes asagents for customers

To license courier services to facilitate the saleof Lottery tickets to generate more revenue foreducation

SGC-19-18-00004-P . . . . . . . . . . . 05/09/19 Prohibited practices and doping agents,veterinary relationship for prescribing drugs inThoroughbred horse racing

To enable the Commission to maintain theintegrity of pari-mutuel racing

SGC-20-18-00005-P . . . . . . . . . . . 05/16/19 Electronic transfer of funds to the GamingCommission from special bell jar accounts

To allow charitable gaming organizations to paytheir license fees to the Gaming Commissionvia electronic transfer

HEALTH, DEPARTMENT OF

*HLT-14-94-00006-P . . . . . . . . . . . . exempt Payment methodology for HIV/AIDSoutpatient services

To expand the current payment to incorporatepricing for services

HLT-28-17-00009-P . . . . . . . . . . . 08/17/18 Early Intervention Program To conform existing program regulations tofederal regulations and state statute

HLT-43-17-00001-EP . . . . . . . . . . . 10/25/18 Medical Use of Marihuana To allow certain defined facilities to become adesignated caregiver for a certified patient inNYS’s Medical Marihuana Program

HLT-49-17-00002-P . . . . . . . . . . . 12/06/18 Food and Beverages in FuneralEstablishments

To lift the ban of the consumption of food andbeverages in funeral establishments

HLT-02-18-00002-P . . . . . . . . . . . 01/10/19 Hospital Policies and Procedures forIndividuals with Substance Use Disorders

To require hospitals to establish policies &procedures to identify, assess & referindividuals with substance use disorders



64

HEALTH, DEPARTMENT OF

HLT-04-18-00010-P . . . . . . . . . . . 01/24/19 Emergency Medical Services (EMS) InitialCertification Eligibility Requirements

To reduce the EMS certification eligibilityminimum age from 18 to 17 years of age

HLT-07-18-00002-P . . . . . . . . . . . 02/14/19 Medicaid Reimbursement of Nursing FacilityReserved Bed Days for Hospitalizations

To make changes relating to reserved bedpayments made by Medicaid to nursingfacilities

HLT-07-18-00014-P . . . . . . . . . . . 02/14/19 Rate Rationalization – Intermediate CareFacilities for Persons with DevelopmentalDisabilities

Amend rate methodology eff. 7/1/16 andinclude addition of an occupancy adjust. &revision to 4/1/15 2% compensation calculation

HLT-09-18-00006-P . . . . . . . . . . . 02/28/19 Managed Care Organizations To maintain the contingent reserve requirementapplied to the Medicaid Managed Care, HIVSNP and HARP programs

HIGHER EDUCATION SERVICES CORPORATION

ESC-12-18-00005-P . . . . . . . . . . . 03/21/19 Income used to determine financial aidawards

To conform the regulations to a recentlyenacted statutory provision

JOINT COMMISSION ON PUBLIC ETHICS, NEW YORK STATE

JPE-42-17-00003-ERP . . . . . . . . . . . 10/18/18 Financial disclosure statements To add a right of appeal to provisionsgoverning exemptions related to filing afinancial disclosure statement

JUSTICE CENTER FOR THE PROTECTION OF PEOPLE WITH SPECIAL NEEDS

JCP-09-18-00014-P . . . . . . . . . . . 02/28/19 Criminal History Information Checks To clarify language in the rule and maketechnical corrections

JCP-21-18-00030-P . . . . . . . . . . . 05/23/19 Protocols for interviewing service recipients To ensure interviews of service recipientsduring investigations are conducted in a safeand sensitive manner

LABOR, DEPARTMENT OF

LAB-47-17-00011-P . . . . . . . . . . . 11/22/18 Employee Scheduling (Call-In Pay) To strengthen existing call-in pay protectionsinvolving employee scheduling

LAB-17-18-00005-P . . . . . . . . . . . 07/11/19 Hours Worked, 24-Hour Shifts To clarify that hours worked may exclude mealperiods and sleep times for employees whowork shifts of 24 hours or more

LAW, DEPARTMENT OF

LAW-13-18-00010-P . . . . . . . . . . . 03/28/19 Change of office address (Lower Manhattanlocation)

To update new address of the LowerManhattan location

LIQUOR AUTHORITY, STATE

LQR-07-18-00011-P . . . . . . . . . . . 04/18/19 Municipal notification requirements forTemporary Beer and Wine Permit as well asCatering Permit applications for large events

To establish municipal notification forTemporary Beer and Wine Permit as well asCatering Permit applications for large events



65

LONG ISLAND POWER AUTHORITY

*LPA-08-01-00003-P . . . . . . . . . . . . exempt Pole attachments and related matters To approve revisions to the authority’s tariff

*LPA-41-02-00005-P . . . . . . . . . . . . exempt Tariff for electric service To revise the tariff for electric service

*LPA-04-06-00007-P . . . . . . . . . . . . exempt Tariff for electric service To adopt provisions of a ratepayer protectionplan

*LPA-03-10-00004-P . . . . . . . . . . . . exempt Residential late payment charges To extend the application of late paymentcharges to residential customers

LPA-15-18-00011-P . . . . . . . . . . . . exempt The Authority’s discounts for low-incomecustomers

To improve the Authority’s discounts for low-income customers

LPA-15-18-00012-P . . . . . . . . . . . . exempt A new time-of-use pilot rate option forresidential customers

To update the Authority’s Tariff to offer a newpilot residential time-of-use rate option

LPA-15-18-00013-P . . . . . . . . . . . . exempt Outdoor area lighting To add an option and pricing for efficient LEDlamps to the Authority’s outdoor area lighting

MENTAL HEALTH, OFFICE OF

OMH-31-17-00001-RP . . . . . . . . . . . 08/02/18 Early and Periodic Screening, Diagnostic andTreatment Services for Children

To promote the expansion of behavioral healthservices for children and youth under 21 yearsof age

OMH-09-18-00004-P . . . . . . . . . . . 02/28/19 Procedure for Treatment and Hospitalizationof Certain Mentally Ill Prisoners in Jail

To conform implementing regulations with achange in the authorizing statute

MOTOR VEHICLES, DEPARTMENT OF

MTV-26-17-00003-EP . . . . . . . . . . . 06/28/18 Insurance requirements for TNC vehicles Technical amendment regarding insurancerequirements for TNC vehicles

MTV-19-18-00001-P . . . . . . . . . . . 05/09/19 Colored Lights; amber lights To conform the regulation to the statute

NIAGARA FALLS WATER BOARD

*NFW-04-13-00004-EP . . . . . . . . . . . . exempt Adoption of Rates, Fees and Charges To pay for the increased costs necessary tooperate, maintain and manage the system, andto achieve covenants with bondholders

*NFW-13-14-00006-EP . . . . . . . . . . . . exempt Adoption of Rates, Fees and Charges To pay for increased costs necessary tooperate, maintain and manage the system andto achieve covenants with the bondholders

NFW-01-18-00004-EP . . . . . . . . . . . . exempt Adoption of Rates, Fees, and Charges To pay for increased costs necessary tooperate, maintain, and manage the system,and to meet covenants with the bondholders

NIAGARA FRONTIER TRANSPORTATION AUTHORITY

NFT-23-17-00016-P . . . . . . . . . . . 06/07/18 Procurement Guidelines of the NiagaraFrontier Transportation Authority and NiagaraFrontier Transit Metro System, Inc.

To amend Procurement Guidelines to reflectchanges in law, clarifying provisions andchange signing authority level



66

PEOPLE WITH DEVELOPMENTAL DISABILITIES, OFFICE FOR

PDD-51-17-00006-EP . . . . . . . . . . . 12/20/18 Site Based and Community BasedPrevocational Services

To clarify site-based and community-basedservices and clarify reimbursementrequirements

PDD-07-18-00001-EP . . . . . . . . . . . 02/14/19 Enrollment in Medicare Prescription DrugPlans and Fully Integrated Duals AdvantagePlans for IDD

To allow individuals to be enrolled in a FIDA-IDD plan when individuals are unable to enrollthemselves

PDD-14-18-00002-P . . . . . . . . . . . 04/04/19 Telephone Service To require providers to have and maintainactive telephone service at all times

PDD-17-18-00001-EP . . . . . . . . . . . 04/25/19 Care Coordination Organizations To allow individuals to be enrolled in a CCOwhen individuals are unable to enrollthemselves

PDD-21-18-00046-P . . . . . . . . . . . 05/23/19 Certificate of Incorporation Remove a requirement for certificate holdersthat is no longer required under MentalHygiene Law 16.07.

POWER AUTHORITY OF THE STATE OF NEW YORK

*PAS-01-10-00010-P . . . . . . . . . . . . exempt Rates for the sale of power and energy Update ECSB Programs customers’ servicetariffs to streamline them/include additionalrequired information

PUBLIC SERVICE COMMISSION

*PSC-09-99-00012-P . . . . . . . . . . . . exempt Transfer of books and records by CitizensUtilities Company

To relocate Ogden Telephone Company’sbooks and records out-of-state

*PSC-15-99-00011-P . . . . . . . . . . . . exempt Electronic tariff by Woodcliff Park Corp. To replace the company’s current tariff with anelectronic tariff

*PSC-12-00-00001-P . . . . . . . . . . . . exempt Winter bundled sales service election date byCentral Hudson Gas & Electric Corporation

To revise the date

*PSC-44-01-00005-P . . . . . . . . . . . . exempt Annual reconciliation of gas costs by CorningNatural Gas Corporation

To authorize the company to include certaingas costs

*PSC-07-02-00032-P . . . . . . . . . . . . exempt Uniform business practices To consider modification

*PSC-36-03-00010-P . . . . . . . . . . . . exempt Performance assurance plan by Verizon NewYork

To consider changes

*PSC-40-03-00015-P . . . . . . . . . . . . exempt Receipt of payment of bills by St. LawrenceGas Company

To revise the process

*PSC-41-03-00010-P . . . . . . . . . . . . exempt Annual reconciliation of gas expenses andgas cost recoveries

To consider filings of various LDCs andmunicipalities

*PSC-41-03-00011-P . . . . . . . . . . . . exempt Annual reconciliation of gas expenses andgas cost recoveries

To consider filings of various LDCs andmunicipalities

*PSC-44-03-00009-P . . . . . . . . . . . . exempt Retail access data between jurisdictionalutilities

To accommodate changes in retail accessmarket structure or commission mandates

*PSC-02-04-00008-P . . . . . . . . . . . . exempt Delivery rates for Con Edison’s customers inNew York City and Westchester County bythe City of New York

To rehear the Nov. 25, 2003 order



67


*PSC-06-04-00009-P . . . . . . . . . . . . exempt Transfer of ownership interest by SCS EnergyLLC and AE Investors LLC

To transfer interest in Steinway Creek ElectricGenerating Company LLC to AE Investors LLC

*PSC-10-04-00005-P . . . . . . . . . . . . exempt Temporary protective order To consider adopting a protective order

*PSC-10-04-00008-P . . . . . . . . . . . . exempt Interconnection agreement between VerizonNew York Inc. and VIC-RMTS-DC, L.L.C.d/b/a Verizon Avenue

To amend the agreement

*PSC-14-04-00008-P . . . . . . . . . . . . exempt Submetering of natural gas service toindustrial and commercial customers byHamburg Fairgrounds

To submeter gas service to commercialcustomers located at the Buffalo Speedway

*PSC-15-04-00022-P . . . . . . . . . . . . exempt Submetering of electricity by Glenn GardensAssociates, L.P.

To permit submetering at 175 W. 87th St., NewYork, NY

*PSC-21-04-00013-P . . . . . . . . . . . . exempt Verizon performance assurance plan byMetropolitan Telecommunications

To clarify the appropriate performance level

*PSC-22-04-00010-P . . . . . . . . . . . . exempt Approval of new types of electricity meters byPowell Power Electric Company

To permit the use of the PE-1250 electronicmeter

*PSC-22-04-00013-P . . . . . . . . . . . . exempt Major gas rate increase by ConsolidatedEdison Company of New York, Inc.

To increase annual gas revenues

*PSC-22-04-00016-P . . . . . . . . . . . . exempt Master metering of water by South LibertyCorporation

To waive the requirement for installation ofseparate water meters

*PSC-25-04-00012-P . . . . . . . . . . . . exempt Interconnection agreement between FrontierCommunications of Ausable Valley, Inc., et al.and Sprint Communications Company, L.P.


*PSC-27-04-00008-P . . . . . . . . . . . . exempt Interconnection agreement between VerizonNew York Inc. and various Verizon wirelessaffiliates


*PSC-27-04-00009-P . . . . . . . . . . . . exempt Interconnection agreement between VerizonNew York Inc. and various Verizon wirelessaffiliates


*PSC-28-04-00006-P . . . . . . . . . . . . exempt Approval of loans by Dunkirk & FredoniaTelephone Company and CassadagaTelephone Corporation

To authorize participation in the parentcorporation’s line of credit

*PSC-31-04-00023-P . . . . . . . . . . . . exempt Distributed generation service byConsolidated Edison Company of New York,Inc.

To provide an application form

*PSC-34-04-00031-P . . . . . . . . . . . . exempt Flat rate residential service by Emerald GreenLake Louise Marie Water Company, Inc.

To set appropriate level of permanent rates

*PSC-35-04-00017-P . . . . . . . . . . . . exempt Application form for distributed generation byOrange and Rockland Utilities, Inc.

To establish a new supplementary applicationform for customers

*PSC-43-04-00016-P . . . . . . . . . . . . exempt Accounts recievable by Rochester Gas andElectric Corporation

To include in its tariff provisions for thepurchase of ESCO accounts recievable

*PSC-46-04-00012-P . . . . . . . . . . . . exempt Service application form by ConsolidatedEdison Company of New York, Inc.

To revise the form and make housekeepingchanges



68


*PSC-46-04-00013-P . . . . . . . . . . . . exempt Rules and guidelines governing installation ofmetering equipment

To establish uniform statewide businesspractices

*PSC-02-05-00006-P . . . . . . . . . . . . exempt Violation of the July 22, 2004 order byDutchess Estates Water Company, Inc.

To consider imposing remedial actions againstthe company and its owners, officers anddirectors

*PSC-09-05-00009-P . . . . . . . . . . . . exempt Submetering of natural gas service by Hamleton Olde Oyster Bay

To consider submetering of natural gas to acommercial customer

*PSC-14-05-00006-P . . . . . . . . . . . . exempt Request for deferred accounting authorizationby Freeport Electric Inc.

To defer expenses beyond the end of the fiscalyear

*PSC-18-05-00009-P . . . . . . . . . . . . exempt Marketer Assignment Program byConsolidated Edison Company of New York,Inc.

To implement the program

*PSC-20-05-00028-P . . . . . . . . . . . . exempt Delivery point aggregation fee by AlliedFrozen Storage, Inc.

To review the calculation of the fee

*PSC-25-05-00011-P . . . . . . . . . . . . exempt Metering, balancing and cashout provisionsby Central Hudson Gas & Electric Corporation

To establish provisions for gas customerstaking service under Service Classification Nos.8, 9 and 11

*PSC-27-05-00018-P . . . . . . . . . . . . exempt Annual reconciliation of gas costs by NewYork State Electric & Gas Corporation

To consider the manner in which the gas costincentive mechanism has been applied

*PSC-41-05-00013-P . . . . . . . . . . . . exempt Annual reconciliation of gas expenses andgas cost recoveries by local distributioncompanies and municipalities

To consider the filings

*PSC-45-05-00011-P . . . . . . . . . . . . exempt Treatment of lost and unaccounted gas costsby Corning Natural Gas Corporation

To defer certain costs

*PSC-46-05-00015-P . . . . . . . . . . . . exempt Sale of real and personal property by theBrooklyn Union Gas Company d/b/a KeySpanEnergy Delivery New York and Steel Arrow,LLC

To consider the sale

*PSC-47-05-00009-P . . . . . . . . . . . . exempt Transferral of gas supplies by Corning NaturalGas Corporation

To approve the transfer

*PSC-50-05-00008-P . . . . . . . . . . . . exempt Long-term debt by Saratoga Glen HollowWater Supply Corp.

To obtain long-term debt

*PSC-04-06-00024-P . . . . . . . . . . . . exempt Transfer of ownership interests by Mirant NY-Gen LLC and Orange and Rockland Utilities,Inc.

To approve of the transfer

*PSC-06-06-00015-P . . . . . . . . . . . . exempt Gas curtailment policies and procedures To examine the manner and extent to whichgas curtailment policies and procedures shouldbe modified and/or established

*PSC-07-06-00009-P . . . . . . . . . . . . exempt Modification of the current EnvironmentalDisclosure Program

To include an attributes accounting system

*PSC-22-06-00019-P . . . . . . . . . . . . exempt Hourly pricing by National Grid To assess the impacts

*PSC-22-06-00020-P . . . . . . . . . . . . exempt Hourly pricing by New York State Electric &Gas Corporation

To assess the impacts



69


*PSC-22-06-00021-P . . . . . . . . . . . . exempt Hourly pricing by Rochester Gas & ElectricCorporation


*PSC-22-06-00022-P . . . . . . . . . . . . exempt Hourly pricing by Consolidated EdisonCompany of New York, Inc.


*PSC-22-06-00023-P . . . . . . . . . . . . exempt Hourly pricing by Orange and RocklandUtilities, Inc.


*PSC-24-06-00005-EP . . . . . . . . . . . . exempt Supplemental home energy assistancebenefits

To extend the deadline to Central Hudson’slow-income customers

*PSC-25-06-00017-P . . . . . . . . . . . . exempt Purchased power adjustment by MassenaElectric Department

To revise the method of calculating thepurchased power adjustment and update thefactor of adjustment

*PSC-34-06-00009-P . . . . . . . . . . . . exempt Inter-carrier telephone service qualitystandards and metrics by the Carrier WorkingGroup

To incorporate appropriate modifications

*PSC-37-06-00015-P . . . . . . . . . . . . exempt Procedures for estimation of customer bills byRochester Gas and Electric Corporation

To consider estimation procedures

*PSC-37-06-00017-P . . . . . . . . . . . . exempt Procedures for estimation of customer bills byRochester Gas and Electric Corporation

To consider estimation procedures

*PSC-43-06-00014-P . . . . . . . . . . . . exempt Electric delivery services by Strategic PowerManagement, Inc.

To determine the proper mechanism for therate-recovery of costs

*PSC-04-07-00012-P . . . . . . . . . . . . exempt Petition for rehearing by Orange andRockland Utilities, Inc.

To clarify the order

*PSC-06-07-00015-P . . . . . . . . . . . . exempt Meter reading and billing practices by CentralHudson Gas & Electric Corporation

To continue current meter reading and billingpractices for electric service

*PSC-06-07-00020-P . . . . . . . . . . . . exempt Meter reading and billing practices by CentralHudson Gas & Electric Corporation

To continue current meter reading and billingpractices for gas service

*PSC-11-07-00010-P . . . . . . . . . . . . exempt Investigation of the electric power outages bythe Consolidated Edison Company of NewYork, Inc.

To implement the recommendations in thestaff’s investigation

*PSC-11-07-00011-P . . . . . . . . . . . . exempt Storm-related power outages by ConsolidatedEdison Company of New York, Inc.

To modify the company’s response to poweroutages, the timing for any such changes andother related matters

*PSC-17-07-00008-P . . . . . . . . . . . . exempt Interconnection agreement between VerizonNew York Inc. and BridgeCom International,Inc.


*PSC-18-07-00010-P . . . . . . . . . . . . exempt Existing electric generating stations byIndependent Power Producers of New York,Inc.

To repower and upgrade existing electricgenerating stations owned by Rochester Gasand Electric Corporation

*PSC-20-07-00016-P . . . . . . . . . . . . exempt Tariff revisions and making rates permanentby New York State Electric & Gas Corporation

To seek rehearing

*PSC-21-07-00007-P . . . . . . . . . . . . exempt Natural Gas Supply and Acquisition Plan byCorning Natural Gas Corporation

To revise the rates, charges, rules andregulations for gas service



70


*PSC-22-07-00015-P . . . . . . . . . . . . exempt Demand Side Management Program byConsolidated Edison Company of New York,Inc.

To recover incremental program costs and lostrevenue

*PSC-23-07-00022-P . . . . . . . . . . . . exempt Supplier, transportation, balancing andaggregation service by National Fuel GasDistribution Corporation

To explicitly state in the company’s tariff thatthe threshold level of elective upstreamtransmission capacity is a maximum of 112,600Dth/day of marketer-provided upstreamcapacity

*PSC-24-07-00012-P . . . . . . . . . . . . exempt Gas Efficiency Program by the City of NewYork

To consider rehearing a decision establishing aGas Efficiency Program

*PSC-39-07-00017-P . . . . . . . . . . . . exempt Gas bill issuance charge by New York StateElectric & Gas Corporation

To create a gas bill issuance charge unbundledfrom delivery rates

*PSC-41-07-00009-P . . . . . . . . . . . . exempt Submetering of electricity rehearing To seek reversal

*PSC-42-07-00012-P . . . . . . . . . . . . exempt Energy efficiency program by Orange andRockland Utilities, Inc.

To consider any energy efficiency program forOrange and Rockland Utilities, Inc.’s electricservice

*PSC-42-07-00013-P . . . . . . . . . . . . exempt Revenue decoupling by Orange and RocklandUtilities, Inc.

To consider a revenue decoupling mechanismfor Orange and Rockland Utilities, Inc.

*PSC-45-07-00005-P . . . . . . . . . . . . exempt Customer incentive programs by Orange andRockland Utilities, Inc.

To establish a tariff provision

*PSC-02-08-00006-P . . . . . . . . . . . . exempt Additional central office codes in the 315 areacode region

To consider options for making additionalcodes

*PSC-03-08-00006-P . . . . . . . . . . . . exempt Rehearing of the accounting determinations To grant or deny a petition for rehearing of theaccounting determinations

*PSC-04-08-00010-P . . . . . . . . . . . . exempt Granting of easement rights on utility propertyby Central Hudson Gas & Electric Corporation

To grant easement rights to Millennium PipelineCompany, L.L.C.

*PSC-04-08-00012-P . . . . . . . . . . . . exempt Marketing practices of energy servicecompanies by the Consumer Protection Boardand New York City Department of ConsumerAffairs

To consider modifying the commission’sregulation over marketing practices of energyservice companies

*PSC-08-08-00016-P . . . . . . . . . . . . exempt Transfer of ownership by Entergy NuclearFitzpatrick LLC, et al.

