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January 4, 2017 DEPARTMENT OF STATEVol. XXXIX Division of Administrative RulesIssue 1

NEW YORK STATE

REGISTER

INSIDE THIS ISSUE:

D Residential Health Care Facility Quality PoolD Signs on Buildings Utilizing Truss Type, Pre-Engineered Wood or Timber ConstructionD Emergency Measures for the Homeless During Inclement Winter Weather

Regulatory AgendaRule ReviewOpinions of the Attorney GeneralCourt 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 45 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 45 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 45-day period expires on February 18, 2017– the 30-day period expires on February 3, 2017

ANDREW M. CUOMOGOVERNOR

ROSSANA ROSADOSECRETARY OF STATE

NEW YORK STATE DEPARTMENT OF STATE

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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-

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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 45-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-

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

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

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

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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 ActivitiesChildren and Family Services, Office of

1 / Successor Guardian Payments for Non-Reoccurring Expenses/Eligibility of Destitute Children forKinship Guardianship Assistance (P)

2 / Child Care for Children Experiencing Homelessness (RP)

Civil Service, Department of8 / Jurisdictional Classification (P)

Correction, State Commission of

12 / Annual Report of Pregnant Inmate Restraint (A)

Environmental Conservation, Department of

13 / To Amend 6 NYCRR Part 40 Pertaining to Recreational Party and Charter Boat Regulations forStriped Bass (A)

Health, Department of

13 / Residential Health Care Facility Quality Pool (E)

15 / Expanded Syringe Access Program (A)

Information Technology Services, Office of

15 / Agency Name Change (P)

Motor Vehicles, Department of

15 / Window Tinting Standards (EP)

16 / Motor Vehicle Inspection Standards for Window Tinting (EP)

Niagara Falls Water Board

18 / Adoption of Rates, Fees and Charges (EP)

Public Service Commission

20 / Disposition of Property Tax Refund (A)

20 / Identify and Refund Misclassified SC No. 2 Customers (A)

21 / Disposition of Property Tax Refund (A)

21 / Reinstatement of Authority to Market to and Enroll Non-Residential Customers (A)

21 / Three-Year Gas Rate Plan (A)

22 / Petition to Retain Property Tax Refunds (A)

22 / Tariff Amendments to Extend the Implementation Deadline for the Revised Cash-Out Process (A)

22 / Tariff Amendments to Implement Standby Offset and Reliability Credit Provisions (A)

23 / Petition for Rehearing of the CES Order (A)

24 / Prohibition on ESCO Service to Low-Income Customers (A)

24 / Tariff Amendments to Waive Proration Billing for the ECAM (A)

25 / Tariff Amendments to Update the LED Wattages (A)

25 / Amendments to the Transition Plan Order (A)

25 / Tariff Amendments to Rule 25.5, Contained in P.S.C. No. 220—Electricity (A)

25 / Tariff Amendments to Rider T Programs, Contained in P.S.C. No. 10—Electricity (A)

26 / Tariff Revisions Implementing New Communication Protocols (A)

26 / Waiver of Annual Gas Costs Reconciliation (A)

26 / Addition of Company-Owned LED Options Under SC No. 1—Street Lighting Service (P)

New York State Register January 4, 2017/Volume XXXIX, Issue 1

26 / 2016 Electric Emergency Response Plans for New York’s Six Major Electric Utilities (P)

27 / Consequences Pursuant to the Commission’s Uniform Business Practices (UBP) (P)

27 / Petition for Clarification (P)

27 / Addition of Company-Owned LED Options Under SC No. 3—Standard Street Lighting Service (P)

28 / Transfer of Certain Pipeline Facilities and Applicability of Public Service Law (PSL) Article 4 (P)

State, Department of

28 / Signs on Buildings Utilizing Truss Type, Pre-Engineered Wood or Timber Construction (E)

31 / Requirements Regarding Brokers Receiving Funds, Course Subjects and Hours, and Business Cards(A)

32 / Signs on Buildings Utilizing Truss Type, Pre-Engineered Wood or Timber Construction (A)

Temporary and Disability Assistance, Office of

32 / Emergency Measures for the Homeless During Inclement Winter Weather (EP)

Hearings Schedule for Proposed Rule Makings / 35Action Pending Index / 37

Regulatory Agenda

89 / Education Department

93 / Environmental Conservation, Department of

102 / People with Developmental Disabilities, Office for

103 / Workers’ Compensation Board

Rule Review

105 / Adirondack Park Agency

106 / Education Department

143 / Environmental Conservation, Department of

146 / Higher Education Services Corporation

146 / Information Technology Services, Office of

147 / Law, Department of

147 / Public Service Commission

149 / Temporary and Disability Assistance, Office of

Advertisements for Bidders/Contractors

155 / Sealed Bids

Miscellaneous Notices/Hearings

159 / Notice of Abandoned Property Received by the State Comptroller

159 / Public Notice

Opinions of the Attorney General161 / Informal Opinions

Court Notices

163 / Uniform Rules for the Supreme and County Courts

164 / Departments of the Appellate Division of the Supreme Court

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.

Office of Children and FamilyServices

PROPOSED RULE MAKING

NO HEARING(S) SCHEDULED

Successor Guardian Payments for Non-Reoccurring Expenses/Eligibility of Destitute Children for Kinship GuardianshipAssistance

I.D. No. CFS-01-17-00024-P

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

Proposed Action: Amendment of sections 436.2, 436.3 and 436.7 of Title18 NYCRR.

Statutory authority: Social Services Law, sections 20(3)(d), 34(3)(f),458-b and 458-c

Subject: Successor guardian payments for non-reoccurring expenses/eligibility of destitute children for kinship guardianship assistance.

Purpose: To implement provisions of ch. 607 of L. 2011 and part M of ch.54 of L. 2016 regarding kinship guardianship.

Text of proposed rule: Subdivision (b) of section 436.2 is amended to readas follows:

(b) A prospective relative guardian who has been caring for an eligiblefoster child for at least six consecutive months and who intends to seekguardianship or permanent guardianship of the child may apply to thesocial services official who has custody, care and custody, or guardianshipand custody of the child to receive guardianship assistance and non-recurring guardianship expense payments on behalf of the child, provided,however, such application may not be submitted for a child who has beenplaced into foster care pursuant to article 10 or 10-C of the Family Court

Act unless both the fact finding held in accordance with section 1051 or1095 of the Family Court Act and the first permanency hearing held in ac-cordance with section 1089(a) of the Family Court Act for the child havebeen completed or for all other children in foster care, the first perma-nency hearing for the child has been completed.

Subparagraph (i) of paragraph (5) of subdivision (a) of section 436.3 isamended to read as follows:

(i) if the child has been placed into foster care pursuant to article10 or 10-C of the Family Court Act, that both the fact finding hearing pur-suant to section 1051 or 1095 of the Family Court Act and the first perma-nency hearing pursuant to section 1089(A)(2) of the Family Court Acthave been completed; or

Subdivisions (a) and (b) of section 436.7 are amended to read asfollows:

(a) A social services official must make payments for non-recurringguardianship expenses incurred by or on behalf of the relative guardian orguardians or the successor guardian or guardians who have been approvedby the social services official to receive kinship guardianship assistancepayments, when such expenses are incurred in connection with assumingthe guardianship of a foster child. The agreement for payment of non-recurring guardianship expenses must be reflected in the written agree-ment set forth in section 436.4 of this Part. In accordance with subdivision(b) of this section, the payments must be made by the social services of-ficial either to the relative guardian or guardians or the successor guardianor guardians directly or to an attorney on behalf of the relative guardian orguardians or the successor guardian or guardians for the allowableamount of non-recurring guardianship expenses incurred in connectionwith obtaining such guardianship.

(b) The amount of the payments made pursuant to this section may notexceed $2,000 for each foster child for whom the [relatives] relative guard-ian or guardians or the successor guardian or guardians seek guardian-ship or permanent guardianship and may be available only for those ex-penses that are determined to be eligible for reimbursement by the socialservices official in accordance with this section.

Text of proposed rule and any required statements and analyses may beobtained from: Public Information Office, New York State Office of Chil-dren and Family Services, 52 Washington Street, Rensselaer, New York12144, (518) 473-7793, email: info@ocfs.ny.gov

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

Public comment will be received until: 45 days after publication of thisnotice.

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

Regulatory Impact Statement1. Statutory authority:Section 20(3)(d) of the Social Services Law (SSL) authorizes the Office

of Children and Family Services (OCFS) to establish rules and regulationsto carry out its powers and duties pursuant to the provisions of the SSL.

Section 34(3)(f) of the SSL requires the Commissioner of OCFS to es-tablish regulations for the administration of public assistance and carewithin the State.

Chapter 607 of the Laws of 2011 amended the SSL to require that in or-der for a relative to be eligible to receive kinship guardianship assistanceand non-recurring expense payments for a destitute child, the fact findingfor the destitute child must have been completed.

Part M of Chapter 54 of the Laws of 2016 amended the SSL to autho-rize non-recurring guardianship expense payments to successor guardians.

2. Legislative objectives:The proposed regulations would implement the provisions of Chapter

607 of the Laws of 2011 and Part M of Chapter 54 of the Laws of 2016.3. Needs and benefits:The proposed regulations would implement Part M of Chapter 54 of the

Laws of 2016 by making conforming changes to New York Stateregulations. The amendments are necessary for New York to satisfy the

requirements of the federal Preventing Sex Trafficking and StrengtheningFamilies Act (P. L. 113-183) and for New York to continue to have acompliant Title IV-E State Plan, which is a condition for New York toreceive federal funding for foster care, adoption assistance, kinshipguardianship assistance and the administration of those programs.

The proposed regulations would make conforming amendmentsrequired by Chapter 607 of the Laws of 2011 relating to destitute children.

The proposed regulations will enhance permanency of children in kin-ship guardianship arrangements by financially supporting the ability of asuccessor guardian to secure legal guardianship of a child upon the deathor incapacity of the child’s relative guardian.

The proposed regulations would add the conforming statutory require-ment that in order for a relative guardian to receive kinship guardianshipassistance and non-recurring guardianship expense payments for adestitute child, the fact finding for such destitute child must have beencompleted.

4. Costs:The proposed regulations would not have a fiscal impact on the State of

New York. State reimbursement to local departments of social services isavailable under the foster care block grant in accordance with section153-k of the SSL. Kinship guardianship assistance payments for TitleIV-E eligible destitute children would be eligible for 50% federalreimbursement and payments for non-recurring guardianship expense pay-ments would be eligible for partial federal reimbursement as an administra-tive cost. Non-recurring guardianship expense payments may not exceed$2,000 per child. It is anticipated that the number of destitute children whomay qualify for kinship guardianship assistance payments would beminimal due to the few children who enter foster care as destitute children.

5. Local government mandates:The proposed regulations would impose an additional mandate on social

services districts and social services officials in regard to the payment fornon-recurring guardianship expenses for successor guardians.

6. Paperwork:The requirements imposed by the proposed regulations will be recorded

in the original kinship guardianship assistance agreement and any amend-ments made thereto.

7. Duplication:The proposed regulations do not duplicate other state or federal

requirements.8. Alternatives:No alternative approaches to implementing the changes to regulation

were considered. These amendments are necessary to implement Part Mof Chapter 54 of the Laws of 2016 and Chapter 607 of the Laws of 2011andto conform to current federal law.

9. Federal standards:The proposed regulations comply with applicable state and federal

standards.10. Compliance schedule:Compliance with the proposed regulations would begin immediately

upon final adoption.

Regulatory Flexibility Analysis1. Effect on Small Businesses and Local Governments:These proposed regulations will have an impact upon social service

districts and authorized voluntary agencies. In New York State there areapproximately 58 social service districts and 83 authorized voluntaryagencies.

2. Compliance Requirements:The proposed regulations would implement provisions set forth in Part

M of Chapter 54 of the Laws of 2016. Part M of Chapter 54 of the Laws of2016 amended section 458-c of the Social Services Law (SSL) to providethat successor guardians are eligible for payments for non-recurring guard-ian expenses, as required by the federal Preventing Sex Trafficking andStrengthening Families Act (P. L. 113-183).

The proposed regulations would also implement Chapter 607 of thelaws of 2011 in regard to the requirement that in order for a relative to beeligible for kinship guardianship assistance and non-recurring guardian-ship expense payments for a destitute child, the fact finding for thedestitute child must have been completed.

3. Professional Services:These proposed regulations do not create the need for additional profes-

sional services.4. Compliance Costs:The proposed regulations would not have a fiscal impact on the State of

New York. State reimbursement to local departments of social services isavailable under the foster care block grant in accordance with section153-k of the SSL. Kinship guardianship assistance for Title IV-E eligibledestitute children would be eligible for 50% federal reimbursement andpayments for non-recurring guardianship expense payments would beeligible for partial federal reimbursement as an administrative cost. Non-recurring guardianship expense payments may not exceed $2,000 per

child. It is anticipated that the number of destitute children who mayqualify for kinship guardianship assistance payments would be minimaldue to the few children who enter foster care as destitute children.

5. Economic and Technological Feasibility:These proposed regulations would not have an adverse economic impact

on social service districts, and would not require the hiring of additionalstaff.

6. Minimizing Adverse Impact:It is not anticipated that the proposed regulations will result in an

adverse impact on local government agencies or small businesses.7. Small Business and Local Government Participation:The proposed regulations are a result of amendments to the SSL enacted

in Chapter 607 of the Laws of 2011 and Part M of Chapter 54 of the Lawsof 2016. Local departments of social services have been briefed about thechanges to the kinship guardianship assistance program by OCFS at pub-lic forums and in releases issued by OCFS.

8. For Rules That Either Establish or Modify a Violation or Penalties:These proposed regulations do not establish or modify a violation or

penalty.

Rural Area Flexibility Analysis1. Types and estimated number of rural areas:The proposed regulations will affect the 44 social services districts and

approximately 35 authorized voluntary agencies that are in rural areas.2. Reporting, recordkeeping and other compliance requirements:The proposed regulations would implement Part M of Chapter 54 of the

Laws of 2016 that amended section 458-c of the Social Services Law(SSL) to authorize payment for non-recurring guardianship expenses forsuccessor guardians, as required by the federal Preventing Sex Traffickingand Strengthening Families Act (P. L. 113-183).

The proposed regulations would implement Chapter 607 of the Laws of2011 in regard to the requirement that in order for a relative to be eligiblefor kinship guardianship assistance and non-recurring guardianshipexpense payments for a destitute child, the fact finding for the destitutechild must have been completed.

3. Costs:The proposed regulations would not have a fiscal impact on the State of

New York. State reimbursement to local departments of social services isavailable under the foster care block grant in accordance with section153-k of the SSL. Kinship guardianship assistance payments for TitleIV-E eligible destitute children would be eligible for 50% federalreimbursement and payments for non-recurring guardianship expense pay-ments would be eligible for partial federal reimbursement as an administra-tive cost. Non-recurring guardianship expense payments may not exceed$2,000 per child. It is anticipated that the number of destitute children whomay qualify for kinship guardianship assistance payments would beminimal due to the few children who enter foster care as destitute children.

4. Minimizing adverse impact:It is not anticipated that the proposed regulations will result in an

adverse impact on social service districts or small businesses that are inrural areas.

5. Rural area participation:The proposed regulations are a result of amendments to the Social Ser-

vices Law enacted in Chapter 607 of the Laws of 2011 and Part M ofChapter 54 of the Laws of 2016. Local departments of social services havebeen briefed about the changes to the kinship guardianship assistanceprogram by OCFS at public forums and in releases issued by OCFS.

Job Impact StatementThe proposed amendments to regulation will not have a negative impacton jobs or employment opportunities in either public or private childwelfare agencies. A full job impact statement has not been prepared for theproposed regulations as it is assumed that the proposed regulations willnot result in the loss of any jobs.

REVISED RULE MAKING

Child Care for Children Experiencing Homelessness

I.D. No. CFS-24-16-00001-RP

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

Proposed Action: Amendment of sections 404.1, 404.6, 404.8, 415.1,415.2, 415.3, 415.4, 415.7, 415.8 and 415.9; and repeal of section 415.11of Title 18 NYCRR.

Statutory authority: Social Services Law, sections 20(3)(d), 34(3)(f),410(1) and title 5-C

Subject: Child care for children experiencing homelessness.

NYS Register/January 4, 2017Rule Making Activities

Purpose: To reduce barriers for children experiencing homelessness toreceive child care assistance and to attend child care.Text of revised rule: Title 18, of the Official Compilation of Codes, Rulesand Regulations of the State of New York (NYCRR), is hereby amendedto include amendments to sections 404.1, 404.6, 404.8, 415.1, 415.2,415.3, 415.4, 415.7, 415.8 and 415.9. In addition, section 415.11 is herebyrepealed.

18 NYCRR Part 404.1(d)(1)(ii) is amended to read as follows:(ii) Except for the provision of child care services to certain fami-

lies transitioning from family assistance as set forth in section415.2(a)(1)[(iii)](iv) of this Title, and protective services for adults as setforth in Part 457 of this Title, no reimbursement will be available for theprovision of services prior to the date of actual determination of program-matic and/or financial eligibility unless such determination is made within30 days of the date of application and the individual is determined to havebeen programmatically and/or financially eligible when services wereinitiated. In no event may the date of eligibility precede the date of ap-plication except for the provision of child care to transitioning families asset forth in section 415.2(a)(1)[(iii)](iv) of this Title and protective ser-vices for adults.

18 NYCRR Part 404.6(a) is amended to read as follows:(a) The social services district must impose and provide for the collec-

tion of such fees for service as are required in the then effective consoli-dated services plan or integrated county plan or, in the case of child careservices, the family share for such services required by section415.3[(f)](e) of this Title. Failure of the service recipient to pay a fee orfamily share as required in this section must lead to suspension or termina-tion of the service for which the fee or family share was imposed and notpaid unless, in the case of child care services, satisfactory arrangementshave been made, prior to the suspension or termination of such services,for the service recipient to make full payment of all delinquent familyshares. No subsequent application nor any reapplication by the service re-cipient for any service suspended or terminated by reason of the failure topay a required fee or family share will be considered until such time as alldelinquent fees are paid or, in the case of child care services, unless anduntil arrangements satisfactory to the social services district are made forthe service recipient to make full payment of all delinquent family shares.Notwithstanding the foregoing, failure of the service recipient to pay a feeor family share must not be a basis for denial or discontinuance of servicesas part of a plan of protective services for an adult or a child or for prevent-ing placement of a child in foster care.

18 NYCRR Part 404.8(b) is amended as follows:(b) The definition of child care services unit set forth in section

415.1[(f)](l) of this Title must be used for all determinations and redetermi-nations of eligibility for child care services.

18 NYCRR Part 415.1(a) is amended to read as follows:(a) Child care services means care for an eligible child provided on a

regular basis either in or away from the child’s residence for less than 24hours per day which is provided by an eligible provider as defined insubdivision [(i)](g) of this section. Child care services may exceed 24 con-secutive hours when such services are provided on a short-term emer-gency basis or in other cases where the caretaker’s approved activitynecessitates care for 24 hours or more on a limited basis, if the district hasindicated in its consolidated services plan or integrated county plan that itwill provide for such care.

18 NYCRR Part 415.1(i) is amended to read as follows:(i) Legally-exempt group child care means care provided by those

caregivers, other than caregivers of informal child care as defined insubdivision [(c)](h) of this section, which are not required to be licensedby or registered with the department or licensed by the City of New Yorkbut which meet all applicable State or local requirements for such childcare programs. Caregivers of legally-exempt group child care include, butare not limited to:

18 NYCRR Part 415.2(a)(2) is amended to add subparagraph (v) toread as follows:

(v) A family experiencing homelessness, in accordance with sec-tion 725 of Subtitle VII-B of the McKinney-Vento Act, with income up to200 percent of the State income standard and child care services areneeded for the child’s caretaker(s) to seek housing and:

(a) for the child’s caretaker(s) to seek employment as defined insection 415.1(p); or

(b) for the child’s caretaker(s) to be engaged in work as definedin section 415.1(o); or

(c) for the child’s caretaker(s) to attend educational or voca-tional activities as defined in section 415.2(a)(3)(vii)(b) or section415.2(a)(3)(iv). Notwithstanding the potential for some of these educa-tional or vocational training programs to allow for the eventual attain-ment of a bachelor’s degree or like certificate of completion for a four-year college program, this regulation does not permit the renewal of sucheducational or vocational training program enrollment for any additional

period in excess of 30 consecutive calendar months except as for thoseprograms defined in section 415.2(a)(3)(iv), nor does it permit enrollmentin more than one such program; or

(d) for the child’s caretaker(s) to access or participate incounseling services programs.

18 NYCRR Part 415.2(d)(1)(i) is amended to add clause (c) to read asfollows:

(a) families with very low income. Each social services districtmust establish in its consolidated services plan or integrated county planan income level at or below 200 percent of the State income standardwhich will constitute the upper income level for families with very lowincome; [and]

(b) families with children who have special needs[.]; and(c) families experiencing homelessness.

18 NYCRR Part 415.3(e)(1) is amended to read as follows:(1) Each family receiving child care services, [with the] except[ion

of] for a family where the parent(s) or caretaker relative(s) is receivingpublic assistance[,] or a family experiencing homelessness, must contrib-ute toward the costs of such services by paying a family share based uponthe family’s income. A family share also may be required of any family torecoup an overpayment for a child care services regardless of whether anymember of the family is receiving public assistance.

18 NYCRR Part 415.4(a)(1)(v) is amended to read as follows:(v) a recipient’s responsibility to contribute toward the costs of the

child care services by paying a family share, if required as determined inaccordance with section 415.3[(f)](e) of this Part;

18 NYCRR Part 415.4(c)(1) is amended to read as follows:(1) A recipient must have the option to choose between the eligible

providers set forth in section 415.1[(h)](g) of this Part; provided, however,that:

18 NYCRR Part 415.4(f)(7)(iv)(b) is amended to read as follows:(b) if the caregiver of legally-exempt group child care is not

required to operate under the auspices of another Federal, State or localgovernmental agency, then the caregiver must meet the additional healthand safety requirements set forth in [subparagraphs (iv) and (v) of thisparagraph] section 415.4(f)(7).

18 NYCRR Part 415.4(f)(7)(v)(w) is amended as follows:(w) The caregiver shall [will] not[ give] provide child care to

any child unless the caregiver has been furnished with a statement signedby a physician or other authorized individual who specifies that the childhas received age appropriate immunizations in accordance with New YorkState Public Health Law or a statement signed by a physician or other au-thorized individual who indicates that one or more of the immunizationswould be detrimental to the child’s health, or the child’s caretaker providesa statement indicating that the child has not been immunized due to thecaretaker’s religious beliefs.

18 NYCRR Part 415.7(f)(2) is amended to read as follows:(2) to receive a child care certificate, as defined in section

415.1[(p)](n) of this Part, which permits the child’s caretaker to arrangechild care services with any eligible provider.

18 NYCRR Part 415.8(k)(2) is amended to read as follows:(2) The parent or caretaker relative must document to the social ser-

vices district, through the submission of new attestations in accordancewith [subdivision (h) of this] section 415.8(i) on a periodic basis as setforth by the social services district, that the parent or caretaker relative iscontinuing to attempt to locate the needed child care including followingup on all new referrals from the social services district, child care resourceand referral agency, and/or any other child care agency, as applicable, andby responding to all offers of child care from the social services district.New attestations must be submitted in accordance with a scheduledeveloped by the district based on the parent’s or the caretaker relative’semployment plan.

18 NYCRR Part 415.8(l)(6) is amended to read as follows:(6) Affordable means the parent or caretaker relative would have suf-

ficient income to pay the family share for the child care services determinedin accordance with section 415.3[(f)](e) of this Part, if required, and/or topay the cost of care above market rate, if applicable. If the potentialprovider is a provider of informal child care who would be providing carein the child(ren)’s home, affordable also means that the parent or caretakerrelative would have sufficient income to pay the provider at least mini-mum wage, if required by State and/or Federal law, and to provide suchprovider with all employment benefits required by State and Federal law.

18 NYCRR Part 415.9(h) is amended as follows:(h)(1) A social services district may establish a differential payment

rate[s] for child care services provided by [regulated]licensed or registeredchild care providers that have been accredited by a nationally recognizedchild care organization. Legally-exempt child care providers are noteligible for a differential payment rate under this paragraph. If the socialservices district chooses to provide a differential rate, the differential ratemust be at least five percent higher than the actual cost of care or the ap-

NYS Register/January 4, 2017 Rule Making Activities

plicable market rate, whichever is less. The differential rate may notexceed 15 percent of the actual cost of care or the applicable market rate,whichever rate is less.

(2) A social services district [may also]must establish differentialpayment rates for any eligible child care provider[s] as defined in section415.1[(h)](g) of this Part for child care services provided during nontradi-tional hours (evening, night or weekend hours). The differential rate mustbe at least five percent higher than the actual cost of care or the applicablemarket rate, whichever is less. The differential rate may not exceed 15percent of the actual cost of care or the applicable market rate, whicheveris less.

(3) A social services district must establish differential payment ratesfor licensed and registered child care providers for child care servicesprovided to a child experiencing homelessness. A social services districtmay establish differential payment rates for legally-exempt child careproviders for a child experiencing homelessness. The differential rate forlicensed and registered child care providers must be at least five percenthigher than the actual cost of care or the applicable market rate, which-ever is less. There is no minimum differential rate for legally-exempt childcare providers. The differential rate may not exceed 15 percent of theactual cost of care or the applicable market rate, whichever is less.

(4) [The differential payment rates established by the district may beup to 15 percent higher than the applicable market rates set forth in theseregulations.] The differential payment rates the district sets [for accreditedprograms] may be different [than the rates set for care provided duringnontraditional hours] for each category established in this subdivision.The social services district must indicate in the district’s consolidated ser-vices plan or integrated county plan the percentage [above the applicablemarket rate(s)] that it [opts to allow] will provide for [accredited programsand/or for care provided during nontraditional hours] each category. Thesocial services district must indicate the rate that it will provide for childcare providers that qualify for multiple differential payment rates, pursu-ant to this section. The total percentage must not exceed 25 percent of theapplicable market rate or the actual cost of care. A social services districtmay request a waiver from the [o]Office to establish a payment rate that isin excess of [15] 25 percent above the applicable market rate upon a show-ing that the [15] 25 percent maximum is insufficient to provide accesswithin the district [to accredited programs and/or care provided duringnontraditional hours]to such child care providers or services, as applicable.

Revised rule compared with proposed rule: Substantial revisions weremade in section 415.2.

Text of revised proposed rule and any required statements and analysesmay be obtained from Public Information Office, New York State Officeof Children and Family Services, 52 Washington Street, Rensselaer, NewYork 12144, (518) 473-7793, email: info@ocfs.ny.gov

Revised Regulatory Impact Statement1. Statutory authority:Section 20(3)(d) of the Social Services Law (SSL) authorizes the Com-

missioner of the Office of Children and Family Services (Office) to estab-lish rules, regulations and policies to carry out the Office’s powers andduties under the SSL.

Section 34(3)(f) of SSL authorizes the Commissioner of the Office toestablish regulations for the administration of public assistance and carewithin the State.

Section 410(1) of the SSL authorizes a social services official of acounty, city, or town to provide day care for children at public expense andauthorizes the Office to establish criteria for when such day care is to beprovided.

Article 6, Title 5-C (sections 410-u through 410-z) of the SSL governsthe New York State Child Care Block Grant. It includes provisions regard-ing the use of funds by social services districts, the types of familieseligible for services, the amount of local funds that must be spent on childcare services, and reporting requirements. The Office is required to specifycertain New York State Child Care Block Grant requirements in regulation.

The Child Care and Development Block Grant Act of 2014 (42 U.S.C.9858 et seq.) requires that the State give priority to families experiencinghomelessness. In addition, the federal statute includes a number of provi-sions to improve access to high quality child care for children experienc-ing homelessness. The law requires the State to establish a grace periodthat allows children experiencing homelessness and children in foster careto receive child care services while allowing their families, a reasonabletime to comply with immunization and other health and safetyrequirements.

2. Legislative objectives:The legislative intent of the child care subsidy program is to assist low

income families in meeting their child care costs in quality programs thatprovide for the health and safety of their children.

The regulations support the legislative objectives underlying Article 6,Title 5-C of the SSL to provide child care services to public assistancerecipients and low income families when necessary to promote self-sufficiency and to protect the health and safety of children in care. In addi-tion, the regulations provide social services districts with greater localflexibility to provide child care services in the manner that best meets theneeds of their local communities.

3. Needs and benefits:The Child Care and Development Block Grant Act of 2014 (42 U.S.C.

9858 et seq.) requires that the State give priority to families experiencinghomelessness, and establish a grace period to allow children experiencinghomelessness and children in foster care to be enrolled in a child careprogram while required immunization and medical documentation isobtained. The purpose of this proposed rule-making is to reduce barriersfor children experiencing homelessness to receive child care assistanceand to attend child care. This package also makes technical revisions tocorrect inaccurate cross references.

A Notice of Proposed Rule Making for Child Care for ChildrenExperiencing Homelessness, Parts 404 and 415 of Title 18 of the OfficialCompilation of Codes, Rules and Regulations of the State of New York(NYCRR), I.D. No. CFS-24-16-00001-P, was included in the New YorkState Register dated June 15, 2016. In response to comments on theproposed regulations, the Office of Children and Family Services (OCFS)determined that changes to the proposed regulations are needed. OCFShas withdrawn the proposed changes to 18 NYCRR § 415.2(a)(3)(iii)(b)and § 415.2(a)(3)(iii)(c) that would have eliminated the options fordistricts to provide child care assistance to income-eligible homeless fam-ilies to the extent that funding is available. Additionally, OCFS hasproposed to add the arrangement for, and participation in, counseling ser-vices programs in the list of approved activities for families experiencinghomelessness, as an additional subclause (d) to the changes previouslyproposed to 18 NYCRR § 415.2(a)(2)(v).

4. Costs:Under the State Budget for SFY 2016-2017, social services districts

received their allocations of $805,928,001 in federal and State funds underthe New York State Child Care Block Grant. Social services districts havethe option to transfer a portion of their Flexible Fund for Family Servicesallocations to the New York State Child Care Block Grant to supplementtheir New York State Child Care Block Grant allocations.

Under section 410-v(2) of the Social Services Law, the State isresponsible for reimbursing social services districts for seventy-fivepercent (75%) of the costs of providing subsidized child care services topublic assistance recipients; social services districts are responsible for theother twenty-five percent (25%) of such costs. In addition, the State isresponsible for reimbursing social services districts for one hundredpercent (100%) of the costs of providing child care services to othereligible low-income families. The State reimbursement for these childcare services is made from the State and/or federal funds allocated to theNew York State Child Care Block Grant and is limited on an annual basisto each social services district’s New York State Child Care Block Grantallocation for that year.

For families that do not fall under the child care guarantee, social ser-vices districts will be required to prioritize and provide child care subsidiesto support homeless families to the extent that they have funding available.Social services districts will be required to include a family experiencinghomelessness as a priority population, if the family is seeking housing,and: seeking employment or, engaged in work or, participating in an ap-proved educational or vocational activity, or receiving counseling services.

Social services districts may use block grant funds allocated to coverthe costs of the differential market rate for care provided to childrenexperiencing homelessness.

Social services districts will continue to have discretion with regard toestablishing a differential payment rate for child care services provided byan accredited program, however those districts that choose to establishsuch a rate will be required to establish the rate at least five percent (5%)higher than the actual cost of care or the applicable market rate, whicheveris less.

Social services districts will be required to provide licensed/registeredchild care providers with a differential market rate, for care provided to achild experiencing homelessness, of at least five percent (5%) higher thanthe actual cost of care or the applicable market rate, whichever is less.Social services districts have the option to pay up to fifteen percent (15%)above the actual cost of care or the applicable market rate, if the social ser-vices district selects this option in its consolidated services plan orintegrated county plan.

Social services districts have the option to establish a differential pay-ment rate for legally-exempt child care providers for child care servicesprovided to a child experiencing homelessness, if the social servicesdistrict selects this option in its consolidated services plan or integratedcounty plan. If a social services district chooses to provide a differential

rate, it will not be required to establish a minimum differential rate forlegally-exempt child care providers. Social services districts will have theoption to pay up to fifteen percent (15%) above the actual cost of care orthe applicable market rate, whichever is less.

Social services districts will be required to establish differential pay-ment rates for child care providers for child care services provided duringnontraditional hours (evening, night, or weekend hours). The differentialrate for child care providers must be at least five percent (5%) higher thanthe actual cost of care or the applicable market rate, whichever is less.Social services districts may not establish a differential rate that exceedsfifteen percent (15%) of the actual cost of care or the applicable marketrate, whichever is less.

Social services districts may establish different differential paymentrates for each category: accredited child care programs, care provided dur-ing nontraditional hours, or care provided to a child experiencinghomelessness. The social services district will be required to indicate inthe district’s consolidated services plan or integrated county plan the per-centage that it will provide for each category. For child care providers thatqualify for multiple differential payment rates, the total percentage mustnot exceed twenty-five percent (25%) of the applicable market rate or theactual cost of care. Social services districts will be allowed to request awaiver to establish a payment rate that is in excess of twenty-five percent(25%) above the applicable market rate upon a showing that the twenty-five percent (25%) maximum is insufficient to provide access within thedistrict to accredited programs and/or care provided during nontraditionalhours and/or care provided to a child experiencing homelessness.

Social services districts will be required to waive the family fee for afamily experiencing homelessness.

Child care providers will be required to provide child care and socialservices districts will be required to provide child care assistance for agrace period, consistent with New York State Public Health Law, that willallow parents to obtain required immunization paperwork.

5. Local government mandates:Social services districts will be required to make payments for subsi-

dized child care services based on the actual cost of care up to the ap-plicable market rates. Social services districts must identify which childcare providers receive a differential payment rate for: serving a child/renexperiencing homelessness, providing care during nontraditional hoursand/or, are accredited by a nationally recognized child care organization.Social services districts must identify which child care providers are serv-ing children experiencing homelessness and waive the family fee andadjust payments, as appropriate.

6. Paperwork:Social services districts will need to review cases to determine whether

the differential market rate applies to: accredited child care programs, carebeing provided during nontraditional hours, and/or care being provided toa child experiencing homelessness. Social services districts will need toreview cases to determine whether the family fee should be waived. Pay-ment adjustments will have to be made, as appropriate.

7. Duplication:The new requirements do not duplicate any existing State or federal

requirements.8. Federal standards:The regulations are consistent with provisions of the Child Care and

Development Block Grant Act of 2014 (42 U.S.C. 9858 et seq.) thatrequire the State to prioritize families experiencing homelessness andprovide a grace period for children experiencing homelessness to attendchild care.

9. Compliance schedule:These provisions must be effective on February 1, 2017.10. Alternative approaches:No alternative approaches were considered because federal statute

requires that families experiencing homelessness be prioritized to receivechild care assistance and provides a grace period for children experiencinghomelessness to attend child care.

Revised Regulatory Flexibility Analysis1. Effect on small businesses and local governments:The change in regulations, waiving the family fee for families experi-

encing homelessness, the differential market rate for care provided to chil-dren experiencing homelessness, the differential market rate for careprovided during nontraditional hours, the differential market rate for careprovided by an accredited child care program, prioritizing child care assis-tance for children experiencing homelessness, and providing a grace pe-riod for children to attend child care while the parents work towardcomplying with the state immunization requirements, will affect the 58social services districts. There is a potential effect on over 20,000 licensedand registered child care providers and an estimated 45,000 informalproviders that may provide child care services to families receiving a childcare subsidy.

2. Compliance requirements:

For families that do not fall under the child care guarantee, social ser-vices districts will be required to prioritize and provide child care subsidiesto support homeless families to the extent that they have funding available.Child care services will be provided to homeless families while the fami-lies seek housing, and: seek employment, or engage in work, or attendeducational or vocational activities, or receive counseling services. Childcare services will be provided during a grace period for families to complywith state immunization requirements in accordance with NYS PublicHealth Law.

Social services districts will be required to establish differential pay-ment rates for child care providers for child care services provided duringnontraditional hours (evening, night, or weekend hours). Social servicesdistricts will be required to establish a differential rate for child careproviders that must be at least five percent (5%) higher than the actual costof care, or the applicable market rate, whichever is less. Social servicesdistricts may not establish a differential rate that exceeds fifteen percent(15%) of the actual cost of care or the applicable market rate, whichever isless.

Social services districts will be required to establish differential pay-ment rates for licensed/registered child care providers for child care ser-vices provided to a child experiencing homelessness. Social servicesdistricts may establish differential payment rates for legally-exempt childcare providers for a child experiencing homelessness. Social servicesdistricts will be required to establish a differential rate for licensed/registered child care providers that must be at least five percent (5%)higher than the actual cost of care or the applicable market rate, whicheveris less. A social services district that chooses to provide a differential ratewill not be required to establish a minimum differential rate for legally-exempt child care providers. Social services districts may not establish adifferential rate that will exceed fifteen percent (15%) of the actual cost ofcare or the applicable market rate, whichever is less.

Social services districts may establish differential payment rates thatmay be different for each category: accredited child care programs, careprovided during nontraditional hours, or care provided to a child experienc-ing homelessness. The social services district will be required to indicatein the district’s consolidated services plan or integrated county plan thepercentage that it will provide for each category. For child care providersthat qualify for multiple differential payment rates, the total percentagemust not exceed twenty-five percent (25%) of the applicable market rateor the actual cost of care. Social services districts will be allowed to requesta waiver to establish a payment rate that is in excess of twenty-five percent(25%) above the applicable market rate upon a showing that the twenty-five percent (25%) maximum is insufficient to provide access within thedistrict to accredited programs and/or care provided during nontraditionalhours and/or care provided to a child experiencing homelessness.

Social services districts will be required to waive the family fee forhomeless families.

Social services districts will need to review cases to determine whetherthe differential market rate applies to: accredited child care programs, carebeing provided during nontraditional hours, and/or care being provided toa child experiencing homelessness. Social services districts will need toreview cases to determine whether the family fee should be waived. Pay-ment adjustments will have to be made, as appropriate.

3. Professional services:Neither social services districts, nor child care providers, should have to

hire additional professional staff in order to implement these regulations.4. Compliance costs:Under the State Budget for SFY 2016-2017, social services districts

In addition, social services districts may use block grant funds to servethe optional categories of eligible individuals set forth in OCFSregulations. Social services districts may use block grant funds allocatedto cover the costs of the differential market rate to be paid to providers,who have obtained an accreditation from a nationally recognized child

care organization, who are serving a child experiencing homelessness,and/or provide care during nontraditional hours.

5. Economic and technological feasibility:The child care providers and social services districts affected by the

regulations have the economic and technological ability to comply withthe regulations.

6. Minimizing adverse impact:OCFS believes that there will be minimal impact on social services

districts because these families will be served to the extent that the districthas funding available. These changes will provide needed support toprioritize homeless families and incentivize providers to serve childrenwho are homeless.

The regulations recognize that there may be differences in the needsamong social services districts. To the extent allowed by statute, theregulations provide social services districts with flexibility in designingtheir child care subsidy programs in a manner that will best meet the needsof their communities.

7. Small business and local government participation:In the development of the 2016-2018 Child Care and Development

Fund Plan, OCFS held three (3) regional public hearings in which thesechanges were presented to child care providers and local social servicesdistricts. OCFS held a statewide webinar for child care providers thatoutlined these and other changes. Local social services districts partici-pated in two statewide telephone conferences where ideas were shared onhow to support homeless families. The draft 2016-2018 Child Care andDevelopment Fund Plan was posted on the OCFS website. Child careproviders, local governments, and the public made comments on theproposed 2016-2018 Child Care and Development Fund Plan.

Revised Rural Area Flexibility Analysis1. Types and estimated numbers of rural areas:The regulations will affect the 44 social services districts located in ru-

ral areas of the State and the child care providers and families located inthose social services districts.

2. Reporting, recordkeeping, and other compliance requirements andprofessional services:

Social services districts will need to review cases to determine whetherthe differential market rate applies to: accredited child care programs, carebeing provided during nontraditional hours, and/or care being provided toa child experiencing homelessness. Social services districts will need toreview cases to determine whether the family fee should be waived. Pay-ment adjustments will have to be made, as appropriate.

For families that do not fall under the child care guarantee, social ser-vices districts will be required to prioritize and provide child care subsidiesto support homeless families to the extent that they have funding available.Child care services will be provided to homeless families while familiesseek housing and: seek employment, or engage in work, or attend trainingor educational activities, or receive appropriate counseling services. Childcare services will be provided during a grace period for families to complywith state immunization requirements in accordance with NYS PublicHealth Law.

Social services districts will be required to establish differential pay-ment rates for child care providers for child care services provided duringnontraditional hours (evening, night, or weekend hours). Social servicesdistricts will be required to establish a differential rate for child careproviders that must be at least five percent (5%) higher than the actual costof care, or the applicable market rate, whichever is less. Social servicesdistricts may not establish a differential rate that exceeds fifteen percent(15%) of the actual cost of care or the applicable market rate, whichever isless.

Social services districts will be required to establish differential pay-ment rates for licensed/registered child care providers for child care ser-vices provided to a child experiencing homelessness. Social servicesdistricts may establish differential payment rates for legally-exempt childcare providers for a child experiencing homelessness. Social servicesdistricts will be required to establish a differential rate for licensed/registered child care providers that must be at least five percent (5%)higher than the actual cost of care or the applicable market rate, whicheveris less. A social services district that chooses to provide a differential ratewill not be required to establish a minimum differential rate for legally-exempt child care providers. Social services districts may not establish adifferential rate that will exceed fifteen percent (15%) of the actual cost ofcare or the applicable market rate, whichever is less.

Social services districts may establish differential payment rates thatmay be different for each category: accredited child care programs, careprovided during nontraditional hours, or care provided to a child experienc-ing homelessness. The social services district will be required to indicatein the district’s consolidated services plan or integrated county plan thepercentage that it will provide for each category. For child care providersthat qualify for multiple differential payment rates, the total percentagemust not exceed twenty-five percent (25%) of the applicable market rate

or the actual cost of care. Social services districts will be allowed to requesta waiver to establish a payment rate that is in excess of twenty-five percent(25%) above the applicable market rate upon a showing that the twenty-five percent (25%) maximum is insufficient to provide access within thedistrict to accredited programs and/or care provided during nontraditionalhours and/or care provided to a child experiencing homelessness.

Social services districts will be required to waive the family fee forhomeless families.

Social services districts will need to review cases to determine whetherthe differential market rate applies to: accredited child care programs, careis being provided during nontraditional hours, and/or the child careprovider is caring for a child experiencing homelessness. Social servicesdistricts will need to review cases to determine whether the family feeshould be waived. Payment adjustments will have to be made, asappropriate.

3. Costs:Under the State Budget for SFY 2016-2017, social services districts

In addition, social services districts may use block grant funds to servethe optional categories of eligible individuals set forth in OCFSregulations. Social services districts may use block grant funds allocatedto cover the costs of the differential market rate to be paid to providers,who have obtained an accreditation from a nationally recognized childcare organization, who are serving a child experiencing homelessness,and/or provide care during nontraditional hours.

4. Minimizing adverse impact:OCFS believes that there will be minimal impact on social services

districts because these families will be served to the extent that the districthas funding available. These changes will provide needed support toprioritize homeless families and incentivize providers to serve childrenwho are homeless.

The regulations recognize that there may be differences in the needsamong social services districts. To the extent allowed by statute, theregulations provide social services districts with flexibility in designingtheir child care subsidy programs in a manner that will best meet the needsof their communities.

5. Rural area participation:The Child Care and Development Block Grant Act of 2014 (42 U.S.C.

9858 et seq.) requires that states improve access to child care services forhomeless children including procedures that allow a child to be enrolledwhile required medical or immunization documentation is obtained. Theseregulations improve access to child care by incentivizing child care provid-ers to provide care to children experiencing homelessness and while fami-lies seek employment, or engage in work, or attend training or educationalactivities, or receive appropriate counseling services.

In the development of the 2016-2018 Child Care and DevelopmentFund Plan, OCFS held three (3) regional public hearings in which thesechanges were presented to child care providers and local social servicesdistricts. OCFS held a statewide webinar for child care providers thatoutlined these and other changes. Local social services districts partici-pated in two statewide phone conferences in which ideas were shared onhow to support homeless families. The draft 2016-2018 Child Care andDevelopment Fund Plan was posted on the OCFS website. Child careproviders, local governments and the public made comments on theproposed 2016-2018 Child Care and Development Fund Plan.

Revised Job Impact StatementSection 201-a of the State Administrative Procedures Act requires a job

impact statement to be filed if proposed regulations will have an adverseimpact on jobs and employment opportunities in the State.

The Office of Children and Family Services believes that providingchild care services to children experiencing homelessness will not result ina loss of jobs.

Assessment of Public CommentThis assessment responds to the comments received on the Notice of

Proposed Rule Making for Child Care for Children Experiencing Home-

lessness, Parts 404 and 415 of Title 18 of the Official Compilation ofCodes, Rules and Regulations of the State of New York (NYCRR), I.D.No. CFS-24-16-00001-P, included in the New York State Register datedJune 15, 2016. The Office of Children and Family Services (OCFS)received comments from 24 responders during the public comment period.Responses were received from representatives from child and familyadvocacy groups, child care providers, a union representing child careproviders, and social services districts. OCFS combined similar commentsfrom multiple responders in preparing the following assessment of publiccomments.

OCFS received comments from 21 responders supporting the higherdifferential rate for licensed and registered child care providers servingchildren experiencing homelessness. OCFS determined that no change tothe proposed regulations is required in response to these comments.

OCFS received comments from 20 responders supporting the elimina-tion of parent fees for families experiencing homelessness. OCFSdetermined that no change to the proposed regulations is required in re-sponse to these comments.

OCFS received comments from 20 responders recommending that childcare providers be required to give families experiencing homelessness andchildren in foster care a grace period of 90 days to comply with medicaland immunization requirements. OCFS reviewed the comments and OCFSdetermined that child care providers must comply with the medical andimmunization standards set forth in the New York State Public HealthLaw. OCFS cannot extend the grace period to 90 days without a change tothis statute. OCFS will issue a policy statement requiring that child careproviders cannot delay enrollment of children experiencing homelessnessor children in foster care due to lack of medical or immunization recordsand that such children will be able to participate in the child care programin accordance with the New York State Public Health Law. OCFSdetermined that no change to the proposed regulations is required in re-sponse to these comments.

OCFS received comments from 20 responders recommending that allchildren experiencing homelessness, regardless of the work status of theirparents, should be eligible for child care assistance to the extent social ser-vices districts have funding available. Additionally, 19 of the 20 respond-ers recommend that, if regulations are not changed to make homeless fam-ilies categorically eligible for child care assistance, then OCFS should noteliminate the options for districts to select to provide child care to income-eligible homeless families. Further, OCFS received a comment from oneresponder recommending that social services districts be given the optionto provide child care assistance to children experiencing homelessnesswithout regard to their parents’ work or income. OCFS reviewed the com-ments and, in response, has revised the regulatory language to withdrawthe proposed changes to 18 NYCRR § 415.2(a)(3)(iii)(b) and§ 415.2(a)(3)(iii)(c) that would have eliminated the options for social ser-vices districts to provide child care assistance to income-eligible homelessfamilies to the extent that funding is available. Additionally, OCFS hasrevised the regulatory language to include the arrangement for, andparticipation in, counseling services programs in the list of approvedactivities for families experiencing homelessness, as an additionalsubclause (d) to the changes to 18 NYCRR § 415.2(a)(2)(v). However,OCFS maintains that the immediate need for the homeless family is toobtain housing and that part of the plan for the family to achieve the goalof self-support is to seek employment, retain employment, participate ineducation or training programs, or receive appropriate counseling services.The regulations provide a framework so that homeless families can accesschild care services necessary to seek housing while a plan for self-supportis being instituted. Thus, OCFS determined that no other change to theproposed regulations is required in response to these comments. OCFSwill amend the section of the New York State Child Care and Develop-ment Fund Plan, which indicates that OCFS will consider children whoare homeless a priority even if their caretakers are not working or in an ap-proved activity, to reflect the requirements in these regulations.

OCFS received comments from three responders supporting the fivepercent differential rate for child care provided during nontraditionalhours. OCFS determined that no change to the proposed regulations isrequired in response to these comments.

OCFS received comments from two responders supporting the proposedregulation that includes families experiencing homelessness as a prioritypopulation to receive child care assistance. OCFS determined that nochange to the proposed regulations is required in response to thesecomments.

OCFS received comments from two responders recommending theinclusion of the definition of homeless in regulation. OCFS reviewed thecomment and OCFS intends to issue a policy statement to provide the def-inition of homeless that is included in the McKinney-Vento Act. OCFSdetermined that no change to the proposed regulations is required in re-sponse to these comments.

OCFS received comments from two responders recommending that

social services districts should be required to administer a housingquestionnaire at the time of application for child care assistance. OCFSreviewed the comment and OCFS determined that the Application forChild Care Assistance (form OCFS-6025) and the New York State Ap-plication for Certain Benefits and Services (form LDSS-2921) includes anitem for the applicant to indicate whether the family is homeless. OCFSmaintains that this information will be adequate in identifyinghomelessness. OCFS determined that no change to the proposed regula-tions is required in response to these comments.

OCFS received comments from two responders recommending thatsocial services districts be required in regulation to report the number ofchildren experiencing homelessness that are receiving child care. OCFSreviewed the comments and OCFS determined that federal rules requireOCFS to report whether children chosen in a sample of child care assis-tance cases are experiencing homelessness. OCFS intends to issue a policystatement to districts identifying data needed to meet federal reportingrequirements. OCFS determined that no change to the proposed regula-tions is required in response to these comments.

OCFS received comments from two responders recommending thathomeless children be able to enroll in full-time day care, regardless of thenumber of hours a parent is engaged in an approved activity. OCFSreviewed the comments and OCFS determined that New York State SocialServices Law § 410(1) requires child care to be provided only in caseswhere it is determined, under criteria established by the department, thatthere is a need for child care because of the inability of the parents toprovide care and supervision for a substantial part of the day and that suchcare is in the best interest of the child and parent. Therefore, OCFSmaintains that child care must be reasonably related to the hours of workor other activity and permit time for the delivery and pick-up of the child.OCFS determined that no change to the proposed regulations is requiredin response to these comments.

OCFS received a comment from one responder asking whether the def-inition of nontraditional hours includes the overnight shift. Additionally,the responder asked if social services districts would pay for the dif-ferential rate if the provider’s private paying clients were not paying a dif-ferential rate for caring for homeless children or for care provided duringnontraditional hours. OCFS reviewed the comment and OCFS determinedthat nontraditional hours include child care provided overnight. OCFSwill issue a policy statement to districts that define these terms. Addition-ally, the differential rate for homeless children or for care provided duringnontraditional hours is applied against the provider’s actual cost of careand is provided regardless of whether the provider has set a different ratefor these circumstances. The intent of the proposed differential rates is toimprove access to child care for homeless children and increase the supplyof providers willing to provide child care during nontraditional hours.OCFS determined that no change to the proposed regulations is requiredin response to this comment.

OCFS received a comment from one responder supporting the require-ment that legally-exempt group providers not operating under the auspicesof another government agency meet all health and safety requirementsunder 18 NYCRR § 415.4(f)(7). OCFS determined that no change to theproposed regulations is required in response to this comment.

OCFS received a comment from one responder supporting the proposedregulation that provides the option for social services districts to set a dif-ferential rate for legally-exempt providers caring for children experienc-ing homelessness. OCFS determined that no change to the proposedregulations is required in response to this comment.

OCFS received a comment from one responder opposing a higher dif-ferential rate for serving children experiencing homelessness since ad-ditional expenses are not incurred by a child care provider and confidenti-ality should be protected. OCFS reviewed the comment and OCFSmaintains that a higher differential rate can help improve access to childcare services for families experiencing homelessness. OCFS determinedthat no change to the proposed regulations is required in response to thiscomment.

OCFS received a comment from one responder recommending thatcosts for waiving the family share for families experiencing homelessnessand for paying the required differential rates should be supported throughquality set-aside funds; otherwise, it would be an unfunded mandate.OCFS reviewed the comment and OCFS determined that social servicesdistricts received their allocations of federal and state funds under theNew York State Child Care Block Grant (NYSCCBG) for state fiscal year2016-2017. Districts have the option to transfer a portion of their FlexibleFund for Family Services allocations to supplement their NYSCCBGallocations. Further, the provision of child care assistance to familiesexperiencing homelessness is required only to the extent that districts havefunds available. OCFS determined that no change to the proposed regula-tions is required in response to this comment.

OCFS received a comment from one responder that, although the ChildCare and Development Block Grant Act of 2014 sets a timeframe for

implementation, it is not realistic for social services districts to meet thedeadline of October 1, 2016. OCFS has requested an extension of theOctober 1, 2016 timeframe for the implementation of provisions related toserving families experiencing homelessness in the federal Child Care andDevelopment Block Grant Act of 2014 from the federal Administration forChildren and Families. OCFS has proposed revisions to the NPRMlanguage and revised the implementation date. OCFS determined that nochange to the proposed regulations is required in response to this comment.

OCFS received a comment from one responder recommending that fam-ilies experiencing domestic violence should also be included as a prioritycategory. OCFS reviewed the comment and OCFS determined that neitherfederal law nor regulation requires families experiencing domesticviolence to be a priority category for child care assistance. OCFSmaintains that social services districts have options to serve such familiesand to set aside local funds or portions of their New York State Child CareBlock Grant allocations to prioritize such families. OCFS determined thatno change to the proposed regulations is required in response to thiscomment.

OCFS received a comment from one responder recommending thatOCFS regulations should require social services districts to appoint a liai-son to assist families experiencing homelessness in obtaining necessaryimmunizations and medical records. OCFS reviewed the comment andOCFS determined that, with limited federal and state resources, OCFScannot fund such positions nor pass unfunded personnel costs to districts.OCFS determined that no change to the proposed regulations is requiredin response to this comment.

Department of Civil Service

Jurisdictional Classification

I.D. No. CVS-01-17-00006-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 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 Lake GeorgePark Commission, by adding thereto the position of Lake George MarineOfficer 3 (1).

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: jennifer.paul@cs.ny.gov

Data, views or arguments may be submitted to: Ilene Lees, Counsel, NYSDepartment of Civil Service, Empire State Plaza, Agency Building 1,Albany, NY 12239, (518) 473-2624, email: ilene.lees@cs.ny.gov

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-01-17-00013-P, Issue of January 4, 2017.

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-01-17-00013-P, Issue of January 4, 2017.

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-01-17-00013-P, Issue of January 4, 2017.

Job Impact StatementA job impact statement is not submitted with this notice because this ruleis subject to a consolidated job impact statement that was previously

printed under a notice of proposed rule making, I.D. No. CVS-01-17-00013-P, Issue of January 4, 2017.

I.D. No. CVS-01-17-00007-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 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.

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-01-17-00013-P, Issue of January 4, 2017.

I.D. No. CVS-01-17-00008-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 Executive Departmentunder the subheading “Gaming Commission,” by adding thereto the posi-tion of Director, Office of Racing and Promotion Development.

Data, views or arguments may be submitted to: Ilene Lees, Counsel, NYSDepartment of Civil Service, Empire State Plaza, Agency Building 1,Albany, NY 12239, (518) 473-2624, email: ilene.lees@cs.ny.govPublic comment will be received until: 45 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-01-17-00013-P, Issue of January 4, 2017.

I.D. No. CVS-01-17-00009-P

Proposed Action: Amendment of Appendix 2 of Title 4 NYCRR.Statutory authority: Civil Service Law, section 6(1)

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 ExecutiveDepartment under the subheading “Office of Information Technology Ser-vices,” by adding thereto the positions of Information Systems Auditor 1(ITS) (10), Information Systems Auditor 2 (ITS) (5) and InformationSystems Auditor 3 (ITS) (2).

I.D. No. CVS-01-17-00010-P

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 Assistant Public Infor-mation Officer from 1 to 2.

I.D. No. CVS-01-17-00011-P

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 “State Insurance Fund,” by increasing the number ofpositions of Special Assistant from 3 to 4.

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-01-17-00013-P, Issue of January 4, 2017.

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-01-17-00013-P, Issue of January 4, 2017.

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-01-17-00013-P, Issue of January 4, 2017.

Job Impact Statement

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-01-17-00013-P, Issue of January 4, 2017.

I.D. No. CVS-01-17-00012-P

Purpose: To delete a position from and classify a position in the exemptclass.

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 “Workers’ Compensation Board,” by decreasing thenumber of positions of District Administrator from 7 to 6 and by addingthereto the position of Assistant Counsel.

I.D. No. CVS-01-17-00013-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 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 Mental Health,” by increasingthe number of positions of Assistant Public Information Officer from 1 to2.

Consolidated Regulatory Impact Statement1. Statutory authority: The New York State Civil Service Commission

is authorized to promulgate rules for the jurisdictional classification of of-fices within the classified service of the State by Section 6 of the Civil Ser-vice Law. In so doing, it is guided by the requirements of Sections 41, 42and 43 of this same law.

2. Legislative objectives: These rule changes are in accord with thestatutory authority delegated to the Civil Service Commission to prescriberules for the jurisdictional classification of the offices and positions in theclassified service of the State.

3. Needs and benefits: Article V, Section 6, of the New York State Con-stitution requires that, wherever practicable, appointments and promotionsin the civil service of the State, including all its civil divisions, are to bemade according to merit and fitness. It also requires that competitiveexaminations be used, as far as practicable, as a basis for establishing thiseligibility. This requirement is intended to provide protection for thoseindividuals appointed or seeking appointment to civil service positionswhile, at the same time, protecting the public by securing for it the ser-vices of employees with greater merit and ability. However, as thelanguage suggests, the framers of the Constitution realized it would notalways be possible, nor indeed feasible, to fill every position through thecompetitive process. This point was also recognized by the Legislaturefor, when it enacted the Civil Service Law to implement this constitutionalmandate, it provided basic guidelines for determining which positionswere to be outside of the competitive class. These guidelines are containedin Section 41, which provides for the exempt class; 42, the non-competitiveclass and 43, the labor class. Thus, there are four jurisdictional classeswithin the classified service of the civil service and any movement be-tween them is termed a jurisdictional reclassification.

The Legislature further established a Civil Service Department toadminister this Law and a Civil Service Commission to serve primarily asan appellant body. The Commission has also been given rulemakingresponsibility in such areas as the jurisdictional classification of officeswithin the classified service of the State (Civil Service Law Section 6). Inexercising this rule-making responsibility, the Commission has chosen toprovide appendices to its rules, known as Rules for the Classified Service,to list those positions in the classified service which are in the exemptclass (Appendix 1), non-competitive class (Appendix 2), and labor class(Appendix 3).

In effect, all positions, upon creation at least, are, by constitutionalmandate, a part of the competitive class and remain so until removed bythe Civil Service Commission, through an amendment of its rules uponshowing of impracticability in accordance with the guidelines provided bythe Legislature. The guidelines are as follows. The exempt class is toinclude those positions specifically placed there by the Legislature,together with all other subordinate positions for which there is no require-ment that the person appointed pass a civil service examination. Instead,appointments rest in the discretion of the person who, by law, hasdetermined the position’s qualifications and whether the persons to be ap-pointed possess those qualifications. The non-competitive class is to be

comprised of those positions which are not in the exempt or labor classesand for which the Civil Service Commission has found it impracticable todetermine an applicant’s merit and fitness through a competitiveexamination. The qualifications of those candidates selected are to bedetermined by an examination which is sufficient to insure selection ofproper and competent employees. The labor class is to be made up of allunskilled laborers in the service of the State and its civil divisions, exceptthose which can be examined for competitively.

4. Costs: The removal of a position from one jurisdictional class andplacement in another is descriptive of the proper placement of the positionin question in the classified service, and has no appreciable economicimpact for the State or local governments.

5. Local government mandates: These amendments have no impact onlocal governments. They pertain only to the jurisdictional classification ofpositions in the State service.

6. Paperwork: There are no new reporting requirements imposed on ap-plicants by these rules.

7. Duplication: These rules are not duplicative of State or Federalrequirements.

8. Alternatives: Within the statutory constraints of the New York StateCivil Service Commission, it is not believed there is a viable alternative tothe jurisdictional classification chosen.

9. Federal standards: There are no parallel Federal standards and,therefore, this is not applicable.

10. Compliance schedule: No action is required by the subject Stateagencies and, therefore, no estimated time period is required.Consolidated Regulatory Flexibility AnalysisThe proposal does not affect or impact upon small businesses or localgovernments, as defined by Section 102(8) of the State AdministrativeProcedure Act, and, therefore, a regulatory flexibility analysis for smallbusinesses is not required by Section 202-b of such act. In light of the factthat this proposal only affects jurisdictional classifications of State em-ployees, it will not have any adverse impact on small businesses or localgovernments.

Consolidated Rural Area Flexibility AnalysisThe proposal does not affect or impact upon rural areas as defined by Sec-tion 102(13) of the State Administrative Procedure Act and Section 481(7)of the Executive Law, and, therefore, a rural area flexibility analysis is notrequired by Section 202-bb of such act. In light of the fact that this pro-posal only affects jurisdictional classifications of State employees, it willnot have any adverse impact on rural areas.

Consolidated Job Impact StatementThe proposal has no impact on jobs and employment opportunities. Thisproposal only affects the jurisdictional classification of positions in theClassified Civil Service.

I.D. No. CVS-01-17-00014-P

Purpose: To delete a position from and classify a position in the exemptclass.

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 Criminal Justice Services,” by deletingtherefrom the position of Director of Internal Audit and by adding theretothe position of Director of Audit Services.

Regulatory Impact StatementA regulatory impact statement is not submitted with this notice becausethis rule is subject to a consolidated regulatory impact statement that was

previously printed under a notice of proposed rule making, I.D. No. CVS-01-17-00013-P, Issue of January 4, 2017.

I.D. No. CVS-01-17-00015-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 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 Executive Departmentunder the subheading “Division of Alcoholic Beverage Control,” by add-ing thereto the position of Administrative Officer.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: jennifer.paul@cs.ny.gov

I.D. No. CVS-01-17-00016-P

Proposed Action: Amendment of Appendix 3 of Title 4 NYCRR.Statutory authority: Civil Service Law, section 6(1)Subject: Jurisdictional Classification.Purpose: To classify positions in the labor class.Text of proposed rule: Amend Appendix 3 of the Rules for the ClassifiedService, listing positions in the labor class, under the heading All StateDepartments and Agencies, by adding thereto the positions of Food Ser-vice Worker 1.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: jennifer.paul@cs.ny.govData, views or arguments may be submitted to: Ilene Lees, Counsel, NYSDepartment of Civil Service, Empire State Plaza, Agency Building 1,Albany, NY 12239, (518) 473-2624, email: ilene.lees@cs.ny.govPublic comment will be received until: 45 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-01-17-00013-P, Issue of January 4, 2017.

I.D. No. CVS-01-17-00017-P

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 Civil Service, by deleting therefrom the positions of Secretary 2 (2) andby increasing the number of positions of øSecretary 2 from 3 to 5.

Regulatory Flexibility AnalysisA regulatory flexibility analysis is not submitted with this notice becausethis rule is subject to a consolidated regulatory flexibility analysis that was

previously printed under a notice of proposed rule making, I.D. No. CVS-01-17-00013-P, Issue of January 4, 2017.

State Commission ofCorrection

NOTICE OF ADOPTION

Annual Report of Pregnant Inmate Restraint

I.D. No. CMC-44-16-00022-A

Filing No. 1176

Filing Date: 2016-12-20

Effective Date: 2017-01-04

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

Action taken: Addition of section 7001.1(e) to Title 9 NYCRR.

Statutory authority: Correction Law, section 45(6) and (15)

Subject: Annual report of pregnant inmate restraint.

Purpose: To prescribe a form and manner for local correctional facilitiesto submit a statutorily required annual report.

Text or summary was published in the November 2, 2016 issue of theRegister, I.D. No. CMC-44-16-00022-P.

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

Text of rule and any required statements and analyses may be obtainedfrom: Deborah Slack-Bean, Senior Attorney, New York State Commissionof Correction, Alfred E. Smith State Office Building, 80 S. Swan Street,12th Floor, Albany, New York 12210, (518) 485-2346, email:Deborah.Slack-Bean@scoc.ny.gov

Initial Review of RuleAs a rule that does not require a RFA, RAFA or JIS, this rule will beinitially reviewed in the calendar year 2021, which is no later than the 5thyear after the year in which this rule is being adopted.

Assessment of Public CommentThe State Commission of Correction (hereinafter “Commission”)

received formal comment from the Prisoners’ Rights Project of the LegalAid Society (hereinafter “Legal Aid”), JustLeadershipUSA (hereinafter“JLUSA”), the Correctional Association of New York (hereinafter“CANY”), and the New York Civil Liberties Union (hereinafter“NYCLU”). Legal Aid is the nation’s largest and oldest provider of legalservices to low-income families and individuals. JLUSA is an organiza-tion “dedicated to cutting the US correctional population in half by 2030,while reducing crime.” CANY conducts prison monitoring, research, pub-lic education, leadership training, coalition building and policy advocacy“to create a fair, just, and humane criminal justice system.”

At the outset, the comments of Legal Aid, JLUSA, CANY and NYCLUindicate general support for the adoption of 9 NYCRR § 7001.1(e). Never-theless, each organization opines that the regulation should require a localcorrectional facility to report additional, “more precise” information in itsannual report to the Commission, as required by Correction Law § 611.The stated purpose of these additional reporting requirements, as proposedby the commentors, would be to provide the Commission, the New YorkState Legislature, and the public with sufficient information to determinewhether local correctional facilities are complying with the recent amend-ments to Correction Law section 611 that prohibit the restraint of pregnantinmates, except in “extraordinary circumstances.” Further, NYCLUrecommends striking the reporting of the woman’s name and date of birth,as they consider it unnecessary to report such personal identifying infor-mation, given the serious privacy concerns arising from reporting medicalinformation relating to pregnancy and birth outcome.

Specifically, the comments provided by Legal Aid, JLUSA, CANY andNYCLU collectively propose amending the regulation to require facilitiesto report the following information:

- if the use of restraints was authorized by a medical professional and, ifso, the name, title and scope of authority of the medical professionalinvolved and whether alternative means of control were considered andrejected;

- whether the restraint was authorized by the sheriff (or designee) inconsultation with the medical professional, or by correctional personneldirectly responsible for the transport;

- a detailed description of the specific facts and reasons justifying theuse of restraints on that particular woman at that particular time, includingthe nature of the extraordinary circumstances present and the nature of anyemergency, if applicable;

- where on the inmate’s body the restraints were placed;- whether the facility administration had sufficiently posted and

provided notice to female inmates of the provisions of Correction Lawsection 611 in relation to the restraint of pregnant inmates;

- whether the facility administration had provided necessary training tofacility staff;

- whether the restrained inmate was pregnant, in labor for delivery, orpost-delivery;

- the inmate’s due date, the date of the child’s birth or the date of thepregnancy outcome; and

- the pregnant inmate’s race, ethnicity, age, mental health status, andwhether she has a disability;

Although the comments and interest of Legal Aid, JLUSA, CANY andNYCLU are appreciated, the Commission has decided to adopt the regula-tion as originally proposed. While agreed that compliance with CorrectionLaw section 611 by local correctional facilities should be monitored bythe Commission, particularly soon after its recent amendments, a jail’s an-nual report is not the proper method. As it measures compliance with otherrelevant Correction Law provisions and its regulations for local cor-rectional facilities, the Commission conducts annual, on-site, evaluationsof county jails. In doing so, Correction Law section 46(1) provides Com-mission staff access to all records of the facility, including inmate medicalrecords, to sufficiently determine compliance. The sheriff’s annual reportto the Commission, as required by Correction Law § 611(1)(e), was notintended to serve as an in-depth disclosure of all facts and circumstancesrelated to every restraint, but rather to provide a brief description of allstate-wide restraints to be collectively included in the Commission’s an-nual report.

Lastly, Correction Law section 500-f requires each facility to maintain,as a public record, a daily record of all inmates admitted to and dischargedfrom the facility, to include the inmates name, age, sex and “color.” Had apregnant inmate’s race, ethnicity and age been required in the annualreport, SCOC finds that the inmate’s identity could often be easilydisclosed by reconciling such data with the jail’s daily record, and SCOCthus declines to require the annual reporting of such data. Further, SCOChas determined that an inmate’s name and date of birth must be includedin a facility’s annual report to facilitate incident identification and recordreview, but such data will not be included in SCOC’s annual report, thusalleviating any privacy concerns related to medical information reporting.

Department of EnvironmentalConservation

NOTICE OF ADOPTION

To Amend 6 NYCRR Part 40 Pertaining to Recreational Partyand Charter Boat Regulations for Striped Bass

I.D. No. ENV-26-16-00002-A

Filing No. 1168

Action taken: Amendment of Part 40 of Title 6 NYCRR.

Statutory authority: Environmental Conservation Law, sections 11-0303,13-0105, 13-0336, 13-0339 and 13-0347

Subject: To amend 6 NYCRR Part 40 pertaining to recreational party andcharter boat regulations for striped bass.

Purpose: To allow filleting of striped bass aboard party and charter boats.Text or summary was published in the June 29, 2016 issue of the Register,I.D. No. ENV-26-16-00002-P.Final rule as compared with last published rule: No changes.Text of rule and any required statements and analyses may be obtainedfrom: Carol Hoffman, NYSDEC, Division of Marine Resources, 205North Belle Mead Road, Suite 1, East Setauket, New York, (631) 444-0476, email: carol.hoffman@dec.ny.govAdditional matter required by statute: The action is subject to SEQR asan Unlisted Action and a Short EAF was completed. The Department hasdetermined that an EIS is not required and has issued a negativedeclaration. The EAF and negative declaration are available upon request.Assessment of Public CommentThe agency received no public comment.

Department of Health

EMERGENCY

RULE MAKING

Residential Health Care Facility Quality Pool

I.D. No. HLT-41-16-00002-E

Filing No. 1163

Action taken: Addition of section 86-2.42 to Title 10 NYCRR.

Statutory authority: Public Health Law, section 2808(2-c)(d)

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

Specific reasons underlying the finding of necessity: Public Health LawSection 2808(2-c)(d), as enacted by Section 95 of Part H of Chapter 59 ofthe Laws of 2011, specifically provides the Commissioner of Health withauthority to issue emergency regulations in order to compute rates of pay-ment for residential health care facilities. These regulations should bemade effective immediately to ensure the preservation of public healththrough the continued quality of care to nursing home residents in NewYork State. Of the nursing facilities included in the 2013 quality pool,58% met performance goals sufficient to receive a distribution of the $50million pool. The immediate implementation of these regulations willresult in a Medicaid rate increase for these nursing facilities. The facilitiescan use the additional funds to facilitate quality improvements throughactivities including, but not limited to, increasing direct care staffinglevels, providing training and education for staff, and utilizing technology.Delaying the implementation of these regulations by following thetraditional SAPA procedure would prevent nursing facilities from im-mediately using the funds to improve quality of care for their residents,and thus contrary to public interest.

Subject: Residential Health Care Facility Quality Pool.

Purpose: To reward NYS facilities with the highest quality outcomes asdetermined by methodology developed by regulation.

Substance of emergency rule: The New York State Nursing Home Qual-ity Pool (NHQP) is a $50 million budget-neutral pool that was establishedin the 2010-2011 final State budget. The pool was created to improve thequality of care for residents in Medicaid-certified nursing facilities acrossthe state, and to reward facilities for quality based on their performance.The New York State Department of Health (NYS DOH) worked inconsultation with a workgroup of industry experts, comprised of represen-tatives from five nursing home advocacy groups, as well as nursing homepatient advocates to assist in the development of the quality pool.

The 2013 NHQP contains three measurement components comprised of14 quality measures, three compliance measures, and one efficiencymeasure. All measures are shown below with the measure steward inparentheses. The measures included in the quality pool were decided uponwith input and advice from the workgroup based on expert opinions,industry standards, and quality measure outcomes being assessed at thenational level.

Quality MeasuresD Annual level of temporary contract/agency staff used (NYS DOH)D Centers for Medicare and Medicaid Services (CMS) five-star quality

rating for staffing (CMS)

D Percent of employees vaccinated for the flu (NYS DOH)D Percent of long stay high risk residents with pressure ulcers (CMS)D Percent of long stay residents assessed and given, appropriately, the

pneumococcal vaccine (CMS)D Percent of long stay residents assessed and given, appropriately, the

seasonal influenza vaccine (CMS)D Percent of long stay residents experiencing one or more falls with ma-

jor injury (CMS)D Percent of long stay residents who have depressive symptoms (CMS)D Percent of long stay low risk residents who lose control of their bowel

or bladder (CMS)D Percent of long stay residents who lose too much weight (CMS)D Percent of long stay residents who received an antipsychotic medica-

tion (CMS)D Percent of long stay residents who self-report moderate to severe pain

(CMS)D Percent of long stay residents whose need for help with daily activi-

ties has increased (CMS)D Percent of long stay residents with a urinary tract infection (CMS)Compliance MeasuresD CMS Five-Star Quality Rating for Health Inspections (CMS)D Timely submission of complete nursing home certified cost reports

(NYS DOH)D Timely submission of employee flu immunization data (NYS DOH)Efficiency MeasureD Number of potentially avoidable hospitalizations per 10,000 long stay

episode days (CMS with NYS DOH modifications)The NYS DOH assesses the nursing homes on their performance in all

components of the NHQP, as compared to their peers. Nursing homes arecategorized into quintiles based on the distribution of their overall scores.Under the payment methodology of the 2013 NHQP, eligible nursinghomes contribute to the funding of the $50 million pool. The amount of anursing home’s contribution is proportional to the nursing home’sMedicaid rate and total number of Medicaid patient days. The pool moneyis redistributed to the nursing homes based on their quintile placement.Nursing homes in the top three quintiles receive distributions, with nurs-ing homes in the first quintile receiving a proportion larger than nursinghomes in the second and third quintiles, and nursing homes in the secondquintile receiving a proportion larger than nursing homes in the thirdquintile. The nursing homes in the fourth and fifth quintiles do not receivea redistribution.

This notice is intended to serve only as a notice of emergency adoption.This agency intends to adopt the provisions of this emergency rule as apermanent rule, having previously submitted to the Department of State anotice of proposed rule making, I.D. No. HLT-41-16-00002-P, Issue ofOctober 12, 2016. The emergency rule will expire February 16, 2017.

Text of rule and any required statements and analyses may be obtainedfrom: Katherine Ceroalo, DOH, Bureau of House Counsel, Reg. AffairsUnit, Room 2438, ESP Tower Building, Albany, NY 12237, (518) 473-7488, email: regsqna@health.ny.gov

Regulatory Impact StatementStatutory Authority:The statutory authority for this regulation is contained in Section

2808(2-c) of the Public Health Law (PHL) as enacted by Section 95 ofChapter 59 of the Laws of 2011, which authorizes the Commissioner topromulgate regulations, including emergency regulations, with regard toMedicaid reimbursement rates for residential health care facilities. Suchrate regulations are set forth in Subpart 86-2 of Title 10 (Health) of the Of-ficial Compilation of Codes, Rules, and Regulations of the State of NewYork.