To consider the transfer

*PSC-12-08-00019-P . . . . . . . . . . . . exempt Extend the provisions of the existing electricrate plan by Rochester Gas and ElectricCorporation

To consider the request

*PSC-12-08-00021-P . . . . . . . . . . . . exempt Extend the provisions of the existing gas rateplan by Rochester Gas and ElectricCorporation

To consider the request

*PSC-13-08-00011-P . . . . . . . . . . . . exempt Waiver of commission policy and NYSEGtariff by Turner Engineering, PC

To grant or deny Turner’s petition

*PSC-13-08-00012-P . . . . . . . . . . . . exempt Voltage drops by New York State Electric &Gas Corporation

To grant or deny the petition



71


*PSC-23-08-00008-P . . . . . . . . . . . . exempt Petition requesting rehearing and clarificationof the commission’s April 25, 2008 orderdenying petition of public utility law project

To consider whether to grant or deny, in wholeor in part, the May 7, 2008 Public Utility LawProject (PULP) petition for rehearing andclarification of the commission’s April 25, 2008order denying petition of Public Utility LawProject

*PSC-25-08-00007-P . . . . . . . . . . . . exempt Policies and procedures regarding theselection of regulatory proposals to meetreliability needs

To establish policies and procedures regardingthe selection of regulatory proposals to meetreliability needs

*PSC-25-08-00008-P . . . . . . . . . . . . exempt Report on Callable Load Opportunities Rider U report assessing callable loadopportunities in New York City and WestchesterCounty during the next 10 years

*PSC-28-08-00004-P . . . . . . . . . . . . exempt Con Edison’s procedure for providingcustomers access to their account information

To consider Con Edison’s implementation planand timetable for providing customers accessto their account information

*PSC-31-08-00025-P . . . . . . . . . . . . exempt Recovery of reasonable DRS costs from thecost mitigation reserve (CMR)

To authorize recovery of the DRS costs fromthe CMR

*PSC-32-08-00009-P . . . . . . . . . . . . exempt The ESCO referral program for KEDNY to beimplemented by October 1, 2008

To approve, reject or modify, in whole or inpart, KEDNY’s recommended ESCO referralprogram

*PSC-33-08-00008-P . . . . . . . . . . . . exempt Noble Allegany’s request for lightenedregulation

To consider Noble Allegany’s request forlightened regulation as an electric corporation

*PSC-36-08-00019-P . . . . . . . . . . . . exempt Land Transfer in the Borough of Manhattan,New York

To consider petition for transfer of real propertyto NYPH

*PSC-39-08-00010-P . . . . . . . . . . . . exempt RG&E’s economic development plan andtariffs

Consideration of the approval of RG&E’seconomic development plan and tariffs

*PSC-40-08-00010-P . . . . . . . . . . . . exempt Loans from regulated company to its parent To determine if the cash management programresulting in loans to the parent should beapproved

*PSC-41-08-00009-P . . . . . . . . . . . . exempt Transfer of control of cable TV franchise To determine if the transfer of control ofMargaretville’s cable TV subsidiary should beapproved

*PSC-43-08-00014-P . . . . . . . . . . . . exempt Annual Reconcilliation of Gas Expenses andGas Cost Recoveries

The filings of various LDCs and municipalitiesregarding their Annual Reconciliation of GasExpenses and Gas Cost Recoveries

*PSC-46-08-00008-P . . . . . . . . . . . . exempt Property transfer in the Village of Avon, NewYork

To consider a petition for the transfer of streetlighting and attached equipment to the Villageof Avon, New York

*PSC-46-08-00010-P . . . . . . . . . . . . exempt A transfer of indirect ownership interests innuclear generation facilities

Consideration of approval of a transfer ofindirect ownership interests in nucleargeneration facilities

*PSC-46-08-00014-P . . . . . . . . . . . . exempt The attachment of cellular antennae to anelectric transmission tower

To approve, reject or modify the request forpermission to attach cellular antennae to anelectric transmission tower

*PSC-48-08-00005-P . . . . . . . . . . . . exempt A National Grid high efficiency gas heatingequipment rebate program

To expand eligibility to customers convertingfrom oil to natural gas



72


*PSC-48-08-00008-P . . . . . . . . . . . . exempt Petition for the master metering andsubmetering of electricity

To consider the request of Bay City Metering,to master meter & submeter electricity at 345E. 81st St., New York, New York

*PSC-48-08-00009-P . . . . . . . . . . . . exempt Petition for the submetering of electricity To consider the request of PCV/ST to submeterelectricity at Peter Cooper Village & StuyvesantTown, New York, New York

*PSC-50-08-00018-P . . . . . . . . . . . . exempt Market Supply Charge A study on the implementation of a revisedMarket Supply Charge

*PSC-51-08-00006-P . . . . . . . . . . . . exempt Commission’s October 27, 2008 Order onFuture of Retail Access Programs in Case07-M-0458

To consider a Petition for rehearing of theCommission’s October 27, 2008 Order in Case07-M-0458

*PSC-51-08-00007-P . . . . . . . . . . . . exempt Commission’s October 27, 2008 Order inCases 98-M-1343, 07-M-1514 and 08-G-0078

To consider Petitions for rehearing of theCommission’s October 27, 2008 Order inCases 98-M-1343, 07-M-1514 and 08-G-0078

*PSC-53-08-00011-P . . . . . . . . . . . . exempt Use of deferred Rural Telephone Bank funds To determine if the purchase of a softswitch byHancock is an appropriate use of deferredRural Telephone Bank funds

*PSC-53-08-00012-P . . . . . . . . . . . . exempt Transfer of permanent and temporaryeasements at 549-555 North Little Tor Road,New City, NY

Transfer of permanent and temporaryeasements at 549-555 North Little Tor Road,New City, NY

*PSC-53-08-00013-P . . . . . . . . . . . . exempt To transfer common stock and ownership To consider transfer of common stock andownership

*PSC-01-09-00015-P . . . . . . . . . . . . exempt FCC decision to redefine service area ofCitizens/Frontier

Review and consider FCC proposedredefinition of Citizens/Frontier service area

*PSC-02-09-00010-P . . . . . . . . . . . . exempt Competitive classification of independent localexchange company, and regulatory reliefappropriate thereto

To determine if Chazy & Westport TelephoneCorporation more appropriately belongs inscenario 1 rather than scenario 2

*PSC-05-09-00008-P . . . . . . . . . . . . exempt Revenue allocation, rate design, performancemetrics, and other non-revenue requirementissues

To consider any remaining non-revenuerequirement issues related to the Company’sMay 9, 2008 tariff filing

*PSC-05-09-00009-P . . . . . . . . . . . . exempt Numerous decisions involving the steamsystem including cost allocation, energyefficiency and capital projects

To consider the long term impacts on steamrates and on public policy of various optionsconcerning the steam system

*PSC-06-09-00007-P . . . . . . . . . . . . exempt Interconnection of the networks betweenFrontier Comm. and WVT Communicationsfor local exchange service and exchangeaccess

To review the terms and conditions of thenegotiated agreement between Frontier Comm.and WVT Comm.

*PSC-07-09-00015-P . . . . . . . . . . . . exempt Transfer certain utility assets located in theTown of Montgomery from plant held forfuture use to non-utility property

To consider the request to transfer certainutility assets located in the Town ofMontgomery to non-utility assets

*PSC-07-09-00017-P . . . . . . . . . . . . exempt Request for authorization to defer theincremental costs incurred in the restorationwork resulting from the ice storm

To allow the company to defer the incrementalcosts incurred in the restoration work resultingfrom the ice storm

*PSC-07-09-00018-P . . . . . . . . . . . . exempt Whether to permit the submetering of naturalgas service to an industrial and commercialcustomer at Cooper Union, New York, NY

To consider the request of Cooper Union, tosubmeter natural gas at 41 Cooper Square,New York, New York



73


*PSC-12-09-00010-P . . . . . . . . . . . . exempt Charges for commodity To charge customers for commodity costs

*PSC-12-09-00012-P . . . . . . . . . . . . exempt Charges for commodity To charge customers for commodity costs

*PSC-13-09-00008-P . . . . . . . . . . . . exempt Options for making additional central officecodes available in the 718/347 numberingplan area

To consider options for making additionalcentral office codes available in the 718/347numbering plan area

*PSC-14-09-00014-P . . . . . . . . . . . . exempt The regulation of revenue requirements formunicipal utilities by the Public ServiceCommission

To determine whether the regulation of revenuerequirements for municipal utilities should bemodified

*PSC-16-09-00010-P . . . . . . . . . . . . exempt Petition for the submetering of electricity To consider the request of AMPS on behalf ofPark Imperial to submeter electricity at 230 W.56th Street, in New York, New York

*PSC-16-09-00020-P . . . . . . . . . . . . exempt Whether SUNY’s core accounts should beexempt from the mandatory assignment oflocal distribution company (LDC) capacity

Whether SUNY’s core accounts should beexempt from the mandatory assignment oflocal distribution company (LDC) capacity

*PSC-17-09-00010-P . . . . . . . . . . . . exempt Whether to permit the use of Elster REX2solid state electric meter for use in residentialand commerical accounts

To permit electric utilities in New York State touse the Elster REX2

*PSC-17-09-00011-P . . . . . . . . . . . . exempt Whether Brooklyn Navy Yard CogenerationPartners, L.P. should be reimbursed by ConEdison for past and future use taxes

Whether Brooklyn Navy Yard CogenerationPartners, L.P. should be reimbursed by ConEdison for past and future use taxes

*PSC-17-09-00012-P . . . . . . . . . . . . exempt Petition for the submetering of gas atcommercial property

To consider the request of Turner Construction,to submeter natural gas at 550 Short Ave., &10 South St., Governors Island, NY

*PSC-17-09-00014-P . . . . . . . . . . . . exempt Benefit-cost framework for evaluating AMIprograms prepared by the DPS Staff

To consider a benefit-cost framework forevaluating AMI programs prepared by the DPSStaff

*PSC-17-09-00015-P . . . . . . . . . . . . exempt The construction of a tower for wirelessantennas on land owned by National Grid

To approve, reject or modify the petition tobuild a tower for wireless antennas in the Townof Onondaga

*PSC-18-09-00012-P . . . . . . . . . . . . exempt Petition for rehearing of Order approving thesubmetering of electricity

To consider the request of Frank Signore torehear petition to submeter electricity at OneCity Place in White Plains, New York

*PSC-18-09-00013-P . . . . . . . . . . . . exempt Petition for the submetering of electricity To consider the request of Living Opportunitiesof DePaul to submeter electricity at E. Main St.located in Batavia, New York

*PSC-18-09-00017-P . . . . . . . . . . . . exempt Approval of an arrangement for attachment ofwireless antennas to the utility’s transmissionfacilities in the City of Yonkers

To approve, reject or modify the petition for theexisting wireless antenna attachment to theutility’s transmission tower

*PSC-20-09-00016-P . . . . . . . . . . . . exempt The recovery of, and accounting for, costsassociated with the Companies’ advancedmetering infrastructure (AMI) pilots etc

To consider a filing of the Companies as to therecovery of, and accounting for, costsassociated with it’s AMI pilots etc

*PSC-20-09-00017-P . . . . . . . . . . . . exempt The recovery of, and accounting for, costsassociated with CHG&E’s AMI pilot program

To consider a filing of CHG&E as to therecovery of, and accounting for, costsassociated with it’s AMI pilot program



74


*PSC-22-09-00011-P . . . . . . . . . . . . exempt Cost allocation for Consolidated Edison’s EastRiver Repowering Project

To determine whether any changes arewarranted in the cost allocation of ConsolidatedEdison’s East River Repowering Project

*PSC-25-09-00005-P . . . . . . . . . . . . exempt Whether to grant, deny, or modify, in whole orin part, the petition

Whether to grant, deny, or modify, in whole orin part, the petition

*PSC-25-09-00006-P . . . . . . . . . . . . exempt Electric utility implementation plans forproposed web based SIR application processand project status database

To determine if the proposed web based SIRsystems are adequate and meet requirementsneeded for implementation

*PSC-25-09-00007-P . . . . . . . . . . . . exempt Electric rates for Consolidated EdisonCompany of New York, Inc

Consider a Petition for Rehearing filed byConsolidated Edison Company of New York,Inc

*PSC-27-09-00011-P . . . . . . . . . . . . exempt Interconnection of the networks betweenVernon and tw telecom of new york I.p. forlocal exchange service and exchange access.

To review the terms and conditions of thenegotiated agreement between Vernon and twtelecom of new york I.p.

*PSC-27-09-00014-P . . . . . . . . . . . . exempt Billing and payment for energy efficiencymeasures through utility bill

To promote energy conservation

*PSC-27-09-00015-P . . . . . . . . . . . . exempt Interconnection of the networks betweenOriskany and tw telecom of new york l.p. forlocal exchange service and exchange access

To review the terms and conditions of thenegotiated agreement between Oriskany andtw telecom of new york l.p

*PSC-29-09-00011-P . . . . . . . . . . . . exempt Consideration of utility compliance filings Consideration of utility compliance filings

*PSC-32-09-00009-P . . . . . . . . . . . . exempt Cost allocation for Consolidated Edison’s EastRiver Repowering Project

To determine whether any changes arewarranted in the cost allocation of ConsolidatedEdison’s East River Repowering Project

*PSC-34-09-00016-P . . . . . . . . . . . . exempt Recommendations made in the ManagementAudit Final Report

To consider whether to take action orrecommendations contained in theManagement Audit Final Report

*PSC-34-09-00017-P . . . . . . . . . . . . exempt To consider the transfer of control ofPlattsburgh Cablevision, Inc. d/b/a CharterCommunications to CH Communications, LLC

To allow the Plattsburgh Cablevision, Inc. todistribute its equity interest in CHCommunications, LLC

*PSC-36-09-00008-P . . . . . . . . . . . . exempt The increase in the non-bypassable chargeimplemented by RG&E on June 1, 2009

Considering exemptions from the increase inthe non-bypassable charge implemented byRG&E on June 1, 2009

*PSC-37-09-00015-P . . . . . . . . . . . . exempt Sale of customer-generated steam to the ConEdison steam system

To establish a mechanism for sale of customer-generated steam to the Con Edison steamsystem

*PSC-37-09-00016-P . . . . . . . . . . . . exempt Applicability of electronic signatures toDeferred Payment Agreements

To determine whether electronic signatures canbe accepted for Deferred Payment Agreements

*PSC-39-09-00015-P . . . . . . . . . . . . exempt Modifications to the $5 Bill Credit Program Consideration of petition of National Grid tomodify the Low Income $5 Bill Credit Program

*PSC-39-09-00018-P . . . . . . . . . . . . exempt The offset of deferral balances with PositiveBenefit Adjustments

To consider a petition to offset deferralbalances with Positive Benefit Adjustments

*PSC-40-09-00013-P . . . . . . . . . . . . exempt Uniform System of Accounts - request fordeferral and amortization of costs

To consider a petition to defer and amortizecosts



75


*PSC-51-09-00029-P . . . . . . . . . . . . exempt Rules and guidelines for the exchange ofretail access data between jurisdictionalutilities and eligible ESCOs

To revise the uniform Electronic DataInterchange Standards and business practicesto incorporate a contest period

*PSC-51-09-00030-P . . . . . . . . . . . . exempt Waiver or modification of Capital Expenditurecondition of merger

To allow the companies to expend less fundsfor capital improvement than required by themerger

*PSC-52-09-00006-P . . . . . . . . . . . . exempt ACE’s petition for rehearing for an orderregarding generator-specific energydeliverability study methodology

To consider whether to change the OrderPrescribing Study Methodology

*PSC-52-09-00008-P . . . . . . . . . . . . exempt Approval for the New York IndependentSystem Operator, Inc. to incur indebtednessand borrow up to $50,000,000

To finance the renovation and construction ofthe New York Independent System Operator,Inc.’s power control center facilities

*PSC-05-10-00008-P . . . . . . . . . . . . exempt Petition for the submetering of electricity To consider the request of UniversityResidences - Rochester, LLC to submeterelectricity at 220 John Street, Henrietta, NY

*PSC-05-10-00015-P . . . . . . . . . . . . exempt Petition for the submetering of electricity To consider the request of 243 West EndAvenue Owners Corp. to submeter electricity at243 West End Avenue, New York, NY

*PSC-06-10-00022-P . . . . . . . . . . . . exempt The Commission’s Order of December 17,2009 related to redevelopment ofConsolidated Edison’s Hudson Avenuegenerating facility

To reconsider the Commission’s Order ofDecember 17, 2009 related to redevelopmentof the Hudson Avenue generating facility

*PSC-07-10-00009-P . . . . . . . . . . . . exempt Petition to revise the Uniform BusinessPractices

To consider the RESA petition to allowrescission of a customer request to return tofull utility service

*PSC-08-10-00007-P . . . . . . . . . . . . exempt Whether to grant, deny, or modify , in wholeor in part, the rehearing petition filed in Case06-E-0847

Whether to grant, deny, or modify , in whole orin part, the rehearing petition filed in Case06-E-0847

*PSC-08-10-00009-P . . . . . . . . . . . . exempt Consolidated Edison of New York, Inc. energyefficiency programs

To modify approved energy efficiency programs

*PSC-12-10-00015-P . . . . . . . . . . . . exempt Recommendations made by Staff intended toenhance the safety of Con Edison’s gasoperations

To require that Con Edison implement the Staffrecommendations intended to enhance thesafety of Con Edison’s gas operations

*PSC-14-10-00010-P . . . . . . . . . . . . exempt Petition for the submetering of electricity To consider the request of 61 Jane StreetOwners Corporation to submeter Electricity at61 Jane Street, Manhattan, NY

*PSC-16-10-00005-P . . . . . . . . . . . . exempt To consider adopting and expanding mobilestray voltage testing requirements

Adopt additional mobile stray voltage testingrequirements

*PSC-16-10-00007-P . . . . . . . . . . . . exempt Interconnection of the networks between TDSTelecom and PAETEC Communications forlocal exchange service and exchange access

To review the terms and conditions of thenegotiated agreement between TDS Telecomand PAETEC Communications

*PSC-16-10-00015-P . . . . . . . . . . . . exempt Interconnection of the networks betweenFrontier and Choice One Communications forlocal exchange service and exchange access

To review the terms and conditions of thenegotiated agreement between Frontier andChoice One Communications

*PSC-18-10-00009-P . . . . . . . . . . . . exempt Electric utility transmission right-of-waymanagement practices

To consider electric utility transmission right-of-way management practices



76


*PSC-19-10-00022-P . . . . . . . . . . . . exempt Whether National Grid should be permitted totransfer a parcel of property located at 1 EddyStreet, Fort Edward, New York

To decide whether to approve National Grid’srequest to transfer a parcel of vacant propertyin Fort Edward, New York

*PSC-22-10-00006-P . . . . . . . . . . . . exempt Requirement that Noble demonstrate that itsaffiliated electric corporations operating inNew York are providing safe service

Consider requiring that Noble demonstrate thatits affiliated electric corporations in New Yorkare providing safe service

*PSC-22-10-00008-P . . . . . . . . . . . . exempt Petition for the submetering of electricity To consider the request of 48-52 FranklinStreet to submeter electricity at 50 FranklinStreet, New York, New York

*PSC-24-10-00009-P . . . . . . . . . . . . exempt Verizon New York Inc. tariff regulationsrelating to voice messaging service

To remove tariff regulations relating to retailvoice messaging service from Verizon NewYork Inc.’s tariff

*PSC-25-10-00012-P . . . . . . . . . . . . exempt Reassignment of the 2-1-1 abbreviated dialingcode

Consideration of petition to reassign the 2-1-1abbreviated dialing code

*PSC-27-10-00016-P . . . . . . . . . . . . exempt Petition for the submetering of electricity To consider the request of 9271 Group, LLC tosubmeter electricity at 960 Busti Avenue,Buffalo, New York

*PSC-34-10-00003-P . . . . . . . . . . . . exempt The modification of Central Hudson Gas &Electric Corporation’s Enhanced PowerfulOpportunities Program

The modification of Central Hudson Gas &Electric Corporation’s Enhanced PowerfulOpportunities Program

*PSC-34-10-00005-P . . . . . . . . . . . . exempt Approval of a contract for $250,000 in tankrepairs that may be a financing

To decide whether to approve a contractbetween the parties that may be a financing of$250,000 for tank repairs

*PSC-34-10-00006-P . . . . . . . . . . . . exempt The modification of Central Hudson Gas &Electric Corporation’s Enhanced PowerfulOpportunities Program

The modification of Central Hudson Gas &Electric Corporation’s Enhanced PowerfulOpportunities Program

*PSC-36-10-00010-P . . . . . . . . . . . . exempt Central Hudson’s procedures, terms andconditions for an economic development plan

Consideration of Central Hudson’s procedures,terms and conditions for an economicdevelopment plan

*PSC-40-10-00014-P . . . . . . . . . . . . exempt Disposition of a state sales tax refund To determine how much of a state sales taxrefund should be retained by National Grid

*PSC-40-10-00021-P . . . . . . . . . . . . exempt Whether to permit the submetering of naturalgas service to a commercial customer atQuaker Crossing Mall

To permit the submetering of natural gasservice to a commercial customer at QuakerCrossing Mall

*PSC-41-10-00018-P . . . . . . . . . . . . exempt Amount of hourly interval data provided toHourly Pricing customers who have notinstalled a phone line to read meter

Allow Central Hudson to provide less than ayears worth of interval data and charge formanual meter reading for some customers

*PSC-41-10-00022-P . . . . . . . . . . . . exempt Request for waiver of the individual living unitmetering requirements at 5742 Route 5,Vernon, NY

Request for waiver of the individual living unitmetering requirements at 5742 Route 5,Vernon, NY

*PSC-42-10-00011-P . . . . . . . . . . . . exempt Petition for the submetering of electricity To consider the request of 4858 Group, LLC tosubmeter electricity at 456 Main Street, Buffalo,New York

*PSC-43-10-00016-P . . . . . . . . . . . . exempt Utility Access to Ducts, Conduit Facilities andUtility Poles

To review the complaint from OpticalCommunications Group



77


*PSC-44-10-00003-P . . . . . . . . . . . . exempt Third and fourth stage gas rate increase byCorning Natural Gas Corporation

To consider Corning Natural Gas Corporation’srequest for a third and fourth stage gas rateincrease

*PSC-51-10-00018-P . . . . . . . . . . . . exempt Commission proceeding concerning three-phase electric service by all major electricutilities

Investigate the consistency of the tariffprovisions for three-phase electric service forall major electric utilities

*PSC-11-11-00003-P . . . . . . . . . . . . exempt The proposed transfer of 55.42 acres of landand $1.4 million of revenues derived from therendition of public service

The proposed transfer of 55.42 acres of landand $1.4 million of revenues derived from therendition of public service

*PSC-13-11-00005-P . . . . . . . . . . . . exempt Exclude the minimum monthly bill componentfrom the earnings test calculation

Exclude the minimum monthly bill componentfrom the earnings test calculation

*PSC-14-11-00009-P . . . . . . . . . . . . exempt Petition for the submetering of electricity To consider the request of 83-30 118th Streetto submeter electricity at 83-30 118th Street,Kew Gardens, New York

*PSC-19-11-00007-P . . . . . . . . . . . . exempt Utility price reporting requirements related tothe Commission’s ‘‘Power to Choose’’ website

Modify the Commission’s utility electriccommodity price reporting requirements relatedto the ‘‘Power to Choose’’ website

*PSC-20-11-00012-P . . . . . . . . . . . . exempt Petition for the submetering of electricity To consider the request of KMW Group LLC tosubmeter electricity at 122 West Street,Brooklyn, New York

*PSC-20-11-00013-P . . . . . . . . . . . . exempt Determining the reasonableness of NiagaraMohawk Power Corporation d/b/a NationalGrid ‘s make ready charges

To determine if the make ready charges ofNiagara Mohawk Power Corporation d/b/aNational Grid are reasonable

*PSC-22-11-00004-P . . . . . . . . . . . . exempt Whether to permit the use of the SensusaccWAVE for use in residential gas meterapplications

To permit gas utilities in New York State to usethe Sensus accWAVE diaphragm gas meter

*PSC-26-11-00007-P . . . . . . . . . . . . exempt Water rates and charges To approve an increase in annual revenues byabout $25,266 or 50%

*PSC-26-11-00009-P . . . . . . . . . . . . exempt Petition for the submetering of electricity atcommercial property

To consider the request of by Hoosick RiverHardwoods, LLC to submeter electricity at 28Taylor Avenue, in Berlin, New York

*PSC-26-11-00012-P . . . . . . . . . . . . exempt Waiver of generation retirement noticerequirements

Consideration of waiver of generationretirement notice requirements

*PSC-29-11-00011-P . . . . . . . . . . . . exempt Petition requesting the Commssion reconsiderits May 19, 2011 Order and conduct ahearing, and petition to stay said Order.