Legislative Objectives:Subpart 86-2 of Title 10 will be amended by adding a new section 86-

2.42 to provide for the creation of a quality incentive pool intended toimprove the quality of care among nursing home residents in Medicaid-certified facilities, and to reward facilities based on their performancecompared to their peers.

The proposed regulation permits the Commissioner to establishbenchmarks and measures toward achievement of raising overall quality.Failure to achieve satisfactory progress in accomplishing such benchmarksand goals, as determined by the Commissioner, shall be a basis for declin-ing to award quality incentive dollars to a facility.

Needs and Benefits:The quality pool is needed to incentivize nursing facilities to maintain

and improve the quality of care for their residents. The benefits of thequality pool include improving quality of care and, in turn, reducing over-all health care costs. Specific benefits that fall under the umbrella ofimproving quality of care include reducing the percent of residents withpressure ulcers, reducing antipsychotic medication use, reducing urinarytract infections, reducing depression, reducing pain, reducing unnecessary

weight loss, and reducing avoidable hospitalizations. These quality of careimprovements are associated with reductions in health care costs andimproved quality of life for nursing home residents. The additionalreimbursement provided by this adjustment will support the intent of thequality pool. Facilities can use the additional funds to facilitate qualityimprovements through activities including, but not limited to, increasingdirect care staffing levels, providing training and education for staff, andutilizing technology.

Costs:Costs to Private Regulated Parties:There will be no additional costs to private regulated parties. The only

additional data requested from providers are standard periodic reportwhich are already being completed by providers.

Costs to State Government:There is no additional aggregate increase in Medicaid expenditures

anticipated as a result of these regulations, as the cost of the temporaryrate adjustment will be offset by the overall reduction in Medicaid.

Costs to Local Government:Local districts’ share of Medicaid costs is statutorily capped; therefore,

there will be no additional costs to local governments as a result of thisproposed regulation.

Costs to the Department of Health:There will be no additional costs to the Department of Health as a result

of this proposed regulation.Local Government Mandates:The proposed regulation does not impose any new programs, services,

duties or responsibilities upon any county, city, town, village, schooldistrict, fire district or other special district.

Paperwork:The proposed regulation does not have any paperwork requirements for

nursing facilities.Duplication:This is an amendment to an existing State regulation and does not

duplicate any existing federal, state or local regulations.Alternatives:The authorizing statute, PHL Section 2808(2-c), specifically provides

for facilitating quality improvements through the establishment of a nurs-ing home quality pool. Therefore no alternatives were considered. TheDepartment of Health worked in consultation with a workgroup of industryexperts, comprised of representatives from five nursing home advocacygroups, as well as nursing home patient advocates to assist in the develop-ment of the quality pool. The quality measures included in the quality poolwere decided upon with input and advice from the workgroup based onexpert opinions, industry standards, available data, and quality measureoutcomes being assessed at the national level. During development, theworkgroup also provided input on the scoring methods of such qualitymeasure outcomes.

Federal Standards:The proposed regulation does not exceed any minimum standards of the

federal government for the same or similar subject area.Compliance Schedule:This rule does not create new compliance or reporting requirements for

nursing facilities in New York State.

Regulatory Flexibility AnalysisNo regulatory flexibility analysis is required pursuant to section 202-(b)(3)(a) of the State Administrative Procedure Act. The proposed amend-ment does not impose an adverse economic impact on small businesses orlocal governments, and it does not impose reporting, record keeping orother compliance requirements on small businesses or local governments.

Rural Area Flexibility AnalysisNo rural area flexibility analysis is required pursuant to section 202-bb(4)(a) of the State Administrative Procedure Act. The proposed amend-ment does not impose an adverse impact on facilities in rural areas, and itdoes not impose reporting, record keeping or other compliance require-ments on facilities in rural areas. The New York State Nursing Home Qual-ity Pool places no additional reporting requirements on any nursing facil-ity or locality. The data used in the calculation of the quality pool resultingand per diem adjustments are culled from existing data sources includingthe nursing home cost report (RHCF-4, RHCF-2), data from the DOHBureau of Immunization, Statewide Planning and Research CooperativeSystem data, and data from the Centers for Medicare and MedicaidServices.

Job Impact StatementA Job Impact Statement is not required pursuant to Section 201-a(2)(a) ofthe State Administrative Procedure Act. It is apparent, from the nature andpurpose of the proposed rule, that it will not have a substantial adverseimpact on jobs or employment opportunities. The proposed regulation hasno implications for job opportunities.

NOTICE OF ADOPTION

Expanded Syringe Access Program

I.D. No. HLT-39-16-00032-A

Filing No. 1164

Action taken: Amendment of section 80.137 of Title 10 NYCRR.Statutory authority: Public Health Law, section 3308(2)Subject: Expanded Syringe Access Program.Purpose: To eliminate the word “demonstration”.Text or summary was published in the September 28, 2016 issue of theRegister, I.D. No. HLT-39-16-00032-C.Final rule as compared with last published rule: No changes.Text of rule and any required statements and analyses may be obtainedfrom: Katherine Ceroalo, DOH, Bureau of House Counsel, Reg. AffairsUnit, Room 2438, ESP Tower Building, Albany, NY 12237, (518) 473-7488, email: regsqna@health.ny.govAssessment of Public CommentThe agency received no public comment.

Office of Information TechnologyServices

Agency Name Change

I.D. No. ITS-01-17-00003-P

Proposed Action: This is a consensus rule making to amend Parts 540-541, 543-545 and 550-552 of Title 9 NYCRR.Statutory authority: State Technology Law, section 103(11); L. 2012, ch.55, part O, section 14Subject: Agency Name Change.Purpose: To update the agency name in Subtitle N of Title 9 NYCRR.Text of proposed rule: In Title 9 Subtitle N of the Official Compilation ofCodes, Rules and Regulations of the State of New York, references in theheadings and captions in Subtitle N to ‘‘Office for Technology’’ arereplaced with ‘‘Office of Information Technology Services.’’

Text of proposed rule and any required statements and analyses may beobtained from: Division of Legal Affairs, ITS, Empire State Plaza, POBox 2062, Albany, NY 12220-0062, (518) 473-5115, email:its.sm.dla@its.ny.gov

Additional matter required by statute: Pursuant to the requirements of theState Environmental Quality Review Act, ITS, 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 conformance with the Laws of 2012, Chapter 55, Part O, Section 14,ITS is updating the headings and captions in the NYCRR currently refer-ring to ‘‘Office for Technology’’ to be replaced with ‘‘Office of Informa-tion Technology Services.’’ ITS has determined that because of the minis-terial nature and purpose of this amendment, its conformance with currentlaw, and the now widespread knowledge of the replacement name amongstate governmental entities, vendors, and other interested parties, noperson is likely to object to the rule as written.

Job Impact StatementA JIS is not required for Title 9 Subtitle N. ITS is proposing this rulemak-ing merely to memorialize a change made to the formal name of our

agency in the Laws of 2012, Chapter 55, Part O, Section 14. Because theproposed rule will not impose any requirements on any entity, it will nothave any effect on jobs or employment opportunities.

Department of Motor Vehicles

EMERGENCY/PROPOSED

RULE MAKING

Window Tinting Standards

I.D. No. MTV-01-17-00004-EP

Filing No. 1161

Proposed Action: Addition of section 54.40 to Title 15 NYCRR.

Statutory authority: Vehicle and Traffic Law, sections 215 and 375(12-a)(f)

Finding of necessity for emergency rule: Preservation of public safetyand general welfare.

Specific reasons underlying the finding of necessity: It is necessary toadopt this amendment on an emergency basis, to protect safety and gen-eral welfare of the citizens of New York State.

Chapter 444 of 2016, effective January 1, 2017, requires that, as part ofthe annual motor vehicle safety inspection, a vehicle’s windows be testedfor compliance with section 375(12-a) of the Vehicle and Traffic Law, re-lated to window tinting. This rule, in conjunction with amendment to Part79, set forth the standards for window tinting, as required by section375(12-a) of the Vehicle and Traffic Law. These regulations will help lawenforcement officers approaching a vehicle to assess if the occupant ofsuch vehicle is carrying a weapon. If the vehicle’s windows are illegallytinted, the officer does not have a clear view inside such vehicle. Thisproposed rule is critical to insuring the safety of law enforcement officers,who put their lives at risk every day to protect the citizens of this State.

Subject: Window tinting standards.

Purpose: To conform the regulations with the statute requiring widowtinting as part of the safety inspection.

Text of emergency/proposed rule: The title of Part 54 of Title 15 isamended to read as follows:

Protective Helmets, Goggles, Face Shields, Light Transmittance forMotor Vehicle Windows and Windshields and Wind Screens forMotorcycles.

A new section 54.40 is added to read as follows:54.40 Light Transmittance Standards for Motor Vehicle Windows and

Windshields(a) The front windshield below the top 6 inches shall not have a light

transmittance of less than 70 percent for 1992 and newer vehicles or 35percent light transmittance for 1991 and older vehicles.

(b) The windows on either side forward or adjacent to the driver’s seat-ing position shall not have a light transmittance of less than 70 percent for1992 and newer vehicles or 35 percent light transmittance for 1991 andolder vehicles.

(c) Any rear side windows in a 1992 or newer vehicle shall not have alight transmittance of less than 70 percent if the vehicle is classified as astation wagon, sedan, hardtop, coupe, hatchback or convertible. A vehicleis so classified if it is labeled “Passenger Car” on the Federal ID labelfound on the left front door panel.

(d) For vehicles that are not equipped with a side-view mirror on bothsides of the vehicle, the rear windshield shall not have a light transmit-tance of less than 70 percent for 1992 and newer vehicles or 35 percentlight transmittance for 1991 and older vehicles.

This notice is intended: to serve as both a notice of emergency adoptionand a notice of proposed rule making. The emergency rule will expireMarch 18, 2017.

Text of rule and any required statements and analyses may be obtainedfrom: Heidi Bazicki, Department of Motor Vehicles, 6 Empire State Plaza,Room 522A, Albany, NY 12228, (518) 474-0871, email:heidi.bazicki@dmv.ny.gov

Data, views or arguments may be submitted to: Ida Traschen, Departmentof Motor Vehicles, 6 Empire State Plaza, Room 522A, Albany, NY 12228,(518) 474-0871, email: heidi.bazicki@dmv.ny.govPublic comment will be received until: 45 days after publication of thisnotice.

Regulatory Impact Statement1. Statutory authority: Section 215(a) of the Vehicle and Traffic Law

(VTL) authorizes the Commissioner of Motor Vehicles to promulgateregulations which shall regulate and control the exercise of the powers ofthe Department of Motor Vehicles (DMV). Section 301 of the VTLrequires annual motor vehicle safety inspections, including, effective Janu-ary 1, 2017, the inspection of light transmittance of vehicle windows. Sec-tion 302(e) of the VTL empowers the Commissioner to makes reasonablerules and regulations for the administration of Article 5 of the VTL. Sec-tion 375(12-a) of the VTL authorizes the Commissioner to promulgateregulations regarding the light transmittance of motor vehicle windows.

2. Legislative objectives: Section 301 of the VTL requires an annualsafety inspection of motor vehicles. Chapter 444 of the Laws of 2016amends such section to require that the annual inspection assess if the veh-icle’s windows conform to the light transmittance standards set forth inVTL section 375 (12-a), commonly known as window tinting standards.The proposed rule achieves this legislative objective by establishingprocedures to test for window tinting compliance during the safetyinspection. In addition, the regulation makes conforming amendments toPart 54 by setting forth the window tinting standards in the Commis-sioner’s equipment-related regulations.

3. Needs and benefits: This proposed rule is necessary to implementChapter 444 of the Laws of 2016, which mandates light transmittancetests of vehicle windows at the time of the annual vehicle inspection. Theregulation puts inspection stations on notice that they will need to purchasea tint meter to perform such inspections and establishes the appropriateprocedures to conduct such inspections. The regulation sets forth the stan-dards for pre-1992 and 1992 and newer vehicles. For example, the regula-tion advises the stations that all rear side windows on 1992 and newervehicles must be inspected if the vehicle is classified as a “Passenger Car,”as noted on the Federal ID label located on the door jamb. For 1991 orolder vehicles, all of the windows and windshields must be inspected, butthe light transmittance threshold is 35 percent, as opposed to 70 percentlight transmittance for 1992 or newer vehicles.

The proposed amendments to Part 54 align with Part 79, by notifyingmotorists and law enforcement about the appropriate window tinting stan-dards for each vehicle window.

4. Costs: a. to regulated entities: It is estimated that cost to inspectionfacilities for the purchase of the tint/light meter is between $150.00 and$200.00.

b. to State and local governments: The 584 municipalities that performtheir own vehicle inspections would have to purchase the tint/light meters.

c. Source: DMV’s Office of Vehicle Safety.5. Local government mandates: The 584 municipalities that perform

their own vehicle inspections would have to purchase the tint/light meters.6. Paperwork: No new or additional paperwork is required by this

proposal.7. Duplication: The proposal does not duplicate or conflict with any

State or Federal rule.8. Alternatives: There are no known alternatives to implement the statu-

tory mandate. A no action alternative was not considered.9. Federal standards: The proposal does not exceed any minimum stan-

dards of the federal government for the same or similar subject areas.10. Compliance schedule: The Department anticipates that all affected

parties will be able to achieve compliance with the rule upon adoption.

Regulatory Flexibility Analysis1. Effect of rule: The Department estimates that there are approximately

10,800 inspection stations in New York affected by this rule, of which 584are local government stations. The proposed rule mandates light transmit-tance tests on vehicle windows at the time of the annual vehicle inspection.

2. Compliance requirements: The inspection stations would be requiredto purchase a window tinting meter to assess the light transmittance of themotor vehicle’s windows.

3. Professional services: This regulation would not require inspectionstations to obtain new professional services beyond any that they may al-ready use.

4. Compliance costs: Inspection stations would be required to obtainportable, hand-held light meters to conduct the inspections of motor vehi-cle windows required by this regulation. These are readily available andcost between $150 and $200.

5. Economic and technological feasibility: The proposed rule requiresthe purchase of the window tinting meters, with a minor fiscal impact onthe stations.

6. Minimizing adverse impact: Because this proposed rule stems from a

statutory mandate, the Department of Motor Vehicles was required toinclude the window tinting assessment as part of the annual safetyinspection.

7. Small business and local government participation: Because thisrulemaking stems from a statutory mandate, the Department of MotorVehicles did not believe that participation by small businesses or localgovernments could or would affect the requirements set forth in proposedrule.

Rural Area Flexibility Analysis and Job Impact Statement

The proposed regulations relate to window tinting standards and the an-nual motor vehicle safety inspection. A rural area flexibility analysis and ajob impact statement are not required for these proposed rules, becausethey will not disproportionately affect rural areas or have a negative impacton job development.

EMERGENCY/PROPOSED

RULE MAKING

Motor Vehicle Inspection Standards for Window Tinting

I.D. No. MTV-01-17-00005-EP

Filing No. 1162

Proposed Action: Amendment of sections 79.9, 79.21 and 79.27 of Title15 NYCRR.

Statutory authority: Vehicle and Traffic Law, sections 215, 301 and 302(e)

Specific reasons underlying the finding of necessity: It is necessary toadopt this amendment on an emergency basis to protect the safety andgeneral welfare of New York State’s law enforcement officers.

Chapter 444 of 2016, effective January 1, 2017, requires that, as part ofthe annual motor vehicle safety inspection, a vehicle’s windows be testedfor compliance with section 375(12-a) of the Vehicle and Traffic Law, re-lated to window tinting. This law will help law enforcement officers ap-proaching a vehicle to assess if the occupant of such vehicle is carrying aweapon. If the vehicle’s windows are illegally tinted, the officer does nothave a clear view inside such vehicle. This proposed rule is critical toinsuring the safety of law enforcement officers, who put their lives at riskevery day to protect the citizens of this State.

Subject: Motor vehicle inspection standards for window tinting.

Purpose: To conform the regulations with the statute requiring widowtinting as part of the safety inspection.

Text of emergency/proposed rule: A new paragraph (9) is added tosubdivision (d) of section 79.9 to read as follows:

(9) In addition to the equipment specified in paragraph (1) of thissubdivision, an official inspection station licensed to perform a safetyinspection of any vehicle in group 1a or group 2a must also have a tintmeter to measure the visible light transmittance through immovable glass.

Subdivision (f) of section 79.21 is amended to read as follows:(f) Windshield and other glass. Every 1935 and newer vehicle must be

equipped with a windshield, except trailers. All must be inspected. A staris considered to be a bruise from which multiple cracks extend, such as a‘‘stone bruise’’, shot, etc.

Procedure Reject if:

Approved Glass

1. Inspect windshield and otherwindows on vehicle for presenceof approved safety glazing.

1. Vehicle is not equipped with awindshield.

Any 1935 or newer model yearvehicle is not equipped with ap-proved safety glass with an AS-1,AS-10 or AS-14 rating in thewindshield or an AS-1, -2, -3, -10or -11 rating in the windows to theleft, right and rear of the driver.

Any 1935 or newer model yearvehicle is not equipped with ap-proved safety glass or rigid plastic,if plastic is used with an AS-1, -2,-3, -4, -5, -10 or -11 rating in anyrear window on a convertiblepickup truck or light-duty truck.

Cracks

2. Inspect windshield and otherwindows for cracks or sharp edges.

2. Windshield or other window isbroken or has exposed sharp orjagged edges.

Windshield Only:

Any ‘‘star’’ larger than 3 inches indiameter is located in any area ofthe windshield.

There is a crack more than 11inches long, any part of whichextends into the path of the wind-shield wiper(s).

Window Tint

Note: If a windshield or a window,through observation, clearly meetsthe required visible light transmit-tance standard, it is not necessaryto use the tint meter. Vehiclesdisplaying a valid MV-80W.2“Exempt Tinted Windows” stickerneed not be inspected for windowtint.

3. Model year 1991 or oldervehicles:

(a) Inspect the windshield forproper visible light transmittance.

(a) Any part of the windshieldbelow the top 6 inches allows lessthan 35% visible lighttransmittance.

(b) Inspect all side windowsadjacent to or forward of the dri-ver’s seating position for propervisible light transmittance.

(b) Any part of the window allowsless than 35% visible lighttransmittance.

(c) Inspect the rear window of anyvehicle that is not equipped withdual outside rearview mirrors forproper visible light transmittance.

(c) Any part of the rear windowallows less than 35% visible lighttransmittance.

Model year 1992 or newervehicles:

(d) Inspect the windshield forproper visible light transmittance.

(d) Any part of the windshieldbelow the top 6 inches allows lessthan 70% visible lighttransmittance.

(e) Inspect all side windowsadjacent to or forward of the dri-ver’s seating position for propervisible light transmittance.

(e) Any part of any side windowadjacent to or forward of the dri-ver’s seating position allows lessthan 70% visible lighttransmittance.

(f) Inspect all side windows to therear of the driver’s seating posi-tion on any vehicle classified as“Passenger Car” on the FMVSScertification label for proper vis-ible light transmittance.

(f) Any part of any side window tothe rear of the driver’s seatingposition on any vehicle classifiedas “Passenger Car” on theFMVSS certification label allowsless than 70% visible lighttransmittance.

(g) Inspect the rear window of anyvehicle that is not equipped withdual outside rearview mirrors forproper visible light transmittance.

(g) Any part of the rear windowallows less than 70% visible lighttransmittance.

Subdivision (g) of section 79.27 is amended to read as follows:

3. Window Tint

Note: If a windshield or a window,through observation, clearly meetsthe required visible light transmit-tance standard, it is not necessaryto use the tint meter. Vehiclesdisplaying a valid MV-80W.2“Exempt Tinted Windows” stickerneed not be inspected for windowtint.

Model year 1991 or oldervehicles:

(a) Inspect the windshield forproper visible light transmittance.

(a) Any part of the windshieldbelow the top 6 inches allows lessthan 35% visible lighttransmittance.

(b) Inspect all side windowsadjacent to or forward of the dri-ver’s seating position for propervisible light transmittance.

(b) Any part of the window allowsless than 35% visible lighttransmittance.

(c) Inspect the rear window of anyvehicle that is not equipped withdual outside rearview mirrors forproper visible light transmittance.

(c) Any part of the rear windowallows less than 35% visible lighttransmittance.

Model year 1992 or newervehicles:

(d) Inspect the windshield forproper visible light transmittance.

(d) Any part of the windshieldbelow the top 6 inches allows lessthan 70% visible lighttransmittance.

(e) Inspect all side windowsadjacent to or forward of the dri-ver’s seating position for propervisible light transmittance.

(e) Any part of any side windowadjacent to or forward of the dri-ver’s seating position allows lessthan 70 % light transmittance.

(f) Inspect the rear window of anyvehicle that is not equipped withdual outside rearview mirrors forproper visible light transmittance.

(f) Any part of the rear windowallows less than 70% visible lighttransmittance.

This notice is intended: to serve as both a notice of emergency adoptionand a notice of proposed rule making. The emergency rule will expireMarch 18, 2017.Text of rule and any required statements and analyses may be obtainedfrom: Heidi Bazicki, Department of Motor Vehicles, 6 Empire State Plaza,Room 522A, Albany, NY 12228, (518) 474-0871, email:heidi.bazicki@dmv.ny.govData, views or arguments may be submitted to: Ida Traschen, Same asabove.Public comment will be received until: 45 days after publication of thisnotice.Regulatory Impact Statement

1. Statutory authority: Section 215(a) of the Vehicle and Traffic Law(VTL) authorizes the Commissioner of Motor Vehicles to promulgateregulations which shall regulate and control the exercise of the powers ofthe Department of Motor Vehicles (DMV). Section 301 of the VTLrequires annual motor vehicle safety inspections, including, effective Janu-ary 1, 2017, the inspection of light transmittance of vehicle windows. Sec-tion 302(e) of the VTL empowers the Commissioner to makes reasonablerules and regulations for the administration of Article 5 of the VTL. Sec-tion 375(12-a) of the VTL authorizes the Commissioner to promulgateregulations regarding the light transmittance of motor vehicle windows.

2. Legislative objectives: Section 301 of the VTL requires an annualsafety inspection of motor vehicles. Chapter 444 of the Laws of 2016amends such section to require that the annual inspection assess if the veh-icle’s windows conform to the light transmittance standards set forth inVTL section 375 (12-a), commonly known as window tinting standards.The proposed rule achieves this legislative objective by establishingprocedures to test for window tinting compliance during the safetyinspection. In addition, the regulation makes conforming amendments toPart 54 by setting forth the window tinting standards in the Commis-sioner’s equipment-related regulations.

3. Needs and benefits: This proposed rule is necessary to implementChapter 444 of the Laws of 2016, which mandates light transmittancetests of vehicle windows at the time of the annual vehicle inspection. Theregulation puts inspection stations on notice that they will need to purchasea tint meter to perform such inspections and establishes the appropriate

procedures to conduct such inspections. The regulation sets forth the stan-dards for pre-1992 and 1992 and newer vehicles. For example, the regula-tion advises the stations that all rear side windows on 1992 and newervehicles must be inspected if the vehicle is classified as a “Passenger Car,”as noted on the Federal ID label located on the door jamb. For 1991 orolder vehicles, all of the windows and windshields must be inspected, butthe light transmittance threshold is 35 percent, as opposed to 70 percentlight transmittance for 1992 or newer vehicles.

The proposed amendments to Part 54 align with Part 79, by notifyingmotorists and law enforcement about the appropriate window tinting stan-dards for each vehicle window.

4. Costs: a. to regulated entities: It is estimated that cost to inspectionfacilities for the purchase of the tint/light meter is between $150.00 and$200.00.

b. to State and local governments: The 584 municipalities that performtheir own vehicle inspections would have to purchase the tint/light meters.

c. Source: DMV’s Office of Vehicle Safety.

5. Local government mandates: The 584 municipalities that performtheir own vehicle inspections would have to purchase the tint/light meters.

6. Paperwork: No new or additional paperwork is required by thisproposal.

7. Duplication: The proposal does not duplicate or conflict with anyState or Federal rule.

8. Alternatives: There are no known alternatives to implement the statu-tory mandate. A no action alternative was not considered.

9. Federal standards: The proposal does not exceed any minimum stan-dards of the federal government for the same or similar subject areas.

10. Compliance schedule: The Department anticipates that all affectedparties will be able to achieve compliance with the rule upon adoption.

Regulatory Flexibility Analysis

1. Effect of rule: The Department estimates that there are approximately10,800 inspection stations in New York affected by this rule, of which 584are local government stations. The proposed rule mandates light transmit-tance tests on vehicle windows at the time of the annual vehicle inspection.

2. Compliance requirements: The inspection stations would be requiredto purchase a window tinting meter to assess the light transmittance of themotor vehicle’s windows.

3. Professional services: This regulation would not require inspectionstations to obtain new professional services beyond any that they may al-ready use.

4. Compliance costs: Inspection stations would be required to obtainportable, hand-held light meters to conduct the inspections of motor vehi-cle windows required by this regulation. These are readily available andcost between $150 and $200.

5. Economic and technological feasibility: The proposed rule requiresthe purchase of the window tinting meters, with a minor fiscal impact onthe stations.

6. Minimizing adverse impact: Because this proposed rule stems from astatutory mandate, the Department of Motor Vehicles was required toinclude the window tinting assessment as part of the annual safetyinspection.

7. Small business and local government participation: Because thisrulemaking stems from a statutory mandate, the Department of MotorVehicles did not believe that participation by small businesses or localgovernments could or would affect the requirements set forth in proposedrule.

Rural Area Flexibility Analysis and Job Impact Statement

The proposed regulations relate to window tinting standards and the an-nual motor vehicle safety inspection. A rural area flexibility analysis and ajob impact statement are not required for these proposed rules, becausethey will not disproportionately affect rural areas or have a negative impacton job development.

Niagara Falls Water Board

EMERGENCY/PROPOSED

RULE MAKING

Adoption of Rates, Fees and Charges

I.D. No. NFW-01-17-00001-EP

Filing No. 1152

Proposed Action: Amendment of sections 1950.8 and 1950.20 of Title 21NYCRR.

Statutory authority: Public Authority Law, section 1230-j

Finding of necessity for emergency rule: Preservation of public health,public safety and general welfare.

Specific reasons underlying the finding of necessity: I hereby certify thatthe adoption of Section 1950.20, Schedule of rates, fees and charges, onan emergency basis as authorized by Section 202(6-a) of the StateAdministrative Procedure Act, was duly adopted by the Niagara Falls Wa-ter Board (the ‘‘Board’’) on November 23, 2016 at a Niagara Falls WaterBoard meeting held at 5815 Buffalo Avenue, Niagara Falls, New York14304 pursuant to the authority vested in the Board by Section 1230-j ofthe New York State Public Authorities Law.

The Board regulations that constitute Part 1950 and 1960 of Title 21 ofthe NYCRR were adopted on April 1, 2003.

This amendment shall be effective upon the filing of this Provision fromthe regulations of the Board with the Secretary of State pursuant to theNotice of Emergency Adoption and Proposed Rule Making enclosedherewith. This amendment is adopted as an emergency measure becausetime is of the essence.

I determined that it is necessary for the preservation of the public health,safety and general welfare and that compliance with the requirements ofsubdivision one section 202 would be contrary to the public interest. TheBoard regulations include a schedule of rates, fees and charges imposedupon all persons served by the System. The Board recently consideredestimates for its expenses and revenues for fiscal year 2017 commencingon January 1, 2017 and ending on December 31, 2017. As part of thisconsideration, the Board recognized the expenses of operations and a pro-jection of revenues from its existing rate payers in the City of NiagaraFalls and related service area. In addition, the Board considered its debtservice and its covenants with its bondholders with respect to bonds thatwere issued as of the acquisition date. The Board determined there will besufficient resources to provide necessary water and wastewater services toall persons who use the System for year 2017, and eliminated the avail-ability charge set in 21 NYCRR 1950.8 and 21 NYCRR 1950.20.

Subject: Adoption of Rates, Fees and Charges.

Purpose: To eliminate the availability charge that is no longer necessaryto operate, maintain and manage the system.

Text of emergency/proposed rule: SECTION 1950.20. SCHEDULE OFRATES, FEES AND CHARGES

(a) This schedule sets forth the rates, fees and other charges applicableto the provision of water supply, wastewater and related services by theNiagara Falls Water Board to all property owners, users and other personsas of January 1, [2016] 2017. All property owners, users and other personswho receive services from the water board shall pay to the water board therates, fees and charges set forth in this schedule.

(b) The following rates shall be charged and collected for the use of wa-ter within the city, supplied by the water board as hereby fixed andestablished:

First 20,000 cu. ft. per quarter, $3.27 per 100 cu. ft.Next succeeding 60,000 cu. ft. per quarter, $2.83 per 100 cu. ft.Next succeeding 120,000 cu. ft. per quarter, $2.40 per 100 cu. ft.Over 200,000 cu. ft. per quarter, $1.99 per 100 cu. ft.The minimum charge for water consumed in any premises within the

city for any quarter or portion thereof shall not be less than $42.51.(c) The following rates shall be charged and collected for the use of wa-

ter outside the city for residential and commercial purposes supplied bythe water board as hereby fixed and established:

First 20,000 cu. ft. per quarter, $8.74 per 100 cu. ft.Next succeeding 60,000 cu. ft. per quarter, $7.63 per 100 cu. ft.Next succeeding 120,000 cu. ft. per quarter, $6.36 per 100 cu. ft.Over 200,000 cu. ft. per quarter, $5.35 per 100 cu. ft.The minimum charge for water consumed in any premises located

outside the city for domestic purposes for any quarter or portion thereofshall not be less than $113.62.

(d) Water used for testing fire hoses, filling tanks, swimming pools, test-ing sprinkler systems, and like use shall be billed at the highest residentialunit rate enumerated in subdivision (b) of this section. The amount usedmay be either estimated in accordance with the size of the pipe throughwhich taken at the pressure furnished, or determined by the use of atemporary meter rented to the user by the water board. The use of the lat-ter method shall be at the discretion of the director and may require arefundable deposit.

(e) Use of hydrant for any purpose whatsoever shall be subject to arental charge of $1.50 per day or partial day.

(f) The cost of hydrant use will include a fee of $35.00 for backflow de-vice certification, payable at the time of hydrant use application. In addi-tion, daily hydrant and meter rental rates and security deposit amountsshall be established by the director based upon the real cost to the waterboard.

(g) In addition to the above schedule rates for water consumed thereshall be assessed a demand charge for each user’s meter as set forth below.

Size and Type Charge Per Quarter

Under 1’’ Disc $3.70

1� Disc $25.00

11/2� Disc $30.00

2’’ Disc $40.00

2’’ Compound $40.00

10’’ Compound $275.00

12’’ Compound $400.00

(h) The rates set forth in this section, however, shall not apply to anyuser of water with whom there is now outstanding a valid and bindingcontract with the city and/or water board to supply water at a rate differentthan the rates stated in this schedule, or to users obtaining water servicefrom the Village of LaSalle prior to May 4, 1927.

(i) In the event the water board or the director terminates water supplyservice to any property owner or user, such property owner, user or userslocated at such property shall pay a reactivation fee in the amount of$75.00 to the water board prior to the supply of water.

(j) There shall be a small meter testing charge of $100.00 for the benchtesting of any meter less than two inches in size.

(k) An account reactivation charge of $100.00 shall be applied when-ever a meter is reinstalled and an account reactivated.

(1) The water board shall charge a $25.00 final read fee for all ownerrequested meter reads.

(m) A hydrant flow test charge shall be applied whenever an owner,user or his agent requests a hydrant flow test.

(n) The annual availability charge for private fire protection serviceshall be:

Diameter of Service Connection Annual Fee

2’’ or less $66.00

3’’ $95.00

4’’ $168.00

6’’ $380.00

8’’ $670.00

10’’ $1,050.00

12’’ $1,510.00

(o) A backflow submittal fee of $25.00 shall be charged for all backflowplans submitted to the water board for approval and forwarding to theState Health Department.

(p) There shall be a $120.00 inspection fee for each request for a cross-connection inspection.

[(q) There shall be a $60.00 availability charge applied on a quarterlybasis to all accounts inactivated pursuant to section 1950.8(m) of thisPart.]

[(r)] (q) In addition to the above rates, fees and charges, the followingrates shall apply to all users with respect to sewer or wastewater servicesprescribed in the water board’s wastewater regulations in Part 1960 of thisTitle. There shall be two user classes as provided in Part 1960 of this title,to wit: commercial/small industrial/residential users (CSIRU) and signifi-cant industrial users (SIU).

(1) CSIRU. Sewer rates for the CSIRU class are determined by totalmetered water consumption in each quarter. The schedule of quarterlycharges for the CSIRU class shall be as follows:

SCHEDULE IMinimum charge per quarter: $56.29 with a usage allowance of up to

1,300 cubic feetAdditional usage in excess of 1,300: $4.33 per 100 cubic feetThe following rates shall be charged and collected for the use of sewer

outside the city for residential and commercial purposes as determined bytotal metered water consumption per quarter. The schedule of quarterlycharges for the users outside the city shall be as follows:

Minimum charge per quarter: $150.80 with a usage allowance of up to1,300 cubic feet

Additional usage in excess of 1,300: $11.60 per 100 cubic feet(2) SIU.

(i) Conventional pollutant parameter charges. Sewer rates for theSIU class each quarter are based on measured quantities of the actual dis-charge parameters: flow, suspended solids and soluble organic carbon.Such determination shall be made by the water board and shall be basedupon five representative 24-hour composite samples taken quarterly, atsuch locations as are adequate to provide proper representation. The sched-ule of charges for conventional pollutant parameters shall be as follows:

SCHEDULE II

Pollutant Parameters Rate

Flow $3,044.49 per million gallons

Suspended Solids $0.98 per pound

Soluble Organic Carbon $1.69 per pound

(ii) Substances of concern parameter charges. SIU’s, who havewastewater discharge permits which limit any substance of concern listedin Schedule III contained in this subparagraph, will be billed for dischargeof these substances based on the unit rates shown in Schedule III. Dis-charge loading for billing purposes shall be determined by arithmetic aver-age of the last six acceptable self-monitoring results. At the option of theSIU, increased self-monitoring can be performed. For billing purposes,when six or more acceptable results are obtained over the three month bill-ing period, all such results shall be used in the computation of the arithme-tic average, with a requirement that there be at least two sample results foreach month. Average discharge loadings will then be multiplied by thecorresponding unit rates from Schedule III to obtain total charges perquarter for each substance of concern listed in the SIU’s wastewater dis-charge permit. All substances of concern charges will be added to thecharges for conventional parameters, as specified in subparagraph (i) ofthis paragraph, to compute the total quarterly sewer rate.

SCHEDULE III

SUBSTANCES OF CONCERN UNIT CHARGES

Parameters Unit Rate

Benzene $335.98 per pound

Chloroform $59.82 per pound

Dichloroethylenes $365.56 per pound

Toluene $16.20 per pound

Trichloroethanes $75.97 per pound

Trichloroethylene $96.97 per pound

Vinyl Chloride $48.54 per pound

Monochlorotoluenes $3.28 per pound

Tetraachloroethylene $45.26 per pound

Total Phenols $7.39 per pound

(iii) Billing. SIU charges shall be billed on a monthly basis by thewater board. The first and second monthly billings in each quarter shall beestimated and shall be one-third of the total billing in the immediately pre-ceding quarter. The third monthly bill in each quarter shall be based uponactual discharge quantities for that quarter and shall reflect adjustments forthe estimated billings in that quarter.

[(s)] (r) Unless the context specifically indicates otherwise, all termscontained herein shall have the meanings set forth in the regulationsadopted by the water board in this Part and Part 1960 of this Title, asapplicable.

This notice is intended: to serve as both a notice of emergency adoptionand a notice of proposed rule making. The emergency rule will expireMarch 13, 2017.

Text of rule and any required statements and analyses may be obtainedfrom: John J. Ottaviano, Niagara Falls Water Board, 172 East Avenue,Lockport, New York 14094, (716) 438-0488, email:ottaviano@ruppbaase.com

Regulatory Impact Statement, Regulatory Flexibility Analysis, RuralArea Flexibility Analysis and Job Impact Statement

Statements and analyses are not submitted with this notice because theamended rule is within the definition contained in section 102(2)(a)(ii) ofthe State Administrative Procedure Act.

NOTICE OF ADOPTION

Disposition of Property Tax Refund

I.D. No. PSC-52-11-00017-A

Action taken: On 12/15/16, the PSC adopted the terms of a joint proposaldetermining the disposition of KeySpan Gas East Corporation d/b/aNational Grid’s (KEDLI) property tax refund.

Statutory authority: Public Service Law, section 113(2)

Subject: Disposition of property tax refund.

Purpose: To adopt the terms of a joint proposal determining the disposi-tion of KEDLI’s property tax refund.

Substance of final rule: The Commission, on December 15, 2016, adoptedthe terms of a joint proposal executed by the Brooklyn Union GasCompany d/b/a National Grid NY (KEDNY); KeySpan Gas East Corpora-tion d/b/a National Grid (KEDLI); trial staff of the Department of PublicService; the City of New York; the Environmental Defense Fund; BBPC,LLC d/b/a Great Eastern Energy; Direct Energy Services, LLC; ConsumerPower Advocates; Spring Creek Towers and Estates NY Real Estate Ser-vices LLC. These adopted provisions established a three-year gas servicerate plan for KEDNY and KEDLI; determined the disposition of threeKEDLI tax refunds; and resolving a proceeding requiring KEDNY toidentify SC No. 2 non-residential gas customers misclassified as heatingcustomers for the period March 2008 through March 2014 and to refundthe resulting overpayments to such customers, subject to the terms andconditions set forth in the order.

Text of rule may be obtained from: Elaine Agresta, Public Service Com-mission, Three Empire State Plaza, Albany, New York 12223, (518) 486-2660, email: elaine.agresta@dps.ny.gov An IRS employer ID no. or socialsecurity no. is required from firms or persons to be billed 25 cents perpage. Please use tracking number found on last line of notice in requests.

Assessment of Public Comment

An assessment of public comment is not submitted with this notice becausethe rule is within the definition contained in section 102(2)(a)(ii) of theState Administrative Procedure Act.

(11-G-0601SA1)

NOTICE OF ADOPTION

I.D. No. PSC-03-14-00009-A

Action taken: On 12/15/16, the PSC adopted the terms of a joint proposaldetermining the disposition of KeySpan Gas East Corporation d/b/aNational Grid’s (KEDLI) property tax refund.Statutory authority: Public Service Law, sections 2, 5, 65, 66 and 113(2)Subject: Disposition of property tax refund.Purpose: To adopt the terms of a joint proposal determining the disposi-tion of KEDLI’s property tax refund.

Assessment of Public CommentAn assessment of public comment is not submitted with this notice becausethe rule is within the definition contained in section 102(2)(a)(ii) of theState Administrative Procedure Act.(13-G-0498SA1)

NOTICE OF ADOPTION

Identify and Refund Misclassified SC No. 2 Customers

I.D. No. PSC-04-15-00008-A

Action taken: On 12/15/16, the PSC adopted the terms of a joint proposalrequiring The Brooklyn Union Gas Company d/b/a National Grid NY(KEDNY) to identify and refund misclassified Service Classification (SC)No. 2 Non-Residential Gas customers.

Statutory authority: Public Service Law, sections 65, 66 and 113

Subject: Identify and refund misclassified SC No. 2 customers.

Purpose: To adopt the terms of a joint proposal requiring KEDNY toidentify and refund misclassified SC No. 2 customers.

Final rule as compared with last published rule: No changes.Text of rule may be obtained from: Elaine Agresta, Public Service Com-mission, Three Empire State Plaza, Albany, New York 12223, (518) 486-2660, email: elaine.agresta@dps.ny.gov An IRS employer ID no. or socialsecurity no. is required from firms or persons to be billed 25 cents perpage. Please use tracking number found on last line of notice in requests.Assessment of Public CommentAn assessment of public comment is not submitted with this notice becausethe rule is within the definition contained in section 102(2)(a)(ii) of theState Administrative Procedure Act.(14-G-0091SA2)

NOTICE OF ADOPTION

I.D. No. PSC-04-15-00012-A

Action taken: On 12/15/16, the PSC adopted the terms of a joint proposaldetermining the disposition of KeySpan Gas East Corporation d/b/aNational Grid’s (KEDLI) property tax refund.

Subject: Disposition of property tax refund.

Purpose: To adopt the terms of a joint proposal determining the disposi-tion of KEDLI’s property tax refund.

NOTICE OF ADOPTION

Reinstatement of Authority to Market to and Enroll Non-Residential Customers

I.D. No. PSC-52-15-00015-A

Action taken: On 12/15/16, the PSC adopted an order reinstating AstralEnergy, LLC’s (Astral) authority to market to and enroll non-residentialcustomers.

Subject: Reinstatement of authority to market to and enroll non-residentialcustomers.

Purpose: To reinstate Astral’s authority to market to and enroll non-residential customers.

Substance of final rule: The Commission, on December 15, 2016, adoptedan order reinstating Astral Energy, LLC’s (Astral) authority to market toand enroll non-residential customers, subject to the terms and conditionsset forth in the order.Final rule as compared with last published rule: No changes.

Assessment of Public CommentAn assessment of public comment is not submitted with this notice becausethe rule is within the definition contained in section 102(2)(a)(ii) of theState Administrative Procedure Act.(15-E-0556SA1)

NOTICE OF ADOPTION

Three-Year Gas Rate Plan

I.D. No. PSC-17-16-00005-A

Action taken: On 12/15/16, the PSC adopted the terms of a joint proposalestablishing a three-year gas rate plan for The Brooklyn Union GasCompany d/b/a National Grid NY (KEDNY).

Subject: Three-year gas rate plan.

Purpose: To adopt the terms of a joint proposal establishing a three-yeargas rate plan for KEDNY.

NOTICE OF ADOPTION

Three-Year Gas Rate Plan

I.D. No. PSC-17-16-00008-A

Action taken: On 12/15/16, the PSC adopted the terms of a joint proposalestablishing a three-year gas rate plan for KeySpan Gas East Corporationd/b/a National Grid (KEDLI).

Subject: Three-year gas rate plan.

Purpose: To adopt the terms of a joint proposal establishing a three-yeargas rate plan for KEDLI.Substance of final rule: The Commission, on December 15, 2016, adoptedthe terms of a joint proposal executed by the Brooklyn Union GasCompany d/b/a National Grid NY (KEDNY); KeySpan Gas East Corpora-tion d/b/a National Grid (KEDLI); trial staff of the Department of PublicService; the City of New York; the Environmental Defense Fund; BBPC,LLC d/b/a Great Eastern Energy; Direct Energy Services, LLC; ConsumerPower Advocates; Spring Creek Towers and Estates NY Real Estate Ser-vices LLC. These adopted provisions established a three-year gas servicerate plan for KEDNY and KEDLI; determined the disposition of threeKEDLI tax refunds; and resolving a proceeding requiring KEDNY toidentify SC No. 2 non-residential gas customers misclassified as heatingcustomers for the period March 2008 through March 2014 and to refundthe resulting overpayments to such customers, subject to the terms andconditions set forth in the order.Final rule as compared with last published rule: No changes.Text of rule may be obtained from: Elaine Agresta, Public Service Com-mission, Three Empire State Plaza, Albany, New York 12223, (518) 486-2660, email: elaine.agresta@dps.ny.gov An IRS employer ID no. or socialsecurity no. is required from firms or persons to be billed 25 cents perpage. Please use tracking number found on last line of notice in requests.

NOTICE OF ADOPTION

Petition to Retain Property Tax Refunds

I.D. No. PSC-23-16-00011-A

Action taken: On 12/15/16, the PSC adopted an order approving VerizonNew York Inc.’s (Verizon) petition to retain $1,123,046, the regulated in-trastate portion of the property tax refunds received from the City of NewYork for the 2015-16 tax year.

Subject: Petition to retain property tax refunds.

Purpose: To approve Verizon’s petition to retain $1,123,046 in propertytax refunds.

Substance of final rule: The Commission, on December 15, 2016, adoptedan order approving Verizon New York Inc.’s petition to retain $1,123,046,the regulated intrastate portion of the property tax refunds received fromthe City of New York for the 2015-16 tax year, subject to the terms andconditions set forth in the order.

Text of rule may be obtained from: John Pitucci, Public Service Commis-sion, Three Empire State Plaza, Albany, New York, 12223, (518) 486-2655, email: john.pitucci@dps.ny.gov An IRS employer ID no. or socialsecurity no. is required from firms or persons to be billed 25 cents perpage. Please use tracking number found on last line of notice in requests.

Assessment of Public CommentAn assessment of public comment is not submitted with this notice becausethe rule is within the definition contained in section 102(2)(a)(ii) of theState Administrative Procedure Act.(16-C-0298SA1)

NOTICE OF ADOPTION

Tariff Amendments to Extend the Implementation Deadline forthe Revised Cash-Out Process

I.D. No. PSC-26-16-00021-A

Action taken: On 12/15/16, the PSC adopted an order approving Central

Hudson Gas & Electric Corporation’s (Central Hudson) tariff amendmentsto extend the implementation deadline for the revised cash-out processcontained in P.S.C. No. 12—Gas.Statutory authority: Public Service Law, section 66(12)Subject: Tariff amendments to extend the implementation deadline for therevised cash-out process.Purpose: To approve Central Hudson’s tariff amendments to extend theimplementation deadline for the revised cash-out process.Substance of final rule: The Commission, on December 15, 2016, adoptedan order approving Central Hudson Gas & Electric Corporation’s tariffamendments to extend the implementation deadline for the revised cash-out process for the Gas Retail Access program to April 1, 2017, containedin P.S.C. No. 12—Gas, subject to the terms and conditions set forth in theorder.Final rule as compared with last published rule: No changes.Text of rule may be obtained from: Elaine Agresta, Public Service Com-mission, Three Empire State Plaza, Albany, New York 12223, (518) 486-2660, email: elaine.agresta@dps.ny.gov An IRS employer ID no. or socialsecurity no. is required from firms or persons to be billed 25 cents perpage. Please use tracking number found on last line of notice in requests.Assessment of Public CommentAn assessment of public comment is not submitted with this notice becausethe rule is within the definition contained in section 102(2)(a)(ii) of theState Administrative Procedure Act.(14-G-0319SA3)

NOTICE OF ADOPTION

Tariff Amendments to Implement Standby Offset and ReliabilityCredit Provisions

I.D. No. PSC-34-16-00018-A

Action taken: On 12/15/16, the PSC adopted an order approving CentralHudson Gas & Electric Corporation’s (Central Hudson) tariff amend-ments, with modifications, to implement standby offset and reliabilitycredit provisions, contained in P.S.C. No. 15—Electricity.Statutory authority: Public Service Law, section 66(12)Subject: Tariff amendments to implement standby offset and reliabilitycredit provisions.Purpose: To approve Central Hudson’s tariff amendments to implementstandby offset and reliability credit provisions.Substance of final rule: The Commission, on December 15, 2016, adoptedan order approving Central Hudson Gas & Electric Corporation’s tariffamendments, with modifications, to implement standby offset and reli-ability credit provisions, in compliance with the Order Adopting aRatemaking and Utility Revenue Model Policy Framework, issued May19, 2016 in Case 14-M-0101, contained in P.S.C. No. 15—Electricity,subject to the terms and conditions set forth in the order.

Assessment of Public CommentAn assessment of public comment is not submitted with this notice becausethe rule is within the definition contained in section 102(2)(a)(ii) of theState Administrative Procedure Act.(16-M-0430SA1)

NOTICE OF ADOPTION

I.D. No. PSC-34-16-00019-A

Action taken: On 12/15/16, the PSC adopted an order approving NewYork State Electric & Gas Corporation’s (NYSEG) tariff amendments,with modifications, to implement standby offset and reliability credit pro-visions, contained in P.S.C. No. 120—Electricity.Statutory authority: Public Service Law, section 66(12)Subject: Tariff amendments to implement standby offset and reliabilitycredit provisions.Purpose: To approve NYSEG’s tariff amendments to implement standbyoffset and reliability credit provisions.Substance of final rule: The Commission, on December 15, 2016, adoptedan order approving New York State Electric & Gas Corporation’s tariffamendments, with modifications, to implement standby offset and reli-ability credit provisions, in compliance with the Order Adopting aRatemaking and Utility Revenue Model Policy Framework, issued May19, 2016 in Case 14-M-0101, contained in P.S.C. No. 120—Electricity,subject to the terms and conditions set forth in the order.Final rule as compared with last published rule: No changes.Text of rule may be obtained from: Elaine Agresta, Public Service Com-mission, Three Empire State Plaza, Albany, New York 12223, (518) 486-2660, email: elaine.agresta@dps.ny.gov An IRS employer ID no. or socialsecurity no. is required from firms or persons to be billed 25 cents perpage. Please use tracking number found on last line of notice in requests.Assessment of Public CommentAn assessment of public comment is not submitted with this notice becausethe rule is within the definition contained in section 102(2)(a)(ii) of theState Administrative Procedure Act.(16-M-0430SA2)

NOTICE OF ADOPTION

I.D. No. PSC-34-16-00020-A

Action taken: On 12/15/16, the PSC adopted an order approving NationalGrid’s tariff amendments, with modifications, to implement standby offsetand reliability credit provisions, contained in P.S.C. No. 220—Electricity.Statutory authority: Public Service Law, section 66(12)Subject: Tariff amendments to implement standby offset and reliabilitycredit provisions.Purpose: To approve National Grid’s tariff amendments to implementstandby offset and reliability credit provisions.Substance of final rule: The Commission, on December 15, 2016, adoptedan order approving Niagara Mohawk Power Corporation d/b/a NationalGrid’s tariff amendments, with modifications, to implement standby offsetand reliability credit provisions, in compliance with the Order Adopting aRatemaking and Utility Revenue Model Policy Framework, issued May19, 2016 in Case 14-M-0101, contained in P.S.C. No. 220—Electricity,subject to the terms and conditions set forth in the order.Final rule as compared with last published rule: No changes.Text of rule may be obtained from: Elaine Agresta, Public Service Com-mission, Three Empire State Plaza, Albany, New York 12223, (518) 486-2660, email: elaine.agresta@dps.ny.gov An IRS employer ID no. or socialsecurity no. is required from firms or persons to be billed 25 cents perpage. Please use tracking number found on last line of notice in requests.Assessment of Public CommentAn assessment of public comment is not submitted with this notice becausethe rule is within the definition contained in section 102(2)(a)(ii) of theState Administrative Procedure Act.(16-M-0430SA3)

NOTICE OF ADOPTION

I.D. No. PSC-34-16-00021-A

Action taken: On 12/15/16, the PSC adopted an order approving Roches-ter Gas and Electric Corporation’s (RG&E) tariff amendments, withmodifications, to implement standby offset and reliability credit provi-sions, contained in P.S.C. No. 19—Electricity.Statutory authority: Public Service Law, section 66(12)Subject: Tariff amendments to implement standby offset and reliabilitycredit provisions.Purpose: To approve RG&E’s tariff amendments to implement standbyoffset and reliability credit provisions.Substance of final rule: The Commission, on December 15, 2016, adoptedan order approving Rochester Gas and Electric Corporation’s tariff amend-ments, with modifications, to implement standby offset and reliabilitycredit provisions, in compliance with the Order Adopting a Ratemakingand Utility Revenue Model Policy Framework, issued May 19, 2016 inCase 14-M-0101, contained in P.S.C. No. 19—Electricity, subject to theterms and conditions set forth in the order.Final rule as compared with last published rule: No changes.Text of rule may be obtained from: Elaine Agresta, Public Service Com-mission, Three Empire State Plaza, Albany, New York 12223, (518) 486-2660, email: elaine.agresta@dps.ny.gov An IRS employer ID no. or socialsecurity no. is required from firms or persons to be billed 25 cents perpage. Please use tracking number found on last line of notice in requests.Assessment of Public CommentAn assessment of public comment is not submitted with this notice becausethe rule is within the definition contained in section 102(2)(a)(ii) of theState Administrative Procedure Act.(16-M-0430SA5)

NOTICE OF ADOPTION

I.D. No. PSC-34-16-00022-A

Action taken: On 12/15/16, the PSC adopted an order approving Orangeand Rockland Utilities, Inc.’s (O&R) tariff amendments, with modifica-tions, to implement standby offset and reliability credit provisions,contained in P.S.C. No. 3—Electricity.Statutory authority: Public Service Law, section 66(12)Subject: Tariff amendments to implement standby offset and reliabilitycredit provisions.Purpose: To approve O&R’s tariff amendments to implement standbyoffset and reliability credit provisions.Substance of final rule: The Commission, on December 15, 2016, adoptedan order approving Orange and Rockland Utilities, Inc.’s tariff amend-ments, with modifications, to implement standby offset and reliabilitycredit provisions, in compliance with the Order Adopting a Ratemakingand Utility Revenue Model Policy Framework, issued May 19, 2016 inCase 14-M-0101, contained in P.S.C. No. 3—Electricity, subject to theterms and conditions set forth in the order.Final rule as compared with last published rule: No changes.Text of rule may be obtained from: Elaine Agresta, Public Service Com-mission, Three Empire State Plaza, Albany, New York 12223, (518) 486-2660, email: elaine.agresta@dps.ny.gov An IRS employer ID no. or socialsecurity no. is required from firms or persons to be billed 25 cents perpage. Please use tracking number found on last line of notice in requests.Assessment of Public CommentAn assessment of public comment is not submitted with this notice becausethe rule is within the definition contained in section 102(2)(a)(ii) of theState Administrative Procedure Act.(16-M-0430SA4)

NOTICE OF ADOPTION

Petition for Rehearing of the CES Order

I.D. No. PSC-37-16-00010-A

Action taken: On 12/15/16, the PSC adopted an order approving Constel-lation Energy Group, LLC and Exelon Generation Company LLC’s(Exelon) petition for limited rehearing of the August 1, 2016 Order Adopt-ing a Clean Energy Standard (CES Order).Statutory authority: Public Service Law, sections 4(1), 5(1), (2), 66(2);Energy Law, section 6-104(5)(b)Subject: Petition for rehearing of the CES Order.Purpose: To approve Exelon’s petition for rehearing of the CES Order.Substance of final rule: The Commission, on December 15, 2016, adoptedan order approving Constellation Energy Group, LLC and Exelon Genera-tion Company LLC’s (Exelon) petition for limited rehearing of the August1, 2016 Order Adopting a Clean Energy Standard (CES Order). Uponrehearing, the Zero-Emissions Credit (ZEC) Requirement is modified toeliminate in its entirety, as it applies to nuclear facilities currently ownedby Exelon, the requirement stated in Appendix E, page 3, paragraph 6 ofthe CES Order. Accordingly, the Exelon ZEC contract may be amended toconform to this modification. This modification does not apply to theFitzPatrick nuclear facility or its ZEC contract. The owner, Entergy Nu-clear FitzPatrick, LLC, has not sought a modification of either the require-ment or the ZEC Contract and has different interests, subject to the termsand conditions set forth in the order.

NOTICE OF ADOPTION

Prohibition on ESCO Service to Low-Income Customers

I.D. No. PSC-40-16-00001-A

Action taken: On 12/15/16, the PSC adopted an order prohibiting serviceto low-income customers by energy service companies (ESCOs).

Statutory authority: Public Service Law, sections 5(1), (2), 65(1), (2), (3),66(2), (3), (5), (8), (9) and (12)

Subject: Prohibition on ESCO service to low-income customers.

Purpose: To prohibit ESCO service to low-income customers.

Substance of final rule: The Commission, on December 15, 2016, adoptedan order converting the moratorium on energy service company (ESCO)service to Assistant Program Participant (APP) customers directed in theJuly and September 2016 orders to a permanent prohibition and directing:(1) Electric and gas distribution utilities that have tariffed provisionsproviding for retail access to place a block on all assistance program par-ticipant accounts, preventing those accounts from being enrolled with anenergy service company; (2) Electric and gas distribution utilities thathave tariffed provisions providing for retail access to communicate toeach energy service company serving assistance program participantswhich accounts the ESCO is no longer eligible to serve; (3) Energy ser-vice companies that participate in the ESCO Consolidated Billing Modelin National Fuel Distribution Corporation’s service territory to com-municate to National Fuel Distribution Corporation which accounts theESCO is receiving a HEAP payment on the customer’s behalf; (4) Electricand gas distribution utilities that have tariffed provisions providing forretail access and energy service companies that participate in the ESCOConsolidated Billing Model in National Fuel Distribution Corporation’sservice territory to file with the Secretary, drafts of the letters to be sent toenergy service company customers that are assistance program participantsinforming them that they will be returned to utility service; (5) Electricand gas distribution utilities that have tariffed provisions providing forretail access and energy service companies that participate in the ESCOConsolidated Billing Model in National Fuel Distribution Corporation’sservice territory to send the letters developed pursuant to Ordering Clause4 to energy service company customers that are assistance programparticipants; (6) Electric and gas distribution utilities that have tariffed

provisions providing for retail access to communicate to each energy ser-vice company serving customers who subsequently become assistanceprogram participants which accounts the ESCO is no longer eligible toserve by sending an updated list of such accounts; (7) Energy servicecompanies that participate in the ESCO Consolidated Billing Model inNational Fuel Distribution Corporation’s service territory to communicateto National Fuel Distribution Corporation which accounts the ESCO isreceiving a HEAP payment on the customer’s behalf; (8) Electric and gasdistribution utilities that have tariffed provisions providing for retail ac-cess to notify energy service company customers that subsequentlybecome assistance program participants by sending such customers theletters developed pursuant to Ordering Clause 4, informing them of theprohibition imposed by the Order and that they will be returned to utilityservice; (9) Energy service companies that participate in the ESCOConsolidated Billing Model in National Fuel Distribution Corporation’sservice territory to notify customers that subsequently become assistanceprogram participants by sending such customers the letters developed pur-suant to Ordering Clause 4, informing them of the prohibition imposed bythe Order and that they will be returned to utility service; (10) Everyenergy service company eligible to serve customers in New York Stateshall, upon receiving the communication from the electric and gas distri-bution utilities pursuant to Ordering Clause 2 and 6 of the Order, de-enrollany customer accounts identified by the electric and gas distribution utili-ties, provided that existing contracts will continue until their expiration;and (11) Energy service companies that participate in the ESCO Consoli-dated Billing Model in National Fuel Distribution Corporation’s serviceterritory shall de-enroll any customer accounts on whose behalf the Energyservice company receives a HEAP benefit, provided that existing contractswill continue until their expiration, subject to the terms and conditions setforth in the order.

Assessment of Public CommentAn assessment of public comment is not submitted with this notice becausethe rule is within the definition contained in section 102(2)(a)(ii) of theState Administrative Procedure Act.(12-M-0476SA14)

NOTICE OF ADOPTION

Tariff Amendments to Waive Proration Billing for the ECAM

I.D. No. PSC-40-16-00006-A

Action taken: On 12/15/16, the PSC adopted an order approving CentralHudson Gas & Electric Corporation’s (Central Hudson) tariff amendmentsto waive proration billing for the Energy Cost Adjustment Mechanism(ECAM) contained in P.S.C. No. 15—Electricity.

Subject: Tariff amendments to waive proration billing for the ECAM.

Purpose: To approve Central Hudson’s tariff amendments to waive prora-tion billing for the ECAM.

Substance of final rule: The Commission, on December 15, 2016, adoptedan order approving Central Hudson Gas & Electric Corporation’s tariffamendments to waive proration billing for the Energy Cost AdjustmentMechanism for Service Classification No. 5 — Area Lighting customers,contained in P.S.C. No. 15—Electricity, subject to the terms and condi-tions set forth in the order.

Assessment of Public CommentAn assessment of public comment is not submitted with this notice becausethe rule is within the definition contained in section 102(2)(a)(ii) of theState Administrative Procedure Act.

(14-E-0318SA6)

NOTICE OF ADOPTION

Tariff Amendments to Update the LED Wattages

I.D. No. PSC-40-16-00024-A

Action taken: On 12/15/16, the PSC adopted an order approving NiagaraMohawk Power Corporation d/b/a National Grid’s (National Grid) tariffamendments to P.S.C. No. 214—Electricity, to update the Light EmittingDiode (LED) wattages.

Subject: Tariff amendments to update the LED wattages.

Purpose: To approve National Grid’s tariff amendments to update theLED wattages.

Substance of final rule: The Commission, on December 15, 2016, adoptedan order approving Niagara Mohawk Power Corporation d/b/a NationalGrid’s tariff amendments to P.S.C. No. 214—Electricity, to update theLight Emitting Diode wattages in its street lighting tariff schedule underService Classification No. 2 — Street Lighting, Unmetered CompanyOwned/Company Maintained, subject to the terms and conditions set forthin the order.

NOTICE OF ADOPTION

Amendments to the Transition Plan Order

I.D. No. PSC-41-16-00015-A

Action taken: On 12/15/16, the PSC adopted an order approving, withmodifications, Borrego Solar Systems, Inc., et. al.’s (Borrego) petition foramendments to the April 17, 2015 Order Granting Rehearing in Part,Establishing Transition Plan, and Making Other Findings.

Statutory authority: Public Service Law, sections 5(2), 22, 65(1), (2), (3),66(1), (2), (3), (4), (5), (9), (12), (12-a), 66-c, 66-j and 66-l

Subject: Amendments to the Transition Plan Order.

Purpose: To approve Borrego, et. al.’s petition for amendments to theTransition Plan Order.

Substance of final rule: The Commission, on December 15, 2016, adoptedan order approving, with modifications, Borrego Solar Systems, Inc.,Central Hudson Gas & Electric Corporation, Niagara Mohawk PowerCorporation d/b/a National Grid, New York Solar Energy Industry As-sociation, SolarCity Corporation, SunEdison, Inc., NRG Energy, Inc.,Clean Energy Collective, Onyx Renewable Partners, BQ Energy LLC andthe Pace Energy and Climate Center’s petition for amendments to the April17, 2015 Order Granting Rehearing in Part, Establishing Transition Plan,and Making Other Findings, subject to the terms and conditions set forthin the order.

NOTICE OF ADOPTION

Tariff Amendments to Rule 25.5, Contained in P.S.C. No.220—Electricity

I.D. No. PSC-41-16-00016-A

Action taken: On 12/15/16, the PSC adopted an order approving NiagaraMohawk Power Corporation d/b/a National Grid’s (National Grid) tariffamendment to Rule 25.5—Meter Reading, contained in P.S.C. No. 220—Electricity.Statutory authority: Public Service Law, section 66(12)Subject: Tariff amendments to Rule 25.5, contained in P.S.C. No. 220—Electricity.Purpose: To approve National Grid’s tariff amendments to Rule 25.5,contained in P.S.C. No. 220—Electricity.Substance of final rule: The Commission, on December 15, 2016, adoptedan order approving Niagara Mohawk Power Corporation d/b/a NationalGrid’s tariff amendment to Rule 25.5 – Meter Reading, contained in P.S.C.No. 220 – Electricity, subject to the terms and conditions set forth in theorder.Final rule as compared with last published rule: No changes.Text of rule may be obtained from: Elaine Agresta, Public Service Com-mission, Three Empire State Plaza, Albany, New York 12223, (518) 486-2660, email: elaine.agresta@dps.ny.gov An IRS employer ID no. or socialsecurity no. is required from firms or persons to be billed 25 cents perpage. Please use tracking number found on last line of notice in requests.

NOTICE OF ADOPTION

Tariff Amendments to Rider T Programs, Contained in P.S.C. No.10—Electricity

I.D. No. PSC-41-16-00018-A

Action taken: On 12/15/16, the PSC adopted an order approving, withmodifications, Consolidated Edison Company of New York, Inc.’s (ConEdison) tariff amendments to its Rider T — Commercial Demand Re-sponse (Rider T) Programs, contained in P.S.C. No. 10—Electricity.

Subject: Tariff amendments to Rider T Programs, contained in P.S.C. No.10—Electricity.

Purpose: To approve Con Edison’s tariff amendments to its Rider TPrograms, contained in P.S.C. No. 10—Electricity.

Substance of final rule: The Commission, on December 15, 2016, adoptedan order approving, with modifications, Consolidated Edison Company ofNew York, Inc.’s tariff amendments to its Commercial Demand ResponsePrograms; Rider T — Commercial System Relief Program and Distribu-tion Load Relief Program, contained in P.S.C. No. 10—Electricity, subjectto the terms and conditions set forth in the order.

NOTICE OF ADOPTION

Tariff Revisions Implementing New Communication Protocols

I.D. No. PSC-42-16-00007-A

Action taken: On 12/15/16, the PSC adopted an order directing all majorgas utilities providing demand response services to file tariff revisionsconsistent with the May 25, 2016 Straw Proposal implementing new com-munication protocols.Statutory authority: Public Service Law, sections 65 and 66Subject: Tariff revisions implementing new communication protocols.Purpose: To direct all major gas utilities to file tariff revisions implement-ing new communication protocols.Substance of final rule: The Commission, on December 15, 2016, adoptedan order directing all major gas utilities providing demand response ser-vices to file tariff revisions consistent with the May 25, 2016 Straw Pro-posal implementing new communication protocols, subject to the termsand conditions set forth in the order.Final rule as compared with last published rule: No changes.Text of rule may be obtained from: Elaine Agresta, Public Service Com-mission, Three Empire State Plaza, Albany, New York 12223, (518) 486-2660, email: elaine.agresta@dps.ny.gov An IRS employer ID no. or socialsecurity no. is required from firms or persons to be billed 25 cents perpage. Please use tracking number found on last line of notice in requests.Assessment of Public CommentAn assessment of public comment is not submitted with this notice becausethe rule is within the definition contained in section 102(2)(a)(ii) of theState Administrative Procedure Act.(15-G-0185SA1)

NOTICE OF ADOPTION

Waiver of Annual Gas Costs Reconciliation

I.D. No. PSC-42-16-00013-A

Action taken: On 12/15/16, the PSC adopted an order approving, withmodifications, The Brooklyn Union Gas Company d/b/a National GridNY’s (KEDNY) waiver of its annual reconciliation of gas costsmechanism.Statutory authority: Public Service Law, sections 5(1), 65(1) and 66(12)Subject: Waiver of annual gas costs reconciliation.Purpose: To approve KEDNY’s waiver of annual gas costs reconciliation.Substance of final rule: The Commission, on December 15, 2016, adoptedan order approving, with modifications, The Brooklyn Union Gas Com-pany d/b/a National Grid NY’s waiver of its annual reconciliation of gascosts mechanism set forth at Section II.36.B of its tariff (PSC No. 12—Gas), Leaf 79.7, as well as Section 720-6.5(g) of the Commission’s regula-tions, to allow it to suspend its annual reconciliation of gas costs surchargefrom January 1, 2017 to March 31, 2017 and to implement a new annualreconciliation of gas costs surcharge commencing April 1, 2017, subject tothe terms and conditions set forth in the order.Final rule as compared with last published rule: No changes.Text of rule may be obtained from: Elaine Agresta, Public Service Com-mission, Three Empire State Plaza, Albany, New York 12223, (518) 486-2660, email: elaine.agresta@dps.ny.gov An IRS employer ID no. or socialsecurity no. is required from firms or persons to be billed 25 cents perpage. Please use tracking number found on last line of notice in requests.Assessment of Public CommentAn assessment of public comment is not submitted with this notice becausethe rule is within the definition contained in section 102(2)(a)(ii) of theState Administrative Procedure Act.

(16-G-0554SA1)

Addition of Company-Owned LED Options Under SC No.1—Street Lighting Service

I.D. No. PSC-01-17-00018-P

Proposed Action: The Commission is considering a proposal by Roches-ter Gas and Electric Corporation to revise its electric tariff schedule, P.S.C.No. 18, to offer Company-owned LED street lighting options for custom-ers served under Service Classification (SC) No. 1.Statutory authority: Public Service Law, sections 65 and 66Subject: Addition of Company-owned LED options under SC No. 1 —Street Lighting Service.

Purpose: To consider the addition of Company-owned LED lighting op-tions for customers served under SC No. 1.

Substance of proposed rule: The Public Service Commission is consider-ing a proposal filed by Rochester Gas and Electric Corporation (RG&E orthe Company) to revise its electric tariff schedule, P.S.C. No. 18, toincorporate Company-owned Light Emitting Diode (LED) options to Ser-vice Classification (SC) 1 – Street Lighting Service. RG&E’s filing ismade pursuant to the Commission’s Order Approving Electric and GasRate Plans in Accord with Joint Proposal, issued and effective June 15,2016 in Case 15-E-0283, et al. RG&E proposes to offer four LED lightingoptions: 3,000 lumen, 6,300 lumen, 10,000 lumen and 15,000 lumen toreplace the 50, 70, 100, 150, 175, 250 and 400 watt Cobrahead luminairesthat are currently offered. Further, RG&E proposes that its obligation toinstall or replace non-LED luminaires with LED lights in any annual pe-riod be limited to 15% of the Company’s currently installed street lightluminaires. Under RG&E’s proposal, the replacement or installation wouldbe on a first-come, first-served basis at the Company’s discretion. RG&Eproposes that the customer must commit to converting the greater of 20%of existing installed luminaires or a minimum of 100 luminaires per billaccount in an annual period. Additionally, RG&E proposes that the lightsto be replaced must be contained in a single contiguous geographic areaand each municipality would be responsible for the system design, andwould be required to agree to compensate the Company for the remainingbook value of lights being replaced, which would be determined by theCompany and based on the municipality’s currently installed luminaires.The Company would require a one-time, up-front payment for the remain-ing book value of the lights being replaced. The proposed amendmentshave an effective date of May 1, 2017. The Commission may adopt, reject,or modify, in whole or in part, the relief proposed and may resolve relatedmatters.

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: john.pitucci@dps.ny.gov

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: secretary@dps.ny.gov

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-E-0711SP1)

2016 Electric Emergency Response Plans for New York’s SixMajor Electric Utilities

I.D. No. PSC-01-17-00019-P

Proposed Action: The Commission is considering New York’s six majorelectric utilities’ 2016 Electric Emergency Response Plans filed onDecember 15, 2016.Statutory authority: Public Service Law, sections 5(1)(b), 66(21)(a) and(b)Subject: 2016 Electric Emergency Response Plans for New York’s sixmajor electric utilities.Purpose: To consider the 2016 Electric Emergency Response Plans forNew York’s six major electric utilities.Substance of proposed rule: The Public Service Commission (Commis-sion) is considering the 2016 Electric Emergency Response Plans submit-ted by Central Hudson Gas and Electric Corporation, Consolidated EdisonCompany of New York, Inc., New York State Electric and Gas Corpora-tion, Niagara Mohawk Power Corporation d/b/a National Grid, Orangeand Rockland Utilities, Inc., and Rochester Gas and Electric Corporation(collectively referred to hereinafter as Utilities). The Commission may ap-prove, reject or modify, in whole or in part, the emergency plans proposedby the Utilities and may resolve related 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: john.pitucci@dps.ny.gov

Consequences Pursuant to the Commission’s Uniform BusinessPractices (UBP)

I.D. No. PSC-01-17-00020-P

Proposed Action: The Public Service Commission is considering whetherto impose consequences on an energy services company (ESCO), AtlanticPower & Gas, LLC (AP&G), for apparent non-compliance with Commis-sion requirements.

Subject: Consequences pursuant to the Commission’s Uniform BusinessPractices (UBP).

Purpose: To consider whether to impose consequences on AP&G for itsapparent non-compliance with Commission requirements.

Substance of proposed rule: The Public Service Commission (Commis-sion) is considering whether to impose consequences, pursuant to sectiontwo of the Commission’s Uniform Business Practices (UBP), on AtlanticPower & Gas, LLC (AP&G), an energy services company (ESCO). OnDecember 15, 2016, the Commission issued an Order Instituting Proceed-ing and to Show Cause (Show Cause Order), which explained the resultsof an investigation showing a number of apparent failures on the part ofAP&G to comply with Commission requirements. The Show Cause Orderstated that the Commission may revoke AP&G’s eligibility to operate inNew York, or may impose any of the consequences set forth in the UBPsection 2.D.6.b. The Show Cause Order required AP&G to respondexplaining why (1) its ability to enroll new residential and non-residentialcustomers should not be suspended until the Commission orders otherwise;and (2) its eligibility to operate in New York should not be revoked or whyother consequences should not be imposed. The Commission may adopt,reject or modify, in whole or in part, the relief proposed and may resolverelated matters.

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: secretary@dps.ny.govPublic comment will be received until: 45 days after publication of thisnotice.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-M-0618SP1)

Petition for Clarification

I.D. No. PSC-01-17-00021-P

Proposed Action: The Public Service Commission is considering the Peti-tion for Clarification filed September 9, 2016, requesting reconsiderationof the Order Authorizing Submetering, Ordering Clause 4, requiring the‘‘periodic’’ meter test.

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: Petition for clarification.

Purpose: To consider the petition for clarification of the Order Authoriz-ing Submetering, Ordering Clause 4.

Substance of proposed rule: The Commission is considering the petition,filed by One Vandam Condominium on September 9, 2016, for clarifica-tion of the Order Authorizing Submetering issued July 20, 2016. The peti-tion specifically requests reconsideration of Ordering Clause 4, requiringthe “periodic” meter testing method be conducted for compliance of 16NYCRR § 96.7(b), meter reliability and accuracy testing requirement. TheCommission may adopt, reject or modify, in whole or in part, the reliefproposed and may resolve related matters.

Addition of Company-Owned LED Options Under SC No.3—Standard Street Lighting Service

I.D. No. PSC-01-17-00022-P

Proposed Action: The Commission is considering a proposal by New YorkState Electric & Gas Corporation to revise its electric tariff schedule,P.S.C. No. 121, to offer Company-owned LED street lighting options forcustomers served under Service Classification (SC) No. 3.

Statutory authority: Public Service Law, sections 65 and 66

Subject: Addition of Company-owned LED options under SC No. 3 —Standard Street Lighting Service.

Purpose: To consider the addition of Company-owned LED lighting op-tions for customers served under SC No. 3.

Substance of proposed rule: The Public Service Commission is consider-ing a proposal filed by New York State Electric & Gas Corporation(NYSEG or the Company) to revise its electric tariff schedule, P.S.C. No.121, to incorporate Company-owned Light Emitting Diode (LED) optionsto Service Classification (SC) 3 – Standard Street Lighting Service.NYSEG’s filing is made pursuant to the Commission’s Order ApprovingElectric and Gas Rate Plans in Accord with Joint Proposal, issued and ef-fective June 15, 2016 in Case 15-E-0283, et al. NYSEG proposes to offerfour LED lighting options: 3,000 lumen, 6,300 lumen, 10,000 lumen and15,000 lumen to replace the 50, 70, 100, 150, 175, 250 and 400 wattCobrahead luminaires that are currently offered. Further, NYSEG proposesthat its obligation to install or replace non-LED luminaires with LED lightsin any annual period be limited to 15% of the Company’s currentlyinstalled street light luminaires. Under NYSEG’s proposal, the replace-ment or installation would be on a first-come, first-served basis at theCompany’s discretion. NYSEG proposes that the customer must committo converting the greater of 20% of existing installed luminaires or a mini-mum of 100 luminaires per bill account in an annual period. Additionally,NYSEG proposes that the lights to be replaced must be contained in asingle contiguous geographic area and each municipality would beresponsible for the system design, and would be required to agree tocompensate the Company for the remaining book value of lights beingreplaced, which would be determined by the Company and based on themunicipality’s currently installed luminaires. The Company would requirea one-time, up-front payment for the remaining book value of the lightsbeing replaced. The proposed amendments have an effective date of May1, 2017. The Commission may adopt, reject, or modify, in whole or inpart, the relief proposed and may resolve related matters.

Transfer of Certain Pipeline Facilities and Applicability of PublicService Law (PSL) Article 4

I.D. No. PSC-01-17-00023-P

Proposed Action: The Commission is considering a joint petition ofEmKey Transportation, Inc. and the City of Jamestown Board of PublicUtilities to transfer pipeline facilities and for a declaratory ruling regard-ing the applicability of Public Service Law article 4.

Statutory authority: Public Service Law, sections 65, 66 and 70(1)

Subject: Transfer of certain pipeline facilities and applicability of PublicService Law (PSL) article 4.

Purpose: To consider a request to transfer certain pipeline facilities and adeclaration regarding application of the PSL.

Substance of proposed rule: The Public Service Commission is consider-ing a Joint Petition (Petition) filed by EmKey Transportation, Inc.(EmKey) and the City of Jamestown Board of Public Utilities (Board) onDecember 2, 2016, seeking authorization to transfer certain pipeline facil-ities and finding that the Board will not be subject to regulation underArticle 4 of the Public Service Law. Specifically, the Petition seeks author-ity for EmKey to sell certain pipeline and related facilities used to delivergas from Mayville to the Board’s electric generating facility (MayvilleLine). The Petition states that the Board does not transport, distribute,deliver or sell gas to any customers, but rather will use the facilities solelyto supply natural gas to its own gas-fired generating facilities. The Petitionthen requests a finding that the Board will not be subject to Commission

regulation under Article 4 of the Public Service Law in relation to itsownership and operation of the Mayville Line, so long as it does not serveany customers. The Commission may adopt, reject, or modify, in whole orin part, the relief proposed and may resolve related 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: john.pitucci@dps.ny.gov

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-G-0691SP1)

Department of State

EMERGENCY

RULE MAKING

Signs on Buildings Utilizing Truss Type, Pre-Engineered Wood orTimber Construction

I.D. No. DOS-40-16-00029-E

Filing No. 1159

Action taken: Amendment of sections 1264.4(b), (e), 1265.3(c), (d), (h),(j), (k), 1265.5(e)(3)(i) and (ii) of Title 19 NYCRR.

Statutory authority: Executive Law, sections 382-a and 382-b

Specific reasons underlying the finding of necessity: This rule is adoptedby the State Fire Prevention and Building Code Council (the “CodeCouncil”) as an emergency measure to preserve public safety and generalwelfare and because time is of the essence.

19 NYCRR Part 1264 (“Part 1264”) and 19 NYCRR Part 1265 (“Part1265”) implement Executive Law § 382-a and Executive Law § 382-b,respectively. Part 1264 requires placement of a sign or symbol on com-mercial structures that utilize truss-type construction. Part 1265 requiresplacement of a sign or symbol on residential structures that utilize truss-type, pre-engineered wood or timber construction.

The Code Council recently approved a rule that amends and updates theState Uniform Fire Prevention and Building Code (the “Uniform Code”).The amended and updated Uniform Code became effective on October 3,2016.

Parts 1264 and 1265 previously included references to provisions in theformer version of the Uniform Code. Parts 1264 and 1265 were amendedby a previously adopted emergency rule. The previously adopted emer-gence rule amended Parts 1264 and 1265 by changing references in thoseParts to provisions in the former version of the Uniform Code to refer-ences to the corresponding provisions in the amended and updated versionof the Uniform Code that became effective on October 3, 2016.

This rule is the first re-adoption of that previously adopted emergencyrule.

Neither the previously adopted emergency rule nor this re-adoption ofthat rule makes any substantive changes to Part 1264 or Part 1265.

Re-adoption of this rule on an emergency basis is necessary to preservepublic safety because (1) in the absence of the re-adoption of this rule, thepreviously adopted emergency rule will expire, and references in Parts1264 and 1265 to provisions in the current version of the Uniform Codewill revert to references to provisions in the former version of the UniformCode, and (2) the permanent adoption of this rule cannot be filed and

published prior to the expiration of the previously adopted emergencyrule.

Continuation of the amendments to Parts 1264 and 1265 made by thepreviously adopted emergency rule is necessary to minimize confusion onthe part of regulated parties who need to comply with Parts 1264 and 1265,and on the part of the authorities having jurisdiction responsible for enforc-ing Parts 1264 and 1265.

Subject: Signs on buildings utilizing truss type, pre-engineered wood ortimber construction.

Purpose: To amend Parts 1264 and 1265 of Title 19 NYCRR in the man-ner required to reflect the recent amendment and update of the StateUniform Fire Prevention and Building Code (the Uniform Code). Theamended and updated version of the Uniform Code became effective onOctober 3, 2016. Under this rule, references in Parts 1264 and 1265 toprovisions in the prior version of the Uniform Code will be changed to ref-erences to the corresponding provisions in the amended and updated ver-sion of the Uniform Code.

Text of emergency rule: Subdivision (b) of section 1264.4 of Title 19NYCRR is amended to read as follows:

(b) Signs shall be affixed where a building or a portion thereof is classi-fied as Group A, B, E, F, H, I, M or S occupancy, and in hotels and motelsclassified as Group R-1 or R-2 occupancy, in accordance with the provi-sions for the classification of buildings set forth in chapter 3 of the [Build-ing Code of New York State (see Part 1221 of this Title)] 2015 Interna-tional Building Code, as amended by the 2016 Uniform Code Supplement(said publications being incorporated by reference in Part 1221 of thisTitle).

Subdivision (e) of section 1264.4 of Title 19 NYCRR is amended toread as follows:

(e) Signs identifying the existence of truss construction shall containthe roman alphanumeric designation of the construction type of the build-ing, in accordance with the provisions for the classification of types ofconstruction set forth in section 602 of the [Building Code of New YorkState (see Part 1221 of this Title)] 2015 International Building Code, asamended by the 2016 Uniform Code Supplement (said publications beingincorporated by reference in Part 1221 of this Title), and an alphabeticdesignation for the structural components that are of truss construction, asfollows:

“F” shall mean floor framing, including girders and beams“R” shall mean roof framing“FR” shall mean floor and roof framingThe construction type designation shall be placed at the 12 o’clock po-

sition over the structural component designation, which shall be placed atthe six o’clock position.

Subdivisions (c), (d), (h), (j), and (k) of section 1265.3 of Title 19NYCRR are amended to read as follows:

(c) [BCNYS] IBC. The term [BCNYS] IBC shall mean the [publicationwhich is entitled Building Code of New York State and which is incorpo-rated by reference in Part 1221 of this Title] 2015 International BuildingCode, as amended by the 2016 Uniform Code Supplement (said publica-tions being incorporated by reference in Part 1221 of this Title).

(d) Electric box. The term electric box shall mean the box, if any,mounted on the exterior of the residential structure at the [service point (asthat term is defined in section E3401 of the RCNYS)] point of connectionbetween the facilities of the serving utility and the premises wiring.

(h) [RCNYS] IRC. The term [RCNYS] IRC shall mean the [publicationwhich is entitled Residential Code of New York State and which isincorporated by reference in Part 1220 of this Title] 2015 InternationalResidential Code, as amended by the 2016 Uniform Code Supplement(said publications being incorporated by reference in Part 1220 of thisTitle).

(j) Residential structure. The term residential structure shall includeone-family dwellings, two-family dwellings, and townhouses (as thoseterms are defined in the [publication entitled RCNYS] IRC) and structuresor portions of structures classified as residential group R in accordancewith chapter 3 of the [BCNYS] IBC (excluding, however, hotels andmotels which are classified as group R-1 or R-2 occupancy in accordancewith chapter 3 of the [BCNYS] IBC and which are subject to the provi-sions of Part 1264 of this Title).

(k) Timber construction. The term timber construction shall meanconstruction that uses, for any load-supporting purpose(s), solid orlaminated wood having the minimum dimensions required for structuresbuilt using type IV construction (HT) in accordance section 602.4 of the[BCNYS] IBC.

Subparagraphs (i) and (ii) of paragraph (3) of subdivision (e) of section1265.5 of Title 19 NYCRR are amended to read as follows:

(i) if the residential structure is subject to the provisions of the [RCNYS]IRC, the construction type designation shall be “V”; and

(ii) if the residential structure is subject to the provisions of the

[BCNYS] IBC, the construction type designation shall be “I”, “II”, “III”,“IV” or “V” to indicate the construction classification of the structureunder section 602 of the [BCNYS] IBC.This notice is intended to serve only as a notice of emergency adoption.This agency intends to adopt the provisions of this emergency rule as apermanent rule, having previously submitted to the Department of State anotice of proposed rule making, I.D. No. DOS-40-16-00029-EP, Issue ofOctober 5, 2016. The emergency rule will expire February 13, 2017.

Text of rule and any required statements and analyses may be obtainedfrom: Joseph Ball, Department of State, 99 Washington Ave., Suite 1120,Albany, NY 12231-0001, (518) 474-6740, email: joseph.ball@dos.ny.gov

Regulatory Impact Statement1. STATUTORY AUTHORITY AND LEGISLATIVE OBJECTIVES19 NYCRR Part 1264 (“Part 1264”) and 19 NYCRR Part 1265 (“Part

1265”) implement Executive Law § 382-a and Executive Law § 382-b,respectively. Part 1264 requires placement of a sign or symbol on com-mercial structures that utilize truss-type construction. Part 1265 requiresplacement of a sign or symbol on residential structures that utilize truss-type, pre-engineered wood or timber construction.

The Legislative objectives of Executive Law § 382-a include providingfor the placement and maintenance of a sign or symbol on the exterior ofcommercial structures that utilize truss-type construction to provide noticeto firefighters and other first responders of the existence of truss construc-tion in the structure. The Legislative objectives of Executive Law § 382-binclude (1) providing a means of notifying a local code enforcement of-ficial when truss type, pre-engineered wood or timber construction is to beutilized in the construction of a new residential structure or in the additionto or rehabilitation of an existing residential structure; (2) providing forthe placement and maintenance of a sign or symbol on the exterior of suchresidential structures to provide notice to firefighters and other firstresponders that one or more of those construction types have been used;and (3) providing for communication and coordination between andamong code enforcement officials, fire departments, and emergencydispatch personnel for the purpose of providing warning to firefighters andother first responders that one or more of those construction types havebeen used.

Part 1264 and Part 1265 include references to certain provisions in theState Uniform Fire Prevention and Building Code (the “Uniform Code”).The State Fire Prevention and Building Code Council (the “Code Coun-cil”) recently approved a rule amending and updating the Uniform Code.That rule became effective on October 3, 2016.

This is the first re-adoption of an emergency rule that amends Parts1264 and Part 1265. Under the previously adopted emergency rule andunder this re-adoption of the previously adopted emergency rule, refer-ences in Parts 1264 and 1265 to provisions in the prior version of theUniform Code are changed to references to the corresponding provisionsin the updated version of the Uniform Code that became effective onOctober 3, 2016. This rule makes no substantive changes to Part 1264 orPart 1265.

This rule will assure that the Legislative objectives of Executive Law§§ 382-a and 382-b will continue to be achieved after the effective date ofthe updated version of the Uniform Code.

2. NEEDS AND BENEFITSUnder this rule, references in Parts 1264 and 1265 to provisions in the

prior version of the Uniform Code will be changed to references to thecorresponding provisions in the updated version of the Uniform Code thatbecame effective on October 3, 2016. In the absence of this rule, Parts1264 and 1265 will make references to provisions in the former version ofthe Uniform Code, will was repealed as of October 3, 2016. This rule willminimize confusion on the part of regulated parties who must comply withParts 1264 and 1265 and on the part of local governments that must enforceParts 1264 and 1265. This rule will assure that the Legislative objectivesof Executive Law §§ 382-a and 382-b will continue to be achieved afterthe effective date of the updated version of the Uniform Code.

3. COSTSA. Regulated PartiesUnder the current version of Part 1264, a regulated party who chooses

to use truss-type construction in a commercial building is required to affixa sign or symbol of the type prescribed by Part 1264 on the building and topay a $50 fee to the authority having jurisdiction. This rule makes nochanges to these requirements. This rule imposes no new requirementsand imposes no new costs.

Under the current version of Part 1265, a regulated party who choosesto use truss type, pre-engineered wood or timber construction in theconstruction of a new residential structure or the addition to or rehabilita-tion of an existing residential structure is required to file a form of the typeprescribed by Part 1265 with the local code enforcement official notifyingthat official of the use of truss type, pre-engineered wood or timberconstruction in the structure; to pay any fee charged by the authority hav-

ing jurisdiction for processing that form; to affix a sign or symbol of thetype prescribed by Part 1265 on the structure; and to maintain that sign orsymbol. This rule makes no changes to these requirements. This ruleimposes no new requirements and imposes no new costs.

B. Department of State, the State, and Local GovernmentsThis rule will impose no new requirements on the Department of State

(“DOS”), the State of New York, or local governments in the State. DOSdoes not anticipate that DOS, the State of New York, or local governmentsin this State will incur any additional costs for the implementation of, andcontinued administration of, this rule.

4. PAPERWORKThis rule imposes no new paperwork requirements.5. LOCAL GOVERNMENT MANDATESThis rule imposes no new mandates on local government.6. DUPLICATIONThis rule does not duplicate any rule or other legal requirement of the

State or Federal government known to DOS.7. ALTERNATIVESNo significant alternatives to this rule were considered by DOS. DOS

believes that the provisions of this rule are necessary to assure that assurethat Parts 1264 and 1265 will continue to achieve the Legislative objec-tives of Executive Law §§ 382-a and 382-b after the effective date of theupdated version of the Uniform Code.

8. FEDERAL STANDARDSThis rule does not exceed any minimum standards of the Federal

government for the same or similar subject areas known to DOS.9. COMPLIANCE SCHEDULEDOS anticipates that regulated parties will be able to comply with this

rule immediately.

Regulatory Flexibility Analysis1. TYPES AND NUMBER OF SMALL BUSINESSES AND LOCAL

GOVERNMENTS TO WHICH THE RULE WILL APPLY19 NYCRR Part 1264 (“Part 1264”) and 19 NYCRR Part 1265 (“Part

Parts 1264 and 1265 apply in all parts of the State except New YorkCity. Therefore, Parts 1264 and 1265 currently apply to all small busi-nesses and all local governments that construct commercial structures thatutilize truss-type construction in any part of the State except New YorkCity, and to all small businesses and all local governments that utilizetruss-type, pre-engineered wood or timber construction in the constructionof new residential buildings, or the addition to or rehabilitation of existingresidential structures, in any part of the State except New York City.

In addition, local governments are required to enforce Part 1264 andPart 1265. Therefore, Parts 1264 and 1265 currently apply to all or most ofthe local governments in the State other than New York City.

The State Uniform Fire Prevention and Building Code (the “UniformCode”) was recently amended and updated in its entirety. The amendedand updated Uniform Code became effective on October 3, 2016.

Parts 1264 and 1265 formerly included references to provisions in theformer version of the Uniform Code. A previously adopted emergencyrule amended Parts 1264 and 1265 by changing the former references inthose Parts to provisions in the former version of the Uniform Code to ref-erences to the corresponding provisions in the amended and updated ver-sion of the Uniform Code that became effective on October 3, 2016.

This rule is the first re-adoption of the previously adopted emergencyrule. This re-adoption will ensure that the changes made to Parts 1264 and1264 by the previously adopted emergency rule will remain in effect afterthe date when the previously adopted emergency rule would have expired.

Neither the previously adopted emergency rule nor this re-adoption ofthat rule make any substantive changes to Part 1264 or Part 1265.

Small businesses and local governments that are currently subject toPart 1264 and Part 1265 will continue to be subject to Part 1264 and Part1265 as amended by this rule.

This rule will apply to all small businesses and local governments thatare currently subject to Part 1264 and Part 1265.

2. REPORTING, RECORDKEEPING, AND OTHER COMPLIANCEREQUIREMENTS

Under this rule, references in Parts 1264 and 1265 to provisions in theformer version of the Uniform Code will be changed to references to thecorresponding provisions in the amended and updated version of theUniform Code that became effective on October 3, 2016.

This rule makes no substantive changes to Part 1264 or Part 1265.This rule imposes no new reporting, recordkeeping or other compliance

requirement on small businesses or local governments.3. PROFESSIONAL SERVICESUnder this rule, references in Parts 1264 and 1265 to provisions in the

former version of the Uniform Code will be changed to references to thecorresponding provisions in the amended and updated version of theUniform Code that became effective on October 3, 2016.

This rule makes no substantive changes to Part 1264 or Part 1265.This rule creates no new need for professional services.4. COMPLIANCE COSTSUnder this rule, references in Parts 1264 and 1265 to provisions in the

This rule makes no substantive changes to Part 1264 or Part 1265.This rule imposes no new initial capital costs of complying with Parts

1264 and 1265. This rule will not result in any variation in initial capitalcosts of complying with Parts 1264 and 1265 for small businesses or localgovernments of different types and/or of differing sizes.

This rule imposes no new annual costs of complying with Parts 1264and 1265 on small businesses or local governments. This rule will notresult in any variation in annual costs of complying with Parts 1264 and1265 for small businesses or local governments of different types and/orof differing sizes.

5. ECONOMIC AND TECHNOLOGICAL FEASIBILITYThe Department of State believes that it has been economically and

technologically feasible for regulated parties to comply with the existingParts 1264 and 1265, that no substantial capital expenditures have imposedby existing Parts 1264 and 1265, and that it has not been necessary todevelop new technology for compliance with existing Parts 1264 and1265.

Under this rule, references in Parts 1264 and 1265 to provisions in theformer version of the Uniform Code will be changed to references to thecorresponding provisions in the amended and updated version of theUniform Code that became effective on October 3, 2016. This rule makesno substantive changes to Part 1264 or Part 1265.

Therefore, the Department of State believes that it will continue to beeconomically and technologically feasible for regulated parties to complywith Parts 1264 and 1265 as amended by this rule, that no substantialcapital expenditures are imposed by Parts 1264 and 1265 as amended bythis rule, and that it will not be necessary to develop new technology forcompliance with Parts 1264 and 1265 as amended by this rule.

6. MINIMIZING ADVERSE IMPACTUnder this rule, references in Parts 1264 and 1265 to provisions in the

This rule makes no substantive changes to Part 1264 or Part 1265. Thisrule will have no adverse impact on small businesses and localgovernments.

Approaches such as establishing differing compliance or reportingrequirements or timetables that take into account the resources available tosmall businesses and local governments and/or providing exemptions fromcoverage by the rule, or by any part thereof, for small businesses and localgovernments were not considered because doing so (1) is not authorizedby Executive Law § 382-a or by Executive Law § 382-b and (2) wouldendanger the public safety and general welfare.

7. SMALL BUSINESS AND LOCAL GOVERNMENT PARTICIPA-TION

The Department of State gave small business and local governments anopportunity to participate in this rule making by publishing a notice regard-ing the adoption of the previous emergency rule and the intent to proposethis rule for adoption as a permanent rule in Building New York, a monthlyelectronic news bulletin covering topics related to the Uniform Code andthe construction industry which is prepared by the Department of Stateand which is currently distributed to approximately 10,000 subscribers,including local governments, design professionals and others involved inall aspects of the construction industry.

The original emergency rule was adopted and proposed for permanentadoption by Notice of Emergency Adoption and Proposed Rule Makingpublished in the State Register on October 5, 2016. The Department ofState conducted a public hearing on the proposed permanent adoption.The public comment period on the proposed permanent adoption has nowexpired. The Department of State received no comments on the proposedpermanent adoption of this rule.

Rural Area Flexibility Analysis1. TYPES AND ESTIMATED NUMBERS OF RURAL AREAS.19 NYCRR Part 1264 (“Part 1264”) and 19 NYCRR Part 1265 (“Part

Parts 1264 and 1265 apply in all parts of the State except New YorkCity. Therefore, Parts 1264 and 1265 apply in all rural areas of the State.

Parts 1264 and 1265 formerly included references to provisions in theformer version of the Uniform Code. A previously adopted emergencyrule amended Parts 1264 and 1265 by changing the former references inthose Parts to provisions in the former version of the Uniform Code to ref-erences to the corresponding provisions in the amended and updated ver-sion of the Uniform Code that became effective on October 3, 2016.

This rule is the first re-adoption of the previously adopted emergencyrule. This re-adoption will ensure that the changes made to Parts 1264 and1264 by the previously adopted emergency rule will remain in effect afterthe date when the previously adopted emergency rule would have expired.

Neither the previously adopted emergency rule nor this re-adoption ofthat rule make any substantive changes to Part 1264 or Part 1265.

Since Parts 1264 and 1265 apply in all rural areas of the State, and sincethis rule amends Parts 1264 and 1265, this rule will apply in all rural areasof the State.

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

Under this rule, existing references in Parts 1264 and 1265 to provi-sions in the former version of the Uniform Code will be changed to refer-ences to the corresponding provisions in the amended and updated versionof the Uniform Code that became effective on October 3, 2016.

This rule makes no substantive changes to Part 1264 or Part 1265.This rule imposes no new reporting, recordkeeping or other compliance

requirement.This rule creates no new need for professional services in any rural

area.3. COMPLIANCE COSTS.Under this rule, references in Parts 1264 and 1265 to provisions in the

This rule makes no substantive changes to Part 1264 or Part 1265.This rule imposes no new initial capital costs of complying with Parts

1264 and 1265. This rule will not result in any variation in initial capitalcosts of complying with Parts 1264 and 1265 for different types of publicand private entities in rural areas.

This rule imposes no new annual costs of complying with Parts 1264and 1265. This rule will not result in any variation in annual costs ofcomplying with Parts 1264 and 1265 for different types of public andprivate entities in rural areas.

4. MINIMIZING ADVERSE IMPACT.Under this rule, references in Parts 1264 and 1265 to provisions in the

This rule makes no substantive changes to Part 1264 or Part 1265. Thisrule will have no adverse impact on rural areas or on any other area in theState.

Establishing different compliance requirements for public and privatesector interests in rural areas and/or providing exemptions from coverageby the rule for public and private sector interests in rural areas was notconsidered because doing so (1) is not authorized by Executive Law§ 382-a and Executive Law § 382-b and (2) would endanger the publicsafety and general welfare.

5. RURAL AREA PARTICIPATION.The Department of State notified interested parties throughout the State,

including interested parties in rural areas, an opportunity to participate inthis rule making by publishing a notice regarding the adoption of the previ-ous emergency rule and the intent to propose this rule for adoption as apermanent rule in Building New York, a monthly electronic news bulletincovering topics related to the Uniform Code and the construction industrywhich is prepared by the Department of State and which is currentlydistributed to approximately 10,000 subscribers, including local govern-ments, design professionals and others involved in all aspects of theconstruction industry.

The original emergency rule was adopted and proposed for permanentadoption by Notice of Emergency Adoption and Proposed Rule Makingpublished in the State Register on October 5, 2016. The Department ofState conducted a public hearing on the proposed permanent adoption.The public comment period on the proposed permanent adoption has nowexpired. The Department of State received no comments on the proposedpermanent adoption of this rule.

Job Impact StatementThe Department of State has concluded after reviewing the nature and

purpose of the rule that it will not have a “substantial adverse impact onjobs and employment opportunities” (as that term is defined in section201-a of the State Administrative Procedures Act) in New York.

This rule is the first re-adoption of a previously adopted emergencyrule. The previously adopted emergency rule, and this re-adoption of thatrule, amend Parts 1264 and 1265 of Title 19 of the NYCRR. Parts 1264and 1265 implement Executive Law § 382-a and Executive Law § 382-b,respectively. Part 1264 requires placement of a sign or symbol on com-mercial structures that utilize truss-type construction. Part 1265 requiresplacement of a sign or symbol on residential structures that utilize truss-type, pre-engineered wood or timber construction.

Prior to the adoption of the previously adopted emergency rule, Parts1264 and 1265 included references to provisions in the prior version of theUniform Code. The previously adopted emergency rule amended Parts1264 and 1265 by changing references in those Parts to provisions in theprior version of the Uniform Code to references to the corresponding pro-visions in the amended and updated version of the Uniform Code. This re-adoption of the previously adopted emergency rule will ensure that thechanges made to Parts 1264 and 1265 will remain in effect beyond thedate when the original emergency rule would have expired.

This rule makes no substantive changes to Part 1264 or Part 1265. Thisrule imposes no new reporting, recordkeeping or other compliance require-ment on regulated parties, the State or local governments. This rule createsno new need for professional services. This rule imposes no new initialcapital costs of complying with Parts 1264 and 1265. This rule imposes nonew annual costs of complying with Parts 1264 and 1265. The Departmentof State believes that it will continue to be economically and technologi-cally feasible for regulated parties to comply with Parts 1264 and 1265 asamended by this rule, that no substantial capital expenditures are imposedby Parts 1264 and 1265 as amended by this rule, and that it will not benecessary to develop new technology for compliance with Parts 1264 and1265 as amended by this rule.

Therefore, this rule should have no substantial adverse impact on thecost of obtaining a building permit, constructing a new commercialstructure, constructing a new residential structure, adding to or rehabilitat-ing an existing residential structure, or obtaining a certificate of occupancyor a certificate of compliance. Consequently, this rule should have nosubstantial adverse impact on jobs and employment opportunities relatedto construction of new commercial structures utilizing truss type construc-tion; construction of new residential structures utilizing truss typeconstruction, pre-engineered wood construction and/or timber construc-tion; or additions to or rehabilitations of existing residential structuresutilizing truss type construction, pre-engineered wood construction and/ortimber construction.Assessment of Public CommentThe agency received no public comment since publication of the last as-sessment of public comment.

NOTICE OF ADOPTION

Requirements Regarding Brokers Receiving Funds, CourseSubjects and Hours, and Business Cards

I.D. No. DOS-39-16-00005-A

Filing No. 1151

Action taken: Amendment of sections 175.1, 175.7, 175.25(d)(2),176.3(a), 177.3(g) and 177.7 of Title 19 NYCRR.

Statutory authority: Executive Law, section 91; Real Property Law, sec-tion 442-k(1)

Subject: Requirements regarding brokers receiving funds, course subjectsand hours, and business cards.

Purpose: To provide clarity regarding brokers obligations when receivingcompensation, instruction requirements, and business cards.

Text or summary was published in the September 28, 2016 issue of theRegister, I.D. No. DOS-39-16-00005-P.

Text of rule and any required statements and analyses may be obtainedfrom: David A. Mossberg, Esq., NYS Dept. of State, 123 William St.,20th Fl., New York, NY 10038, (212) 417-2063, email:david.mossberg@dos.ny.gov

Initial Review of RuleAs a rule that requires a RFA, RAFA or JIS, this rule will be initiallyreviewed in the calendar year 2020, which is no later than the 3rd year af-ter the year in which this rule is being adopted.

Assessment of Public CommentThe agency received no public comment.

NOTICE OF ADOPTION

Signs on Buildings Utilizing Truss Type, Pre-Engineered Wood orTimber Construction

I.D. No. DOS-40-16-00029-A

Filing No. 1160

Action taken: Amendment of sections 1264.4(b), (e), 1265.3(c), (d), (h),(j), (k), 1265.5(e)(3)(i) and (ii) of Title 19 NYCRR.

Statutory authority: Executive Law, sections 382-a and 382-b

Subject: Signs on buildings utilizing truss type, pre-engineered wood ortimber construction.

Purpose: To amend Parts 1264 and 1265 of Title 19 NYCRR in the man-ner required to reflect the recent amendment and update of the StateUniform Fire Prevention and Building Code (the Uniform Code). Theamended and updated version of the Uniform Code became effective onOctober 3, 2016. Under this rule, references in Parts 1264 and 1265 toprovisions in the prior version of the Uniform Code will be changed to ref-erences to the corresponding provisions in the amended and updated ver-sion of the Uniform Code.

Text or summary was published in the October 5, 2016 issue of the Regis-ter, I.D. No. DOS-40-16-00029-EP.

Text of rule and any required statements and analyses may be obtainedfrom: Joseph Ball, Department of State, 99 Washington Ave., Suite 1120,Albany, NY 12331-0001, (518) 474-6740, email: joseph.ball@dos.ny.gov

Initial Review of RuleAs a rule that requires a RFA, RAFA or JIS, this rule will be initiallyreviewed in the calendar year 2019, which is no later than the 3rd year af-ter the year in which this rule is being adopted.

Assessment of Public CommentThe agency received no public comment.

Office of Temporary andDisability Assistance

EMERGENCY/PROPOSED

RULE MAKING

Emergency Measures for the Homeless During Inclement WinterWeather

I.D. No. TDA-01-17-00002-EP

Filing No. 1158

Proposed Action: Addition of Part 304 to Title 18 NYCRR.

Statutory authority: Social Services Law, sections 17(a)-(b), (j), 20(2)(b),(3)(d), 34(3)(c)-(e) and (6)

Finding of necessity for emergency rule: Preservation of public health,public safety and general welfare.

Specific reasons underlying the finding of necessity: The Office ofTemporary and Disability Assistance (OTDA) finds that immediate adop-tion of the rule is necessary for the preservation of the public health, pub-lic safety, and general welfare, and specifically, to protect homelessindividuals from inclement winter weather in which air temperatures are

at or below 32 degrees Fahrenheit, including National Weather Servicecalculations for windchill. The rule will help to ensure that homelessindividuals are directed to shelter during inclement winter weather thatcan cause hypothermia, serious injury and death. The State will assist lo-cal social services districts (SSDs) if the SSDs lack facilities, resources orexpertise.

Individuals experiencing homelessness are at much higher risk than thegeneral population for suffering exposure-related conditions such ashypothermia and frostbite. These risks are exacerbated by other chronicproblems often facing the homeless, including, but not limited to, inade-quate clothing, malnutrition, fatigue and various underlying illnesses andinfections. Many individuals facing homelessness also struggle withalcohol and/or drug addictions that can substantially increase theirsusceptibility to exposure-related conditions and thereby pose immediateand longer-term threats to their health, safety, and general welfare.

The rule will help ensure that individuals experiencing homelessnessare protected from inclement winter weather and exposure-related condi-tions such as hypothermia and frostbite by requiring SSDs to work withpolice agencies, including the New York State Police, and State agenciesto take necessary steps to identify individuals reasonably believed to behomeless and unwilling or unable to find the shelter necessary for protec-tion of their safety and health in inclement winter weather, and to directand offer to move such homeless individuals to appropriate shelters in ac-cordance with relevant law. The rule also directs SSDs to: take necessarysteps to extend shelter hours so that homeless individuals may remainindoors longer; instruct homeless service outreach workers to work withother relevant personnel and with police in relation to the involuntarytransport of at-risk individuals who refuse to go inside and who appear tobe at-risk for cold-related injuries for assessment consistent with the pro-visions of § 9.41 of the Mental Hygiene Law; work in coordination withthe State Police and local police agencies to ensure that homeless individu-als receive assistance as needed to protect them from inclement winterweather and exposure-related conditions such as hypothermia andfrostbite; and ensure that all facilities used to shelter homeless individualsduring periods of inclement winter weather are safe, clean, well-maintained and supervised, and fully compliant with existing State and lo-cal laws, regulations, administrative directives, and guidelines.

Given the dangers faced by individuals experiencing homelessnesswhen exposed to inclement winter weather, OTDA asserts that proposingthis rule only as a “regular rule making” as provided by the StateAdministrative Procedure Act (“SAPA”) should not be required because todo so would be detrimental to the health, safety, and general welfare ofthose individuals.

Subject: Emergency measures for the homeless during inclement winterweather.

Purpose: To mitigate the effects and impact of inclement winter weatheron individuals experiencing homelessness.

Text of emergency/proposed rule: New Part 304 is added to Title 18 ofthe NYCRR to read as follows:

PART 304PROTECTION OF VULNERABLE HOMELESS PERSONS§ 304.1 Emergency Measures for the Homeless During Inclement

Winter Weather.(a) For purposes of this section, “inclement winter weather” shall mean

air temperatures at or below 32 degrees Fahrenheit, including NationalWeather Service calculations for windchill.

(b) In order to mitigate the effects of inclement winter weather and theresulting impacts of such weather on individuals experiencing homeless-ness, each social service district shall:

(1) work with police agencies, including the New York State Police,and state agencies to take all necessary steps to identify individuals rea-sonably believed to be homeless and unwilling or unable to find the shelternecessary for safety and health in inclement winter weather, and to directand offer to move such individuals to the appropriate sheltered facilities;

(2) take all necessary steps to extend, or to have providers extend,shelter hours, to allow individuals experiencing homelessness to remainindoors;

(3) instruct homeless service outreach workers to work with otherrelevant personnel and to work with local police in relation to the involun-tary transport of at-risk individuals who refuse to go inside and who ap-pear to be at-risk for cold-related injuries to appropriate facilities for as-sessment consistent with the provisions of section 9.41 of the MentalHygiene Law;

(4) work in coordination with the State Police and all police agenciesto ensure that individuals facing homelessness receive assistance asneeded to protect their health and safety; and

(5) ensure that all facilities used to shelter homeless individuals dur-ing periods of inclement winter weather are safe, clean, and well-maintained and supervised, as required by state and local laws, regula-

tions, administrative directives, and guidelines including local buildingand fire codes.

This notice is intended: to serve as both a notice of emergency adoptionand a notice of proposed rule making. The emergency rule will expireMarch 15, 2017.Text of rule and any required statements and analyses may be obtainedfrom: Richard P. Rhodes, Jr., New York State Office of Temporary andDisability Assistance, 40 North Pearl Street 16C, Albany, NY 12243-0001,(518) 486-7503, email: richard.rhodesjr@otda.ny.govData, views or arguments may be submitted to: Same as above.Public comment will be received until: 45 days after publication of thisnotice.This rule was not under consideration at the time this agency submittedits Regulatory Agenda for publication in the Register.

Regulatory Impact Statement1. Statutory Authority:Social Services Law (SSL) § 17(a)-(b) and (j) provide, in part, that the

Commissioner of the Office of Temporary and Disability Assistance(OTDA) shall “determine the policies and principles upon which publicassistance, services and care shall be provided within the [S]tate both bythe [S]tate itself and by the local governmental units …”, shall “makeknown his policies and principles to local social services officials and topublic and private institutions and welfare agencies subject to his regula-tory and advisory powers …”, and shall “exercise such other powers andperform such other duties as may be imposed by law.”

SSL § 20(2)(b) provides, in part, that the OTDA shall “supervise allsocial services work, as the same may be administered by any local unit ofgovernment and the social services officials thereof within the state, advisethem in the performance of their official duties and regulate the financialassistance granted by the state in connection with said work.” Pursuant toSSL § 20(3)(d), OTDA is authorized to promulgate rules, regulations, andpolicies to fulfill its powers and duties under the SSL.

SSL § 34(3)(c) requires OTDA’s Commissioner to “take cognizance ofthe interests of health and welfare of the inhabitants of the [S]tate wholack or are threatened with the deprivation of the necessaries of life and ofall matters pertaining thereto.” In addition, pursuant to SSL § 34(3)(d),OTDA’s Commissioner must exercise general supervision over the workof all SSDs, and SSL § 34(3)(e) provides that OTDA’s Commissionermust enforce the SSL and the State regulations within the State and in thelocal governmental units. Pursuant to SSL § 34(6), OTDA’s Commissioner“may exercise such additional powers and duties as may be required forthe effective administration of the department and of the [S]tate system ofpublic aid and assistance.”

2. Legislative Objectives:It is the intent of the Legislature in enacting the above statutes that

OTDA establish rules, regulations and policies to provide for the health,safety and general welfare of vulnerable individuals.

3. Needs and Benefits:The rule is necessary to protect homeless individuals from inclement

winter weather in which air temperatures are at or below 32 degreesFahrenheit, including National Weather Service calculations for windchill.The rule will ensure that homeless individuals are directed to shelter dur-ing inclement winter weather which can cause hypothermia, serious injuryand death. The State will assist local social services districts (SSDs) if theSSDs lack facilities, resources or expertise.

Individuals experiencing homelessness are at much higher risk than thegeneral population for suffering exposure-related conditions such ashypothermia and frostbite. These risks are exacerbated by other chronicproblems often facing the homeless, including, but not limited to, inade-quate clothing, malnutrition, fatigue and various underlying illnesses orinfections. Furthermore, many individuals facing homelessness alsostruggle with alcohol and/or drug addictions that can substantially increasetheir susceptibility to exposure-related conditions and thereby pose imme-diate and longer-term threats to their health, safety, and general welfare.

The rule will help ensure that individuals experiencing homelessnessare protected from inclement winter weather and exposure-related condi-tions such as hypothermia and frostbite by requiring SSDs to work withpolice agencies, including the New York State Police, and State agenciesto take necessary steps to identify individuals reasonably believed to behomeless and unwilling or unable to find the shelter necessary for protec-tion of their safety and health in inclement winter weather, and to directand offer to move such homeless individuals to appropriate shelters in ac-cordance with relevant law. The rule further directs SSDs to take neces-sary steps to extend shelter hours of operation to and allow homelessindividuals to remain indoors, to instruct homeless service outreach work-ers to work with other relevant personnel and with police in relation to theinvoluntary transport of at-risk individuals who refuse to go inside andwho appear to be at-risk for cold-related injuries for assessment consistentwith the provisions of § 9.41 of the Mental Hygiene Law, and to work in

coordination with the State Police and local police agencies to ensure thathomeless individuals receive assistance as needed to protect them frominclement winter weather and exposure-related conditions such ashypothermia and frostbite. Finally, the rule helps to ensure that facilitiesused for temporary housing assistance placements are safe, clean, well-maintained and supervised, and fully compliant with existing state and lo-cal laws, regulations, administrative directives, and guidelines.

4. Costs:This rule is based on and is substantially similar to Executive Order

(EO) 151, which was issued on January 5, 2016. In 2016, OTDA receivedplans for compliance with EO 151 from 55 SSDs, 38 of which requestedreimbursement. In total, the 38 SSDs sought $3,246,100 in funding. NewYork State approved plans totaling $3.4M in funding, and, at the program’sclose on October 31, 2016, a total of $994,333 had been claimed and paidby the State. If the participation level remains similar to last year, OTDAanticipates that the 2016 costs will be indicative of future expenses.

5. Local Government Mandates:Local governments are required to take steps necessary to expand

shelter hours or provide access to alternative facilities to shelter homelessindividuals during periods of inclement winter weather, so that personsexperiencing homelessness may remain indoors longer to escape the cold.Local governments also are responsible for working with police agencies,including the New York State Police, and State agencies to take necessarysteps to engage in outreach and identify individuals reasonably believed tobe homeless and unwilling or unable to find the shelter necessary for safetyand health in inclement winter weather, and to direct and offer to movesuch individuals to the appropriate shelter facilities. Local governmentsare further required to instruct homeless service outreach workers to workwith other relevant personnel and local police in relation to the involun-tary transport of at-risk individuals who refuse to go inside and who ap-pear to be at-risk for cold-related injuries for assessment consistent withthe provisions of § 9.41 of the Mental Hygiene Law. Finally, local govern-ments must ensure that all facilities used to shelter homeless individualsduring periods of inclement winter weather are safe, clean, well-maintained and supervised, and fully compliant with existing State and lo-cal laws, regulations, administrative directives, and guidelines.

6. Paperwork:Compliance plans may need to be submitted if SSDs intend to seek

reimbursement for expenditures incurred to comply with this rule. SSDsalso will be required to submit budget forms and narratives justifying theneed for funds if they seek reimbursement from the State.

7. Duplication:The rule does not duplicate, overlap, or conflict with any existing State

or federal regulations.8. Alternatives:Inaction would jeopardize the health, safety, and general welfare of

vulnerable homeless individuals by subjecting them to risks of exposure-related conditions such as hypothermia and frostbite; therefore, OTDAdoes not consider this a viable alternative to the rule. OTDA believes thatthe rule is necessary to protect homeless individuals from the dangers pre-sented by inclement winter weather.

9. Federal Standards:The rule does not conflict with federal statutes, regulations or policies.10. Compliance Schedule:To protect the public health, safety and general welfare of homeless

individuals, the rule will be effective immediately upon its filing date.

Regulatory Flexibility Analysis1. Effect of rule:Pursuant to the State Administrative Procedure Act § 102(8), a “small

business,” in part, is any business which is independently owned and oper-ated and employs 100 or fewer individuals. Some operators of shelters andother facilities used to serve homeless individuals will be asked to extendtheir operating hours; however, their additional costs will be reimbursedby the social services districts (SSDs). In turn, the SSDs can seekreimbursement from the State for additional costs attributable to imple-mentation of this rule. The rule applies to all 58 SSDs in New York State.

2. Compliance requirement:The rule requires SSDs to work with police agencies, including the

New York State Police, and State agencies to take necessary steps toengage in outreach and identify individuals reasonably believed to behomeless and unwilling or unable to find the shelter necessary for safetyand health in inclement winter weather in which air temperatures are at orbelow 32 degrees Fahrenheit including National Weather Service calcula-tions for windchill, and to direct and offer to move such individuals to ap-propriate shelter facilities in accordance with relevant law. SSDs also arerequired to instruct homeless service outreach workers to work with otherrelevant personnel and local police in relation to the involuntary transportof at-risk individuals who refuse to go inside and who appear to be at riskfor cold-related injuries for assessment consistent with the provisions of§ 9.41 of the Mental Hygiene Law. SSDs also must take steps to expand

shelter hours and provide access to other facilities used to shelter home-less individuals during periods of inclement winter weather. SSDs furthermust ensure that facilities used to shelter homeless individuals duringperiods of inclement winter weather are safe, clean, well-maintained andsupervised, and fully compliant with existing State and local laws, regula-tions, administrative directives and guidelines.

3. Professional services:It is anticipated that the need for additional professional services will be

limited. The rule imposes obligations upon SSDs which OTDA anticipatesshould be fulfilled without the need for securing professional services.

4. Compliance costs:For SSDs that already have detailed and prescriptive policies to protect

the homeless from inclement winter weather, such as New York City’sDepartment of Homeless Services, there should be only marginal compli-ance costs. Other SSDs will incur costs, but may seek reimbursement fromthe State.

5. Economic and technological feasibility:SSDs already should have the economic and technological abilities to

comply with the rule.6. Minimizing adverse impact:The rule should not provide exemptions, because this would not serve

the purposes of protecting vulnerable homeless persons from inclementwinter weather that can cause hypothermia, serious injury, and death.

7. Small business and local government participation:It is anticipated that some operators of shelters and other facilities used

to serve homeless individuals will be asked to extend their operating hours.As discussed above, SSDs are required to coordinate with police and Stateagencies to engage in outreach to vulnerable homeless individuals andidentify at-risk individuals who refuse to go inside and who appear to beat-risk for cold-related injuries. SSDs are also required to ensure that facil-ities used to shelter homeless individuals during periods of inclementwinter weather are safe, clean, well-maintained and supervised, and fullycompliant with existing State and local laws, regulations, administrativedirectives, and guidelines.

Rural Area Flexibility Analysis1. Types and estimate numbers of rural areas:The rule applies to the 44 rural social services districts (SSDs).2. Reporting, recordkeeping and other compliance requirements; and

professional services:Compliance plans may need to be submitted if rural SSDs wish to seek

reimbursement for expenditures made to comply with this rule. The ruleimposes obligations upon SSDs which OTDA anticipates should befulfilled without the need for securing professional services.

3. Costs:For rural SSDs, the fiscal impact of the rule is anticipated to be small

because of the relatively small number of homeless persons in those ruralSSDs. Moreover, rural SSDs may seek reimbursement from the State forexpenditures made to protect vulnerable homeless persons from inclementwinter weather which are consistent with this rule.

4. Minimizing adverse impact:The rule should not provide exemptions, because this would not serve

the purposes of protecting vulnerable homeless persons in rural SSDsfrom inclement winter weather that can cause hypothermia, serious injuryand death.

5. Rural area participation:Rural SSDs are required to coordinate with police and State agencies to

engage in outreach to vulnerable homeless individuals and identify at-riskindividuals who refuse to go inside and who appear to be at-risk for cold-related injuries. Rural SSDs are also required to ensure that facilities usedto shelter homeless individuals during periods of inclement winter weatherare safe, clean, well-maintained and supervised, and fully compliant withexisting State and local laws, regulations, administrative directives, andguidelines.

Job Impact StatementA Job Impact Statement is not required for this rule. The purpose of the

rule is to mitigate the effects of inclement winter weather ─ specifically,air temperatures at or below 32 degrees Fahrenheit, including NationalWeather Service calculations for windchill ─ and the resulting impacts ofsuch inclement winter weather on individuals experiencing homelessness.

The rule will help to ensure that homeless individuals are directed toshelter during inclement winter weather that can cause hypothermia, seri-ous injury and death. The State will assist local social services districts(SSDs) if the SSDs lack facilities, resources or expertise. The rule willhelp ensure that individuals experiencing homelessness are protected frominclement winter weather and exposure-related conditions such ashypothermia and frostbite by requiring SSDs to work with police agen-cies, including the New York State Police, and State agencies to take nec-essary steps to identify individuals reasonably believed to be homelessand unwilling or unable to find the shelter necessary for protection of their

safety and health in inclement winter weather, and to direct and offer tomove such homeless individuals to appropriate shelters in accordancewith relevant law. The rule also directs SSDs to: take necessary steps toextend shelter hours so that homeless individuals may remain indoors lon-ger; instruct homeless service outreach workers to work with other rele-vant personnel and with police in relation to the involuntary transport ofat-risk individuals who refuse to go inside and who appear to be at-risk forcold-related injuries for assessment consistent with the provisions of§ 9.41 of the Mental Hygiene Law; work in coordination with the StatePolice and local police agencies to ensure that homeless individualsreceive assistance as needed to protect them from inclement winterweather and exposure-related conditions such as hypothermia andfrostbite; and ensure that all facilities used to shelter homeless individualsduring periods of inclement winter weather are safe, clean, well-maintained and supervised, and fully compliant with existing State and lo-cal laws, regulations, administrative directives, and guidelines.

It is apparent from the nature and the purpose of the rule that it will nothave a substantial adverse impact on jobs and employment opportunitiesin the private sector, in the social services districts, or in the State.

HEARINGS SCHEDULED

FOR PROPOSED RULE MAKINGS

Agency I.D. No. Subject Matter Location—Date—Time

Lake George Park Commission

LGP-52-16-00002-P . . . . . . . . . . . . . . . . . . . . . . . . Increases in user fees for boats, dock andwharf fees as authorized by amendments toECL section 43-0125

Bolton Town Hall, Bolton, NY—Feb. 13,2017, 4:00 p.m.

ACTION PENDING

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 propo-sal’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 thenotice’s serial number. The following diagram shows how toread identification 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

ADIRONDACK PARK AGENCY

APA-09-16-00005-P . . . . . . . . . . . 03/02/17 Access to Agency Records To conform Adirondack Park Agency rules tothe Public Officers Law and rules promulgatedby the Committee on Open Government

APA-39-16-00030-P . . . . . . . . . . . 11/15/17 Access to Agency Records To conform Adirondack Park Agency rules tothe Public Officers Law and rules promulgatedby the Committee on Open Government

AGRICULTURE AND MARKETS, DEPARTMENT OF

AAM-23-16-00005-P . . . . . . . . . . . 06/08/17 National Institute of Standards andTechnology (‘‘NIST’’) Handbook 44; receiptsissued by taxicab operators, digital scales

To incorporate NIST Handbook 44 (2016edition); to allow handwritten taxicab receipts;to liberalize scale requirements

AAM-47-16-00005-EP . . . . . . . . . . . 11/23/17 Growth, cultivation, sale, distribution,transportation, and processing of industrialhemp

To allow industrial hemp to be sold, distributed,transported and processed

ALCOHOLISM AND SUBSTANCE ABUSE SERVICES, OFFICE OF

ASA-52-16-00012-P . . . . . . . . . . . 12/28/17 Repeal Part 830 and add new Part 830regarding Ancillary Services and Therapies

Repeal obsolete regulations and incorporateprovisions into a new Part with additionalprovisions

ASA-52-16-00013-P . . . . . . . . . . . 12/28/17 Repeal Parts 321 and 1055; add new Part813 regarding Financing capital improvements

Repeal DSAS/DAAA regulations; consolidateprovisions into new Part 813

ASA-52-16-00014-P . . . . . . . . . . . 12/28/17 Repeal of obsolete rules: Outpatient ChemicalDependency Services for Youth Programsand Services

To repeal obsolete rules of the Office

AUDIT AND CONTROL, DEPARTMENT OF

AAC-46-16-00019-P . . . . . . . . . . . 11/16/17 Contract Award Protest Procedure forContract Awards Subject to The Comptroller’sApproval

Sets forth the procedure to be used when aninterested party challenges certain contractawards by a public contracting entity

NYS Register/January 4, 2017 Action Pending Index

CHILDREN AND FAMILY SERVICES, OFFICE OF

CFS-24-16-00001-RP . . . . . . . . . . . 06/15/17 Child care for children experiencinghomelessness.

To reduce barriers for children experiencinghomelessness to receive child care assistanceand to attend child care.

CFS-45-16-00001-P . . . . . . . . . . . 11/09/17 Criminal history checks of prospective fosterand adoptive parents and adult householdmembers

To implement changes to the Social ServicesLaw regarding criminal history checks

CFS-51-16-00007-P . . . . . . . . . . . 12/21/17 Child custody and emergency proceedingsinvolving Indian children in foster care andadoptive placements

To implement federal standards involvingIndian children in foster care and adoptiveplacements

CFS-01-17-00024-P . . . . . . . . . . . 01/04/18 Successor guardian payments for non-reoccurring expenses/eligibility of destitutechildren for kinship guardianship assistance

To implement provisions of Ch. 607 of L. 2011and Part M of Ch. 54 of L. 2016 regardingkinship guardianship

CIVIL SERVICE, DEPARTMENT OF

CVS-07-16-00006-P . . . . . . . . . . . 02/16/17 Jurisdictional Classification To classify a position in the exempt class

CVS-11-16-00001-P . . . . . . . . . . . 03/16/17 Jurisdictional Classification To delete positions from and classify positionsin the exempt and non-competitive classes

CVS-11-16-00003-P . . . . . . . . . . . 03/16/17 Jurisdictional Classification To classify positions in the non-competitiveclass

CVS-14-16-00005-P . . . . . . . . . . . 04/06/17 Supplemental military leave benefits To extend the availability of supplementalmilitary leave benefits for certain New YorkState employees until December 31, 2016

CVS-15-16-00005-P . . . . . . . . . . . 04/13/17 Jurisdictional Classification To delete positions from and classify positionsin the non-competitive class

CVS-15-16-00007-P . . . . . . . . . . . 04/13/17 Jurisdictional Classification To delete positions from and classify positionsin the exempt and non-competitive classes

CVS-15-16-00008-P . . . . . . . . . . . 04/13/17 Jurisdictional Classification To classify a position in the non-competitiveclass

CVS-26-16-00003-P . . . . . . . . . . . 06/29/17 Jurisdictional Classification To classify positions in the exempt class and todelete positions from the non-competitive class

NYS Register/January 4, 2017Action Pending Index

CVS-26-16-00005-P . . . . . . . . . . . 06/29/17 Jurisdictional Classification To delete a position from and classify aposition in the exempt class

CVS-26-16-00007-P . . . . . . . . . . . 06/29/17 Jurisdictional Classification To classify positions in the non-competitiveclasses

CVS-26-16-00009-P . . . . . . . . . . . 06/29/17 Jurisdictional Classification To classify positions in the exempt class

CVS-29-16-00002-P . . . . . . . . . . . 07/20/17 Jurisdictional Classification To delete subheading & positions from; to addheading, subheading & positions in exempt andnon-competitive classes

CVS-29-16-00003-P . . . . . . . . . . . 07/20/17 Jurisdictional Classification To delete positions from the exempt and non-competitive classes

CVS-29-16-00004-P . . . . . . . . . . . 07/20/17 Jurisdictional Classification To delete positions from the non-competitiveclass

CVS-29-16-00008-P . . . . . . . . . . . 07/20/17 Jurisdictional Classification To classify a position in the exempt class andto delete a position from the non-competitiveclass

CVS-29-16-00015-P . . . . . . . . . . . 07/20/17 Jurisdictional Classification To delete positions from the non-competitiveclass

CVS-29-16-00016-P . . . . . . . . . . . 07/20/17 Jurisdictional Classification To delete positions from the exempt and non-competitive classes

CVS-29-16-00018-P . . . . . . . . . . . 07/20/17 Jurisdictional Classification To delete subheading & positions from; to addheading, subheading & positions in exempt andnon-competitive classes

CVS-35-16-00005-P . . . . . . . . . . . 08/31/17 Jurisdictional Classification To delete positions from and classify positionsin the non-competitive class.

CVS-44-16-00005-P . . . . . . . . . . . 11/02/17 Jurisdictional Classification To delete a position from and classify aposition in the non-competitive class

CVS-01-17-00007-P . . . . . . . . . . . 01/04/18 Jurisdictional Classification To delete a position from and classify positionsin the non-competitive class

CVS-01-17-00016-P . . . . . . . . . . . 01/04/18 Jurisdictional Classification To classify positions in the labor class

CORRECTIONS AND COMMUNITY SUPERVISION, DEPARTMENT OF

CCS-39-16-00004-P . . . . . . . . . . . 09/28/17 Parole Board decision making To clearly establish what the Board mustconsider when conducting an interview andrendering a decision

CCS-51-16-00005-EP . . . . . . . . . . . 12/21/17 Residential treatment facility designation To designate additional correctional facilities, orparts thereof, to serve as residential treatmentfacilities

CRIMINAL JUSTICE SERVICES, DIVISION OF

CJS-25-16-00004-P . . . . . . . . . . . 06/22/17 Handling of Ignition Interlock Cases InvolvingCertain Criminal Offenders.

To promote public/traffic safety, offenderaccountability and quality assurance throughthe establishment of minimum standards.

CJS-51-16-00011-P . . . . . . . . . . . 12/21/17 Pre-Employment Corrections Training Allow employers to hire an individual who hasalready completed a large portion of the basiccourse, thereby saving resources

EDUCATION DEPARTMENT

EDU-06-16-00004-RP . . . . . . . . . . . 05/10/17 School counseling, certification requirementsfor school counselors and the schoolcounselor program registration requirements.

To implement policy enacted by the Board ofRegents to enhance existing public schooldistrict guidance programs to requirecomprehensive developmental counselingprograms for all students in gradesprekindergarten through 12 by certified schoolcounselors

EDU-22-16-00006-EP . . . . . . . . . . . 06/01/17 Teacher certification in career and technicaleducation

Establishes a new pathway for Transitional Acertificate

EDU-26-16-00016-ERP . . . . . . . . . . . 06/29/17 Teacher certification in career and technicaleducation

Establishes new pathways for Transitional Acertificate

EDU-39-16-00033-EP . . . . . . . . . . . 09/28/17 Assessments for the New York State CareerDevelopment and Occupational Studies(CDOS) Commencement Credential

Establish conditions and procedures forapproval of work-readiness assessments forthe CDOS credential

EDU-44-16-00012-P . . . . . . . . . . . 11/02/17 Education requirements for OccupationalTherapists and Occupational TherapyAssistants

Provides that licenses may be granted toapplicants who have completed educationexceeding current requirements for licensure

EDU-44-16-00013-EP . . . . . . . . . . . 11/02/17 Teacher certification examinationrequirements

To establish additional safety nets for thecontent specialty examinations

EDU-44-16-00023-P . . . . . . . . . . . 11/02/17 Posting of Child Abuse Hotline Number andInstructions to Use Office of Children andFamily Services Website

To implement the requirements of Chapter 105of the Laws of 2016

EDU-45-16-00005-EP . . . . . . . . . . . 11/09/17 Annual Professional Performance Reviews(APPR) of classroom teachers and buildingprincipals

To provide New York City with flexibility in thestudent performance category for teacher andprincipal evaluations.

EDU-45-16-00006-P . . . . . . . . . . . 11/09/17 Eligibility for Participation in InterscholasticSports and Duration of Competition

Clarifies when a student’s eligibility for athleticcompetition may be extended and the use ofthe athletic placement process

EDU-48-16-00007-P . . . . . . . . . . . 11/30/17 Extension of time validity of certificates To automatically provide for a three year timeextension, instead of initial two-year extensionfor certain candidates

EDU-52-16-00011-P . . . . . . . . . . . 12/28/17 Physical Presence in New York Establish Fees and Procedures for HigherEducation Out-of-State Institutions to Operatewith a Physical Presence in New York

ENVIRONMENTAL CONSERVATION, DEPARTMENT OF

*ENV-45-15-00028-RP . . . . . . . . . . . 02/07/17 Science-based State sea-level rise projections To establish a common source of sea-level riseprojections for consideration in relevantprograms and decision-making

*ENV-51-15-00005-P . . . . . . . . . . . 12/22/16 Big bore air rifles To allow big bore air rifles as legal implementsfor hunting big game

ENV-11-16-00004-P . . . . . . . . . . . 06/07/17 Solid Waste Management Regulations Amend the rules that implement the solidwaste program in New York State toincorporate changes in law and technology

ENV-19-16-00006-EP . . . . . . . . . . . 06/30/17 Chemical Bulk Storage (CBS) To amend Part 597 of the CBS regulations

ENVIRONMENTAL CONSERVATION, DEPARTMENT OF

ENV-31-16-00003-P . . . . . . . . . . . 09/30/17 Waste Fuels Update permit references, rule citations,monitoring, record keeping, reportingrequirements, and incorporate federalstandards

ENV-36-16-00002-P . . . . . . . . . . . 11/02/17 Lake Champlain drainage basin To reclassify certain surface waters in LakeChamplain Drainage Basin, in Clinton, Essex,Franklin, Warren, Washington counties

ENV-39-16-00011-P . . . . . . . . . . . 09/28/17 Sportfishing (freshwater) and associatedactivities

To revise sportfishing regulations andassociated activities

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-39-16-00007-P . . . . . . . . . . . 09/28/17 Charges for Professional Health Services Limit reimbursement of no-fault health careservices provided outside NYS to highest feesin fee schedule for services in NYS

DFS-39-16-00008-RP . . . . . . . . . . . 09/28/17 Cybersecurity requirements for FinancialServices Companies

To require effective cybersecurity to protectconsumers and ensure the safe and soundoperation of Department-regulated entities

DFS-45-16-00003-P . . . . . . . . . . . 11/09/17 Agent Training Allowance Subsidies To update the limits of training allowancesubsidies contained in 11 NYCRR 12(Regulation 50)

DFS-47-16-00006-P . . . . . . . . . . . 11/23/17 Regs Implementing Comprehensive MotorVeh Ins Reparations Act; Unfair ClaimsSettlement Practices & Claim Cost ControlMeasures

To update references to the address of theDepartment’s Long Island office

DFS-48-16-00006-P . . . . . . . . . . . 11/30/17 Life Insurance and Annuity Non-guaranteedElements

To establish standards for the determinationand readjustment of non-guaranteed elementsfor life insurance and annuities

GAMING COMMISSION, NEW YORK STATE

SGC-45-16-00002-P . . . . . . . . . . . 11/09/17 Permit jockeys to wear trade logos and ownname on jockey clothing

To preserve the safety and integrity of pari-mutuel racing while generating reasonablerevenue for the support of government

SGC-45-16-00004-P . . . . . . . . . . . 11/09/17 Anti-stacking of NSAIDs and diclofenac madea 48 hour NSAID

To enable the Commission to preserve theintegrity of pari-mutuel racing while generatingreasonable revenue for the support of

SGC-47-16-00002-P . . . . . . . . . . . 11/23/17 Bonding of video lottery agents to preventpotential loss of State revenue earned fromvideo lottery gaming (‘‘VLG’’)

To revise the manner in which the bondamount required from each VLG agent isdetermined, reflecting current vendor fees

SGC-47-16-00017-P . . . . . . . . . . . 11/23/17 Expands the conflict of interest restrictions onracing secretaries and their assistants andsubstitutes

To ensure the integrity of harness racing

HEALTH, DEPARTMENT OF

*HLT-14-94-00006-P . . . . . . . . . . . . exempt Payment methodology for HIV/AIDSoutpatient services

To expand the current payment to incorporatepricing for services

HEALTH, DEPARTMENT OF

HLT-16-16-00002-P . . . . . . . . . . . 04/20/17 NYS Medical Indemnity Fund To provide additional guidance and clarity tothe Fund’s requirements and operations

HLT-35-16-00018-P . . . . . . . . . . . 08/31/17 All Payer Database (APD) To define the parameters for operating the APDregarding mandatory data submission byhealthcare payers as well as data release

HLT-37-16-00024-P . . . . . . . . . . . 09/14/17 Medical Use of Marihuana To comprehensively regulate the manufacture,sale and use of medical marihuana

HLT-39-16-00031-P . . . . . . . . . . . 09/28/17 Non-prescription Emergency ContraceptivesDrugs

Allow pharmacies to dispense non-prescriptionemerg. contraceptive drugs for Medicaidfemale recipients without a written order

HLT-41-16-00002-EP . . . . . . . . . . . 10/12/17 Residential Health Care Facility Quality Pool To reward NYS facilities with the highest qualityoutcomes as determined by methodologydeveloped by regulation

HLT-41-16-00005-P . . . . . . . . . . . 10/12/17 Compounded Trend to Cost of LivingAdjustments (COLAs) for Direct Care Workers

To update the methodology to reflect acompounded cost of living adjustment and toremove a superfluous component

HLT-47-16-00007-P . . . . . . . . . . . 11/23/17 Direct Clinical Services-Supervised IndividualResidential Alternatives (IRAs), CommunityResidences (CRs) & Day Habilitation

To exclude direct clinical services from thereimbursement for Supervised IRAs, CRs andDay Habilitation

HLT-48-16-00008-P . . . . . . . . . . . 11/30/17 Medical Use of Marihuana - PhysicianAssistants

To authorize physician assistants to registerwith DOH in order to issue certifications topatients with qualifying conditions

HLT-50-16-00008-P . . . . . . . . . . . 12/14/17 HIV/AIDS Testing, Reporting andConfidentiality of HIV-Related Information

To simplify HIV testing consent and improvelinkage to care

HLT-50-16-00009-P . . . . . . . . . . . 12/14/17 Expansion of Minor Consent for HIVTreatment Access and Prevention

To allow qualified clinicians to provideantiretrovirals for treatment and prophylaxis

HLT-51-16-00003-P . . . . . . . . . . . 12/21/17 Federal Conditions of Participation To reflect amendments consistent with updatedFederal Conditions of Participation

HLT-51-16-00006-P . . . . . . . . . . . 12/21/17 Medical Use of Marihuana - Chronic Pain To add any severe debilitating or life-threatening condition causing chronic pain

INFORMATION TECHNOLOGY SERVICES, OFFICE OF

ITS-01-17-00003-P . . . . . . . . . . . 01/04/18 Agency Name Change To update the agency name in Subtitle N ofTitle 9 NYCRR

JOINT COMMISSION ON PUBLIC ETHICS, NEW YORK STATE

JPE-37-16-00002-ERP . . . . . . . . . . . 09/14/17 Source of funding reporting To implement legislative changes made to thesource of funding disclosure requirements

LABOR, DEPARTMENT OF

LAB-03-16-00009-P . . . . . . . . . . . 01/19/17 Employer Imposed Limitations on the Inquiry,Discussion, and Disclosure of Wages

This regulation sets forth standards forlimitations on inquiry, discussion, or thedisclosure of wages amongst employees

LAKE GEORGE PARK COMMISSION

LGP-52-16-00002-P . . . . . . . . . . . 02/13/18 Increases in user fees for boats, dock andwharf fees as authorized by amendments toECL section 43-0125

To incorporate new boat, dock and wharf feesestablished by amendments to ECL section43-0125

LIQUOR AUTHORITY, STATE

LQR-02-16-00002-P . . . . . . . . . . . 01/12/17 Update outdated Freedom of Information Lawprocedures utilized by Authority

To update Authority procedures and ensurecompliance with Freedom of information Lawrequirements under Pub. Off. Law., art. 6

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-41-16-00007-P . . . . . . . . . . . . exempt PSEG Long Island’s balanced billing program To implement improvements to the balancedbilling program

LPA-41-16-00008-P . . . . . . . . . . . . exempt The Authority’s Power Supply Charge To move certain capacity related power supplycosts from base rates to the Authority’s PowerSupply Charge

LPA-41-16-00009-P . . . . . . . . . . . . exempt The Authority’s Smart Grid Small GeneratorInterconnection Procedures

To update the Authority’s Smart Grid SmallGenerator Interconnection Procedures

LPA-41-16-00010-P . . . . . . . . . . . . exempt The Authority’s Revenue DecouplingMechanism

To change the RDM from a semi-annual to anannual rate resetting process

LPA-41-16-00011-P . . . . . . . . . . . . exempt The Authority’s Visual Benefits Assessment To effectuate a settlement between theAuthority and the Town of Southamptonregarding collection of arrears

MOTOR VEHICLES, DEPARTMENT OF

MTV-46-16-00020-P . . . . . . . . . . . 11/16/17 Hearings for persons who persistently evadethe payment of tolls

To hold hearings for persons subject to aregistration suspension due to persistentlyevading the payment of tolls

MTV-01-17-00004-EP . . . . . . . . . . . 01/04/18 Window tinting standards To conform the regulations with the statuterequiring widow tinting as part of the safetyinspection

MTV-01-17-00005-EP . . . . . . . . . . . 01/04/18 Motor vehicle inspection standards for windowtinting

To conform the regulations with the statuterequiring widow tinting as part of the safetyinspection

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

NIAGARA FALLS WATER BOARD

*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-01-17-00001-EP . . . . . . . . . . . . exempt Adoption of Rates, Fees and Charges To eliminate the availability charge that is nolonger necessary to operate, maintain andmanage the system

PEOPLE WITH DEVELOPMENTAL DISABILITIES, OFFICE FOR

PDD-49-16-00001-P . . . . . . . . . . . 12/07/17 Agency Name Change Terminology Update To update the agency name in Title 14 NYCRRPart 622 regulations

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

PAS-41-16-00013-P . . . . . . . . . . . . exempt Rates for the Sale of Power and Energy To recover the Authority’s Fixed Costs

PAS-41-16-00014-P . . . . . . . . . . . . exempt Rates for the Sale of Power and Energy To align rates and costs

PUBLIC SERVICE COMMISSION

*PSC-28-97-00032-P . . . . . . . . . . . . exempt General service by Central Hudson Gas &Electric Corporation

To limit certain special provisions

*PSC-04-98-00015-P . . . . . . . . . . . . exempt Interconnection service overcharges byNiagara Mohawk Power Corporation

To consider a complaint by Azure MountainPower Co.

*PSC-19-98-00008-P . . . . . . . . . . . . exempt Call forwarding by CPU Industries Inc./MKLNet, et al.

To rehear the petition

*PSC-02-99-00006-EP . . . . . . . . . . . . exempt Intralata freeze plan by New York TelephoneCompany

To approve the plan

*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-50-99-00009-P . . . . . . . . . . . . exempt Retail access uniform business practices byThe Brooklyn Union Gas Company andKeySpan Gas East Corporation d/b/aBrooklyn Union of Long Island

To approve a joint petition requesting a waiverextension of a requirement set forth in thecommission’s order

*PSC-52-99-00006-P . . . . . . . . . . . . exempt Wide area rate center calling To implement number conservation measures

*PSC-12-00-00001-P . . . . . . . . . . . . exempt Winter bundled sales service election date byCentral Hudson Gas & Electric Corporation

To revise the date

*PSC-14-00-00004-EP . . . . . . . . . . . . exempt NXX code in the 716 NPA by BroadviewNetworks

To assign an NXX code in Buffalo

*PSC-14-00-00026-P . . . . . . . . . . . . exempt Interconnection agreement between New YorkTelephone Company d/b/a Bell Atlantic-NewYork and Media Log, Inc.

To review the terms and conditions of thenegotiated agreement

*PSC-14-00-00027-P . . . . . . . . . . . . exempt Interconnection agreement between New YorkTelephone Company d/b/a Bell Atlantic-NewYork and Pilgrim Telephone, Inc.

*PSC-14-00-00029-P . . . . . . . . . . . . exempt Interconnection agreement between New YorkTelephone Company d/b/a Bell Atlantic-NewYork and CoreComm New York, Inc.

*PSC-16-00-00012-P . . . . . . . . . . . . exempt Termination of local telecommunications trafficby Hyperion Communications of New York,Inc.

To determine appropriate compensation levels

*PSC-21-00-00007-P . . . . . . . . . . . . exempt Initial tariff schedule by Drew RoadAssociation

To set forth the rates, charges, rules andregulations

*PSC-31-00-00026-P . . . . . . . . . . . . exempt Water service by Windover Water Works To abandon the water system

*PSC-33-00-00010-P . . . . . . . . . . . . exempt Electric rate and restructuring plan byRochester Gas and Electric Corporation

To evaluate possible modifications

*PSC-36-00-00039-P . . . . . . . . . . . . exempt Steam increase by Consolidated EdisonCompany of New York, Inc.

To provide for an annual increase in the firstyear of a proposed four-year rate plan

*PSC-37-00-00001-EP . . . . . . . . . . . . exempt Interruptible gas customers To ensure customers have an adequate supplyof alternative fuel available

*PSC-39-00-00004-P . . . . . . . . . . . . exempt Blockable central office codes by PaeTecCommunications, Inc.

To review the commission’s requirements forassignment of numbering resources

*PSC-44-00-00014-P . . . . . . . . . . . . exempt Recovery of costs through adjustmentmechanisms by Consolidated EdisonCompany of New York, Inc.

To permit the recovery of certain costs

*PSC-49-00-00007-P . . . . . . . . . . . . exempt Gas sales and purchases by Corning NaturalGas Corporation

To determine whether certain gas sales andpurchases were in the public interest andwhether customers should bear the resultingcosts

*PSC-01-01-00023-P . . . . . . . . . . . . exempt Installation, maintenance and ownership ofservice laterals by Rochester Gas andElectric Corporation

To update and clarify the provisions

*PSC-06-01-00009-P . . . . . . . . . . . . exempt Uniform system of accounts by RochesterGas and Electric Corporation

To defer an item of expense beyond the end ofthe year in which it was incurred

*PSC-13-01-00001-P . . . . . . . . . . . . exempt Request for accounting authorization byRochester Gas and Electric Corporation

*PSC-15-01-00012-P . . . . . . . . . . . . exempt Transfer of a controlling leasehold interest byHuntley Power LLC

To approve the transfer

*PSC-22-01-00006-P . . . . . . . . . . . . exempt Con Edison’s phase 4 plan for retail accessby AES Energy, Inc.

To review the request for rehearing

*PSC-26-01-00012-P . . . . . . . . . . . . exempt Interconnection of networks between SprintPCS and Verizon New York Inc.

*PSC-36-01-00010-P . . . . . . . . . . . . exempt Competitive metering by eBidenergy.com To clarify meter ownership rules andrequirements

*PSC-44-01-00005-P . . . . . . . . . . . . exempt Annual reconciliation of gas costs by CorningNatural Gas Corporation

To authorize the company to include certaingas costs

*PSC-01-02-00007-P . . . . . . . . . . . . exempt Accounting and rate treatment of proceeds byConsolidated Edison Company of New York,Inc.

To consider proceeds from sale of nucleargenerating facilities

*PSC-05-02-00005-P . . . . . . . . . . . . exempt Uniform system of accounts by ConsolidatedEdison Company of New York, Inc.

To defer expenditures incurred in connectionwith emergency response services affected bythe World Trade Center disaster

*PSC-06-02-00015-P . . . . . . . . . . . . exempt Network reliability performance mechanism byConsolidated Edison Company of New York,Inc.

To earn rewards for meeting the targets of thenetwork reliability performance mechanism

*PSC-07-02-00032-P . . . . . . . . . . . . exempt Uniform business practices To consider modification

*PSC-29-02-00014-P . . . . . . . . . . . . exempt Financing by Valley Energy, Inc. To issue a note and allocate costs

*PSC-49-02-00021-P . . . . . . . . . . . . exempt Requests for lightened regulation by PSEGPower Bellport, LLC

To consider the company’s request

*PSC-08-03-00009-P . . . . . . . . . . . . exempt Provision of gas service to World KitchenIncorporated

To establish terms and conditions

*PSC-09-03-00012-P . . . . . . . . . . . . exempt Incremental service line installations by NewYork State Electric & Gas Corporation

To revise the current flat rate per foot charged

*PSC-09-03-00014-P . . . . . . . . . . . . exempt Deferral accounting by Consolidated EdisonCompany of New York, Inc. and Orange andRockland Utilities, Inc.

To defer expense items beyond the end of theyear(s) in which they were incurred

*PSC-11-03-00012-P . . . . . . . . . . . . exempt Economic development plan by New YorkState Electric & Gas Corporation

To consider the plan

*PSC-18-03-00004-P . . . . . . . . . . . . exempt Lightened regulation by East Hampton Powerand Light Corporation (EHPLC)

To provide for lightened regulation and grantfinancing approval

*PSC-32-03-00020-P . . . . . . . . . . . . exempt Issuance of debt and approval of surchargeby Rainbow Water Company

To approve necessary financing

*PSC-36-03-00010-P . . . . . . . . . . . . exempt Performance assurance plan by Verizon NewYork

To consider changes

*PSC-39-03-00013-P . . . . . . . . . . . . exempt Complaint by State University of New York(SUNY) regarding a NYSEG operatingagreement

To consider the complaint

*PSC-40-03-00015-P . . . . . . . . . . . . exempt Receipt of payment of bills by St. LawrenceGas Company

To revise the process

*PSC-41-03-00008-P . . . . . . . . . . . . exempt Lightened regulation by Sterling PowerPartners, L.P.