To consider whether to grant or deny, in wholeor in part, Windstream New York’s Petition ForReconsideration and Rehearing.

*PSC-35-11-00011-P . . . . . . . . . . . . exempt Whether to permit Consolidated Edison awaiver to commission regulations Part 226.8

Permit Consolidated Edison to conduct ainspection program in lieu of testing theaccuracy of Category C meters

*PSC-36-11-00006-P . . . . . . . . . . . . exempt To consider expanding mobile stray voltagetesting requirements

Adopt additional mobile stray voltage testingrequirements

*PSC-38-11-00002-P . . . . . . . . . . . . exempt Operation and maintenance procedurespertaining to steam trap caps

Adopt modified steam operation andmaintenance procedures

*PSC-38-11-00003-P . . . . . . . . . . . . exempt Waiver of certain provisions of the electricservice tariffs of Con Edison

Consideration of waiver of certain provisions ofthe electric service tariffs of Con Edison



78


*PSC-40-11-00010-P . . . . . . . . . . . . exempt Participation of regulated local exchangecarriers in the New York Data Exchange, Inc.(NYDE)

Whether to partially modify its order requiringregulated local exchange carriers’ participationNYDE

*PSC-40-11-00012-P . . . . . . . . . . . . exempt Granting of transfer of plant in-service to aregulatory asset

To approve transfer and recovery ofunamortized plant investment

*PSC-42-11-00018-P . . . . . . . . . . . . exempt Availability of telecommunications services inNew York State at just and reasonable rates

Providing funding support to help ensureavailability of affordable telecommunicationsservice throughout New York

*PSC-43-11-00012-P . . . . . . . . . . . . exempt Transfer of outstanding shares of stock Transfer the issued outstanding shares of stockof The Meadows at Hyde Park Water-WorksCorporation to HPWS, LLC

*PSC-47-11-00007-P . . . . . . . . . . . . exempt Remedying miscalculations of delivered gasas between two customer classes

Consideration of Con Edison’s proposal toaddress inter-class delivery imbalancesresulting from past Company miscalculations

*PSC-48-11-00007-P . . . . . . . . . . . . exempt Transfer of controlling interests in generationfacilities from Dynegy to PSEG

Consideration of the transfer of controllinginterests in electric generation facilities fromDynegy to PSEG

*PSC-48-11-00008-P . . . . . . . . . . . . exempt Petition for the submetering of electricity To consider the request of To Better Days, LLCto submeter electricity at 37 East 4th Street,New York, New York

*PSC-01-12-00007-P . . . . . . . . . . . . exempt The New York State Reliability Council’srevisions to its rules and measurements

To adopt revisions to various rules andmeasurements of the New York StateReliability Council

*PSC-01-12-00008-P . . . . . . . . . . . . exempt Transfer of real property and easements fromNMPNS to NMP3

Consideration of the transfer of real propertyand easements from NMPNS to NMP3

*PSC-01-12-00009-P . . . . . . . . . . . . exempt Recovery of expenses related to theexpansion of Con Edison’s ESCO referralprogram, PowerMove

To determine how and to what extent expensesrelated to the Expansion of Con Edison’sESCO referral program should be recovered

*PSC-11-12-00002-P . . . . . . . . . . . . exempt Whether to grant, deny or modify, in whole orpart, Hegeman’s petition for a waiver ofCommission policy and Con Edison tariff

Whether to grant, deny or modify, in whole orpart, Hegeman’s petition for a waiver ofCommission policy and Con Edison tariff

*PSC-11-12-00005-P . . . . . . . . . . . . exempt Transfer of land and water supply assets Transfer the land and associated water supplyassets of Groman Shores, LLC to RobertGroman

*PSC-13-12-00005-P . . . . . . . . . . . . exempt Authorization to transfer certain real property To decide whether to approve the transfer ofcertain real property

*PSC-19-12-00023-P . . . . . . . . . . . . exempt Petition for approval pursuant to Section 70for the sale of goods with an original cost ofless than $100,000

To consider whether to grant, deny or modify,in whole or in part, the petition filed by Orangeand Rockland Utilities, Inc.

*PSC-21-12-00006-P . . . . . . . . . . . . exempt Tariff filing requirements and refunds To determine if certain agreements should befiled pursuant to the Public Service Law and ifrefunds are warranted

*PSC-21-12-00011-P . . . . . . . . . . . . exempt Whether to grant, deny or modify, in whole orpart, the petition for waiver of tariff Rules 8.6and 47

Whether to grant, deny or modify, in whole orpart, the petition for waiver of tariff Rules 8.6and 47



79


*PSC-23-12-00007-P . . . . . . . . . . . . exempt The approval of a financing upon a transfer toAlliance of upstream ownership interests in ageneration facility

To consider the approval of a financing upon atransfer to Alliance of upstream ownershipinterests in a generation facility

*PSC-23-12-00009-P . . . . . . . . . . . . exempt Over earnings sharing between rate payersand shareholders

To establish an Earnings Sharing Mechanismto be applied following the conclusion ofCorning’s rate plan

*PSC-27-12-00012-P . . . . . . . . . . . . exempt Implementation of recommendations made ina Management Audit Report

To consider implementation ofrecommendations made in a ManagementAudit Report

*PSC-28-12-00013-P . . . . . . . . . . . . exempt Exemption of reliability reporting statistics forthe purpose of the 2012 ReliabilityPerformance Mechanism

Consideration of Orange and Rockland Utilitiesrequest for exemption of the 2012 reliabilityreporting statistics

*PSC-29-12-00019-P . . . . . . . . . . . . exempt Waiver of 16 NYCRR 894.1 through 894.4 To allow the Town of Hamden to waive certainpreliminary franchising procedures to expeditethe franchising process.

*PSC-30-12-00010-P . . . . . . . . . . . . exempt Waiver of 16 NYCRR 894.1 through 894.4 To allow the Town of Andes to waive certainpreliminary franchising procedures to expeditethe franchising process

*PSC-33-12-00009-P . . . . . . . . . . . . exempt Telecommunications companies ability toattach to utility company poles

Consideration of Tech Valley’s ability to attachto Central Hudson poles

*PSC-37-12-00009-P . . . . . . . . . . . . exempt Proposed modification by Con Edison of itsprocedures to calculate estimated bills to itscustomers

Proposed modification by Con Edison of itsprocedures to calculate estimated bills to itscustomers

*PSC-42-12-00009-P . . . . . . . . . . . . exempt Regulation of Gipsy Trail Club, Inc.’s long-term financing agreements

To exempt Gipsy Trail Club, Inc. fromCommission regulation of its financingagreements

*PSC-45-12-00008-P . . . . . . . . . . . . exempt Whether to grant, deny or modify, in whole orpart, ESHG’s petition for a waiver ofCommission policy and RG&E tariff

Whether to grant, deny or modify, in whole orpart, ESHG’s petition for a waiver ofCommission policy and RG&E tariff

*PSC-45-12-00010-P . . . . . . . . . . . . exempt Whether to grant, deny or modify, in whole orin part the petition of Con Edison to granteasements to Millwood Fire District

Whether to grant, deny or modify, in whole orin part the petition of Con Edison to granteasements to Millwood Fire District

*PSC-50-12-00003-P . . . . . . . . . . . . exempt Affiliate standards for Corning Natural GasCorporation

To resolve issues raised by Corning NaturalGas Corporation in its petition for rehearing

*PSC-04-13-00006-P . . . . . . . . . . . . exempt Expansion of mandatory day ahead hourlypricing for customers of Orange and RocklandUtilities with demands above 100 kW

To consider the expansion of mandatory dayahead hourly pricing for customers withdemands above 100 kW

*PSC-04-13-00007-P . . . . . . . . . . . . exempt Authorization to transfer certain real property. To decide whether to approve the transfer ofcertain real property.

*PSC-06-13-00008-P . . . . . . . . . . . . exempt Verizon New York Inc.’s retail service quality To investigate Verizon New York Inc.’s retailservice quality

*PSC-08-13-00012-P . . . . . . . . . . . . exempt Filing requirements for certain Article VIIelectric facilities

To ensure that applications for certain electrictransmission facilities contain pertinentinformation



80


*PSC-08-13-00014-P . . . . . . . . . . . . exempt Uniform System of Accounts - Request forAccounting Authorization

To allow the company to defer an item ofexpense or capital beyond the end of the yearin which it was incurred

*PSC-12-13-00007-P . . . . . . . . . . . . exempt Protecting company water mains To allow the company to require certaincustomers to make changes to the electricalgrounding system at their homes

*PSC-13-13-00008-P . . . . . . . . . . . . exempt The potential waiver of 16 NYCRR255.9221(d) completion of integrityassessments for certain gas transmissionlines.

To determine whether a waiver of the timelycompletion of certain gas transmission lineintegrity assessments should be granted.

*PSC-18-13-00007-P . . . . . . . . . . . . exempt Whether Demand Energy Networks energystorage systems should be designatedtechnologies for standby rate eligibilitypurposes

Whether Demand Energy Networks energystorage systems should be designatedtechnologies for standby rate eligibilitypurposes

*PSC-21-13-00003-P . . . . . . . . . . . . exempt To consider policies that may impactconsumer acceptance and use of electricvehicles

To consider and further develop policies thatmay impact consumer acceptance and use ofelectric vehicles

*PSC-21-13-00005-P . . . . . . . . . . . . exempt To implement an abandonment of Windover’swater system

To approve the implementation ofabandonment of Windover’s water system

*PSC-21-13-00008-P . . . . . . . . . . . . exempt Rates of National Fuel Gas DistributionCorporation

To make the rates of National Fuel GasDistribution Corporation temporary, subject torefund, if they are found to be excessive

*PSC-21-13-00009-P . . . . . . . . . . . . exempt Reporting requirements for natural gas localdistribution companies

To help ensure efficient and economicexpansion of the natural gas system asappropriate

*PSC-22-13-00009-P . . . . . . . . . . . . exempt On remand from New York State courtlitigation, determine the recovery of certaindeferred amounts owed NFG by ratepayers

On remand, to determine the recovery ofcertain deferral amounts owed NFG fromratepayers

*PSC-23-13-00005-P . . . . . . . . . . . . exempt Waiver of partial payment, directory databasedistribution, service quality reporting, andservice termination regulations

Equalize regulatory treatment based on level ofcompetition and practical considerations

*PSC-25-13-00008-P . . . . . . . . . . . . exempt To deny, grant or modify, in whole or in part,Central Hudson’s rehearing request.

To deny, grant or modify, in whole or in part,Central Hudson’s rehearing request.

*PSC-25-13-00009-P . . . . . . . . . . . . exempt Provision by utilities of natural gas main andservice lines.

To help ensure efficient and economicexpansion of the natural gas system asappropriate.

*PSC-25-13-00012-P . . . . . . . . . . . . exempt To deny, grant or modify, in whole or in part,Central Hudson’s rehearing request.

To deny, grant or modify, in whole or in part,Central Hudson’s rehearing request.

*PSC-27-13-00014-P . . . . . . . . . . . . exempt Columbia Gas Transmission Corporation CostRefund

For approval for temporary waiver of tariffprovisions regarding its Columbia GasTransmission Corporation cost refund.

*PSC-28-13-00014-P . . . . . . . . . . . . exempt Provision for the recovery and allocation ofcosts of transmission projects that reducecongestion on certain interfaces

To consider the recovery and allocation ofcosts of transmission projects that reducecongestion on certain interfaces

*PSC-28-13-00016-P . . . . . . . . . . . . exempt The request of NGT for lightened regulationas a gas corporation.

To consider whether to approve, reject, ormodify the request of Niagara gas transport ofLockport, NY LLC.



81


*PSC-28-13-00017-P . . . . . . . . . . . . exempt The request by TE for waiver of regulationsrequiring that natural gas be odorized incertain gathering line segments

Consider the request by TE for waiver ofregulations that gas be odorized in certain lines

*PSC-32-13-00009-P . . . . . . . . . . . . exempt To consider the definition of ‘‘misleading ordeceptive conduct’’ in the Commission’sUniform Business Practices

To consider the definition of ‘‘misleading ordeceptive conduct’’ in the Commission’sUniform Business Practices

*PSC-32-13-00010-P . . . . . . . . . . . . exempt Permission to write off and eliminate recordkeeping for regulatory reserves for Pensionsand Other Post Retirement Benefits

To allow write off and eliminate record keepingof Pension and Other Post Retirement BenefitsReserves

*PSC-32-13-00012-P . . . . . . . . . . . . exempt To consider whether NYSEG should berequired to undertake actions to protect itsname and to minimize customer confusion

To consider whether NYSEG should berequired to undertake actions to protect itsname and to minimize customer confusion

*PSC-33-13-00027-P . . . . . . . . . . . . exempt Waive underground facility requirements fornew construction in residential subdivisions toallow for overhead electric lines.

Determine whether Chapin Lumberland, LLCsubdivision will be allowed overhead electricdistribution and service lines.

*PSC-33-13-00029-P . . . . . . . . . . . . exempt Deferral of incremental costs associated withthe restoration of steam service followingSuperstorm Sandy.

To consider a petition by Con Edison to defercertain incremental steam system restorationcosts relating to Superstorm Sandy.

*PSC-34-13-00004-P . . . . . . . . . . . . exempt Escrow account and surcharge to fundextraordinary repairs

To approve the establishment of an escrowaccount and surcharge

*PSC-42-13-00013-P . . . . . . . . . . . . exempt Failure to Provide Escrow Information The closure of the Escrow Account

*PSC-42-13-00015-P . . . . . . . . . . . . exempt Failure to Provide Escrow Information The closure of the Escrow Account

*PSC-43-13-00015-P . . . . . . . . . . . . exempt Petition for submetering of electricity To consider the request of 2701 KingsbridgeTerrace L.P. to submeter electricity at 2701Kingsbridge Terrace, Bronx, N.Y.

*PSC-45-13-00021-P . . . . . . . . . . . . exempt Investigation into effect of bifurcation of gasand electric utility service on Long Island.

To consider a Petition for an investigation intoeffect of bifurcation of gas and electric utilityservice on Long Island.

*PSC-45-13-00022-P . . . . . . . . . . . . exempt Waiver of PSC regulations, 16 NYCRRsection 88.4(a)(4)

To consider a waiver of certain regulationsrelating to the content of an application fortransmission line siting

*PSC-45-13-00023-P . . . . . . . . . . . . exempt Waiver of PSC regulations, 16 NYCRRsection 88.4(a)(4).


*PSC-45-13-00024-P . . . . . . . . . . . . exempt Waiver of PSC regulations, 16 NYCRRsection 88.4(a)(4); waiver of filing deadlines.


*PSC-45-13-00025-P . . . . . . . . . . . . exempt Waiver of PSC regulations, 16 NYCRRsection 88.4(a)(4).


*PSC-47-13-00009-P . . . . . . . . . . . . exempt Petition for submetering of electricity. To consider the request of Hegeman AvenueHousing L.P. to submeter electricity at 39Hegeman Avenue, Brooklyn, N.Y.

*PSC-47-13-00012-P . . . . . . . . . . . . exempt Conditioning,restricting or prohibiting thepurchase of services by NYSEG and RG&Efrom certain affiliates.

Consideration of conditioning,restricting orprohibiting the purchase of services by NYSEGand RG&E from certain affiliates.



82


*PSC-49-13-00008-P . . . . . . . . . . . . exempt Authorization to transfer all of Crystal WaterSupply Company, Inc. stocks to Essel InfraWest Inc.

To allow Crystal Water Supply Company, Inc totransfer all of its issued and outstanding stocksto Essel Infra West Inc.

*PSC-51-13-00009-P . . . . . . . . . . . . exempt Consolidated Edison proposing to use datafrom a test period ending September 30,2013 to support its next rate filing.

To ensure there is a reasonable basis for datasubmitted in support of a request for a changein rates.





*PSC-52-13-00012-P . . . . . . . . . . . . exempt The development of reliability contingencyplan(s) to address the potential retirement ofIndian Point Energy Center (IPEC).

To address the petition for rehearing andreconsideration/motion for clarification of theIPEC reliability contingency plan(s).

*PSC-52-13-00015-P . . . . . . . . . . . . exempt To enter into a loan agreement with the banksfor up to an amount of $94,000.

To consider allowing Knolls Water Company toenter into a long-term loan agreement.

*PSC-05-14-00010-P . . . . . . . . . . . . exempt The New York State Reliability Council’srevisions to its rules and measurements

To adopt revisions to various rules andmeasurements of the New York StateReliability Council

*PSC-07-14-00008-P . . . . . . . . . . . . exempt Petition for submetering of electricity To consider the request of Greater CentennialHomes HDFC, Inc. to submeter electricity at102, 103 and 106 W 5th Street, et al.

*PSC-07-14-00012-P . . . . . . . . . . . . exempt Water rates and charges Implementation of Long-Term Water SupplySurcharge to recover costs associated with theHaverstraw Water Supply Project

*PSC-08-14-00015-P . . . . . . . . . . . . exempt Verizon New York Inc.’s service quality andCustomer Trouble Report Rate (CTRR) levelsat certain central office entities

To improve Verizon New York Inc.’s servicequality andthe Customer Trouble Report Ratelevels at certain central office entities

*PSC-10-14-00006-P . . . . . . . . . . . . exempt Actions to facilitate the availability of ESCOvalue-added offerings, ESCO eligibility andESCO compliance

To facilitate ESCO value-added offerings and tomake changes to ESCO eligibility and toensure ESCO compliance

*PSC-11-14-00003-P . . . . . . . . . . . . exempt Provision for the recovery and allocation ofcosts of transmission projects that reducecongestion on certain interfaces

To consider the recovery and allocation ofcosts of transmission projects that reducecongestion on certain interfaces

*PSC-16-14-00014-P . . . . . . . . . . . . exempt Whether to order NYSEG to provide gasservice to customers when an expandedCPCN is approved and impose PSL 25-apenalties.

To order gas service to customers in the Townof Plattsburgh after approval of a town wideCPCN and to impose penalties.

*PSC-16-14-00015-P . . . . . . . . . . . . exempt Whether Central Hudson should be permittedto defer obligations of the Order issued onOctober 18, 2013 in Case 13-G-0336.

Consideration of the petition by Central Hudsonto defer reporting obligations of the October 18,2013 Order in Case 13-G-0336

*PSC-17-14-00003-P . . . . . . . . . . . . exempt Con Edison’s Report on its 2013 performanceunder the Electric Service ReliabilityPerformance Mechanism

Con Edison’s Report on its 2013 performanceunder the Electric Service ReliabilityPerformance Mechanism

*PSC-17-14-00004-P . . . . . . . . . . . . exempt To consider certain portions of petitions forrehearing, reconsideration and/or clarification

To consider certain portions of petitions forrehearing, reconsideration and/or clarification



83


*PSC-17-14-00007-P . . . . . . . . . . . . exempt To consider petitions for rehearing,reconsideration and/or clarification

To consider petitions for rehearing,reconsideration and/or clarification

*PSC-17-14-00008-P . . . . . . . . . . . . exempt To consider certain portions of petitions forrehearing, reconsideration and/or clarification

To consider certain portions of petitions forrehearing, reconsideration and/or clarification

*PSC-19-14-00014-P . . . . . . . . . . . . exempt Market Supply Charge To make tariff revisions to the Market SupplyCharge for capacity related costs

*PSC-19-14-00015-P . . . . . . . . . . . . exempt Whether to permit the use of the SensusaccuWAVE for use in residential andcommercial gas meter applications

To permit gas utilities in New York State to usethe Sensus accuWAVE 415TC gas meter

*PSC-22-14-00013-P . . . . . . . . . . . . exempt Petition to transfer and merge systems,franchises and assets.

To consider the Comcast and Time WarnerCable merger and transfer of systems,franchises and assets.

*PSC-23-14-00010-P . . . . . . . . . . . . exempt Whether to permit the use of the GE DresserSeries B3-HPC 11M-1480 rotary gas met foruse in industrial gas meter applications

To permit gas utilities in New York State to usethe GE Dresser Series B3-HPC 11M-1480rotary gas meter

*PSC-23-14-00014-P . . . . . . . . . . . . exempt Waiver of the negative revenue adjustmentassociated with KEDLI’s 2013 CustomerSatisfaction Performance Metric

Consideration of KEDLI’s waiver requestpertaining to its 2013 performance under itsCustomer Satisfaction Metric

*PSC-24-14-00005-P . . . . . . . . . . . . exempt To examine LDC’s performance andperformance measures.

To improve gas safety performance.

*PSC-26-14-00013-P . . . . . . . . . . . . exempt Waiver of RG&E’s tariffed definition ofemergency generator.

To consider waiver of RG&E’s tariffed definitionof emergency generator.

*PSC-26-14-00020-P . . . . . . . . . . . . exempt New electric utility backup service tariffs andstandards for interconnection may beadopted.

To encourage development of microgrids thatenhance the efficiency, safety, reliability andresiliency of the electric grid.

*PSC-26-14-00021-P . . . . . . . . . . . . exempt Consumer protections, standards andprotocols pertaining to access to customerdata may be established.

To balance the need for the informationnecessary to support a robust market withcustomer privacy concerns.

*PSC-28-14-00014-P . . . . . . . . . . . . exempt Petition to transfer systems, franchises andassets.

To consider the Comcast and Charter transferof systems, franchise and assets.

*PSC-30-14-00023-P . . . . . . . . . . . . exempt Whether to permit the use of the SensusiPERL Fire Flow Meter.

Pursuant to 16 NYCRR Part 500.3 , it isnecessary to permit the use of the SensusiPERL Fire Flow Meter.

*PSC-30-14-00026-P . . . . . . . . . . . . exempt Petition for a waiver to master meterelectricity.

Considering the request of RenaissanceCorporation of to master meter electricity at100 Union Drive,Albany, NY.