To consider granting lightened regulation

*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-42-03-00005-P . . . . . . . . . . . . exempt Interest rate by the Bath Electric, Gas, andWater Systems

To use an alternate interest rate

*PSC-43-03-00036-P . . . . . . . . . . . . exempt Merchant function backout credit andtransition balancing account by KeySpan GasEast Corporation

To continue the credit and account until May31, 2005

*PSC-43-03-00037-P . . . . . . . . . . . . exempt Merchant function backout credit andtransition balancing account by The BrooklynUnion Gas Company

To continue the credit and account until May31, 2005

*PSC-44-03-00009-P . . . . . . . . . . . . exempt Retail access data between jurisdictionalutilities

To accommodate changes in retail accessmarket structure or commission mandates

*PSC-47-03-00024-P . . . . . . . . . . . . exempt Lightened regulation and financing approvalby Medford Energy LLC

To consider the requests

*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

*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

*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

*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-39-06-00018-P . . . . . . . . . . . . exempt Order establishing rate plan by CentralHudson Gas & Electric Corporation and theConsumer Protection Board

To consider the petitions for rehearing

*PSC-39-06-00019-P . . . . . . . . . . . . exempt Investigation of Richard M. Osborne byCorning Natural Gas Corporation

To determine the interests, plans andcommitments that will be in place if he issuccessful in blocking the merger of CorningGas and C&T Enterprises

*PSC-39-06-00022-P . . . . . . . . . . . . exempt Uniform business practices and relatedmatters by U.S. Energy Savings Corporation

To establish a contest period

*PSC-40-06-00005-P . . . . . . . . . . . . exempt Orion Integral automatic meter readingtransmitter by New York State Electric andGas Corporation

To permit gas utilities in NYS to use theBadger Meter Incorporated Orion Integraltransmitters

*PSC-42-06-00011-P . . . . . . . . . . . . exempt Submetering of electricity by 225 5th LLC To submeter electricity at 255 Fifth Ave., NewYork, NY

*PSC-43-06-00014-P . . . . . . . . . . . . exempt Electric delivery services by Strategic PowerManagement, Inc.

To determine the proper mechanism for therate-recovery of costs

*PSC-44-06-00014-P . . . . . . . . . . . . exempt Electric power outages in Northwest Queensby Consolidated Edison Company of NewYork, Inc.

To review the terms and conditions of theagreement

*PSC-45-06-00007-P . . . . . . . . . . . . exempt Alleged failure to provide electricity by RobertAndrews

To assess validity of allegations andappropriateness of fines

*PSC-01-07-00031-P . . . . . . . . . . . . exempt Enforcement mechanisms by National FuelGas Distribution Corporation

To modify enforcement mechanisms

*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

*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

*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-23-08-00009-P . . . . . . . . . . . . exempt The transfer of certain real property with anoriginal cost under $100,000 in the Town ofThroop

To consider the filing for the transfer of certainreal property in the Town of Throop

*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

*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

*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

*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

*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

*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-25-10-00015-P . . . . . . . . . . . . exempt To allow NYWC to defer and amortize, forfuture rate recognition, pension settlementpayout losses incurred in 2009

Consideration of NYWC’s petition to defer andamortize, for future rate recognition, pensionpayout losses incurred in 2009

*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-31-10-00007-P . . . . . . . . . . . . exempt Waiver of the Attachment 23 requirement in2001 Rate Order that NMPC Board ofDirectors consist of ‘‘outside directors’’

To consider the waiver of the requirement thata majority of NMPC Board of directors consistof ‘‘outside directors’’

*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

*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-12-11-00008-P . . . . . . . . . . . . exempt To allow NYWC to defer and amortize, forfuture rate recognition, pension settlementpayout losses incurred in 2010

Consideration of NYWC’s petition to defer andamortize, for future rate recognition, pensionpayout losses incurred in 2010

*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-13-11-00007-P . . . . . . . . . . . . exempt Budget allocations and use of SystemBenefits Charge funds to pay State CostRecovery Fee

To encourage cost effective gas and electricenergy conservation in the State

*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-16-11-00011-P . . . . . . . . . . . . exempt The Energy Efficiency Portfolio Standard To promote gas and electricity energyconservation programs in 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-23-11-00018-P . . . . . . . . . . . . exempt NYSERDA’s energy efficiency program forlow-income customers

To promote energy conservation in New YorkState

*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

*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-51-11-00010-P . . . . . . . . . . . . exempt The Total Resource Cost (TRC) test, used toanalyze measures in the Energy EfficiencyPortfolio Standard program

Petitioners request that the TRC test and/or itsapplication to measures should be revised

*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-17-12-00007-P . . . . . . . . . . . . exempt Whether a proposed agreement for theprovision of water service by Saratoga WaterServices, Inc. is in the public interest

Whether the Commission should issue anorder approving the proposed provision ofwater service

*PSC-19-12-00019-P . . . . . . . . . . . . exempt EEPS programs administered by New YorkState Electric & Gas Corporation andRochester Gas and Electric Corporation

To modify the C&I sector by combining multipleapproved C&I programs into a single C&Iprogram for each PA

*PSC-19-12-00022-P . . . . . . . . . . . . exempt Approval of a combined heat and powerperformance program funding planadministered by NYSERDA

Modify NYSERDA’s EEPS programs budgetand targets to fund the CHP program

*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

*PSC-23-12-00005-P . . . . . . . . . . . . exempt EEPS multifamily programs administered byConsolidated Edison Company of New York,Inc.

To redesign the multifamily electric and gasprograms and modify the budgets and targets

*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-35-12-00014-P . . . . . . . . . . . . exempt To implement an abandonment of WhiteKnight’s water system

To approve the implementation ofabandonment of White Knight’s water system

*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

*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-17-13-00008-P . . . . . . . . . . . . exempt Provision of historical utility pricing informationfor comparison purposes for residential ESCOcustomers

Provision of historical utility pricing informationfor comparison purposes for residential ESCOcustomers

*PSC-17-13-00010-P . . . . . . . . . . . . exempt Provision of historical pricing information forcomparison purposes for residential ESCOcustomers

Provision of historical pricing information forcomparison purposes for residential ESCOcustomers

*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-24-13-00009-P . . . . . . . . . . . . exempt Repowering options for the Cayugagenerating station located in Lansing, NewYork, and alternatives

To establish whether utility plans should includerepowering options for the Cayuga generatingstation, or other alternatives

*PSC-24-13-00010-P . . . . . . . . . . . . exempt Repowering options for the Dunkirkgenerating station located in Dunkirk, NewYork, and alternatives

To establish whether utility plans should includerepowering options for the Dunkirk generatingstation, or other alternatives

*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.

*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-37-13-00007-P . . . . . . . . . . . . exempt Dissolution of Garrow Water Works Company,Inc..

To allow for the dissolution of Garrow WaterWorks Company, Inc.

*PSC-39-13-00010-P . . . . . . . . . . . . exempt NY-Sun initiative within the Customer-SitedTier of the RPS Program.

To increase the statewide adoption of customersited photovoltaic solar generation through theNY-Sun Initiative.

*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.

*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-04-14-00005-P . . . . . . . . . . . . exempt National Fuel Gas Corporation’s ConservationIncentive Programs.

To modify National Fuel Gas Corporation’sNon-Residential Conservation IncentiveProgram.

*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-16-14-00016-P . . . . . . . . . . . . exempt Waiver of Commission regulations governingtermination of service.

Consider United Water New York Inc.’sproposal to expand termination of serviceprovisions.

*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

*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-19-14-00018-P . . . . . . . . . . . . exempt Uniform System of Accounts, deferral of anexpense item

Authorization of a deferral for an expense itembeyond the end of the year in which it wasincurred

*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-26-14-00010-P . . . . . . . . . . . . exempt Petitioner requests an order authorizing itsparticipation in the next Main Tier solicitationoffered under the RPS Program.

To enable continued operation of a 21 MWbiomass fueled electric generating facility inChateaugay, New York.

*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-26-14-00017-P . . . . . . . . . . . . exempt Existing ratemaking and rate design practiceswill be revised with a focus on outcomes andincentives.

To use the Commission’s ratemaking authorityto foster a DER-intensive system.

*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-30-14-00025-P . . . . . . . . . . . . exempt Allocation of uncommitted Technology andMarket Development Funds to the CombinedHeat & Power Performance Program.

To consider allocation of uncommittedTechnology & Market Development Funds tothe Combined Heat & Power PerformanceProgram.

*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-32-14-00009-P . . . . . . . . . . . . exempt Refueling options for the Dunkirk generatingstation located in Dunkirk, New York, andalternatives

To address the joint petition for rehearing of theCommission’s Order related to refueling theDunkirk generating station

*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-34-14-00009-P . . . . . . . . . . . . exempt Whether to approve the Quadlogic S10Nresidential submeter.

Approval of the Quadlogic S10N Smart Meterfor use in residential electric submetering isrequired by 16 NYCRR Parts 93 and 96.

*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

*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-36-14-00010-P . . . . . . . . . . . . exempt The procurement of Main Tier renewableresources will become the responsibility of theState’s electric utilities.

To ensure the development of large-scaleremnewables in New York State to promotefuel diversity and reduce carbon emissions.

*PSC-36-14-00011-P . . . . . . . . . . . . exempt To defer pension settlement losses associatedwith retirements in the year ended March 31,2014.

To resolve the ratemaking of the pensionsettlement loss.

*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-38-14-00018-P . . . . . . . . . . . . exempt New electric utility demand response tariffsmay be adopted.

To develop mature DER markets by enablingthe development and use of DR as aneconomic system resource.

*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.

*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-01-15-00017-P . . . . . . . . . . . . exempt Reimbursement of costs for constructionunder 16 NYCRR 230

To determine proper reimbursement for costsrelated to trenching and construction

*PSC-03-15-00002-P . . . . . . . . . . . . exempt Waiver of tariff provisions related to SC 14Non-Core Transportation Services for ElectricGeneration

To determine whether a waiver is warranted

*PSC-07-15-00006-P . . . . . . . . . . . . exempt Whether to order a remand regardingpayphone rates

Whether to order a remand regardingpayphone rates and award refunds

*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-10-15-00009-P . . . . . . . . . . . . exempt Contingency Tariffs regarding demandresponse issues

To consider Contingency Tariffs regardingdemand response issues

*PSC-12-15-00007-P . . . . . . . . . . . . exempt The Annual Reconciliation of Gas Expensesand Gas Cost Recoveries codified at Title 16NYCRR Section 720.6.5

Examine the Annual Reconciliation of GasExpenses and Gas Cost Recoveriesmechanism

*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-17-15-00004-P . . . . . . . . . . . . exempt Rehearing of the Commission’s OrderAdopting Regulatory Policy Framework andImplementation Plan

Consideration of a petition for rehearing

*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

*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-20-15-00006-P . . . . . . . . . . . . exempt Implementation of the proposed MicrogridBusiness Model as a reliability and demandmanagement resource

Consider implementation of the proposedMicrogrid Business Model as a reliability anddemand management resource

*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-27-15-00014-P . . . . . . . . . . . . exempt Authorization for NYAW to accrue interest oninternal reserve debit balances

To allow NYAW to accrue interest on internalreserve debit balances

*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-32-15-00012-P . . . . . . . . . . . . exempt Proposed standards for Commission oversightof Distributed Energy Resource suppliers.

To consider proposed standards forCommission oversight of Distributed EnergyResource suppliers.

*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-35-15-00011-P . . . . . . . . . . . . exempt Demand based Standby Service Chargeslevied upon Offset Tariff customers accounts

To consider a revision to demand basedStandby Service Charges levied upon OffsetTariff customers accounts

*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-38-15-00008-P . . . . . . . . . . . . exempt Notice of Intent to submeter electricity To consider the request of CommunityCounseling and Mediation to submeterelectricity at 226 Linden Blvd., Brooklyn, NewYork

*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-41-15-00005-P . . . . . . . . . . . . exempt Intergrow disputes National Grid’s revenueassurance calculations

To consider whether the revenue assuranceNational Grid is requiring of Intergrow for thenew interconnection is appropriate

*PSC-41-15-00009-P . . . . . . . . . . . . exempt Main Tier of the Renewable PortfolioStandard program

To consider allocating funding from the MainTier to an eligible hydroelectric facility

*PSC-41-15-00011-P . . . . . . . . . . . . exempt Deferral of incremental costs incurred in 2014associated with increased gas leak responseand repair activities

To consider a petition by Con Edison to defercertain incremental costs associated with gasleak response and repair activities

*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-44-15-00030-P . . . . . . . . . . . . exempt System Improvement Plan mechanism To consider Bath’s petition to implement a SIPmechanism

*PSC-47-15-00013-P . . . . . . . . . . . . exempt Whitepaper on Implementing LightenedRatemaking Regulation.

Consider Whitepaper on ImplementingLightened Ratemaking Regulation.

*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-49-15-00009-P . . . . . . . . . . . . exempt Petition for rehearing of the OrderEstablishing Interim Ceilings on theInterconnection of Net Metered Generation

To consider a Petition for rehearing of theOrder Establishing Interim Ceilings on theInterconnection of Net Metered Generation

*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-01-16-00002-P . . . . . . . . . . . . exempt Revenue assurance calculations To consider whether the revenue assuranceNational Grid is requiring of Tiashoke for theupgraded service is appropriate

PSC-01-16-00003-P . . . . . . . . . . . . exempt Deferral of expenses To consider a petition for the deferral ofexpenses

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-04-16-00011-P . . . . . . . . . . . . exempt Investigation that certain practices of CentralHudson Gas and Electric Corporation resultedin violations of HEFPA.

To consider the Petition of Nobody Leaves Mid-Hudson to investigate Central Hudson forclaims of HEFPA violations.

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-06-16-00007-P . . . . . . . . . . . . exempt Transfer of water supply assets. To consider the sale of water supply assets ofNortheast Water Services to Suez WaterOwego-Nichols, Inc.

PSC-06-16-00010-P . . . . . . . . . . . . exempt Lakewood disputes National Grid’s revenueassurance calculations, specifically theduration used.

To consider whether the revenue assuranceNational Grid is requiring of Lakewood for thenew interconnection is appropriate.

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-07-16-00016-P . . . . . . . . . . . . exempt Use of the Electro Industries Shark 200electric submeter in residential applications

To consider the use of the Electro IndustriesShark 200 submeter

PSC-11-16-00013-P . . . . . . . . . . . . exempt Leakage survey and corrosion inspectionrequirements

To establish protocols and timeframes forcompleting leakage surveys and corrosioninspections on gas service lines

PSC-11-16-00016-P . . . . . . . . . . . . exempt Notice of Intent to submeter electricity To consider the Notice of Intent of 504 MyrtleResidential Owner LLC to submeter electricityat 504 Myrtle Avenue, Brooklyn, NY

PSC-11-16-00017-P . . . . . . . . . . . . exempt Notice of Intent to submeter electricity To consider the Notice of Intent of 140 WestStreet Condominium to submeter electricity at100 Barclay Street, New York, NY

PSC-11-16-00018-P . . . . . . . . . . . . exempt Rolling Meadows Water Corporation’s ratesfor the provision of water

To consider an increase in Rolling MeadowsWater Corporation’s annual water revenues byapproximately $169,841 or 34.05%

PSC-12-16-00004-P . . . . . . . . . . . . exempt The option to opt out of using an AMR device,and substitute an electro-mechanical meter, atno additional charge

To consider the option to opt out of using anAMR device, and substitute an electro-mechanical meter, at no additional charge

PSC-12-16-00005-P . . . . . . . . . . . . exempt Notice of Intent to submeter electricity To consider the Notice of Intent of 3475 ThirdAvenue Owner Realty LLC to submeterelectricity at 3475 Third Avenue, Bronx, NY

PSC-12-16-00007-P . . . . . . . . . . . . exempt Deferral of incremental costs incurred in 2015associated with increased gas leak responseand repair activities

To consider a petition by Con Edison to defercertain incremental costs associated with gasleak response and repair activities

PSC-12-16-00008-P . . . . . . . . . . . . exempt Notice of Intent to submeter electricity. To consider the Notice of Intent of PromenadeGlobal LLC to submeter electricity at 150 West225th Street, Bronx, New York.

PSC-13-16-00008-P . . . . . . . . . . . . exempt Standby rate exemption for Offset Tariffcustomers

Consideration of the standby rate exemptionfor Offset Tariff customers

PSC-13-16-00009-P . . . . . . . . . . . . exempt Notice of Intent to submeter electricity To consider the Notice of Intent of FranklinPlace Condominium to submeter electricity at 5Franklin Place, New York, New York

PSC-14-16-00007-P . . . . . . . . . . . . exempt Regulation of customer name changes onpending interconnection applications forgrandfathered projects.

To consider regulation of customer namechanges on pending interconnectionapplications for grandfathered projects.

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-15-16-00010-P . . . . . . . . . . . . exempt Proposed financial incentives for projectsundertaken through the Targeted DemandManagement program

To consider financial incentives for projectsundertaken through the Targeted DemandManagement program

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-17-16-00004-P . . . . . . . . . . . . exempt Major electric rate filing To consider an increase in Con Edison’selectric delivery revenues of approximately$482 million or 9.5%

PSC-17-16-00006-P . . . . . . . . . . . . exempt Proposal to revise General Rule 20 StandbyService

To consider proposed tariff revisions related tostandby service multi-party offset underGeneral Rule 20

PSC-17-16-00007-P . . . . . . . . . . . . exempt Major gas rate filing To consider an increase in Con Edison’s gasdelivery revenues of approximately $154 millionor 13.4%

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.

PSC-19-16-00011-P . . . . . . . . . . . . exempt Public Street Lighting - LED Options To consider the addition of LED options toO&R’s SC No. 4 - Public Street Lighting

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-20-16-00009-P . . . . . . . . . . . . exempt Standards for affiliate relationships. To consider whether to permit the expansion ofemployees who are permitted to performservices on behalf of affiliates.

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-21-16-00008-P . . . . . . . . . . . . exempt GE I-210+c with Silver Spring NetworkInterface Card (NIC) 510

To consider the use of the GE I-210+c withSilver Spring Networks Interface Card (NIC)510

PSC-22-16-00010-P . . . . . . . . . . . . exempt Notice of Intent to submeter electricity andwaiver of 16 NYCRR § 96.5(k)(3).

To consider the Notice of Intent to submeterelectricity and waiver of 16 NYCRR§ 96.5(k)(3).

PSC-22-16-00011-P . . . . . . . . . . . . exempt Petition for rehearing of the Order ModifyingStandardized Interconnection Requirementsand alternative enforcement mechanisms.

To ensure compliance with the StandardizedInterconnection Requirements.

PSC-22-16-00013-P . . . . . . . . . . . . exempt Disposition of tax refunds and other relatedmatters.

To consider the disposition of tax refunds andother related matters.

PSC-23-16-00009-P . . . . . . . . . . . . exempt Transfer of assets and dissolution of Birch HillWater Company Inc.

To consider the transfer of assets anddissolution of the Birch Hill Water CompanyInc.

PSC-23-16-00010-P . . . . . . . . . . . . exempt Minor water rate filing To consider an increase in Pheasant Hill WaterCorporation’s annual water revenues byapproximately $66,325 or 126%

PSC-23-16-00013-P . . . . . . . . . . . . exempt Acquisition of all of the assets of Beaver DamLake Water Corporation

To consider the acquisition of all assets ofBeaver Dam Lake Water Corporation by NewYork American Water Company Inc.

PSC-24-16-00008-P . . . . . . . . . . . . exempt Notice of Intent to submeter electricity. To consider the Notice of Intent to submeterelectricity at 220 Central Park South, NewYork, New York.

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-25-16-00008-P . . . . . . . . . . . . exempt Consideration of the Avangrid ImplementationPlan and audit recommendations.

To consider Avangrid’s Implementation Plan.

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-25-16-00010-P . . . . . . . . . . . . exempt Consideration of Consolidated EdisonCompany of New York, Inc.’s ImplementationPlan and audit recommendations.

To consider Consolidated Edison Company ofNew York, Inc.’s Implementation Plan.

PSC-25-16-00014-P . . . . . . . . . . . . exempt Consideration of the National Grid companies’Implementation Plan and auditrecommendations.

To consider the National Grid companies’Implementation Plan.

PSC-25-16-00015-P . . . . . . . . . . . . exempt Consideration of the National Fuel GasDistribution Corporation Implementation Planand audit recommendations.

To consider National Fuel Gas DistributionCorporation’s Implementation Plan.

PSC-25-16-00016-P . . . . . . . . . . . . exempt Consideration of the Orange and RocklandUtilities, Inc. Implementation Plan and auditrecommendations.

To consider Orange and Rockland Utilities,Inc.’s Implementation Plan.

PSC-25-16-00017-P . . . . . . . . . . . . exempt Consideration of the Central Hudson Gas &Electric Corporation Implementation Plan andaudit recommendations.

To consider Central Hudson Gas & ElectricCorporation ‘s Implementation Plan.

PSC-25-16-00018-P . . . . . . . . . . . . exempt Proposed Community Choice AggregationData Security Agreement.

To ensure appropriate consumer protections inCommunity Choice Aggregation programs.

PSC-25-16-00019-P . . . . . . . . . . . . exempt Revision of customer service metrics. To consider revisions to customer servicemetrics previously approved by theCommission.

PSC-25-16-00021-P . . . . . . . . . . . . exempt Notice of Intent to submeter electricity. To consider the Notice of Intent of 28thHighline Associates, LLC to submeter electricityat 520 West 28th Street, New York, NY.

PSC-25-16-00022-P . . . . . . . . . . . . exempt Transfer of ownership interests in CrestwoodPipeline East LLC.

Consideration of transfer of ownership interestsin Crestwood Pipeline East LLC.

PSC-25-16-00023-P . . . . . . . . . . . . exempt Use of the Elster Solutions Energy Axistransponder.

To consider the use of the Elster SolutionsEnergy Axis transponder.

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-25-16-00027-P . . . . . . . . . . . . exempt Use of the Badger Meter HR E LCD HighResolution E Series Encoder Register.

To consider the use of the Badger Meter HR ELCD High Resolution E Series EncoderRegister.

PSC-25-16-00028-P . . . . . . . . . . . . exempt Notice of Intent to submeter electricity. To consider the Notice of Intent of 421 KentDevelopment LLC to submeter electricity at 60South 8th Street, Brooklyn, New York.

PSC-25-16-00029-P . . . . . . . . . . . . exempt Use of the Orion Water Endpoints meterreading system.

To consider the use of the Orion WaterEndpoints.

PSC-26-16-00019-P . . . . . . . . . . . . exempt Major water rate filing. To consider a proposal to increase annual baserates by approximately $11.6 million or 13.7%.

PSC-28-16-00013-P . . . . . . . . . . . . exempt Initial Tariff Schedule which includes rates,charges, rules and regulations for waterservice.

To consider the proposed Initial Tariff Scheduleand initial rate for water service.

PSC-28-16-00015-P . . . . . . . . . . . . exempt Major water rate filing. To consider a proposal to increase revenues byapproximately $8.49 million or 8.3% andconsolidate tariffs and rates.

PSC-28-16-00016-P . . . . . . . . . . . . exempt A petition for reconsideration of the OrderAdopting a Ratemaking and Utility RevenueModel Policy Framework.

To determine appropriate rules for andcalculation of the distributed generationreliability credit.

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-29-16-00022-P . . . . . . . . . . . . exempt Petitions for Rehearing of the Commission’sOrder Adopting Low Income ProgramModifications and Directing Utility Filings.

To establish rates, terms, and conditions forlow income utility programs.

PSC-29-16-00023-P . . . . . . . . . . . . exempt Use of the Silver Spring Network ResidentialGas Interface Management Unit - IMU 300and IMU 300A.

To consider the use of the Silver SpringNetwork Residential Gas InterfaceManagement Unit - IMU 300 and IMU 300A.

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-29-16-00025-P . . . . . . . . . . . . exempt Proposed modifications to gas safetyviolations metric adopted in Case 12-G-0202.

To consider NMPC’s petition to modify gassafety violations metric.

PSC-30-16-00005-P . . . . . . . . . . . . exempt Notice of Intent to submeter electricity To consider the Notice of Intent of 616 FirstAvenue LLC to submeter electricity at 626 FirstAvenue, New York, New York

PSC-30-16-00006-P . . . . . . . . . . . . exempt The application of NYSEG’s tariff to a remotenet metering host account owned by CornellUniversity

To determine the appropriate tariff treatment forthe Cornell account

PSC-30-16-00007-P . . . . . . . . . . . . exempt The Municipal Electric and Gas Alliance’sCommunity Choice AggregationImplementation Plan

To ensure appropriate consumer protections

PSC-31-16-00004-P . . . . . . . . . . . . exempt Proposed acquisition of 100% of the assets ofWBA by NYAW and to address other mattersrelated to the acquisition.

To consider the proposed acquisition of allassets of WBA by NYAW and other mattersrelated to the acquisition.

PSC-32-16-00003-P . . . . . . . . . . . . exempt Performance Assurance Plan waiver forcertain wholesale service quality metrics.

To consider Verizon’s waiver petitionconcerning certain wholesale service qualityresults.

PSC-32-16-00005-P . . . . . . . . . . . . exempt Major gas rate filing. To consider an increase in National Fuel’s gasdelivery revenues of approximately $41.7million or 15.27%.

PSC-32-16-00007-P . . . . . . . . . . . . exempt Utility DSIPs to achieve the Commission’sReforming the Energy Vision (REV) initiative.

Development of utility DSIPs for improvingutility planning and operations functions underREV.

PSC-32-16-00009-P . . . . . . . . . . . . exempt Proposed acquisition of 100% of the assets ofNew Vernon and Whitlock Farms by NYAW.

To consider the proposed acquisition of assetsof New Vernon and Whitlock Farms by NYAW.

PSC-32-16-00010-P . . . . . . . . . . . . exempt Notice of Intent to submeter electricity. To consider the Notice of Intent to submeterelectricity at 30 Park Place, New York, NewYork.

PSC-32-16-00011-P . . . . . . . . . . . . exempt Notice of Intent to submeter electricity. To consider the Notice of Intent to submeterelectricity at 138-35 39th Avenue, Flushing,New York.

PSC-32-16-00012-P . . . . . . . . . . . . exempt Benefit-Cost Analysis Handbooks. To evaluate proposed methodologies of benefit-cost evaluation.

PSC-33-16-00001-EP . . . . . . . . . . . 08/17/17 Use of escrow funds for repairs. To authorize the use of escrow account fundsfor repairs.

PSC-33-16-00003-P . . . . . . . . . . . . exempt Use of the Silver Spring Networkcommunication device in utility meteringapplications.

To consider the use of the Silver SpringNetwork communication device.

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-33-16-00006-P . . . . . . . . . . . . exempt Lightened regulatory regime applicable toIndeck Corinth Limited Partnership.

To determine the extent to which IndeckCorinth Limited Partnership will be regulatedunder the Public Service Law.

PSC-34-16-00004-P . . . . . . . . . . . . exempt Proposed revisions to the General InformationSection III.8(W) - AMR/AMI Meter Opt-out.

To consider revisions to AMR/AMI meter opt-out and manual meter reading chargeprovisions.

PSC-34-16-00005-P . . . . . . . . . . . . exempt Community Choice Aggregation (CCA) DataServices.

To consider the implementation of fees for CCAData Services requested by CCAAdministrators.

PSC-34-16-00007-P . . . . . . . . . . . . exempt Proposed revisions to the General Rule 6.10 -AMR/AMI Meter Opt-out.

To consider revisions to AMR/AMI meter opt-out and manual meter reading chargeprovisions.

PSC-34-16-00014-P . . . . . . . . . . . . exempt Petition to submeter electricity. To consider the petition of Elmo Homes, Inc. tosubmeter electricity at 728 41st Street,Brooklyn, New York.

PSC-34-16-00016-P . . . . . . . . . . . . exempt Notice of Intent to submeter electricity. To consider the Notice of Intent of SnowplowLH LLC to submeter electricity at 252 East57th Street, New York, NY.

PSC-34-16-00017-P . . . . . . . . . . . . exempt Notice of Intent to submeter electricity. To consider the Notice of Intent of 212 FifthAvenue Venture LLC to submeter electricity at212 Fifth Avenue, New York, NY.

PSC-35-16-00014-P . . . . . . . . . . . . exempt Proposed acquisition of 100% of the assets ofHoey-DeGraw by NYAW and to address othermatters related to the acquisition

To consider the proposed acquisition of 100%of assets of Hoey-DeGraw by NYAW and othermatters related to the acquisition

PSC-35-16-00015-P . . . . . . . . . . . . exempt NYSRC’s revisions to its rules andmeasurements

To consider revisions to various rules andmeasurements of the NYSRC

PSC-36-16-00003-P . . . . . . . . . . . . exempt Petition regarding the Commission’s July 14,2016 Order Denying Petition.

To consider the terms and conditions of utilityservice received by Fastrac Markets, LLC.

PSC-36-16-00004-P . . . . . . . . . . . . exempt Recovery of costs for installation of electricservice.

To consider the recovery of costs forinstallation of electric service.

PSC-36-16-00005-P . . . . . . . . . . . . exempt Disposition of tax refunds received by NewYork American Water Company, Inc.

To determine the disposition of tax refunds andother related matters.

PSC-37-16-00014-P . . . . . . . . . . . . exempt Notice of Intent to submeter electricity. To consider the Notice of Intent to submeterelectricity at 301 East 61st Street, New York,New York.

PSC-37-16-00015-P . . . . . . . . . . . . exempt Notice of Intent to submeter electricity. To consider the Notice of Intent of 10 SullivanCondominium to submeter electricity at 10Sullivan Street, New York, New York.

PSC-38-16-00006-P . . . . . . . . . . . . exempt Request for waiver of the individual meteringrequirements of Opinion 76-17 and 16NYCRR Part 96

To consider the request for waiver of theindividual metering requirements of Opinion76-17 and 16 NYCRR Part 96

PSC-39-16-00012-P . . . . . . . . . . . . exempt The Clean Energy Standard. To promote and maintain renewable and zero-emission electric energy resources.

PSC-39-16-00028-P . . . . . . . . . . . . exempt Consolidated Edison Company of New York,Inc.’s replevin acts and practices.

To review Consolidated Edison Company ofNew York, Inc.’s replevin acts and practices.

PSC-39-16-00029-P . . . . . . . . . . . . exempt Minor rate filing. To consider an increase in annual revenues ofabout $158,709 or 20%.

PSC-40-16-00003-P . . . . . . . . . . . . exempt Low income program implementation planfiled by New York State Electric and GasCorp. and Rochester Gas & Electric Corp.

To establish rates, terms, and conditions for theCompanies’ low income utility programs.

PSC-40-16-00004-P . . . . . . . . . . . . exempt Low income program implementation planfiled by KeySpan Gas East Corp. d/b/aNational Grid.

To establish rates, terms, and conditions for theCompany’s low income utility programs.

PSC-40-16-00005-P . . . . . . . . . . . . exempt Cost recovery for Non-Wire Alternative (NWA)Project.

To consider Central Hudson’s proposedrevisions regarding the recovery of costs andincentives associated with NWA Project.

PSC-40-16-00007-P . . . . . . . . . . . . exempt Low income program implementation planfiled by National Fuel Gas DistributionCorporation.

PSC-40-16-00008-P . . . . . . . . . . . . exempt Low income program implementation planfiled by Consolidated Edison Company ofNew York, Inc.

PSC-40-16-00009-P . . . . . . . . . . . . exempt Low income program implementation planfiled by Niagara Mohawk Power Corporation.

PSC-40-16-00010-P . . . . . . . . . . . . exempt Low income program implementation planfiled by Orange and Rockland Utilities, Inc..

PSC-40-16-00011-P . . . . . . . . . . . . exempt Low income program implementation planfiled by the Brooklyn Union Gas Companyd/b/a National Grid NY.

PSC-40-16-00012-P . . . . . . . . . . . . exempt Low income program implementation planfiled by Central Hudson Gas & ElectricCorporation.

PSC-40-16-00013-P . . . . . . . . . . . . exempt Surcharge to recover costs of Dynamic LoadManagement Programs.

To consider a surcharge to recover costs of theDynamic Load Management Programs.

PSC-40-16-00015-P . . . . . . . . . . . . exempt Notice of Intent to submeter electricity. To consider the Notice of Intent to submeterelectricity at 175 Huguenot Street, NewRochelle, New York.

PSC-40-16-00016-P . . . . . . . . . . . . exempt Notice of Intent to submeter electricity. To consider the Notice of Intent to submeterelectricity at 301 East 50th Street, New York,New York.

PSC-40-16-00017-P . . . . . . . . . . . . exempt Request for waiver of 16 NYCRR sections96.5(a) and 96.6(b)

To consider the request for waiver of 16NYCRR sections 96.5(a) and 96.6(b)

PSC-40-16-00018-P . . . . . . . . . . . . exempt Petition for commercial electric meter. To consider the petition to use the ItronOpenWay Riva commerical meter in electricmetering applications.

PSC-40-16-00020-P . . . . . . . . . . . . exempt Notice of Intent to submeter electricity. To consider the Notice of Intent of 501Broadway Troy, LLC to submeter electricity at501 Broadway, Troy, New York.

PSC-40-16-00022-P . . . . . . . . . . . . exempt The addition of LED lighting options to SCNo. 4 - Off-Street Lighting and SC No. 5 -Municipal Street Lighting Service.

To consider the addition of LED lighting optionsfor Jamestown’s street and off-street lightingservice classifications.

PSC-40-16-00023-P . . . . . . . . . . . . exempt Major gas rate filing. To consider an increase in Corning’s gasdelivery revenues of approximately $5.9 millionor 44.7%.

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-40-16-00026-P . . . . . . . . . . . . exempt Compliance filing establishing an interruptiblegas service sales rate.

To consider RG&E’s proposed revisions toestablish an interruptible gas service salesrate.

To consider whether to impose consequenceson Marathon for its apparent non-compliancewith Commission requirements.

To consider whether to impose consequenceson ABC for its apparent non-compliance withCommission requirements.

PSC-41-16-00017-P . . . . . . . . . . . . exempt Utility tariffs to implement the Clean EnergyStandard

To promote and maintain renewable and zero-emission electric energy resources

PSC-42-16-00005-EP . . . . . . . . . . . . exempt Appointment of a temporary operator forWhitlock Farms Water Company and NewVernon Water Company

To ensure the provision of safe and adequatewater service to customers by appointment of atemporary operator

PSC-42-16-00008-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.

PSC-42-16-00009-P . . . . . . . . . . . . exempt Petition to submeter electricity. To consider the petition to submeter electricityat 549-561 41st Street, Brooklyn, New York.

PSC-42-16-00010-P . . . . . . . . . . . . exempt Request for a limited waiver of certain tariffprovisions.

To consider a request for a limited waiver ofthe tariff’s unauthorized gas usage and non-compliance penalty provisions.

PSC-42-16-00011-P . . . . . . . . . . . . exempt Petition for modifications to the New YorkState Standardized InterconnectionRequirements and Application Process.

To update the SIR to clear the backlog,implement cost sharing, and streamlineinterconnection.

PSC-42-16-00012-P . . . . . . . . . . . . exempt Transfer of certain streetlights located in theTown of Orangetown.

To consider the transfer of certain streetlightsfrom Orange and Rockland to the Town ofOrangetown.

PSC-42-16-00014-P . . . . . . . . . . . . exempt Proposed Public Policy Transmission Needs/Public Policy Requirements, as defined underthe NYISO tariff.

To identify any proposed Public PolicyTransmission Needs/Public PolicyRequirements for referral to the NYISO.

PSC-43-16-00003-P . . . . . . . . . . . . exempt Notice of Intent to submeter electricity. To consider the Notice of Intent of Haus LLC tosubmeter electricity at 152 Freeman Street,Brooklyn, New York.

PSC-43-16-00004-P . . . . . . . . . . . . exempt Notice of Intent to submeter electricity. To consider the Notice of Intent of 50 WestStreet Condominium to submeter electricity at50 West Street, New York, New York.

PSC-43-16-00005-P . . . . . . . . . . . . exempt NYSRC’s revisions to its rules andmeasurements.

To consider revisions to various rules andmeasurements of the NYSRC.

PSC-44-16-00010-EP . . . . . . . . . . . . exempt Use of escrow funds for repairs. To condition the use of escrow account fundsfor repairs.

PSC-44-16-00015-P . . . . . . . . . . . . exempt Surcharge to recover costs of Dynamic LoadManagement Programs

To consider a surcharge to recover costs of theDynamic Load Management Programs

PSC-44-16-00016-P . . . . . . . . . . . . exempt Consideration of comments made by NFGregarding the audit process and the use ofguidance documents in regulation

To consider NFG’s arguments and if theCommission should modify its practices

PSC-44-16-00017-P . . . . . . . . . . . . exempt Valuation of and compensation for electricitygenerated by distributed resources

To implement framework that will benefitratepayers and customer-generators andfurther State policy

PSC-44-16-00018-P . . . . . . . . . . . . exempt Notice of Intent to submeter electricity To consider the Notice of Intent to submeterelectricity at 325 Kent Avenue, Brooklyn, NewYork

PSC-44-16-00019-P . . . . . . . . . . . . exempt Transfer of certain streetlights located in theCity of Kingston

To consider the transfer of certain streetlightsfrom Central Hudson to the City of Kingston

PSC-44-16-00020-P . . . . . . . . . . . . exempt Transfer of a parcel of property located in theTown of North Castle

To consider the transfer of a parcel of propertyfrom Con Edison to the Town of North Castle

PSC-44-16-00021-P . . . . . . . . . . . . exempt Minor rate filing of Municipal Commission ofBoonville

To consider an increase in annual revenues ofabout $161,477 or 4.2%

PSC-45-16-00007-P . . . . . . . . . . . . exempt Proposed debt financing for CCI RensselaerLLC.

To consider proposed debt financing for CCIRensselaer LLC.

PSC-45-16-00008-P . . . . . . . . . . . . exempt Petition to use a commercial electric meter. To consider the petition to use the Landis+GyrS4X Commercial Meter with Gridstream Series5 RF Mesh IP AMI.

PSC-45-16-00009-P . . . . . . . . . . . . exempt Petition to use a residential gas meter. To consider the petition to use the Elster/American AT210TC gas meter in residentialapplications.

PSC-45-16-00010-P . . . . . . . . . . . . exempt Petition to use a residential gas meter. To consider the petition to use the SensusRT230TC temperature compensated gas meterin residential applications.

PSC-45-16-00011-P . . . . . . . . . . . . exempt Petition to use a residential electric meter. To consider the petition to use the Landis+GyrFocus AXe Meter with Gridstream Series 5 RFMesh IP AMI.

PSC-45-16-00012-P . . . . . . . . . . . . exempt Disposition of property tax benefits. To consider the disposition of property taxbenefits.

PSC-45-16-00013-P . . . . . . . . . . . . exempt Financial incentives to create customersavings and develop market-enabling tools,with a focus on outcomes and incentives.

To consider the Interconnection SurveyProcess and Proposed Earnings AdjustmentMechanism.

PSC-45-16-00014-P . . . . . . . . . . . . exempt Disposition of property tax benefits. To consider the disposition of property taxbenefits.

PSC-45-16-00015-P . . . . . . . . . . . . exempt Arbor Hills Water Works Inc.’s rates for theprovision of water.

To consider an increase in Arbor Hills WaterWorks Inc.’s annual water revenues byapproximately $36,500 or 45%.

PSC-45-16-00016-P . . . . . . . . . . . . exempt Boniville Water Company Inc.’s rates for theprovision of water.

To consider an increase in Boniville WaterCompany Inc.’s annual water revenues byapproximately $25,000 or 45%.

PSC-45-16-00017-P . . . . . . . . . . . . exempt Knolls Water Co., Inc.’s rates for the provisionof water.

To consider an increase in Knolls Water Co.,Inc.’s annual water revenues by approximately$26,600 or 45%.

PSC-45-16-00018-P . . . . . . . . . . . . exempt Proposed water supply agreement betweenNYAW and Glen Cove.

To consider the proposed water supplyagreement between NYAW and Glen Cove.

PSC-46-16-00008-P . . . . . . . . . . . . exempt Consideration of the NYISO’s ACTransmission Public Policy TransmissionNeed (PPTN) Viability and SufficiencyAssessment.

To consider whether NYISO should proceed tofurther evaluate solutions to a AC TransmissionPPTN.

PSC-46-16-00009-P . . . . . . . . . . . . exempt Waiver of the ten-member minimum for CDGprojects in appropriate circumstances.

Consideration of appropriate treatment of smallCDG projects on multi-resident properties.

PSC-46-16-00010-P . . . . . . . . . . . . exempt Proposed modifications to the Phase III StormHardening Order.

To consider modifications to the Phase IIIStorm Hardening Order.

PSC-46-16-00011-P . . . . . . . . . . . . exempt Excess generation credits held by CDGproject sponsors at the end of an annualbilling period.

Consideration of appropriate treatment ofexcess generation credits.

PSC-46-16-00012-P . . . . . . . . . . . . exempt Implementation program rules for theRenewable Energy Standard (RES) and Zero-Emission Credit (ZEC) requirement.

To promote and maintain renewable and zero-emission electric energy resources.

PSC-46-16-00013-P . . . . . . . . . . . . exempt Notice of Intent to submeter electricity. To consider the Notice of Intent of HudsonCornell Tech LLC, to submeter electricity at 1East Loop Road, New York, New York.

PSC-46-16-00014-P . . . . . . . . . . . . exempt Notice of Intent to submeter electricity. To consider the Notice of Intent of 846 6thAvenue Venture, to submeter electricity at 50West 30th Street, New York, New York.

PSC-46-16-00015-P . . . . . . . . . . . . exempt The eligibility of street lighting and arealighting accounts for remote net metering.

Consideration of eligibility for remote netmetering.

PSC-46-16-00016-P . . . . . . . . . . . . exempt Tariff revisions regarding Central Hudson’sLED lighting options under its serviceclassifications, SC No. 5 and SC No. 8.

To consider revisions to Central Hudson’s LEDlighting options in area lighting and streetlighting service classifications.

PSC-46-16-00017-P . . . . . . . . . . . . exempt Tariff revisions regarding Central Hudson’straffic signal service classification, SC No. 9.

To consider revisions to Central Hudson’straffic signal service classification.

PSC-46-16-00018-P . . . . . . . . . . . . exempt Con Edison’s proposed pilot shared solarprogram for low-income customers.

Consideration of the authorization andappropriate design of a utility-owned low-income shared solar program.

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-47-16-00011-P . . . . . . . . . . . . exempt Petition to use residential electric meters To consider the petition of Itron, Inc. to use theItron C2SRD and CN2SRD in residentialelectric meter applications

PSC-47-16-00012-P . . . . . . . . . . . . exempt Lease of real property To consider NYSEG’s request to lease aportion of certain real property to Allied DogTraining, LLC

PSC-47-16-00015-P . . . . . . . . . . . . exempt Joint Utilities’ SDSIP to achieve theCommission’s Reforming the Energy Vision(REV) initiative

Development of utilities’ joint SDSIP forimproving utility planning and operationsfunctions under REV

PSC-48-16-00004-P . . . . . . . . . . . . exempt Extension of the air conditioning incentiveprograms application date.

To consider extending the application date forits air conditioning incentive programs.

PSC-48-16-00005-P . . . . . . . . . . . . exempt Clarification of an Order Approving TariffAmendments with Modifications, issuedOctober 14, 2016 in Cases 15-E-0745, et al.

To consider the petition for clarification filed inCases 15-E-0745, et al.

PSC-49-16-00002-P . . . . . . . . . . . . exempt Transfer of certain street lighting facilitieslocated in the Town of Ramapo.

To consider the transfer of certain streetlighting facilities from Orange and RocklandUtilities, Inc. to the Town of Ramapo.

PSC-49-16-00003-P . . . . . . . . . . . . exempt Stock Acquisition. To consider the transfer of all S&S RhinebeckWater-Works Corporation stock to RICRhinebeck and MHMG-KM Rhinebeck.

PSC-49-16-00004-P . . . . . . . . . . . . exempt Waiver of certain rules and requirementspertaining to cable television franchise.

To determine whether to waive any regulations.

PSC-50-16-00003-P . . . . . . . . . . . . exempt Proposed corporate reorganization andtransfer of ownership interests in EmpireGenerating Co, LLC

To consider corporate reorganization andtransfer of ownership interests in EmpireGenerating Co, LLC

PSC-50-16-00004-P . . . . . . . . . . . . exempt Notice of Intent to submeter electricity To consider the Notice of Intent to submeterelectricity at 27-19 44th Drive, Long Island City,New York, and waiver request

PSC-50-16-00005-P . . . . . . . . . . . . exempt Notice of Intent to submeter electricity To consider the Notice of Intent of 2 North 6thPlace Owner, LLC, to submeter electricity at 2North 6th Place, Brooklyn, NY

PSC-50-16-00006-P . . . . . . . . . . . . exempt Proposed electric tariff and CDG OperatingAgreement amendments that updateNYSEG’s Community Distribution Generationprogram

To consider proposed tariff and OperatingAgreement amendments that update NYSEG’sCommunity Distribution Generation program

PSC-50-16-00007-P . . . . . . . . . . . . exempt Utility obligation to provide three phaseservice within residential subdivisions free ofcharge for first 100 feet

To consider Niagara Mohawk’s obligations toprovide 100 feet of free three phase servicepursuant to PSL Section 31(4)

PSC-51-16-00008-P . . . . . . . . . . . . exempt Petition to submeter electricity. To consider the petition of 172 MadisonCondominium to submeter electricity at 172Madison Avenue, New York, New York.

PSC-51-16-00009-P . . . . . . . . . . . . exempt Notice of Intent to submeter electricity. To consider the Notice of Intent of 111 MurrayStreet Condominium, to submeter electricity at111 Murray Street, New York, NY.

PSC-51-16-00010-P . . . . . . . . . . . . exempt Use of the Aclara kV2c EPS meter with SilverSpring Network Interface Card 510 in electricmetering applications.

To consider use of the Aclara kV2c EPS meterwith Silver Spring Network Interface Card 510in electric metering applications.

PSC-52-16-00003-P . . . . . . . . . . . . exempt Transfer of controlling interest and associatedfinancial transactions.

To consider the transfer of controlling interestand associated financial transactions.

PSC-52-16-00005-P . . . . . . . . . . . . exempt Lease of real property. To consider NYSEG’s request to lease aportion of certain real properties locatedthroughout New York State.

PSC-52-16-00006-P . . . . . . . . . . . . exempt The New York State Reliability Council’sestablishment of an Installed Reserve Marginof 18.0%.

To consider an Installed Reserve Margin for theCapability Year beginning May 1, 2017, andending April 30, 2018.

PSC-52-16-00008-P . . . . . . . . . . . . exempt Notice of Intent to submeter electricity. To consider the Notice of Intent to submeterelectricity at 1060 Rev. James A. PoliteAvenue, Bronx, New York.

PSC-52-16-00009-P . . . . . . . . . . . . exempt Tariff revisions to implement the Clean EnergyStandard (CES).

To consider the implementation of the CES topromote and maintain renewable and zero-emission electric energy resources.

PSC-52-16-00010-P . . . . . . . . . . . . exempt Utility obligation to provide three phaseservice within residential subdivisions free ofcharge for first 100 feet.

To consider electric utilties’ obligations toprovide 100 feet of free three-phase servicepursuant to PSL section 31(4).

PSC-01-17-00018-P . . . . . . . . . . . . exempt The addition of Company-owned LED optionsunder SC No. 1 - Street Lighting Service

To consider the addition of Company-ownedLED lighting options for customers servedunder SC No. 1

PSC-01-17-00019-P . . . . . . . . . . . . exempt The 2016 Electric Emergency ResponsePlans for New York’s six major electric utilities

To consider the 2016 Electric EmergencyResponse Plans for New York’s six majorelectric utilities

PSC-01-17-00020-P . . . . . . . . . . . . exempt Consequences pursuant to the Commission’sUniform Business Practices (UBP)

To consider whether to impose consequenceson AP&G for its apparent non-compliance withCommission requirements

PSC-01-17-00021-P . . . . . . . . . . . . exempt Petition for clarification To consider the petition for clarification of theOrder Authorizing Submetering, OrderingClause 4

PSC-01-17-00022-P . . . . . . . . . . . . exempt The addition of Company-owned LED optionsunder SC No. 3 - Standard Street LightingService

To consider the addition of Company-ownedLED lighting options for customers servedunder SC No. 3

PSC-01-17-00023-P . . . . . . . . . . . . exempt Transfer of certain pipeline facilities andapplicability of Public Service Law (PSL)Article 4

To consider a request to transfer certainpipeline facilities and a declaration regardingapplication of the PSL

STATE, DEPARTMENT OF

DOS-45-16-00019-P . . . . . . . . . . . 11/09/17 Rules relating to political consultants To prescribe the statutorily mandated form forpolitical consultants and related regulationsrelating to political consultants

DOS-46-16-00007-P . . . . . . . . . . . 01/03/18 Sugarhouse Alternative Activity Provisions To allow sugarhouses to conduct alternativeactivities that will support the maple productindustry

TAXATION AND FINANCE, DEPARTMENT OF

TAF-48-16-00002-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 periodJanuary 1, 2017 through March 31, 2017

TAF-48-16-00003-P . . . . . . . . . . . 11/30/17 Division of Taxation and Finance Powers ofAttorney

To simplify and expedite the process for filingPowers of Attorney with the Division of Taxationand Finance

TAF-51-16-00002-EP . . . . . . . . . . . 12/21/17 Metropolitan Transportation Business TaxSurcharge

To provide metropolitan transportation businesstax rate for tax year 2017

TEMPORARY AND DISABILITY ASSISTANCE, OFFICE OF

*TDA-46-15-00005-RP . . . . . . . . . . . 02/15/17 Storage of furniture and personal belongings Provide clarification regarding allowances forthe storage of furniture and personalbelongings

TDA-37-16-00001-P . . . . . . . . . . . 09/14/17 Child Support To help ensure the State’s compliance withfederal rules for safeguarding confidentialinformation, disclosing said information, whereappropriate, to authorized persons and entities;and report delinquent child support payors tocredit reporting agencies

TDA-39-16-00006-P . . . . . . . . . . . 09/28/17 Operational Plans for Uncertified Shelters forthe Homeless

See attached

TDA-01-17-00002-EP . . . . . . . . . . . 01/04/18 Emergency measures for the homeless duringinclement winter weather

To mitigate the effects and impact of inclementwinter weather on individuals experiencinghomelessness

THRUWAY AUTHORITY, NEW YORK STATE

THR-46-16-00022-P . . . . . . . . . . . 11/16/17 Amend the Authority’s toll rules to enhanceviolation enforcement on the Thruway System

To deter toll evasion

TRANSPORTATION, DEPARTMENT OF

TRN-41-16-00001-P . . . . . . . . . . . 10/12/17 Provisions applicable to administrativehearings in Office of Proceedings

Update of rules applicable to administrativehearings and repeal of obsolete provisions inPart 558

TRIBOROUGH BRIDGE AND TUNNEL AUTHORITY

TBA-46-16-00021-P . . . . . . . . . . . 11/16/17 Proposal to strengthen toll violationenforcement at TBTA bridges and tunnels

To deter toll evasion

TBA-49-16-00008-P . . . . . . . . . . . . exempt Proposal to establish a new crossing chargeschedule for use of bridges and tunnelsoperated by TBTA

Proposal to raise additional revenue

WORKERS’ COMPENSATION BOARD

WCB-44-16-00011-P . . . . . . . . . . . 11/02/17 Administrative Appeals Update the process for requestingadministrative review of decisions by a lawjudge

REGULATORYAGENDA

Education Department

Pursuant to section 202-d of the State Administrative ProcedureAct, the State Education Department presents its regulatory agendafor calendar year 2017. All section and part references are to Title 8 ofthe New York Code of Rules and Regulations. The State EducationDepartment reserves the right to add, delete or modify, without furthernotice, except as required by the State Administrative Procedure Act,any item or information presented herein as relating to the 2017Regulatory Agenda.

OFFICE OF P-12 EDUCATION

Addition of a new Part of the Commissioner’s Regulations pertain-ing to the requirements for student and teacher data privacy and secu-rity pursuant to Education Law section 2-d, as added by Subpart L ofPart AA of Chapter 56 of the Laws of 2014. A rural area flexibilityanalysis and/or a regulatory flexibility analysis may be required.

Amendment of sections 30-2.3, 30-3.3, 30-3.4, 30-3.5, 30-3.11, and30-3.13 of the Rules of the Board of Regents, relating to annual profes-sional performance reviews of classroom teachers and buildingprincipals, to provide greater flexibility to districts and BOCES inimplementing the provisions of Education Law § 3012-c and § 3012-d.A regulatory flexibility analysis for local government and a rural areaflexibility analysis may be required.

Amendment of Parts 52 and 80 of the Commissioner’s Regulationsto require all prospective teachers to complete coursework on EnglishLanguage Learner instructional needs, co-teaching strategies, andintegrating language and content instruction for English LanguageLearners. A regulatory flexibility analysis for local government and arural area flexibility analysis may be required.

Amendment of Part 80 of the Commissioner’s Regulations to createa certification extension for bilingual teaching assistants. A regulatoryflexibility analysis for local government and a rural area flexibilityanalysis may be required.

Amendment of section 80-1.9 of the Commissioner’s Regulationsrelating to the filing of district personnel data. A regulatory changemay be required to align the requirement for collecting personnel datawhich has changed from staff filing a paper form to an electronic filingby school districts, BOCES and charter schools. A regulatory flex-ibility analysis for local government and a rural area flexibility analy-sis may be required.

Amendment of section 100.1(a) of the Commissioner’s Regulationsrelating to the definition of a unit of study. A regulatory flexibilityanalysis for local government and a rural area flexibility analysis maybe required.

Amendment of section 100.1(b) of the Commissioner’s Regulationsrelating to the definition of a unit of credit. A regulatory flexibilityanalysis for local government and a rural area flexibility analysis maybe required.

Amendment of section 100.2 of the Commissioner’s Regulationsrelating to general school requirements. A regulatory flexibility analy-sis for local government and a rural area flexibility analysis may berequired.

Amendment of section 100.2(m) of the Commissioner’s Regula-

tions relating to the school report card. A regulatory change may berequired to allow for the various data of the school report card to beidentified individually. A regulatory flexibility analysis for localgovernment and a rural area flexibility analysis may be required.

Amendment of section 100.2(i) of the Commissioner’s Regulationsto allow the reporting of complaints about the use of corporal punish-ment by BOCES, district or charter school personnel to be done oncea year. A regulatory flexibility analysis for local government and a ru-ral area flexibility analysis may be required.

Amendment of section 100.2(x) of the Commissioner’s Regulationsrelating to the education of homeless children to align with the State’sEvery Student Succeeds Act plan. The amendment includes, but is notlimited to, the following: preschool and feeder schools; school selec-tion; children awaiting foster care placement; enrollment deadlines;continued enrollment pending final resolution of dispute; award full orpartial credit for completed coursework; access to academic and extra-curricular activities; barriers related to outstanding fees, fines, orabsences; transportation; college readiness; student privacy;McKinney-Vento liaison responsibilities; eligibility for HUD home-less assistance; special education services; collection of data; and theidentification of children and youth experiencing homelessness. Aregulatory flexibility analysis for local government and a rural areaflexibility analysis may be required.

Amendment to Section 100.2(f) and (mm) to provide for assess-ments in Languages other than English to be approved as pathway as-sessments to meet diploma requirements. A regulatory flexibility anal-ysis for local government and a rural area flexibility analysis may berequired.

Amendment of section 100.3 of the Commissioner’s Regulationsrelating to the PreK-4 Program requirements to reflect the adoption ofthe Learning Standards. A regulatory flexibility analysis for localgovernment and a rural area flexibility analysis may be required.

Amendment of section 100.4 of the Commissioner’s Regulationsrelating to program requirements in grades 5-6 to reflect the adoptionof the Learning Standards. A regulatory flexibility analysis for localgovernment and a rural area flexibility analysis may be required.

Amendment of section 100.5 of the Commissioner’s Regulations,relating to graduation requirements. A regulatory change may berequired to allow for additional options for English language learners.A regulatory flexibility analysis for local government and a rural areaflexibility analysis may be required.

Amendment of section 100.5 of the Commissioner’s Regulationsrelating to diploma requirements for students pursuing a career/technical education program. A regulatory flexibility analysis for localgovernment and a rural area flexibility analysis may be required.

Amendment of section 100.7 of the Commissioner’s Regulationsrelating to the State High School Equivalency Program to increase theage of eligibility and minimum number of hours required by theprogram. A regulatory flexibility analysis for local government and arural area flexibility analysis may be required.

Amendment of section 100.4(b) of the Commissioner’s Regulationsrelating to program requirements in grades five and six. A regulatoryflexibility analysis for local government and a rural area flexibilityanalysis may be required.

Amendment of section 100.4(c) of the Commissioner’s Regulationsrelating to unit of study requirements in grades seven and eight. Aregulatory flexibility analysis for local government and a rural areaflexibility analysis may be required.

Amendment of section 100.4(d) of the Commissioner’s Regulationsrelating to grade eight acceleration for diploma credit. A regulatoryflexibility analysis for local government and a rural area flexibilityanalysis may be required.

Amendment of section 100.4(h) of the Commissioner’s Regulationsrelating to models for Middle Level Education. A regulatory flexibilityanalysis for local government and a rural area flexibility analysis maybe required.

Amendment of section 100.5(a), (b) and (c) of the Commissioner’sRegulations relating to graduation and diploma requirements. Aregulatory flexibility analysis for local government and a rural areaflexibility analysis may be required.

Repeal of sections 100.14 and 100.15 of the Commissioner’sRegulations relating to Excelsior Scholars Program and Grants forSummer Institutes for Mathematics and Science Teachers. A regula-tory flexibility analysis for local government and a rural area flex-ibility analysis may be required.

Amendment of section 100.18 of the Commissioner’s Regulationsto align with the State’s Every Student Succeeds Act plan, includingbut not limited to the identification of Targeted Support Schools andComprehensive Support Schools. A regulatory flexibility analysis forlocal government and a rural area flexibility analysis may be required.

Amendment to various sections of Part 100 to align with EducationLaw, Article 66, section 3300, on the Interstate Compact for Educa-tional Opportunity for Military Children. A regulatory flexibility anal-ysis for local government and a rural area flexibility analysis may berequired.

Amendment of section 114.1(b) of the Commissioner’s Regulationsrelating to nutrition standards. A regulatory change may be required toconform with federal statute and/or regulation. A regulatory flexibilityanalysis for local government and a rural area flexibility analysis maybe required.

Amendment of Part 117 of the Commissioner’s Regulations relat-ing to diagnostic screening for students who are new entrants or whohave low test scores in reading or mathematics. A regulatory flex-ibility analysis for local government and a rural area flexibility analy-sis may be required.

Amendment of Part 118 of the Commissioner’s Regulations relat-ing to implementation of waivers from specified provisions of theElementary and Secondary Education Act of 1965, as amended, thathave been granted by the Secretary of the U.S. Department of Educa-tion pursuant to section 9401 of the ESEA for purposes of ESEA flex-ibility pertaining to school and district accountability. A regulatoryflexibility analysis for local government and a rural area flexibilityanalysis may be required.

Amendment of Part 119 of the Commissioner’s Regulations to adda section relating to procedures regarding complaints brought pursu-ant to Education Law section 2855. A regulatory flexibility analysisfor local government and a rural area flexibility analysis may berequired.

Amendment of section 119.1 of Commissioner’s Regulations, relat-ing to Charter School Tuition Reimbursement, to conform to section 4of Part BB of Chapter 56 of the Laws of 2014. A regulatory flexibilityanalysis for local government and a rural area flexibility analysis maybe required.

Amendment of section 119.3 of the Commissioner’s Regulationsrelating to charter school report cards to correct a citation. A regula-tory flexibility analysis for local government and a rural area flex-ibility analysis may be required.

Amendment of Part 120 of the Commissioner’s Regulations to alignwith the State’s Every Student Succeeds Act plan relating to publicschool choice, supplemental education services (SES), highly quali-fied teachers and other provisions of the No Child Left Behind Act. Aregulatory flexibility analysis for local government and a rural areaflexibility analysis may be required.

Amendment of Part 125 of the Commissioner’s Regulations relat-ing to the requirements for the voluntary registration of nonpublicnursery schools and kindergartens. A regulatory flexibility analysis forlocal government and a rural area flexibility analysis may be required.

Amendment of Subpart 151-1 of the Commissioner’s Regulationsrelating to universal prekindergarten. A regulatory change may berequired to implement policy relating to the suspension and expulsionof children in universal prekindergarten classes. A regulatory flex-ibility analysis for local government and a rural area flexibility analy-sis may be required.

Amendment of section 151-1.3 of the Commissioner’s Regulationsrelating to the Universal Pre-Kindergarten program. A regulatory flex-ibility analysis for local government and a rural area flexibility analy-sis may be required.

Amendment of Part 136 to implement Chapter 373 of the Laws of2016 and to make technical amendments, relating to school healthservices. A regulatory flexibility analysis and a rural area flexibilityanalysis may be required.

Amendment of section 136.3(b) of the Commissioner’s Regulationsto conform to Education Law section 901, as amended by the Laws of2006, Ch. 58, pt. A-1, § 57, which removed the exemption of the cityschool districts of Rochester and Buffalo from the requirement toprovide school health services. A regulatory flexibility analysis for lo-cal government and a rural area flexibility analysis may be required.

Amendment of section 144.11 of the Commissioner’s Regulationsto eliminate the requirement that school districts have an Early GradeClass Size Reduction Plan. A regulatory flexibility analysis for localgovernment and a rural area flexibility analysis may be required.

Amendment of Subpart 151-1 of the Commissioner’s Regulationsto create identification, placement and program requirements forstudents who are English language learners in preschool. A regulatoryflexibility analysis for local government and a rural area flexibilityanalysis may be required.

Amendment of section 200.2 of the Regulations of the Commis-sioner of Education relating to least restrictive environment place-ments of students with disabilities. A regulatory flexibility analysis forlocal government and a rural area flexibility analysis may be required.

Amendment of section 200.6 of the Commissioner’s Regulationsrelating to approval of State reimbursement for students with dis-abilities in approved private school placements. A regulatory flex-ibility analysis for local government and a rural area flexibility analy-sis may be required.

Amendment of section 200.6 of the Commissioner’s Regulationsrelating to the minimum level of service requirements for consultantteacher services and resource room programs, and the maximuminstructional group size in a resource room program. A regulatoryflexibility analysis for local government and a rural area flexibilityanalysis may be required.

Amendment of section 200.7 of the Commissioner’s Regulationsrelating to conditions of approval and the program standards forprivate schools approved to serve students with disabilities. A regula-tory flexibility analysis for local government and a rural area flex-ibility analysis may be required.

Amendment of Section 200.9 of the Commissioner’s Regulationsrelating to tuition rates for approved special class integrated settingprograms. A regulatory flexibility analysis for local government and arural area flexibility analysis may be required.

Amendment of section 200.18 of the Commissioner’s Regulationsrelating to fiscal audits of approved programs. A regulatory flexibilityanalysis for local government and a rural area flexibility analysis maybe required.

Amendment of section 200.20(a) of the Commissioner’s Regula-tions relating to public school districts as preschool evaluators as maybe necessary to conform to changes to State statute. A regulatory flex-ibility analysis for local government and a rural area flexibility analy-sis may be required.

Amendment of section 3.16(c)(1)(vi) of the Rules of the Board ofRegents to update delegation of authority with respect to charterschools and relocation of a charter school to a different borough within

NYS Register/January 4, 2017Regulatory Agenda

a school district in a city having a population of one million or more.A regulatory flexibility analysis for local government and a rural areaflexibility analysis may be required.

Amendment of section 3.16(c)(1)(vii) of the Rules of the Board ofRegents to update delegation of authority with respect to the approvalof changes to charter school maximum enrollment. A regulatory flex-ibility analysis for local government and a rural area flexibility analy-sis may be required.

Amendment of section 3.17(a)(3) of the Rules of the Board ofRegents to update the revocation proceeding and to allow the Board ofRegents to appoint a representative to hear oral arguments on behalfof the Board of Regents and to make a determination in regard to suchoral argument. A regulatory flexibility analysis for local governmentand a rural area flexibility analysis may be required.

Amendment of section 3.17(a)(3) of the Rules of the Board ofRegents to update the revocation proceeding to revoke the certificateof incorporation after the assets of the education corporations havebeen discharged. A regulatory flexibility analysis for local governmentand a rural area flexibility analysis may be required.

Agency Representative:

Information may be obtained, and written comments may besubmitted, concerning any of the above proposed amendments bycontacting:

Jhone M. Ebert

Senior Deputy Commissioner for Education Policy

New York State Education Department

Room 875, Education Building Annex

89 Washington Avenue

Albany, New York 12234

(518) 474-3862

nysedp12@nysed.gov

OFFICE OF HIGHER EDUCATION

Amendment of section 3.56 of Regents Rules to clarify require-ments for out-of-state institutions of higher education that are seekingRegents permission to operate in New York. A rural area flexibilityanalysis and regulatory flexibility analysis may be required.

Amendment of section 50.1 of the Commissioner’s Regulations toinclude a definition of a remedial course and a compensatory courseas needed under sections 6451 and 6452 of the Education Law. A ruralarea flexibility analysis and regulatory flexibility analysis may berequired.

Amendment of section 52.2(f) of the Commissioner’s Regulationsspecifying the academic content of a transcript prepared by an Institu-tion of Higher Education. A regulatory flexibility analysis for localgovernment and a rural area flexibility analysis may be required.

Amendment of Part 80 of the Commissioner’s Regulations relatingto the certification requirements for school counselors. A rural areaflexibility analysis may be required.

Amendment of section 80-3.4 of the Commissioner’s Regulationsrelating to education requirements for the professional certificate. Arural area flexibility analysis may be required.

Amendment of sections 80-4.3 and 80-5.18 of the Commissioner’sRegulations relating to the requirements for a Supplementary Bilin-gual Education extension and the Supplementary English to Speakersof Other Languages certificate. A rural area flexibility analysis may berequired.

Amendment of Part 86 of the Commissioner’s Regulations relatingto the requirements for the Albert Shanker Grant. A rural area flex-ibility analysis may be required.

Amendment of Part 135 of the Commissioner’s Regulations toclarify the due process procedures relative to coaching licenses. Aregulatory flexibility analysis and a rural area flexibility analysis maybe required.

Amendment of Commissioner’s Regulations section 145-2.1(a)(iii)to provide a definition of a remedial course(s). A regulatory flexibilityanalysis for local government and a rural area flexibility analysis maybe required.

Amendment of Commissioner’s Regulations section 145-2.2 toprovide a definition of the term “the recognized equivalent of suchcertificate” as found in Education Law section 661(4)(f) for thepurposes of determining eligibility for the NYS Tuition AssistanceProgram. A regulatory flexibility analysis for local government and arural area flexibility analysis may be required.

Amendment of Commissioner’s Regulations section 145-2.15(b)(3)to clarify and establish jurisdiction over a student at the time of thecompletion of secondary education. A regulatory flexibility analysisfor local government and a rural area flexibility analysis may berequired.

Amendment of Commissioner’s Regulations section 145-2.15(b)(2)to clarify the federally approved ability to benefit test administrationfor the purposes of the NYS Tuition Assistance Program. A regulatoryflexibility analysis for local government and a rural area flexibilityanalysis may be required.

Amendment of Commissioner’s Regulations section 152-1.2 toinsert language concerning remedial, developmental, and compensa-tory courses. A regulatory flexibility analysis for local governmentand a rural area flexibility analysis may be required.

Amendment of Commissioner’s Regulations Section 152-1.1 toamend applications to clarify that each application shall include theprovision of a summer program that shall occur at the beginning of theprogram year and to update obsolete processes and language. A regula-tory flexibility analysis for local government and a rural area flex-ibility analysis may be required.

Amendment of Commissioner’s Regulations Part 50 and Part 54 toamend the definitions and procedures related to off-campus instruc-tion and locations. A regulatory flexibility analysis for local govern-ment and a rural area flexibility analysis may be required.

Amendment of Commissioner’s Regulations to establish a new partto implement section 6449 of the Education Law as related to aggre-gate data reporting to the department as required by Chapter 76 of theLaws of 2015, the Sexual Assault, Dating Violence, DomesticViolence and Stalking Prevention and Response Policies andProcedures. A regulatory flexibility analysis for local government anda rural area flexibility analysis may be required.

John D’Agati

Deputy Commissioner for the Office of Higher Education

Office of Higher Education

(518) 486-3633

Shannon.Roberson@nysed.gov

OFFICE OF THE PROFESSIONS

Amendment of Part 29 of the Regents Rules relating to definitionsof unprofessional conduct in the public accountancy and certified pub-lic accountancy professions. A regulatory flexibility analysis for smallbusinesses and a rural area flexibility analysis may be required.

Amendment of Part 29 of the Regents Rules relating to definitionsof unprofessional conduct in the pharmacy profession. A regulatoryflexibility analysis for small businesses and a rural flexibility analysismay be required.

Amendment of Part 61 of the Commissioner’s Regulations relatingto licensure by endorsement provisions for dentists. A regulatory flex-ibility analysis for small businesses and a rural area flexibility analysismay be required.

Amendment of Part 62 of the Commissioner’s Regulations relatingto the continuing education requirements for veterinarians. A regula-tory flexibility analysis for small businesses and a rural area flexibilityanalysis may be required.

NYS Register/January 4, 2017 Regulatory Agenda

Amendment of Part 69 of the Commissioner’s Regulations relatingto licensure by endorsement provisions for architects. A regulatoryflexibility analysis for small businesses and a rural area flexibilityanalysis may be required.

Amendment of Part 70 of the Commissioner’s Regulations relatingto the definitions of public accountancy and the certified public ac-countancy professions. A regulatory flexibility analysis for small busi-nesses and a rural area flexibility analysis may be required.

Amendment to Subpart 79-7 of the Commissioner’s Regulations re-lating to the education requirements for certified athletic trainers. Aregulatory flexibility analysis for small businesses and a rural areaflexibility analysis may be required.

Douglas E. Lentivech

Deputy Commissioner for the Professions

Office of the Professions

West Wing, Second Floor - Education Building

Albany, NY 12234

(518) 486-1765

opdepcom@nysed.gov

OFFICE OF CULTURAL EDUCATION

Amendment of Part 90 of the Commissioner’s Regulations, relatingto the library and library system programs and services. A regulatoryflexibility analysis for local government and a rural area flexibilityanalysis may be required.

Information may be obtained, and written comments may besubmitted, concerning the above proposed amendment by contacting:

Bernard A. Margolis

State Librarian and Assistant Commissioner for Libraries

New York State Library

Room 10C34

Albany, NY 12230

(518) 474-5930

Bernard.Margolis@nysed.gov

Amendment of Part 188 of the Commissioner’s Regulations relatedto state government archives and records management to update theagency fee list to match the current organizational structure of execu-tive branch agencies. A regulatory flexibility analysis for local govern-ment and a rural area flexibility analysis may be required.

Amendment of Part 188 of the Commissioner’s Regulations relatedto state government archives and records management to update theannual fees for storage of records in a records center facility. A regula-tory flexibility analysis for local government and a rural area flex-ibility analysis may be required.

Tom Ruller

Assistant Commissioner for the State Archives

9C49 Cultural Education Center

(518) 474-5561

Tom.Ruller@nysed.gov

OFFICE OF ADULT CAREER AND CONTINUING EDUCA-TION SERVICES (ACCES)

Amendment of Parts 246, 247 and 248 of the Commissioner’s

Regulations, regarding conforming and technical amendments pertain-ing to the vocational rehabilitation and independent living programs.A regulatory flexibility analysis for local government and a rural areaflexibility analysis may be required.

Amendment of Part 246 of the Commissioner’s Regulations, relat-ing to sheltered workshop programs and community rehabilitationproviders, necessary to conform to federal regulations and to reflectnew standards for services established in contracts. A regulatory flex-ibility analysis for local government and a rural area flexibility analy-sis may be required.

Amendment of Parts 246 and 247 of the Commissioner’s Regula-tions relating to the State vocational rehabilitation program operatedpursuant to Title I of the Rehabilitation Act, as may be appropriate inorder to conform to changes resulting from the passage of theWorkforce Innovation and Opportunity Act (WIOA) on July 22, 2014,which amended the Rehabilitation Act. The federal regulations werereleased on August 19, 2016. A regulatory flexibility analysis for localgovernment and a rural area flexibility analysis may be required.

Addition of a new section 247.19 of the Commissioner’s Regula-tions as follows:

Readers Aid for blind or deaf students. Contingent upon the adop-tion of proposed amendments to § 4210 of the New York State Educa-tion Law, this section authorizes personnel responsible for the provi-sion of reasonable accommodations at institutions of higher educationor proprietary schools to apply for Readers Aid funding. Applicationswill include documentation that attests to student eligibility and meetsadditional requirements as established by ACCES-VR. Readers Aidfunding will be awarded based on available funding and at ACCESVR’s discretion, not to exceed $4,000 per student per academic year.A regulatory flexibility analysis and/or a rural area flexibility analysismay be required.

Information may be obtained, and written comments may besubmitted, concerning the modification or continuation of any of theabove rules by contacting:

Lisa Van Ryn

Manager, VR Resource Development

Office of Adult Career and Continuing Education Services

Room 580 EBA

(518) 473-1626

Lisa.VanRyn@nysed.gov

Amendment of Part 126.4(e)(2)(i) of the Commissioner’s Regula-tions relating to standards and methods of instruction to revise thelanguage to say: except as provided in subparagraph (iii) of thisparagraph, and notwithstanding any other provisions of law, anystudent who is absent more than 15 percent of the total number ofinstructional hours offered during each marking period of the student’sprogram, excluding approved leaves of absence pursuant to paragraph(6) of this subdivision, or who has not maintained satisfactory aca-demic progress, shall be dismissed or placed on academic probation inaccordance with subparagraph (iii) of this paragraph. A regulatoryflexibility analysis for local government and a rural area flexibilityanalysis may be required.

Amendment of Part 126.4(g) of the Commissioner’s Regulationsrelating to standards and methods of instruction to add the following:All courses or curricula offered at no cost to a student by a schoolshall comply with all requirements of this Part, except non-occupational courses as defined by section 5002(1)(c) of the Educa-tion Law. A regulatory flexibility analysis for local government and arural area flexibility analysis may be required.

Amendment of Part 126.4(i) of the Commissioner’s Regulations re-lating to standards and methods of instruction to revise it to say:Notwithstanding any other provisions of this Part, non-occupationalcourses, as defined by section 5002(1)(c) of the Education Law, shallbe subject to the following alternate educational and curriculumstandards. A regulatory flexibility analysis for local government and arural area flexibility analysis may be required.