*PSC-31-14-00004-P . . . . . . . . . . . . exempt To transfer 100% of the issued andoutstanding stock from Vincent Cross toBonnie and Michael Cross

To transfer 100% of the issued and outstandingstock from Vincent Cross to Bonnie andMichael Cross

*PSC-32-14-00012-P . . . . . . . . . . . . exempt Whether to grant or deny, in whole or in part,the Connect New York Coalition’s petition

To consider the Connect New York Coalition’spetition seeking a formal investigation andhearings

*PSC-35-14-00004-P . . . . . . . . . . . . exempt Regulation of a proposed electricitygeneration facility located in the Town ofBrookhaven, NY

To consider regulation of a proposed electricitygeneration facility located in the Town ofBrookhaven, NY



84


*PSC-35-14-00005-P . . . . . . . . . . . . exempt Whether to permit the use of the SensusiConA electric meter

Pursuant to 16 NYCRR Parts 92 and 93,Commission approval is necessary to permitthe use of the Sensus iConA electric meter

*PSC-36-14-00009-P . . . . . . . . . . . . exempt Modification to the Commission’s ElectricSafety Standards.

To consider revisions to the Commission’sElectric Safety Standards.

*PSC-38-14-00003-P . . . . . . . . . . . . exempt Whether to approve, reject or modify, in wholeor in part a time-sensitive rate pilot program.

Whether to approve, reject or modify, in wholeor in part a time-sensitive rate pilot program.

*PSC-38-14-00004-P . . . . . . . . . . . . exempt The study and petition of Con Edisonregarding use, accounting and ratemakingtreatment for 11-23 and 2-28 Hudson Ave.Brooklyn.

The study and petition of Con Edison regardinguse, accounting and ratemaking treatment for11-23 and 2-28 Hudson Ave. Brooklyn.

*PSC-38-14-00005-P . . . . . . . . . . . . exempt Action on the report and petition of ConEdison regarding the Storm Hardening andResiliency Collaborative, Phase 2.

Action on the report and petition of Con Edisonregarding the Storm Hardening and ResiliencyCollaborative, Phase 2.

*PSC-38-14-00007-P . . . . . . . . . . . . exempt Whether to expand Con Edison’s low incomeprogram to include Medicaid recipients.

Whether to expand Con Edison’s low incomeprogram to include Medicaid recipients.

*PSC-38-14-00008-P . . . . . . . . . . . . exempt The study and petition of Con Edisonregarding use, accounting and ratemakingtreatment for 11-23 and 2-28 Hudson Ave.Brooklyn.

The study and petition of Con Edison regardinguse, accounting and ratemaking treatment for11-23 and 2-28 Hudson Ave. Brooklyn.

*PSC-38-14-00010-P . . . . . . . . . . . . exempt Inter-carrier telephone service qualitystandard and metrics and administrativechanges.

To review recommendations from the CarrierWorking Group and incorporate appropriatemodifications to the existing Guidelines.

*PSC-38-14-00012-P . . . . . . . . . . . . exempt Action on the report and petition of ConEdison regarding the Storm Hardening andResiliency Collaborative, Phase 2.

Action on the report and petition of Con Edisonregarding the Storm Hardening and ResiliencyCollaborative, Phase 2.

*PSC-39-14-00020-P . . . . . . . . . . . . exempt Whether to permit the use of the MuellerSystems 400 Series and 500 Series of watermeters

Pursuant to 16 NYCRR section 500.3, whetherto permit the use of the Mueller Systems 400,and 500 Series of water meters

*PSC-40-14-00008-P . . . . . . . . . . . . exempt To consider granting authorization for BuyEnergy Direct to resume marketing toresidential customers.

To consider granting authorization for BuyEnergy Direct to resume marketing toresidential customers.

*PSC-40-14-00009-P . . . . . . . . . . . . exempt Whether to permit the use of the Itron OpenWay Centron Meter with Hardware 3.1 forAMR and AMI functionality.

Pursuant to 16 NYCRR Parts 93, is necessaryto permit the use of the Itron Open WayCentron Meter with Hardware 3.1.

*PSC-40-14-00011-P . . . . . . . . . . . . exempt Late Payment Charge. To modify Section 7.6 - Late Payment Chargeto designate a specific time for when a latepayment charge is due.

*PSC-40-14-00013-P . . . . . . . . . . . . exempt Regulation of a proposed natural gas pipelineand related facilities located in the Town ofTiconderoga, NY.

To consider regulation of a proposed naturalgas pipeline and related facilities located in theTown of Ticonderoga, NY.

*PSC-40-14-00014-P . . . . . . . . . . . . exempt Waiver of 16 NYCRR Sections 894.1 through894.4(b)(2)

To allow the Town of Goshen, NY, to waivecertain preliminary franchising procedures toexpedite the franchising process.

*PSC-40-14-00015-P . . . . . . . . . . . . exempt Late Payment Charge. To modify Section 6.6 - Late Payment Chargeto designate a specific time for when a latepayment charge is due.



85


*PSC-42-14-00003-P . . . . . . . . . . . . exempt Annual Reconciliation of Gas Expenses andGas Cost Recoveries

The filings of various LDCs and municipalitiesregarding their Annual Reconciliation of GasExpenses and Gas Cost Recoveries

*PSC-42-14-00004-P . . . . . . . . . . . . exempt Winter Bundled Sales Service Option To modify SC-11 to remove language relatingto fixed storage charges in the determination ofthe Winter Bundled Sales charge

*PSC-48-14-00014-P . . . . . . . . . . . . exempt Considering the recommendations containedin Staff’ s electric outage investigation reportfor MNRR, New Haven Line.

To consider the recommendations contained inStaff’s electric outage investigation report forMNRR, New Haven Line.

*PSC-52-14-00019-P . . . . . . . . . . . . exempt Petition for a waiver to master meterelectricity.

Considering the request of 614 South CrouseAvenue, LLC to master meter electricity at 614South Crouse Avenue, Syracuse, NY..

*PSC-01-15-00014-P . . . . . . . . . . . . exempt State Universal Service Fund Disbursements To consider Edwards Telephone Company’srequest for State Universal Service Funddisbursements

*PSC-08-15-00009-P . . . . . . . . . . . . exempt Approval of a surcharge. To allow or disallow Emerald Green LakeLouise Marie Water Company, Inc. for asurcharge.

*PSC-08-15-00010-P . . . . . . . . . . . . exempt Request pertaining to the lawfulness ofNational Grid USA continuing its summarybilling program.

To grant, deny, or modify URAC RateConsultants’ request that National Grid ceaseits summary billing program.

*PSC-10-15-00007-P . . . . . . . . . . . . exempt Notification concerning tax refunds To consider Verizon New York Inc.’s partialrehearing or reconsideration request regardingretention of property tax refunds

*PSC-10-15-00008-P . . . . . . . . . . . . exempt Whether to waive Policy on Test Periods inMajor Rate Proceedings and provide authorityto file tariff changes

Whether to waive Policy on Test Periods inMajor Rate Proceedings and provide authorityto file tariff changes

*PSC-13-15-00024-P . . . . . . . . . . . . exempt Whether Leatherstocking should be permittedto recover a shortfall in earnings

To decide whether to approveLeatherstocking’s request to recover a shortfallin earnings

*PSC-13-15-00026-P . . . . . . . . . . . . exempt Whether to permit the use of the SensusSmart Point Gas AMR/AMI product

To permit the use of the Sensus Smart PointGas AMR/AMI product

*PSC-13-15-00027-P . . . . . . . . . . . . exempt Whether to permit the use of the MeasurlogicDTS 310 electric submeter

To permit the use of the Measurlogic DTS 310submeter

*PSC-13-15-00028-P . . . . . . . . . . . . exempt Whether to permit the use of the SATECEM920 electric meter

To permit necessary to permit the use of theSATEC EM920 electric meter

*PSC-13-15-00029-P . . . . . . . . . . . . exempt Whether to permit the use the Triacta PowerTechnologies 6103, 6112, 6303, and 6312electric submeters

To permit the use of the Triacta submeters

*PSC-17-15-00007-P . . . . . . . . . . . . exempt To consider the petition of LeatherstockingGas Company, LLC seeking authority to issuelong-term debt of $2.75 million

To consider the petition of Leatherstocking GasCompany, LLC seeking authority to issue long-term debt of $2.75 million

*PSC-18-15-00005-P . . . . . . . . . . . . exempt Con Edison’s Report on its 2014 performanceunder the Electric Service ReliabilityPerformance Mechanism

Con Edison’s Report on its 2014 performanceunder the Electric Service ReliabilityPerformance Mechanism



86


*PSC-19-15-00011-P . . . . . . . . . . . . exempt Gas Safety Performance Measures andassociated negative revenue adjustments

To update the performance measuresapplicable to KeySpan Gas East Corporationd/b/a National Grid

*PSC-22-15-00015-P . . . . . . . . . . . . exempt To consider the request for waiver of theindividual residential unit meter requirementsand 16 NYCRR 96.1(a)

To consider the request for waiver of theindividual residential unit meter requirementsand 16 NYCRR 96.1(a)

*PSC-23-15-00005-P . . . . . . . . . . . . exempt The modification of New York AmericanWater’s current rate plan

Whether to adopt the terms of the JointProposal submitted by NYAW and DPS Staff

*PSC-23-15-00006-P . . . . . . . . . . . . exempt The modification of New York AmericanWater’s current rate plan

Whether to adopt the terms of the JointProposal submitted by NYAW and DPS Staff

*PSC-25-15-00008-P . . . . . . . . . . . . exempt Notice of Intent to Submeter electricity. To consider the request of 165 E 66Residences, LLC to submeter electricity at 165East 66th Street, New York, New York.

*PSC-29-15-00018-P . . . . . . . . . . . . exempt Approval of ratemaking related to amendmenta certificate of public convenience andnecessity

To approve or reject the ratemaking aspects ofSLG’s petition to amend its certificate of publicconvenience and necessity

*PSC-29-15-00025-P . . . . . . . . . . . . exempt Joint Petition for authority to transfer realproperty located at 624 West 132nd Street,New York, NY

Whether to authorize the proposed transfer ofreal property located at 624 West 132nd Street,New York, NY

*PSC-32-15-00006-P . . . . . . . . . . . . exempt Development of a Community SolarDemonstration Project.

To approve the development of a CommunitySolar Demonstration Project.

*PSC-33-15-00009-P . . . . . . . . . . . . exempt Remote net metering of a demonstrationcommunity net metering program.

To consider approval of remote net metering ofa demonstration community net meteringprogram.

*PSC-33-15-00012-P . . . . . . . . . . . . exempt Remote net metering of a Community SolarDemonstration Project.

To consider approval of remote net metering ofa Community Solar Demonstration Project.

*PSC-34-15-00021-P . . . . . . . . . . . . exempt Petition by NYCOM requesting assistancewith obtaining information on CLECs andESCOs

To consider the petition by NYCOM requestingassistance with obtaining information onCLECs and ESCOs

*PSC-35-15-00014-P . . . . . . . . . . . . exempt Consideration of consequences against LightPower & Gas, LLC for violations of the UBP

To consider consequences against Light Power& Gas, LLC for violations of the UBP

*PSC-37-15-00007-P . . . . . . . . . . . . exempt Submetered electricity To consider the request of 89 Murray StreetAss. LLC, for clarification of the submeteringorder issued December 20, 2007

*PSC-40-15-00014-P . . . . . . . . . . . . exempt Whether to permit the use of the Open Way3.5 with cellular communications

To consider the use of the Open Way 3.5electric meter, pursuant to 16 NYCRR Parts 92and 93

*PSC-42-15-00006-P . . . . . . . . . . . . exempt Deferral of incremental expenses associatedwith NERC’s new Bulk Electric System (BES)compliance requirements approved by FERC.

Consideration of Central Hudson’s request todefer incremental expenses associated withnew BES compliance requirements.

*PSC-44-15-00028-P . . . . . . . . . . . . exempt Deferral of incremental expenses associatedwith new compliance requirements

Consideration of Central Hudson’s request todefer incremental expenses associated withnew compliance requirements

*PSC-47-15-00013-P . . . . . . . . . . . . exempt Whitepaper on Implementing LightenedRatemaking Regulation.

Consider Whitepaper on ImplementingLightened Ratemaking Regulation.



87


*PSC-48-15-00010-P . . . . . . . . . . . . exempt Lightened and incidental regulation of a 55MW electric and steam generating facility.

Consider the lightened and incidentalregulation of a 55 MW electric and steamgenerating facility.

*PSC-48-15-00011-P . . . . . . . . . . . . exempt Proposal to retire Huntley Units 67 and 68 onMarch 1, 2016.

Consider the proposed retirement of HuntleyUnits 67 and 68.

*PSC-50-15-00006-P . . . . . . . . . . . . exempt The reduction of rates. To consider the reduction of rates charged byIndependent Water Works, Inc.

*PSC-50-15-00009-P . . . . . . . . . . . . exempt Notice of Intent to submeter electricity. To consider the request to submeter electricityat 31-33 Lincoln Road and 510 FlatbushAvenue, Brooklyn, New York.

*PSC-51-15-00010-P . . . . . . . . . . . . exempt Modification of the EDP To consider modifying the EDP

*PSC-01-16-00005-P . . . . . . . . . . . . exempt Proposed amendment to Section 5,Attachment 1.A of the Uniform BusinessPractices

To consider amendment to Section 5,Attachment 1.A of the Uniform BusinessPractices

*PSC-04-16-00007-P . . . . . . . . . . . . exempt Whether Hamilton Municipal Utilities shouldbe permitted to construct and operate amunicipal gas distribution facility.

Consideration of the petition by HamiltonMunicipal Utilities to construct and operate amunicipal gas distribution facility.

*PSC-04-16-00012-P . . . . . . . . . . . . exempt Proposal to mothball three gas turbineslocated at the Astoria Gas Turbine GeneratingStation.

Consider the proposed mothball of three gasturbines located at the Astoria Gas TurbineGenerating Station.

*PSC-04-16-00013-P . . . . . . . . . . . . exempt Proposal to find that three gas turbineslocated at the Astoria Gas Turbine GeneratingStation are uneconomic.

Consider whether three gas turbines located atthe Astoria Gas Turbine Generating Station areuneconomic.

*PSC-06-16-00012-P . . . . . . . . . . . . exempt Inclusion of a Farm and Food Communityprogram in the community distributedgeneration program.

To consider the inclusion of a Farm and FoodCommunity program in the communitydistributed generation program.

*PSC-06-16-00013-P . . . . . . . . . . . . exempt Continued deferral of approximately$16,000,000 in site investigation andremediation costs.

To consider the continued deferral ofapproximately $16,000,000 in site investigationand remediation costs.

*PSC-06-16-00014-P . . . . . . . . . . . . exempt MEGA’s proposed demonstration CCAprogram.

To consider MEGA’s proposed demonstrationCCA program.

*PSC-14-16-00008-P . . . . . . . . . . . . exempt Resetting retail markets for ESCO massmarket customers.

To ensure consumer protections with respect toresidential and small non-residential ESCOcustomers.

*PSC-15-16-00012-P . . . . . . . . . . . . exempt Adequate service of Verizon New York, Inc. To consider the adequacy of Verizon New YorkInc.’s service quality

*PSC-18-16-00013-P . . . . . . . . . . . . exempt Amendments to the Uniform BusinessPractices of ESCOs.

To ensure consumer protection for ESCOcustomers.



*PSC-18-16-00015-P . . . . . . . . . . . . exempt Petitions for rehearing of the Order ResettingRetail Energy Markets and EstablishingFurther Process.

To ensure consumer protections for ESCOcustomers.



88






*PSC-20-16-00008-P . . . . . . . . . . . . exempt Consideration of consequences againstGlobal Energy Group, LLC for violations ofthe Uniform Business Practices (UBP).

To consider consequences against GlobalEnergy Group, LLC for violations of theUniform Business Practices (UBP).

*PSC-20-16-00010-P . . . . . . . . . . . . exempt Deferral and recovery of incrementalexpense.

To consider deferring costs of conducting leaksurvey and repairs for subsequent recovery.

*PSC-20-16-00011-P . . . . . . . . . . . . exempt Enetics LD-1120 Non-Intrusive LoadMonitoring Device in the StatewideResidential Appliance Metering Study.

To consider the use of the Enetics LD-1120Non-Intrusive Load Monitoring Device.

*PSC-24-16-00009-P . . . . . . . . . . . . exempt Petition to submeter gas service. To consider the Petition of New York CityEconomic Development Corp. to submeter gasat Pier 17, 89 South Street, New York, NY.

*PSC-25-16-00009-P . . . . . . . . . . . . exempt To delay Companies’ third-party assessmentsof customer personally identifiable informationuntil 2018.

To extend the time period between theCompanies’ third-party assessments ofcustomer personally identifiable information.

*PSC-25-16-00024-P . . . . . . . . . . . . exempt Pole Attachment Rules. To determine that the Commission’s existingpole attachment rules apply to wirelessproviders.

*PSC-25-16-00025-P . . . . . . . . . . . . exempt Acquisition of all water supply assets ofWoodbury Heights Estates Water Co., Inc. bythe Village of Kiryas Joel.

To consider acquisition of all water supplyassets of Woodbury Heights Estates WaterCo., Inc. by the Village of Kiryas Joel.

*PSC-25-16-00026-P . . . . . . . . . . . . exempt Use of the Badger E Series Ultrasonic ColdWater Stainless Steel Meter, in residential fireservice applications.

To consider the use of the Badger E SeriesUltrasonic Cold Water Stainless Steel Meter infire service applications.

*PSC-28-16-00017-P . . . . . . . . . . . . exempt A petition for rehearing of the Order Adoptinga Ratemaking and Utility Revenue ModelPolicy Framework.

To determine appropriate rules for andcalculation of the distributed generationreliability credit.

*PSC-29-16-00024-P . . . . . . . . . . . . exempt Participation of NYPA customers insurcharge-funded clean energy programs.

To consider participation of NYPA customers insurcharge-funded clean energy programs.

*PSC-32-16-00012-P . . . . . . . . . . . . exempt Benefit-Cost Analysis Handbooks. To evaluate proposed methodologies of benefit-cost evaluation.

*PSC-33-16-00001-EP . . . . . . . . . . . . exempt Use of escrow funds for repairs. To authorize the use of escrow account fundsfor repairs.

*PSC-33-16-00005-P . . . . . . . . . . . . exempt Exemption from certain charges for delivery ofelectricity to its Niagara Falls, New Yorkfacility.

Application of System Benefits Charges,Renewable Portfolio Standard charges andClean Energy Fund surcharges.

*PSC-35-16-00015-P . . . . . . . . . . . . exempt NYSRC’s revisions to its rules andmeasurements

To consider revisions to various rules andmeasurements of the NYSRC

*PSC-36-16-00004-P . . . . . . . . . . . . exempt Recovery of costs for installation of electricservice.

To consider the recovery of costs forinstallation of electric service.



89


*PSC-40-16-00025-P . . . . . . . . . . . . exempt Consequences pursuant to the Commission’sUniform Business Practices (UBP).

To consider whether to impose consequenceson Smart One for its apparent non-compliancewith Commission requirements.

*PSC-47-16-00009-P . . . . . . . . . . . . exempt Petition to use commercial electric meters To consider the petition of Itron, Inc. to use theItron CP2SO and CP2SOA in commercialelectric meter applications

*PSC-47-16-00010-P . . . . . . . . . . . . exempt Standby Service rate design To consider the report filed and therecommendations therein




*PSC-49-16-00005-P . . . . . . . . . . . . exempt Waiver of certain rules and requirementspertaining to cable television franchise.

To determine whether to waive any regulations.

*PSC-02-17-00010-P . . . . . . . . . . . . exempt Implementation of the four EAMs. To consider the implementation of EAMs forRG&E.

*PSC-02-17-00012-P . . . . . . . . . . . . exempt Implementation of the four EAMs. To consider the implementation of EAMs forNYSEG.

*PSC-07-17-00019-P . . . . . . . . . . . . exempt Deferral and recovery of incremental costs To consider deferring costs related to watermain leak repairs for subsequent recovery

*PSC-14-17-00017-P . . . . . . . . . . . . exempt Petition for Full-Scale Deployment of AMI andto Establish an AMI Surcharge.

To consider the petition for Full-ScaleDeployment of AMI and to Establish an AMISurcharge.

*PSC-18-17-00024-P . . . . . . . . . . . . exempt A petition for rehearing or reconsideration ofthe Order Addressing Public PolicyTransmission Need for AC TransmissionUpgrades

To determine whether Public PolicyTransmission Need/Public Policy Requirementscontinue to exist.

*PSC-18-17-00026-P . . . . . . . . . . . . exempt Revisions to the Dynamic Load Managementsurcharge.

To consider revisions to the Dynamic LoadManagement surcharge.

*PSC-19-17-00004-P . . . . . . . . . . . . exempt NYAW’s request to defer and amortize, forfuture rate recognition, pension settlementpayout losses incurred in 2016.

Consideration of NYAW’s petition to defer andamortize, for future rate recognition, pensionpayour losses incurred in 2016.

PSC-20-17-00008-P . . . . . . . . . . . . exempt Compressed natural gas as a motor fuel fordiesel fueled vehicles.

To consider a report filed by National Grid NYregarding the potential for adoption ofcompressed natural gas as a motor fuel.

PSC-20-17-00010-P . . . . . . . . . . . . exempt Compressed natural gas as a motor fuel fordiesel fueled vehicles.

To consider a report filed by National Gridregarding the potential for adoption ofcompressed natural gas as a motor fuel.

PSC-21-17-00013-P . . . . . . . . . . . . exempt The establishment and implementation ofEarnings Adjustment Mechanisms.

To consider the establishment andimplementation of Earnings AdjustmentMechanisms.



90


PSC-21-17-00018-P . . . . . . . . . . . . exempt Proposed agreement for the provision ofwater service by Saratoga Water Services,Inc.

To consider a waiver and approval of terms ofa service agreement.

PSC-22-17-00004-P . . . . . . . . . . . . exempt Financial incentives to create customersavings and develop market-enabling tools,with a focus on outcomes and incentives

To consider the proposed InterconnectionSurvey Process and Earnings AdjustmentMechanisms

PSC-22-17-00007-P . . . . . . . . . . . . exempt Certain Commission requirements related toblockable central office codes

To consider a change to certain Commissionrequirements related to blockable central officecodes

PSC-23-17-00022-P . . . . . . . . . . . . exempt Changes in regulation of ESCOs, includingrestrictions on or prohibitions of marketing oroffering certain products or services.


PSC-24-17-00006-P . . . . . . . . . . . . exempt Development of the Utility Energy Registry. Improved data access.

PSC-24-17-00014-P . . . . . . . . . . . . exempt An alternative methodology for calculatingbilling adjustments.

To consider an alternative methodology forcalculating billing adjustments.

PSC-25-17-00005-P . . . . . . . . . . . . exempt Minor rate filing To consider an increase in annual revenues by$154,329 or 116%

PSC-26-17-00005-P . . . . . . . . . . . . exempt Notice of Intent to submeter electricity. To consider the Notice of Intent to submeterelectricity at 125 Waverly Street, Yonkers, NewYork.

PSC-29-17-00006-P . . . . . . . . . . . . exempt Petition to submeter gas. To consider the petition of LaGuardia GatewayPartners, to submeter gas at LaGuardia AirportCentral Terminal B, Flushing, NY.

PSC-31-17-00010-P . . . . . . . . . . . . exempt Notice of intent to submeter electricity To consider the notice of intent of 11737Owners Corp. to submeter electricity at 117East 37th Street, New York, New York

PSC-32-17-00007-P . . . . . . . . . . . . exempt Petition to amend bill estimation proceduresfor AMI.

To consider the petition of Orange andRockland to amend its current bill estimationprocedures for AMI.

PSC-33-17-00013-P . . . . . . . . . . . . exempt The obligation of electric utilities to pay for theextension of electric service to residentialdevelopments.

To consider if National Grid should change itspractices and compensate the petitioners forpast charges.

PSC-34-17-00011-P . . . . . . . . . . . . exempt Waiver to permit Energy Cooperative ofAmerica to serve low-income customers

To consider the petition for a waiver

PSC-34-17-00017-P . . . . . . . . . . . . exempt Use of the Honeywell Mercury EC350volumetric corrector in gas meteringapplications

To consider the use of the Honeywell MercuryEC350 volumetric corrector in gas meteringapplications

PSC-36-17-00012-P . . . . . . . . . . . . exempt Petition to amend bill estimation proceduresfor AMI.

To consider the petition of Con Edison toamend its current bill estimation procedures forAMI.

PSC-37-17-00005-P . . . . . . . . . . . . exempt Financial incentives to create customersavings and develop market-enabling tools,with a focus on outcomes and incentives.

To consider the revised Interconnection SurveyProcess and Earnings AdjustmentMechanisms.

PSC-37-17-00006-P . . . . . . . . . . . . exempt Petition to submeter electricity. To consider the petition of ACC OP (Park PointSU) LLC to submeter electricity at 417Comstock Avenue, Syracuse, New York.



91


PSC-37-17-00009-P . . . . . . . . . . . . exempt Fishers Island Water Works Corporation’srates for the provision of water.

To consider an increase in Fishers IslandWater Works Corporation’s annual waterrevenues by approximately $296,031 or 44.5%.

PSC-39-17-00008-P . . . . . . . . . . . . exempt Petition to submeter electricity and waiverrequest.

To consider the petition to submeter electricityand waiver request of 16 NYCRR § 96.5(k)(3).

PSC-39-17-00009-P . . . . . . . . . . . . exempt Whether a proposed agreement for theprovision of water service by Saratoga WaterServices, Inc. is in the public interest.

To consider the terms of a service agreementand waiver.

PSC-39-17-00011-P . . . . . . . . . . . . exempt Whether to direct New York State Electric &Gas to complete electric facility upgrades atno charge to Hanehan.

To determine financial responsibility betweenNYSEG and Hanehan for the electric serviceupgrades to Hanehan.

PSC-40-17-00006-P . . . . . . . . . . . . exempt The aggregation of electric service for theEmpire State Plaza and the Sheridan AvenueSteam Plant

To consider a waiver of National Grid’s tariffprovision requiring all electric delivery points tobe on the same premises

PSC-41-17-00006-P . . . . . . . . . . . . exempt Major electric rate filing. To consider an increase in CHG&E’s electricdelivery revenues by approximately $43 million(or 7.9% in total revenues).

PSC-41-17-00007-P . . . . . . . . . . . . exempt Major gas rate filing. To consider an increase in CHG&E’s gasdelivery revenues by approximately $18.1million (or 12.3% in total revenues).

PSC-42-17-00005-P . . . . . . . . . . . . exempt Complaint for review of rates charged forwater service to commercial and residentialcustomers of water works corporation.

To consider the complaint filed on January 3,2017 by Bristol customers.

PSC-42-17-00010-P . . . . . . . . . . . . exempt Petition for rehearing of negative revenueadjustment and contents of annualPerformance Report.

To consider NFGD’s petition for rehearing.

PSC-45-17-00008-P . . . . . . . . . . . . exempt Major water rate filing. To consider an increase in SUEZ O-N’s annualrevenue requirement by approximately$600,000, or 33.4%.

PSC-46-17-00006-P . . . . . . . . . . . . exempt To consider further proposed amendments tothe original criteria to grandfatheringestablished in the Transition Plan

To modify grandfathering criteria

PSC-46-17-00009-P . . . . . . . . . . . . exempt Requirements pertaining to inspections andreporting on plastic fusions installed in gascompany service territories

To clarify prior requirements and establish newrequirements for plastic fusion qualificationsand inspections

PSC-46-17-00010-P . . . . . . . . . . . . exempt Compliance with plastic fusion requirements To consider requiring NFG to comply withcurrent and new plastic fusion requirementsand report compliance failures



PSC-46-17-00013-P . . . . . . . . . . . . exempt Annual Reconciliation of Gas Expenses andGas Cost Recoveries

To consider filings of LDCs and municipalitiesregarding their Annual Reconciliation of GasExpenses and Gas Cost Recoveries





92


PSC-47-17-00010-P . . . . . . . . . . . . exempt Con Edison’s petition for approval of theSmart Solutions for Natural Gas CustomersProgram.

To consider Con Edison’s multi-solutionstrategy to decrease gas usage and procurealternative resources.

PSC-48-17-00015-P . . . . . . . . . . . . exempt Low Income customer options for affordablewater bills.

To consider the Low Income Bill Discountand/or Energy Efficiency Rebate Programs.

PSC-49-17-00009-P . . . . . . . . . . . . exempt Part of the Tier 2 Maintenance Tier Programin the RES of the CES

To promote and maintain renewable electricenergy resources

PSC-49-17-00010-P . . . . . . . . . . . . exempt Minor rate filing To consider an increase in annual revenues ofabout $300,000 or 5.2%

PSC-50-17-00017-P . . . . . . . . . . . . exempt New Wave Energy Corp.’s petition forrehearing.

To consider the petition for rehearing filed byNew Wave Energy Corp.

PSC-50-17-00018-P . . . . . . . . . . . . exempt Application of the Public Service Law to DERsuppliers.

To determine the appropriate regulatoryframework for DER suppliers.

PSC-50-17-00019-P . . . . . . . . . . . . exempt Transfer of utility property. To consider the transfer of utility property.

PSC-50-17-00021-P . . . . . . . . . . . . exempt Disposition of tax refunds and other relatedmatters.

To consider the disposition of tax refunds andother related matters.

PSC-50-17-00022-P . . . . . . . . . . . . exempt Data protection rules for DER suppliers. To determine the appropriate regulatoryframework for DER suppliers.

PSC-51-17-00007-P . . . . . . . . . . . . exempt Opt-out tariff regarding installation ofadvanced digital metering devices in CentralHudson’s service territory.

To determine the appropriate opt-out provisionsfor Central Hudson customers regardingadvanced digital metering devices.

PSC-51-17-00009-P . . . . . . . . . . . . exempt Consideration of Con Edison’s proposedImplementation Plan.

To consider Con Edison’s Implementation Planand appropriate design of the utility-ownedShared Solar Pilot Program.

PSC-51-17-00011-P . . . . . . . . . . . . exempt Petition for recovery of certain costs related tothe implementation of a Non-Wires AlternativeProject.

To consider Con Edison’s petition for therecovery of costs for implementing the JFKProject.

PSC-51-17-00014-P . . . . . . . . . . . . exempt Transfer of control. To consider Time Warner Cable Northeast’spetition seeking approval of a transfer of cabletelevision franchises.

PSC-51-17-00015-P . . . . . . . . . . . . exempt Opt-out tariff regarding installation ofadvanced digital metering devices in CentralHudson’s service territory.

To determine the appropriate opt-out provisionsfor Central Hudson customers regardingadvanced digital metering devices.

PSC-51-17-00016-P . . . . . . . . . . . . exempt Petition for waiver request of Opinion No.76-17 and 16 NYCRR Part 96.

To consider the petition of Jericho Project forwaiver request of Opinion No. 76-17 and 16NYCRR Part 96.

PSC-52-17-00014-P . . . . . . . . . . . . exempt Oversight and support of Clean Energy Fundand related NYSERDA activities

To support and monitor the deployment ofclean energy technology

PSC-52-17-00016-P . . . . . . . . . . . . exempt SUEZ O-N’s rates of the Forest Park Systemsfor the provision of water

To consider an increase in SUEZ O-N’s annualwater revenues of the Forest Park Systems byapproximately $298,221 or 48.52%

PSC-52-17-00019-P . . . . . . . . . . . . exempt Petition to submeter electricity To consider the petition of Bruns Associates,LLC to submeter electricity



93


PSC-01-18-00011-P . . . . . . . . . . . . exempt Participation of low-income ratepayers incommunity distributed generation projects.

To consider methods to support participation oflow-income ratepayers in community distributedgeneration projects.

PSC-02-18-00008-P . . . . . . . . . . . . exempt Notice of intent to submeter electricity. To consider the notice of intent of Murray HillMarquis LLC to submeter electricity.

PSC-04-18-00003-P . . . . . . . . . . . . exempt Minor rate filing. To consider a proposal for an increase in totalannual revenues of approximately $136,634, or11.4%.

PSC-04-18-00005-P . . . . . . . . . . . . exempt Notice of intent to submeter electricity. To consider the notice of intent of Montante/Morgan Gates Circle LLC to submeterelectricity.

PSC-04-18-00006-P . . . . . . . . . . . . exempt Consideration of the Central Hudson Gas &Electric Corporation Implementation Plan andaudit recommendations.

To consider Central Hudson Gas & ElectricCorporation’s Management AuditImplementation Plan.

PSC-04-18-00007-P . . . . . . . . . . . . exempt Con Edison’s methodology for reconciling thegas POR discount rate charge.

To consider modifications to the manner inwhich reconciliations of the POR discount rateare collected or refunded.

PSC-04-18-00008-P . . . . . . . . . . . . exempt Waiver of Commission requirements. To consider a waiver of the Commission’selectric infrastructure requirement.

PSC-05-18-00004-P . . . . . . . . . . . . exempt Lexington Power’s ZEC complianceobligation.

To promote and maintain renewable and zero-emission electric energy resources.

PSC-05-18-00005-P . . . . . . . . . . . . exempt Distributed Generation (DG), Natural GasVehicle (NGV) and Prime-WNY PilotPrograms.

To consider to make permanent the DG andNGV Pilot Programs and continue the Prime-WNY Pilot Program with modifications.

PSC-05-18-00008-P . . . . . . . . . . . . exempt Implementation of Advanced MeteringInfrastructure (AMI) in O&R’s territory, andprovisions for individual opt-outs therefrom.

To consider Advanced Metering Infrastructure(AMI) in Orange & Rockland’s service territory.

PSC-06-18-00011-P . . . . . . . . . . . . exempt Waiver of PSC regulations, 16 NYCRR§ 86.3(a)(1); 86.3(a)(2); 86.3(b)(2) and88.4(a)(4)




PSC-06-18-00013-P . . . . . . . . . . . . exempt Proposed sale of property from Con Edison to500 Kent LLC

To consider Con Edison and 500 Kent LLC’sjoint petition for a proposed sale of property

PSC-06-18-00015-P . . . . . . . . . . . . exempt Whether a proposed agreement for theprovision of water service by Saratoga WaterServices, Inc. is in the public interest

To consider a waiver and terms of a serviceagreement

PSC-06-18-00017-P . . . . . . . . . . . . exempt Merger of NYAW and Whitlock Farms WaterCorp.

To consider the merger of NYAW and WhitlockFarms Water Company into a single corporateentity

PSC-07-18-00015-P . . . . . . . . . . . . exempt The accuracy and reasonableness of NationalGrid’s billing for certain interconnectionupgrades.

To consider AEC’s petition requestingresolution of their billing dispute with NationalGrid.

PSC-07-18-00016-P . . . . . . . . . . . . exempt Notice of intent to submeter electricity. To consider the notice of intent of Silo RidgeCondo Association to submeter electricity.



94


PSC-08-18-00003-P . . . . . . . . . . . . exempt Gas service to power generators. To consider proposals in the report regardingservice to power generators and relatedproposed tariff revisions.

PSC-08-18-00004-P . . . . . . . . . . . . exempt Negative revenue adjustments assessed foralleged gas safety violations in 2014, 2015,and 2016.

To encourage active efforts by the utilitycompany to maximize gas safety.

PSC-08-18-00005-P . . . . . . . . . . . . exempt Notice of intent to submeter electricity andwaiver request.

To consider the notice of intent to submeterelectricity and waiver request of 16 NYCRR§ 96.5(k)(3).

PSC-08-18-00006-P . . . . . . . . . . . . exempt Gas service to power generators. To consider proposals in the report regardingservice to power generators and relatedproposed tariff revisions.

PSC-08-18-00007-P . . . . . . . . . . . . exempt Notice of intent to submeter electricity. To consider the notice of intent of 160 LeroyLLC to submeter electricity.

PSC-08-18-00008-P . . . . . . . . . . . . exempt Notice of intent to submeter electricity. To consider the notice of intent of MIP OneWall Street Acquisition, LLC to submeterelectricity.

PSC-09-18-00010-P . . . . . . . . . . . . exempt Use of the Itron OpenWay Riva CENTRONPolyphase CP2SRA electric meter

To ensure that consumers bills are based onaccurate measurements of electric usage

PSC-09-18-00011-P . . . . . . . . . . . . exempt Transfer of certain street lighting facilities To consider the transfer of certain streetlighting facilities from NYSEG to the Village ofOwego

PSC-09-18-00012-P . . . . . . . . . . . . exempt Minor rate filing To consider an increase in annual waterrevenues by approximately $93,436 or 68.2%

PSC-09-18-00013-P . . . . . . . . . . . . exempt Proposed use of electronic signatures forDeferred Payment Agreements

To make it easier for customers to obtainDeferred Payment Agreements

PSC-11-18-00002-P . . . . . . . . . . . . exempt Use of funds for ratepayer benefit programs. To promote gas safety.

PSC-11-18-00003-P . . . . . . . . . . . . exempt Use of funds for ratepayer benefit. To promote gas safety measures.

PSC-11-18-00004-P . . . . . . . . . . . . exempt New York State Lifeline Program. To consider TracFone’s petition seekingapproval to participate in Lifeline.

PSC-12-18-00007-P . . . . . . . . . . . . exempt Minor rate filing To consider an increase in annual waterrevenues by approximately $30,487 or 189%

PSC-12-18-00008-P . . . . . . . . . . . . exempt Trading and banking of Renewable EnergyCertificates

To determine proper treatment of RenewableEnergy Certificates

PSC-12-18-00009-P . . . . . . . . . . . . exempt Notice of intent to submeter electricity andwaiver request

To consider the notice of intent to submeterelectricity and waiver request

PSC-13-18-00014-P . . . . . . . . . . . . exempt Commission oversight of distributed energyresource suppliers

To protect customers and utilities in the receiptof services from distributed energy resourcesuppliers

PSC-13-18-00015-P . . . . . . . . . . . . exempt Eligibility of an ESCO to market to and enrollresidential customers.

To consider whether Astral should be allowedto market to and enroll residential customersfollowing a suspension.



95


PSC-13-18-00016-P . . . . . . . . . . . . exempt Electronic Deferred Payment Agreements(DPA).

To consider a proposal to implement ElectronicDPAs.


To consider the notice of intent to submeterelectricity and waiver request.


To consider the notice of intent to submeterelectricity and waiver request.

PSC-13-18-00019-P . . . . . . . . . . . . exempt Notice of intent to submeter electricity. To consider the notice of intent to submeterelectricity.




PSC-13-18-00023-P . . . . . . . . . . . . exempt Reconciliation of property taxes. To consider NYAW’s request to reconcileproperty taxes.

PSC-13-18-00024-P . . . . . . . . . . . . exempt SC No. 3 - Multiple-Dwelling Service. To consider a tariff change proposing theelimination of an outdated provision under SCNo. 3 - Multiple-Dwelling Service.

PSC-14-18-00001-EP . . . . . . . . . . . . exempt Authorization of a new tariff leaf, Rider A, forhigh density demand customers.

To allow the New York Municipal PowerAgency’s Rider A to go into effect on anemergency basis.

PSC-14-18-00004-P . . . . . . . . . . . . exempt Terms of a service agreement and waiver oftariff provisions

To consider Saratoga Water’s requested termsof a service agreement and tariff waivers

PSC-14-18-00005-P . . . . . . . . . . . . exempt Transfer of certain street lighting facilities To consider the transfer of certain streetlighting facilities located in the ChautauquaUtility District

PSC-14-18-00006-P . . . . . . . . . . . . exempt Petition for abandonment To consider the abandonment of Willsboro BayWater Company’s water system

PSC-14-18-00007-P . . . . . . . . . . . . exempt An offshore wind generating facilities program To promote offshore wind generating facilitiesand to reduce greenhouse gas emissions

PSC-15-18-00008-P . . . . . . . . . . . . exempt Amendments to the Uniform BusinessPractices.

Consideration of revised consumer protectionsand business practices of energy servicecompanies.

PSC-15-18-00009-P . . . . . . . . . . . . exempt AP Gas and Electric ZEC complianceobligation.

To promote and maintain renewable and zero-emission electric energy resources.

PSC-16-18-00005-P . . . . . . . . . . . . exempt Company-owned LED street lighting To consider a tariff change proposing revisedand additional Company-owned LED streetlighting options

PSC-16-18-00006-P . . . . . . . . . . . . exempt Company-owned LED street lighting To consider a tariff change proposing revisedand additional Company-owned LED streetlighting options



96


PSC-16-18-00007-P . . . . . . . . . . . . exempt Regulatory treatment of utilities regardingrecent changes in federal tax law

To ensure just and reasonable utility rates

PSC-17-18-00009-P . . . . . . . . . . . . exempt Petition to submeter electricity. To consider the petition of Harmony MillsFallsview LLC to submeter electricity.

PSC-17-18-00010-P . . . . . . . . . . . . exempt Petition for use of gas metering equipment. To ensure that consumer bills are based onaccurate measurements of gas usage.

PSC-17-18-00011-P . . . . . . . . . . . . exempt Increase demand and energy charges underS.C. No. 3 and S.C. No. 4.

To consider a proposal to protect existingelectric customers from increased supply costsresulting from HDL customers.

PSC-17-18-00012-P . . . . . . . . . . . . exempt Residential Electric Vehicle Charging. To effectuate service enhancements mandatedby State Legislation.



PSC-17-18-00015-P . . . . . . . . . . . . exempt Implement High Density Load CustomerProgram - Individual Service Agreements.

To consider allowing Massena to offer electricservice to high density load customers whilepassing costs to those customers.

PSC-18-18-00008-P . . . . . . . . . . . . exempt Residential Electric Vehicle Charging To effectuate service enhancements mandatedby State Legislation

PSC-18-18-00009-P . . . . . . . . . . . . exempt Transfer of control of Keene Valley Video Inc. To ensure performance in accordance withapplicable cable laws, regulations andstandards and the public interest

PSC-18-18-00010-P . . . . . . . . . . . . exempt Waiver of PSC regulations, 16 NYCRRSections 86.3(a)(1), (a)(2), (b)(2), 86.4(b) and88.4(a)(4)

To ensure that adequate maps and systemstudies support the application



PSC-18-18-00013-P . . . . . . . . . . . . exempt Motion requesting program eligibilityclarification and to make clarifying editsrelated to Case 16-E-0060 and Rider Q

To test standby rate designs to facilitatedistributed generation growth

PSC-19-18-00005-P . . . . . . . . . . . . exempt Whether Flanders’ can market to and enrollnew customers.

To protect customers by enforcing compliancewith the Uniform Business Practices.

PSC-20-18-00004-EP . . . . . . . . . . . . exempt Appointment of a temporary operator of awater system

To ensure activation and availability of a safewater supply to existing residences

PSC-20-18-00008-P . . . . . . . . . . . . exempt Proposed major rate increase in O&R’s gasdelivery revenues of approximately $4.5million (or 1.5% in total revenues)

To ensure safe and adequate service at justand reasonable rates charged to customerswithout undue preferences

PSC-20-18-00009-P . . . . . . . . . . . . exempt Proposed major rate increase in O&R’selectric delivery revenues of approximately$20.3 million (or 2.3% in total revenues)

To ensure safe and adequate service at justand reasonable rates charged to customerswithout undue preferences



97


PSC-21-18-00033-P . . . . . . . . . . . . exempt Property tax expenses and refunds of over-collections for such expenses.

To ensure just and reasonable rates.

PSC-21-18-00041-P . . . . . . . . . . . . exempt Con Edison’s petition for the Smart Solutionsfor Natural Gas DR Pilot Implementation Planand associated budget.

To promote gas system reliability byencouraging gas demand reductions duringpeak gas demand days.

PSC-21-18-00042-P . . . . . . . . . . . . exempt Establish new SC No. 7 - High Density LoadsIndividual Negotiated Contract.

To ensure that high density load customersreceive cost-based rates that do not provide anundue preference.

PSC-21-18-00043-P . . . . . . . . . . . . exempt Intent to submeter electricity at 98 FrontStreet, Brooklyn, New York.

To ensure adequate submetering equipmentand consumer protections are in place.

PSC-21-18-00044-P . . . . . . . . . . . . exempt Electric ratemaking policy for Direct CurrentFast Charging (DCFC) facilities used torecharge electric vehicles.

To ensure just and reasonable rates in thecontext of charging electric vehicles.

PSC-21-18-00045-P . . . . . . . . . . . . exempt Waiver of PSC regulations, 16 NYCRRSections 86.3(a)(1), (a)(2), (b)(1), (b)(2), 86.6,86.10 and 88.4(a)(4).

To ensure application to amend certificateissued under PSL Article VII contains sufficientinformation for review to proceed.

STATE, DEPARTMENT OF

DOS-07-18-00010-P . . . . . . . . . . . 02/14/19 Cease and desist zone for the IncorporatedVillage of Chestnut Ridge, NY

To adopt a cease and desist zone for theIncorporated Village of Chestnut Ridge, NY

DOS-12-18-00006-P . . . . . . . . . . . 03/21/19 The education qualifications for real estatebroker’s license

To update course requirements to meet currentindustry needs

DOS-20-18-00001-P . . . . . . . . . . . 07/17/19 Minimum standards for administration andenforcement of the Uniform Code and EnergyCode

Requires programs for local governmentsadministering/enforcing Uniform and EnergyCodes to include provisions relating to parkinggarages, establish procedures for occuranceswhere Secretary of State and State agenciesmust administer/enforce Uniform Code

DOS-20-18-00002-EP . . . . . . . . . . . 07/24/19 Suspension and revocation of certifications ofcode enforcement personnel.