Amendment of Part 126.6 of the Commissioner’s Regulations relat-ing to qualifications of teaching and management personnel to changethe word “mailed” to “provided” and remove the words “and post-marked” as follows:

Each applicant shall submit, in a format specified by the commis-sioner, such data concerning the education, training, experience andother qualifications, including supporting documentation, of theadministrative, supervisory and instructional staff of the school as thecommissioner may require. Upon submission of an application for adirector, the owner shall attest to the applicant’s ability to complywith the provisions of this section. Pursuant to section 5002(6) of theEducation Law, all applications for teachers and directors shall beprovided to the commissioner four days prior to employment at theschool, and must be completed, with all supporting materials and feesrequired for evaluation of the file, within 20 days thereafter. However,the commissioner, for good cause shown, may extend the time withinwhich to complete the application. When a complete application ismade, the commissioner shall act upon such application within 30days. If no written denial is made within 30 days, the application shallbe deemed to be approved until the commissioner acts upon it or untilthe end of the term or semester, whichever occurs first. If a writtendenial is made after the 30-day period, the commissioner may allowthe applicant to teach at the school for the remainder of the term or se-mester if the commissioner determines that the removal of the teacherwould not be in the best interest of students. If a teacher or director ap-plication, submitted to the department less than four days prior to theemployment of such individual, is evaluated and it is subsequentlydetermined that the applicant is not qualified pursuant to the provi-sions of this section, the school may be subject to disciplinary actionpursuant to section 5003 of the Education Law, if such conduct consti-tutes a pattern of abuse. As used in this subdivision, a pattern of abuseis defined as violations which occur three or more times in a 12-monthperiod.

A regulatory flexibility analysis for local government and a ruralarea flexibility analysis may be required.

Amendment of the Commissioner’s Regulations to add a new sec-tion 126.10(k), as per section 5001(4)(f)(3) of the Education Law,which required the Commissioner to issue alternate licensing require-ments for non-profit schools exempt from taxation under section501(c)(3) of the internal revenue code whose programs are fundedentirely through donations from individuals or philanthropic organiza-tions, or endowments, and interest accrued thereon as follows:

126.10(k) Alternate licensing procedures for non-profit schools.Pursuant to section 5001(4)(f)(3) of the Education Law, non-profitschools exempt from taxation under section 501(c)(3) of the internalrevenue code whose programs, including registration fees, the sale ofbooks, supplies, services, kits, uniforms or equipment are fundedentirely through donations, exclusive of public sources, from individu-als or philanthropic organizations, or endowments, and interest ac-crued thereon, shall be subject to all of the requirements of article 101of Education Law and this Part, except that:

126.10(k)(1) - such schools shall be exempt from the requirementsof Education Law:

126.10(k)(1)(i), § 5002(3) - relating to tuition liability;

126.10(k)(1)(ii), § 5001(4)(e)(i) - relating to the inclusion infinancial statements of refunds due and owing to past or presentlyenrolled students;

126.10(k)(1)(iii), § 5002(2)(b)(5) - relating to the inclusion in anyschool record of the amount of any refund paid to any student;

126.10(k)(1)(iv), § 5005(a)(4) - relating to disclosure to prospectiveand enrolled students of any refund policy, § 5005(e), and § 5005(f)relating to a tuition reimbursement fund claim form.

126.10(k)(2) such schools shall be exempt from the requirements ofthe following provisions of this Part:

126.10(k)(2)(i), § 126.4(c)(6) - relating to data required to besubmitted about tuition and other charges and method of payment;

126.10(k)(2)(ii), § 126.7(b)(6) – (9) - relating to the inclusion inenrollment agreements of any tuition charges or fees or method ofpayment;

126.10(k)(2)(iii), § 126.7(b)(15) - relating to any refund a schoolwill make under certain prescribed circumstances;

126.10(k)(2)(iv), § 126.7(d), except § 126.7(d)(3) thereof - relatingto the inclusion in enrollment agreements of a reasonable adjustmentof tuition and other fees, and any refund policies;

126.10(k)(2)(v), § 126.7(e) - relating to the option to use the refundpolicy of a nationally recognized accrediting agency and the use of therefund policy required by federal law;

126.10(k)(2)(vi), § 126.7(g) - relating to the inclusion in the enroll-ment agreements of any refunds due;

126.10(k)(2)(vii), § 126.9(a)(8) - relating to inclusion in the schoolcatalog of a schedule of fees or charges;

126.10(k)(2)(viii), § 126.9(a)(9) - relating to the inclusion in theschool catalog of school policies and regulations governing the refundof any unused portion of tuition, fees and other charges in certain cir-cumstances;

126.10(k)(2)(ix), § 126.9(a)(13) - except that grant, scholarship, orother financial assistance to students which shall not expose thestudent to any tuition liability, if any, shall be included in such school’scatalog;

126.10(k)(2)(x), § 126.9(a)(18) - relating to the inclusion in theschool catalog of information about tuition refunds from the TuitionReimbursement Account (TRA);

126.10(k)(2)(xi), § 126.9(a)(19) - relating to the inclusion in theschool catalog of a weekly tuition liability chart;

126.10(k)(2)(xii), § 126.11(a)(10) - relating to the maintenance ofrecords of tuition, fees, public loans and grants, and their disburse-ment, by a school for seven years.

A regulatory flexibility analysis for local government and a ruralarea flexibility analysis may be required.

Dr. Richard A. Rose

Director, Bureau of Proprietary School Supervision

Office of Adult Career and Continuing Education Services

Room 560 EBA

(518) 474-3969

Richard.Rose@nysed.gov

OFFICE OF MANAGEMENT SERVICES

Amendment of Parts 187 and 188 to update regulations relating tothe inspection and copying of State Education Department recordsand to State Government Archives and Records Management. Aregulatory flexibility analysis and/or a rural area flexibility analysismay be required.

Alison Bianchi

Counsel and Deputy Commissioner for Legal Affairs

State Education Building Room 112

89 Washington Ave., Albany, NY 12234

(518) 474-6400

legal@nysed.gov

Department of Environmental Conservation

Introduction

Each year, pursuant to SAPA, the department publishes a Regula-tory Agenda in the State Register and on its website. This is a listingof the regulations that may be proposed for adoption or amendmentwithin that calendar year.

Division of Air Resources

6 NYCRR Part 201, Part 201 will be amended to make certain minorwording changes, correct typographical errors, and other minor cor-rections to ensure consistent implementation across regions. Thisrulemaking will require a Regulatory Flexibility Analysis for SmallBusinesses and Local Governments and a Rural Area FlexibilityAnalysis. Contact: Mark Lanzafame, NYS Department of Environ-mental Conservation, 625 Broadway, Albany, New York 12233-3255.Telephone: 518-402-8403. E-mail: air.regs@dec.ny.gov Please includethe Part number when emailing.

6 NYCRR Part 203, Oil and Gas Sector Emissions. This is a newregulation to reduce criteria pollutants and methane emissions fromthe oil and gas sector. This regulation will address and expand uponthe control technique guideline proposed by EPA. This rulemakingwill require a Regulatory Flexibility Analysis for Small Businessesand Local Governments and a Rural Area Flexibility Analysis.Contact: Ona Papageorgiou, NYS Department of Environmental Con-servation, 625 Broadway, Albany, NY 12233-3251. Telephone: 518-402-8396. E-mail: air.regs@dec.ny.gov Please include the Partnumber when emailing.

6 NYCRR Part 205, Architectural and Industrial MaintenanceCoatings. The existing regulation will be revised to include additionaland more restrictive volatile organic compound (VOC) limits. Thisrulemaking will require a Regulatory Flexibility Analysis for SmallBusinesses and Local Governments and a Rural Area FlexibilityAnalysis. Contact: Ona Papageorgiou, NYS Department of Environ-mental Conservation, 625 Broadway, Albany, NY 12233-3251.Telephone: 518-402-8396. E-mail: air.regs@dec.ny.gov Please includethe Part number when emailing.

6 NYCRR Part 218, Emissions Standards for Motor Vehicles andmotor Vehicle Engines. The Department is considering revisions to 6NYCRR Subpart 218-7, Aftermarket Parts, to clarify or amendaftermarket catalytic converter prohibitions that currently apply to1993, 1994, 1996 and subsequent model-year light and medium dutyvehicles. This rulemaking will require a Regulatory Flexibility Analy-sis for Small Businesses and Local Governments and a Rural AreaFlexibility Analysis. Contact: Jeff Marshall, NYS Department ofEnvironmental Conservation, 625 Broadway, Albany, New York12233-3255. Telephone: 518-402-8292. E-mail: air.regs@dec.ny.govPlease include the Part number when emailing.

6 NYCRR Part 219, Incinerators. Existing Subpart 219-4 will beamended to better reflect the current state of cremation technologyand reduce emissions of particulate matter from new crematoriesconstructed in the state. In addition, Division of Air will sunset exist-ing Subparts 219-5 and 219-6 by requiring that existing units subjectto these requirements be regulated by more stringent standards. Thisrulemaking will require a Regulatory Flexibility Analysis for SmallBusinesses and Local Governments and a Rural Area FlexibilityAnalysis. Contact: Mark Lanzafame, NYS Department of Environ-mental Conservation, 625 Broadway, Albany, New York 12233-3255.Telephone: 518-402-8403. E-mail: air.regs@dec.ny.gov Please includethe Part number when emailing.

6 NYCRR Subpart 225-2, Fuel Composition and Use - Waste Fuel.The existing regulation will be revised to remove ‘‘out-of-date’’regulatory references, correct typographical errors, update the wasteoil constituent limits, remove ‘‘out-of-date’’ work practices, expandthe number of facilities allowed to burn waste oil, and update the ruleto compliment Title V criteria. Subpart 225-2 has been proposed andnoticed for public comment. This rulemaking required a RegulatoryFlexibility Analysis for Small Businesses and Local Governments anda Rural Area Flexibility Analysis. Contact: Mike Jennings, NYSDepartment of Environmental Conservation, 625 Broadway, Albany,New York 12233-3255. Telephone: 518-402-8403. E-mail:air.regs@dec.ny.gov Please include the Part number when emailing.

6 NYCRR Part 226, Solvent Metal Cleaning Processes. The exist-ing regulation will be amended to remove “out-of-date” regulatoryreferences, update work practices, and establish requirements thatmeet the federal control techniques guideline (CTG) for industrialcleaning solvents. This rulemaking will require a Regulatory Flex-ibility Analysis for Small Businesses and Local Governments and a

Rural Area Flexibility Analysis. Contact: John Henkes, NYS Depart-ment of Environmental Conservation, 625 Broadway, Albany, NewYork 12233-3255. Telephone: 518-402-8403. E-mail:air.regs@dec.ny.gov Please include the Part number when emailing.

6 NYCRR Subpart 227-1, Stationary Combustion Installations. Theexisting regulation will be revised to remove ‘‘out-of-date’’ regulatoryreferences, correct typographical errors, and update the permissibleemission rates for particulate matter for both solid and liquid fuels.This rulemaking will require a Regulatory Flexibility Analysis forSmall Businesses and Local Governments and a Rural Area FlexibilityAnalysis. Contact: Mike Jennings, NYS Department of EnvironmentalConservation, 625 Broadway, Albany, New York 12233-3255.Telephone: 518-402-8403. E-mail: air.regs@dec.ny.gov Please includethe Part number when emailing.

6 NYCRR Subpart 227-2, NOx RACT. A review of the NOx emis-sion limits for peaking turbines will be conducted. This rulemakingwill require a Regulatory Flexibility Analysis for Small Businessesand Local Governments and a Rural Area Flexibility Analysis.Contact: Ona Papageorgiou, NYS Department of Environmental Con-servation, 625 Broadway, Albany, NY 12233-3251. Telephone: 518-402-8396. E-mail: air.regs@dec.ny.gov Please include the Partnumber when emailing.

6 NYCRR Part 230, Gasoline Dispensing Sites and TransportVehicles. The existing rule will be amended to update and clarify test-ing requirements for gasoline dispensing sites (gas stations) and toconform more closely with new federal requirements and guidance.The proposed changes will also require prior notification to the Depart-ment for each test; as well as new vapor leak detection equipment; andremove Stage II requirements. This rulemaking will require a Regula-tory Flexibility Analysis for Small Businesses and Local Governmentsand a Rural Area Flexibility Analysis. Contact: Denise Prunier, NYSDepartment of Environmental Conservation, 625 Broadway, Albany,New York 12233-3255. Telephone: 518-408-5574. E-mail:air.regs@dec.ny.gov Please include the Part number when emailing.

6 NYCRR Part 232, Perchloroethylene Dry Cleaning Facilities. Theexisting regulation will be retitled as ‘‘Dry Cleaning Facilities’’ andupdated for consistency with federal requirements and amended toimprove compliance and program delivery; reduce perc and alterna-tive solvent emissions to the environment; address advancements intechnology and changes in the industry regarding the use of alterna-tive dry cleaning solvents; and finally prohibit the use of perc in drycleaning machines after December 31, 2027. This rulemaking willrequire a Regulatory Flexibility Analysis for Small Businesses andLocal Governments and a Rural Area Flexibility Analysis. Contact:Eric Wade, NYS Department of Environmental Conservation, 625Broadway, Albany, New York 12233-3255. Telephone: 518-402-8403.E-mail: air.regs@dec.ny.gov Please include the Part number whenemailing.

6 NYCRR Part 235, Consumer Products. The existing regulationwill be updated to implement additional Volatile Organic Compound(VOC) product content limits. This rulemaking will require a Regula-tory Flexibility Analysis for Small Businesses and Local Governmentsand a Rural Area Flexibility Analysis. Contact: Kenneth Newkirk,NYS Department of Environmental Conservation, 625 Broadway,Albany, NY 12233-3251. Telephone: 518-402-8396. E-mail:air.regs@dec.ny.gov Please include the Part number when emailing.

6 NYCRR Part 242, CO2 Budget Trading Program. The regulationwill be amended, as necessary and appropriate, to incorporate revi-sions to comply with the Environmental Protection Agency’s ‘‘CarbonPollution Emission Guidelines for Existing Stationary Sources:Electric Utility Generating Units’’ and/or consistent with the RegionalGreenhouse Gas Initiative’s 2016 Program Review. This rulemakingwill require a Regulatory Flexibility Analysis for Small Businessesand Local Governments and a Rural Area Flexibility Analysis. ContactMichael Sheehan, P.E., NYS Department of Environmental Conserva-tion, 625 Broadway, Albany, NY 12233-3251, Telephone: 518-402-8396. E-mail: air.regs@dec.ny.gov Please include the Part numberwhen emailing.

6 NYCRR Parts 243, 244, 245, Transport Rule. These existingregulations will be updated to fully incorporate the Cross State Air

Pollution Rule adopted by the Environmental Protection Agency intothe New York State Implementation Plan. This rulemaking will requirea Regulatory Flexibility Analysis for Small Businesses and LocalGovernments and a Rural Area Flexibility Analysis. Contact: MarieBarnes, NYS Department of Environmental Conservation, 625Broadway, Albany, NY 12233-3251. Telephone: 518-402-8396.E-mail: air.regs@dec.ny.gov Please include the Part number whenemailing.

6 NYCRR Part 247, Outdoor Wood Boilers. The existing regulationwill be updated to conform to the emission standards and certificationrequirements of the federal NSPS rule. This rulemaking will require aRegulatory Flexibility Analysis for Small Businesses and LocalGovernments and a Rural Area Flexibility Analysis. Contact: KennethNewkirk, NYS Department of Environmental Conservation, 625Broadway, Albany, NY 12233-3251. Telephone: 518-402-8396.E-mail: air.regs@dec.ny.gov Please include the Part number whenemailing.

Division of Environmental Permits

6 NYCRR, Part 621, Uniform Procedure Act (UPA). Part 621 waslast amended on October 14, 2009. Since that time several statutes andregulations that interface with Part 621 have been changed oramended. The Division of Environmental Permits proposes to updatethe main text of Part 621. Several minor changes and updates areproposed to align the text with the revised regulations. Also severalminor clarifications and corrections are proposed to correct inaccuratereferences and clarify permitting procedures. This rulemaking willrequire a Regulatory Flexibility Analysis for Small Businesses andLocal Governments and a Rural Area Flexibility Analysis. Contact:Kent Sanders, NYS Department of Environmental Conservation, 625Broadway, 4th Floor, Albany, NY 12233-1750. Telephone: 518-402-9168. E-mail: deppermitting@dec.ny.gov Please include the Partnumber when emailing.

6 NYCRR Part 617, State Environmental Quality Review Act(SEQR). The Division of Environmental Permits proposes to amendthe main text of Part 617. The purpose of the revisions is to streamlinethe SEQR process without sacrificing meaningful environmentalreview. The revisions would modify the Type I and Type II lists of ac-tions, as well make other changes to the SEQR process. More infor-mation about the expected changes could be found at http://www.dec.ny.gov/permits/83389.html. This rulemaking will require aRegulatory Flexibility Analysis for Small Businesses and LocalGovernments and a Rural Area Flexibility Analysis. Contact: KentSanders, Department of Environmental Conservation, 625 Broadway,4th Floor, Albany, NY 12233-1750. Telephone: 518-402-9167. E-mail:deppermitting@dec.ny.gov Please include the Part number whenemailing.

Division of Environmental Remediation

6 NYCRR Parts 370, 371, 372, 373, 374, and 376, Hazardous WasteManagement Regulations (‘FedReg5’). This rule making will incorpo-rate, as appropriate, (1) federal rules from January 2002 to present; (2)changes related to Standards for Hazardous Air Pollutants for Hazard-ous Waste Combustors (MACT rules) from September 1999 to pre-sent; and (3) State-initiated changes, including clarification oflanguage and corrections of errors found in the regulations. Thisrulemaking will require a Regulatory Flexibility Analysis for SmallBusinesses and Local Governments, and a Rural Area FlexibilityAnalysis. Contact: Michelle Ching, New York State Department ofEnvironmental Conservation, Division of Environmental Remedia-tion, 625 Broadway, Albany, NY 12233-7020. Telephone: 518-402-9553. E-mail: hwregs@dec.ny.gov. Please include ‘FedReg5’ in thesubject line when emailing.

6 NYCRR Parts 370, 371, 372, 373, 374 and 376, Hazardous WasteManagement Regulations (‘FedReg6’). This rulemaking will incorpo-rate, as appropriate, four federal rules that were adopted between July31, 2013 and January 13, 2015, which are: (1) Solvent-ContaminatedWipes Rule, published in Federal Register on July 31, 2013, whichmodifies provisions for laundering and reuse that are currentlyadministered by Program Policy DSW-HW-03-09, ‘Regulatory Statusof Laundered Industrial Rags and Soiled Clothing;’ (2) CarbonDioxide Sequestration Rule, published in Federal Register on January

3, 2014, which provides a conditional exclusion for carbon dioxidestreams in geological sequestration activities; (3) Electronic ManifestRule, published in Federal Register on February 7, 2014, whichprovides the legal and policy framework to authorize use of electronicmanifests; and (4) Definition of Solid Waste Rule, published in theFederal Register on October 30, 2008 and revised on January 13, 2015.Standards for the Management of Used Oil (6 NYCRR Subpart 374-2)may also be amended. This rulemaking will require a Regulatory Flex-ibility Analysis for Small Businesses and Local Governments, and aRural Area Flexibility Analysis. Contact: Michelle Ching, New YorkState Department of Environmental Conservation, Division ofEnvironmental Remediation, 625 Broadway, Albany, NY 12233-7020.Telephone: 518-402-9553. E-mail: hwregs@dec.ny.gov. Pleaseinclude ‘FedReg6’ in the subject line when e-mailing.

6 NYCRR Part 375 (Subparts 375-1 to 375-4, and 375-6), Environ-mental Remediation Programs. DEC proposes to amend subparts375-1 to 375-4, and 375-6 to: (1) provide additional direction for is-sues that have been encountered since the rule was promulgated inDecember 2006; (2) provide additional guidance on processes so as topromote uniformity and consistency; (3) incorporate provisions asspecified in Part BB of Chapter 56 of the Laws of 2015 as they pertainto the Environmental Remediation Programs in Part 375; (4) incorpo-rate soil cleanup objective (SCO) changes, if any, resulting from thestatutorily required five year review; (5) add or revise multiple provi-sions to clarify issues that have arisen in the Brownfield CleanupProgram in the course of implementing the program since 2006; (6)make necessary revisions of provisions applicable to the StateSuperfund Program, including, but not limited to, possibly clarifyingthe definition of “significant threat;” (7) encourage the incorporationof sustainable remediation and development techniques into cleanupprojects covered by this rule; and (8) correct scrivener’s errors thathave caused inconsistencies and created confusion, replace accidentalomissions, and insert clarifications required for amendments to theseregulations. This rule making will require a Regulatory FlexibilityAnalysis for Small Businesses and Local Governments and a RuralArea Flexibility Analysis. Contact: William Ottaway, New York StateDepartment of Environmental Conservation, Division of Environmen-tal Remediation, 625 Broadway, Albany, NY 12233-7020. Telephone:518-402-9553. E-mail: derweb@dec.ny.gov. Please include ‘Part 375’in the subject line when e-mailing.

6 NYCRR Part 380, Prevention and Control of Environmental Pol-lution by Radioactive Materials. This rule making will amend the Part380 regulations to incorporate federal rule changes. In addition, sev-eral corrections and revisions not related to the federal rules will bedone, including: clarifying the regulations in a number of areas suchas standards for issuance of a Part 380 permit and language in thevariance provision; elimination of redundant provisions; and deletionof obsolete provisions. This rule making will require a RegulatoryFlexibility Analysis for Small Businesses and Local Governments,and a Rural Area Flexibility Analysis. Contact: Sandra Hinkel, NewYork State Department of Environmental Conservation, Division ofEnvironmental Remediation, 625 Broadway, Albany, New York12233-7255. Telephone: 518-402-9625. E-mail:Regs.Radiation@dec.ny.gov Please include ‘Part 380’ in the subjectline when e-mailing.

6 NYCRR Part 384, Cleanup Criteria for Remediation of Sites Con-taminated with Radioactive Material. This rule is being developed toadopt applicable sections of the federal Nuclear Regulatory Commis-sion’s (NRC) License Termination Rule (LTR), which establishescleanup criteria for radiologically contaminated sites, and the Timeli-ness of Decommissioning Rule, which outlines necessary steps for theplanning and implementing of site cleanups. Program staff arecoordinating adoption of these rules with the New York State Depart-ment of Health and the New York City Department of Health andMental Hygiene to ensure compatibility, as they also have to adopt ap-plicable sections of these federal rules. This rule making will require aRegulatory Flexibility Analysis for Small Businesses and LocalGovernments, and a Rural Area Flexibility Analysis. Contact: TimothyRice, New York State Department of Environmental Conservation,Division of Environmental Remediation, 625 Broadway, Albany, NY12233-7255. Telephone: 518-402-8579. E-mail:

Regs.Radiation@dec.ny.gov Please include ‘Part 384’ in the subjectline when e-mailing.

6 NYCRR Part 483, Hazardous Waste Program Fees. This rule mak-ing will amend Part 483 to incorporate statutory changes made to theHazardous Waste Program Fees in Environmental Conservation Lawsection 72-0402. This rule making will require a Regulatory Flex-ibility Analysis for Small Businesses and Local Governments and aRural Area Flexibility Analysis. Contact: Laura Zeppetelli, New YorkState Department of Environmental Conservation, Division ofEnvironmental Remediation, 625 Broadway, Albany, New York12233-7012. Telephone: 518-402-9764. E-mail: derweb@dec.ny.govPlease include ‘Part 483’ in the subject line when e-mailing.

6 NYCRR Parts 596, 597, 598, and 599, Chemical Bulk StorageRegulations. In this second phase of rule making for revisions to theChemical Bulk Storage (CBS) regulations, DEC proposes to repealParts 596, 597, 598, and 599 and replace them with a new Part 598 to:(1) achieve equivalency with 40 CFR Part 280 (Underground StorageTank regulations), which is needed in order for the State to receivedelegation from U.S. Environmental Protection Agency (EPA) byincorporating new requirements from the federal regulations that theEPA promulgated in their July 2015 rule making; and (2) incorporateState-initiated changes pertaining to the administration of the CBSprogram and its consistency with the Petroleum Bulk Storage program,where applicable. This rule making will require a Regulatory Flex-ibility Analysis for Small Businesses and Local Governments and aRural Area Flexibility Analysis. Contact: Russ Brauksieck, New YorkState Department of Environmental Conservation, Division ofEnvironmental Remediation, 625 Broadway, Albany, New York12233-7020. Telephone: 518-402-9553. E-mail: derweb@dec.ny.govPlease include ‘Part 598’ in the subject line when e-mailing.

6 NYCRR Part 597, Hazardous Substances Identification, ReleaseProhibition, and Release Reporting. This rule making will make per-manent the Emergency Adoption that was filed with the Departmentof State (DOS) on April 25, 2016 to amend Part 597 to add (1) fournew hazardous substances to Section 597.3, List of Hazardous Sub-stances; and (2) new language in Section 597.4(a), Prohibition ofReleases. An emergency re-adoption is temporary for 60 days andsubsequent Notices of Emergency Adoption will be filed with DOSuntil this rule making is completed. This rule making requires aRegulatory Flexibility Analysis for Small Businesses and LocalGovernments and a Rural Area Flexibility Analysis. Contact: RussBrauksieck, New York State Department of Environmental Conserva-tion, Division of Environmental Remediation, 625 Broadway, Albany,New York 12233-7020. Telephone: 518-402-9553. E-mail:derweb@dec.ny.gov Please include ‘Part 597’ in the subject line whene-mailing.

6 NYCRR Part 610, Certification of Onshore Major Facilities [Ma-jor Oil Storage Facility (MOSF) Regulations]. DEC proposes to repealand replace Part 610 to: (1) incorporate appropriate language from theNew York State Department of Transportation regulations, 17 NYCRRParts 30, 31 and 32, that pertains to the administration of the MOSFprogram, which has been solely handled by DEC since 1985; (2) repeal17 NYCRR Parts 30, 31 and 32; (3) improve the consistency and clar-ity of language directing the administration of the MOSF program,which will make explicit in regulation the procedures set forth in DECProgram Policy DER-11, Procedures for Licensing Onshore Major OilStorage Facilities; and (4) enhance monitoring, maintenance, proce-dures, and equipment requirements to prevent leaks and spills. Thisrule making will require a Regulatory Flexibility Analysis for SmallBusinesses and Local Governments and a Rural Area FlexibilityAnalysis. Contact: Russ Brauksieck, New York State Department ofEnvironmental Conservation, Division of Environmental Remedia-tion, 625 Broadway, Albany, New York 12233-7020. Telephone: 518-402-9553. E-mail: derweb@dec.ny.gov Please include ‘Part 610’ inthe subject line when e-mailing.

6 NYCRR Part 611, Environmental Priorities and Procedures in Pe-troleum Cleanup and Removal. DEC proposes to repeal and replacePart 611 to incorporate requirements from Article 12 of the Naviga-tion Law, which prohibits the discharge of petroleum and provides forcleanup and removal of any petroleum discharge. Part 611 needs to berevised to achieve equivalency with 40 CFR Part 280 (Underground

Storage Tank regulations), which is needed in order for the State toreceive delegation from EPA. This rule making will require a Regula-tory Flexibility Analysis for Small Businesses and Local Governmentsand a Rural Area Flexibility Analysis. Contact: Kevin Hale, New YorkState Department of Environmental Conservation, Division ofEnvironmental Remediation, 625 Broadway, Albany, New York12233-7020. Telephone: 518-402-9553. E-mail: derweb@dec.ny.govPlease include ‘Part 611’in the subject line when e-mailing.

6 NYCRR Part 613, Petroleum Bulk Storage Regulations. In thissecond phase of rule making for revisions to the Petroleum Bulk Stor-age (PBS) regulations, DEC proposes to amend Part 613 to: (1)achieve equivalency with 40 CFR Part 280 (Underground StorageTank regulations), which is needed in order for the State to receivedelegation from EPA by incorporating new requirements from thefederal regulations that the EPA promulgated in their July 2015 rulemaking; and (2) incorporate State-initiated changes pertaining to theadministration of the PBS program and its consistency with the CBSprogram, where applicable. This rule making will require a Regula-tory Flexibility Analysis for Small Businesses and Local Governmentsand a Rural Area Flexibility Analysis. Contact: Russ Brauksieck, NewYork State Department of Environmental Conservation, Division ofEnvironmental Remediation, 625 Broadway, Albany, New York12233-7020. Telephone: 518-402-9553. E-mail: derweb@dec.ny.govPlease include ‘Part 613’ in the subject line when e-mailing.

Division of Fish and Wildlife

6 NYCRR Part 1, Hunting Regulations for Deer and Bear. DEC isproposing to amend multiple sections of Part 1 to increase hunter op-portunity and improve management effectiveness in areas withoverabundant deer populations by establishing new muzzleloaderseasons in some Wildlife Management Units, lengthening huntingseasons in bowhunting-only units and Deer Management Focus Areas.These amendments may require a Regulatory Flexibility Analysis forSmall Businesses or a Rural Area Flexibility Analysis. Contact:Jeremy Hurst, NYS Department of Environmental Conservation, 625Broadway, Albany, New York 12233-4754. Telephone: 518-402-8883.E-mail: wildliferegs@dec.ny.gov Please include the Part number whenemailing.

6 NYCRR Part 1, Section 1.31, Hunting black bear. DEC is propos-ing to add three Wildlife Management Units (4O, 4S, and 4W) to thelist of units included in the Southern Zone Early Bear Season. Theseamendments may require a Regulatory Flexibility Analysis for SmallBusinesses and Local Governments or a Rural Area FlexibilityAnalysis. Contact: Jeremy Hurst, NYS Department of EnvironmentalConservation, 625 Broadway, Albany, New York 12233-4754.Telephone: 518-402-8883. E-mail: wildliferegs@dec.ny.gov Pleaseinclude the Part number when emailing.

6 NYCRR Part 2, Section 2.1 Hunting hours for deer and bear. TheDepartment is proposing to expand hunting hours for deer and bear to30 minutes before sunrise and 30 minutes after sunset. These amend-ments may require a Regulatory Flexibility Analysis for Small Busi-nesses or a Rural Area Flexibility Analysis. Contact: Jeremy Hurst,NYS Department of Environmental Conservation, 625 Broadway,Albany, New York 12233-4754. Telephone: 518-402-8883. E-mail:wildliferegs@dec.ny.gov Please include the Part number whenemailing.

6 NYCRR Part 2, Section 2.2, Hunting small game mammals andPart 6, Section 6.2, Mink, muskrat, raccoon, opossum, weasel, redfox, gray fox, skunk, coyote, fisher, bobcat and pine marten trappingseasons and bag limits. The Department is proposing to revise 6NYCRR Subparts 2.2 and 6.2 to modify the requirement for a specialpermit to hunt or trap bobcats within the “harvest expansion area” inselect Wildlife Management Units (WMUs) in central and westernNew York including WMUs 3R, 3S, 4A, 4F, 4O, 5R, 6R, 6S, 7S, 8T,8W, 8X, 8Y, 9J, 9K, 9M, 9N, 9P, 9R, 9S, 9T, 9W, 9X, and 9Y. Theseamendments may require a Regulatory Flexibility Analysis for SmallBusinesses and Local Governments and a Rural Area FlexibilityAnalysis. Contact: Michael Schiavone, NYS Department of Environ-mental Conservation, 625 Broadway, Albany, New York 12233-4754.Telephone: 518-402-8883. E-mail: wildliferegs@dec.ny.gov Pleaseinclude the Part number when emailing.

6 NYCRR Part 3, Section 3.1, Diamondback terrapins. The Depart-ment is proposing to revise 6 NYCRR Subpart 3.1 to close the currentopen season for harvesting this species. This rulemaking will require aRegulatory Flexibility Analysis for Small Businesses and LocalGovernments and a Rural Area Flexibility Analysis. Contact: DanRosenblatt, NYS Department of Environmental Conservation, 625Broadway, Albany, New York 12233-4754. Telephone: 518-402-8883.E-mail: wildliferegs@dec.ny.gov Please include the Part number whenemailing.

6 NYCRR Part 10 - Sportfishing Regulations. Every two years DECmakes needed adjustments to freshwater sportfishing regulations forthe purposes of keeping the regulations up to date and current withmanagement needs (including individual waters) and to provide forangling opportunity. The amendment of these regulations is necessaryto adjust for meeting management needs, and to include appropriateadjustments to seasons, creel limits, and size limits. A Regulatory Ini-tiation Memorandum will be prepared approximately December 2017/January 2018. Regulation changes, once finally adopted wouldbecome effective on 4/1/19. This amendment may require a Regula-tory Flexibility Analysis for Small Businesses or a Rural Area Flex-ibility Analysis. Contact: Edward Woltmann, New York State Depart-ment of Environmental Conservation, Bureau of Fisheries, 625Broadway, Albany, NY 12233. Telephone: 518-402-8893. E-mail:ed.woltmann@dec.ny.gov

6 NYCRR Part 36.2 – Commercial fishing in Lake Erie and LakeOntario. Regulations governing commercial fishing on lakes Erie andOntario are overly complicated due to numerous revisions that havecreated conflicts and redundancy, requiring additional and unneces-sary administrative burdens. In addition, some regulations areincompatible with current recreational fisheries managementprinciples. Amending these regulations is necessary to reduce admin-istrative burdens, modernize regulations to reflect recreational fisher-ies management needs, establish standards for reviewing new com-mercial trap net license applications for Lake Erie, and eliminateunnecessary complexity and redundancies. This amendment mayrequire a Regulatory Flexibility Analysis for Small Businesses and aRural Area Flexibility Analysis. Contact: Steve LaPan, New York StateDepartment of Environmental Conservation, Bureau of Fisheries, P.O.Box 292, Cape Vincent, NY 13618. Telephone: 315 654 2147. E mail:steven.lapan@dec.ny.gov

6 NYCRR Parts 151, 153, 170, 174 and 182. Amendments to theseregulations would be done as one package.

6 NYCRR Part 151, Propagation and Sale of Fur-Bearing Animals.The Department is proposing to amend 6 NYCRR Part 151 to bringthe regulations current with changes to ECL 11-1907, which becameeffective in April 2012. The statutory language now states that thedepartment shall not issue any new licenses after April 1, 2012. Theregulatory changes will provide for continued licensing of currentlylicensed individuals and will prohibit the issuance of new licenses.This amendment may require a Regulatory Flexibility Analysis forSmall Businesses and Local Governments but not a Rural Area Flex-ibility Analysis.

6 NYCRR Part 153, Preserve Licenses. The Department is propos-ing to amend 6 NYCRR Part 153 to bring the regulations current withchanges to multiple Sections of the ECL. The statutory language hasremoved the requirement for marking domestic game species with aDepartment provided tag and has extended the shooting season autho-rized for shooting preserve licenses. The regulatory changes willremove the carcass tagging requirements in Section 153.1 and willextend the shooting season as allowed in Section 153.2. In addition,the requirement for submission of an annual report will be removedfrom Section 153.1.

6 NYCRR Sections Part 170.1 and 170.3, Miscellaneous Licenses.The Department is proposing to amend 6 NYCRR Sections 170.1 and170.3 to remove the $1 fee for licenses issued for the importation offish or wildlife from without to within the state.

6 NYCRR Part 174, Sale of Live Birds. The Department is propos-ing to amend 6 NYCRR Part 174 to simplify the regulatory languageand to clearly state for what purposes a license is required. Part 174will be repealed in its entirety and a new Part 174 will be written.

Changes will also include the removal of the records retention require-ment in 174.3(c). This amendment may require a Regulatory Flex-ibility Analysis for Small Businesses but not a Rural Area FlexibilityAnalysis.

6 NYCRR Part 182, Endangered and Threatened Species of Fishand Wildlife; Species of Special Concern; Incidental Take Permits.The Department is proposing to rewrite 182.8 to clarify and simplifylanguage in regard to the issuance of certain special licenses associ-ated with the possession, sale and transport of endangered species andparts thereof; and to add special provisions for licensing the sale anddistribution of elephant and mammoth ivory and rhinoceros horn asprovided in enabling statute ECL 11-0535-a. This amendment mayrequire a Regulatory Flexibility Analysis for Small Businesses but nota Rural Area Flexibility Analysis.

Contact: Joseph Therrien, New York State Department of Environ-mental Conservation, Division of Fish and Wildlife, 625 Broadway,Albany, NY 12233-4752. Telephone: 518-402-8985. E-mail:joseph.therrien@dec.ny.gov Please include the Part number whenemailing.

6 NYCRR Part 177, Sporting License Issuance and Use. Amendcurrent regulations to update proof of qualifications for certain licen-ses to be consistent with updated procedures and potential changesnecessary to issue sporting licenses as part of a statewide, shared ser-vices electronic licensing system that is currently under development.Also, amend current regulations concerning the description of whatconstitutes a license issued by DEC to allow for electronic sporting li-censes to be carried and presented via electronic device(s). Thisamendment may require a Regulatory Flexibility Analysis for SmallBusinesses or a Rural Area Flexibility Analysis Contact: Mary Bailey,New York State Department of Environmental Conservation, Divisionof Fish and Wildlife, 625 Broadway, Albany, NY 12233-4750,Telephone: 518-402-8869. E-mail: mary.bailey@dec.ny.gov

6 NYCRR Part 180, Section 180.1, Wildlife Dangerous to Health orWelfare. The Department is proposing to amend 6 NYCRR Section180.1 or promulgate a new regulation to address statutory require-ments of ECL 11-0511, 11-0512, and 11-0103(6)(e)(5). The statutorylanguage in ECL 11-0512 and 11-0103(6)(e)(5) provides the op-portunity for the private possession of animals that are or should beconsidered too dangerous for possession outside of bona fide zoologi-cal gardens. In addition, pursuant to ECL 11-0511, the proposedamendments to Section 180.1 will provide a list of species that havebeen found to be too dangerous to the public or to the fish and wildliferesources of the state to be possessed in any facility except a bona fidezoological garden certified by the Association of Zoos and Aquariums.This amendment may require a Regulatory Flexibility Analysis forSmall Businesses and a Rural Area Flexibility Analysis. Contact:Joseph Therrien, New York State Department of Environmental Con-servation, Division of Fish and Wildlife, 625 Broadway, Albany, NY12233-4752. Telephone: 518-402-8985. E-mail:joseph.therrien@dec.ny.gov Please include the Section number whenemailing.

6 NYCRR Part 180, Section 180.3 Definition and use of firearms,guns, and airguns. DEC is proposing to modify a proposed rule todefine the terms “big bore air rifle” and “air bow” to authorize theiruse for hunting big game. The revised rulemaking may require aRegulatory Flexibility Analysis for Small Businesses or a Rural AreaFlexibility Analysis. Contact: Jeremy Hurst, NYS Department ofEnvironmental Conservation, 625 Broadway, Albany, New York12233-4754. Telephone: 518-402-8883. E-mail:wildliferegs@dec.ny.gov Please include the Part number when email-ing

6 NYCRR Part 180, Section 180.6. Free sport fishing days. Theamendment will specifically designate 6 additional free fishing daysthat were authorized under Environmental Conservation Law 11-0305(14). Proposed days are: Presidents Day Weekend (February),3rd weekend in May, National Hunting and Fishing Day (4th Saturdayin September) and Veterans Day (November 11th). Providing specificdays will allow DEC to more effectively promote these free fishingopportunities, ultimately increasing public participation. This amend-ment may require a Regulatory Flexibility Analysis for Small Busi-

nesses and a Rural Area Flexibility Analysis. Contact: Joelle Ernst,New York State Department of Environmental Conservation, Bureauof Fisheries, 625 Broadway, Albany, NY 12233. Telephone: 518-402-8891. E-mail: joelle.ernst@dec.ny.gov

6 NYCRR Part 186, Deer feeding. DEC is proposing adoption of anew regulation (6 NYCRR Part 186) to strengthen the general prohi-bition on feeding of deer, and to institute an integrated pest manage-ment (IPM) requirement for the use of 4-Poster Tickicide™. Theseamendments may require a Regulatory Flexibility Analysis for SmallBusinesses and Local Governments or a Rural Area FlexibilityAnalysis. Contact: Jeremy Hurst, NYS Department of EnvironmentalConservation, 625 Broadway, Albany, New York 12233-4754.Telephone: 518-402-8883. E-mail: wildliferegs@dec.ny.gov Pleaseinclude the Part number when emailing.

6 NYCRR Part 189, Chronic Wasting Disease. Statutory Authority:ECL 3-0301, 11-0325, and 11-1905. These amendments are necessaryto strengthen disease prevention measures to prevent the introductionor spread of Chronic Wasting Disease (CWD) in New York. TheDepartment is proposing to prohibit the importation of certain infec-tious parts of CWD-susceptible cervids, to prohibit the use of urine orproducts containing urine from CWD-susceptible cervids while hunt-ing, to increase testing of CWD-susceptible cervids held under licen-ses issued by DEC and to increase monitoring of activities that pose athreat of CWD introduction or spread in New York. These amend-ments may require a Regulatory Flexibility Analysis for Small Busi-nesses or a Rural Area Flexibility Analysis. Contact: Vicky Wagen-baugh, NYS Department of Environmental Conservation, Division ofFish and Wildlife, 625 Broadway, Albany, NY 12233-4754, Telephone:518-402-8883. Email: wildliferegs@dec.ny.gov Please include thePart number when emailing.

Pending adoption of Part 186, the Department will also proposerepealing existing sections of Part 189 (189.3 [b] and [c] pertaining tothe feeding of wild deer) to avoid confusion with the new Part 186.

6 NYCRR Part 182, Endangered and threatened species of fish andwildlife; species of special concern; incidental take permits. TheDepartment is proposing to revise 6 NYCRR Subparts 182.2, 182.5,182.7, 182.8 and 182.13 as part of three separate rule makings:(1)Threatened and Endangered species list revision; (2) Jurisdictionaldetermination and permit process improvement; (3) Special licensesimprovements to address possession of non-native, federally listedspecies and parts derived therefrom. This rulemaking will require aRegulatory Flexibility Analysis for Small Businesses and LocalGovernments and a Rural Area Flexibility Analysis. Contact: DanRosenblatt, NYS Department of Environmental Conservation, 625Broadway, Albany, New York 12233-4754. Telephone: 518-402-8883.E-mail: wildliferegs@dec.ny.gov Please include the Part number whenemailing.

Office of Climate Change

6 NYCRR Part 492, Climate Smart Community Projects. StatutoryAuthority: Environmental Conservation Law, § 54-1501 - 54-1523.This new regulation will establish the eligible expenditures andprocedures for governing the commitment and disbursement of fundsassociated with this title. Additionally the regulations will include ap-plication procedures, review processes, and project approval guide-lines and criteria. This rulemaking will require a Regulatory Flex-ibility Analysis for Small Businesses and Local Governments, a RuralArea Flexibility Analysis, and a Jobs Impact Statement. Contact: Of-fice of Climate Change, NYS Department of Environmental Conser-vation, 625 Broadway, Albany, NY 12233-1030; phone: 518 402-8448; email climatechange@dec.ny.gov please include part number inthe subject line when e-mailing.

Office of Hearings and Mediation Services

6 NYCRR Part 622, Uniform Enforcement Hearing Procedures.The Office of Hearings and Mediation Services proposes to clarifyprocedures governing default procedures and motions for orderwithout hearing, and make various typographical, technical and re-lated corrections throughout. This rulemaking may require a Regula-tory Flexibility Analysis for Small Businesses, and a Rural RegulatoryFlexibility Analysis. Contact: James T. McClymonds, Chief Adminis-trative Law Judge, New York State Department of Environmental

Conservation, Office of Hearings and Mediation Services, 625Broadway, First Floor, Albany, New York 12233-1550. E-mail:james.mcclymonds@dec.ny.gov

6 NYCRR Part 624, Permit Hearing Procedures. The Office ofHearings and Mediation Services proposes to amend proceduresgoverning issues conferences and interim appeals to the Commis-sioner from issues rulings by the Administrative Law Judges, to clarifythe procedures governing motion practice, to establish proceduresgoverning trade secrets and other confidential information in adjudica-tory hearings, to revise certain definitions and to make varioustypographical, technical and related corrections. This rulemaking mayrequire a Regulatory Flexibility Analysis for Small Businesses, and aRural Regulatory Flexibility Analysis. Contact: Louis A. Alexander,New York State Department of Environmental Conservation, Officeof Hearings and Mediation Services, 625 Broadway, 14th Floor,Albany, New York 12233-1010. E-mail: louis.alexander@dec.ny.gov

Division of Lands and Forests

6 NYCRR Part 190, Use of State Lands, Lake Placid to Tupper LakeRecreational Trail. These regulations will guide the management ofthis recreational corridor. Contact: Francis Sheehan, NYS Departmentof Environmental Conservation, Division of Lands and Forests, 625Broadway, Albany, NY 12233-4250, Telephone: 518 402-9409,E-mail: francis.sheehan@dec.ny.gov

6 NYCRR Part 190, Use of State Lands. Amend section 190.26,Hemlock-Canadice State Forest (Livingston-Ontario State Reforesta-tion Area No.1). These regulations will amend the existing regulationsby applying further restrictions on public use to protect the public wa-ter supply since Hemlock and Canadice lakes are a direct source ofpublic water for the city of Rochester and other communities. Contact:Robert Messenger, NYS Department of Environmental Conservation,Division of Lands and Forests, 625 Broadway, Albany, NY 12233-4255, Telephone: 518 402-9428, E-mail:robert.messenger@dec.ny.gov

6 NYCRR Part 190, Lower Salmon River State Forest. Adopt a newsection. These regulations are needed to control public use on lands tobe acquired by the Department along the Salmon River in OswegoCounty. Because of the uniqueness of the area and its uses, specificregulations for the state forest will be developed that are not addressedin the existing Part 190 general regulations. Contact: Robert Mes-senger, NYS Department of Environmental Conservation, Division ofLands and Forests, 625 Broadway, Albany, NY 12203-4255,Telephone: 518 402-9428, E-mail: robert.messenger@dec.ny.gov

6 NYCRR Part 190, Use of State Lands. Amend section 190.10,Unique Areas to include a new section, Rush Oak Openings UniqueArea. These regulations will protect the unique area by prohibitingcertain activities on the property. Contact: Robert Messenger, NYSDepartment of Environmental Conservation, Division of Lands andForests, 625 Broadway, Albany, NY 12233-4255, Telephone: 518 402-9428, E-mail: robert.messenger@dec.ny.gov

6 NYCRR Part 510, Unmanned Aircraft. Adopt a new Part 510 tocontrol, track and manage the use of unmanned aircraft systems alsoreferred to as drones on Department of Environmental Conservationowned lands and waters. Contact: Scott McDonnell, NYS Departmentof Environmental Conservation, Division of Lands and Forests, 625Broadway, Albany, NY 12233-4253, Telephone: 402-9425, E-mail:scott.mcdonnell@dec.ny.gov

6 NYCRR Part 190, Kaaterskill Clove. The amended regulationwill address public safety and environmental issues at the Departmentmanaged Kaaterskill Clove. Contact: Peter Frank, NYS Departmentof Environmental Conservation, Division of Lands and Forests, 625Broadway, Albany, NY 12233-4254, Telephone: 518 473-9518,E-mail: peter.frank@dec.ny.gov

6 NYCRR Part 196, Operation of Motorized Vehicles, Vessels,Aircraft and Motorized Equipment in the Forest Preserve. Amend sec-tion 196.7, Operation of Bicycles in the Adirondack Forest Preserve.These regulations will update this section, including the existing listof Adirondack forest preserve wilderness areas where bicycles areprohibited. Contact: Peter Frank, NYS Department of EnvironmentalConservation, Division of Lands and Forests, 625 Broadway, Albany,NY 12233-4254, Telephone: 518 473-9518, E-mail:peter.frank@dec.ny.gov

6 NYCRR Part 196, Operation of Motorized Vehicles, Vessels,Aircraft and Motorized Equipment in the Forest Preserve. Amend sec-tion 196.8, Operation of Motorized Equipment in Wilderness, Primi-tive, Primitive Bicycle Corridor and Canoe Areas within the Adiron-dack and Catskill Parks. These regulations will update this section,including establishing a list where motorized equipment is prohibitedon existing forest preserve units and newly classified forest preserveunits. Contact: Peter Frank, NYS Department of Environmental Con-servation, Division of Lands and Forests, 625 Broadway, Albany, NY12233-4254, Telephone: 518 473-9518, E-mail:peter.frank@dec.ny.gov

6 NYCRR Part 195, Permits for the Erection and Maintenance ofSigns, Advertising Structures and Devices in the Adirondack andCatskill Parks. These regulations will allow a modest increase in thesize of signs and the distance of signs from businesses. Contact: PeterJ. Frank, NYS Department of Environmental Conservation, Bureau ofForest Preserve Management, 625 Broadway, Albany, NY 12233-4254, Telephone: 518 473-9518, E-mail: peter.frank@dec.ny.gov

6 NYCRR Part 190, Use of State Lands. Amend section 190.13,Wilderness Areas in the Adirondack Park. These regulations willprotect the natural resources in the Saint Regis Canoe Area fromoveruse by applying restrictions to group size, camping, campfiresand other activities. Contact: Peter J. Frank, NYS Department ofEnvironmental Conservation, Bureau of Forest Preserve Management,625 Broadway, Albany, NY 12233-4254, Telephone: (518) 473-9518,E-mail: peter.frank@dec.ny.gov

Division of Marine Resources

6 NYCRR Part 11, More Than One Species. The Department isproposing amendments that pertain to the management of diadromousfishes, including American eel, for taking, possessing, sale, or traffick-ing in the Harlem or East Rivers and the Hudson River. The amend-ments are needed for New York State to remain in compliance withfishery management plans developed by the Atlantic States MarineFisheries Commission or as directed in the Federal Sustainable Fisher-ies Act for such species. They also comply with the requirements ofEnvironmental Conservation Law regarding the management ofanadromous species. The purpose of these regulations is to protect andto maintain the health of these fish stocks. This rule making willrequire a Regulatory Flexibility Analysis for Small Businesses andLocal Government and a Rural Area Flexibility Analysis. Contact:John Maniscalco, New York State Department of Environmental Con-servation, Division of Marine Resources, 205 N. Belle Meade Road,Suite 1, East Setauket, New York 11733. Telephone: 631-444-0430.E-mail: john.maniscalco@dec.ny.gov Please include the Part numberwhen emailing.

6 NYCRR Part 18, Taking Bait. The Department is proposingamendments that pertain to the management of diadromous fishes totake as bait for sportfishing via the use of fishing devices. The amend-ments are needed for New York State to remain in compliance withfishery management plans developed by the Atlantic States MarineFisheries Commission or as directed in the Federal Sustainable Fisher-ies Act for such species. They also comply with the requirements ofEnvironmental Conservation Law regarding the management ofanadromous species. The purpose of these regulations is to protect andto maintain the health of these fish stocks. This rule making willrequire a Regulatory Flexibility Analysis for Small Businesses andLocal Government and a Rural Area Flexibility Analysis. Contact:John Maniscalco, New York State Department of Environmental Con-servation, Division of Marine Resources, 205 N. Belle Meade Road,Suite 1, East Setauket, New York 11733. Telephone: 631-444-0430.E-mail: john.maniscalco@dec.ny.gov Please include the Part numberwhen emailing.

6 NYCRR Part 35, Licenses. The Department proposes to establishnew reporting requirements for certain inland commercial fisherylicense holders, consistent with those in Part 40 for the same regulatedspecies. The Department also proposes to reduce the number of typesof licenses issued and to increase in the fees charged for certainlicenses. This rule making will require a Regulatory Flexibility Analy-sis for Small Businesses and Local Government and a Rural Area Flex-ibility Analysis. Contact: John Maniscalco, New York State Depart-

ment of Environmental Conservation, Division of Marine Resources,205 N. Belle Meade Road, Suite 1, East Setauket, New York 11733.Telephone: 631-444-0430. E-mail: john.maniscalco@dec.ny.govPlease include the Part number when emailing.

6 NYCRR Part 36, Gear and Operation of Gear. The Department isproposing amendments that pertain to the management of diadromousfishes in the Hudson and Delaware Rivers and are needed to maintaincompliance with fishery management plans developed by the AtlanticStates Marine Fisheries Commission (ASMFC) or as directed in theFederal Sustainable Fisheries Act for such species. The amendmentswill also comply with the requirements of Environmental Conserva-tion Law regarding the management of anadromous species. This rulemaking will require a Regulatory Flexibility Analysis for Small Busi-nesses and Local Government and a Rural Area Flexibility Analysis.Contact: John Maniscalco, New York State Department of Environ-mental Conservation, Division of Marine Resources, 205 N. BelleMeade Road, Suite 1, E. Setauket, New York 11733. Telephone: 631-444-0430. E-mail: john.maniscalco@dec.ny.gov Please include thePart number when emailing.

6 NYCRR Part 40, Marine Fish. The Department proposes to amendregulations pertaining to the management of marine and diadromousfishes to maintain compliance with fishery management plans devel-oped by the Atlantic States Marine Fisheries Commission (ASMFC),or with the requirements of Environmental Conservation Law, or pur-suant to the Federal Sustainable Fisheries Act for such species.Proposed amendments will also provide compliance with NationalMarine Fisheries Service requirements and other federal laws. TheDepartment proposes to amend the regulations to define what methodsare allowed for recreational anglers to take fish. The Departmentproposes to amend reporting and record keeping requirements forState licensed harvesters; and to create a definition for proof ofresidency and establish the requirement for providing such proof ofresidency when obtaining marine license and permits. The Depart-ment proposes to amend the striped bass and summer flounder com-mercial fishing special regulations to replace qualifications for permitswith an acceptable substitute for 50 percent of earned income and taxrecords and make changes to striped bass commercial fishing permitreissuance and striped bass commercial permit tag provisions. Newregulations will be proposed to make changes in the summer floundercommercial fishing special regulations to add language for re-qualification similar to that in the striped bass commercial fishingspecial regulations. The Department proposes to adopt regulations toestablish a commercial eel permit with reporting requirementsstatewide, and to extend coverage by the general provisions of thispart to include Rockland and Putnam Counties and ensure that com-mercial possession is covered statewide. The proposed amendmentswill adopt changes to the shipping, labeling and packing requirementsto require harvester’s fishing vessel trip report numbers on labels forquota managed species and adopt regulations to clarify provision forrecords retention by food fish shippers and dealers. The Departmentproposes amendments to establish seasonal area gear closures todecrease bycatch of Atlantic sturgeon. In order to comply with NOAArequirements, the Department proposes amendments to coastal sharkregulations to prohibit the harvest of blacknose sharks, allow a limitedexception for smoothhound sharks (smooth dogfish) to the generalprohibition on landings sharks without fins attached, allow forseasonal adjustments of landing limits for large coastal sharks, andadopt measures to decrease bycatch of dusky sharks. This rule makingwill require a Regulatory Flexibility Analysis for Small Businessesand Local Government and a Rural Area Flexibility Analysis. Contact:John Maniscalco, New York State Department of Environmental Con-servation, Division of Marine Resources, 205 N. Belle Meade Road,Suite 1, East Setauket, New York 11733. Telephone: 631-444-0430.E-mail: john.maniscalco@dec.ny.gov Please include the Part numberwhen emailing.

6 NYCRR Part 41, Sanitary Condition of Shellfish Lands. As nec-essary, the Department will propose to amend regulations that specifythe classification (certified or uncertified) of shellfish lands. Theseamendments are necessary to protect public health by designatinglands that do not meet bacteriological water quality criteria as uncerti-fied or closed to shellfish harvesting. Shellfish lands that meet the wa-

ter quality criteria are designated as certified (open) for the taking ofshellfish. Shellfish are defined in law as oysters, scallops, and all kindsof clams and mussels. This rule making may require a RegulatoryFlexibility Analysis for Small Businesses and Local Government anda Rural Area Flexibility Analysis. Contact: William Hastback, NewYork State Department of Environmental Conservation, Division ofMarine Resources, 205 N. Belle Meade Road, Suite 1, East Setauket,New York 11733. Telephone: 631-444-0479. E-mail:william.hastback@dec.ny.gov Please include the Part number whenemailing.

6 NYCRR Part 42, Sanitary Control over Shellfish. The Departmentproposes to amend regulations pertaining to the sanitary, record keep-ing, and reporting requirements and to require Vibrio control plansand introduce educational requirements, as necessary, to protect pub-lic health and allow for the modification of any conditions placed onpermit activities after the permit has been issued for shellfish harvest-ers and shippers needed to comply with the guidelines of the NationalShellfish Sanitation Program (NSSP), the federal regulations regard-ing interstate shipment of shellfish, and the Environmental Conserva-tion Law. The proposed regulations will modify the descriptions of al-lowable activities under each category of shellfish shipper permits andthe harvester permit consistent with the NSSP and the EnvironmentalConservation Law and amend and clarify descriptions of shellfishharvest areas to clearly delineate geographical sites where shellfishare harvested. This rule making will require a Regulatory FlexibilityAnalysis for Small Businesses and Local Government and a RuralArea Flexibility Analysis. Contact: Susan Ritchie, New York StateDepartment of Environmental Conservation, Division of Marine Re-sources, 205 N. Belle Meade Road, Suite 1, East Setauket, New York11733. Telephone: 631-444-0494. E-mail: susan.ritchie@dec.ny.govPlease include the Part number when emailing.

6 NYCRR Part 43, Surfclam/Ocean Quahog Fishery Management.The Department proposes to amend regulations pertaining to themanagement of surfclams and ocean quahogs that are consistent withthe provisions of fishery management plans adopted by the Depart-ment and allow for the orderly implementation of any changes to theEnvironmental Conservation Law for the surfclam fishery. All amend-ments may describe changes to permit requirements and eligibility,harvest limits, gear restrictions, record keeping, and reportingrequirements. This rule making may require a Regulatory FlexibilityAnalysis for Small Businesses and Local Government and a RuralArea Flexibility Analysis. Contact: Jennifer O’Dwyer, New York StateDepartment of Environmental Conservation, Division of Marine Re-sources, 205 N. Belle Mead Road, Suite 1, East Setauket, New York11733. Telephone: 631-444-0489. E-mail:jennifer.odwyer@dec.ny.gov Please include the Part number whenemailing.

6 NYCRR Part 44, Lobsters and Crabs. The Department proposesto amend regulations pertaining to the management of lobsters,decapod crabs, and horseshoe crabs to maintain the health of such spe-cies and to prevent the introduction of exotic species. These proposedregulations will comply with fishery management plans developed bythe Atlantic State Marine Fisheries Commission (ASMFC) for thesespecies and with requirements of the Environmental ConservationLaw. The proposed regulations will include general provisions consis-tent with those found in Part 40. The proposed amendments will allowfor flexibility in the type of vent used in crab traps, mandatory use ofterrapin excluder devices on crab traps, establish open crab dredgeseasons and areas, and revise blue crab size limits. The Departmentwill propose to modify the crab endorsement language to mirror thelanguage used for lobster and finfish endorsement. The Departmentproposes to adopt regulations to implement the new ASMFC Inter-state Fishery Management Plan for Jonah Crab which will include aspecial permit, size limit, bycatch limit, rules on harvest of parts, ef-fort controls and other management measures based on details of theplan. The Department proposes to clarify current language and removeunnecessary regulations. Horseshoe crabs regulations will be proposedto allow more control over the harvest and storage of horseshoe crabsand modify daily trip limit language. Rules will also be developed toprohibit the importation, possession and use of Asian horseshoe crabs.ASMFC will be developing an Addendum to the lobster management

plan to scale the size of the Southern New England lobster fishery tothe size of the resource and to respond to the continued depletion ofthe stock. The Department will propose lobster regulations based onthe details of the Addendum. The Department will propose rules toprohibit the liberation of non-local crustaceans into New York’smarine district. Rules will be developed to modify lobster trap tag al-locations in order to implement trap transferability program. TheDepartment will also develop rules to establish a minimum age for thenon-commercial lobster license. This rule making will require aRegulatory Flexibility Analysis for Small Businesses and LocalGovernment and a Rural Area Flexibility Analysis. Contact: KimMcKown, New York State Department of Environmental Conserva-tion, Division of Marine Resources, Finfish and Crustaceans Section,205 N. Belle Meade Road, Suite 1, East Setauket, New York 11733.Telephone: 631-444-0454. E-mail: kim.mckown@dec.ny.gov Pleaseinclude the Part number when emailing.

6 NYCRR Part 48, Marine Hatcheries, On-Bottom and Off-BottomCulture of Marine Plant and Animal Life. The Department proposes toamend regulations pertaining to the sale of cultured food fish and othercultured food products for consumption or resale. The proposedregulations will amend requirements for marking and identification ofcultivation products in commercial markets, requirements for permits,and record keeping and reporting requirements. This rule making willrequire a Regulatory Flexibility Analysis for Small Businesses andLocal Government as well as a Rural Area Flexibility Analysis.Contact: Wade Carden, New York State Department of EnvironmentalConservation, Division of Marine Resources, 205 N. Belle MeadRoad, Suite 1, East Setauket, New York 11733. Telephone: 631-444-0481. E-mail: wade.carden@dec.ny.gov Please include the Partnumber when emailing.

6 NYCRR Part 49, Shellfish Management. The Department pro-poses to adopt regulations for the management of hard clams, soft orsteamer clams and razor clams. The management measures includeprovisions for size limits, catch and possession limits, open and closedseasons, closed areas, restrictions on the manner of taking and land-ing, requirements for permits and eligibility, record keeping andidentification requirements, requirements on the amount and type offishing effort and gear, and requirements relating to transportation,possession and sale. The Department proposes to amend regulationspertaining to the possession of oysters of less than legal size which isneeded to ensure enforceability and compliance with the minimumsize requirements for harvest of wild (natural) oysters in the marinedistrict. This rule making will require a Regulatory Flexibility Analy-sis for Small Businesses and Local Government as well as a RuralArea Flexibility Analysis. Contact: Debra Barnes, New York StateDepartment of Environmental Conservation, Division of Marine Re-sources, 205 N. Belle Mead Road, Suite 1, East Setauket, New York11733. Telephone: 631-444-0477. E-mail: debra.barnes@dec.ny.govPlease include the Part number when emailing.

6 NYCRR Part 50, Miscellaneous Marine Species. The Departmentproposes to adopt new regulations for the protection and managementof various other marine species. The immediate need is for the adop-tion of regulations for the protection and management of whelks (alsoknown as conch, Busycon spp). These regulations will include sizelimits, specifications for marking and placement of whelk fishing gear,trap limits and other regulations necessary to manage the whelkfishery. This rule making may require a Regulatory Flexibility Analy-sis for Small Businesses and Local Government and a Rural Area Flex-ibility Analysis. Contact: Kim McKown, New York State Departmentof Environmental Conservation, Division of Marine Resources, 205N. Belle Mead Road, Suite 1, East Setauket, New York 11733.Telephone: 631-444-0454. E-mail: kim.mckown@dec.ny.gov Pleaseinclude the Part number when emailing.

Division of Materials Management

6 NYCRR, Part 325, Rules and Regulations Relating to the Ap-plication of Pesticides. Part 325 will be amended to adopt regulationson the use of pesticides classified by the USEPA as exempt from therequirements of the Federal Insecticide, Fungicide, and RodenticideAct. These pesticides are commonly known as 25(b) or minimum riskpesticides. This rulemaking will require a Regulatory Flexibility Anal-ysis for Small Businesses and Local Governments, and a Rural Area

Flexibility Analysis. Contact: Anthony Lamanno, NYS Department ofEnvironmental Conservation, Division of Materials Management, 625Broadway, Albany, New York 12233-7254. Telephone: 518-402-8727.E-mail: pestcomp@dec.ny.gov Please include the Part number whene-mailing.

6 NYCRR, Part 325, Rules and Regulations Relating to the Ap-plication of Pesticides. Part 325 will be amended to incorporate theproposed changes to the federal certification and training regulationsin 40 CFR Part 170 and update the current pesticide use regulations.As part of this rulemaking, associated revisions will be made to Part321 Pesticides In Grape Vineyards, Chautauqua County, NorthernTownships,

Part 322 Pesticides In Grape Vineyards, Niagara County, Part 323Pesticides In Grape Vineyards, Chautauqua County, Southern Town-ships, Part 324 Pesticides In Grape Vineyards, Erie County, and Part326 Registration and Classification of Pesticides. This rulemakingwill require a Regulatory Flexibility Analysis for Small Businessesand Local Governments, and a Rural Area Flexibility Analysis.Contact: Richard Dickinson, NYS Department of Environmental Con-servation, Division of Materials Management, 625 Broadway, Albany,New York 12233-7254. Telephone: 518-402-8748. E-mail:pestmgt@dec.ny.gov Please include the Part number when e-mailing.

6 NYCRR, Part 327, Rules and Regulations Relating to the Use ofChemicals for the Control or Elimination of Aquatic Vegetation. Part327 will be amended to reflect the current statutory requirement of theEnvironmental Conservation Law. This rulemaking will require aRegulatory Flexibility Analysis for Small Businesses and LocalGovernments, and a Rural Area Flexibility Analysis. Contact: AnthonyLamanno, NYS Department of Environmental Conservation, Divisionof Materials Management, 625 Broadway, Albany, New York 12233-7254. Telephone: 518-402-8727. E-mail: pestcomp@dec.ny.govPlease include the Part number when e-mailing.

6 NYCRR, Part 328, Rules and Regulations Relating to the Use ofChemicals for the Control or Elimination of Undesirable Fish. Part328 will be amended to reflect the current statutory requirement of theEnvironmental Conservation Law. This rulemaking will require aRegulatory Flexibility Analysis for Small Businesses and LocalGovernments, and a Rural Area Flexibility Analysis. Contact: AnthonyLamanno, NYS Department of Environmental Conservation, Divisionof Materials Management, 625 Broadway, Albany, New York 12233-7254. Telephone: 518-402-8727. E-mail: pestcomp@dec.ny.govPlease include the Part number when e-mailing.

6 NYCRR, Part 329, Rules and Regulations Relating to the Use ofChemicals for the Control or Elimination of Aquatic Insects. Part 329will be amended to reflect the current statutory requirement of theEnvironmental Conservation Law. This rulemaking will require aRegulatory Flexibility Analysis for Small Businesses and LocalGovernments, and a Rural Area Flexibility Analysis. Contact: AnthonyLamanno, NYS Department of Environmental Conservation, Divisionof Materials Management, 625 Broadway, Albany, New York 12233-7254. Telephone: 518-402-8727. E-mail: pestcomp@dec.ny.govPlease include the Part number when e-mailing.

6 NYCRR Part 367, Returnable Beverage Containers. This rulemak-ing will incorporate revisions to the statute that specifically changedand, in some cases, change the Part 367 regulations that werepromulgated in 1983; reflect changes in the way the industry and theregulated community now complies with these regulations; andinclude changes that will lead to improved compliance andenforcement. This rulemaking will require a Regulatory FlexibilityAnalysis for Small Businesses and Local Governments, and a RuralArea Flexibility Analysis. Contact: Jennifer Kruman, NYS Depart-ment of Environmental Conservation, Division of Materials Manage-ment, 625 Broadway, Albany, New York 12233-7253. Telephone: 518-402-8706. E-mail: nybottle@dec.ny.gov Please include the Partnumber when e-mailing.

6 NYCRR Part 368, Product Stewardship and Labeling. Thisrulemaking will rename and include changes to the existing RecyclingEmblem regulations in 6 NYCRR Part 368 to be consistent withnational labeling guidelines for recycling terms. It will also includedeveloping regulations for mercury-added consumer products label-

ing, and product stewardship requirements for the E-Waste take backprogram resulting from legislation adopted in 2010 for E-Wastemanagement. This rulemaking will require a Regulatory FlexibilityAnalysis for Small Businesses and Local Governments, and a RuralArea Flexibility Analysis. Contact: Peter Pettit, NYS Department ofEnvironmental Conservation, Division of Materials Management, 625Broadway, Albany, New York 12233-7253. Telephone: 518-402-8706.E-mail: pswr@dec.ny.gov Please include the Part number whene-mailing.

Division of Mineral Resources

6 NYCRR Parts 420, 421, 422, 423, and 425. The Department isproposing to amend 6 NYCRR Parts 420 to 425 to: (1) clarify ambigu-ous sections; (2) strengthen portions of the regulations; (3) reflectchanges in the regulatory fee structure and civil penalties; and (4)reflect changes in scientific knowledge. Amendments to these regula-tions would be done as one package.

6 NYCRR Part 420, General. Amend current regulations to expandthe definitions to include words used to describe abandonment, techni-cal terms associated with blasting, bluestone, and other terms to ensureconsistency with the Mined Land Reclamation Law.

6 NYCRR Part 421, Permits. Amend current regulations to: (1) addlanguage requiring a mining termination notice to be filed if acomplete renewal application is not received within 30 days of theexpiration of the permit; (2) add a section codifying the criteria fordetermining if an excavation is exempt from requiring a miningpermit; (3) update the annual regulatory fee schedule to be consistentwith the current rates; and (4) restore the alterations and modificationssection for proposed changes that are ministerial in nature.

6 NYCRR Part 422, Mined Land-Use Plan. Amend current regula-tions to: (1) revise the language for mined land-use plan requirements;(2) add an expanded section describing the required elements for thegraphic portion of the mined land-use plan; and (3) add expanded sec-tions addressing dust control, noise control, visual pollution, waterresource protection, sediment and erosion control, and blasting.

6 NYCRR Part 423, Reclamation Bond. Amend current regulationsto replace the word bond with financial security throughout the sec-tion to reflect the variety of financial instruments that may satisfy theneed for financial assurance for reclamation.

6 NYCRR Part 425, Civil Penalties. Amend current regulations tochange civil penalties amounts to reflect changes made to ECL § 71-1307(1) subsequent to the last revisions to the regulations.

This rulemaking will require a Regulatory Flexibility Analysis forSmall Businesses and Local Governments and a Rural Area FlexibilityAnalysis. Contact: Matthew Podniesinski, New York State Depart-ment of Environmental Conservation, Division of Mineral Resources,625 Broadway, 3rd Floor, Albany, NY 12233-6500. Telephone: 518-402-8076. E-mail: matthew.podniesinski@dec.ny.gov. Please includethe Part number when emailing.

Division of Operations

6 NYCRR 623: Use of Environmental Education Centers. TheDepartment is proposing to revise 6 NYCRR 623: Use of Environmen-tal Education Centers to include Reinstein Woods EnvironmentalEducation Center, update appropriate uses of the education centers,and make the regulations consistent with relevant sections of Part 190:Use of State Lands. This rulemaking will not require a RegulatoryFlexibility Analysis for Small Businesses and Local Governments anda Rural Area Flexibility Analysis. Contact: Tom Shimalla, NYSDepartment of Environmental Conservation, 625 Broadway, Albany,New York 12233-5256. Telephone: 518-402-8043. E-mail:edcenterregs@dec.ny.gov Please include the Part number whenemailing.

Division of Water

6 NYCRR Parts 750-758 – State Pollutant Discharge EliminationSystem. Revisions are needed to multiple Parts of 6 NYCRR to reflectchanges made in 2003 to Part 750 and the repeal of Parts 751-758.This rulemaking may require a Regulatory Flexibility Analysis forsmall businesses and a Rural Area Flexibility Analysis. Contact: Rob-ert Simson, Regulatory Coordinator, Division of Water, 625 Broadway,Albany, New York 12233. Telephone: 518-402-8233. E-mail:robert.simson@dec.ny.gov

6 NYCRR Part 602 - Long Island Agricultural Water Wells. Revi-sions are needed to reflect that the permit exemption for agriculturalwater wells on Long Island was eliminated in 1992 by the introduc-tion of paragraph 7 of ECL § 15-1527. This rulemaking may require aRegulatory Flexibility Analysis for small businesses and a Rural AreaFlexibility Analysis. Contact: Angus Eaton, Director of Bureau of Wa-ter Resource Management, Division of Water, 625 Broadway, Albany,New York 12233. Telephone: 518-402-8099. E-mail:angus.eaton@dec.ny.gov

6 NYCRR Part TBD - Waste Water Reuse. Regulations are neededto reflect the provisions in 6 ECL § 15-0605 regarding water efficien-cies and the promotion of the reuse of reclaimed wastewater. Thisrulemaking may require a Regulatory Flexibility Analysis for smallbusinesses and a Rural Area Flexibility Analysis. Contact: AngusEaton, Director of Bureau of Water Resource Management, Divisionof Water, 625 Broadway, Albany, New York 12233. Telephone: 518-402-8099. E-mail: angus.eaton@dec.ny.gov

6 NYCRR Part 502 - Floodplain Management Criteria for StateProjects. Revisions will update language to comply with enablinglegislation and will update criteria to comply with changes in FederalEmergency Management Agency regulations and New York StateBuilding Code. Part 502 was last updated in 1984. Revisions willinclude updated definitions, clarifying floodway encroachmentrequirements, changing lowest floor elevation requirements to reflectthe Building Code of New York State, and clarifying the variance ap-plication and decision process. This rulemaking may require a Regula-tory Flexibility Analysis for small businesses and a Rural Area Flex-ibility Analysis. Contact: Alan Fuchs, Director Bureau of FloodProtection and Dam Safety, Division of Water, NYSDEC, Albany, NY12233-3507 Telephone 518-402-8185. E-mail: alan.fuchs@dec.ny.gov

6 NYCRR Parts 700 – 706 Water Quality Standards. Revisions willadd/revise ambient water quality standards, standard-setting proce-dures, implementation procedures, and other regulatory provisions.This rulemaking may require a Regulatory Flexibility Analysis forsmall businesses and a Rural Area Flexibility Analysis. Contact: ScottStoner, Chief, Standards and Analytical Support Section, Bureau ofWater Quality Management, Division of Water, NYSDEC, Albany,NY 12233-3502. Telephone 518-402-8193. E-mail:scott.stoner@dec.ny.gov

6 NYCRR Part 505 - Coastal Erosion Management Regulations.Part 505 of 6 NYCRR was last amended in March 1988. Revisionswill include clarifying definitions, adding new defined terms, andclarifying language regarding regulated activities in natural protectivefeatures areas. This rulemaking may require a Regulatory FlexibilityAnalysis for small businesses and a Rural Area Flexibility Analysis.Contact: Alan Fuchs, Director, Bureau of Water Permits, Division ofWater, 625 Broadway, Albany, NY 12233-3505. Telephone: 518-402-8185. E-mail: alan.fuchs@dec.ny.gov

6 NYCRR Part TBD, Water Well Registration and Reporting. Anew Part will be developed in conjunction with ECL 15-1525 to estab-lish registration, reporting, certification, and enforcement provisions.This rulemaking may require a Regulatory Flexibility Analysis forsmall businesses and a Rural Area Flexibility Analysis. Contact: MikeHolt, Section Chief, Bureau of Water Resource Management, Divisionof Water, 625 Broadway, Albany, New York 12233. Telephone: 518-402-8099. E-mail: michael.holt@dec.ny.gov

6 NYCRR Part 485 - State Pollutant Discharge Elimination System(SPDES) Program Fees. The SPDES program fees were changed in2009 through amendments to ECL Section 72-0602. Part 485 will beamended to conform the SPDES fees in regulation to the fees instatute. This rulemaking may require a Regulatory Flexibility Analy-sis for small businesses and a Rural Area Flexibility Analysis. Contact:Koon Tang, Director, Bureau of Water Permits, Division of Water, 625Broadway, Albany, NY 12233-3505. Telephone: 518-402-8111.E-mail: koon.tang@dec.ny.gov

6 NYCRR Part 500 - Flood Plain Management Regulations Devel-opment Permits (BFP&DS). This Part of 6 NYCRR will be repealed.Changes made to ECL Article 36 in 1992 removed this requirementfrom law. This rulemaking may require a Regulatory Flexibility Anal-ysis for small businesses and a Rural Area Flexibility Analysis.