See attached ‘‘Purpose’’

TAXATION AND FINANCE, DEPARTMENT OF

TAF-21-18-00031-P . . . . . . . . . . . . exempt Fuel use tax on motor fuel and diesel motorfuel and the art. 13-A carrier tax jointlyadministered therewith

To set the sales tax component and thecomposite rate per gallon for the period July 1,2018 through September 30, 2018

TEMPORARY AND DISABILITY ASSISTANCE, OFFICE OF

TDA-12-18-00004-P . . . . . . . . . . . 03/21/19 Reengagement/conciliation and sanctionprocedures for employment programs

To implement statutory changes relative topublic assistance (PA) reengagement/conciliation and sanction procedures

TRANSPORTATION, DEPARTMENT OF

TRN-08-18-00001-P . . . . . . . . . . . 02/21/19 Regulation of commercial motor carriers inNew York State

The rule making updates Title 49 CFRprovisions incorporated by reference pursuantto regulation of commercial motor carriers

TRN-11-18-00001-P . . . . . . . . . . . 03/14/19 Regulation of commercial motor carriers inNew York State

The rule making updates Title 49 CFRprovisions incorporated by reference pursuantto regulation of commercial motor carriers



98

URBAN DEVELOPMENT CORPORATION

UDC-14-18-00008-P . . . . . . . . . . . 04/04/19 Regional Revolving Loan Trust Fund Update procedures for the administration of theRegional Revolving Loan Trust Fund program

WORKERS’ COMPENSATION BOARD

WCB-52-17-00021-P . . . . . . . . . . . 12/27/18 Establishment of Prescription Drug Formulary Establishment of a drug formulary that includeshigh-quality and cost-effective preauthorizedmedication

WCB-18-18-00014-P . . . . . . . . . . . 05/02/19 Procedures under WCL 21-a To correct typographical citation errors and aclarifying change

WCB-21-18-00038-P . . . . . . . . . . . 05/23/19 Workers’ Compensation Board - LegalInternship Program

To allow a more expansive group of law schooland legal interns to represent parties of interestin Board proceedings



99

SECURITIESOFFERINGS

STATE NOTICES

Published pursuant to provisions of General Business Law[Art. 23-A, § 359-e(2)]

DEALERS; BROKERS

Anthem Ledge Stone Partners LLC901 Mopac Expwy. S, Bldg. V, Suite 100, Austin, TX 78746

ATP Fund 7 Giorgetti 2017, LP2606 Grant St., Houston, TX 77006Partnership — ATP Fund 7 GP Giorgetti 2017, LP

Blocktree General Fund LP1161 Mission St., San Francisco, CA 94103Partnership — Blocktree Capital LLC

Booking Holdings Inc.800 Connecticut Ave., Norwalk, CT 06854State or country in which incorporated — Delaware

Cairos International Fund, LP1860 Shiloh Lane, Winter Park, FL 32789Partnership — Cairos Capital, LLC

CityBase, Inc.30 N. LaSalle St., Suite 3400, Chicago, IL 60602State or country in which incorporated — Delaware

Context Walks LLC2410 Walnut St., Suite 208, Philadelphia, PA 19103

Corvus Delta Offshore Fund Ltd.c/o SS&C Fund Services (Cayman) Limited, 45 Market St., Suite3205, 2nd Fl., Gardenia Court, Camana Bay, Grand Cayman KY1-9003, Cayman IslandsState or country in which incorporated — Cayman Islands

Cygnus Alpha Offshore Fund Ltd.c/o SS&C Fund Services (Cayman) Limited, 45 Market St., Suite3205, 2nd Fl., Gardenia Court, Camana Bay, Grand Cayman KY1-9003, Cayman IslandsState or country in which incorporated — Cayman Islands

Distrix LLC22 N. 6th St., Suite 19i, Brooklyn, NY 11249

DJ MicroLaminates, Inc.490 Boston Post Rd., Sudbury, MA 01778State or country in which incorporated — Delaware

Financeware Holdings LLCc/o NewSpring Holdings, LLC, 555 E. Lancaster Ave., 3rd Fl., Radnor,PA 19087State or country in which incorporated — Delaware limited liabilitycompany

FNY Holdings, LLC90 Park Ave., 5th Fl., New York, NY 10016

Graduate Hotels Real Estate Fund III LP133 N. Jefferson St., 4th Fl., Chicago, IL 60661Partnership — Graduate Hotels Fund III GP LLC

Grandeur Peak International Stalwarts, L.P.136 S. Main St., Suite 720, Salt Lake City, UT 84101Partnership — Grandeur Peak Global Advisors, LLC

Greenstar Cooperative Market, Inc.700 W. Buffalo St., Ithaca, NY 14850State or country in which incorporated — New York

Hilltop Capital Anchor LPc/o Zenyth Partners GP LLC, 40 Cuttermill Rd., Great Neck, NY11021Partnership — Zenyth Partners GP LLC

Hudson Housing Tax Credit LXXX LP630 Fifth Ave., 28th Fl., New York, NY 10111Partnership — Hudson GP LXXX LLC

JCGC Management 1 LLC410 Jericho Tpke., Suite 320, Jericho, NY 11753

Landmark Dividend Solar Land 1 DST2141 Rosecrans Ave., Suite 2100, El Segundo, CA 90245State or country in which incorporated — Delaware

Lubezone Inc.P.O. Box 1224, Albert Lea, MN 56007State or country in which incorporated — Nevada

NCoded Communications, Inc.17633 Gunn Hwy., #188, Odessa, FL 33556State or country in which incorporated — Delaware

Newbridge Securities Corporation5200 Town Center Circle, Tower 1, Suite 306, Boca Raton, FL 33486State or country in which incorporated — Virginia

Norax Green Capital (SCA) SICARC/Zurbano, 6 - 1° izquierda, Madrid, Spain 28010Partnership — Nereo Green Capital Lux Partners S.a.r.l, general part-ner

101

Notre Dame Pit Road Fund, L.P.1400 E. Angela Blvd., #149, South Bend, IN 46617Partnership — ND Pit Road, LLC

Oberweis Funds, The3333 Warrenville Rd., Suite 50, Lisle, IL 60532State or country in which incorporated — Massachusetts

Orchard Securities, LLC401 S. 850 E., Suite C1, Lehi, UT 84043

Passco Capital, Inc.2050 Main St., Suite 650, Irvine, CA 92614State or country in which incorporated — California

PinPoint Testing, LLC11925 Shady Ridge Dr., Little Rock, AR 72211State or country in which incorporated — Delaware

ReSource Pro Holdings, LLCc/o DFW Partners, Glenpointe Centre E, 300 Frank W. Burr Blvd., 7thFl., Teaneck, NJ 07666

Rivonia Road Fund LP10880 Wilshire Rd., 11th Fl., Los Angeles, CA 90024Partnership — Rivonia Road Capital LLC

Saltbox Partners Fund, L.P.10 Sterling Blvd., Suite 402, Englewood, NJ 07631Partnership — Saltbox II, LLC

SE Walker House Investors, LLC350 N. LaSalle St., Suite 800, Chicago, IL 60654State or country in which incorporated — Delaware limited liabilitycompany

Spell Capital Mezzanine Partners SBIC II, LP222 S. 9th St., Suite 2880, Minneapolis, MN 55402Partnership — SCMP Management II, LLC

Theorem Total Market Fund LP436 Bryant St., 2nd Fl., San Francisco, CA 94107Partnership — Theorem Partners LLC

Theorem Total Market Fund Offshore LPc/o Walkers Corporate Limited, Cayman Corporate Centre, 27Hospital Rd., George Town, Grand Cayman KY1-9008, CaymanIslandsPartnership — Theorem Partners LLC

WT Holdings, Inc.510 S. Mendenhall Rd., Suite 200, Memphis, TN 38117State or country in which incorporated — Tennessee

Zenyth Partners, LPc/o Zenyth Partners GP LLC, 40 Cuttermill Rd., Great Neck, NY11021Partnership — Zenyth Partners GP LLC

Zephyr Minerals Ltd.1300-1959 Upper Water St., Purdys Wharf Tower 1, Halifax, NS, B3J3N2 CanadaState or country in which incorporated — Canada

NYS Register/May 23, 2018Securities Offerings

102

ADVERTISEMENTS FORBIDDERS/CONTRACTORS

SEALED BIDS

REPLACEGUARD BOOTH

New York Psychiatric InstituteNew York, New York County

Sealed bids for Project No. Q1730-E, for Electrical Work, ReplaceGuard Booth, Building 5, New York Psychiatric Institute, 1051Riverside Drive, New York (New York County), NY, will be receivedby the Office of General Services (OGS), Design & ConstructionGroup (D&C), Division of Contract Management, 35th Fl., CorningTower, Empire State Plaza, Albany, NY 12242, on behalf of the Officeof Mental Health, until 2:00 p.m. on Wednesday, May 23, 2018, whenthey will be publicly opened and read. Each bid must be prepared andsubmitted in accordance with the Instructions to Bidders and must beaccompanied by a certified check, bank check, or bid bond in theamount of $11,400 for E.

Further, Wicks Exempt Projects require a completed form BDC 59(Wicks Exempt List of Contractors) be filled out and submitted(included in a separate, sealed envelope) in accordance with Docu-ment 002220, Supplemental Instructions to Bidders – Wicks Exempt.Failure to submit this form correctly will result in a disqualification ofthe bid.

All successful bidders will be required to furnish a PerformanceBond and a Labor and Material Bond in the statutory form of publicbonds required by Sections 136 and 137 of the State Finance Law,each for 100% of the amount of the Contract estimated to be between$100,000 and $250,000 for E.

Pursuant to State Finance Law §§ 139-j and 139-k, this solicitationincludes and imposes certain restrictions on communications betweenOGS D&C and a bidder during the procurement process. A bidder isrestricted from making contacts from the earliest posting, on the OGSwebsite, in a newspaper of general circulation, or in the ContractReporter of written notice, advertisement or solicitation of offersthrough final award and approval of the contract by OGS D&C andthe Office of the State Comptroller (“Restricted Period”) to other thandesignated staff unless it is a contact that is included among certainstatutory exceptions set forth in State Finance Law § 139-j(3)(a).Designated staff are Jessica Hoffman, Carl Ruppert, and Pierre Alricin the Division of Contract Management, telephone (518) 474-0203,fax (518) 473-7862 and John Lewyckyj, Deputy Director, Design &Construction Group, telephone (518) 474-0201, fax (518) 486-1650.OGS D&C employees are also required to obtain certain informationwhen contacted during the restricted period and make a determinationof the responsibility of the bidder pursuant to these two statutes.Certain findings of non-responsibility can result in rejection forcontract award and in the event of two findings within a four-year pe-riod, the bidder is debarred from obtaining governmental ProcurementContracts. Bidders responding to this Advertisement must familiarizethemselves with the State Finance Law requirements and will beexpected to affirm that they understand and agree to comply on the bidform. Further information about these requirements can be foundwithin the project manual or at: http://www.ogs.ny.gov/aboutOGS/regulations/defaultAdvisoryCouncil.html

As a condition of award, within 48 hours of receipt of the proposedContract Agreement from the State, the low bidder shall return the

Contract Agreement to the State, properly executed, along with theBonds if required by said Agreement. Low bidders who cannot meetthese provisions may be subject to disqualification and forfeiture ofthe bid security.

The State intends to expedite award of this Contract and theContractor shall be prepared to proceed with the Work accordingly.Bidders are warned that time is of the essence of the Contract andsubstantial completion of the Work must be within 196 days after theAgreement is approved by the Comptroller. Due to the tightness of theconstruction schedule, bidders should consider the necessity for anincreased work force and shift operations.

The only time prospective bidders will be allowed to visit the jobsite to take field measurements and examine existing conditions of theproject area will be at 10:00 a.m. on May 10, 2018 at New York Psy-chiatric Institute, 1051 Riverside Drive, New York, NY. Prospectivebidders are urged to visit the site at this time. Prospective bidders ortheir representatives attending the pre-bid site visit will not be admit-ted on facility grounds without proper photo identification. Note thatparking restrictions and security provisions will apply and all vehicleswill be subject to search.

For assistance pertaining to the site visit only, please phone CarlosSilva (212)459-7707.

Pursuant to New York State Executive Law Article 15-A and therules and regulations promulgated thereunder, OGS is required topromote opportunities for the maximum feasible participation of NewYork State-certified Minority- and Women-owned Business Enter-prises (“MWBEs”) and the employment of minority group membersand women in the performance of OGS contracts. All bidders areexpected to cooperate in implementing this policy. OGS herebyestablishes an overall goal of 10% for MWBE participation, 5% forMinority-Owned Business Enterprises (“MBE”) participation and 5%for Women-Owned Business Enterprises (“WBE”) participation(based on the current availability of qualified MBEs and WBEs). Thetotal contract goal can be obtained by utilizing any combination ofMBE and /or WBE participation for subcontracting and suppliesacquired under this Contract.

The Office of General Services reserves the right to reject any or allbids.

The Bidding and Contract Documents for this Project are availableon compact disc (CD) only, and may be obtained for an $8.00 depositper set, plus a $2.00 per set shipping and handling fee. Contractorsand other interested parties can order CD’s on-line through a secureweb interface available 24 hours a day, 7 days a week. Please use thefollowing link for ordering and payment instructions: http://www.ogs.ny.gov/bu/dc/esb/acquirebid.asp

For questions about purchase of bid documents, please send ane-mail to [email protected], or call (518) 474-0203.

For additional information on this project, please use the link belowand then click on the project number: https://online.ogs.ny.gov/dnc/contractorConsultant/esb/ESBPlansAvailableIndex.asp

By John D. Lewyckyj, Deputy DirectorOGS - Design & Construction Group

103

http://www.ogs.ny.gov/aboutOGS/regulations/defaultAdvisoryCouncil.html


http://www.ogs.ny.gov/bu/dc/esb/acquirebid.asp


https://online.ogs.ny.gov/dnc/contractorConsultant/esb/ESBPlansAvailableIndex.asp


PROVIDEUNDERGROUND CHILLED WATER AND STEAM

PIPINGState Campus

Albany, Albany County

Sealed bids for Project Nos. 45256-H, 45256-E, comprising sepa-rate contracts for HVAC Work and Electrical Work, Provide Under-ground Chilled Water And Steam Piping, State Office BuildingCampus, 1220 Washington Avenue, Albany (Albany County), NY,will be received by the Office of General Services (OGS), Design &Construction Group (D&C), Division of Contract Management, 35thFl., Corning Tower, Empire State Plaza, Albany, NY 12242, on behalfof the Office of General Services, until 2:00 p.m. on Wednesday, May23, 2018, when they will be publicly opened and read. Each bid mustbe prepared and submitted in accordance with the Instructions to Bid-ders and must be accompanied by a certified check, bank check, or bidbond in the amount of $199,800 for H and $19,000 for E.

All successful bidders will be required to furnish a PerformanceBond and a Labor and Material Bond in the statutory form of publicbonds required by Sections 136 and 137 of the State Finance Law,each for 100% of the amount of the Contract estimated to be between$7,000,000 and $8,000,000 for H and between $250,000 and $500,000for E.

Pursuant to State Finance Law §§ 139-j and 139-k, this solicitationincludes and imposes certain restrictions on communications betweenOGS D&C and a bidder during the procurement process. A bidder isrestricted from making contacts from the earliest posting, on the OGSwebsite, in a newspaper of general circulation, or in the ContractReporter of written notice, advertisement or solicitation of offersthrough final award and approval of the contract by OGS D&C andthe Office of the State Comptroller (“Restricted Period”) to other thandesignated staff unless it is a contact that is included among certainstatutory exceptions set forth in State Finance Law § 139-j(3)(a).Designated staff are Jessica Hoffman, Carl Ruppert and Pierre Alric inthe Division of Contract Management, telephone (518) 474-0203, fax(518) 473-7862 and John Lewyckyj, Deputy Director, Design &Construction Group, telephone (518) 474-0201, fax (518) 486-1650.OGS D&C employees are also required to obtain certain informationwhen contacted during the restricted period and make a determinationof the responsibility of the bidder pursuant to these two statutes.Certain findings of non-responsibility can result in rejection forcontract award and in the event of two findings within a four-year pe-riod, the bidder is debarred from obtaining governmental ProcurementContracts. Bidders responding to this Advertisement must familiarizethemselves with the State Finance Law requirements and will beexpected to affirm that they understand and agree to comply on the bidform. Further information about these requirements can be foundwithin the project manual or at: http://www.ogs.ny.gov/aboutOGS/regulations/defaultAdvisoryCouncil.html

As a condition of award, within 48 hours of receipt of the proposedContract Agreement from the State, the low bidder shall return theContract Agreement to the State, properly executed, along with theBonds if required by said Agreement. Low bidders who cannot meetthese provisions may be subject to disqualification and forfeiture ofthe bid security.

The substantial completion date for this project is September 1,2020.

The only time prospective bidders will be allowed to visit the jobsite to take field measurements and examine existing conditions of theproject area will be at 1:30 p.m. on May 10, 2018 at State Office Build-ing Campus, Building 4, OGS D&C Field Office Trailer, 1220Washington Avenue, Albany, NY. Prospective bidders are urged tovisit the site at this time. Prospective bidders or their representativesattending the pre-bid site visit will not be admitted on facility groundswithout proper photo identification. Note that parking restrictions andsecurity provisions will apply and all vehicles will be subject to search.

For assistance pertaining to the site visit only, please phone HatimEl-Tilib (518) 457-8203.

Pursuant to New York State Executive Law Article 15-A and the

rules and regulations promulgated thereunder, OGS is required topromote opportunities for the maximum feasible participation of NewYork State-certified Minority- and Women-owned Business Enter-prises (“MWBEs”) and the employment of minority group membersand women in the performance of OGS contracts. All bidders areexpected to cooperate in implementing this policy. OGS herebyestablishes an overall goal of 30% for MWBE participation, 15% forMinority-Owned Business Enterprises (“MBE”) participation and15% for Women-Owned Business Enterprises (“WBE”) participation(based on the current availability of qualified MBEs and WBEs). Thetotal contract goal can be obtained by utilizing any combination ofMBE and /or WBE participation for subcontracting and suppliesacquired under this Contract.


The Bidding and Contract Documents for this Project are availableon compact disc (CD) only, and may be obtained for an $8.00 depositper set, plus a $2.00 per set shipping and handling fee. Contractorsand other interested parties can order CD’s on-line through a secureweb interface available 24 hours a day, 7 days a week. Please use thefollowing link at the OGS website for ordering and paymentinstructions: http://www.ogs.ny.gov/bu/dc/esb/acquirebid.asp




PROVIDEMODULAR BUILDINGCamp Smith Training Site

Cortlandt Manor, Westchester County

Sealed bids for Project No. 45537-C, for Construction Work,Provide Modular Building, Camp Smith Training Site, 11 BearMountain Bridge Road, Cortlandt Manor, (Westchester County), NY,will be received by the Office of General Services (OGS), Design &Construction Group (D&C), Division of Contract Management, 35thFl., Corning Tower, Empire State Plaza, Albany, NY 12242, on behalfof the Division of Military and Naval Affairs, until 2:00 p.m. onWednesday, June 6, 2018, when they will be publicly opened and read.Each bid must be prepared and submitted in accordance with theInstructions to Bidders and must be accompanied by a certified check,bank check, or bid bond in the amount of $38,100 for C.

Further, Wicks Exempt Projects require a completed form BDC 59(Wicks Exempt List of Contractors) be filled out and submitted(included in a separate, sealed envelope) in accordance with Docu-ment 002220, Supplemental Instructions to Bidders – Wicks Exempt.Failure to submit this form correctly will result in a disqualification ofthe bid.

All successful bidders will be required to furnish a PerformanceBond and a Labor and Material Bond in the statutory form of publicbonds required by Sections 136 and 137 of the State Finance Law,each for 100% of the amount of the Contract estimated to be between$1,000,000 and $2,000,000 for C.

Pursuant to State Finance Law §§ 139-j and 139-k, this solicitationincludes and imposes certain restrictions on communications betweenOGS D&C and a bidder during the procurement process. A bidder isrestricted from making contacts from the earliest posting, on the OGSwebsite, in a newspaper of general circulation, or in the ContractReporter of written notice, advertisement or solicitation of offersthrough final award and approval of the contract by OGS D&C andthe Office of the State Comptroller (“Restricted Period”) to other thandesignated staff unless it is a contact that is included among certainstatutory exceptions set forth in State Finance Law § 139-j(3)(a).Designated staff are Jessica Hoffman, Carl Ruppert, and Pierre Alric

NYS Register/May 23, 2018Advertisements for Bidders/Contractors

104






in the Division of Contract Management, telephone (518) 474-0203,fax (518) 473-7862 and John Lewyckyj, Deputy Director, Design &Construction Group, telephone (518) 474-0201, fax (518) 486-1650.OGS D&C employees are also required to obtain certain informationwhen contacted during the restricted period and make a determinationof the responsibility of the bidder pursuant to these two statutes.Certain findings of non-responsibility can result in rejection forcontract award and in the event of two findings within a four-year pe-riod, the bidder is debarred from obtaining governmental ProcurementContracts. Bidders responding to this Advertisement must familiarizethemselves with the State Finance Law requirements and will beexpected to affirm that they understand and agree to comply on the bidform. Further information about these requirements can be foundwithin the project manual or at: http://www.ogs.ny.gov/aboutOGS/regulations/defaultAdvisoryCouncil.html

As a condition of award, within 48 hours of receipt of the proposedContract Agreement from the State, the low bidder shall return theContract Agreement to the State, properly executed, along with theBonds if required by said Agreement. Low bidders who cannot meetthese provisions may be subject to disqualification and forfeiture ofthe bid security.

The State intends to expedite award of this Contract and theContractor shall be prepared to proceed with the Work accordingly.Bidders are warned that time is of the essence of the Contract andsubstantial completion of the Work must be within 297 days after theAgreement is approved by the Comptroller. Due to the tightness of theconstruction schedule, bidders should consider the necessity for anincreased work force and shift operations.

The only time prospective bidders will be allowed to visit the jobsite to take field measurements and examine existing conditions of theproject area will be at 10:00 a.m. on May 24, 2018 at Camp Smith,OGS Trailer, 11 Bear Mountain Bridge Road, Cortlandt Manor, NY.Prospective bidders are urged to visit the site at this time. Prospectivebidders or their representatives attending the pre-bid site visit will notbe admitted on facility grounds without proper photo identification.Note that parking restrictions and security provisions will apply andall vehicles will be subject to search.

Phone the office of Arsenia Palacios, (845) 421-7650 a minimum of24 hours in advance of the date to provide the names of those who willattend the pre-bid site visit.

Pursuant to New York State Executive Law Article 15-A and therules and regulations promulgated thereunder, OGS is required topromote opportunities for the maximum feasible participation of NewYork State-certified Minority- and Women-owned Business Enter-prises (“MWBEs”) and the employment of minority group membersand women in the performance of OGS contracts. All bidders areexpected to cooperate in implementing this policy. OGS herebyestablishes an overall goal of 30% for MWBE participation, 15% forMinority-Owned Business Enterprises (“MBE”) participation and15% for Women-Owned Business Enterprises (“WBE”) participation(based on the current availability of qualified MBEs and WBEs). Thetotal contract goal can be obtained by utilizing any combination ofMBE and /or WBE participation for subcontracting and suppliesacquired under this Contract.