Contact: Alan Fuchs, Director, Bureau of Flood Protection and DamSafety, Division of Water, 625 Broadway, Albany, NY 12233-3505.Telephone: 518-402- 8111. E-mail: alan.fuchs@dec.ny.gov

6 NYCRR Part 651 - State Aid for Collection, Treatment and Dis-posal of Sewage - Cost of Operation and Maintenance of SewageTreatment Plants. Due to a lack of appropriations for this program forseveral years, this Part of 6 NYCRR will be repealed. This rulemakingmay require a Regulatory Flexibility Analysis for small businessesand a Rural Area Flexibility Analysis. Contact: Koon Tang, Director,Bureau of Water Permits, Division of Water, 625 Broadway, Albany,NY 12233-3505. Telephone: 518-402- 8111. E-mail:koon.tang@dec.ny.gov

6 NYCRR Part 750 - State Pollutant Discharge Elimination System(SPDES) Permits. Revisions are necessary to incorporate new federalcriteria and standards. This rulemaking may require a Regulatory Flex-ibility Analysis for small businesses and a Rural Area FlexibilityAnalysis. Contact: Koon Tang, Director, Bureau of Water Permits,Division of Water, 625 Broadway, Albany, NY 12233-3505.Telephone: 518-402- 8111. E-mail: koon.tang@dec.ny.gov

6 NYCRR Part 910 - St. Lawrence River Drainage Basin. Revi-sions will reclassify surface waters as needed to provide water qualityprotection consistent with designated best usages, as well as the CleanWater Act (CWA) Section 101(a)(2) goals. This rulemaking mayrequire a Regulatory Flexibility Analysis for small businesses and aRural Area Flexibility Analysis. Contact: Scott Stoner, Chief, Stan-dards and Analytical Support Section, Bureau of Water QualityManagement, Division of Water, NYSDEC, Albany, NY 12233-3502.Telephone 518-402-8193. E-mail: scott.stoner@dec.ny.gov

Office for People with Developmental Disabilities

Pursuant to subdivision 1 of section 202-d of the State Administra-tive Procedure Act (SAPA), notice is provided of the following rulesthat the Office for People With Developmental Disabilities (OPWDD)is considering proposing, but for which a rule making proceeding hasnot begun. All following references to regulatory provisions are toTitle 14 of the New York Code of Rules and Regulations. Please notethat the regulatory plans of OPWDD are subject to change. OPWDDreserves the right to add, delete, or modify items appearing on this list.Further, as indicated in SAPA section 202-d(2), OPWDD is notrequired to propose or adopt any rule listed on a regulatory agendaand may propose or adopt a rule that has not been listed on an agenda.

Publication of this notice is intended to further assure that smallbusinesses, local governments, and public and private interests in ru-ral areas are given an opportunity to participate in the rule makingprocess, as provided by sections 202-b and 202-bb of SAPA. Eachrule listed below may require a regulatory flexibility analysis or a ru-ral flexibility analysis, pursuant to SAPA sections 202-b and 202-bb,respectively.

The public is welcome to send written comments regarding thisregulatory agenda to the agency representative indicated at the end ofthis list.

The following rules are under consideration for submission as aNotice of Proposed Rulemaking during the calendar year 2017:

DESCRIPTION OF THE RULE SUBJECT MATTER

Title 14 NYCRR (Mental Hygiene)

Freedom of Information Law - to update the Freedom of Informa-tion regulations.

Advanced Healthcare Directives - to allow an individual with anadvanced healthcare directive to authorize his/her health care agent tocommence decision-making immediately upon the execution of ahealth care proxy.

Objection to Services Updates - to streamline and standardizeprocesses for objecting to services.

Representative Payee - to conform existing regulations to Chapter111 of the Laws of 2010.

Plan of Care Supports and Services (PCSS) Liability Regulations -to add Plan of Care Supports and Services as a covered service underOPWDD’s Liability regulations.

Certification of HCBS Waiver Services - to supersede regulationson classes of operating certificates (Part 70) and place in OPWDD’sPart 600 series, including HCBS Waiver services.

Life Safety Code - to implement a recent update in the Life SafetyCode.

Comprehensive Assessment System - to authorize use of anOPWDD approved assessment instrument to inform service authori-zation decisions.

Conflict of Interest and Case Management Requirements - to ad-dress potential conflicts with service delivery and service coordination.

Person-Centered Planning - to amend requirements to ensure con-sistency with person-centered planning regulations.

Supportive Decision-Making - to implement supportive decision-making practices.

Delegation of Nursing Tasks to Direct Support Professionals - toimplement changes to the Nurse Practice Act.

Enrollment Authorization for Independent Practitioner Services forIndividuals with Developmental Disabilities - to allow authorizationof providers’ enrollment into Independent Practitioner Services forIndividuals with Developmental Disabilities.

Repeal Rate Appeal Processes - to repeal processes for appealingrate methodologies as this function now rests with the Department ofHealth.

Repeal of Rate Setting Authority - to repeal rates and rate settingmethodologies as rulemaking authority for rates now rests with theDepartment of Health.

Intermediate Care Facilities (ICF) Closure and Conversions - torequire ICF conversion compliance as necessary.

Home and Community Based Services (HCBS) Requirements forResidences - to define HCBS requirements for residentialdevelopment.

HCBS Requirements for Family Care Homes - to authorize assess-ment of Family Care Homes and enforcement of HCBS requirements.

Day Habilitation with/ without Walls – to define programmatic stan-dards for day habilitation with/ without walls.

HCBS Requirements for Day Services to authorize enforcement ofHCBS requirements in day settings.

CONTACT PERSON:

Mary Beth P. Babcock, Senior Attorney

Office for People With Developmental Disabilities

Office of Counsel, Bureau of Policy and Regulatory Affairs

44 Holland Avenue 3rd Floor

(518) 474- 7700

Marybeth.p.Babcock@opwdd.ny.gov

This agenda is also posted on the OPWDD website atwww.opwdd.ny.gov

Workers’ Compensation Board

Pursuant to section 202-d of the State Administrative ProcedureAct, notice is hereby provided of the following rules which the Work-ers’ Compensation Board (Board) is considering proposing but forwhich a rule making proceeding has not been commenced. All refer-ences are to Title 12 of the New York Code of Rules and Regulationsunless otherwise noted. The Board’s regulatory plans are subject tochange, and the Board reserves the right to add, delete, or modify anyitem herein. The Board is not required to propose for adoption anyrule summarized in this regulatory agenda. In addition, the Board maypropose a rule for adoption which was not under consideration at thetime that this regulatory agenda was submitted for publication.

This notice is also intended to provide small businesses, localgovernments, and public and private interests in rural areas with theopportunity to participate in the rule-making process, as provided forin sections 202-b and 202-bb of the State Administrative ProceduresAct. All of the rules described below may require a Regulatory Flex-ibility Analysis for Small Businesses and Local Governments and a

Rural Area Flexibility Analysis pursuant to sections 202-b and 202-bbof the State Administrative Procedures Act, respectively.

The public is welcome to send written comments on the Board’sRegulatory Agenda to the contact person at the end of this list.

The Chair and/or the Board is considering proposing the rulesdescribed below:

1. Amend section 313 to clarify that a Board decision is not a pre-requisite to the parties’ compliance with statutory and regulatoryobligations and to set forth the criteria when a Board decision will beissued.

2. Amend section 300.17 to identify the process an attorney orlicensed hearing representative must follow when requesting a fee andseeking to withdraw from representation of a client.

3. Add a new section 300.39 to establish rules for the cross-examination of medical witnesses and to repeal section 300.10 (c).

4. Amend multiple sections of Parts 327, 328, 329, 330, 332, 342,345, 347, and 349 to implement the provision for a single arbitratorprocess as set forth in recently amended Workers’ Compensation Law§§ 13-g, 13-k, 13-l, and 13-m.

5. Amend Part 440 to update the pharmacy fee schedules of theBoard.

6. Add a new Part 380 setting forth the process and procedures re-lated to Paid Family Leave benefits. This Part will include provisionsrelated to claim filing, employee contributions, eligibility, dispute res-olution, reinstatement and discrimination claims.

7. Amend section 325-1.25, to permit the Chair to require electronicsubmission of medical bill objections.

8. Add Part 304 describing the process for filing and adjudication ofdiscrimination claims against an employer pursuant to section 120 ofthe WCL for retaliation in filing of workers’ compensation claims.

The Board will continue to review its rules in an effort to providefor clearer and more accurate references to Board policies andprocedures, while also eliminating typographical errors and obsoleteforms/practices, etc.

To obtain information about or submit written comments concern-ing any item in this Regulatory Agenda, contact: Heather M. MacMas-ter, Deputy General Counsel, Workers’ Compensation Board, 328State Street, Schenectady, New York 12305-2318, telephone: (518)486-9564, e-mail: regulations@wcb.ny.gov.

REVIEWAdirondack Park Agency

FIFTEEN YEAR REVIEW OF RULES ADOPTED BY THEADIRONDACK PARK AGENCY IN 2002 AND REQUIRED TO BEREVIEWED IN CALENDAR YEAR 2017

As required by section 207 of the State Administrative ProcedureAct (SAPA), the following is a list of rules that were adopted by theAdirondack Park Agency in calendar year 2002 which must bereviewed in calendar year 2017. Public comment on the continuationor modification of these rules is invited and will be accepted until Feb-ruary 20, 2017. Comments may be directed to: Paul Van Cott, Associ-ate Attorney, Legal Division, Adirondack Park Agency, P.O. Box 99,NYS Route 86, Ray Brook, NY 12977.

RULES ADOPTED IN 2002 AND EFFECTIVE ON May 1, 2002

Legal basis for these rules: Adirondack Park Agency Act, ExecutiveLaw, article 27; Wild, Scenic and Recreational Rivers System Act(ECL section 15-2709); Freshwater Wetlands Act (ECL section 24-0801).

(1) Amended former 9 NYCRR section 570.3(a)(1) to remove defi-nition of “guest cottage” from the definition of “accessory structure.”The definition of “accessory structure” was deleted in 2005 as duplica-tive of the statutory definition.

Analysis of the need for the rule: This was a companion change tothe addition of a new definition of “guest cottage” in 2002.

(2) Amended former 9 NYCRR section 570.3(b)(1) to delete thephrase “customarily incidental” from the definition of “accessory use.”The definition of “accessory use” was deleted in 2005 as duplicativeof the statutory definition.

Analysis of the need for the rule: This was a companion change tothe addition of a new definition of “customarily incidental” in 2002.

(3) Added 9 NYCRR section 573.8(a) to identify certain activitiesand uses which will be accessory to residential uses.

Analysis of the need for the rule: To codify existing practices and toprovide clear guidance.

(4) Added a new definition for “bed and breakfast” as former 9NYCRR section 570.3(e). This definition was renumbered to 9NYCRR section 570.3(b) in 2005.

Analysis of the need for the rule: To clarify that a “bed and break-fast” is a tourist accommodation except when accessory to a residen-tial use.

(5) Added 9 NYCRR section 573.8(b) to describe certain small “bedand breakfasts” as accessory to residential uses.

Analysis of the need for the rule: To avoid situations where certainsmall bed and breakfasts, comparable to other home occupationsunregulated by the APA Act and which would cause little or noenvironmental impact, would require permits as touristaccommodations.

(6) Renumbered 9 NYCRR section 570.3(e) to former 9 NYCRRsection 570.3(f) and amended definition of “boathouse.” This defini-tion was renumbered to 9 NYCRR section 570.3(c) in 2005 and wasfurther amended in 2010.

Analysis of the need for the rule: To define a term that is used, butnot defined, in the APA Act.

(7) Amended 9 NYCRR section 575.4(c) to delete the definition of“boathouse” and to add a shoreline setback restriction for decks orporches associated with boathouses.

Analysis of the need for the rule: To clarify the APA Act shorelinerestrictions as they apply to a “boathouse.”

(8) Added a new definition of “customarily incidental” as former 9NYCRR section 570.3(n). This definition was renumbered to 9NYCRR section 570.3(h) in 2005.

(9) Added a definition of “dock” as former 9 NYCRR section570.3(p). This definition was renumbered to 9 NYCRR section570.3(j) in 2005 and was amended in 2010.

(10) Renumbered former 9 NYCRR section 570.3(p) to former 9NYCRR section 570.3(s) and deleted unnecessary language from thedefinition of “group camp.” The definition of “group camp” wasdeleted in 2005 as duplicative of the statutory definition.

Analysis of the need for the rule: To make the definition of “groupcamp” consistent with the APA Act.

(11) Added former 9 NYCRR section 570.3(t) to provide a defini-tion of “guest cottage.” This definition was renumbered to 9 NYCRRsection 570.3(l) in 2005.

Analysis of the need for the rule: To codify the Agency’s practicewith respect to guest cottages.

(12) Added former 9 NYCRR section 570.3(ee) to provide a defini-tion of “marina.” This definition was renumbered to 9 NYCRR sec-tion 570.3(u) in 2005.

(13) Added former 9 NYCRR section 570.3(ff) to provide a defini-tion of “material detrimental reliance.” This definition was renum-bered to 9 NYCRR section 570.3(v) in 2005.

Analysis of the need for the rule: To define a term used in 9 NYCRRsection 571.5(b).

(14) Added former 9 NYCRR section 570.3(vv) to provide a defini-tion of “retaining wall.” This definition was renumbered to 9 NYCRRsection 570.3(ae) in 2005.

Analysis of the need for the rule: To define a previously undefinedterm for purposes of the application of the shoreline restrictions.

(15) Added 9 NYCRR sections 575.4(e) and (f) to explain howretaining walls are to be measured under the shoreline restrictions andto allow an exception from the shoreline restrictions for certain smallretaining walls.

Analysis of the need for the rule: To codify existing Agency practiceand to provide clarity with respect to the application of the shorelinerestrictions to retaining walls.

(16) Renumbered former 9 NYCRR section 570.3 (vv) to former 9NYCRR section 570.3 (ccc) and deleted unnecessary language fromthe definition of “structure.” This definition was renumbered to 9NYCRR section 570.3(ak) in 2005.

Analysis of the need for the rule: To make the definition of “struc-ture” consistent with the APA Act.

(17) Amended 9 NYCRR section 574.8 to clarify the applicabilityof the conversion provision of APA Act section 811(1)(b) to certainstructures.

Analysis of the need for the rule: To codify existing Agency practiceand to provide clarity with respect to the conversion of certainstructures under the APA Act.

(18) Amended 9 NYCRR section 577.2(u) to conform the definitionof “structure” to the statutory definition in the Wild, Scenic, Recre-ational Rivers Act.

Analysis of the need for the rule: To make the definition of “struc-ture” consistent with the Wild, Scenic, Recreational Rivers Act.

(19) Amended 9 NYCRR sections 577.6(b)(2) and (3) to conformthe exemptions of the shoreline restrictions for certain structures withthe Wild, Scenic and Recreational Rivers Act.

Analysis of the need for the rule: To make certain exemptions in 9NYCRR part 577 consistent with the Wild, Scenic and RecreationalRivers Act.

(20) Amended 9 NYCRR section 575.1(b)(3) to provide a definitionof “navigable.”

(21) Amended 9 NYCRR section 580.4(9) in an attempt to clarifythat there are certain persons who are automatically entitled to partystatus in adjudicatory hearings and that other persons must take ad-ditional procedural steps in order to intervene.

Analysis of the need for the rule: To clarify the regulations by mak-ing it easier to determine who is entitled to seek party status, and ac-cording to what procedural steps.

(22) Added 9 NYCRR section 573.8(c) to allow certain small wastedisposal areas to be established without an Agency permit as an acces-sory use to residential structures.

Analysis of the need for the rule: To exempt from permitting certainsmall waste disposal areas associated with residential structures.

Education Department

NOTICE OF REVIEW OF EXISTING RULES PURSUANT TOSTATE ADMINISTRATIVE PROCEDURE ACT SECTION 207(Calendar Years 2014, 2013, 2012, 2007, 2002 and 1997)

Section 207 of the State Administrative Procedure Act (SAPA)requires that each State agency review, any rule which is adopted onor after January 1, 1997 in the calendar year specified in the notice ofadoption for the rule, provided that at a minimum every rule shall beinitially reviewed no later than in the fifth calendar year after the yearin which the rule is adopted, and, thereafter, every rule shall be re-reviewed at five-year intervals.

Pursuant to SAPA section 207, the State Education Departmentsubmits the following list of its rules that were adopted during calendaryears 2014, 2013, 2012, 2007, 2002 and 1997 and invites public com-ment on the continuation or modification of such rules. All section andpart references are to Title 8 of the New York Code of Rules andRegulations. Comments should be sent to the respective agency repre-sentative listed below for each particular rule, and must be receivedwithin 45 days of the date of publication of this Notice.

A. CALENDAR YEAR 2014

Section 100.2(ee) of the Commissioner’s Regulations relating toAcademic Intervention Services (AIS)

Description of Rule: The purpose of the rule is to establish modifiedrequirements for AIS during the 2014-2015 school year.

Need for Rule: In 2013, the Regents adopted amendments to Com-

missioner’s Regulations section 100.2(ee) [EDU-40-13-00005-EP,State Register October 2, 2014; EDU-40-13-00005-A, State RegisterDecember 31, 2013] that provided flexibility to districts in the provi-sion of Academic Intervention Services (AIS) for the 2013-2014school year, in recognition of the fact that the State assessmentsadministered to New York students in Spring 2013 were the first thatmeasured the progress of students in meeting the expectations of theCommon Core Learning Standards (CCLS). The rule extended similarflexibility in the provision of AIS for the 2014-2015 school year.

At the Board of Regents July 2013 meeting, Department staffdiscussed with the Board the implications for the provision by schooldistricts of AIS as a result of the substantial decrease in the percentageof students who demonstrated the knowledge and skills necessary tomeet grade level Common Core Learning Standards (CCLS) relativeto the percentage of students demonstrating this against the 2005standards.

To ensure that existing support services, including AcademicIntervention Services (AIS), remain relevant and appropriate as NewYork implements the CCLS, the Regents directed the Department todevelop proposed amendments to Commissioner’s Regulations toprovide flexibility in the provision of AIS.

Historically, students who have scored below proficient (Level 3)on State assessments in English language arts or mathematics havebeen required to receive AIS. However, proficiency standards on the2012 and the 2013 state assessments could not be directly comparedbecause the 2012 tests were designed to measure different learningstandards than the 2013 Common Core tests. Therefore, the Depart-ment determined the scale scores for each respective year that was as-sociated with students who scored at the same percentile rank on thetwo assessments. The Department used these percentile ranks as thebasis for determining which students must be provided AIS during the2013-2014 transition year to ensure that the change in proficiencyrates would not result in a significant increase in the percentage ofstudents who must receive these services. The cut scores that theDepartment used resulted in districts being required to provide AIS toapproximately the same percentages of students Statewide in the2013-14 school year as received AIS in the 2012-13 school year. Thiswas analogous to the action taken by the Regents in July 2010 to ad-dress the raising of the cut scores on the 2010 Grade 3-8 Englishlanguage arts and mathematics assessments.

Under the approved regulation, districts were required to establish apolicy to determine what services, if any, to provide in the 2013-14school year to students who scored above the transitional cut scoresestablished by the Department but below proficiency on the 2013assessments.

Specifically, the amendment provided that for the 2013-2014 schoolyear only:

D Students who scored at or below the specified cut points forGrades 3-8 English Language Arts and mathematics must receive aca-demic intervention instructional services.

D Students who scored at or above the specified cut points but belowthe 2013 level 3/proficient cut points would not be required to receiveacademic intervention instructional and/or student support servicesunless the school district deemed it necessary.

D Each school district developed and maintained on file a uniformprocess by which the district determined whether to offer AIS duringthe 2013-14 school year to students who scored at or above the speci-fied cut points but below the level 3/proficient on grade 3-8 EnglishLanguage Arts or mathematics State assessments in 2013-14.

D Each school by November 1, 2013 either posted a description ofthis process to its Website or distributed to parents in writing a de-scription of such process.

The rule extends the 2013-2014 amendment to the Commissioner’sRegulations through the 2014-15 school year to continue flexibility inthe provision of Academic Intervention Services.

Legal Basis of Rule: Education Law sections 101(not subdivided),207(not subdivided), 305(1) and (2), 308(not subdivided), 309(notsubdivided) and 3204(3).

Section 100.5(d) of the Commissioner’s Regulations regardingState Facility transfer credit

NYS Register/January 4, 2017Rule Review

Description of Rule: The purpose of the rule is to provide transfercredit for students in a State Agency educational program upon attes-tation of the chief program administrator.

Need for Rule: Education Law § 112 and Part 116 of the Commis-sioner’s Regulations relate to standards for educational programs andservices for students in full-time residential care in homes or facilitiesoperated or supervised by a State department or agency or politicalsubdivision, such as the Office of Children and Family Services(OCFS) and the Office of Mental Health.

Commissioner’s Regulation § 100.5(d)(5) previously provided thata principal must award transfer credit to students for any courseworkthey completed at a registered New York State high school, but mayaward transfer credit for work done at educational institutions otherthan New York State registered high schools ‘‘based on whether therecord indicates that the work is consistent with New York State com-mencement learning standards and is of comparable scope and qualityto that which would have been done in the school awarding the credit.”Under this provision, students who attend educational programs oper-ated by OCFS and other State agencies pursuant to Education Law§ 112 and Part 116 of the Commissioner’s Regulations were notautomatically granted credit for their coursework because such facili-ties are not registered high schools. Rather, upon a student transferringto a public school, each principal made an individual determination togrant or deny the student credit for such coursework based uponwhether the principal deemed the coursework done at a State agencyfacility to be comparable.

As a result, there was no consistency across the State in howcoursework completed at these State agency facilities was credited.Because students were unsure of the degree to which principals wouldaward credit for work done at State agency facilities, some studentsfound this a disincentive to re-enroll in school once released fromsuch facilities. To the extent that principals denied credits for suchcoursework, the challenges for students who reenroll and attempt toearn a high school diploma became even greater.

To address this issue, the rule provides that principals of registeredpublic high schools shall grant transfer credit to a student for creditawarded while the student attended an educational program adminis-tered by a State agency pursuant to Education Law § 112 and Part 116of the Commissioner’s Regulations, upon the attestation of the chiefadministrator of such program that:

D the student has completed coursework that is aligned with the ap-plicable New York State commencement-level learning standards,including the New York State Common Core Learning Standards, andmeets the requirements for the award of units of credit including, butnot limited to, the requirement for 180 minutes of instruction per weekthroughout the school year, or the equivalent; and

D the student was provided instruction by a teacher certified pursu-ant to Part 80 of this Title.

Furthermore, in order to ensure that students attending these Stateagency education programs are eligible for transfer credit on the samebasis as students in the public schools with respect to the alternativemethods for earning credit, the rule also provides that principals ofregistered public high schools must award transfer credit upon attesta-tion of the chief administrator of the State agency educational programthat the student has met the requirements for the award of credit byexamination, make up credit, independent study, and/ or online/blended courses.

Legal Basis of Rule: Education Law sections 101(not subdivided),207(not subdivided), 208(not subdivided), 209(not subdivided),210(not subdivided), 215(not subdivided), 305(1) and (2) and 309(notsubdivided).

Section 100.17 of the Commissioner’s Regulations regardingDistinguished Educators

Description of Rule: The purpose of the rule is to modify criteria forappointment, roles, responsibilities, protocols and procedures fordistinguished educators to ensure that they are better able carry-outtheir statutory responsibilities and functions to assist low performingschools pursuant to Education Law sections 211-b and 211-c.

Need for Rule: The rule relates to criteria for appointment, roles, re-

sponsibilities, protocols and procedures for distinguished educators toassist low performing school districts and schools pursuant to Educa-tion Law sections 211-b and 211-c. The rule ensures the appointment,consistent with statutory requirements, of qualified individuals, whohave demonstrated consistent growth in academic performance oreducational expertise including superior performance in the classroom,to serve as distinguished educators to assist low performing schools.

At the February 2011 Board of Regents meeting, the Board addedsection 100.17 of the Commissioner’s Regulations to implement theprovisions of Education Law sections 211-b and 211-c pertaining tothe establishment of a Distinguished Educator Program to assist lowperforming school districts and schools in improving their academicperformance.

The amendment of section 100.17 addresses matters reflected in theState Education Department’s experiences and “lessons learned” inimplementing the Distinguished Educator program. Among those ex-periences and lessons are the following:

D Persons selected for the pool of distinguished educators should beable to remain in the pool and eligible for assignment as a distinguishededucator for a period of more than three years so long as these personsdemonstrate that they are participating in appropriate professionaldevelopment.

D The Commissioner should have the flexibility to reappoint adistinguished educator to multiple one-year renewal terms and shouldbe able to appoint more than one distinguished educator to serve adistrict, if needed.

D Districts benefit from a more explicit delineation of the ways inwhich districts are expected to fully cooperate with a distinguishededucator so as to make the work of the distinguished educator moreproductive and helpful to the district.

D The action plan that results from the assignment of a distinguishededucator should be jointly developed by the district and the distin-guished educator.

Legal Basis of Rule: Education Law §§ 207, 305(1), (2) and (20),211-b(1-5), and 211-c(1-8).

Sections 200.1(x), 200.5(j)(3), (4), (5), and (6) and 200.16(h)(9) ofthe Commissioner’s Regulations regarding Special Education Impar-tial Hearings

Description of Rule: The purpose of the rule is to ensure thatimpartial due process hearings for special education matters areconducted in a more efficient and expeditious manner in order to meetstatutory time lines.

Need for Rule: Federal law and regulations require all impartialhearings to be adjudicated within the 45-day timeline, or a timelinethat is properly extended by the IHO at the request of either party, orin the case of an expedited or preschool hearing, within the requiredtimelines. In 2011, only 83.26 percent of New York State impartialhearings were adjudicated within the timeline requirements. The ruleprovides IHOs with more prescriptive authority to properly manageimpartial hearing timelines. In addition, the rule further ensures theimpartiality and availability of IHOs.

Legal Basis of Rule: Education Laws sections 101 (not subdivided),207 (not subdivided), 305(1) and (2) and (20), 3214(3)(g), 4402(1)and (2), 4403(3), 4404(1) and 4410(7)(b) and (13).

Information may be obtained, and written comments may besubmitted, concerning the continuation or modification of any of theabove rules by contacting:

Jhone M. Ebert

(518) 474-3862

nysedp12@nysed.gov

NYS Register/January 4, 2017 Rule Review

Section 30-2.1 of the Rules of the Board of Regents regarding APPRPerformance Definition

Description of Rule: The purpose of the rule is to define perfor-mance for purposes of termination decisions for probationary teachersrelated to annual professional performance reviews (APPRs).

Need for Rule: The rule is necessary to clarify that the references to“performance” of the teacher or principal in the classroom or schoolfor purposes of Education Law § 3012-c(1) and (5)(b) and section 30-2.1(d) and 30-2.11(c) of the Rules of the Board of Regents are refer-ences to the teacher’s or principal’s performance on the APPR, asmeasured by the teacher’s or principal’s overall composite rating. Ac-cordingly, where a board of education has not yet completed an APPRfor a probationary teacher or principal, it may terminate the probation-ary teacher for any statutorily and constitutionally permissible reasons.Those reasons may include the quality of the instruction or servicesprovided by the probationary teacher or principal based on evidenceother than the composite APPR rating. Once it has completed an an-nual professional performance review, the board of education mustconsider the APPR rating as a significant factor to retain or terminatethe employee, unless the employee is being terminated for statutorilyand constitutionally permissible reasons other than the teacher’s orprincipal’s composite APPR rating, such as misconduct, insubordina-tion, time and attendance issues and the like.

Legal Basis of Rule: Education Law sections 101(not subdivided),207(not subdivided), 215(not subdivided), 305(1) and(2) and 3012-c.

Section 52.21 and Part 80 regarding EdTPA

Description of Rule: The purpose of the rule is to provide teacherCandidates, who apply for teacher certification prior to June 30, 2015and who take and fail the teacher performance assessment (edTPA),with the option of either: (1) taking and passing the ATS-W afterreceipt of his/her failing score on the edTPA and prior to June 30,2015, or (2) if the candidate had previously passed the ATS-W on orbefore April 30, 2014 (before the new certification examinationrequirements became effective) and the candidate has taken and failedthe edTPA prior to June 30, 2015, the candidate will be issued an initialcertificate (this applies to Transitional B program candidates who ap-ply for an initial certificate as well).

Need for Rule: At the November and December 2009 Board ofRegents meetings, the Board approved a number of initiatives for thepurpose of transforming teaching and learning and school leadershipin New York State. The Board of Regents discussion included thedevelopment of new examinations, creation of performance assess-ments for teachers and school building leaders, and the revision of thecurrent Content Specialty Tests (CSTs). The teacher performance as-sessment was intended to measure candidates’ readiness for theclassroom consistent with the New York State Teaching Standards,which were adopted with extensive stakeholder input.

In May 2010, the Board reaffirmed the direction for the newexaminations, which included the Academic Literacy Skills Test(ALST), the Educating All Students test (EAS), the edTPA, and theSchool Building Leader performance assessment (SBL), as well asrevisions to the CSTs. The new certification examinations weredescribed in New York’s Race to the Top (RTTT) application in 2010,are part of New York’s RTTT scope of work, and were scheduled to beimplemented in May 2013. Stakeholder engagement – particularlyteacher preparation program faculty – in the development of the newteacher performance assessment began in 2010. The NYS-developedperformance assessment was similar in construct and was field testedtwice (spring and fall of 2011) and over 250 faculty members and over550 students participated. Work continued on the NYS-developed per-formance assessment until we learned about the opportunity to partnerwith SCALE to implement the edTPA. NYS also conducted an edTPAstatewide field test in 2013. At its February 2012 meeting, the Boardof Regents approved a shift in the implementation date of the new cer-tification examinations (edTPA, ALST, EAS and the SBL) from May1, 2013 to May 1, 2014. This implementation date was selected in or-der to provide educator preparation programs with an additional yearto prepare teaching candidates, while at the same time ensuring thatthe timeframes in the State’s RTTT application are met.

As discussed at the December 2012 and October 2013 Regents

meetings, the Department partnered with the Teacher Performance As-sessment Consortium (TPAC) in February 2012 and was utilizing theedTPA as its teacher performance assessment, which was developedby the Stanford Center for Assessment, Learning and Equity (SCALE).The edTPA is a multiple?measure assessment system aligned to stateand national standards, including the Common Core State Standardsand the Interstate Teacher Assessment and Support Consortium(InTASC). The assessment is based on the National Board for Profes-sional Teaching Standards (NBPTS). The edTPA is designed to mea-sure a candidate’s readiness to teach by assessing teaching behaviorsdesigned to foster student learning such as the candidate’s ability todemonstrate effective planning, instruction, and assessment. In orderfor candidates to complete the edTPA, they need to submit a video oftheir performance in the classroom.

Early on, the Department established strong systems of support toensure that each college and university had the information needed tosuccessfully prepare its candidates. In April 2012, the Office of HigherEducation announced the creation of a set of agreements with SUNY,CUNY, and the Commission on Independent Colleges and Universi-ties (CICU) to provide professional development to enhance col-laboration between schools of education and colleges of arts and sci-ences around the Regents Reform Agenda. The project fundedtrainings focused on the Common Core Learning Standards, Data-Driven Instruction, Clinically Rich Teacher Preparation, the new certi-fication examinations, and APPR. Funding from RTTT was used toprovide a total of $10 million to SUNY, CUNY, and CICU. InNovember 2013, the Office of Higher Education offered SUNY,CUNY and CICU an additional $1.5 million total to continue facultyprofessional development using RTTT funding. The faculty develop-ment scope of work was outlined and fully described in each sector’swork plan, available online at http://www.highered.nysed.gov/mou.html.

Statewide field tests of the edTPA – with optional campus participa-tion - occurred during the 2012-13 academic year. Fifty-one campusesparticipated.

In January 2013, the Governor’s Education Reform Commission,recognizing the need for excellent teachers, released its preliminaryreport and recommended the establishment of a “bar” like exam forentry into the teaching and principal profession. In March 2013, thestate budget was enacted with a provision requiring the creation ofstandards for a teacher and principal bar exam certification program.

The Department provided a one- year extension and $11.5 millionto CUNY, SUNY, and CICU to support the provision of faculty profes-sional development on topics such as the Common Core and the newcertification examinations. Further, with a modest, but meaningfulnumber of operational test takers so far, (approximately 1,660), theDepartment estimated that the pass rate is approximately 83%.

In an effort to address the concerns raised by the field, the ruleprovided flexibility to teacher candidates who have taken and failedthe edTPA. Specifically, the rule authorized the Commissioner to issueto a candidate who applies for and meets all the requirements for aninitial certificate on or before June 30, 2015, except he/she does notreceive a satisfactory passing score on the teacher performance as-sessment, if required, to be issued an initial certificate; provided thatsubsequent to receiving a score for the teacher performance assess-ment and prior to June 30, 2015, the candidate received a satisfactorylevel of performance on the written assessment of teaching skills ex-amination in lieu of a satisfactory level of performance on the teacherperformance assessment. Transitional C certificate holders (generallyCareer and Technical Education teachers who are career changers orhold a graduate academic or professional degree) are provided similarflexibility in meeting the edTPA requirement for a professionalcertificate.

In addition, under Section 52.21(b)(2)(iv) of the Commissioner’sRegulations, an institution shall be required to submit a comprehensivecorrective action plan in the event that fewer than 80 percent ofstudents, who have satisfactorily completed the institution’s programduring a given academic year and have also completed one or more ofthe examinations required for a teaching certificate, pass each such ex-amination that they have completed. If the Department does not ap-

prove the corrective action plan, the institution is subject to denial ofre-registration in accordance with the requirements of Section 52.23of the Commissioner’s Regulations. The Department recommendedthat the 80% passage requirement be waived for students who take theedTPA in the 2013-2014 and 2014-2015 academic years. Instead,programs with fewer than 80% of students who pass the edTPA inthese academic years are required to submit a professional develop-ment plan to the Department that describes how the program plans toimprove the readiness of faculty and pass rate for candidates on theedTPA.

Legal Basis of Rule: Education Law sections 207(not subdivided),305(1) and (2), 3001(2), 3004(1), 3006(1)(b) and 3009(1).

Part 80 of the Commissioner’s Regulations regarding Reciprocity

Description of Rule: The purpose of the rule is to establish a stan-dardized reciprocity process for the review of teaching candidatesfrom other jurisdictions.

Need for Rule: The rule is necessary for the following reasons:

Interstate Agreement

Pursuant to Section 3030 of the Education Law, New York Statewas a party to the Interstate Agreement on the Qualifications ofEducational Personnel until 2010. Created through the National As-sociation of State Directors of Teacher Education and Certification(NASDTEC), this compact permits a State to enter into an agreementwith another state for the acceptance of educational personnel wherethe other state’s programs of education, certification standards or otherqualifications were sufficiently comparable to the primary state. In2010, NASDTEC asked each state to undertake a review of all of theother states’ teacher education programs and licensure requirements todetermine if they were comparable to their state before entering into anew agreement. At that time it was determined that the Office ofTeaching Initiatives (OTI) did not have the resources to complete thiscomprehensive review and/or to continue to review changes made tosuch requirements over the period of the agreement. Instead, OTI cre-ated a standardized reciprocity process for the review of candidatescoming from other states. There were three options for reciprocity inNew York State which were posted on the Department’s website andwere largely based on the guidelines of the prior interstate compact.

The rule takes into account the new certification requirements,changes to the administration of the exams, and makes the require-ments clear and transparent for the field and candidates seeking to becertified in New York State.

With the implementation of the new teacher certification require-ments effective on May 1, 2014, it became important to re-evaluateour current practice and consider the potential ramifications of thenew certification examinations and how these examinations areadministered.

In the past, many qualified professionals from out-of-state could notstart work as a teacher in New York simply because they could not ac-cess the required certification exams in a timely manner. To addressthis situation, efforts were made to determine when a candidate com-ing from another state had the necessary and equivalent training andpreparation to be permitted, on a temporary basis, to teach in NewYork until they had an opportunity to take and pass all teacher certifi-cation examinations required for employment in this profession.

One of the important changes in the administration of these certifi-cation examinations affecting out-of-state candidates is computer-based testing. With testing centers located throughout the country,out-of-state candidates no longer have to wait significant periods oftime or travel to New York to take the computer-based exams. Certifi-cation examinations are offered with greater frequency, many on adaily or weekly basis.

However, as part of the new teacher certification requirements, allcandidates must take and pass the edTPA. This performance-based as-sessment requires all candidates to video tape themselves providinginstruction in an actual classroom. This requirement has the potentialto be a significant barrier for many qualified out-of-state candidates.

As a result of the aforementioned changes to New York’s certifica-tion requirements, the Department recommended that the existing

practice for out-of-state candidates be discontinued after May 1, 2014and that regulations be adopted that clarify, under the teacher certifi-cation requirements, how an out-of-state candidate qualifies for aConditional Initial Certificate. The regulation required candidates topass the ALST, EAS and CST(s) prior to receiving a Conditional InitialCertificate. The rule also decreased the time validity of a ConditionalInitial Certificate from two years to one year. In addition, the ruleestablished a sunset date of May 1, 2017 for the issuance of aConditional Initial Certificate.

Legal Basis of Rule: Education law sections 207 (not subdivided),305(1) and (2), 3001(2), 3004(1), 3006(1)(b), 3007(1) and (2) and3009(1).

Section 80-1.1(b)(47) of the Commissioner’s Regulations regardingthe Definition of Part-Time Experience for Permanent or ProfessionalCertification

Description of Rule: The purpose of the rule is to provide certifica-tion candidates serving as substitute teachers with an alternative tomeet part-time continuous service experience requirements.

Need for Rule: The rule is necessary for the following reasons: Sec-tion 80-1.1(b)(47) of the Commissioner’s Regulations previouslydefined a year of experience for permanent or professional certifica-tion as:

(i) a minimum of 180 days of full-time continuous school experi-ence in the subject or area of certification completed within a 12-month period; or

(ii) a minimum of 180 days of full-time continuous school experi-ence in the subject or area of certification completed in periods of noless than 90 days each within a 12-month period; or

(iii) a minimum of 360 days of part-time continuous school experi-ence consisting of an average of 2.5 days per week in the subject orarea of certification and completed in periods of no less than 90 dayseach within a 12-year period.

Due to budget constraints and reductions in force, the number ofteaching positions in many school districts declined. As a result, itbecame increasingly difficult for newly certified teachers to meet theexperience requirements for permanent or professional certification.

Teachers submitted substitute experience to meet the experiencerequirements for permanent or professional certification. However,many times the part-time substitute experience did not average 2.5days per week in the subject or the area of certification. This preventedsome teachers from meeting the experience requirement for profes-sional certification. The rule added an option for teachers to obtaintheir required experience for the permanent certificate.

An example

A teacher holds a Math 7-12 certificate. This teacher cannot findfull-time employment in the local school district. The teacher decidesto become a substitute teacher, hoping to find a full-time position.This teacher cannot find any position that is 2.5 days per week in theyears that he/she is substituting. The substitute teaching is a day hereand there in multiple schools. The teacher does have the equivalent of3 years of experience within the twelve year period, however has notbeen able to have periods of at least 90 days or 2.5 days per week.

In consultation with the Professional Standards and Practices Board,the Department recommended that the definition of part-time experi-ence be expanded to include the following experience:

A minimum of 360 days of part-time school experience, which shallinclude at least 45 days of part-time continuous school experience inthe subject area of the certificate sought, consisting of at least oneclass period each day with a consistent group of students during suchtime period.

The experience must include the breadth of activities that a full-time teacher assigned to the class would have following the teachingstandards appropriate to the part-time position. The rule allowscandidates serving as substitute teachers who are applying for a per-manent or professional certificate to have an alternative option to meetthe part-time continuous service, while at the same time requiringcandidates to have the skills and abilities required of new teachers.

Legal Basis of Rule: Education Law sections 207 (not subdivided),305(1), 3001(2), 3006(1)(b) and 3009(1).

Sections 80-3.3 and 80-3.7 of the Commissioner’s Regulationsregarding Individual Evaluation

Description of Rule: The purpose of the rule is to discontinue theindividual evaluation pathway for certain certificate titles and continuethe individual evaluation pathway for all other certificate titles.

Need for Rule: In 2003, the Board of Regents revised the certifica-tion requirements for teachers by creating a pathway for individualevaluation for candidates who have not completed registered teachereducation programs. Under the individual evaluation pathway,candidates are required to submit evidence of coursework and fieldexperience to the State Education Department for evaluation and issu-ance of the certificate. This pathway was originally established as ameans to address teacher shortage areas, recognizing that there areindividuals who have acquired the necessary content knowledge andskills needed to become a teacher in New York State.

The provision regarding individual evaluation included a sunsetdate of February 1, 2007 for certificates in childhood education andFebruary 1, 2009 for all other certificates in the classroom teachingservice.

In 2008, the Regents extended the expiration date of the individualevaluation pathway for all classroom titles except childhood educa-tion from February 1, 2009 to February 1, 2012. The individual evalu-ation pathway for childhood education certification was discontinuedat that time because there was no shortage of childhood educationteachers. The purpose in establishing these sunset dates was to allowthe Department time to assess the continued need for the individualevaluation pathway, based on how many candidates use this pathwayto become certified, particularly in subject areas where there areteacher shortages.

In June 2011, the Regents extended the expiration date of the indi-vidual evaluation pathway for all classroom titles except childhoodeducation from February 1, 2012 to September 1, 2013. The purposein establishing the extension to September 2013 was to coincide withthe implementation of the new certification exams.

In January 2012, the Regents extended the implementation date ofthe new teacher certification examinations to May 1, 2014.

Thereafter, in January 2013, the Regents extended the expirationdate of the individual evaluation pathway for all classroom titlesexcept childhood education from September 1, 2013 to May 1, 2014to align with the new implementation date for the certificationexaminations.

Amendments

Based on available data from September 2010 through January2014, below is a list of the percentages of initial certificates that wereissued through individual evaluation in these certificate areas:

6% Early Childhood

7% Generalist in Middle Childhood Education

7% English Language Arts

.2% Literacy

Based on available certification supply and demand data, theDepartment recommended ending the individual evaluation pathwayfor the above certificate titles. However, the Department recommendedcontinuing the individual evaluation pathway for all other certificatetitles. This individual evaluation pathway is essential for those seek-ing to obtain a CTE certificate. For the period September 2010 throughJanuary 2014, the Department conducted an individual evaluation for680, or 80% of the CTE applications. In fact, this is the major pathwayupon which new CTE teachers become certified.

Legal Basis of Rule: Education Law sections 207(not subdivided),210(not subdivided), 305(1) and (2), 3001(2), 3004(1), 3006(1)(b)and 3009(1)(b).

Section 102.4 of the Commissioner’s Regulations regarding TestSecurity

Description of Rule: The purpose of the rule is to formally imple-ment the recommendations of Special Investigator Hank Greenberg toenhance the security of the State assessment program by prohibitingcertain testing misconduct, establishing a mandatory reporting require-ment for certain school personnel who learn of any security breach orother testing misconduct, and to sanction those who fail to comply.

Need for Rule: In November 2011, pursuant to Education Law§ 104 and section 3.9 of the Rules of the Board of Regents, the Com-missioner appointed Henry “Hank” Greenberg as a Special Investiga-tor, and tasked him with performing a review of the Department’sprocesses and procedures for handling and responding to reports of al-legations of misconduct related to the administration and scoring ofNew York State assessments. In this capacity, Special InvestigatorGreenberg performed an exhaustive review of the Department’sprocesses and procedures for the intake, review, referral, investiga-tion, findings, response, follow-up, and records retention policyregarding allegations of educator misconduct during the administra-tion and scoring of State assessments. The review included interviewsof Department personnel and others involved in testing investigations,and the review of pending and closed investigative case files, guid-ance materials, manuals, statutes, and regulations, among other rele-vant items.

On March 19, 2012, Special Investigator Greenberg reported hisfindings and recommendations to the Board. See Greenberg, H.,Review of the New York State Education Department’s (‘NYSED’)Processes and Procedures for Handling and Responding to Reports ofAlleged Irregularities in the Administration and Scoring of StateAssessments. The Board accepted all of the Special Investigator’srecommendations, which included the creation of a new Test SecurityUnit (“TSU”) that would focus on the detection and deterrence of se-curity breaches and other testing irregularities.

Another significant recommendation from Special InvestigatorGreenberg that the Board adopted was that the Department establish amandatory reporting requirement for school personnel, who learn ofany security breach or other testing misconduct, define specific contextbased examples of prohibited testing misconduct, and sanction thosewho fail to comply. (Greenberg Report, pgs. 10 and 14, emphasis inoriginal). Pursuant to this recommendation, the TSU incorporated amandatory reporting requirement in the Department’s testing manualsfor Regents and Grades 3 through 8 examinations. The TSU recom-mended that the Board formalize Special Investigator Greenberg’srecommendations by amending Section 102.4 of the Commissioner’sRegulations to prohibit certain testing misconduct and that the regula-tion be amended to include specific concrete examples of what consti-tutes “testing misconduct.”

Additionally, Special Investigator Greenberg recommended thatNYSED “[p]rotect from retribution persons who report securitybreaches and other testing irregularities.” (Greenberg Report, p. 11).Therefore, the TSU recommended that the Board formalize this rec-ommendation for protecting persons who report test security viola-tions to the TSU by amending Section 102.4 of the Commissioner’sRegulations to include such protection. Under Civil Service Law§ 75-b, protections exist for public employees who report violationsof “a law, rule, or regulation” that the reporting person reasonablybelieves has occurred. The amendment clarifies that certified individu-als who take retaliatory action against a person who makes a test fraudreport in compliance with the amendment may be subject to Part 83sanctions.

The amendments enhanced the security of the State Assessmentprogram in several ways. First, the regulation defines specific types oftesting misconduct, prohibits such misconduct and requires thatincidents of suspected testing misconduct be reported to the Depart-ment so that they can be investigated and addressed. Second, theamendment serves to protect district personnel, educators and otherswho file reports of suspected cheating from retaliation by prohibitingthem from being disciplined and/or from any other adverse action asthe result of the filing of a report while at the same time deterringmisconduct and encouraging a culture of ethical testing by serving no-tice that any ethical testing breaches will be reported to the Depart-ment if they become known. The mandatory reporting requirements inthe amendment are consistent with the requirements of several otherstates, including but not limited to, Virginia, Illinois, Texas andNevada.

Legal Basis of Rule: Education Law sections 207 (not subdivided),225(1)-(11) and 305(1) and (2) and Civil Service Law section 75-b(2)(a).

John D’Agati

(518) 486-3633

Section 100.7(a)(2) of the Commissioner’s Regulations regardingthe State High School Equivalency Diploma

Description of Rule: The purpose of the rule is to permit, for alimited time, acceptance of partial passing scores on one or more sub-tests of the GED® examination for the corresponding sub-test on theState High School Equivalency examination (the Test Assessing Sec-ondary Completion – TASC).

Need for Rule: The rule was necessary because the GED® exami-nation was the primary method to achieve a New York State HighSchool Equivalency Diploma. However, with the changes in theadministration and content of the GED® examination beginning inJanuary 2014, as well as the increased cost of the exam that was an-nounced by GEDTS (the company that owns and administers theGED® examination), the Board of Regents decided at its September2012 meeting that the State should issue a competitive Request forProposals (RFP) in order to meet state procurement standards andidentify an appropriately rigorous assessment for a High SchoolEquivalency (HSE) Diploma at the most reasonable price. On March7, 2013, Commissioner King announced that the winning bidder wasCTB/McGraw Hill with a new examination called Test Assessing Sec-ondary Completion (TASC).

TASC is similar to the GED® examination. The exam is composedof the same five subtest sections that comprise the current GED® test:English Language Arts -Reading, English Language Arts - Writing,Mathematics, Science and Social Studies. The examination is alignedto the Common Core State Standards (CCSS) over a three year period(2014-2016), which supports a natural, gradual, and fair transition toCCSS. In 2015 and 2016, CTB introduced more rigorous item types(e.g. constructed-responses). This allowed for a transition from lessrigorous CCSS aligned assessment in 2014 to more rigorous anddeeply aligned CCSS assessment in 2015 and 2016. Transitioning tofull CCSS alignment is also accomplished by gradually increasing therigor of the content each year.

Out-of-school youth and adults have a limited time and opportunityto earn a HSE diploma to support their post-secondary and employ-ment goals. Unfortunately the systems supporting these individualslack the capacity and resources to effect CCSS level curriculum andinstruction at a pace needed to support full transition to the TASCeven with a phased-in approach to increased rigor. To better assure aseamless transition, the rule allowed, for a limited time, a passingscore on up to four sub-tests of the 2002 edition of the GED® exam(2003 edition for Spanish language versions) to be accepted as a pass-ing score for the corresponding sub-test on any general comprehensiveexamination prescribed for the HSE diploma. For example, a passingscore on up to four sub-tests earned by taking the 2002 edition of theGED® exam would be accepted as a passing score on the correspond-ing sub-tests of the TASC administered on or after January 1, 2014and before January 1, 2016.

Legal Basis of Rule: Education Laws sections 101(not subdivided),207(not subdivided), 208(not subdivided), 209(not subdivided),305(1) and (2), 308(not subdivided) and 3204.

Kevin G. Smith

Deputy Commissioner

Adult Career and Continuing Education Services (ACCES)

89 Washington Ave., Room 575 EBA

518-474-2714

ACCESDeputy@nysed.gov

B. CALENDAR YEAR 2013

Section 100.2(ee) of the Commissioner’s Regulations regardingAcademic Intervention Services (AIS)

Description of Rule: The purpose of the rule is to establish modifiedrequirements for AIS during the 2013-2014 school year.

Need for Rule: The rule modifies the test cut scores for the requiredprovision of Academic Intervention Services (AIS) to students duringthe 2013-2014 school year. Under the prior rule, those students scor-ing at or below a scale score of 650 were required to be provided withAIS. The rule established, for the 2013-2014 school year only, specificscale scores for English Language Arts and Mathematics examina-tions administered in each of the grades 3 through 8 that require theprovision of AIS to students scoring below such scale scores.

Historically, students who have scored below proficient on State as-sessments in English language arts or mathematics have been requiredto receive AIS. However, proficiency standards on the 2012 and the2013 state assessments cannot be directly compared because the 2012tests were designed to measure the learning standards established in2005, which are different than the new Common Core Learning Stan-dards (CCLS) measured on the 2013 tests. Despite the change inscales, the Department can determine the scale scores for each respec-tive year that is associated with students who scored at the samepercentile rank on the two assessments. The Department proposed us-ing these percentile ranks as the basis for determining which studentsmust be provided Academic Intervention Services during this transi-tion year as this approach ensured that the change in proficiency ratesnot result in a significant increase in the percentage of students whomust receive AIS. The cut scores that the Department proposed beused result in districts being required to provide AIS to approximatelythe same percentages of students Statewide in the 2013-2014 schoolyear as received AIS in the 2012-2013 school year. This is analogousto the action taken by the Regents in 2010 to address the raising of thecut scores on the 2010 Grade 3-8 English language arts and mathemat-ics assessments (see New York State Register, November 10, 2010;EDU-31-10-00004-A).

Specifically, the rule provided that for the 2013-2014 school yearonly:

(1) Students scoring below specific scale scores, as set forth in sec-tion 100.2(ee)(2)(i)(a)(3) of the rule, for English Language Arts andMathematics examinations administered in each of the grades 3through 8, must receive academic intervention instructional services.

(2) Students scoring at or above such scale scores but below level3/proficient were not required to receive academic interventioninstructional and/or student support services unless the school districtdeems it necessary.

(3) Each school district develop and maintain on file a uniform pro-cess by which the district determined whether to offer AIS during the2013-14 school year to students who scored above such scale scoresbut below level 3/proficient on a grade 3-8 English language arts ormathematics State assessment in 2012-2013, and either post to itsWebsite or distribute to parents in writing a description of such pro-cess no later than November 1, 2013.

Legal Basis of Rule: Education Law sections 101(not subdivided),207(not subdivided), 305(1) and (2), 308(not subdivided), 309(notsubdivided) and 3204(3).

Sections 100.5(b)(7)(i), 100.6 and 200.5(a)(5)(iii) of the Commis-sioner’s Regulations regarding career development and occupationalstudies credentials

Description of Rule: The purpose of the rule is to establish criteria

for award of the New York State Career Development and Oc-cupational Studies Commencement Credential to students withdisabilities.

Need for Rule: In January 2012, the Regulations of the Commis-sioner were amended to repeal the individualized education program(IEP) diploma, effective July 1, 2013, and replace it with a Skills andAchievement Commencement Credential for students with severe dis-abilities who are eligible to take the New York State AlternateAssessment. The rule, beginning July 1, 2013 and thereafter, autho-rized school districts and nonpublic schools to award a career develop-ment and occupational studies commencement credential to otherstudents with a disability to document high school preparation forentry-level employment. The credential was awarded as a supplementto a Regents or local high school diploma or, for a student with a dis-ability who is unable to earn a Regents or local diploma, as thestudent’s exiting credential. Because the IEP diploma sunset as ofJune 30, 2013, the rule included exceptions to certain requirements toallow appropriate discretion for school principals to determinewhether students exiting high school in the 2013-14 and 2014-15school years had sufficient knowledge of the CDOS learning stan-dards to qualify for the award of the career development and oc-cupational studies commencement credential.

Legal Basis of Rule: Education Law sections 101(not subdivided),207(not subdivided), 208(not subdivided), 305(1) and (2), 4402(1)-(7)and 4403(3).

Section 119.7 of the Commissioner’s Regulations relating to charterschool charter renewals

Description of Rule: The purpose of the rule is to clarify standardsfor charter renewals of charter schools for which the Board of Regentsis the authorizing entity.

Need for Rule: In November 2012, the Board of Regents approveda Charter School Renewal Policy and endorsed a PerformanceFramework, which outlined the performance benchmarks by whichcharter schools are evaluated by Department Staff when they apply forrenewal. Taken together, these two documents were intended toprovide a roadmap for the renewal process for charter schools autho-rized by the Regents and ensure that all interested and impacted par-ties are informed at the outset of the process of the benchmarks bywhich a renewal application will be judged and the policy underpin-nings of charter renewal decisions. Consistent with the terms of theDepartment’s $113 million federal Charter Schools Program (CSP)multi-year grant, improvement in student academic achievement is themost important factor that is considered by the Regents when deter-mining whether to renew or revoke a school’s charter.

The rule applies to applications for the renewal of a charter pursu-ant to Education Law section 2851(4) that are submitted by charterschools for which the Board of Regents is the charter entity. The rule,which is consistent with the Performance Framework endorsed by theRegents, made the charter school renewal process more transparent byadopting a comprehensive regulation that embodied the guidelines forthe renewal process and policies. In addition to clarifying the Board’sprevious Charter School Renewal Policy, the rule requires that re-newal charters include the performance benchmarks prescribed pursu-ant to the regulation. The end result is a roadmap for the renewal pro-cess for charter schools authorized by the Regents that clearly setsforth the roles, responsibilities and obligations of all the parties in thecharter renewal process: the charter school’s board of trustees, theDepartment, and the Board of Regents. The rule also outlines the pos-sible charter renewal outcomes, and specifies that such outcomes arewithin the sole discretion of the Board of Regents.

Legal Basis of Rule: Education Law sections 101(not subdivided),207(not subdivided), 305(1), (2) and (20), 2851(4) and 2852(1), (2),(3), (5), (5-a), (5-b) and (6) and 2857(1).

Section 135.4(c)(7)(ii)(d) of the Commissioner’s Regulationsregarding duration of competition in high school athletics

Description of Rule: The purpose of the rule is to eliminate the oneadditional season limit on waivers for students with disabilities to par-ticipate in athletic competition.

Need for Rule: Section 135.4(c)(7)(ii)(b)(1), relating to duration ofcompetition, previously provided, with certain exceptions, that a

student be eligible for athletic competition in a sport during each offour consecutive seasons of such sport commencing with the student’sentry into ninth grade and prior to graduation, and be eligible forinterschool competition in grades 9, 10, 11 and 12 until the last day ofthe school year in which the student attains the age of 19.

Section 135.4(c)(7)(ii)(d) provides a process for obtaining a waiverfrom the age requirement and four-year limitation for athletic compe-tition to allow students with disabilities, who otherwise are not able toparticipate in interscholastic athletic competition due to their ageand/or years in school, to participate in a non-contact athletic sport foran additional season.

The rule eliminated the one additional season restriction by allow-ing students with disabilities to participate in a non-contact sport forone or more additional seasons if they meet all the other specifiedcriteria for this waiver. This rule advances initiatives of inclusion byoffering students with disabilities continued socialization with team-mates and continued opportunity to develop the skills and abilities as-sociated with such students’ participation in such sports.

Legal Basis of Rule: Education Law sections 101(not subdivided),207(not subdivided), 305(1) and (2), 803(not subdivided), and 3204(2)and (3).

Jhone M. Ebert

(518) 474-3862

nysedp12@nysed.gov

Sections 80-3.3, 80-3.4, 80-3.10, 80-5.13, 80-5.15 and 80-5.20(a)(1)(v) of the Commissioner’s Regulations regarding teacherand school district leader certification examinations

Description of Rule: The purpose of the rule is to adopt technicalchanges to the certification examination requirements for certainteachers and school district leaders.

Need for Rule: At their December 2012 meeting, the Board ofRegents adopted regulations regarding requirements for new certifica-tion exams for teachers and school building leaders. As a result ofmeetings with the field and the assessment developers, a series ofrecommendations and suggestions were made regarding several of theassessments specific to certain certification areas and titles. Thechanges below reflect these technical changes to ensure that all teacherand leader candidates are prepared to take on their job responsibilitiesonce hired.

Requirements for Initial Certificates in CTE Fields - Option A andB Pathways

In December 2012, regulations were amended to require candidateswho apply for CTE certification on or after May 1, 2014 or candidateswho apply for CTE certification on or before April 30, 2014 but do notmeet all the requirements for an initial certificate on or before April30, 2014, to pass the edTPA for initial certification.

Given the vast selection of specified CTE subject areas (there are40 specific certification areas) available within the CTE field, com-bined with relatively low rates of certificates issued, the creation of in-dividual edTPAs for each specific subject area was not practical. TheDepartment worked to develop a general performance assessment forgeneral CTE certificate areas or clusters, consistent with NationalStandards that apply to all those seeking a CTE certificate in NewYork. In addition, since the majority of individuals seeking to obtainCTE certification come directly from the field rather than an educationprogram, requiring the edTPA for initial certification can act as a bar-rier to job entry, given that these individuals do not have access to a

classroom prior to obtaining certification. Therefore, the rule elimi-nated the requirement for candidates to complete the edTPA for initialcertification, instead requiring a performance assessment for CTEteachers seeking their professional certification when it becomesavailable.

Requirements for School District Leader Candidates

Candidates who apply for School District Leader certification werepreviously required to successfully complete a New York Stateeducational leadership program and achieve a satisfactory level ofperformance on the school district leadership examination. However,the Department believed that school district leaders should possess theskills and knowledge needed to adequately meet the diverse needs ofstudents and to ensure that all students are successful. In addition, it isimportant for school district leaders to be aware of, and understand,the benefits of fostering strong home-school relationships, specificallyas it relates to academic success. It is essential for school district lead-ers to understand the rights and responsibilities of various stakehold-ers, such as teachers, children, and parents, in a variety of situationsand also have the ability to lead and direct the work at the school build-ing level. Therefore, the rule required a candidate who applies for aprofessional School District Leader certificate on or after May 1, 2015to pass the Educating All Students examination.

In addition, any candidate applying for a School District Leadercertificate under the endorsement pathway on or after October 2, 2013,shall achieve a satisfactory level of performance on the School DistrictLeader examination. Candidates applying for a School District Leadercertificate on or after May 1, 2014 or candidates applying for certifica-tion on or before April 30, 2014 but who do not meet all the require-ments for a professional certificate on April 30, 2014, shall submit ev-idence of having achieved a satisfactory level of performance on theEducating All Students examination.

Requirements for Initial Certification in Education Technology Spe-cialist

In December 2012, regulations were amended to require thatcandidates applying for certification on or after May 1, 2014, orcandidates who applied for certification on or before April 30, 2014,but did not meet all of the requirements for an initial certificate on orbefore April 30, 2014, pass the edTPA, EAS, ALST, and the CST.

An Education Technology Specialist’s role in a school is to helptrain and support the work of the teacher. He/she is expected to helpthe teacher learn how to employ technology in support of studentlearning. He/she is not expected to engage with students directly. As aresult, candidates for the Education Technology Specialist mustcomplete a practicum, rather than student teaching. The rule removedthe edTPA requirement for these candidates.

Requirements for Initial certification of Speech and Language Dis-abilities

In December 2012, regulations were amended to require thatcandidates applying for certification on or after May 1, 2014, orcandidates who applied for certification on or before April 30, 2014,but did not meet all of the requirements for an initial certificate on orbefore April 30, 2014, pass the edTPA, EAS, and the ALST. Thesecandidates are required to pass the Speech and Language Pathology(PRAXIS) examination which is also required for a professionallicense as a Speech and Language Pathologist.

Because the role of these teachers is often that of a related servicesposition, rather than one in which they deliver content, it is unlikelythat their student teaching will be in a role in which they instruct aclass. Therefore, the rule removed the edTPA requirement for thesecandidates.

However, pursuant to Section 80-3.9 of the Commissioner’sRegulations, speech-language pathologists licensed under Title VIIIwho apply for an initial certificate as a teacher of speech and languagedisabilities (all grades) are not subject to the examination require-ments for such teachers. These candidates are required to have a pass-ing score on the Speech and Language Pathology (PRAXIS) examina-tion in order to be licensed.

Legal Basis of Rule: Education Law sections 207, 305(1), 3001(2),3006(1)(b) and 3009(1).

Sections 80-1.2(b), 80-1.6 and 80-2.1(a)(2)(i) and (ii) of the Com-missioner’s Regulations regarding definition of date of issuance ofCertificates and Expiration of Certain Permanent Certificates fromExpired Provisionals

Description of Rule: The purpose of the rule is to amend the defini-tion of effective date of a certificate to allow persons to be employedin their certificate area on the date their certificate is issued, ratherthan the February 1 or September 1 following the issuance date oftheir certificates. The rule also establishes an expiration date ofOctober 1, 2014 for the issuance of a permanent certificate in theclassroom teaching service or school administrator and supervisoryservice for candidates with an expired provisional certificate.

Need for Rule: The rule is necessary for the following reasons:

Effective dates

Section 80-1.2(b)(2) of the Commissioner’s regulations previouslyprovided that any certificates issued under Part 80 of the Commis-sioner’s regulations date from the first day of either February orSeptember in the year of issuance. However, this language causedconfusion in the field because the Office of Teaching Initiatives has alongstanding policy that a certificate holder may begin employment ina public school under that certificate title on the actual date of issu-ance of the certificate.

In 2006, the Office of Teaching implemented the TEACH onlinesystem. All New York State public schools use this system for verifica-tion of certification for their staff. This system made it easier fordistricts to determine if a certificate has been issued, however the ef-fective date in this system was still set for September 1 or February 1,depending on when the certificate was issued. Because the systemreflects a February or September effective date, some districts do notappoint staff until September 1 or February 1, even though their certif-icate is technically effective.

Issuance of Permanent Classroom Teaching and SchoolAdministrator/Supervisor Certificates to holders Expired ProvisionalClassroom Teaching and School Administrator/Supervisor certificates

In 2000, the Board of Regents promulgated new regulations for theissuance of Initial and Professional classroom teaching certificates ef-fective February 2, 2004. The changes in regulation allowed for thecontinued issuance of the permanent classroom teaching and schooladministrator/supervisor certificates to holders of expired classroomteaching and School Administrator/Supervisor certificates as long asthe person met the certificate requirements for a permanent and/orSAS certificate during the life of their provisional certificate. The ruleproposed to end the issuance of the permanent certificate based on anexpired provisional certificate for the classroom teaching and SchoolAdministrator/Supervisor certificates as of October 1, 2014.

Previously, a person that was issued a provisional teaching certifi-cate and completed the requirements for the permanent certificate dur-ing the life of the provisional, even though the provisional certificateexpired, could still apply and be issued a permanent certificate.

The rule ends the issuance of the permanent certificate based on anexpired provisional certificate for the classroom teaching and SchoolAdministrator/Supervisor certificate as of October 1, 2014. If the issu-ance of these certificates were ended, this person would not be eligiblefor the permanent certificate but would have to meet the requirementsfor the initial or professional certificate, which were added in 2004.The requirements for an initial or professional certificate are more rig-orous than the requirements for the provisional/ permanent certificates.However, it was believed that with the implementation of the RegentsReform Agenda, (APPR and Common Core) these teachers and build-ing level administrators should be required to have the skills and abili-ties of the required of the new teachers and building level administra-tors under the current regulations.

Legal Basis of Rule: Education Law sections 207 (not subdivided),305(1), 3001(2), 3006(1)(b) and 3009(1).

John D’Agati

(518) 486-3633

Sections 63.11 and 63.12 of the Commissioner’s Regulationsregarding interpretations and translations for prescription drugs, stan-dardized labeling and patient-centered data elements for medications.

Description of Rule: The purpose of the rule is to implement Part Vof Chapter 57 of the Laws of 2012 regarding interpretations andtranslations for prescription drugs, standardized labeling and patient-centered data elements for medications.

Need for Rule: The 2012 New York State budget legislationincluded amendments to the Education Law, which amendments arecommonly referred to as the SafeRx Law (L. 2012, c. 57, Part V). Thislaw, which became effective March 30 2013, includes provisions toassist Limited English Proficient (LEP) individuals who need inter-pretation and translation services when filling prescriptions atpharmacies. The law also required the Commissioner of Education todevelop rules and regulations to provide more patient-friendly pre-scription labels for all patients.

Over the course of the months following passage of this law, theOffice of the Professions sought input from interested stakeholders. Inaddition to receiving written comments, there were three opportunitiesfor oral presentations, one each in Buffalo, Albany and New YorkCity. This input, and advice from the State Board of Pharmacy, as-sisted in the development of the rule.

Section 6829 of the Education Law, as added by section 3 of Part Vof Chapter 57 of the Laws of 2012, includes the following provisions:

D The law applies to covered pharmacies, which is defined as apharmacy that is part of a group of eight of eight or more pharmacies,located within New York State and owned by the same corporate entity.

D Covered pharmacies are required to provide interpretation andtranslation services to LEP individuals in their preferred pharmacyprimary language, free of charge.

D The law defines the preferred pharmacy primary languages asthose that are spoken by 1% or more of the population, as determinedby the U.S. Census, for each region, as established by the Department,provided that no pharmacy need provide services in more than sevenlanguages.

D Interpretation and translation services may be provided bypharmacy staff or third-party contractors.

D Pharmacies will not be liable for injuries resulting from the ac-tions of a third party as long as the pharmacy entered into the contractreasonably and in good faith.

D Every covered pharmacy must conspicuously display a notice, inthe pharmacy primary languages, notifying patients of the availableinterpretation and translation services.

D The law requires the Department to develop a process whereby acovered pharmacy may seek a waiver from these requirements if itcan demonstrate that implementation is unnecessarily burdensomewhen compared to the need for services.

D The law also requires the Commissioner, in consultation with theDepartment of Health, to establish translation and interpretationrequirements for mail-order pharmacies; such requirements becameeffective March 30, 2014.

As noted above, the law delegated to the Department the responsi-bility of establishing the regions to be used in determining the lan-guages in which translation and interpretation services must beprovided. The Board of Pharmacy and Department staff considered anumber of options, such as dividing the State into 6-8 regions, divid-ing the State into an upstate and a downstate region only, dividing theState on a county-by-county basis, and considering the State in its en-

tirety as one region. After discussions with stakeholders representingboth covered pharmacies and LEP individuals, it was determined thatthe last option was preferred because it provided services to a largeportion of the LEP population in an efficient and cost-effectivemanner. Establishing the State as a single region resulted in fourpharmacy primary languages statewide – Chinese, Italian, Russianand Spanish. This approach expedited the adoption of standardized in-terpretation and translation services by covered pharmacies andprovides for more languages to be covered in nearly all upstate com-munities than other options.

It should be noted that New York City has a local law regarding theprovision of language assistance, interpretation, and translation ser-vices to LEP individuals. Both the enacting statute and the rule containprovisions that make it clear that neither the law nor the rule promul-gated to implement it will diminish requirements existing pursuant tothis New York City law.

Additionally, in the course of the development of the proposedregulations, the Civil Rights Bureau of the State Attorney General’sOffice provided information concerning settlement agreements it haswith seven large retail pharmacy chains pursuant to which those chainshave been providing language assistance, interpretation, and transla-tion services in approximately 10 different languages to LEP individu-als throughout the state. While all but one of those agreements expiredin 2013, there is nothing in the law or the rule that prohibits anypharmacy from providing language assistance, interpretation, andtranslation services in additional languages.

Education Law § 6830, as added by section 4 of Part V of Chapter57 of the Laws of 2012, required the Commissioner to develop regula-tions requiring the use of standardized patient-centered data elementson all prescription medication labels. It also required the Commis-sioner to obtain input from its Boards of Pharmacy and Medicine,consumer groups, advocates for special populations, pharmacistsphysicians, other health care professionals authorized to prescribe,and other interested parties, in the development of patient-centeredprescription labels. Such labeling is intended to increase patientunderstanding and compliance with medication regimens.

Regarding patient-centered labeling, the Boards of Pharmacy andMedicine relied, in part, on previous studies conducted by the UnitedStates Pharmacopeia and by the National Association of Boards ofPharmacy. Based on these studies, the rule requires that prescriptionlabels must have certain, critical elements, including patient name, thedrug name and directions, that must be bolded and/or highlighted andbe in at least 12-point font. The rule also requires that directions forpatient use be written in full sentences. Other important informationmust also be included on the label, including among other things, thepatient’s address, the pharmacy address and the name of the prescriber,but the manner in which such information is included on the labelmust not detract from the critical elements.

Legal Basis of Rule: Sections 207(not subdivided), 6504(notsubdivided), 6507(2)(a), 6829(1), (6), (7) and 6830 (1) of the Educa-tion Law, and Part V of Chapter 57 of the Laws of 2012.

Albany, NY 12234

(518) 486-1765

opdepcom@nysed.gov

Section 100.8 of the Commissioner’s Regulations regarding localdiploma based on experimental programs

Description of Rule: The purpose of the rule is to extend until June30, 2013 the provision for awarding local high school equivalencydiplomas based upon experimental programs.

Need for Rule: The rule is necessary to implement Regents policyto extend for one year the provision in section 100.8 of the Commis-sioner’s Regulations that allows boards of education and BOCES toaward local high school equivalency diplomas based upon experimen-tal programs approved by the Commissioner. The extension allows thecontinuance in New York State of the National External DiplomaProgram (NEDP), which is a complete assessment program that al-lows adults over age 21 to demonstrate and document the lastingoutcomes and transferable skills for which a high school diploma isawarded. The NEDP is a competency based, applied performance as-sessment system which capitalizes on an adult’s life experiences anduses a practical application of learning for assessment through suchmethods as simulations, authentic demonstration, research projects,hands-on interviews and oral interviews. A NEDP candidate mustdemonstrate a job skill and the competencies that align with the skillsneeded to function effectively in the workplace. All competenciesrequire 100 percent mastery. The one year extension ensures that allNEDP students in the approximately 18 program sites across the Stateare provided with an opportunity to complete their programs and earna local high school equivalency diploma.

Legal Basis for Rule: Education Law sections 101(not subdivided),207(not subdivided, 208(not subdivided), 209(not subdivided), 305(1)and (2), 309(not subdivided) and 3204(3).

Part 126 and section 145-2.3 of the Commissioner’s Regulationsregarding Licensure of non-degree granting private proprietary schools

Description of Rule: The purpose of the rule to implement the pro-visions of Chapter 381 of the Laws of 2012 regarding licensure ofnon-degree granting private proprietary schools.

Need for Rule: Chapter 381 of the Laws of 2012 amended Article101 of the Education Law (sections 5001 through 5010) to eliminatethe distinction between licensed private schools and registered busi-ness schools, replace the phrase “licensed private schools” with themore descriptive “licensed private career schools”, adjust fees, whichhad not changed since 1990, and establish a candidate school categorythat would allow a school to operate legally while it is in the processof obtaining a non-degree-granting proprietary school license.

Section 5001 of the Education Law provides for the consolidationof registered business schools and licensed private schools into onedesignation, eliminating the artificial distinction between these typesof schools and reflecting the current heterogeneous nature of trainingprograms offered at these schools. This section also clarifies theexemptions for certain schools from the licensure requirements andexempts conferences, trade shows, workshops and such other coursesof study from the licensing requirements. Candidate school status isalso allowed as a practical means for prospective schools to operatelegally prior to meeting all the requirements of full licensure. Thissection also amends the specific fees for initial and renewal applica-tions for such licensure. Renewal fees are increased to reflect the StateEducation Department’s current cost of supervising these schools andto meet the prospective costs for reimbursing tuition for a significantnumber of students when these students’ schools close due to fiscalfailure or non-compliance. Initial application fees are set at certainamounts and fees for renewal are based on the school’s gross annualtuition income. Renewal fees are accrued to the credit of the propri-etary vocational school supervision account.

Section 5001 sets forth procedures for working with schools thatare not financially viable to protect the tuition reimbursement account.The method of assessing schools is changed from more complicatedregular and special assessment formulas to one based on the numberof quarterly assessments paid, whereby newer schools with thepotential to fail would pay a higher assessment than schools with ahistory of satisfactory licensed operation. Section 5001(4)(e), relatingto annual audited financial statements, was amended to change thegross tuition criteria for submission of such statements to the commis-sioner and the filing schedule for such statements to bring the non-degree sector into parity with schools in the degree-granting and pub-lic school sectors. This section also authorized the commissioner to

deny, suspend, revoke or decline to renew any license if the Commis-sioner determines that a school’s financial condition may result in theinterruption or cessation of instruction or jeopardize student tuitionfunds. If the Commissioner determines that the financial conditionmay result in interruption or cessation of instruction or jeopardizestudent tuition funds, the Commissioner may place the school onprobation for a period of no more than one year and the school shallbe required to submit a report on its financial condition to theCommissioner.