The Bidding and Contract Documents for this Project are availableon compact disc (CD) only, and may be obtained for an $8.00 depositper set, plus a $2.00 per set shipping and handling fee. Contractorsand other interested parties can order CD’s on-line through a secureweb interface available 24 hours a day, 7 days a week. Please use thefollowing link for ordering and payment instructions: http://www.ogs.ny.gov/bu/dc/esb/acquirebid.asp




REPAIRPEDESTRIAN WALKWAY

State CampusAlbany, Albany County

Sealed bids for Project Nos. 45569-C, 45569-E, comprising sepa-rate contracts for Construction Work and Electrical Work, Repair Pe-destrian Walkway, Building 8, State Office Building Campus, 1220Washington Avenue, Albany (Albany County), NY, will be receivedby the Office of General Services (OGS), Design & ConstructionGroup (D&C), Division of Contract Management, 35th Fl., CorningTower, Empire State Plaza, Albany, NY 12242, on behalf of the Officeof General Services, until 2:00 p.m. on Wednesday, May 23, 2018,when they will be publicly opened and read. Each bid must be pre-pared and submitted in accordance with the Instructions to Biddersand must be accompanied by a certified check, bank check, or bidbond in the amount of $41,400 for C and $6,300 for E.

All successful bidders will be required to furnish a PerformanceBond and a Labor and Material Bond in the statutory form of publicbonds required by Sections 136 and 137 of the State Finance Law,each for 100% of the amount of the Contract estimated to be between$1,000,000 and $2,000,000 for C and between $50,000 and $100,000for E.

Pursuant to State Finance Law §§ 139-j and 139-k, this solicitationincludes and imposes certain restrictions on communications betweenOGS D&C and a bidder during the procurement process. A bidder isrestricted from making contacts from the earliest posting, on the OGSwebsite, in a newspaper of general circulation, or in the ContractReporter of written notice, advertisement or solicitation of offersthrough final award and approval of the contract by OGS D&C andthe Office of the State Comptroller (“Restricted Period”) to other thandesignated staff unless it is a contact that is included among certainstatutory exceptions set forth in State Finance Law § 139-j(3)(a).Designated staff are Jessica Hoffman, Carl Ruppert and Pierre Alric inthe Division of Contract Management, telephone (518) 474-0203, fax(518) 473-7862 and John Lewyckyj, Deputy Director, Design &Construction Group, telephone (518) 474-0201, fax (518) 486-1650.OGS D&C employees are also required to obtain certain informationwhen contacted during the restricted period and make a determinationof the responsibility of the bidder pursuant to these two statutes.Certain findings of non-responsibility can result in rejection forcontract award and in the event of two findings within a four-year pe-riod, the bidder is debarred from obtaining governmental ProcurementContracts. Bidders responding to this Advertisement must familiarizethemselves with the State Finance Law requirements and will beexpected to affirm that they understand and agree to comply on the bidform. Further information about these requirements can be foundwithin the project manual or at: http://www.ogs.ny.gov/aboutOGS/regulations/defaultAdvisoryCouncil.html

The substantial completion date for this project is 525 days after theAgreement is approved by the Comptroller.

The only time prospective bidders will be allowed to visit the jobsite to take field measurements and examine existing conditions of theproject area will be at 1:30 p.m. on May 11, 2018 at State Office Build-ing Campus, Building 4, Field Office Trailer, 1220 Washington Ave-nue, Albany, NY. Prospective bidders are urged to visit the site at thistime. Prospective bidders or their representatives attending the pre-bidsite visit will not be admitted on facility grounds without proper photoidentification. Note that parking restrictions and security provisionswill apply and all vehicles will be subject to search.

For assistance pertaining to the site visit only, please phone AaronCook (518) 457-7895.

Pursuant to New York State Executive Law Article 15-A and the

NYS Register/May 23, 2018 Advertisements for Bidders/Contractors

105









rules and regulations promulgated thereunder, OGS is required topromote opportunities for the maximum feasible participation of NewYork State-certified Minority- and Women-owned Business Enter-prises (“MWBEs”) and the employment of minority group membersand women in the performance of OGS contracts. All bidders areexpected to cooperate in implementing this policy. OGS herebyestablishes an overall goal of 30% for MWBE participation, 15% forMinority-Owned Business Enterprises (“MBE”) participation and15% for Women-Owned Business Enterprises (“WBE”) participation(based on the current availability of qualified MBEs and WBEs) forConstruction Work. The total contract goal can be obtained by utiliz-ing any combination of MBE and /or WBE participation for subcon-tracting and supplies acquired under this Contract.


The Bidding and Contract Documents for this Project are availableon compact disc (CD) only, and may be obtained for an $8.00 depositper set, plus a $2.00 per set shipping and handling fee. Contractorsand other interested parties can order CD’s on-line through a secureweb interface available 24 hours a day, 7 days a week. Please use thefollowing link at the OGS website for ordering and paymentinstructions: http://www.ogs.ny.gov/bu/dc/esb/acquirebid.asp




NYS Register/May 23, 2018Advertisements for Bidders/Contractors

106




MISCELLANEOUSNOTICES/HEARINGS

Notice of Abandoned PropertyReceived by the State Comptroller

Pursuant to provisions of the Abandoned Property Law and relatedlaws, the Office of the State Comptroller receives unclaimed moniesand other property deemed abandoned. A list of the names and lastknown addresses of the entitled owners of this abandoned property ismaintained by the office in accordance with Section 1401 of theAbandoned Property Law. Interested parties may inquire if they ap-pear on the Abandoned Property Listing by contacting the Office ofUnclaimed Funds, Monday through Friday from 8:00 a.m. to 4:30p.m., at:

1-800-221-9311or visit our web site at:

www.osc.state.ny.us

Claims for abandoned property must be filed with the New YorkState Comptroller’s Office of Unclaimed Funds as provided in Section1406 of the Abandoned Property Law. For further information contact:Office of the State Comptroller, Office of Unclaimed Funds, 110 StateSt., Albany, NY 12236.

PUBLIC NOTICEDepartment of Health

Pursuant to 42 CFR Section 447.205, the Department of Healthhereby gives public notice of the following:

The Department of Health proposes to amend the Title XIX(Medicaid) State Plan for institutional services to comply with 2807-k(5-d). The following changes are proposed:

Institutional Services

Effective on or after January 1, 2019 indigent care pool paymentswill be made using an uninsured unit’s methodology. For the periodJanuary 1, 2019 through December 31, 2019, each hospital’s uncom-pensated care need amount will be determined as follows:

D Inpatient units of service for the cost report period two years priorto the distribution year (excluding hospital-based residential healthcare facility (RHCF) and hospice) will be multiplied by the averageapplicable Medicaid inpatient rate in effect for January 1 of the distri-bution year;

D Outpatient units of service for the cost report period two yearsprior to the distribution year (excluding referred ambulatory and homehealth) will be multiplied by the average applicable Medicaidoutpatient rate in effect for January 1 of the distribution year;

D Inpatient and outpatient uncompensated care amounts will thenbe summed and adjusted by a statewide adjustment factor and reducedby cash payments received from uninsured patients; and

D Uncompensated care nominal need will be based on a weightedblend of the net adjusted uncompensated care and the Medicaidinpatient utilization rate. The result will be used to proportionally al-locate and make Medicaid disproportionate share hospital (DSH) pay-ments in the following amounts:

D $139.4 million to major public general hospitals, includinghospitals operated by public benefit corporations; and

D $994.9 million to general hospitals, other than major public gen-eral hospitals.

D There is no additional estimated annual change to gross Medicaid

expenditures attributable to this initiative for state fiscal year 2019/2020.

The public is invited to review and comment on this proposed StatePlan Amendment, a copy of which will be available for public reviewon the Department’s website at http://www.health.ny.gov/regulations/state_plans/status. Individuals without Internet access may view theState Plan Amendments at any local (county) social services district.

For the New York City district, copies will be available at the fol-lowing places:

New York County250 Church StreetNew York, New York 10018

Queens County, Queens Center3220 Northern BoulevardLong Island City, New York 11101

Kings County, Fulton Center114 Willoughby StreetBrooklyn, New York 11201

Bronx County, Tremont Center1916 Monterey AvenueBronx, New York 10457

Richmond County, Richmond Center95 Central Avenue, St. GeorgeStaten Island, New York 10301

For further information and to review and comment, please contact:Department of Health, Division of Finance and Rate Setting, 99Washington Ave., One Commerce Plaza, Suite 1432, Albany, NY12210, e-mail: [email protected]



The Department of Health proposes to amend the Title XIX(Medicaid) State Plan for non-institutional services to comply withenacted statutory and other budget provisions. The following changesare proposed:

Non-Institutional Services

The Commissioner of Health will amend the State Plan for the NewYork State Health Home Program as follows:

D Effective on or after October 1, 2018, reduce the Health Home permember per month (pmpm) “outreach” payment for all members(adults and children) in the case finding group from $110 pmpm to arate of no less than $50 pmpm.

D Eliminate the September 30, 2018 expiration date related to theper member, per month Health Home rates for children.

D Establish a rate adjustment for dates of service beginning on or

107

after June 1, 2018 and ending no later than March 31, 2019, for HealthHomes that are designated to serve children only, or for a Health Homethat is designated to serve children in 44 counties and adults in one, inan amount that does not exceed $4 million.

The estimated annual net aggregate decrease in gross Medicaidexpenditures attributable to this initiative contained in the budget forstate fiscal year 2018-19 is $25 million.











The Department of Health proposes to amend the Title XIX(Medicaid) State Plan for non-institutional services for coverage andreimbursement for Medicaid preventive services. The followingchanges are proposed:

Non-Institutional Services

Effective on or after July 1, 2019, the Medicaid State Plan will beamended to establish and authorize payment for Preventive Residen-tial Treatment (PRT) services. This State plan amendment replaces theformer Voluntary Foster Care per diem reimbursement. The July 1,2019 effective date for the PRT services coincides with the transitionof the foster care population to managed care under the State’sproposed children’s 1115 Waiver amendment. The PRT services willreimburse providers for Medicaid services that Managed Care Planswill otherwise not contract for (e.g., nursing staff). PRT will providecommunity-based preventive residential supports under the supervi-sion and oversight of a practitioner of the healing arts including Psy-chiatrist, Physician, Licensed Psychoanalyst, Registered ProfessionalNurse, Nurse Practitioner, Clinical Nurse Specialist, Licensed ClinicalSocial Worker (LCSW), Licensed Marriage and Family Therapist,Licensed Mental Health Counselor, or Licensed Psychologist. Skillbuilding, nursing supports and medication management, MedicaidService Coordination, and Medicaid Treatment Planning and dis-charge planning.

The estimated annual net aggregate increase in gross Medicaid

expenditures attributable to this initiative contained in the budget forstate fiscal year 2019-2020 is $7.5 million.









PUBLIC NOTICEDepartment of State

F-2017-1156Date of Issuance – May 23, 2018

The New York State Department of State (DOS) is required byFederal regulations to provide timely public notice for the activitiesdescribed below, which are subject to the consistency provisions ofthe Federal Coastal Zone Management Act of 1972, as amended.

The applicant has certified that the proposed activity complies withand will be conducted in a manner consistent with the approved NewYork State Coastal Management Program. The applicant’s consis-tency certification and accompanying public information and data areavailable for inspection on the New York State Department of State’swebsite at http://www.dos.ny.gov/opd/programs/ pdfs/Consistency/F-2017-1156RJMarineShorelineStabilization.pdf

In F-2017-1156, or the “RJ Marine Associates Shoreline Stabiliza-tion”, the applicant – Augusta Withington – is proposing to install asteel sheet pile face sea wall with tie backs. The proposed seawall willbe 7 feet in height from the river bottom and 65 feet in length. Theproposed sea wall will have a 6 inch to 8 inch concrete cap. In addi-tion, the applicant proposes to backfill behind the proposed sea wall.The project is located at 690 Riverside Drive in the Village of Clayton,Jefferson County, New York on the St. Lawrence River. The statedpurpose of the project is to “prevent flooding and erosion”.

Any interested parties and/or agencies desiring to express theirviews concerning the above proposed activities may do so by filingtheir comments, in writing, no later than 4:30 p.m., 15 days from thedate of publication of this notice, or, June 7, 2018.

Comments should be addressed to the Consistency Review Unit,Department of State, Planning, Development and Community Infra-structure, One Commerce Plaza, 99 Washington Ave., Albany, NY12231, (518) 474-6000; Fax (518) 473-2464. Electronic submissionscan be made by email at: [email protected]

NYS Register/May 23, 2018Miscellaneous Notices/Hearings

108

This notice is promulgated in accordance with Title 15, Code ofFederal Regulations, Part 930.




The applicant has certified that the proposed activity complies withand will be conducted in a manner consistent with the approved NewYork State Coastal Management Program. The applicant’s consis-tency certification and accompanying public information and data areavailable for inspection on the New York State Department of State’swebsite at http://www.dos.ny.gov/opd/programs/pdfs/Consistency/F-2017-1203BauterCementRamp.pdf

In F-2017-1203, or the “Bauter Precast Cement Ramp”, the ap-plicant – Stacy Bauter – proposes to replace a portion of a deterioratedwall with a precast concrete ramp. The dimensions of the ramp aretwenty feet long by twelve feet wide. The project is located at CountyRoute 59 in the Town of Brownville, Jefferson County, New York onLake Ontario. The stated purpose of the project is to “allow access tothe boat harbor while replacing the damaged wall”.







The applicant has certified that the proposed activity complies withand will be conducted in a manner consistent with the approved NewYork State Coastal Management Program. The applicant’s consis-tency certification and accompanying public information and data areavailable for inspection on the New York State Department of State’swebsite at http://www.dos.ny.gov/opd/programs/pdfs/Consistency/F-2018-0099IozzoBeachLevelDeck.pdf

In F-2018-0099, or the “Private Recreational Deck at Beach Level”,the applicants – Joseph & Samuela Iozzo – proposes to construct a 20foot by 32 foot beach level deck. The proposed beach level deck willserve as a foundation for a future proposed seasonal floater dock. Theapplication states the beach level dock will adequately address thehomeowner’s boat dockage requirements and will aid in keeping boatssafe from damaging wakes produced by commercial jet boats. Theproject is located at 957 River Road in the Village of Youngstown, Ni-agara County, New York on the Lower Niagara River. The statedpurpose of the project is for “recreational use” and “building dockagethat works and keeps boats safe from damage”.







The applicant has certified that the proposed activity complies withand will be conducted in a manner consistent with the approved NewYork State Coastal Management Program. The applicant’s consis-tency certification and accompanying public information and data areavailable for inspection on the New York State Department of State’swebsite at http://www.dos.ny.gov/opd/programs/pdfs/Consistency/F-2018-0122Berg’sResidentialDocks.pdf

In F-2018-0122, or the “Berg’s Residential Docks, Jet Ski Floats &Boat Lift”, the applicant – James Berg – is proposing to install a 4’wide by 25’ long dock and 4’ wide by 40’ long dock in a “L”configuration. In addition, the applicant proposes to install a four pileboat lift and two jet ski floats. The project is located at 2 Dorsett Lanein the Town of Babylon, Suffolk County, New York on Carll’s River.The stated purpose of the project is to “enhance recreational mooringat private residence”.







The applicant has certified that the proposed activity complies withand will be conducted in a manner consistent with the approved NewYork State Coastal Management Program.

In F-2018-0139, Ms. Ann Krom, is proposing to repair the storm-damaged concrete bulkhead at 1296 Peconic Bay Boulevard in theTown of Southold, Suffolk County. The applicant proposes to removeand replace an existing 97-linear foot concrete bulkhead with a newvinyl bulkhead along Great Peconic Bay. The new bulkhead would bein-place of the existing structure, but the bulkhead height would beraised 42 inches above existing to match the neighboring bulkhead tothe west. A total of 41 linear feet of new vinyl bulkhead returns wouldbe installed, with 6 linear feet proposed on the western propertyboundary and 35 linear feet proposed on the eastern property boundary.Approximately 225 cubic yards of clean sand fill would be placedbehind the bulkhead to replenish sand lost due to storm erosion. Newstairs to the beach would be installed that are 4-foot wide by 10-footlong.

NYS Register/May 23, 2018 Miscellaneous Notices/Hearings

109

http://www.dos.ny.gov/opd/programs/pdfs/Consistency/



This project is located within the coastal management area of theTown of Southold Local Waterfront Revitalization Program (LWRP)and is subject to consistency with the LWRP policies, which are avail-able for review at: https://docs.dos.ny.gov/opd-lwrp/LWRP/Southold_T/Index.html

The applicant’s consistency certification and supporting informa-tion are available for review at: http://www.dos.ny.gov/opd/programs/pdfs/Consistency/F-2018-0139_Application.pdf

Original copies of public information and data submitted by the ap-plicant are available for inspection at the Department of State officeslocated at One Commerce Plaza, 99 Washington Ave., Albany, NY.

Any interested parties and/or agencies desiring to express theirviews concerning any of the above proposed activities may do so byfiling their comments, in writing, no later than 4:30 p.m., 30 days fromthe date of publication of this notice, or, June 22, 2018.

Comments should be addressed to the Consistency Review Unit,Department of State, Office of Planning, Development & CommunityInfrastructure, One Commerce Plaza, 99 Washington Ave., Albany,NY 12231, (518) 474-6000; Fax (518) 473-2464. Electronic submis-sions can be made by email at: [email protected]






In F-2018-0197, Mr. Ryan Stork, is proposing to repair the storm-damaged concrete seawall at 1140 Park Avenue in the Town ofSouthold, Suffolk County. The applicant proposes to construct a vinylbulkhead and return in place of an approximately 168-linear footstorm-damaged concrete seawall along Great Peconic Bay and a 68-linear foot concrete return along the western property boundary. Anew, 7-linear foot vinyl bulkhead return would be constructed alongthe eastern property boundary. Approximately 51 linear feet of exist-ing timber retaining wall landward of the bulkhead would be repaired.The area upland of the bulkhead would be backfilled and nourishedwith approximately 240 cubic yards of clean sand fill. The existing,storm-damaged gazebo would be repaired by replacing exterior sid-ing, finishes, and flooring. Damaged concrete stairs would be replacedwith timber stairs leading from the top of bank to the bulkhead. Exist-ing metal stairs would be removed and re-set (in-place) on the newbulkhead.

This project is located within the coastal management area of theTown of Southold Local Waterfront Revitalization Program (LWRP)and is subject to consistency with the LWRP policies, which are avail-able for review at: https://docs.dos.ny.gov/opd-lwrp/LWRP/Southold_T/Index.html


Original copies of public information and data submitted by the ap-plicant are available for inspection at the New York State Departmentof State offices located at One Commerce Plaza, 99 Washington Ave-nue, in Albany, New York.

Any interested parties and/or agencies desiring to express theirviews concerning any of the above proposed activities may do so byfiling their comments, in writing, no later than 4:30 p.m., 30 days fromthe date of publication of this notice, or, June 22, 2018.

Comments should be addressed to the Consistency Review Unit,Department of State, Office of Planning, Development & Community

Infrastructure, One Commerce Plaza, 99 Washington Ave., Albany,NY 12231, (518) 474-6000; Fax (518) 473-2464. Electronic submis-sions can be made by email at: [email protected]






In F-2018-0332, Crosslake Fiber USA, LP is proposing to constructand operate a 76.4-mile fiber-optic cable from the City of Toronto,Ontario, Canada, to the City of Buffalo, New York. The stated purposeof the project is to provide high-speed internet connectivity and reli-ability between Canada and United States markets.

The underwater portion of the proposed route would cross LakeOntario from the shoreline of Ashbridges Bay Park, in the City ofToronto, to a residential property located along the shoreline of LakeOntario at 4851 East Lake Road in the Town of Wilson, NiagaraCounty. From the cable landing location at this residential property,the fiber-optic cable would be buried along existing local, county, andstate road rights-of-way, and would extend south to a data center onMain Street in the City of Buffalo.

The applicant’s consistency certification and selected supporting in-formation are available for review at: http://www.dos.ny.gov/opd/programs/pdfs/Consistency/F-2018-0332_CrosslakeApplica-tion_Partial.pdf

Additional public information and data submitted by the applicantare available for inspection at the New York State Department of Stateoffices located at One Commerce Plaza, 99 Washington Avenue, inAlbany, New York.

Any interested parties and/or agencies desiring to express theirviews concerning any of the above proposed activities may do so byfiling their comments, in writing, no later than 4:30 p.m., 30 days fromthe date of publication of this notice, or June 22, 2018.







In F-2018-0408, New York State Office of Parks, Recreation, andHistoric Preservation (OPRHP) is proposing the East River MarshHabitat Enhancement Project at Beaver Island State Park in the Townof Grand Island, Erie County. The project is located in and along theNiagara River. The stated purpose of the proposed activity is toenhance aquatic habitat function and increase the net quantity and


110

https://docs.dos.ny.gov/opd-lwrp/LWRP/Southold_T/Index.html




quality of the aquatic ecosystem within the project area in the BeaverIsland State Park in three distinct areas: littoral habitat of the NiagaraRiver, an embayment within an abandoned ferry slip, and an off-channel pond/channel area.

Project activities include: installing five barrier islands/rock reefs inthe Niagara River parallel to the unprotected shoreline and im-mediately upstream of the previous East River Wetlands EnhancementProject; increasing the depth profile of an existing, shallow channeland off-channel pond area; deepening the remnants of an existing ferryslip and installing fish attraction structures; installing shoreline protec-tion in the form of heavy stone and cabled logs in some locations; andplanting emergent vegetation (EV) and submerged aquatic vegetation(SAV) around the rock reefs and in some of the excavated areas.

The proposed activity would be undertaken within the State-designated Significant Coastal Fish and Wildlife Habitat (SCFWH)unit of Strawberry Island-Motor Island Shallows. Additional informa-tion on this habitat is available at: https://www.dos.ny.gov/opd/programs/consistency/Habitats/GreatLakes/Strawberry_Island_Motor_Island.pdf


Original copies of public information and data submitted by the ap-plicant are available for inspection at the New York State Departmentof State offices located at One Commerce Plaza, 99 Washington Ave-nue, in Albany, New York.




PUBLIC NOTICEDepartment of StateF-2018-0415 (DA)

Date of Issuance – May 23, 2018


A federal agency has determined that the proposed activity complieswith and will be conducted in a manner consistent to the maximumextent practicable with the approved New York State Coastal Manage-ment Program. The agency’s consistency determination and ac-companying public information and data are available for inspectionat the New York State Department of State offices located at One Com-merce Plaza, 99 Washington Avenue, in Albany, New York.

In F-2018-0415(DA), the National Oceanic and AtmosphericAdministration (NOAA) proposes to conduct hydrographic surveysand sediment grabs in the Hudson River located in Rockland andWestchester counties, and in Shinnecock Bay and Moriches Bay lo-cated in Suffolk County. The stated purpose of the project is to updatedata in the U.S. Nautical Charts.

NOAA has provided the following statements in the submitted con-sistency determination:

The National Oceanic and Atmospheric Administration’s Office ofCoast Survey plans to conduct the hydrographic survey of a 26-squarenautical mile area in the Hudson River, Shinnecock Bay and MorichesBay. The project will begin on or about July, ending around September.The Navigation Response Team 5 will leave port and proceed to thesurvey location shown in Appendix A. In the course of the project, theNavigation Response Team 5 will survey the area shown in Appendix

A with a combination of multibeam echo sounders and side scan sonar.Coast Survey will also collect bottom samples with a small grabsampler. In the course of the project, Coast Survey will follow a seriesof Best Management Practices (BMPs) to reduce or eliminate potentialimpacts to the environment. These BMPs are listed in Appendix C.

Overall, the operation of one or more vessels, the use of high-frequency echo sounders, the collection of bottom samples, and theuse of a CTD instrument is not expected to have a noticeable effect onthe New York coastal zone. The increase to local maritime trafficwould not be noticeable. Air emissions and discharges from the vesselwould be minor, consistent with other marine traffic, and in compli-ance with relevant laws such as the Clean Air Act and the Clean WaterAct. The impacts to the sea floor from collecting a small number of 6”by 6” grab samples is negligible.

NOAA’s consistency determination can be found at: http://www.dos.ny.gov/opd/programs/pdfs/Consistency/F-2018-0415(DA)_Application.pdf

The NOAA Office of Coast Survey evaluated the effects of thisnational program in a Programmatic Environmental Assessmentpublished in 2013. That document and a Finding of No SignificantImpact are available at: https://www.nauticalcharts.noaa.gov/about/regulations-and-policies.html

The proposed activity would be undertaken within the followingunits of State-designated Significant Coastal Fish and Wildlife Habitat(SCFWH), and descriptions of these habitats can be viewed on DOS’website at:

- Moriches Bay https://www.dos.ny.gov/opd/programs/consistency/Habitats/LongIsland/Moriches_Bay.pdf

- Shinnecock Bay https://www.dos.ny.gov/opd/programs/consistency/Habitats/LongIsland/Shinnecock_Bay.pdf

- Dune Road Marsh https://www.dos.ny.gov/opd/programs/consistency/Habitats/LongIsland/Dune_Road_Marsh.pdf


Comments should be addressed to the Department of State, Officeof Planning, Development & Community Infrastructure, One Com-merce Plaza, 99 Washington Ave., Albany, NY 12231, (518) 474-6000;Fax (518) 473-2464. Electronic submissions can be made by email at:[email protected]



Uniform Code Variance/Appeal Petitions

Pursuant to 19 NYCRR Part 1205, the variance and appeal petitionsbelow have been received by the Department of State. Unless other-wise indicated, they involve requests for relief from provisions of theNew York State Uniform Fire Preventions and Building Code. Personswishing to review any petitions, provide comments, or receive actualnotices of any subsequent proceeding may contact Brian Tollisen orNeil Collier, Building Standards and Codes, Department of State, OneCommerce Plaza, 99 Washington Ave., Albany, NY 12231, (518) 474-4073 to make appropriate arrangements.

2018-0129 Matter of Joseph R. Krupa 1246 Route 3, P.O. Box 762,Plattsburgh, NY for a variance concerning the Uniform Code’srequirement to install a sprinkler system in two new buildings thatwill be used as bunkhouses. The subject buildings contain R-2 oc-cupancies and are located on a parcel of land known as “Ariel’s CampShoshanah” which is located at 838 Trout Pond Rd., Town of Chester-field, County of Essex, State of New York.

2018-0191 Matter of Steven Mcnally, Supervisor, P.O. Box 937,Minerva, NY 12851 for a variance concerning the Uniform Code’srequirement to install a sprinkler system in a new senior citizen’scenter building. The subject building contains both A-2 and A-3 as-sembly occupancies. The building is located at Five Morse MemorialRd., Town of Minerva, County of Essex, State of New York.

NYS Register/May 23, 2018 Miscellaneous Notices/Hearings

111

http://www.dos.ny.gov/opd/programs/pdfs/Consistency/F-2018-0415

http://www.dos.ny.gov/opd/programs/pdfs/Consistency/F-2018-0415

https://www.dos.ny.gov/opd/programs/consistency/

2018-0169 Matter of Stephanie Dillalo Bitter, with the Law Firm ofBartlett, Pontiff, Stewart & Rhodes, P.C., One Washington Street,Glens Falls, NY for a variance concerning the Uniform Code’s require-ment for the installation of a barrier around a swimming pool. Thesubject pool will be located at a residence located at 40 North Rd.,Town of Queensbury, County of Warren, State of New York.


Uniform Code Variance / Appeal PetitionsPursuant to 19 NYCRR Part 1205, the variance and appeal petitions

below have been received by the Department of State. Unless other-wise indicated, they involve requests for relief from provisions of theNew York State Uniform Fire Prevention and Building Code. Personswishing to review any petitions, provide comments, or receive actualnotices of any subsequent proceeding may contact Brian Tollisen orNeil Collier, Building Standards and Codes, Department of State, OneCommerce Plaza, 99 Washington Ave., Albany, N.Y. 12231, (518)474-4073 to make appropriate arrangements.

2018-0228 In the matter of David Lust, 708 Tilden Avenue, Utica,NY for a variance concerning requirements for a fire rated cellarceiling.

Involved is an existing Multiple Residence occupancy, three storiesin height, located at 708 Tilden Avenue, City of Utica, County ofOneida, New York.

2018-0237 In the matter of Dry-Lyn, LLC, Herman Sieverding, 15Thornwood Drive, P.O. Box 4860, Ithaca, NY for a variance concern-ing requirements to allow a reduction in width of an aerial fire appara-tus access road.

Involved is the construction of residential (apartment) occupancy,known as “238 Linden Housing”, four stories in height, located at 238Linden Avenue, City of Ithaca, County of Tompkins, New York.


Uniform Code Variance / Appeal Petitions

Pursuant to 19 NYCRR Part 1205, the variance and appeal petitionsbelow have been received by the Department of State. Unless other-wise indicated, they involve requests for relief from provisions of theNew York State Uniform Fire Prevention and Building Code. Personswishing to review any petitions, provide comments, or receive actualnotices of any subsequent proceeding may contact Brian Tollisen orNeil Collier, Building Standards and Codes, Department of State, OneCommerce Plaza, 99 Washington Ave., Albany, NY 12231, (518) 474-4073 to make appropriate arrangements.

2018-0229 Matter of Unifrax Inc. located at 55 Pirson Parkway,Town of Tonawanda (Erie County), NY, for a variance concerning ac-cessibility requirements.

PUBLIC NOTICEDepartment of Taxation and Finance

Interest Rates

The Commissioner of Taxation and Finance hereby sets the interestrates for the months of July, August, September, 2018 pursuant to sec-tions 697(j) and 1096(e) of the Tax Law, as follows:

For purposes of section 697(j) the overpayment rate of interest isset at 4 percent per annum, and the underpayment rate of interest is setat 7.5 percent per annum. For purposes of section 1096(e), the over-payment rate of interest is set at 4 percent per annum, and theunderpayment rate of interest is set at 9 percent per annum. (Theunderpayment rates set pursuant to sections 697(j) and 1096(e) maynot be less than 7.5 percent per annum.) Pursuant to section 1145(a)(1)of the Tax Law, the underpayment rate for State and local sales anduse taxes administered by the Commissioner of Taxation and Financeis 14.5 percent per annum. The underpayment rate for the special as-sessments on hazardous waste imposed by section 27-0923 of theEnvironmental Conservation Law is 15 percent.

For the interest rates applicable to overpayments (refunds) andunderpayments (late payments and assessments) of the following taxesadministered by the Commissioner of Taxation and Finance for theperiod July 1, 2018 through September 30, 2018, see the table below:

7/1/18 - 9/30/18Interest Rate Per Annum

Compounded Daily

Commonly viewed tax types Refunds Late Payments& Assessments

Income ** 4% 7.5%

Sales and use 4% 14.5% *

Withholding 4% 9%

Corporation ** 4% 9%

All other tax types Refunds Late Payments& Assessments

Alcoholic Beverage 4% 9%

Authorized Combative Sports 4% 9%

Beverage Container Deposits 4% 9%

Cigarette NA 9%

Diesel Motor Fuel 4% 9%

Estate 4% 7.5%

Fuel Use Tax *** ***

Generation-Skipping Transfer 4% 7.5%

Hazardous Waste 4% 15%

Highway Use 4% 9%

Medical Marihuana 4% 9%

New York City Taxicab and HailVehicle Trip Tax

4% 9%

Metropolitan CommuterTransportation Mobility Tax

4% 7.5%

Mortgage Recording 4% 9%

Motor Fuel 4% 9%

Petroleum Business 4% 9%

Real Estate Transfer 4% 9%

Tobacco Products NA 9%

Transportation NetworkCompany Assessment

4% 9%

Waste Tire Fee 4% 9%

Wireless Communications Sur-charge

4% 14.5%*

* The Tax Law requires the interest rate on sales tax assessments orlate payments to be set at 14-1/2% for this quarter. However, if theCommissioner determines that the failure to pay or the delay in pay-ment is due to reasonable cause and not willful neglect, the Commis-sioner may impose interest at the corporation tax late payment and as-sessment rate. That rate is 9% for this quarter.

** There are a number of state and local governmental bodies thathave interest rates tied to the overpayment and underpayment ratescontained in either section 697(j) (Income Tax) or section 1096(e)(Corporation Tax) of the Tax Law. For purposes of section 697(j) andsection 1096(e) of the Tax Law, the overpayment rate for this period is4%. For purposes of section 697(j) of the Tax Law, the underpaymentrate for this period is 7.5%. For purposes of section 1096(e) of the TaxLaw, the underpayment rate for this period is 9%.

*** Under section 527(f) of the Tax Law, the interest rates relatingto the Fuel Use tax are set pursuant to the International Fuel Tax Agree-ment (IFTA). For more information regarding IFTA interest rates, seewww.iftach.org.

For further information contact: Kathleen O’Connell, Office ofCounsel, Department of Taxation and Finance, W. A. HarrimanCampus, Albany, NY 12227, (518) 530-4153

For rates for previous periods, visit the Department of Taxation andFinance website: www.tax.ny.gov/taxnews/int_curr.htm


112

COURTNOTICES

AMENDMENT OF RULESupreme Court, Appellate Division

The Judicial Departments of the Appellate Division of the NewYork State Supreme Court, pursuant to the authority vested in them,do hereby promulgate Part 1245 of Title 22 of the Official Compila-tion of Codes, Rules and Regulations of the State of New York, entitledAElectronic Filing Rules of the Appellate Division,@ attached heretoas Exh. A, effective March 1, 2018.

Electronic Filing Rules of the Appellate Division1245.1. Definitions.For purposes of this section:(a) The term “NYSCEF” shall mean the New York State Courts

Electronic Filing System, and the “NYSCEF site” shall mean the NewYork State Courts Electronic Filing System website located atwww.nycourts.gov/efile.

(b) The phrase “authorized e-filer” shall mean a person who hasregistered as an authorized e-filing user with the NYSCEF system pur-suant to 22 NYCRR 202.5-b(c).

(c) Any reference to the “court” or the “Appellate Division” meansthe Appellate Division of the Supreme Court of the State of New Yorkfor the Judicial Department having jurisdiction over the cause or mat-ter; any reference to the “clerk” means the clerk of that court or adesignee, unless the context of usage indicates the clerk of anothercourt.

(d) The word “cause” or “matter” includes an appeal, a specialproceeding transferred to the Appellate Division pursuant to CPLR7804(g), a special proceeding initiated in the Appellate Division, andan action submitted to the Appellate Division pursuant to CPLR 3222on a case containing an agreed statement of facts upon which thecontroversy depends.

(e) The word “document” shall mean a brief, motion, application,record, appendix, or any other paper relating to a cause or matter.“Document” shall not include correspondence, other than letterapplications.

(f) The phrase “electronically file” or “e-file” shall mean the filingand service of a document in a cause or matter by electronic meansthrough the NYSCEF site.

(g) The phrase “hard copy” shall mean a document in paper format.(h) The phrase “exempt litigant” or “exempt attorney” shall mean,

respectively, an individual or attorney who is exempt from e-filingpursuant to section 1245.4 of this Part.

1245.2. Designation of Case Types Subject to E-filing.The court may designate e-filing in such cases and case types as it

deems appropriate.1245.3. Entry of Initial Information for Electronic Filing.(a) Appeals or Transferred Matters – Entry of Contact Information.

In any appeal or transferred proceeding of a type designated by theAppellate Division for e-filing, counsel for the appellant or thepetitioner, unless an exempt attorney, shall within 14 days of filing ofa notice of appeal, or entry of an order granting leave to appeal, orentry of an order transferring a matter to the Appellate Division:

(1) register or confirm registration as an authorized e-filer withNYSCEF; and

(2) enter electronically in NYSCEF such information about thecause and parties, and e-file such documents, as the court shall require.

(b) Appeals or Transferred Matters – Service of Notice of AppellateCase or Docket Number. In any matter described in subdivision (a),counsel for the appellant or the petitioner, unless an exempt attorney,shall within seven days of receipt from the court of an appellate caseor docket number for the matter:

(1) serve upon all parties in hard copy as provided by CPLR 2103notification of that case or docket number, together with otherpertinent information about the case and such documents as the courtshall require, on a form approved by the Appellate Division; and

(2) e-file proof of service of this notification.(c) Original Proceedings – Commencement by Electronic Filing.

Unless an exempt attorney, counsel for a petitioner commencing anoriginal proceeding of a type designated by the Appellate Division fore-filing shall:

(1) register or confirm registration as an authorized e-filer withNYSCEF;

(2) e-file the notice of petition (or order to show cause), petitionand supporting documents;

(3) obtain from the court a case or docket number for the matter;and

(4) serve upon all parties in hard copy as provided in CPLR 2103and court rule

(i) the notice of petition (or order to show cause), petition andsupporting documents; and

(ii) on a form approved by the Appellate Division, notificationof the case or docket number; and

(5) e-file proof of service of the submissions specified in subsec-tion (4).

(d) Entry of Information by Respondents and Other Parties. Within20 days of service of the notification of the case or docket number asrequired in subdivision (b) or (c), counsel of record to each other partyto the matter, unless an exempt attorney, shall:

(1) register or confirm registration as an authorized e-filer withNYSCEF; and

(2) enter electronically in NYSCEF such contact information andadditional information as the court may require.

(e) Designation of Other Persons and Electronic Filing Agents.(1) An authorized e-filer may designate another person to e-file a

document on his or her behalf using the authorized e-filer’s useridentification and password, but shall retain full responsibility for anysuch e-filed document.

(2) Designation of an electronic filing agent. An authorized e-filermay designate another person or entity, including an appellate printer,to e-file documents on his or her behalf as a filing agent if that agent isalso an authorized e-filer. Such filing agent shall e-file a statement ofauthorization, in a form approved by the Appellate Division, prior toor together with the first e-filing in that action by the agent. Theprincipal authorized e-filer shall retain full responsibility for any doc-ument e-filed by such filing agent.

1245.4. Exemptions of Certain Persons from Electronic Filing.(a) Personal Exemptions. The following persons are exempt from

e-filing, and shall file, serve and be served in hard copy:(1) “exempt litigants,” who shall be unrepresented litigants other

than litigants who voluntarily participate in e-filing as set forth insubdivision (d); and

113

(2) “exempt attorneys,” who shall be attorneys who certify ingood faith, on a form provided by the Appellate Division, that theylack either (i) the computer hardware and/or connection to the internetand/or scanner or other device by which documents may be convertedto an electronic format; or (ii) the requisite knowledge in the operationof such computers and/or scanners necessary to participate, pursuantto CPLR 2111(b)(3)(A) or (B). Such certification shall be served onall parties and filed with the court in hard copy.

(b) Notice of Hard Copy Filing. An exempt attorney shall includewith each document filed in hard copy in an e-filed matter a notice ofhard copy filing on a form provided by the court.

(c) Entry of Information the Other Parties. The court may direct an-other party to scan and upload documents filed in hard copy by anexempt attorney or exempt litigant, and to enter additional case infor-mation in NYSCEF.

(d) Voluntary Participation. A pro se or unrepresented litigant mayvoluntarily participate in e-filing in a cause or matter by:

(1) recording his or her consent electronically in the mannerprovided at the NYSCEF site;

(2) registering as an authorized e-filer with the NYSCEF site, andentering case and contact information about the particular cause; and

(3) e-filing documents as provided under this Part.(e) Withdrawal of Consent. An unrepresented litigant who has

consented to participate voluntarily in e-filing in a matter maywithdraw such consent at any time by filing and serving on all partiesa notice of intent to cease e-filing, on a form provided by the AppellateDivision.

1245.5. Electronic Filing and Service.(a) All authorized e-filers who have entered information for a par-

ticular cause as set forth in sections 1245.3(a), (c) or (d) or 1245.4(d)of this Part shall thereafter e-file and be served electronically in thatmatter.

(b) Prior to the expiration of the 20-day period for entry of informa-tion described in section 1245.3(d) of this Part, filing and service ofdocuments by, and service upon, parties who have not entered such in-formation shall be in hard copy.

(c) Upon expiration of the 20-day period for entry of informationdescribed in section 1245.3(d) of this Part, service and filing by andupon all parties other than exempt attorneys and exempt litigants shallbe by e-filing. Thereafter, an attorney who has neither entered infor-mation nor given notice as an exempt attorney pursuant to section1245.4(a)(2) of this Part shall be deemed served with any e-fileddocument.

(d) At all times, service by and upon, and filing by, exempt attorneysand exempt litigants shall be in hard copy. E-filers shall e-file proof ofany service made in hard copy.

(e) Site Instructions. Technical instructions for e-filing documentsshall be set forth on the NYSCEF site (www.nycourts.gov/efile).

(f) Formatting. In addition to compliance with the court’s generalrules for document formatting, e-filed documents filed pursuant to thisPart shall comply with the formatting requirements set forth in attach-ment A.

1245.6. Hard Copy Filing and Service.(a) Filing of Additional Hard Copies.

(1) Unless otherwise directed by the court, authorized e-filersshall, in addition to submitting electronic filings, file hard copies ofdocuments as follows:

(i) appellate briefs, records, appendices, agreed statements inlieu of record: one original and five copies.

(ii) papers in original proceedings, transferred proceedings,motions, applications: such number as required by court rule in mat-ters not subject to e-filing.

(2) Authorized e-filers shall delay the filing of such additionalhard copies of documents until receipt of email notification that theclerk has reviewed and approved the electronic version of the docu-ment, and shall file the hard copies within two business days of suchnotification. A failure to file such additional hard copies of documentsshall cause the filing to be deemed incomplete.

(b) Filing of Unbound Copy of Documents by Exempt Attorneys

and Exempt Litigants. Exempt attorneys and exempt litigants filingand serving documents in hard copy shall additionally file, togetherwith the bound copy or copies of the document in such number asrequired by court rule, a single unbound copy of the filing, containingno staples or binding other than easily removable clips or rubber bands.

(c) Motions and Applications Seeking Emergency Relief. Where amotion or application seeks interim or emergency relief, the court maypermit the initial submissions of a party or parties to be filed andserved in hard copy, and e-filed thereafter. All such filings, other thanfilings by an exempt litigant, shall be accompanied by a notice of hardcopy submission on a form approved by the Appellate Division.

(d) Technical Failure.(1) If the NYSCEF site is subject to technical failure pursuant to

22 NYCRR 202.5-b(i), authorized e-filers shall file and serve docu-ments in hard copy and e-file those documents within three businessdays after restoration of normal operations at that site.

(2) If an authorized e-filer is unable to e-file a document becauseof technical problems with his or her computer equipment or internetconnection, the e-filer shall file and serve the document in hard copy,together with a notice of hard copy submission in a form approved bythe Appellate Division, and shall e-file those documents within threebusiness days thereafter.

1245.7. Timeliness of Filing and Service; Rejection by Clerk.(a) Filing of E-filed documents. For purposes of timeliness under a

statute or court rule or directive, an e-filed document is deemed filedwhen:

(1) the document has been electronically transmitted to theNYSCEF site; and

(2) the appropriate fee, if any, has been paid to the court eitherthrough the NYSCEF site or, where permitted, by delivery to the of-fice of the Clerk.

(b) Service of E-filed Documents. Upon receipt of an e-filed docu-ment and appropriate fee, if any, NYSCEF shall immediately notifyall e-filers in the matter of the receipt and location of the document.For purposes of timeliness of service under a statute or court rule, atthe issuance of such notification the document shall be deemed servedupon all parties other than exempt attorneys and exempt litigants.

(c) Rejection by the Clerk. An e-filed document deemed filed forpurposes of timeliness under this Part may thereafter be reviewed andrejected by the Clerk for any reason provided by this Part or any ap-plicable statute, rule or order, or as otherwise unsuitable for filing.

(d) Hard Copy Filing or Service. The timeliness of service or filingin hard copy pursuant to these rules shall be as provided by statute orcourt directive.

1245.8. Confidentiality; Sealed Documents; Redaction.E-filed matters deemed confidential by statute or court directive, as

well as sealed documents or documents that are the subject of an ap-plication to seal in an e-filed matter, shall be filed and maintained onthe NYSCEF site in a manner that precludes viewing by the publicand such other persons as the case may require. In all matters, autho-rized e-filers shall attest to compliance with statutory redactionrequirements (e.g., General Business Law § 399-ddd) and relevantsealing requirements in filings.

1245.9. Authorized Record; Scanning of Documents by Clerk.(a) The court may deem documents e-filed or uploaded by the par-

ties to be the official record of a cause or matter.(b) The clerk may scan and upload hard copy filings in a cause, and

may deem such uploaded documents to be the official record copy ofthe filing.

1245.10. Rejection of Non-Compliant Documents; Modification ofElectronic Filing Procedures.

(a) Rejection of Documents. The clerk may refuse to accept for fil-ing or e-filing any document that does not comply with this Part orany applicable statute, rule or order, or is otherwise unsuitable for fil-ing, and may direct that the document be refiled.

(b) Modification of Procedures. The court or its designee may atany time modify or discontinue e-filing in a matter for good causeshown.

ATTACHMENT A

NYS Register/May 23, 2018Court Notices

114

Formatting Requirements for Documents Electronically Filed1. General. In addition to compliance with the court’s general rules

for document formatting, e-filed documents filed pursuant to this Partshall

a. be identical in content to the hard copy;b. comply with text searchable PDF archival format (PDF/A);c. contain bookmarks linking the tables of contents of briefs and

records to the corresponding page of the document;d. be paginated to correspond to the hard copy; ande. be scanned at a resolution sufficient to ensure legibility.

2. Motions. Motion papers shall be filed together in one PDF docu-ment, which shall contain bookmarks linking to each separate motiondocument contained therein.

[2.] 3. Multiple Volumes. Each volume of a multi-volume record orappendix shall be submitted as a separate e-filed document.

[3.] 4. Corrections. Where the court directs filing of corrected docu-ments, such corrected documents shall be filed electronically and byhard copy.

[4.] 5. PDF Initial View. The “initial view” of a PDF shall be theBookmarks Panel and Page.

[5.] 6. PDF File Size. E-filed documents shall each be no greaterthan 100MB in size.

=================Please consult the electronic filing webpage of each Department of

the Appellate Division for additional information about these format-ting requirements.

NYS Register/May 23, 2018 Court Notices

115