Section 5002 was amended to restrict the amount of private loanpayments for tuition that a school could receive on behalf of a studentprior to their completing a program, thereby limiting students’ loan li-ability as well as the tuition reimbursement account’s liability for pay-ment of loan funds for tuition payments, which is the most significantportion of the loan. This section also increased the maintenance ofrecord requirement from 6 to 7 years. Section 5002(1)(d)(1), whichrelates to the admission of students under the ability to benefit provi-sion, was amended to authorize the Commissioner to accept otherentrance requirement documentation, such as prerequisite coursework,professional or vendor certifications, personal interviews and/or at-testations of equivalent knowledge in lieu of the examinationrequirement. Section 5002(3)(h) was amended to require schools tosubmit for approval a school catalog that contains a weekly tuition li-ability chart for each program that indicates the amount of refund duea student upon withdrawal. This section emphasizes that in addition topaying the curriculum application fee, schools will be required to paythe cost of an expert or independent consultant for an outside evalua-tion of a particular course or facility of the school. This sectionestablished a curriculum/course application fee to fund the StateEducation Department’s curriculum unit. Fees from school andpersonnel license applications do not cover the cost of curriculumreview, as some schools have only a handful of courses or curriculathat require approval while others have between 400 and 700. Schoolsrequiring the most evaluation would pay more, those with fewprograms would pay less. Section 5002(6) was also amended so thatall teacher licenses would no longer be restricted to a single school lo-cation, as private career school teacher licenses currently are. Thisresults in a more mobile and efficient teacher pool for schools to drawfrom for faculty members, reduced expense for processing teacher ap-plications and a reduced workload for the State Education Depart-ment’s Bureau of Proprietary School Supervision (“the Bureau”).

Section 5003 was amended to establish more practical timeframesfor disciplinary proceedings by prescribing procedures for handlingwritten complaints by students attending candidacy schools allegingfailure of the school to disclose its candidacy status and the implica-tions and to obtain the required attestation from the student. If such aviolation is found, the school is required to provide the student a fullrefund of all monies received from the student. Section 5003(6) wasalso amended to increase the fines established in 1990 so they reflectthe State Education Department’s cost of school oversight and expandthe list of violations that may result in the imposition of a civil penalty,including failure to offer an approved course or program.

Section 5004 was amended to increase the amount of gifts and othernon-monetary consideration a school may provide to students or for-mer students from $25 to $75. Subdivision 4 of section 5004 wasamended to increase private school agent fees from $100 to $200,while extending the term of a private school agent’s certificate from 2years to 3 years.

Section 5006 was amended to allow the State Education Depart-ment to intervene more effectively when a private career educationschool ceases instruction. Currently, schools that are closing arerequired to develop teachout plans that arrange to have studentscontinue to receive instruction from other private career schools uponclosure of the school. The State Education Department’s experience isthat schools that must close have little incentive to establish teachouts,so authorizing the State Education Department to arrange for ateachout plan would provide greater protection for students. This sec-tion also authorizes the Commissioner to prescribe the educationalqualifications and practical experience for teachers and directors inthese schools.

Section 5007 was amended to expand the expenses eligible for

reimbursement for students whose schools are closing. This sectionprovides refunds of tuition, fees and book charges paid by or on behalfof the students in cash or through loans, excluding funding obtainedthrough government agencies and authorizes the Commissioner torefund expenditures for fees, books and tuition to students of schoolsthat have closed. The provisions for special assessments for newschools in section 5007(10) were amended to be consistent with theassessment changes in section 5001, and to reflect the State EducationDepartment’s experience with assessing schools that have not been inoperation for an entire year. The requirement in section 5007(11) foran annual fund audit of the tuition reimbursement account waschanged to mandate a two-year audit.

Legal Basis of Rule: Education law sections 207 (not subdivided),212(3), 305(1), 5001 through 5010 and Chapter 381 of the Laws of2012.

Kevin G. Smith

Deputy Commissioner

518-474-2714

C. CALENDAR YEAR 2012

Section 3.16(b) of the Rules of the Board of Regents regardingCharter School Public Hearings

Description of Rule: The purpose of the rule is to provide for theCommissioner to conduct, on behalf of the Board of Regents, publichearings required by Article 56 of the Education Law to solicit com-ments from the community on charter school matters.

Need for Rule: The rule is necessary to conform section 3.16(b) ofthe Regents Rules to the Department’s existing practice of having theCommissioner, on behalf of the Board of Regents, hold public hear-ings required by Article 56 of the Education Law to solicit commentsfrom the community on charter school matters, such as hearings inconnection with the issuance, revision or renewal of a charter pursuantto Education Law section 2857(1-a) and hearings to discuss the loca-tion of a charter school pursuant to Education Law section 2853(3)(a).Having the Board of Regents personally conduct and hold such hear-ings is not practical, considering the scope of duties of the Board, thelimited number of times that the Board meets during the year, and thetime demands placed on individual Board members. It has beendetermined that having the Commissioner conduct such hearings, onbehalf of the Board of Regents, will provide for the most efficient andexpeditious means to conduct such hearings.

Legal Basis for Rule: Education Law sections 101(not subdivided),206(not subdivided), 207(not subdivided), 305(1), (2) and (20),2853(3)(a) and 2857(1-a).

Section 100.2(c) of the Commissioner’s Regulations regardingInstruction in Civility, Citizenship and Character Education and theDignity for All Students Act (DASA)

Description of Rule: The purpose of the rule is to provide forinstruction in civility, citizenship and character education in relationto the Dignity for All Students Act.

Need for Rule: The rule is necessary to implement provisions of theDignity for All Students Act (‘‘Dignity Act’’, Chapter 482 of the Lawsof 2010) by including provisions in Commissioner’s regulation sec-tion 100.2(c), relating to courses of instruction in civility, citizenshipand character education, to ensure compliance with Education Lawsection 801-a, as amended by the Dignity Act, which provides thatinstruction on ‘‘tolerance’’, ‘‘respect for others’’ and ‘‘dignity’’ shallinclude awareness and sensitivity to discrimination or harassment and

civility in the relations of people of different races, weights, nationalorigins, ethnic groups, religions, religious practices, mental or physi-cal abilities, sexual orientations, genders, and sexes.

Legal Basis for Rule: Education Law sections 101 (not subdivided),207(not subdivided), 305(1) and (2), and 801-a(1)(not subdivided),and section 3 of Chapter 482 of the Laws of 2010.

Sections 100.2(l) and 119.6 of the Commissioner’s Regulationsregarding Codes of Conduct to implement the Dignity for All StudentsAct (DASA)

Description of Rule: The purpose of the rule is to conform Commis-sioner’s Regulations on Codes of Conduct to the Dignity for AllStudents Act.

Need for Rule: The rule is necessary to implement provisions of theDignity for All Students Act (‘‘Dignity Act’’, Chapter 482 of the Lawsof 2010) by including provisions in the Commissioner’s Regulationsto ensure compliance with the new Article 2 of the Education Law, asadded by the Dignity Act. Article 2 generally prohibits discriminationand harassment of students by students and school employees onschool property or at school functions, on the basis of the student’sactual or perceived race, color, weight, national origin, ethnic group,religion, religious practice, disability, sexual orientation, gender, orsex. Education Law section 2801, as amended by the Dignity Act,requires that codes of conduct include provisions to comply withArticle 2. Section 12(2) of Article 2 of the Education Law requiresthat an age appropriate version of the policy prohibiting harassmentand discrimination against students in Section 12(1) be included in thecode of conduct and any required summaries.

Legal Basis for Rule: Education Law sections 11(1)-(7), 12(1) and(2), 13(1)-(3), 14(1) and (3), 101 (not subdivided), 207(not subdi-vided), 305(1) and (2), and 2801(1)-(5), and sections 2 and 4 ofChapter 482 of the Laws of 2010.

Section 100.2(jj) of the Commissioner’s Regulations regardingPolicy and Guidelines Prohibiting Discrimination and Harassment ofStudents (Dignity Act Training)

Description of Rule: The purpose of the rule is to establish stan-dards and criteria for issuance of policy and guidelines relating to theDignity for All Students Act (Ch.482, L. 2010) prohibiting discrimina-tion and harassment of students.

Need for Rule: The rule is necessary to implement provisions of theDignity Act. The statute added a new Article 2 to the Education Lawand new section 13 of Article 2 requires school districts to create: (i)policies to create a school environment free from discrimination andharassment; (ii) guidelines to be used in school training programs todiscourage the development of discrimination or harassment and thatare designed to raise awareness and sensitivity of school employees topotential discrimination or harassment and enable employees toprevent and respond to discrimination or harassment; and (iii)guidelines relating to the development of nondiscriminatory instruc-tional and counseling methods, and requiring that at least one staffmember of every school be thoroughly trained to handle human rela-tions in the areas of race, color, weight, national origin, ethnic group,religion, religious practice, disability, sexual orientation, gender andsex.

Legal Basis for Rule: Education Law sections 11(1-7), 12(1) and(2), 13(1-3), 14(1-3), 101(not subdivided), 207(not subdivided),305(1) and (2) and 2854(1)(b), and Chapter 482 of the Laws of 2010.

Section 100.2(kk) of the Commissioner’s Regulations regardingDignity for All Students Act Reporting Requirements

Description of Rule: The purpose of the rule is to establish stan-dards for reporting material incidents of discrimination and harass-ment under the Dignity for All Students Act (L. 2010, Ch. 482).

Need for Rule: The rule is necessary to implement provisions of theDignity Act, by establishing standards for the reporting of materialincidents of discrimination and harassment including, but not limitedto, threats, intimidation or abuse based on a person’s actual orperceived race, color, weight, national origin, ethnic group, religion,religious practices, disability, sexual orientation, gender or sex.

Legal Basis for Rule: Education Law sections 11(1-7), 15(notsubdivided), 16(not subdivided), 101(not subdivided), 207(not

subdivided), 305(1) and (2) and 2854(1)(b), and Chapter 482 of theLaws of 2010.

Section 100.5 of the Commissioner’s Regulations regarding Di-ploma Requirements for Students with Disabilities

Description of Rule: The purpose of the rule is to provide a newsafety net option for students with disabilities to earn a local diplomathrough the use of compensatory scoring.

Need for Rule: Over a decade ago, the Regents Competency Test(RCT) safety net option was adopted as a temporary measure toprovide students with disabilities increased opportunities to earn adiploma. Access to the RCTs was meant to terminate once districtsrevised their instructional programs to provide students with dis-abilities full access to the general education standards in bothelementary and secondary school. To provide adequate time for thetransition, the Board of Regents delayed the phase out of the RCTthree times and decided to apply the phase-out to the entering cohortof September 2011. As a result, only the 55-64 pass score Safety Netoption to earn a local diploma was available to students with dis-abilities entering ninth grade in September 2011 and thereafter. InJanuary 2012, the Regents discussed the need to consider additionaloptions for students with disabilities to earn a local diploma. Discus-sions around the Safety Net focused on the group of students with dis-abilities who, with appropriate accommodations, supports and ser-vices, could reach the State’s learning standards at the CommencementLevel. At the April 2012 Regents Meeting, the Department recom-mended that the Board expand the safety net options for students withdisabilities to earn a local diploma beyond the option of the 55-64pass score on the five required Regents exams.

The rule established a new safety net local diploma option thatprovides opportunity for approximately the same number of studentswith disabilities to earn a local high school diploma based on perfor-mance on Regents examinations or approved alternatives. Specifi-cally, the rule allows students with disabilities, who first enter gradenine in September 2005 or thereafter, to earn a local high school di-ploma if: (1) the student attains a score of 55-64 on each of the fiverequired Regents exams (English, mathematics, U.S history andgovernment, science, and global history and geography) and/or passesan alternative examination; or (2) the student scores 45-54 on one ormore of the five required Regents exams, other than the English ormathematics exam, but scores 65 or higher on one or more of the otherrequired Regents exams, in which case, for purposes of earning a localdiploma, the lower score(s) can be compensated by the higher score(s);provided that: (a) each examination for which the student scores 45-54must be compensated by a score of 65 or higher on a separate exami-nation; (b) the student must have also attained at least a 65 courseaverage in the subject area of the Regents examination in which he/she obtained a score of 45-54; (c) the student has an attendance rate ofat least 95 percent for the school year during which the student tookthe Regents examination in which he or she received a score of 45-54,exclusive of excused absences; and (d) a student cannot use thecompensatory score option if the student is using a passing score onone or more Regents competency tests pursuant to section100.5(b)(7)(vi)(a).

Legal Basis for Rule: Education Law sections 101 (not subdivided),207 (not subdivided), 208 (not subdivided), 209 (not subdivided),305(1) and (2), 308 (not subdivided) and 309 (not subdivided).

Sections 100.5, 100.6, 100.9 and 200.5 of the Commissioner’sRegulations regarding Skills and Achievement Commencement Cre-dential

Description of Rule: The purpose of the rule is to replace theIndividualized Education Program (IEP) diploma with a Skills andAchievement Commencement Credential.

Need for Rule: The IEP diploma was established in 1984. Since thattime, the State’s learning standards and graduation requirements havebeen substantially revised. Therefore, to ensure that high standards aremaintained for students with disabilities and they have the opportunityto exit school with regular high school diplomas or, for students whobecause of the severity of their disabilities cannot earn a regular di-ploma, the rule establishes a new credential that is based on a student’sachievement relating to the Career Development and OccupationalStudies (CDOS) Learning Standards.

Legal Basis for Rule: Education Law sections 101(not subdivided),207(not subdivided), 208(not subdivided), 305(1) and (2), 4402(1)-(7)and 4403(3).

Sections 100.18, 100.2(m), 100.17(c)(3)(i), 120.3 and 120.4 of theCommissioner’s Regulations regarding Elementary and SecondaryEducation Act (ESEA) Flexibility and school and school district ac-countability

Description of Rule: The purpose of the rule was to implement NewYork State’s approved ESEA Flexibility Waiver and school and schooldistrict accountability.

Need for Rule: The rule is necessary to conform Commissioner’sRegulations to New York’s Elementary and Secondary Education Act(ESEA) Flexibility Waiver (New York’s updated accountabilitysystem), as approved by the U.S. Department of Education Secretaryon May 29, 2012, and address the Regents Reform Agenda. The Stateand local educational agencies (LEAs), including school districts andcharter schools, are required to comply with the ESEA as a conditionto their receipt of federal funds under Title I of the ESEA Act of 1965,as amended. The rule ensured a seamless transition to the revised ac-countability plan as authorized under the approved Waiver, andprovides school districts with opportunity to demonstrate improve-ments using options that closely align with federal school turnaroundprinciples described in Race to the Top and the School ImprovementGrant requirements.

Legal Basis for Rule: Education Law sections 101(not subdivided),207(not subdivided), 210(not subdivided), 215(not subdivided),305(1) and (2), 309(not subdivided) and 3713(1) and (2).

Sections 136.5 and 135.4 of the Commissioner’s Regulationsregarding Concussion Management and Awareness

Description of Rule: The purpose of the rule is to establish criteriarelating to mild traumatic brain injury sustained by pupils duringinstruction or school activities.

Need for Rule: The rule is necessary to implement and conform theCommissioner’s regulations to Chapter 496 of the Laws of 2011 byestablishing standards for the required instruction of key schoolpersonnel in the signs and symptoms of mild traumatic brain injuriesand monitoring and seeking proper medical treatment for pupils suf-fering such injuries. The needs and benefits of the rule rest upon theknowledge that inadequate identification and management of a mildtraumatic brain injury may result in long term disability or death.

Legal Basis for Rule: Education Law sections 207(not subdivided),305(1), (2) and (42) and 2854(1)(b) and Chapter 496 of the Laws of2011.

Sections 200.2, 200.3, 200.4 and 200.5 of the Commissioner’sRegulations regarding Special education services for students withdisabilities-additional parent member of CSE and electronic access toIEPs

Description of Rule: The purpose of the rule is to conform Commis-sioner’s Regulations to Chapters 276 and 279 of the Laws of 2012regarding an additional parent member of CSE and electronic accessto IEPs.

Need for Rule: Chapter 276 amends Education Law section 4402 toprovide that the additional parent member of a CSE need not be in at-tendance at any CSE meeting unless specifically requested by the par-ent, the student or the district in writing at least 72 hours prior to themeeting. The law further requires that parents receive proper writtennotice of their right to have an additional parent member attend anyCSE meeting along with a statement, prepared by the State EducationDepartment, explaining the role of having the additional parent attendthe meeting. No changes were made regarding additional parentmembership on a Committee for Preschool Special Education. Chapter279 amends Education Law section 4402 to allow school districts theoption of giving teachers, related service providers and other serviceproviders access to a student’s IEP electronically. If the schooldistrict’s policy provides that a student’s IEP is to be accessedelectronically, the policy must also ensure that the individualsresponsible for the implementation of the IEP are notified and trainedon how to access such IEP electronically.

Legal Basis for Rule: Education Laws sections 101(not subdivided),

207(not subdivided), 305(1) and (2) and (20), 4402(1)(b)(1)(b) and(7)(a), 4403(3) and 4410(13) and Chapters 276 and 279 of the Laws of2012

Sections 200.4 and 200.16 of the Commissioner’s Regulationsregarding Preschool and School-Age Individual Evaluations

Description of Rule: The purpose of the rule is to change thetimeline for the required completion of preschool evaluations; repealthe requirement that a psychologist prepare a written report of his/herdetermination as to whether each student with a disability needs apsychological assessment as part of his or her reevaluation; and clari-fies that the 60-day timeline applies to initial individual evaluations todetermine a student’s eligibility for special education.

Need for Rule: The rule provides mandate relief relating to specialeducation requirements.

Legal Basis for Rule: Education Law sections 101(not subdivided),207(not subdivided), 305(1) and (2), 4402(1), 4403(3), 4410(13).

Jhone M. Ebert

(518) 474-3862

nysedp12@nysed.gov

Subpart 4-1 of the Commissioner’s Regulations regarding Institu-tional Accreditation for Title IV Purposes

Description of Rule: The purpose of the rule is to conform theRegents Rules to federal regulations relating to voluntary institutionalaccreditation for Title IV purposes.

Need for Rule: In June 2001, the Board of Regents adopted Part 4of the Rules of the Board of Regents, Voluntary Institutional Ac-creditation for Title IV Purposes (now Subpart 4-1) as part of a pro-cess of complying with the requirements in regulations of the U.S.Department of Education (34 CFR Part 602) for continued recognitionof the Board of Regents as an institutional accrediting agency. One ofthe Federal regulations requires each Nationally Recognized Accredit-ing Agency to have “a systematic program of review that demonstratesthat its standards are adequate to evaluate the quality of the educationor training provided by the institutions and programs it accredits andrelevant to the educational or training needs of students” (34 CFR602.21[a]). As a result of the review of accreditation standards, includ-ing an assessment of their alignment with revised Federal standardsfor accreditation agencies (34 CFR Part 602), the Department clarifiedand updated the existing regulation. The rule establishes a definitionof “correspondence education”, “distance education” and “teach-outplan.”

The program of study accreditation standard is revised to requireprocesses to verify that students who register for correspondenceeducation or distance education programs or courses are the same asthose who complete and are credited with the programs or courses.The provisions also require processes to protect student privacy and tonotify students of any projected additional student charges associatedwith the verification of student identity at the time of registration orenrollment. Provisions for teach-out agreements were amended toincorporate teach-out plans and to define the events under whichinstitutions must submit such plans to the agency for approval. Theconsumer information accreditation standard was expanded to specifythat institutions must publish the process and criteria for acceptingtransfer of credit from other institutions. Amendment of provisionsaddressing procedures for considering an institution’s appeal ofadverse accreditation actions add detail to allow for the considerationof new financial information and an option for the appeals subcom-mittee to remand the adverse action to the Board of Regents. Ad-

ditional changes further specified the types of actions that constitute asubstantive change at an institution.

Legal Basis for Rule: Education Law sections 207(not subdivided),210(not subdivided), 214(not subdivided) 215(not subdivided) and305(1) and (2).

Section 52.21 and Part 80 of the Commissioner’s Regulationsregarding Transitional B and C Certificates and Program RegistrationStandards Leading to Such Certificates

Description of Rule: The purpose of the rule is to allow certifiedteachers to enter a Transitional B or C certificate program to becomecertified in a different area.

Need for Rule: The rule makes the following major changes to theteacher and school building leader certification examinations:

Timeline for Initial Certificates for Teachers in all fields other thanCareer and Technical Education (CTE)

Candidates who have completed all requirements for initial certifi-cation on or before April 30, 2014 and who apply for certification onor before April 30, 2014, will need to pass the LAST (Liberal Arts andSciences Test), ATS-W (Assessment of Teaching Skills-Written), andCST in the area of the certificate on or before April 30, 2014. Insteadof meeting the old examination requirements, a candidate applying forcertification on or before April 30, 2014 may achieve a satisfactorylevel of performance on the new set of examinations (edTPA, EAS,ALST, CST). Candidates will not be permitted to mix and matchexaminations from the old and new tests. Candidates applying for cer-tification on or after May 1, 2014 or candidates who applied for certi-fication on or before April 30, 2014 but did not meet all the require-ments for an initial certificate on or before April 30, 2014, will berequired to pass the edTPA, EAS, ALST, and CST.

Timeline for STEM Certification Candidates

Any candidate seeking an initial certificate in earth science, biol-ogy, chemistry, physics, mathematics or in a closely related field asdetermined by the Department in grades 5-9 or grades 7-12 and who isapplying for an initial certificate on or before April 30, 2014 and whohas completed all other requirements for initial certification undersuch section on or before April 30, 2014 is only required to achieve asatisfactory level of performance on the LAST. Any candidate seekingan initial certificate in earth science, biology, chemistry, physics,mathematics or in a closely related field as determined by the Depart-ment in grades 5-9 or grades 7-12 and who is applying for an initialcertificate on or after May 1, 2014 or candidates who applied for certi-fication on or before April 30, 2014 but did not meet all the require-ments for an initial certificate on or before April 30, 2014, shall onlybe required to pass the EAS and ALST.

Timeline for Initial Certificates in CTE Fields - Option A

Candidates who have completed an associate’s degree and have twoyears work experience in a field related to their certification areeligible to apply for certification under the Option A pathway. Acandidate who has completed all requirements for initial certificationon or before April 30, 2014 and who applies for certification on orbefore April 30, 2014, is required to pass the ATS-W on or beforeApril 30, 2014 or achieve a satisfactory level of performance on theedTPA and EAS. A candidate who applies for certification on or afterMay 1, 2014 or a candidate who applies for certification on or beforeApril 30, 2014 but does not meet all the requirements for an initialcertificate on or before April 30, 2014, is required to pass the edTPAand EAS.

Timeline for Initial Certificates in CTE Fields - Option B

Candidates who have a high school diploma and four years workexperience in a field related to their certificate are eligible to apply forcertification under the Option B pathway. A candidate who hascompleted all requirements for initial certification on or before April30, 2014 and who applies for certification on or before April 30, 2014,is required to pass the Communication and Quantitative Skills Test(CQST) and ATS-W on or before April 30, 2014 or submit evidence ofhaving achieved a satisfactory level of performance on the CQST,edTPA and EAS. A candidate who applies for certification on or afterMay 1, 2014 or a candidate who applies for certification on or beforeApril 30, 2014 but does not meet all the requirements for an initial

certificate on or before April 30, 2014, is required to pass the CQST,edTPA and EAS.

Timeline for Candidates Applying for Transitional B or C Certifi-cates

A candidate who applies for a Transitional B or C certificate on orbefore April 30, 2014 and who meets all the requirements for aTransitional B or C certificate on or before April 30, 2014, is requiredto take the LAST and the CST in the area of the certificate, where suchCST is required for the certificate title on or before April 30, 2014.Successful completion of the CST in the area of the certificate shallnot be required for the transitional B certificate authorizing the teach-ing of English to speakers of other languages, students with dis-abilities, students who are deaf or hard-of-hearing, students who areblind or visually impaired, or students with speech and language dis-abilities, or for an extension of a transitional B certificate in bilingualeducation. Instead, the candidate shall submit evidence of havingachieved a satisfactory level of performance on a CST prescribed bythe Commissioner. A candidate who applies for a Transitional B or Ccertificate on or after May 1, 2014 or a candidate who applies for aTransitional B or C certificate on or before April 30, 2014 but does notmeet all the requirements for a Transitional B or C certificate on April30, 2014 is required to pass the ALST, EAS, and the CST in the areaof the certificate, where such CST is required for the certificate title.Successful completion of the CST in the area of the certificate shallnot be required for the Transitional B certificate authorizing the teach-ing of English to speakers of other languages, students with dis-abilities, students who are deaf or hard-of-hearing, students who areblind or visually impaired, or students with speech and language dis-abilities, or for an extension of a Transitional B certificate in bilingualeducation. Instead, the candidate shall submit evidence of havingachieved a satisfactory level of performance on a CST prescribed bythe Commissioner or a teaching certificate in the classroom teachingservice.

Timeline for Transitional B or C Candidates Applying for Certifica-tion

Candidates seeking certification via the Transitional B or C(“alternative”) pathways would be subject to the followingrequirements. A candidate who applies for an initial certificate on orbefore April 30, 2014, and who has completed all other requirementsfor an initial certificate or who has completed all requirements for aninitial certificate except completion of their registered Transitional Bprogram, on or before April 30, 2014, is required to take the ATS-Wand any other examination required for the provisional or initial certif-icate, as applicable, and/or a bilingual education extension of suchcertificate, as applicable, on or before April 30, 2014 or a satisfactorylevel of performance on the edTPA and any other examination requiredfor the provisional or initial certificate, as applicable, and/or a bilin-gual education extension of such certificate, as applicable. A candidatewho applies for an initial certificate on or after May 1, 2014 or whoapplies for an initial certificate on or before April 30, 2014 but doesnot meet all the requirements for an initial certificate on or beforeApril 30, 2014, shall submit evidence of having achieved a satisfac-tory level of performance on the edTPA and any other examinationrequired for the provisional or initial certificate, as applicable, and/ora bilingual education extension of such certificate, as applicable.

Timeline for Transitional G Candidates

A candidate applying for a Transitional G certificate (only availableto individuals who hold a graduate degree and are college professors)on or before April 30, 2014 and who meets all the requirements for aTransitional G certificate on or before April 30, 2014 is required topass the LAST on or before April 30, 2014 or achieve a satisfactorylevel of performance on the ALST. A candidate who applies for aTransitional G certificate on or after May 1, 2014 or who applies for aTransitional G certificate on or before April 30, 2014 but does notmeet all the requirements for a Transitional G certificate on or beforeApril 30, 2014 will be required to pass the ALST.

Timeline for School Building Leader Candidates

A candidate applying for a school building leader certificate shallsubmit evidence of having achieved a satisfactory level of perfor-mance on the New York State assessment for school building

leadership. In addition, for candidates applying for certification on orafter May 1, 2014 or candidates who apply for certification on orbefore April 30, 2014 but do not meet all the requirements for an initialcertificate on or before April 30, 2014, the candidate shall also achievea satisfactory level of performance on the EAS. These regulations arenecessary to fully implement the intent of the Regents Reform Agendato redesign teacher and school leader preparation.

Legal Basis for Rule: Education Law sections 207(not subdivided),305(1), 3001(2), 3006(1)(b) and 3009(1).

Sections 80-1.5, 80-3.3, 80-3.4, 80-3.9, 80-3.10, 80-5.13, 80-5.14and 80-5.22 of the Commissioner’s Regulations regarding Teacherand school building leader certification examinations

Description of Rule: The purpose of the rule is to establish thetimeframes and what new certification examinations will be requiredfor each certificate title.

Need for Rule: The rule made the following major changes to thecertification examinations for teachers and school building leaders.

Timeline for Initial Certificates for Teachers in all fields other thanCareer and Technical Education (CTE)

Candidates who have completed all requirements for initial certifi-cation on or before April 30, 2014 and who apply for certification onor before April 30, 2014, will need to pass the LAST (Liberal Arts andSciences Test), ATS-W (Assessment of Teaching Skills-Written), andCST (Content Specialty Test) in the area of the certificate on or beforeApril 30, 2014. Instead of meeting the old examination requirements,a candidate applying for certification on or before April 30, 2014 mayachieve a satisfactory level of performance on the new set of examina-tions (edTPA, EAS, ALST, CST). Candidates will not be permitted tomix and match examinations from the old and new tests. Candidatesapplying for certification on or after May 1, 2014 or candidates whoapplied for certification on or before April 30, 2014 but did not meetall the requirements for an initial certificate on or before April 30,2014, will be required to pass the edTPA (Teacher Performance As-sessment), EAS (Educating All Students test), ALST (Academic Liter-acy Skills Test), and CST.

Timeline for STEM Certification Candidates

Any candidate seeking an initial certificate in earth science, biol-ogy, chemistry, physics, mathematics or in a closely related field asdetermined by the Department in grades 7-12 and who is applying foran initial certificate on or before April 30, 2014 and who has completedall other requirements for initial certification under such section on orbefore April 30, 2014 is only required to achieve a satisfactory level ofperformance on the LAST. Any candidate seeking an initial certificatein earth science, biology, chemistry, physics, mathematics or in aclosely related field as determined by the Department in grades 7-12and who is applying for an initial certificate on or after May 1, 2014 orcandidates who applied for certification on or before April 30, 2014but did not meet all the requirements for an initial certificate on orbefore April 30, 2014, shall only be required to pass the EAS andALST.

Timeline for Initial Certificates in CTE Fields - Option A

Candidates who have completed an associate’s degree and have twoyears work experience in a field related to their certification areeligible to apply for certification under the Option A pathway. Acandidate who has completed all requirements for initial certificationon or before April 30, 2014 and who applies for certification on orbefore April 30, 2014, is required to pass the ATS-W on or beforeApril 30, 2014 or achieve a satisfactory level of performance on theedTPA and EAS.A candidate who applies for certification on or afterMay 1, 2014 or a candidate who applies for certification on or beforeApril 30, 2014 but does not meet all the requirements for an initialcertificate on or before April 30, 2014, is required to pass the edTPAand EAS.

Timeline for Initial Certificates in CTE Fields - Option B

Candidates who have a high school diploma and four years workexperience in a field related to their certificate are eligible to apply forcertification under the Option B pathway. A candidate who hascompleted all requirements for initial certification on or before April30, 2014 and who applies for certification on or before April 30, 2014,

is required to pass the Communication and Quantitative Skills Test(CQST) and ATS-W on or before April 30, 2014 or submit evidence ofhaving achieved a satisfactory level of performance on the CQST,edTPA and EAS. A candidate who applies for certification on or afterMay 1, 2014 or a candidate who applies for certification on or beforeApril 30, 2014 but does not meet all the requirements for an initialcertificate on or before April 30, 2014, is required to pass the CQST,edTPA and EAS.

Timeline for Candidates Applying for Transitional B or C Certifi-cates

A candidate who applies for a Transitional B or C certificate on orbefore April 30, 2014 and who meets all the requirements for aTransitional B or C certificate on or before April 30, 2014, is requiredto take the LAST and the CST in the area of the certificate, where suchCST is required for the certificate title on or before April 30, 2014.Successful completion of the CST in the area of the certificate shallnot be required for the transitional B certificate authorizing the teach-ing of English to speakers of other languages, students with dis-abilities, students who are deaf or hard-of-hearing, students who areblind or visually impaired, or students with speech and language dis-abilities, or for an extension of a transitional B certificate in bilingualeducation. Instead, the candidate shall submit evidence of havingachieved a satisfactory level of performance on a CST prescribed bythe Commissioner. A candidate who applies for a Transitional B or Ccertificate on or after May 1, 2014 or a candidate who applies for aTransitional B or C certificate on or before April 30, 2014 but does notmeet all the requirements for a Transitional B or C certificate on April30, 2014 is required to pass the ALST, EAS, and the CST in the areaof the certificate, where such CST is required for the certificate title.Successful completion of the CST in the area of the certificate shallnot be required for the Transitional B certificate authorizing the teach-ing of English to speakers of other languages, students with dis-abilities, students who are deaf or hard-of-hearing, students who areblind or visually impaired, or students with speech and language dis-abilities, or for an extension of a Transitional B certificate in bilingualeducation. Instead, the candidate shall submit evidence of havingachieved a satisfactory level of performance on a CST prescribed bythe Commissioner or a teaching certificate in the classroom teachingservice.

Timeline for Transitional B or C Candidates Applying for Certifica-tion

Candidates for certification via the Transitional B or C (“alterna-tive”) pathways would be subject to the following requirements. Acandidate who applies for an initial certificate on or before April 30,2014, and who has completed all other requirements for an initial cer-tificate or who has completed all requirements for an initial certificateexcept completion of their registered Transitional B program, on orbefore April 30, 2014, is required to take the ATS-W and any other ex-amination required for the provisional or initial certificate, as ap-plicable, and/or a bilingual education extension of such certificate, asapplicable, on or before April 30, 2014 or a satisfactory level of per-formance on the edTPA and any other examination required for theprovisional or initial certificate, as applicable, and/or a bilingualeducation extension of such certificate, as applicable. A candidate whoapplies for an initial certificate on or after May 1, 2014 or who appliesfor an initial certificate on or before April 30, 2014 but does not meetall the requirements for an initial certificate on or before April 30,2014, shall submit evidence of having achieved a satisfactory level ofperformance on the edTPA and any other examination required for theprovisional or initial certificate, as applicable, and/or a bilingualeducation extension of such certificate, as applicable.

Timeline for Transitional G Candidates

A candidate applying for a Transitional G certificate (only availableto individuals who hold a graduate degree and are college professors)on or before April 30, 2014 and who meets all the requirements for aTransitional G certificate on or before April 30, 2014 is required topass the LAST on or before April 30, 2014 or achieve a satisfactorylevel of performance on the ALST. A candidate who applies for aTransitional G certificate on or after May 1, 2014 or who applies for aTransitional G certificate on or before April 30, 2014 but does not

meet all the requirements for a Transitional G certificate on or beforeApril 30, 2014 will be required to pass the ALST.

Timeline for School Building Leader Candidates

A candidate applying for a school building leader certificate shallsubmit evidence of having achieved a satisfactory level of perfor-mance on the New York State assessment for school buildingleadership. In addition, for candidates applying for certification on orafter May 1, 2014 or candidates who apply for certification on orbefore April 30, 2014 but do not meet all the requirements for an initialcertificate on or before April 30, 2014, the candidate shall also achievea satisfactory level of performance on the EAS.

Legal Basis for Rule: Education Law sections 207, 305(1), 3001(2),3006(1)(b) and 3009(1).

Subpart 82-1 of the Commissioner’s Regulations regarding TeacherDiscipline

Description of Rule: The purpose of the rule is to implement theprovisions of Education Law section 3020-a, as amended by Chapter57 of the Laws of 2012, relating to procedures for hearings on chargesagainst tenured school employees.

Need for Rule: As part of its 2011 legislative agenda, the Board ofRegents sought a number of modifications to the tenured teacher hear-ing process set forth in Education Law § 3020-a to address spiralingcosts and the extraordinary length of time to conduct hearings. Thislegislation was introduced in the Assembly and Senate. The Gover-nor’s proposed 2012-13 State Budget included some of these reformsand the State Budget as adopted by the Legislature included a numberof important programmatic and fiscal reforms. Below is a summary ofthe major Education Law § 3020-a revisions and a description ofwhere changes were made to existing regulations to conform to thenew statutory requirements.

Prohibition on Introduction of Evidence After 125 days

A significant change is the prohibition on the introduction of evi-dence more than 125 days after the filing of charges unless there areextraordinary circumstances beyond the control of the parties.Proceedings under § 3020-a have traditionally taken far too long toresolve and this provision is designed to ensure timely resolution byprohibiting the introduction of evidence beyond a certain point in theproceeding. This means that once the charges are filed, all partiesshould work expeditiously and cooperatively to complete the case in atimely manner. After 125 days, no additional evidence shall be ac-cepted unless there are extraordinary circumstances beyond control ofthe parties. The “extraordinary circumstances” rule is meant to providefor that rare occasion when evidence truly cannot be introduced withinthe prescribed time limit.

Department Selects Arbitrator When Parties Can Not Agree

The new amendments also modify the manner in which an arbitra-tor is selected if the parties fail to agree on an arbitrator selectionwithin 15 days of receipt of the list. Education Law § 3020-a(3)(b)(iii)states that “[i]f the employing board and the employee fail to agree onan arbitrator to serve as a hearing officer from the list of potentialhearing officers, or fail to notify the Commissioner of a selectionwithin such fifteen day time period, the commissioner shall appoint ahearing officer from the list.” This provision authorizes the Commis-sioner to select the arbitrator if the parties fail to agree by the 15th day.It does not apply to NYC where there is an alternative procedure.

Department Can Establish Maximum Arbitrator Rates and StudyHours

An amendment to Education Law § 3020-a(3)(b)(i)(B) requires theCommissioner to establish a schedule for “maximum rates of compen-sation of hearing officers based on customary and reasonable fees forservice as an arbitrator and provide for limitations on the number ofstudy hours that may be claimed” (emphasis added). The purpose ofthis amendment is to give the Commissioner the authority to controlcosts.

Department Can Exclude Arbitrators For Untimeliness

Pursuant to Education Law § 3020-a(3)(c)(i)(B) the Department isauthorized to monitor and investigate a hearing officer’s compliancewith the timelines set forth in the statute. The Commissioner mayexclude any hearing officer who has a record of continued failure to

commence and conclude hearings within the timelines prescribed inthe statute.

New Technology for Recording Hearings is Allowed

Education Law § 3020-a(3)(c)(i)(D) continues the requirement thatan accurate “record” of the proceedings be kept at the expense of theDepartment and furnished upon request to the employee and the boardof education. The statutory changes, however, permit the Departmentto take advantage of any new technology to transcribe or record thehearings in an accurate, reliable, efficient and cost effective manner.The Department will explore other cost-effective alternatives to re-cording and producing transcripts for these proceedings, however,there will be no immediate change to the manner in which these hear-ings are recorded.

One-Year limitation on Claims

Education Law § 3020-a(3)(d) imposes a one-year limitation, fol-lowing the final disposition of the hearing, for the submission of claimsfor reimbursement for services rendered. The purpose of this amend-ment was to encourage timely submission of claims so that accuratebudget assumptions can be made and claims can be paid for in a rea-sonable time.

Other Changes

A few other technical changes were made to clarify existing regula-tions, including, but not limited to, the following changes: (1) elimina-tion of the requirement to include a copy of the vote of the board foreach charge with the written statement of charges; (2) clarification thatthe notice of a need for hearing shall be sent to the Commissionerwithin three working days of the request for a hearing, with a copy tothe employee or the employee’s attorney; and (3) a provision to autho-rize the Commissioner to select a replacement hearing officer if theparties fail to notify the Commissioner within two business days oftheir mutually-agreed-upon replacement. The amendment alsoprovides the hearing officer with the power to regulate the course ofthe hearing, including scheduling the hearing dates and directing par-ties to appear, so that no party is unduly prejudiced by the prohibitionon the submission of evidence after 125 days and clarifies that that theCommissioner shall reimburse hearing officers and panel members fortheir necessary travel and other related reasonable expenses in accor-dance with the rules and limits on travel for State employees.

Legal Basis for Rule: Education Law sections 207(not subdivided),305(1) and (2), and 3020-a, as amended by Part B of Chapter 57 of theLaws of 2012.

Section 87.5 of the Commissioner’s Regulations regarding DueProcess Procedures for Criminal History Record Checks of Prospec-tive School Employees and Applicants for Certification

Description of Rule: The purpose of the rule is to eliminate oralargument in appeals of State Education Department determinationsdenying clearance for employment.

Need for Rule: Previously, pursuant to section 87.5(5) of the Com-missioner’s Regulations, a prospective school employee who wasdenied clearance for employment by the State Education Departmentas a result of a criminal history record check, could appeal that deter-mination to a designee of the Commissioner and request oral argu-ment as part of the appeal. If requested, oral argument was required tobe provided by the Department. The rule eliminates the provisionsconcerning oral argument. There is no legal requirement to conductoral arguments under either the applicable statute (Education Law§ 3035) or general due process principles, and elimination of oral argu-ments would not have a significant impact on the appeals process. Areview of Department records of Part 87 decisions during a three yearperiod (1/1/08 - 12/31/10) shows that oral arguments were requestedin a minority of appeals (48 out of 138 appeals), and that the informa-tion received, as a result of oral argument, was the determinative fac-tor in only 6 such appeals. Therefore, the considerable amount ofDepartment staff time and resources devoted to conducting oral argu-ments is not justified by the small impact oral arguments have on theappeals process, particularly in a time of State fiscal constraints.

Legal Basis for Rule: Education Law sections 207(not subdivided),305(30)(a), 3001-d(1-4) and 3035(3)(a).

Sections 145-2.1, 145-2.2 and 145-2.4 of the Commissioner’sRegulations regarding Tuition Assistance Program

Description of Rule: The purpose of the rule is to revise and clarifythe criteria for determining student eligibility to participate in the Tu-ition Assistance Program (TAP).

Need for Rule: The rule is needed in order to update the criteria fordetermining student eligibility for the Tuition Assistance Program by:(1) specifying that the course enrollments, in order to be eligible forcoverage by TAP, must be applicable to the student’s declaredprogram; (2) clarifying that 100 calendar days would be used incomputing 15 weeks of the academic semester; (3) clarifying the defi-nition of “veteran” for the purposes of the regulation; (4) relating thestandards in Section 145-2.2 to those in Section 665 of the EducationLaw regarding satisfactory academic progress, in an effort to achieveregulatory consistency while still providing institutional flexibility inapplying a higher standard; (5) allowing a one-time waiver ofsubparagraphs (iii) and (v) of subdivision (b) of Section 145-2.2 of theCommissioner’s regulations; (6) explaining that a cross-enrolledstudent must be certified by an eligible degree granting institutionparticipating in TAP, which must be the student’s home institution foreligibility of financial aid; (7) clarifying issues related to cross enroll-ment, the declaration of a major, and eligibility for TAP during theprocess of changing a major. The rule was developed by a statewidetask force of representatives from the State University of New York,The City University of New York, the Commission on IndependentColleges and Universities, the Association of Proprietary Colleges,the Higher Education Services Corporation, the Division of theBudget, the New York State Financial Aid Administrators Association,and the Office of the State Comptroller. This task force met andreached a consensus on the rule to clarify and simplify their provi-sions in order to improve institutional compliance with theirrequirements.

Legal Basis for Rule: Education Law sections 207 and 661 of theEducation Law.

John D’Agati

(518) 486-3633

Sections 29.7(a) and 63.6(a)(7) of the Commissioner’s Regulationsregarding Electronic Prescriptions

Description of Rule: The purpose of the rule is to implement Educa-tion Law sections 6802(23), as added, and section 6810(6)(a), asamended, by Chapter 590 of the Laws of 2011 regarding the form anduse of electronic prescriptions and maintenance of prescriptions bypharmacists in a secure electronic record.

Need for Rule: The rule is necessary to conform the Rules of theBoard of Regents and the Commissioner’s regulations to EducationLaw § 6802(23), as added, and Education Law § 6810(6)(a), asamended, by Chapter 590 of the Laws of 2011, which provided forand clarified the valid form and proper use and transmission ofelectronic prescriptions. Chapter 590 was enacted to update the lawgoverning the form and use of electronic prescriptions to reflect thecurrent practice of using electronic prescriptions. The rule is needed toupdate the Rules of the Board of Regents and Commissioner’s regula-tions to these current practices, in accordance with these statutoryamendments. In particular, the rule amends the Rules of the Board ofRegents to provide that, when used in the disciplinary rules relating tothe profession of pharmacy, the term “signature” will refer to andinclude an electronic signature. The rule also amends the Commis-sioner’s regulations to include the new terms and definitions of an

electronic prescription and electronic signature, as set forth in Educa-tion Law § 6802(23); to provide for the proper use and form of suchprescriptions; to authorize the use of an electronic direction to“dispense as written” in place of the prescriber’s handwritten notation,when specifically issuing an electronic prescription for a brand namedrug; and to require that a prescription transmitted by facsimile bemanually signed.

Legal Basis for Rule: Education Law sections 207 (not subdivided),6504 (not subdivided), 6506(1), 6507(2)(a), 6509(9), 6802(23) and6810(6)(a), and Chapter 590 of the Laws of 2011.

Sections 29.18 and 59.15 of the Commissioner’s Regulationsregarding Waiver Requirements from Corporate Practice Restrictionsfor Special Education Schools and Early Intervention Agencies

Description of Rule: The purpose of the rule is to implementChapter 581 of the Laws of 2011 by establishing waiver requirementsfor special education schools and early intervention agencies.

Need for Rule: Chapter 581 of the Laws of 2011 added, among otherthings, a new section 6503-b to the Education Law authorizing theDepartment to issue waivers to schools and agencies to enable them toemploy licensed professionals or contract with licensees or profes-sional business entities to provide certain professional services to chil-dren in need of their services. Absent such a waiver, employment orcontracting for professional services in most licensed professionswould conflict with restrictions on corporate practice under Title VIIIof the Education Law. The law allows schools approved by the StateEducation Department and agencies approved by the Department ofHealth that are providing professional services to continue to do sountil July 1, 2013. In order to continue to provide services after thatdate, schools or agencies must submit a waiver application to theDepartment within 120 days of the posting of the applications on theOffice of the Professions website (www.op.nysed.gov). Once a schoolor agency applies, it will be able to continue to provide services untilthe application is approved or denied. These provisions avoid a disrup-tion in professional services provided to children receiving earlyintervention or preschool services. However, if an application isdenied by the Department, the entity must cease providing profes-sional services in New York. The purpose of Chapter 581 of the Lawsof 2011 is to reconcile the provisions of Title VIII of the EducationLaw that prohibit corporate practice of certain licensed professionswith the provisions of section 4410 of the Education Law and Title2-A of Article 25 of the Public Health Law that contemplate thatspecial education schools and early intervention agencies be able toprovide multi-disciplinary evaluations, related services, and earlyintervention services recommended for a student. Section 6503-b ofthe Education Law defines eligible entities and the professional ser-vices that may be offered by such entities, and provides for oversightby the Board of Regents. This section also requires, as part of the ap-plication process, that the entity provide attestations by each officer,director, and trustee of the entity that he or she is of good moralcharacter. The fee for an initial waiver is $345, although an entity thatsimultaneously applies for waivers as both a special education schooland an early intervention agency only has to pay the $345 fee once.An entity that receives a waiver under the law must apply for a re-newal every three years and pay the triennial registration fee of $260,or a pro-rated amount as determined by the Department. An approvedentity must request a waiver certificate for each site at which profes-sional services are provided and notify the Department in a timelymanner if there are changes in the services provided or the location ofthe administrative office or sites operated by the entity.

The rule implements the provisions of law by setting forth therequirements to be met by a qualified entity in order to receive awaiver. These include, but are not limited to, verification from the ap-propriate regulatory agency that the entity is a qualified special educa-tion school or early intervention provider. Since these entities are al-ready approved by the Education Department or the Department ofHealth, there is a known population of entities that will apply for, andrequire, a waiver under 6503-b, which facilitates the implementationof this law. Although the granting of a waiver resolves the issue of theauthority of the entity to provide professional services, only licensedor authorized persons may provide services, and the entity is respon-sible for verifying the licensure of providers and the appropriate

supervision of interns or permit holders who are only authorized topractice under supervision. This ensures that preschool studentsreceive appropriate services from competent and qualified individualswho are accountable under the Education Law. The rule amendingsection 29.18 of the Rules of the Board of Regents implements theBoard of Regents disciplinary authority over entities receiving waiv-ers under Education Law section 6503-b. The rule clarifies that theentity is subject to the same professional misconduct provisions as alicensed professional or professional business entity, including thesame due process rights.

Legal Basis for Rule: Education Law 207(not subdivided), 6501(notsubdivided), 6503-b, 6504(not subdivided), 6506(2), 6507(2)(a),6508(1), 6509(9), 6510(1)-(9) and 6511(not subdivided).

Sections 52.41, 77.1 and 77.11 of the Commissioner’s Regulationsregarding Professional Study Requirements for Licensure in PhysicalTherapy

Description of Rule: The purpose of the rule is to conform theRegulations of the Commissioner of Education to Chapter 410 of theLaws of 2011, which raised the educational requirements for licensurein the profession of physical therapy from a bachelor’s degree to amaster’s degree in physical therapy.

Need for Rule: The rule is necessary to conform the Commis-sioner’s regulations to Education Law § 6734(b), as amended byChapter 490 of the Laws of 2011, which increased the educationalrequirements to practice as a physical therapist in this State to amaster’s degree or higher. In particular, the rule amends section 77.1of the Commissioner’s regulations to replace the minimum educationalrequirements of a bachelor’s degree with a master’s degree or equiva-lent and eliminates a certificate in physical therapy, together with abachelor’s degree, as acceptable education. Section 77.1, as amended,allows for the completion of a foreign professional physical therapyprogram that is substantially equivalent to a master’s degree programregistered by the Department to satisfy the educational requirementsfor licensure. The rule adds a new section 52.41 to the Commissioner’sregulations to establish the educational program requirements forregistration by the Department as a licensure-qualifying program inphysical therapy. The rule also adds a new section 77.11 to the Com-missioner’s regulations to establish requirements for the endorsementof a license issued by another jurisdiction to practice physical therapyin New York State.

Legal Basis for Rule: Education Law sections 207(not subdivided),6504(not subdivided), 6506(1), 6507(2)(a), and 6734(b), and Chapter410 of the Laws of 2011.

Sections 52.42 and 79-4.8 through 79-4.17 of the Commissioner’sRegulations regarding Polysomnographic Technologists

Description of Rule: The purpose of the rule is to establish stan-dards for the provision of polysomnographic technology services.

Need for Rule: The rule is necessary to implement the provisions ofChapter 262 of the Laws of 2011, which creates an exemption to theRespiratory Therapy Practice Act for the provision of polysomno-graphic technology services by persons authorized by the Department.Chapter 262 authorizes the Department to define, in regulation, thepractice of polysomnographic technology and set forth the standardsto be met for authorization.

Legal Basis for Rule: Education Law sections 207(not subdivided),212(3), 6504(not subdivided), 6506(1), (2), (5), (6), (8), (9) and (10),6507(2)(a), 6508(1), (2), (3) and (7), and 8505(5) and Chapter 262 ofthe Laws of 2011.

Section 60.10 of the Commissioner’s Regulations regarding Ap-proval of International Medical Schools for Long-Term Clinical Clerk-ship Placements

Description of Rule: The purpose of the rule is to establish the ap-proval standards and procedures for international medical schools toplace students in long term clerkships in New York.

Need for Rule: Between November 2010 and January 2011, theProfessional Practice Committee of the Board of Regents engaged indiscussions with Department staff and the Chair of the New York StateBoard for Medicine regarding the oversight of dual-campus interna-tional medical schools that seek authorization to place students in

long-term clinical clerkships in NYS hospitals. The discussions withthe PPC incorporated input from the Study Group on InternationalMedical Schools which included representation from a broad spec-trum of the medical education and hospital services communities,including representatives from the affected schools. After consider-ation of certain changes that had taken place in the provision of medi-cal education, the Board of Regents concluded that it was time toreview the applicable regulations and policies governing the standardsfor placement of international medical students in long term clerk-ships in New York State. Accordingly, the Board of Regents estab-lished an Advisory Committee to provide advice on matters related tothe evaluation and approval of dual-campus international medicalschools seeking authorization to place students in long-term clinicalclerkships in New York State. The plan approved by the PPC at itsmeeting in February 2011 specifically provided for the Advisory Com-mittee to examine the standards and processes for such evaluationsand approvals. The addition of section 60.10 reflects the approvalstandards and procedures recommended by the Committee.

Legal Basis for Rule: Education Law sections 207(not subdivided),6501 (not subdivided), 6504(not subdivided), 6506(1), 6507(2)(a) and6508(1).

Section 63.9 of the Commissioner’s Regulations regarding Admin-istration of acute herpes zoster (shingles) vaccinations by pharmacists

Description of Rule: The purpose of the rule is to implementChapter 116 of the Laws of 2012 to authorize qualified pharmacists toadminister acute herpes zoster vaccinations.

Need for Rule: The rule is necessary to conform the Regulations ofthe Commissioner of Education to Chapter 116 of the Laws of 2012.Authorizing qualified pharmacists to administer vaccinations toprevent herpes zoster will expand the availability of such vaccinations.The rule authorizes pharmacists who are certified to administer im-munizations against influenza and pneumococcal disease to alsoadminister vaccinations to prevent acute herpes zoster. The rule alsoclarifies that the requirement that the issuer of orders for immuniza-tions to be performed by pharmacists, have a practice site in the countyin which the immunizations are issued (or, if that county has a popula-tion of less than 75,000, in an adjoining county), applies only to non-patient specific orders. Thus, consistent with the statutory language,the rule enables patients who have a direct relationship with a physi-cian or nurse practitioner to receive the appropriate immunizationspursuant to patient specific orders without regard to the countylimitation.

Legal Basis for Rule: Education Law sections 207 (not subdivided),6504 (not subdivided), 6506(1), 6507(2)(a), 6527(7), 6801(5),6802(23) and 6909(7), and Chapter 116 of the Laws of 2012.

Sections 76.4, 76.5, 76.6, 76.7 and 76.9 of the Commissioner’sRegulations regarding Occupational Therapy

Description of Rule: The purpose of the rule is to implementChapter 460 of the Laws of 2011, relating to the profession of oc-cupational therapy.

Need for Rule: The changes to the existing law governing thepractice of occupational therapy that were enacted by Chapter 460 ofthe Laws of 2011 authorized the Department to establish, in regula-tion, several significant components of the practice, including therequirements for eligibility and scope of practice for occupationaltherapy assistants, and requirements for supervision of occupationaltherapy assistant students.

Legal Basis for Rule: Education Law sections 207 (not subdivided),6504 (not subdivided), 6507(2)(a) and 7906 (4) and (7) and Chapter460 of the Laws of 2011.

Sections 79-1.1 and 79-1.2 of the Commissioner’s Regulationsregarding Landscape Architecture

Description of Rule: The purpose of the rule is to align LandscapeArchitect Registration Examination admission requirements withnational standards and clarify professional study and experiencerequirements for landscape architecture candidates.

Need for Rule: The purpose of the rule is to align the New YorkState requirements for admission to the Landscape Architect Registra-tion Examination (LARE) with national standards beginning with the

September 2012 administration of the LARE and to clarify the profes-sional study and experience requirements for landscape architecturecandidates. The modification regarding the admission to the LARE isconsistent with policy of the owners of the national licensing exami-nation, the Council of Landscape Architectural Registration Boards(CLARB). The professional study and experience requirements forlicensure candidates are clarified to incorporate long-held policiesused by the Department and State Board for Landscape Architectureduring education/experience evaluations. The amendment of section79-1.1 of the Regulations of the Commissioner clarifies the educationand experience requirements in order to be a landscape architect, whilerecognizing the varying statutory pathways to licensure. The licensurepathways reflected in the rule include those affecting candidates withand without a professional degree. Specifically, the rule offers threeroutes to licensure. The first route requires a five-year professionaldegree from an accredited landscape architecture program and threeyears of acceptable experience satisfactory to the State Board forLandscape Architecture. The second route requires a four-year profes-sional degree from an accredited landscape architecture program andfour years of acceptable experience satisfactory to the State Board.The third and final route permits those without the professional degreeto attain licensure by compiling up to 12 years of a combination ofeducation and experience acceptable to the Department and StateBoard for Landscape Architecture.

The amendment of section 79-1.2 of the Regulations of the Com-missioner aligns New York’s requirements with the national require-ments for entry to the licensing examination. Beginning with theSeptember 2012 administration of the LARE, CLARB moved to afully computerized model for the delivery of exam content to improverelevance and reliability. In order to clarify and streamline the exami-nation process for New York candidates, those candidates who meetCLARB exam eligibility requirements will directly apply to CLARBto take the licensing examination instead of applying to theDepartment. The rule also removes the ability of candidates to reviewtheir graphic solutions and have their exams rescored by CLARB sinceCLARB will no longer offer candidate those opportunities. Finally,rule allows those atypical candidates who do not meet CLARB’s exameligibility standards to apply for exam admission to the Departmentinstead of CLARB.

Legal Basis for Rule: Education Law sections 207(not subdivided),6504(not subdivided), 6506(1), 6507(2)(a) and 7324(1) and (2).

Albany, NY 12234

(518) 486-1765

opdepcom@nysed.gov

Section 100.5(b)(7) of the Commissioner’s Regulations regardingVeterans Diploma

Description of Rule: The purpose of the rule is to prescribe require-ments for award of high school diplomas to veterans of World War II,the Korean Conflict and the Vietnam War.

Need for Rule: The rule is necessary to prescribe, in the Commis-sioner’s Regulations, requirements for the award of high schooldiplomas to certain veterans pursuant to Education Law section305(29), (29-a) and (29-b). The statute directs the Commissioner todevelop a program whereby any veteran of the armed forces whoserved in World War II, the Korean Conflict, or the Vietnam War, andwho was unable, for any reason, to complete a secondary education,

may be awarded a high school diploma based on knowledge and expe-rience gained while in service. Such program has been in existence formany years, having been originally established for World War IIveterans and expanded over the years to include Korean and Vietnamveterans, and operates under the name ‘‘Operation Recognition’’,whereby a veteran meeting the statutory requirements can be awardeda local high school diploma.

In July 2005, the Board of Regents amended Commissioner’sRegulations section 100.5(b)(7) to eliminate the local high school di-ploma for general education students, beginning with students whoentered grade 9 in 2008. While section 100.5(b)(7) provides excep-tions to allow local high school diplomas for certain groups of studentsin limited circumstances, no exception was provided in the Commis-sioner’s Regulations for veterans receiving a high school diploma pur-suant to Education Law section 305(29), (29-a) and (29-b). Conse-quently, school districts stopped issuing local diplomas to veteransrequesting them pursuant to the statute. The rule amends section100.5(b)(7) of the Commissioner’s Regulations to provide for issu-ance of a local high school diploma to such veterans, consistent withthe statute’s requirements, and adds a new subparagraph (xi) to codifyin the Commissioner’s Regulations the process for the issuance ofsuch diplomas.

Legal Basis for Rule: Education Law sections 101(not subdivided),207(not subdivided, 208(not subdivided), 209(not subdivided),305(1), (2), (29), (29-a) and (29-b), 309(not subdivided) and 3204(3).

Section 100.8 of the Commissioner’s Regulations regardingNational External Diploma Extension

Description of Rule: The purpose of the rule is to extend until June30, 2013 the provision for awarding local high school equivalencydiplomas based upon experimental programs.

Need for Rule: The rule is necessary to implement Regents policyto extend for one year the provision in section 100.8 of the Commis-sioner’s Regulations that allows boards of education and BOCES toaward local high school equivalency diplomas based upon experimen-tal programs approved by the Commissioner. The extension allows thecontinuance in New York State of the National External DiplomaProgram (NEDP), which is a complete assessment program that al-lows adults over age 21 to demonstrate and document the lastingoutcomes and transferable skills for which a high school diploma isawarded. The NEDP is a competency based, applied performance as-sessment system which capitalizes on an adult’s life experiences anduses a practical application of learning for assessment through suchmethods as simulations, authentic demonstration, research projects,hands-on interviews and oral interviews. A NEDP candidate mustdemonstrate a job skill and the competencies that align with the skillsneeded to function effectively in the workplace. All competenciesrequire 100 percent mastery. The one year extension ensures that allNEDP students in the approximately 18 program sites across the Stateare provided with an opportunity to complete their programs and earna local high school equivalency diploma.

Legal Basis for Rule: Education Law sections 101(not subdivided),207(not subdivided, 208(not subdivided), 209(not subdivided), 305(1)and (2), 309(not subdivided) and 3204(3).

Part 126 of the Commissioner’s Regulations regarding Licensure ofnon-degree granting private proprietary schools

Description of Rule: The purpose of the rule is to implement theprovisions of Chapter 381 of the Laws of 2012 regarding licensure ofnon-degree granting private proprietary schools.

Need for Rule: Chapter 381 of the Laws of 2012 amended Article101 of the Education Law (sections 5001 through 5010) to eliminatethe distinction between licensed private schools and registered busi-ness schools, replace the phrase “licensed private schools” with themore descriptive “licensed private career schools”, adjust fees, whichhave not changed since 1990, and establish a candidate school cate-gory that would allow a school to operate legally while it is in the pro-cess of obtaining a non-degree-granting proprietary school license.

Section 5001 of the Education Law provides for the consolidationof registered business schools and licensed private schools into onedesignation, eliminating the artificial distinction between these typesof schools and reflecting the current heterogeneous nature of training

programs offered at these schools. This section also clarifies theexemptions for certain schools from the licensure requirements andexempts conferences, trade shows, workshops and such other coursesof study from the licensing requirements. Candidate school status isalso allowed as a practical means for prospective schools to operatelegally prior to meeting all the requirements of full licensure. Thissection also amends the specific fees for initial and renewal applica-tions for such licensure. Renewal fees are increased to reflect the StateEducation Department’s current cost of supervising these schools andto meet the prospective costs for reimbursing tuition for a significantnumber of students when these students’ schools close due to fiscalfailure or non-compliance. Initial application fees are set at certainamounts and fees for renewal are based on the school’s gross annualtuition income. Renewal fees are accrued to the credit of the propri-etary vocational school supervision account.

Section 5001 sets forth procedures for working with schools thatare not financially viable to protect the tuition reimbursement account.The method of assessing schools is changed from more complicatedregular and special assessment formulas to one based on the numberof quarterly assessments paid, whereby newer schools with thepotential to fail would pay a higher assessment than schools with ahistory of satisfactory licensed operation. Section 5001(4)(e), relatingto annual audited financial statements, is amended to change the grosstuition criteria for submission of such statements to the commissionerand the filing schedule for such statements to bring the non-degreesector into parity with schools in the degree-granting and public schoolsectors. This section also authorizes the commissioner to deny,suspend, revoke or decline to renew any license if the Commissionerdetermines that a school’s financial condition may result in the inter-ruption or cessation of instruction or jeopardize student tuition funds.If the Commissioner determines that the financial condition may resultin interruption or cessation of instruction or jeopardize student tuitionfunds, the Commissioner may place the school on probation for a pe-riod of no more than one year and the school shall be required tosubmit a report on its financial condition to the Commissioner.

Section 5002 was amended to restrict the amount of private loanpayments for tuition that a school could receive on behalf of a studentprior to their completing a program, thereby limiting students’ loan li-ability as well as the tuition reimbursement account’s liability for pay-ment of loan funds for tuition payments, which is the most significantportion of the loan. This section also increases the maintenance of rec-ord requirement from 6 to 7 years. Section 5002(1)(d)(1) also relatesadmission of students under the ability to benefit provision is amendedto authorize the Commissioner to accept other entrance requirementdocumentation, such as prerequisite coursework, professional orvendor certifications, personal interviews and/or attestations of equiv-alent knowledge in lieu of the examination requirement. Section5002(3)(h) was amended to require schools to submit for approval aschool catalog that contains a weekly tuition liability chart for eachprogram that indicates the amount of refund due a student uponwithdrawal. This section emphasizes that in addition to paying thecurriculum application fee, schools will be required to pay the cost ofan expert or independent consultant for an outside evaluation of a par-ticular course or facility of the school. This section establishes acurriculum/course application fee to fund the State Education Depart-ment’s curriculum unit. Fees from school and personnel license ap-plications do not cover the cost of curriculum review, as some schoolshave only a handful of courses or curricula that require approval whileothers have between 400 and 700. Schools requiring the most evalua-tion would pay more, those with few programs would pay less. Sec-tion 5002(6) was also amended so that all teacher licenses would nolonger be restricted to a single school location, as private career schoolteacher licenses currently are. This will result in a more mobile and ef-ficient teacher pool for schools to draw from for faculty members,reduced expense for processing teacher applications and a reducedworkload for the State Education Department’s Bureau of ProprietarySchool Supervision (“the Bureau”).

Section 5003 was amended to establish more practical timeframesfor disciplinary proceedings by prescribing procedures for handlingwritten complaints by students attending candidacy schools allegingfailure of the school to disclose its candidacy status and the implica-

tions and to obtain the required attestation from the student. If such aviolation is found, the school is required to provide the student a fullrefund of all monies received from the student. Section 5003(6) is alsoamended to increase the fines established in 1990 so they reflect theState Education Department’s current cost of school oversight andexpands the list of violations that may result in the imposition of acivil penalty, including failure to offer an approved course or program.

Section 5004 was amended to increase the amount of gifts and othernon-monetary consideration a school may provide to students or for-mer students from $25 to $75. Subdivision 4 of section 5004 would beamended to increase private school agent fees from $100 to $200,while extending the term of a private school agent’s certificate from 2years to 3 years.

Section 5006 was amended to allow the State Education Depart-ment to intervene more effectively when a private career educationschool ceases instruction. Currently, schools that are closing arerequired to develop teachout plans that arrange to have studentscontinue to receive instruction from other private career schools uponclosure of the school. The State Education Department’s experience isthat schools that must close have little incentive to establish teachouts,so authorizing the State Education Department to arrange for ateachout plan would provide greater protection for students. This sec-tion also authorizes the Commissioner to prescribe the educationalqualifications and practical experience for teachers and directors inthese schools.

Section 5007 was amended to expand the expenses eligible forreimbursement for students whose schools are closing. This sectionprovides refunds of tuition, fees and book charges paid by or on behalfof the students in cash or through loans, excluding funding obtainedthrough government agencies and authorizes the Commissioner torefund expenditures for fees, books and tuition to students of schoolsthat have closed. The provisions for special assessments for newschools in section 5007(10) are also amended to be consistent with theassessment changes in section 5001, and to reflect the State EducationDepartment’s experience with assessing schools that have not been inoperation for an entire year. The requirement in section 5007(11) foran annual fund audit of the tuition reimbursement account would bechanged to mandate a two-year audit.

Legal Basis for Rule: Education law sections 207 (not subdivided),305(1), 5001 through 5010 and Chapter 381 of the Laws of 2012.

Kevin G. Smith

Deputy Commissioner

518-474-2714

D. CALENDAR YEAR 2007

Section 100.5 of the Commissioner’s Regulations, regardingRegents diploma with honors

Description of rule: To revise and clarify diploma requirements,provide flexibility to schools, and alternatives for students who seek aRegents Diploma with honors or a Regents Diploma with AdvancedDesignation with honors.

Need for rule: Under prior regulations, a school district could awarda student a Regents diploma with honors or a Regents diploma withadvanced designation with honors if a student achieves an average of90 percent in all required Regents examinations. The rule provides anopportunity for students to substitute up to two approved alternativeassessments in lieu of required Regents examinations to be awardedthe “Honors” designation on their diploma. The student’s score on thealternative assessments will not be considered in the calculation todetermine whether the student has achieved an average of 90 percent.

Legal basis for rule: Education Law sections 101 (not subdivided),207 (not subdivided), 208 (not subdivided), 209 (not subdivided),305(1) and (2), 308 (not subdivided), 309 (not subdivided) and3204(3).

Section 120.4 of the Commissioner’s Regulations, regardingSupplemental Educational Services (SES)

Description of rule: Prescribes requirements regarding the use ofrewards and incentives by Supplemental Educational Services (SES)providers; revises reporting dates for SES providers and localeducational agencies (LEAs); and corrects inaccurate references in theSES regulations.

Need for rule: The rule is necessary to implement policy adopted bythe Board of Regents regarding the provision of SupplementalEducational Services (SES). The rule:

a. Regulates the use of rewards and incentives by SES provider toprohibit SES providers from using incentives, gratuities, payments, orcompensation to solicit enrollment, encourage parents to switchproviders once students are enrolled, or attempt to influence parents,students, LEAs, LEA staff and/or school staff.

b. Amends reporting dates for SES providers and local educationalagencies (LEAs) to so that accurate information and data are collectedon a timeline that is most suitable for the providers and the LEAs; and

c. Corrects inaccurate references in current SES regulations.

Legal Basis for rule: Education Law sections 101(not subdivided),207(not subdivided), 305(1), (2) and (33), 308(not subdivided),309(not subdivided) and 3713(1) and (2).

Section 100.13 and amendment of section 170.12 of the Commis-sioner’s Regulations, regarding Contracts for Excellence

Description of rule: The rule establishes requirements for Contractsfor Excellence, including allowable programs and activities, criteriafor public reporting by school districts of their total foundation aidexpenditures, and other requirements for purposes of preparation ofthe Contracts by certain specified school districts.

Need for rule: The rule is needed to implement the statutoryrequirements. The rule establishes systems and processes that providefor transparency, simplicity and accountability in the use of additionalaid to districts with the greatest concentrations of students in needwho are at the same time, experiencing the greatest obstacles toimproving their students’ achievement. Moreover, it ensures thatdistricts and schools use new funding on one or more of the followingsix programs and activities: class size reduction, increased time ontask, middle and high school restructuring, full day prekindergartenand kindergarten, teacher and principal quality initiatives and experi-mental programs.

Legal basis for rule: Education Law sections 101 (not subdivided),207 (not subdivided), 215 (not subdivided), 305(1) and (2), 211-d(1-9), and Chapter 57 of the Laws of 2007.

Sections 21.3 and 100.12 of the Commissioner’s Regulations,regarding loan of instructional computer hardware

Description of rule: To implement Education Law sections 753 and754, as added by Chapter 57 of the Laws of 2007, to provide for theloan of instructional computer hardware from public school districtsto nonpublic school students.

Need for rule: The rule is needed to implement statutoryrequirements. Education Law section 754, as added by Chapter 57 ofthe Laws of 2007, requires school authorities to loan instructionalcomputer hardware to an individual or a group of individuals legallyattending nonpublic schools located in the district, subject to suchrules and regulations as prescribed by the Board of Regents. Theserequirements are detailed in an amendment to section 21.3 of the Rulesof the Board of Regents, which detail loan procedures for computerhardware and software.

Education Law section 753, as added by Chapter 57 of the Laws of2007, provides for an apportionment for approved school district ex-penses for computer hardware or technology equipment, or for repairof such equipment or staff development for instructional purposes.Such aid shall be provided pursuant to a plan developed by the districtthat demonstrates, to the satisfaction of the Commissioner, that theinstructional computer hardware needs of the district’s public and

nonpublic school students have been adequately met. Section 100.12,as amended, specifies that each school district’s technology planincluding an assurance that the school district has provided for theloan of instructional computer hardware to students legally attendingnonpublic schools pursuant to Education Law section 754.

The rule establishes systems and processes that provide neededcomputer hardware to benefit students attending nonpublic schools inthe state, which is a necessary component in raising academic achieve-ment through additional computer training, education and instructionaldelivery.

Legal basis for rule: Education Law sections 101 (not subdivided),207 (not subdivided), 215 (not subdivided), 305(1) and (2), 753(1)and 754(1) and sections 7-a and 7-b of Chapter 57 of the Laws of2007.

Section 151-1 of the Commissioner’s Regulations regarding, theUniversal Pre-Kindergarten program

Description of rule: Conforms the Commissioner’s Regulations toEducation Law section 3602-e, as amended by Chapter 57 of the Lawsof 2007, by establishing uniform quality standards for prekindergartenprograms, criteria relating to program design, procedures for applyingfor universal prekindergarten grants, procedures by which districtsselect eligible agency collaborators through a competitive process,and facility requirements.

Need for rule: The rule is necessary to conform Subpart 151-1 toEducation Law section 3602-e, as amended by Chapter 57 of the Lawsof 2007.

Legal basis for rule: Education Law sections 101 (not subdivided),207 (not subdivided) and 3602-e(1), (2), and (5)-(16), and section 19of Chapter 57 of the Laws of 2007.

Sections 100.2, 120.6, 200.1 through 200.9, 200.13, 200.14, 200.16,200.22, 201.2 through 201.11 of the Commissioner’s Regulations,regarding special education programs and services

Description of rule: Conforms the Commissioner’s Regulations tothe reauthorization of the Individuals with Disabilities Education Act(IDEA) (20 USC 1400 et seq.), as amended by Public Law 108-446,and the final amendments to 34 CFR Part 300; ensures consistency inprocedural safeguards; promotes timely evaluations and services; andfacilitates services in the least restrictive environment for studentswith disabilities.

Need for rule: The rule is necessary to conform the Commissioner’sRegulations to the Individuals with Disabilities Education Act (IDEA)(20 U.S.C. 1400 et. seq.), as amended by Public Law 108-446, andrecent amendments to 34 CFR Part 300 which became effective onOctober 13, 2006. The rule is also necessary to ensure consistency inprocedural safeguards; promote timely evaluations and services; andfacilitate services in the least restrictive environment for students withdisabilities.

Legal basis for rule: Education Law sections 207 (not subdivided),3208 (1-5), 3209(7),3214(3), 3602-c(2), 3713(1) and (2), 4002(1-3),4308(3), 4355(3), 4401(1-11), 4402 (1-7), 4403(3), 4404(1-5), 4404-a(1-7), and 4410(13).

Section 154.2, repeal and addition of section 154.3 and repeal ofsection 154.4 of the Commissioner’s Regulations, regarding pupilswith limited English proficiency

Description of rule: Prescribes requirements for the development ofcomprehensive plans for students with limited English proficiency byschool districts pursuant to Education Law section 3204, as amendedby Chapter 57 of the Laws of 2007, and otherwise conforms Part 154of the Commissioner’s Regulations to the statute.

Need for rule: The rule is necessary to conform the Commissioner’sRegulations to section 10 of Chapter 57 of the Laws of 2007. Pursuantto Chapter 57 of the Laws of 2007, school districts no longer claimState limited English proficiency aid. Beginning in 2007-08, alldistricts receive total foundation aid. Each school district that receivestotal foundation aid must develop a comprehensive plan consistentwith Education Law section 3204(2-a)(1) and Part 154 of the Com-missioner’s Regulations.

Legal basis for rule: Education Law sections 207, 215, 2117(1),3204(2),(2-a),(3) and (6) and section 10 of Chapter 57 of the Laws of2007.

Section 175.5 of the Commissioner’s Regulations, regardingsuperintendents’ conference days

Description of rule: To extend for two years the provision in Com-missioner’s Regulations section 175.5(f) that allows a school districtto use up to two of its superintendents’ conference days for teacherrating of State assessments.

Need for rule: The rule extends for two years the provision in sec-tion 175.5(f) that permits a school district to use up to two of the al-lowed four superintendents’ conference days provided for in Educa-tion Law section 3604(8) for teacher rating of State assessments,including assessments required under the federal No Child LeftBehind Act of 2001. The rating of students’ performance on the Stateassessments is an effective way for teachers to learn the new learningstandards and therefore constitutes permissible staff developmentactivities relating to implementation of the new high learning stan-dards and assessments, as authorized by Education Law section3604(8). The rule continues to provide school districts with additionalflexibility and discretion to use this staff development function tofulfill their State test scoring requirements while minimizing impacton student instructional time.

Legal basis for rule: Education Law sections 101 (not subdivided),207 (not subdivided) and 3604(8).

Section 3.16 of the Rules of the Board of Regents, regarding charterschools

Description of rule: Delegates to the Commissioner of Educationthe Board of Regents’ authority to conduct and hold public hearings tosolicit comments from the community in connection with the issu-ance, revision, or renewal of a charter school’s charter pursuant toEducation Law section 2857(1-a).

Need for rule: Having the Board of Regents personally conduct andhold public hearings to solicit comments from the community in con-nection with the issuance, revision, or renewal of a charter school’scharter is not deemed to be the most appropriate and efficacious meansto address this matter, considering the scope of duties of the Board,the limited number of times that the Board meets during the year, andthe time demands placed on individual Board members. It has beendetermined that delegation of such responsibility to the Commissionerwill provide for the most efficient and expeditious means to conductsuch hearings.

Legal basis for rule: Education Law sections 101 (not subdivided),206 (not subdivided), 207 (not subdivided), 305(1), (2) and (20) and2857(1) and (1-a) and section 7 of Part D-2 of Chapter 57 of the Lawsof 2007.

Section 119.4 of the Commissioner’s Regulations, regarding charterschool public hearings

Description of rule: Establishes procedures for the conduct of pub-lic hearings by school districts to solicit comments from the com-munity in connection with the issuance, revision, or renewal of acharter school’s charter pursuant to Education Law section 2857(1).

Need for rule: It has been determined that the procedures set forthin the rule will provide for the most efficient, thorough and expedi-tious means to conduct such hearings.

Legal basis for rule: Education Law sections 101 (not subdivided),206 (not subdivided), 207 (not subdivided), 305(1), (2) and (20) and2857(1) and section 7 of Part D-2 of Chapter 57 of the Laws of 2007.

Section 170.13 of the Commissioner’s Regulations, regarding fiscalmaintenance of effort

Description of rule: Defines ‘‘city funds’’ for purposes of determin-ing maintenance of effort in cities having a population of one hundredtwenty-five thousand or more inhabitants and less than one million in-habitants pursuant to Education Law section 2576(5-b), includingstate and private funding sources over which the city has no discretionand which are to be excluded from the calculation of city funds subjectto the maintenance of effort requirement.

Need for rule: The rule is needed to implement the statutoryrequirements. The rule establishes a definition of ‘‘city funds’’ forpurposes of determining the fiscal maintenance of effort requirementin Education Law section 2576(5-b, thus ensuring that the require-ment pertains only to funds over which the cities have control. State

Education Department research on the maintenance of local effort insupport of schools has documented that school districts tend to reducelocal effort when they receive State Aid increases. Without a statutoryrequirement or formula structure that requires maintenance of localeffort there is no way to ensure that State Aid increases provided forthe purpose of increasing student achievement will result in additionalprograms and services for students, rather than tax relief or the fund-ing of other city services.

Legal basis for rule: Education Law sections 101 (not subdivided),207 (not subdivided) and 305(1) and (2) and 2576(5-b) and section 9of Part B of Chapter 57 of the Laws of 2007.

Section 100.3 of the Commissioner’s Regulations, regardingprogram requirements for students in prekindergarten and kindergarten

Description of rule: Aligned program requirements for prekinder-garten and kindergarten programs operated by school districts andvoluntarily registered nonpublic schools with those established forState-funded universal kindergarten programs.

Need for rule: The rule was necessary to achieve consistency be-tween the provisions of this Part and those in other Parts of the Regula-tions of the Commissioner of Education. Specifically, the rule revisessection 100.3(a) to align the program requirements for prekindergar-ten and kindergarten programs operated by school districts and volun-tarily registered nonpublic schools with those established in Subpart151-1 for state-funded universal prekindergarten programs. These rulerequires school districts to adopt and implement curricula that ensurestrong instructional content aligned with the State learning standardsand integrated with the instructional program in grades one throughtwelve; redefine the required components of early literacy andemergent reading instruction; identify the types of learning experi-ences that must be provided; and require procedures to ensure the ac-tive engagement of parents in the education of their children.

Legal basis for rule: Education Law sections 101 (not subdivided),207 (not subdivided), 208 (not subdivided), 215 (not subdivided),305(1) and (2), 308 (not subdivided), and 309 (not subdivided).

Section 117 of the Commissioner’s Regulations, regarding diagnos-tic screening for students who are new entrants or who have low testscores in reading or mathematics

Description of rule: Provides for the diagnostic screening ofstudents who are new entrants to school or who have low test scoreson the statewide reading or mathematics assessment and to provideconsistency between definitions in Part 117 and other provisions ofthe Commissioner’s Regulations, specifically, by conforming the defi-nition of “handicapping condition” to the definitions of a “preschoolstudent with a disability” and a “student with a disability”.

Need for rule: The rule is necessary to achieve consistency betweenthe definitions in Part 117 and those in other provisions of the Regula-tions of the Commissioner of Education. Specifically, the definition ofa pupil with a possible ‘‘handicapping condition’’ [section 117.2(a)] isamended to conform to the definitions of a ‘‘preschool student with adisability’’ and a ‘‘student with a disability’’ as defined in sections200.1(mm) and 200.1(zz) respectively. The definition of pupils whomust receive diagnostic screening based on their performance onstatewide tests [section 117.2(e)] is amended to reflect the definitionof a student with low test scores established in Education Law section3208(5).

Further, the rule clarifies the existing screening requirements. Sec-tion 117.2(d) is amended to clarify that prekindergarten students areincluded in the definition of ‘‘new entrants’’. A new section 117.2(g) isadded to define ‘‘health care provider”. This definition in consistentwith that found in Part 136 of the Commissioner’s Regulations pertain-ing to school health services and provides districts and parents withgreater flexibility regarding the type of health care professional whocan provide the required health and immunization certifications. Sec-tion 117.3(b) is amended to incorporate the health screening require-ments set forth in section 136.3.

Legal basis for rule: Education Law sections 101 (not subdivided),207 (not subdivided), 3208(5) and 4403(3).

Sections 100.14 and 100.15 of the Commissioner’s Regulations,regarding Excelsior Scholars Program and Grants for SummerInstitutes for Mathematics and Science Teachers

Description of rule: Establishes criteria for the award of grants forthe Excelsior Scholars Program pursuant to Education Law section3641-a and grants for Summer Institutes for Mathematics and ScienceTeachers pursuant to Education Law section 3641-b.

Need for rule: The rule was necessary to implement Education Lawsections 3641-a(1), (2) and (3) and 3641-b, as added by section 39 ofPart B of Chapter 57 of the Laws of 2007. The rule established criteriafor the award of grants for the Excelsior Scholars summer programsfor high performing students in mathematics and science who havecompleted seventh grade, and grants for summer institutes for teach-ers of mathematics and science in grades five through eight in middleschools, junior high schools, intermediate schools or junior/seniorhigh schools.

Legal basis for rule: Education Law sections 101 (not subdivided),207 (not subdivided), 215 (not subdivided), 305(1) and (2) and sec-tions 3641-a(1), (2) and (3) and 3641-b(not subdivided), as added bysection 39 of Part B of Chapter 57 of the Laws of 2007.

Jhone M. Ebert

(518) 474-3862

nysedp12@nysed.gov

Section Subpart 4-1 of the Commissioner’s Regulations, regardingVoluntary Institutional Accreditation for Title IV purposes

Description of rule: The rule established requirements and clarifiedexisting standards and procedures that must be met by institutions ofhigher education voluntarily seeking institutional accreditation or re-newal of such accreditation by the Board of Regents and the Commis-sioner of Education.

Need for rule: In June 2001, the Board of Regents adopted Part 4 ofthe Rules of the Board of Regents, Voluntary Institutional Accredita-tion for Title IV Purposes (now Subpart 4-1) as part of a process ofcomplying with the requirements in regulations of the U.S. Depart-ment of Education (34 CFR Part 602) for continued recognition of theBoard of Regents as an institutional accrediting agency. One of theFederal regulations requires each Nationally Recognized AccreditingAgency to have “a systematic program of review that demonstratesthat its standards are adequate to evaluate the quality of the educationor training provided by the institutions and programs it accredits andrelevant to the educational or training needs of students” (34 CFR602.21[a]).

In compliance with the Federal requirement, the Department begana multi-year review of the institutional accreditation standards andprocedures. This review included examination of the standards ofother accrediting agencies; surveys of accredited institutions and ofNew York higher education institutions accredited by other agencies;annual colloquia on selected standards involving faculty and adminis-trators from accredited institutions and from other New York degree-granting institutions, members of the Regents Advisory Council onInstitutional Accreditation, and Department accreditation staff; reviewof the findings of peer review teams in site visits for institutional ac-creditation and extended discussions by the Regents AdvisoryCouncil. As a result of this multi-year process, the rule was adopted toprovide clarity and address any deficiencies in the previous regulation.

The rule permitted the Commissioner to extend the 10-year term ofaccreditation for up to 12 months on one or more occasions for goodcause. The Department believes a brief extension of the accreditationterm for good cause is necessary to provide regulatory flexibility, dueto the challenges institutions face in preparing for accreditation or re-newal of accreditation, and the demands on the Department in schedul-ing so many site visits.

The rule expanded on what should be included in an institutionalmission statement to ensure it is of sufficient scope and depth to beable to evaluate an institution’s activities in support of their mission.

The rule required an institution to submit a plan, acceptable to thecommissioner, to improve graduation rates or job placement rates ifits most recent rates fall more than five percentage points below thestatewide mean. This rule is needed to hold institutions more account-able for their graduation and job placement rates.

The lack of transferability of courses from institutions accreditedby the Board of Regents to regionally accredited institutions has alsobeen identified as a problem. This rule prohibits institutions fromdenying transfer credits based solely on the sending institutions’choice of an accrediting agency approved by the U.S. Department ofEducation and requires the learning objectives of each course to be ata level and rigor that warrant acceptance in transfer by other highereducation institutions. The rule defines and clarifies the minimumcredentials expected of faculty teaching in undergraduate programs.

The rule establishes as a standard for accreditation that an institu-tion shall not be in violation of a State or Federal statute, where suchviolation demonstrates incompetence and/or fraud in the managementof the institution. This assures that accredited institutions are notoperating fraudulently or incompetently, in terms of New York Stateor Federal statutes, and thereby strengthens the Regents standards forthe operation of accredited institutions.

The rule requires that any institution admitting students with aca-demic deficiencies provide adequate support services so that studentsadmitted by accredited institutions with “open admission” policiesreceive the academic services they need in order to successfullycomplete their programs. It further requires that all students receiveinstruction in information literacy to assure that all students can utilizethe institution’s library effectively in their courses and other academicrequirements.

The rule clarifies requirements that institutions must meet in refer-ence to catalogs. It requires institutions to archive annually all printand online catalogs, and requires archived copies to be retainedpermanently. This is needed to address the use of multi-year and onlinecatalogs and how the information contained in such catalogs is to bemaintained by institutions.

The rule requires an institution and/or the Deputy Commissioner, ifthey plan on appealing the findings of the Advisory Board pursuant tosection 4-1.5 of the Rules of the Board of Regents, to file a notice ofintention to appeal within 10 days of receipt of the Advisory Council’srecommendation. Similarly, the rule requires an institution intendingto file an appeal of a Regents adverse determination under section4-1.5 of the Rules of the Board of Regents to file a notice of intentionto appeal within five days of such determination. The Departmentbelieves this is necessary for regulatory flexibility and to provide theCommissioner with adequate time and notice to process the appeal.

Legal basis for rule: Education Law sections 207 (not subdivided);210 (not subdivided); 214 (not subdivided), 215 (not subdivided), and305(1) and (2).

Sections 80-1, 80-3, 80-4 and 80-5 of the Commissioner’s Regula-tions, regarding requirements for teachers’ certification and teachingpractice

Description of rule: The rule clarifies existing standards andprocedures that must be met by classroom teachers, school leaders andpupil personnel professionals when seeking certification; and toprovide flexibility to accept candidates who substantially meet certaincertification requirements and/or who have a valid certificate from an-other state or an authorization to practice from another countryevidencing knowledge, skills and abilities comparable to thoserequired for certification in New York State.

Need for rule: The rule clarifies existing standards and proceduresthat must be met by teachers (classroom teachers, school leaders andpupil personnel professionals) when seeking certification by the Boardof Regents and the Commissioner of Education. The rule also providesthe Commissioner with the flexibility to accept candidates whosubstantially meet certain certification requirements and/or who havea valid certificate from another state or an authorization to practicefrom another country evidencing knowledge, skills and abilities com-

parable to those required for certification in New York State. Specifi-cally, the rule makes the following major changes:

The rule permits the Commissioner to extend the time validity of anexpired provisional, initial or transitional certificate for an additionalyear, beyond the two-year extension currently provided for, if acandidate is faced with extreme hardship or other circumstances be-yond the control of the individual. This change is needed to providethe Commissioner with the flexibility to extend the time validity ofcertain certificates in extreme circumstances.

For purposes of qualifying for a teaching certificate, the ruleprovides the Commissioner with the flexibility to accept a candidate’sbaccalaureate degree from a higher education institution that the Com-missioner deems substantially equivalent to a baccalaureate degreefrom a regionally accredited institution of higher education. Thischange is needed to provide the Commissioner with the flexibility toaccept a candidate who has received teacher preparation from a highereducation institution that the Commissioner deems substantiallyequivalent to that of a regionally accredited institution.

The rule permits the Commissioner to accept academic preparationthat the Commissioner deems to be substantially equivalent to thatspecified in regulation for a teaching certificate. This change is neededto allow the Commissioner to accept coursework from a candidatethat, while not technically meeting a specified requirement, satisfiesthe required competencies.

The rule provides the Commissioner with the flexibility to acceptpaid full-time experience in lieu of the college-supervised practicumin the classroom teaching titles that require a practicum: literacy,library media specialist, and speech and language disabilities. Thischange is needed to provide an option, for example, for those out-of-state candidates who graduated from programs that did not include apracticum but who may have several years of professional experienceor applicants who have completed programs years ago and practicedin non-public schools successfully for many years.

For purposes of certification as a school building leader, a schooldistrict leader or school district business leader, the rule permits theCommissioner to accept a candidate who has successfully completedan educational leadership program accredited by a United StatesDepartment of Education recognized accrediting body at a regionallyaccredited institution outside New York State. This is needed toprovide the Commissioner with a mechanism to accept successfulcandidates who have completed programs that have been rigorouslyreviewed by national accrediting bodies and found to be of high qual-ity in the field of school leadership.

The rule sets forth the specific teaching certificate titles to which anextension as coordinator of work-based learning programs for careerawareness may be appropriately attached and those teaching certifi-cate titles for which an extension as a coordinator of work-based learn-ing programs for career development may be attached. The priorregulatory language lacked the specificity needed to advise candidatesappropriately.

The rule also clarifies that the holder of an extension as a coordina-tor of work-based learning programs for career development may alsocoordinate programs for career awareness. This clarification is neededto advise candidate’s appropriately because the requirements for acoordinator of work-based learning programs include and are morerigorous than the requirements for career awareness.

The rule also authorizes the Commissioner to accept an out-of-statecertificate or an authorization to practice from another country that ev-idences comparable knowledge, skills, and abilities with thoserequired for initial certification in New York State. This is needed toprovide the Commissioner with the flexibility to accept certificates orauthorizations to practice presented by applicants from foreigncountries or non-reciprocal states.

Legal basis for rule: Education Law Sections 207 (not subdivided),208 (not subdivided), 305(1), (2) and (7), 308 (not subdivided),3001(2), 3004(1), 3006(1)(b), 3007(not subdivided), and 3009.

Sections 80-1.11, 87.1, 87.2, 87.4, 87.5, 87.6, 87.8 and the additionof section 87.10 of the Commissioner’s Regulations, regarding thefingerprinting and criminal history record check of prospective em-ployees of nonpublic and private elementary or secondary schools

Description of rule: Establishes requirements and procedures forthe fingerprinting and criminal history record check of prospectiveschool employees for nonpublic and private elementary or secondaryschools in order to implement the requirements of Chapter 630 of theLaws of 2006.

Need for rule: The rule is needed to implement the requirements setforth in sections 305, 3001-d and 3035 of the Education Law, asamended by Chapter 630 of the Laws of 2006. Specifically, rule makesthe following major changes:

In order to conform the regulations to the requirements set forth inSections 305, 3001-d and 3035 of the Education Law, as amended byChapter 630 of the Laws of 2006, the rule revises the definitions inPart 87 for clearance for employment, conditional appointment,conditional clearance for employment and covered school to permitnonpublic and private schools to seek such clearances and appoint-ments from the Department beginning July 1, 2007. The rule alsoauthorizes nonpublic or private elementary or secondary schools to bea designated fingerprinting entity if they choose to fingerprint pro-spective school employees.

The rule further clarifies that the fingerprinting and criminal historyrecord check requirements under Part 87 apply to all prospectiveschool employees appointed to compensated positions in a nonpublicor private elementary school that elects to fingerprint and seek clear-ance from the Department for prospective employees on or after July1, 2007 and not to prospective employees appointed to such schoolsprior to July 1, 2007.

The rule authorizes the Department to consider the criminal historyrecord and any related information obtained by the Department pursu-ant to such review, when the criminal history record check reveals thatthe prospective school employee was convicted of a crime or has apending criminal charge.

The rule also makes technical changes to the due process require-ments of Part 87 to reflect the change in title of the executive directorof the Office of Teaching Initiatives to the Assistant Commissioner ofthe Office of Teaching Initiatives. The rule also clarifies that theDepartment will accept a credit card for the fee charged for a criminalhistory information request under Part 87 to conform with currentpractice.

In order to implement the requirements of Chapter 630 of the Lawsof 2006, the rule requires that beginning July 1, 2007, any nonpublicor private elementary or secondary school that elects to fingerprintand seek clearance from the Department for prospective employeesmust notify the Assistant Commissioner of the Office of TeachingInitiatives, or his designee, on forms provided by the Department ofits intent to seek clearance from the Department through the Depart-ment’s TEACH online services system.

The rule further clarifies that any nonpublic or private elementaryor secondary school that elects to submit requests for criminal historyrecord review to the Department for prospective employees shall doso with respect to each such prospective employee and shall develop apolicy for the safety of the children who have contact with an em-ployee holding conditional appointment or emergency appointment.

Legal basis for rule: Education Law sections 207 (not subdivided),3012-b and Section 9 of Part 12 of Chapter 57 of the Laws of 2007.

Sections 80-1.11, 87.1, 87.2, 87.4, 87.5, 87.6, 87.8 and the additionof section 87.10 of the Commissioner’s Regulations, regarding thefingerprinting and criminal history record check of prospective em-ployees of nonpublic and private elementary or secondary schools

Description of rule: Establishes requirements and procedures forthe fingerprinting and criminal history record check of prospectiveschool employees for nonpublic and private elementary or secondaryschools in order to implement the requirements of Chapter 630 of theLaws of 2006.

Need for rule: The purpose of the rule is to clarify the existingprocedures for institutions of higher education seeking accreditationof their teacher education programs, or renewal of such accreditation,by the Board of Regents. Specifically, the rule clarifies that the DeputyCommissioner may accept and/or consider additional informationfrom the institution, other than the record before the standards board

or subcommittee, when making a recommendation during a compre-hensive review for accreditation, a compliance review or when review-ing programs on probationary status. The rule also clarifies that theDeputy Commissioner may request additional written informationfrom the standards board or subcommittee, provided that the DeputyCommissioner transmits such additional written information to theinstitution by first class mail within fifteen days of receipt of suchinformation.

This rule provides the Deputy Commissioner with the flexibility toaccept and/or request additional information from the institutionand/or standards board before making a recommendation. It alsoprovides the institution with the opportunity to notify the Deputy Com-missioner if it has corrected any identified deficiencies.

Legal basis for rule: Education Law sections 207(not subdivided),305(30), 3001-d and 3035.

Section 145-2.15 of the Commissioner’s Regulations, regardingadministration of ability-to-benefit tests for eligibility for awards

Description of rule: The rule identifies certain ability-to-benefittests and the passing scores for such tests that the Board of Regentsapproves for purposes of eligibility for awards under Section 661 ofthe Education Law. The rule also establishes criteria that the depart-ment will utilize to determine if an approved ability-to-benefit test isindependently administered; in order to implement the requirementsof Chapter 57 of the Laws of 2007.

Need for rule: Education Law section 661 prescribes eligibilityrequirements and procedures governing awards under the State studentfinancial aid programs established in Education Law Articles 13 and14. Education Law section 661(4)(d) and (e) establishes new require-ments for students who do not hold diplomas from high schools lo-cated within the U.S., or its recognized equivalent, seeking Statefinancial aid for the first time in the 2007-2008 academic year.

Currently, under the federal Higher Education Act, students seekingto qualify for Pell grants or other federal Title IV aid who do not havea high school diploma or its recognized equivalent must demonstratethe ability to benefit from the education or training provided by achiev-ing a score set by the Secretary of the U.S. Department of Education(“Secretary”) on a test approved by the Secretary.

Prior to the 2007-2008 academic year, a student applying for Statestudent financial aid who did not have a diploma from a U.S. highschool, or its recognized equivalent, was required to achieve a passingscore set by the Secretary, on an ability-to-benefit test approved by theSecretary. Education Law section 661(4)(e) modifies this requirement.Students seeking State aid for the first time in the 2007-2008 aca-demic year, without a high school diploma or the recognized equiva-lent of such, must achieve a passing score on an ability-to-benefit testapproved by the Regents and the test must be independently adminis-tered as defined by the Commissioner.

The rule requires the Regents to publish a list of the federally ap-proved ability-to-benefit tests the Regents identify as satisfactory indetermining eligibility for State aid for students without a high schooldiploma from the U.S., or its recognized equivalent. For the 2007-2008 academic year fall semester, all seven federally approved ability-to-benefit tests may be used. For subsequent academic terms, theDepartment intends to identify and publish a list of federally approvedability-to-benefit tests that the Board of Regents identifies as satisfac-tory in determining eligibility to receive a State aid award. Onceidentified, such tests shall be without term unless the Departmentdetermines a test is no longer satisfactory in determining eligibility forawards or the Secretary discontinues federal recognition of such test.

Each eligible institution must submit for Regents approval, the pass-ing score it proposes to utilize on any approved ability-to-benefit test,which passing score may not be lower than the federally approvedscore for such test. For the 2007-2008 academic year fall semester,eligible institutions may utilize any passing score that is not lowerthan the federally approved score. For subsequent academic terms, indetermining whether to approve an institution’s proposed passingscore, the regulation requires the Regents to consider certain specifiedfactors. Once approved, an institution’s passing score(s) will remainapproved unless the institution proposes to change such score(s) or theRegents determine that such passing score is no longer satisfactory indetermining eligibility for awards under Education Law section 661.

The rule also establishes factors the Department will consider todetermine if an ability-to-benefit is independently administered andevaluated. For the 2007-2008 academic year fall semester, the test willbe deemed independently administered if its administration meets thecriteria set forth in federal regulations. For subsequent academicterms, the regulation provides that an ability-to-benefit test is indepen-dently administered if the test is administered by an assessment centernot located at, or affiliated with, the institution for which the student isseeking enrollment and the test administrator is an employee of suchcenter. If the ability-to-benefit test is administered at an eligibledegree-granting institution, the institution’s chief executive officershall provide the Department an annual certification that it indepen-dently administers such tests according to the factors in the regulation.If the ability-to-benefit test is administered by an eligible institutionthat does not grant degrees, the ability-to-benefit test must beadministered pursuant to the federal regulations’ criteria. If the Depart-ment finds an institution has violated the certification procedure or thefederal ability-to-benefit procedures, it may require the institution touse an assessment center external to the institution.

Legal basis for rule: Education Law sections 207 (not subdivided),215 (not subdivided) and 661(4) and Sections 1 and 2 of Part E-1 ofChapter 57 of the Laws of 2007.

Section 150.2 and addition of section 150.4 of the Commissioner’sRegulations, regarding State aid awards for high needs nursingprograms at certain independent colleges and universities

Description of rule: The rule establishes eligibility criteria and therequirements and procedures for certain eligible independent collegesand universities to follow when applying for, or awarding, State aidawards for high needs nursing programs in order to implement therequirements of Chapter 57 of the Laws of 2007.

Need for rule: Section 6401-a of the Education Law, as added byChapter 57 of the Laws of 2007, authorizes the Commissioner ofEducation to award state aid for high needs nursing programs at certainindependent institutions of higher education within the State. In orderto conform with the requirements set forth in section 6401-a of theEducation Law, the rule establishes eligibility criteria and the require-ments and procedures for certain eligible institutions and the Commis-sioner of Education to follow when applying for, and awarding, stateaid under this section.

Legal basis for rule: Education Law sections 207 (not subdivided)and 6401-a(4) and Part E-4 of Chapter 57 of the Laws of 2007.

Section 27-1.1 of the Rules of the Board of Regents, regardingStudent Eligibility for the Higher Education Opportunity Program

Description of rule: The rule updates the current economic eligibil-ity criteria for the Higher Education Opportunity Program at indepen-dent colleges and universities.

Need for rule: The rule is needed in order to update the currentcriteria for determining student economic eligibility for the HigherEducation Opportunity Program by: (1) taking into account inflation-ary conditions and changes in annual income; (2) accounting for NewYork State and local taxes and regional maintenance costs; (3) assur-ing consistency across the State-supported postsecondary opportunityprograms; (4) maintaining the continuing linkage of these eligibilitycriteria with federally approved methods of needs analysis; and (5)recognizing the costs associated with a household that is solely sup-ported by one member who is employed by two or more employers.

Legal basis for rule: Education Law sections 207 (not subdivided);6451(1).

Section 50.1, amendment of paragraph (4) of subdivision (c) of sec-tion 52.2 and addition of subdivision (g) of section 145-2.1 of theCommissioner’s Regulations, regarding disaster planning

Description of rule: The rule permits an institution to provide astatement of academic standards establishing equivalency of instruc-tion and study in the temporary closure of an institution as a result of adisaster.

Need for rule: The rule is needed in order to provide regulatoryrelief in the event of a temporary closure of an institution as a result ofa disaster.

Legal basis for rule: Education Law sections 101 (not subdivided),

202(1), 207 (not subdivided), 210 (not subdivided), 215 (not subdi-vided), and 305(1), (2) and (20).

Section 52.21(b)(2)(iv)(c)(3)(i) and (ii) of the Commissioner’sRegulations, regarding accreditation of teacher education programs

Description of rule: The rule extends for six months, until June 30,2008, the required time period for completion of the accreditation pro-cess by teacher education programs registered on or before September1, 2001 that are awaiting an accreditation decision following a sitevisit conducted on or before December 31, 2006; and accordingly, toextend the period of eligibility in which certain teacher educationprograms, initially denied accreditation, may request from the depart-ment a deferral of the date by which they must be accredited.

Need for rule: The purpose of the rule is to enable certain teachereducation programs to complete the accreditation process, by extend-ing for six months the date by which teacher education programsregistered prior to September 1, 2001 that are awaiting an accredita-tion decision following an accreditation review which included a sitevisit conducted on or before December 31, 2006, must achieveaccreditation. In addition, the rule extends by six months the period ofeligibility in which certain teacher education programs denied ac-creditation may request a deferral of the date for accreditation. Therule is needed to provide the Department with regulatory flexibility toaccommodate sound teacher education programs that demonstrate theability to earn accreditation within the short term. The rule is intendedto provide needed flexibility to permit programs to address deficien-cies, thereby limiting disruptions to students while helping to ensureimprovements in program quality.

Legal basis for rule: Education Law sections 207 (not subdivided);210 (not subdivided); 215 (not subdivided); 305(1) and (2); 3001(2);and 3004(1).

John D’Agati

(518) 486-3633

Sections 29.17 and 77.9 of the Commissioner’s Regulations, regard-ing physical therapy

Description of rule: The rule implements the requirements of sec-tion 6731(d) of the Education Law by defining the experience require-ment that a licensed physical therapist must meet to provide treatmentwithout a referral, clarifying the content of the notice of adviceprovided to a patient prior to treatment by a physical therapist withouta referral, and establishing a definition of unprofessional conduct re-lating to such practice.

Need for rule: Chapter 298 of the Laws of 2006 added a new sec-tion 6731(d) to the Education Law to permit licensed physicaltherapists who have practiced physical therapy on a full-time basisequivalent to not less than three years to provide treatment to patientswithout a referral from a physician, dentist, podiatrist or nursepractitioner. The rule implements the requirements of section 6731(d)of the Education Law by defining the experience requirement that alicensed physical therapist must meet to provide treatment without areferral, clarifying the content of the notice of advice provided to apatient prior to treatment without a referral, and establishing a defini-tion of unprofessional conduct relating to such practice.

The rule is needed to advise licensed physical therapists of therequirements that they must meet in order to provide treatment withouta referral and to provide uniformity and consistency in the informa-tion that must be contained in the written notice provided to a patient.

The rule establishes an additional definition of unprofessionalpractice in the practice of physical therapy: failing to meet the require-ments of subdivision (d) of section 6731 of the Education Law and/orsection 77.9 of the Commissioner’s Regulations. This will provide away for the State Education Department to enforce the requirementsthat licensed physical therapists must meet to provide treatmentwithout a referral.

Legal basis for rule: Education Law sections 207(not subdivided);6504(not subdivided); 6506(1); 6507(2)(a); 6509(9), and 6731(d).

Addition of Part 31 of the Rules of the Board of Regents, regardingcivil enforcement proceedings for the unauthorized practice of theprofessions and the unauthorized use of a professional title

Description of rule: The rule implements Education Law section6516, as added by Chapter 615 of the Laws of 2003, by specifying therequirements and procedures for the submission of complaints,investigations, hearing requests, stay requests, the contents of ceaseand desist orders; the standards for the imposition of civil penaltiesand restitution and the procedures for hearings and appeals.

Need for rule: The rule is needed to implement the requirements ofSection 6516 of the Education Law by specifying the requirements forthe submission of complaints, investigations, hearing requests andstay requests; the contents of a cease and desist order; the standardsfor the imposition of civil penalties and restitution and the proceduresfor hearings and appeals.

Legal basis for rule: Sections 207 (not subdivided); 6506(1);6512(1); 6513(1); and 6516 (1), (2), (3), (4), (5), (6), and (7) of theEducation Law.

Sections 52.26 and 61.9, repeal section 61.13 and add a new section61.13 of the Commissioner’s Regulations, regarding scope of practicefor certified dental assistants and dental hygienists and the curriculumrequirements for registration as a program leading to licensure in cer-tified dental assisting

Description of rule: the rule implements the requirements of section6608 of the Education Law, as added by Chapter 300 of the Laws of2006, by expanding the scope of practice for certified dental assistantsand dental hygienists and amending the curriculum requirements forregistration as a program leading to licensure in certified dentalassisting.

Need for rule: The rule is necessary to implement Chapter 300 ofthe Laws of 2006 amended Sections 6608 and 6608-b of the Educa-tion Law to expand the scope of practice for certified dental assistantsand dental hygienists and amending the curriculum requirements forregistration as a program leading to licensure in certified dentalassisting.

In order to conform with the new requirements set forth in 6608-bof the Education Law, as amended by chapter 300 of the Laws of 2006,the rule also amends the current curriculum requirements for programsleading to licensure in certified dental assisting. Specifically, the ruleprovides that an equivalent approved one year course of study by anon-degree granting institution for certified dental assistants shall notbe provided by a professional association or organization, and speci-fies that an alternate course of dental assisting shall be provided by adegree-granting institution or a board of cooperative educationalservices. The rule also revises the definition of clinical content areafor registration as a program leading to licensure in certified dental as-sisting to include course work in other clinical procedures, includingplacing and removing temporary restorations; placing, condensing,and carving amalgam restorations; and placing, condensing and finish-ing non-metallic restorations due to the expansion of the certifieddental assistant’s scope of practice.

Section 6608 of the Education Law provides that all dental sup-portive services performed by certified dental assistants may also beperformed by currently registered dental hygienists. With the expan-sion of the scope of practice of dental assistants, the rule revises thescope of practice for dental hygienists to include any dental supportiveservices that a licensed dentist authorizes a certified dental assistant toperform, and establishes a definition of unprofessional conduct relat-ing to such practice.

Legal basis for rule: Sections 207(not subdivided); 6506(1);

6507(2)(a), 6606(2), 6608(not subdivided) and 6608-b(4) of theEducation Law.

Section 64.7 of the Commissioner’s Regulations, regarding the exe-cution by registered professional nurses of non-patient specific ordersto administer human immunodeficiency virus tests

Description of rule: Establishes requirements for registered profes-sional nurses to meet when executing non-patient specific ordersprescribed or ordered by a licensed physician or certified nurse practi-tioner for the administration of human immunodeficiency virus tests.

Need for rule: Chapter 429 of the Laws of 2005, effective August 2,2005, added a new paragraph (d) to section 6909 of the EducationLaw, permitting registered professional nurses to execute non-patientspecific orders prescribed by a licensed physician or a certified nursepractitioner for the administration of HIV tests. The existing list ofprocedures that registered nurses can currently perform pursuant to anon-patient specific order include: (1) administration of certain im-munizations, (2) anaphylactic treatment medications and (3) tuberculinskin tests.

Section 6909 (5) of the Education Law directs the Commissioner ofEducation to promulgate regulations concerning the execution of suchnon-patient specific orders by registered professional nurses. The ruleestablishes uniform requirements for registered professional nurses tomeet when executing non-patient specific orders to administer HIVtests. Specifically, the rule defines what information should beincluded in the non-patient specific order and the requirements thatmust be set forth in the protocol, for a registered professional nurse tofollow when administering an HIV test through a non-patient specificorder. The rule also requires registered professional nurses to eithermaintain or ensure the maintenance of a copy of the non-patientspecific order and protocol for a specified period of time.

The rule is needed to advise registered professional nurses of therequirements that they must meet to execute a non-patient specific or-der for the administration of HIV tests; to provide uniformity and con-sistency in the information that must be contained in the order and theprotocols to be followed when administering such tests and therequirements for the maintenance of such records.

Legal basis for rule: Education Law sections 207 (not subdivided);6507(2)(a); 6527(6); 6902(1) and 6909(4)(d) and (5).

Section 66.5(f) and addition of section 66.6 of the Commissioner’sRegulations, regarding continuing education requirements for optom-etrists certified in the use of therapeutic pharmaceutical agents

Description of rule: The rule establishes and clarifies existingcontinuing education requirements that must be met by licensedoptometrists certified to use therapeutic pharmaceutical agents. Therule also provides the Commissioner with the flexibility to adjust thecontinuing education requirements in exceptional situations leading tonon-compliance.

Need for rule: The rule clarifies existing mandatory continuingeducation requirements and provides more flexibility to the Depart-ment for exceptional circumstances that lead to non-compliance.

The rule is also needed to address the Department’s current lack ofability to adjust the continuing education requirements for exceptionalcircumstances that lead to non-compliance. It provides the Depart-ment with the flexibility to permit an applicant to complete all or partof the continuing education requirement through an acceptable alterna-tive course of study if the applicant documents good cause thatprevents compliance with the regular continuing educationrequirements. However, the applicant will not be able to renew his/hercertification until the continuing education requirement is met. Therule further requires licensed optometrists to certify to the Departmentthat they have complied with the continuing education requirements;or that the applicant has an approved adjustment to such continuingeducation requirements from the Department.

Under prior regulations, there were no requirements for the approvalof program sponsors or courses. The rule provides that the Depart-ment shall deem approved courses approved by the Council onOptometric Practitioner Education or an organization determined bythe Department with assistance from the State Board for Optometry tohave adequate standards or a course offered by a postsecondary institu-

tion authorized to offer a program in optometry leading to licensure.Any course not deemed approved must be reviewed by theDepartment. For Department review, the sponsor will be required tosubmit an application for advance approval of the course 14 days priorto the date of commencement of such course. Any course approved bythe Department will only be approved for the specified dates that thecourse is offered.

In order to ensure compliance, the rule also provides the Depart-ment with the authority to conduct site visits of, or request informa-tion from a sponsor of an approved course and provides the Depart-ment with the discretion to deny a course or terminate a course’sapproved status if they are not meeting the requirements set forth inthis section.

Legal basis for rule: Education Law sections 207 (not subdivided);6507(2)(a); 7101 (not subdivided) and 7101-a(7).

Section 70.3 of the Commissioner’s Regulations, regarding exami-nation requirements for licensure in public accountancy

Description of rule: The rule revises standards and procedures relat-ing to the examination for licensure in public accountancy.

Need for rule: The purpose of the rule is to revise standards andprocedures relating to the examination for licensure in publicaccountancy. Specifically, the rule makes the following changes:

The rule changes the grading of the licensure examination frompass/fail to a numeric score. Pass/fail scoring was previously imple-mented in 2003 because the Department expected the computer-basedexamination would provide candidates with detailed diagnostic infor-mation with the pass/fail result, making numeric scores unnecessary.However, the diagnostic information provided to candidates was notas detailed as expected, and therefore the rule imposes a requirementfor numeric scores as a means to help candidates who have failed sec-tions of the examination to understand areas in which they need toimprove.

The rule is also lengthens the period of time of validity for passedsections of the licensure examination and the period of time in whichall four sections must be passed. This is needed because the examina-tion provider did not provide examination results to candidates asfrequently as expected, in some cases resulting in candidates havingdifficulty passing all four sections of the examination in the time limitsprescribed in the regulation. The changes allow a candidate to maintaincredit for passed sections of the examination for longer periods oftime, providing additional time to re-take a failed section of the exam-ination and meet the time requirements for passing all four sections.

Legal basis for rule: Education Law sections 207(not subdivided);6504 (not subdivided); 6507(2)(a) and (3)(a); 6508(2) and 7404(1)(4).

Sections 74.2, 74.3, 74.4 and 74.6 of the Commissioner’s Regula-tions, regarding requirements relating to licensure as a licensed clini-cal social worker, limited permits to practice licensed clinical socialwork and the supervision of clinical social work services provided bya licensed master social worker

Description of rule: The rule revises the requirements for admissionto an examination for licensure as a licensed clinical social worker. Italso clarifies the supervision requirements for a licensed master socialworker practicing licensed clinical social work and the supervised ex-perience requirements for licensure as a licensed clinical social workerand for limited permits to practice licensed clinical social work.

Need for rule: The rule is needed to conform to the content of thelicensing examination, which is based on the expectation that the ap-plicant will have completed at least two years of post-degree super-vised experience. The rule also clarifies the current regulations torequire supervision of at least one hour per week of individual or groupsupervision, with at least two hours of individual supervision eachmonth. The rule is needed to eliminate confusion in the supervised ex-perience requirements in the existing regulations.

Legal basis for rule: Education Law sections 207 (not subdivided),6501, 6504, 6507(2)(a),7704(2)(c), (2)(d) and 7705.

Albany, NY 12234

(518) 486-1765

opdepcom@nysed.gov

Section 90.12 of the Commissioner’s Regulations, regarding stateaid for public library construction

Description of rule: The rule prescribes eligibility requirements andcriteria for applications for state aid for library construction and reno-vation projects, and to conform the Commissioner’s Regulations torecent changes made to Education Law section 273-a by Chapter 57of the Laws of 2007.

Need for rule: The rule is necessary to conform the Commissioner’sRegulations to changes made to Education Law section 273-a byChapter 57 of the Laws of 2007, so that the payment schedule of Stateaid for library construction is changed to a 50/40/10 percent basisfrom a 90/10 percent basis and further, so that funds for public libraryconstruction and renovation projects, appropriated pursuant to Chapter53 of the Laws of 2007, are timely awarded, pursuant to statutoryrequirements, to eligible public libraries and public library systems.Chapter 53 of the Laws of 2007 appropriates $14 million for publiclibrary construction and renovation projects.

Legal basis for rule: Education Law sections 207 (not subdivided),215 (not subdivided) and 273(5), section 1 of Chapter 53 of the Lawsof 2007, and section 4 of Part B of Chapter 57 of the Laws of 2007.

Tom Ruller

State Education Department

(518) 474-5561

OFFICE OF OPERATIONS AND MANAGEMENT SERVICES

Section 3.2 of the Regents Rules, regarding Quality Committeename and responsibilities

Description of rule: The rule revised the provision on Regents stand-ing committees to replace the Committee on Quality with a new Com-mittee on Policy Integration and Innovation.

Need for rule: The rule was needed to conform the Regents Ruleswith changes to the committee structure of the Board of Regents.

Legal basis for rule: Education Law section 207(not subdivided).

Alison Bianchi

(518) 474-6400

legal@nysed.gov

legal@mail.nysed.gov

E. CALENDAR YEAR 2002

Section 3.32 of the Regents Rules and section 100.2(p) of the Com-missioner’s Regulations, regarding Public School registration

Description of rule: The rule establishes a formal process for theregistration of new public schools to ensure the fulfillment of Regentsstandards relating to the accountability of public schools. The Boardof Regents will grant approve if it is satisfactorily demonstrated that aschool will be operated in an educationally sound manner; is incompliance with applicable statutes, rules and regulations relating topublic schools; and will operate in accordance with applicable build-ing codes and pursuant to a certificate of occupancy.

Need for rule: Clarification of policy for the registration of publicschools.

Legal basis for rule: Education Law sections 101(not subdivided),207(not subdivided), 210(not subdivided), 214(not subdivided),215(not subdivided), 305(1) and (2) and (19) and 309 (not subdivided).

Part 120 of the Commissioner’s Regulations, relating to the NoChild Left Behind Act of 2001 (Pub. L. 107-110)

Description of rule: The rule ensures compliance of the State andlocal educational agencies with the federal No Child Left Behind Actof 2001 (Pub.L. 107-110) and the conforming State legislation enactedby Chapter 425 of the Laws of 2002 as a condition of receipt of federalfunding under Title I of the Elementary and Secondary Education Actof 1965, as amended. Sections 120.1 and 120.2 of the Regulations ofthe Commissioner provide a description of the purposes of Part 120and applicable general definitions. Section 120.3 provides for theimplementation of the public school choice provisions that require afederal Title I local educational agency that has a school in schoolimprovement status, corrective action status or restructuring status toprovide all students enrolled in such school with the option to transferto another public school served by the local educational agency at thesame grade level that is not in school improvement, corrective actionor restructuring status. Section 120.4 establishes criteria and proce-dures for the approval of providers of supplemental education services.Section 120.5 establishes requirements to ensure that local educationalagencies implement provisions to allow any student who attends apersistently dangerous public elementary or secondary school or whois a victim of a violent criminal offense, to attend a safe public schoolwithin the local educational agency.

Need for rule: Compliance with the federal No Child Left BehindAct of 2001 and Chapter 425 of the Laws of 2002.

Legal basis for rule: Education Law sections 101(not subdivided),207(not subdivided), 215(not subdivided), 305(1), (2) and (33),2802(7), 3214(3)(d) and (f) and Chapter 425 of the Laws of 2002.

Section 136.4 of the Commissioner’s Regulations, relating toAutomated External Defibrillators

Description of rule: Require school districts, BOCES, countyvocational education and extension boards and charter schools toprovide and maintain on-site in each instructional school facilityautomated external defibrillator (AED) equipment in quantities andtypes deemed to be adequate to ensure ready and appropriate accessfor use during emergencies, and to ensure the presence of at least onestaff person who is trained in the operation and use of an AED when-ever the facility is used for school-sponsored or school-approved cur-ricular or extracurricular events or wherever activities for school-sponsored athletic contests or competitive athletic events are held.

Need for rule: Compliance with Chapters 60 and 61 of the Laws of2002.

Legal basis for rule: Education Law sections 207(not subdivided)and 917(1) and (2) and Chapters 60 and 61 of the Laws of 2002.

Sections 151-1.2 of the Commissioner’s Regulations, relating toUniversal Prekindergarten Programs

Description of rule: Defines, for summer only universal prekinder-garten programs, an ‘‘eligible child’’ as a child who resides within theschool district and is five years of age on or after December 1st of theyear in which he or she is enrolled, or who will otherwise be firsteligible to enter public school kindergarten commencing with the cur-rent school year.

Need for rule: Compliance with Chapter 383 of the Laws of 2001.

Legal basis for rule: Education Law sections 101(not subdivided),

207(not subdivided) and 3602-e (10)(a)(4) and (12) and section 1-a ofPart F of Chapter 383 of the Laws of 2001.

Section 155.25 of the Commissioner’s Regulations, relating toElectrically Operated Partitions

Description of rule: Establishes minimum standards for the con-struction, maintenance and operation of electrically operated parti-tions or room dividers located in classrooms or other facilities used bystudents in public and nonpublic schools, including charter schools,and BOCES within the State. It also requires appropriate and conspic-uous notice regarding the safe and proper operation and supervision ofthe electrical device operating such partition, training of staff in thesafe operation of the partition, and maintenance of all equipment.

Need for rule: Compliance with Chapter 217 of the Laws of 2002and Chapter 231 of the Laws of 2002.

Legal basis for rule: Education Law sections 101(not subdivided),207(not subdivided), 305(1) and (2), 409-f(1) and (2) and 3602(6-c)and Chapter 217 of the Laws of 2001.

Section 200.2 of the Commissioner’s Regulations, relating toInstructional Material in Alternative Formats

Description of rule: The rule requires every school district andBOCES to develop a plan to ensure that all instructional materials tobe used in the schools of the district (or in the programs of the BOCES)are available in a usable alternative format for every student with adisability in accordance with his or her individual needs and courseselections at the same time that such materials are available to non-disabled students.

Need for rule: The rule is necessary to implement Chapter 377 ofthe Laws of 2001, which requires every school district and BOCES todevelop a plan to ensure that all instructional materials to be used inthe schools of the district (or in the programs of the BOCES) are avail-able in a usable alternative format for every student with a disabilityin accordance with his or her educational needs and course selectionsat the same time that such materials are available to non-disabledstudents. The rule was revised in 2005 to add the Individuals with Dis-abilities Education Act (IDEA) requirement that instructional materi-als meet the National Instructional Materials Accessibility Standarddefined in section 1474(e)930(B) of the reauthorized IDEA (PublicLaw 108-446).

Legal basis for rule: Education Law sections 207, 1604(29-a),1709(4-a), 1950(4-a), 2503(7-a), 2554(7-a), 3602(10)(b), 4403(3) andChapter 377 of the Laws of 2001.

Sections 200.2, 200.4 and 200.16 of the Commissioner’s Regula-tions, relating to Individualized Education Programs (IEPs)

Description of rule: The rule provides copies of individualizededucation programs (IEP’s) to teachers, related service providers andother providers.

Need for rule: The rule is necessary to implement Education Lawsection 4402(7), as added by Chapter 408 of the Laws of 2002, whichrequires that school districts establish a policy that: ensures that teach-ers and other service providers are provided with students’ individual-ized education programs (IEPs) prior to the implementation of suchIEPs; ensures the confidentiality of such IEPs; and requires that teach-ers, assistants, support staff persons and other service providers beinformed of their responsibilities in relation to the implementation ofstudents’ IEPs prior to the implementation of such IEPs. The rule wassubsequently revised in 2003 and 2005 to clarify responsibilities andlanguage and to ensure that amendments to the Individualized Educa-tion Plan (IEP) were also required to be provided to certain schoolpersonnel to implement the flexibility to provide the amendments tothe IEP under the reauthorized IDEA.

Legal basis for rule: Education Law sections 101(not subdivided),207(not subdivided), 4402(7), 4403(3), 4410(13) and Chapter 408 ofthe Laws of 2002.

Jhone M. Ebert

(518) 474-3862

nysedp12@nysed.gov

Sections 246.3 and 246.6, relating to the Vocational RehabilitationProgram

Description of rule: The rule simplifies and eliminates obsoletelanguage and inserts up to date language in State regulations pertain-ing to the Department’s operation of the vocational rehabilitationprogram, specifically, the provision of services through community re-habilitation programs.

Need for rule: The rule is necessary to conform the Commissioner’sRegulations to changes in federal law made in the 1998 reauthoriza-tion of the Rehabilitation Act (Pub.L. 105-22) and thereby ensure thatthe State vocational rehabilitation program is conducted according tofederal standards.

Legal basis for rule: Education Law sections 101(not subdivided),207(not subdivided) and 1004(1).

Kevin G. Smith

Deputy Commissioner

518-474-2714

Sections 3.47(c)(4) and 3.50(b)(16) of the Regents Rules, relatingto authorization of a degree abbreviation

Description of rule: The rule authorizes the use by New York post-secondary degree-granting institutions authorized to confer the Bach-elor of Music degree of the abbreviation ‘‘B.M.’’ for that degree as analternative to the existing abbreviation ‘‘Mus.B.’’

Need for rule: The rule is needed to authorize the B.M. as an ad-ditional abbreviation for the Bachelor of Music degree in order to beconsistent with the abbreviation commonly used by other jurisdictionsfor this degree.

Legal basis for rule: Sections 207(not subdivided), 210(not subdi-vided), 218(1), and 224(4) of the Education Law.

Sections 3.14, Part 4 and 13.11 of the Regents Rules and section52.23 of the Commissioner’s Regulations, relating to accreditation ofteacher education programs and voluntary institutional accreditationfor Title IV purposes

Description of rule: The rule establishes standards and proceduresthat must be met by institutions of higher education seeking accredita-tion of their teacher education programs by the Board of Regents;aligns related provisions in the Rules of the Board of Regents and theRegulations of the Commissioner of Education with the new stan-dards and procedures; and renumbers the rule and clarifies languagerelated to voluntary institutional accreditation for Title IV purposes bythe Commissioner of Education and the Board of Regents.

Need for rule: The rule is needed to improve the quality of teachereducation programs to ensure that teachers are well qualified to teachto the State Learning Standards for Students, established by the Boardof Regents in Part 100 of the Regulations of the Commissioner ofEducation. The rule carries out the policy of the Board of Regents asstated in its policy paper, ‘‘New York’s Commitment: Teaching toHigher Standards,’’ and prescribed in the Regulations of the Commis-

sioner of Education, that each teacher education program must be ac-credited by the Board of Regents or an acceptable professional educa-tion accrediting association. The rule responds to requests fromcolleges that offer teacher education programs that the Regents offeran alternative means to become accredited.

Section 52.21(b)(2)(iv)(c) of the Commissioner’s regulationsrequires the accreditation of programs that prepare classroom teachersfor initial or professional certificates either by an acceptable profes-sional education accrediting association or by the Regents, pursuant toa Regents accreditation process. The rule establishes this process.

The rule also is needed to align existing provisions in the Rules ofthe Board of Regents and the Regulations of the Commissioner ofEducation with the new procedures for Regents accreditation ofteacher education programs. Specifically, it is needed to include re-sponsibilities related to teacher education program accreditationexplicitly among the duties of the State Professional Standards andPractices Board for Teaching; to retitle and renumber Part 4 of theRules of the Board of Regents; to clarify language in the standardsand procedures for institutional accreditation by the Commissioner ofEducation and the Regents for purposes of Title IV of the HigherEducation Act of 1965; and to prescribe requirements relating torepresentations by colleges and universities as to accreditation by theBoard of Regents and the Commissioner of Education.

In addition, the rule is needed to provide a substitute for existingprocedures on denial of program reregistration, as prescribed insubdivision (a) of section 52.23 of the Regulations of the Commis-sioner of Education, when reregistration of a teacher educationprogram is denied based upon a review conducted for the Regents ac-creditation of the program.

Legal basis for rule: Sections 207(not subdivided), 210(not subdi-vided), 212-c (not subdivided), 214(not subdivided), 215(not subdi-vided), and 305(1) and (2) of the Education Law.

Sections 87.3, 87.4, 87.5 and 87.9 of the Commissioner’s Regula-tions, relating to fingerprinting and criminal history check of prospec-tive school employees and applicants for teaching certification

Description of rule: The rule sets forth requirements and proceduresfor the exchange of criminal history records between the State Educa-tion Department and City School District of the City of New York forstatutorily prescribed individuals, and clarifies both appeal proceduresfor prospective school employees denied clearance for employmentand the scope of the State Education Department’s criminal historyrecord check.

Need for rule: The rule is needed to implement Chapter 380 of theLaws of 2001, which authorizes the exchange of criminal history re-cords of certain individuals, upon their authorization, between theState Education Department and the City School District of the Cityof New York.

Legal basis for rule: Sections 207(not subdivided), 305(3)(a), 3004-b(1), 3035(3) and (3-a) of the Education Law and Chapter 380 of theLaws of 2001.

Section 52.21(b)(2)(iv)(b)(1) of the Commissioner’s Regulations,relating to requirements for teacher education programs

Description of rule: The rule requires teacher education programs toshow that a minimum of 80 percent of its program graduates whohave taken one or more of the examinations required for a teachingcertificate in any given year, have received passing rates. A teachereducation program in which fewer than 80 percent of its programgraduates pass one or more state examinations required for a teachercertificate will undergo a registration review of its education programs.

Need for rule: The rule aligns the definition for pass rates on teachercertification examinations, used for purposes of triggering a StateEducation Department registration review of teacher educationprograms, with the Federal definition, used for purposes of Title II ofthe Higher Education Act. This annual measurement provides a rou-tine, systematic evaluation of teacher education programs, and a use-ful, proactive tool when used in conjunction with other data.

Previous regulations of the Commissioner of Education subjectedteacher education programs to a registration review when fewer than80 percent of students who complete the programs at an institution

have passed teacher certification examinations. The rule changed thetime period for determining the student pass rate for purposes ofdetermining whether a teacher education program should be subject toregistration review. It provides that the Department will consider theperformance on each certification examination of those studentscompleting an examination not more than five years before the end ofthe academic year in which the program is completed or not later thanthe September 30th following the end of such academic year. Thisdefinition is consistent with the definition required by the U.S. Depart-ment of Education for determining pass rates for teacher educationprograms for purposes of Title II of the Higher Education Act.

The rule simplifies the reporting requirements for higher educationinstitutions in New York State. Staff at these institutions will not haveto verify additional test takers for the computation a second pass rateused for the purpose of determining whether their teacher educationprograms would be subject to a registration review. The rule also re-duces confusion that may result from computing two pass rates for thesame teacher education programs.

Legal basis for rule: Sections 207(not subdivided), 210(not subdi-vided), 215(not subdivided), 305(1), and 3004(1) of the EducationLaw.

Section 80-2.6(c) of the Commissioner’s Regulations, relating torequirements for certificate of teachers of the speech and hearing hand-icapped

Description of rule: The rule enables licensed and registered speech-language pathologists in New York State to become certified as teach-ers of the speech and hearing handicapped through an alternative path.The rule enables such licensed individuals to become provisionallycertified immediately based upon their preparation for licensure andpermanently certified after having completed specified education, ex-perience, and examination requirements.

Need for rule: The rule is needed to address personnel shortagesfaced by New York schools. Teachers of the speech and hearing hand-icapped provide communication and language acquisition services tostudents who have Individualized Education Plans (IEPs). Theseteachers do not provide direct instruction in academic subjects but,rather, provide foundational skills that will impact on the students’current and future educational success. As a part of their clinical train-ing, professionally licensed speech-language pathologists have expe-rience working with children and have already attained a master’sdegree in speech-language pathology prior to licensure. They havealso passed the national licensing examination in speech-languagepathology. The rule will allow these licensed professionals, who havemet a high standard of clinical training, to begin working in schools,and require them to meet specific pedagogy-related requirementsbefore receiving the permanent certificate.

Legal basis for rule: Sections 207(not subdivided), 305(1), (2), and(7), 3004(1) and 3006(1) of the Education Law.

Section 27-1.1 of the Regents Rules, relating to student eligibilityfor the Higher Education Opportunity Program

Description of rule: The rule concerns income criteria for determin-ing student eligibility to participate in the Higher Education Op-portunity Program at nonpublic institutions of higher education. Therule also pertains to the economic eligibility criteria for the CityUniversity of New York’s SEEK and College Discovery Programs,and the State University of New York’s Educational OpportunityProgram.

Need for rule: The rule is needed in order to update the currentcriteria for determining student economic eligibility for the HigherEducation Opportunity Program by: (1) taking into account inflation-ary conditions and changes in annual income; (2) accounting for NewYork State and local taxes and regional maintenance costs; (3) assur-ing consistency across the State-supported postsecondary opportunityprograms; (4) maintaining the continuing linkage of these eligibilitycriteria with federally approved methods of needs analysis; and (5)recognizing the costs associated with a household that is solely sup-ported by one member who is employed by two or more employers.

Legal basis for rule: Sections 207(not subdivided) and 6451(1) ofthe Education Law.

80-1.7 and 80-5.15 of the Commissioner’s Regulations, relating to

requirements for the renewal of a provisional teaching certificate andthe issuance of a limited certificate in the classroom teaching service

Description of rule: The rule establishes the requirements for the re-newal of an expired provisional teaching certificate for an additionalfive-year term and for the issuance of a limited certificate in theclassroom teaching service which would permit candidates to teachfor the period September 1, 2003 through August 31, 2004, while theyare completing academic requirements for the provisional certificate.

Need for rule: The rule was needed to address personnel shortagesfaced by New York public schools, by implementing initiatives,endorsed by the Board of Regents Committee on Higher and Profes-sional Education in May 2002, which were designed to increase thenumber of qualified candidates for teaching positions in the State’spublic schools. Section 80-1.7, which established the conditions forrenewal of the Provisional teaching certificate, was subsequently re-pealed, effective April 13, 2006, and replaced with a new section 80-1.7. Section 80-5.15 established a Limited certificate available tocandidates who taught under a temporary license during the 2002-2003 school year, enabling them to continue teaching during the 2003-2004 school year while completing coursework requirements toqualify for a Provisional certificate. Limited certificates were validonly for the period September 1, 2003 through August 31, 2004 andare not renewable.

Legal basis for rule: Sections 207(not subdivided), 305(1), (2), and(7), 3004(1) and 3006(1) of the Education Law.

John D’Agati

(518) 486-3633

Section 29.13(a) of the Regents Rules, relating to unprofessionalconduct in the practice of massage therapy

Description of rule: The rule defines unprofessional conduct in thepractice of massage therapy.

Need for rule: The rule removes an exception in the definition ofunprofessional conduct in the practice of massage therapy relating topatient records, which pertains to licensed practitioners who areproviding massage therapy services to clients in a health spa or similarsetting, when such services are not provided pursuant to a prescriptionby a health care practitioner. It makes applicable requirements thatmust be met by licensed massage therapists in all other settings, defin-ing unprofessional conduct as: (1) failing to make available to a patientor client, upon request, copies of documents in the possession or underthe control of the licensee which have been prepared for and paid forby the patient or client; and (2) failing to maintain a record for eachpatient which accurately reflects the evaluation and treatment of thepatient. The rule also requires all patient records to be retained for atleast six years, unless otherwise provided by law, and that obstetricalrecords and records of minor patients be retained for six years, anduntil one year after the minor patient reaches the age of 21 years.

Legal basis for rule: Education Law sections 207(not subdivided),6504(not subdivided), 6506(1) and 6509(9).

Section 29.7(a)(21)(ii)(a) of the Regents Rules, relating to unprofes-sional conduct in the practice of pharmacy and assistance to licensedpharmacists by unlicensed individuals

Description of rule: The rule revises the list of activities, performedby an unlicensed individual while assisting a licensed pharmacist inthe dispensing of a prescription that would invoke the requirement

that a licensed pharmacist supervise no more than two unlicensedpersons.

Need for rule: A licensed pharmacist may receive the assistance ofunlicensed individuals to perform certain specified activities relatingto the dispensing of drugs. Generally, a licensed pharmacist may notsupervise more than two unlicensed individuals in the performance ofthese activities. An exception exists for unlicensed individuals whosimply receive written or electronically transmitted prescriptions. Therule adds another exception for unlicensed individuals who performthe ministerial task of handing or delivering completed prescriptionsto the patient or person authorized to act on behalf of the patient.

The rule is needed to enable pharmacists to supervise more thantwo unlicensed individuals doing the routine ministerial task of hand-ing or delivering a prescription to a patient. Liberalizing the supervi-sion requirement will not adversely affect public health or safety, whileenabling licensed pharmacists to better utilize staff resources of thepharmacy.

Legal basis for rule: Education Law sections 207(not subdivided),6504(not subdivided), 6506(1) and 6509(7) and (9), and 6801(notsubdivided).

Section 29.10 of the Regents Rules, relating to the definition ofunprofessional conduct and work paper documentation and retentionin the practice of public accountancy

Description of rule: The rule establishes, in the definition ofunprofessional conduct in the practice of public accountancy, stan-dards that licensees must meet in relation to documentation in workpapers and the retention of such papers.

Need for rule: The rule is needed to establish uniform standards forthe documentation in work papers and retention of such work papersin the profession of public accountancy. The rule is needed to ensurethat work papers that support work products produced in the practiceof public accountancy are maintained for a reasonable period of time,and that such work papers contain adequate documentation. The rulewill serve to protect the public interest by ensuring that adequatedocumentation is available when a potential problem in a public ac-counting work product is identified. It will provide information thatmay be used by the State Education Department’s Office of Profes-sional Discipline when it conducts investigations of possible instancesof professional misconduct.

Legal basis for rule: Education Law sections 207(not subdivided),6504(not subdivided), 6506(1) and 6509(9), and 7401(not subdivided).

Section 64.6 of the Commissioner’s Regulations, relating to thepractice of nursing and midwifery

Description of rule: The rule identifies, in regulation, the licensedprofession of midwifery as one of the licensed health care professionsthat is authorized to prescribe medical regimens to be executed byregistered professional nurses that may direct the care provided bylicensed practical nurses.

Need for rule: Subdivisions (1) of section 6902 of the EducationLaw authorizes licensed physicians and dentists or other licensedhealth care providers legally authorized under Title VIII of the Educa-tion Law and in accordance with Commissioner’s regulations to pre-scribe medical regimens to be executed by registered professionalnurses. Subdivision (2) of section 6902(2) of the Education Lawauthorizes registered professional nurses or licensed physicians,dentists or other licensed health care providers legally authorizedunder Title VIII of the Education Law and in accordance with Com-missioner’s regulations to direct care provided by licensed practicalnurses.

Legal basis for rule: Education Law sections 207(not subdivided),6507(1) and (2), 6902(1) and (2), and 6951(1), (2) and (3).

Part 77 of the Commissioner’s Regulations, relating to the licensingof physical therapists and certification of physical therapy assistants

Description of rule: The rule implements Chapter 404 of the Lawsof 2002 by establishing requirements for the renewal of a limitedpermit for a physical therapist assistant and prescribes the examina-tion that must be passed for certification as a physical therapist assis-tant, and makes nonsubstantial changes in the requirements forlicensure as a physical therapist.

Need for rule: Section 6741-a of the Education Law, as added byChapter 404 of the Laws of 2002, establishes an examination require-ment for certification as a physical therapist assistant. This statutoryrequirement was added to ensure the competency of individuals whoare certified in this field. The memorandum in support of Chapter 404of the Laws of 2002, submitted by the sponsor of this legislation,states: ‘‘Passage of an appropriate examination provides a demonstra-tion of a candidate’s competency to work. Most states including thosebordering New York require passage of an examination in order towork as a physical therapist assistant.’’ The rule is needed to identifythe specific examination, the National Physical Therapy Examinationfor Physical Therapist Assistants, that must be passed.

Section 6741-a of the Education Law, as added by Chapter 404 ofthe Laws of 2002, also adds provisions for limited permits for physi-cal therapist assistants to practice under the supervision of a licensedphysical therapist pending successful completion of the requiredexamination. Subdivision (c) of section 6741-a provides that suchpermits may be renewed for no more than 6 months for justifiablecause. The rule is needed to establish the conditions upon which alimited permit may be renewed. These conditions are identical to theconditions that are applicable for the renewal of limited permits forphysical therapists.

Finally, the rule is needed to make a number of nonsubstantialchanges in the provisions relating to requirements for the licensure ofphysical therapists. Among other changes, citations to Education Lawhave been changed to be consistent with changes in the numbering ofEducation Law provisions, as amended by Chapter 404 of the Laws of2002; the title of the licensing examination has been corrected; andsection headings have been modified to identify provisions concern-ing physical therapists.

Legal basis for rule: Education Law sections 207(not subdivided),6506(1), 6507(2)(a), 6734(d), 6735(c), 6740(c-1), and 6741-a(c), andSection 4 of Chapter 404 of the Laws of 2002.

Section 61.15(a) of the Commissioner’s Regulations, relating tomandatory continuing education for dentists

Description of rule: The rule implements Chapter 237 of the Lawsof 2001 which requires licensed dentists to complete, on a one-timebasis, no fewer than two hours of acceptable coursework regarding therecognition, diagnosis, and treatment of the oral health effects of theuse of tobacco and tobacco products, as part of the dentist’s continu-ing education requirement.

Need for rule: The rule is needed to make regulatory requirementsconsistent with this statutory change.

Legal basis for rule: Education Law sections 207(not subdivided),6502(1), 6504(not subdivided), 6507(2)(a), and 6604-a(2) and (4).

Information may be obtained, and written comments may besubmitted, concerning the modification or continuation of the aboverule by contacting:

Albany, NY 12234

(518) 486-1765

opdepcom@nysed.gov

Sections 185.5, 185.13 and 185.14 of the Commissioner’s Regula-tions, relating to Local Government Records Management

Description of rule: The rule makes necessary changes and addi-tions in order to update Records Retention and Disposition ScheduleCO-2 and Records Retention and Disposition Schedule MI-1.

Need for rule: The rule is needed to issue amendments to RecordsRetention and Disposition Schedule CO-2 and Records Retention andDisposition Schedule MI-1, thus providing counties and miscellaneous

local governments with means to dispose of valueless records notlisted on the existing schedules, to maintain voluminous records nolonger than the records are needed, and to make the schedules easierto understand.

Legal basis for rule: Education Law section 207(not subdivided)and Arts and Cultural Affairs Law section 57.25(2).

Information may be obtained, and written comments may besubmitted, concerning the modification or continuation of the aboverule by contacting:

Tom Ruller

(518) 474-5561

Sections 3.16 and 3.17 of the Commissioner’s Regulations, relatingto Charter School complaints

Description of rule: The rule establishes procedures for the conductof charter school revocation proceedings initiated by the Board ofRegents, and delegates to the Commissioner the authority of the Boardof Regents to investigate and respond to complaints against charterschools pursuant to Education Law section 2855(4), authority to issueremedial orders to charter schools pursuant to Education Law section2855(4), and the authority to place a charter school on probationarystatus and to develop and impose a remedial action plan pursuant toEducation Law section 2855(3).

Need for rule: The rule is necessary to prescribe procedures for theconduct of charter school revocation proceedings by the Board ofRegents pursuant to Education Law section 2855.

Legal basis for rule: Education Law sections 101(not subdivided),206(not subdivided), 207(not subdivided), 305(1), (2) and (20) and2855(1), (2), (3), and (4).

Alison Bianchi

(518) 474-6400

legal@nysed.gov

F. CALENDAR YEAR 1997

Section 108.7(b) – Flag

Description of rule: The rule requires public schools to providespecific instruction regarding respect for the flag of the United Statesof America, its display and use, to include, as a minimum, instructionregarding the provisions of Sections 170 through 177 of Title 36 of theUnited States Code.

Need for rule: The rule is needed in order to comply with therequirements of Education Law section 802(1), as amended byChapter 601 of the Laws of 1996, which requires public schools toprovide the specified instruction.

Legal basis for rule: Education Law sections 207 and 802(1) andChapter 601 of the Laws of 1996.

Section 135.4(c)(7)(ii)(b)(1) – Athletic Eligibility

Description of rule: The rule expands the student eligibility require-ments for interschool competition in grades 9, 10, 11 and 12, toprovide that a student may participate in interscholastic athletics untilthe last day of the school year in which the student attains the age of19. It affixes eligibility to a student’s age at the start of the legal schoolyear and, thereby, reduces the number of disqualified students. The

rule retains the current safety standard which generally precludesstudents over the age of 19 from participating in interscholasticathletics.

Need for rule: The rule sets forth policy of the Board of Regents topromote safe and equitable competition particularly in contact sportsand eliminates the potential incentive of students staying in schoollonger in order to compete in athletic programs.

Legal basis for rule: Education Law sections 207, 305(1) and (2),803(1) and (5) and 3204(3).

176.1 and 176.2 – Mandated Services Reimbursement

Description of rule: The rule authorizes the use of time and effortstandards established by the Commissioner to determine the time spenton each required service by nonpublic schools. These standards estab-lish time factors for carrying out mandated activities which are thenapplied against local salary and benefit costs to calculate reimburse-ment to nonpublic schools. This approach eliminates the onerous taskof maintaining individual time records for each staff person involvedin 14 of the 16 mandates.

Need for rule: The rule provides relief to nonpublic schools andresponds to the recommendations of the State Comptroller’s AuditReport on the Mandated Services Program.

Legal basis for rule: Education Law sections 207 and Chapter 507of the Laws of 1974, as amended by Chapter 903 of the Laws of 1984.

100.2(bb) – School District Report Cards

Description of rule: The rule establishes criteria for the issuance ofschool district report cards by all public schools and requires schooldistricts to annually prepare a report card and to make it available byappending it to copies of the proposed budget made publicly available.The report card must include (a) measures of academic performance;(b) measures of fiscal performance; (c) special education placements;and (d) other measures, such as graduation and college-going rates,and attendance, suspension and dropout rates.

Need for rule: The rule is necessary to comply with Chapter 474 ofthe Laws of 1996, which requires the Commissioner to establishcriteria for the issuance and dissemination of school district reportcards. It also satisfies federal public reporting requirements under the1994 reauthorization of ESEA.

Legal basis for rule: Education Law sections 207, 1608, 1716,2554(24), 2509-e(23), 2509-g(21) and 2601-a(7) and sections 157through 162 of Chapter 474 of the Laws of 1996.

156.12 – Contracts for Pupil Transportation Services

Description of rule: The rule sets forth the requirements for boardsof education that elect to award contracts for pupil transportation ser-vices through a request for proposals (RFP) instead of through com-petitive bidding. It includes the criteria that must be used in evaluatingeach proposal submitted in response to an RFP, the deadline by whichschool districts must request proposals, a process for awarding emer-gency contracts, and the specific documents that school districts mustfile with the Department.

Need for rule: The rule is necessary to comply with Chapter 698 ofthe Laws of 1996, which requires the Commissioner to establish aprocess for the approval of contracts awarded in response to a requestfor proposals for pupil transportation services.

Legal basis for rule: Education Law sections 207, 305(14) and 3625and Chapter 698 of the Laws of 1996.

100.2(p) – School Deregistration

Description of rule: The rule establishes a System of Accountabilityfor Student Success for schools in New York State. The Commissionerannually assesses the performance of schools in relation to Statecriteria and determines whether schools are farthest from, below ormeeting Regents criteria. The Commissioner establishes AdequateYearly Progress targets for schools that are below State standards.Schools that fail to meet these targets are identified as Schools in Needof Improvement and are required to develop School ImprovementPlans.

The Commissioner also places schools under Registration Reviewthat are either farthest from State standards and most in need ofimprovement, or are poor learning environments. The regulation

specifies the process that must be followed once a school is placedunder Registration Review. The school district must develop a Correc-tive Action Plan and the school a Comprehensive Education Plan. Theregulation also codifies the process, including due process provisionsby which schools may be identified or removed from RegistrationReview, or have their registration revoked by the Board of Regents.The regulation also includes provisions for review of the performanceof high school equivalency diploma/GED programs.

Need for rule: The rule sets forth policy of the Board of Regents inorder to carry out its responsibility to register public schools in NewYork State and to ensure that schools are preparing students ap-propriately to meet State standards. The regulation is also necessary toensure that improvement efforts are initiated in schools that are notmeeting State standards and that such schools are subject to revoca-tion of registration for persistently unacceptable performance. Theregulation also helps to ensure that the State is in compliance withfederal requirements relating to school accountability.

Legal basis for rule: Education Law sections 207, 305(1) and (2)and 308.

156.3(c) – Qualifications for School Bus Drivers

Description of rule: The rule provides for immediate testing of allnew school bus drivers hired after September l, 1997, and for a three-year phase-in of the testing requirement for veteran school bus drivers.

Need for rule: The rule clarifies the standards of fitness for schoolbus drivers consistent with the recommendations of the Commis-sioner’s School Bus Driver Instructor Advisory Committee convenedpursuant to section 156.3(c)(2) of the Commissioner’s Regulations.

Legal basis for rule: Education Law sections 207 and 3624.

100.2(m) – Public School Performance Report

Description of rule: The rule requires a comprehensive assessmentreport for nonpublic schools and a public school performance reportthat include measures of academic performance and attendance,suspension and dropout rates for each school. Public school superin-tendents must submit annually a performance report for each districtto the board of education at a public meeting. The chief administrativeofficer of each nonpublic school is responsible for improving resultswherever warranted and for making the report available to parents.

Need for rule: The rule is necessary to implement Board of Regentspolicy on raising standards for all students. It also satisfies federalpublic reporting requirements under the 1994 reauthorization of thefederal Elementary and Secondary Education Act (ESEA).

Legal basis for rule: Education Law sections 101, 207, 215 and305(1) and (2).

100.2(cc) – BOCES Report Cards

Description of rule: The rule requires each board of cooperativeeducational services (BOCES) to prepare a BOCES report card and toappend it to copies of the proposed administrative budget madepublicly available. The report card must include measures of the aca-demic performance of the BOCES educational services; measures ofprogram participation, completion and placement in occupationaleducation, special education, alternative education, and adult andcontinuing education; the aggregated performance of students ofcomponent school districts on State assessments; the percent ofstudents in component school districts who earn Regents diplomas;and a comparison of each BOCES performance to statewide averages.

Need for rule: The rule is consistent with the Board of Regentspolicy to publicly report on school performance and is necessary in or-der to comply with the provision in Chapter 436 of the Laws of 1997,which requires that each BOCES issue a report card on an annualbasis, pursuant to regulations of the Commissioner, commencing withthe 1997-98 school year.

Legal basis for rule: Education Law sections 101, 207, 215 and1950(4)(kk) and section 13 of Part A of section 1 of Chapter 436 ofthe Laws of 1997.

100.12 – Instructional Computer Technology Plans

Description of rule: The rule requires each school district to developand maintain a plan for the use of instructional computer technologyequipment in order to be eligible for aid for instructional computer

technology expenses and identifies what should be included in theplan.

Need for rule: The rule is necessary to comply with the provision inChapter 436 of the Laws of 1997 which requires, as a condition foreligibility for State aid, that each school district develop and maintaina plan for the use of instructional computer equipment.

Legal basis for rule: Education Law sections 207 and 3602(26-a)and section 53 of Part A of section 1 of Chapter 436 of the Laws of1997.

Part 151 and section 156.7 – Universal Prekindergarten Program

Description of rule: The rules establish program components, staffqualifications, program design, application procedures, transitionrules, transportation provisions, and a required competitive process inorder to implement the universal prekindergarten program.

Need for rule: The rule is necessary for the implementation of uni-versal prekindergarten programs pursuant to the provisions of Chapter436 of the Laws of 1997.

Legal basis for rule: Education Law sections 101, 207, 3602(7)(d)and 3602-e and section 58 of Part A of section 1 of Chapter 436 of theLaws of 1997.

155.17 – Contracts for Mobile Instructional Units

Description of rule: The rule establishes a process that schooldistricts and BOCES must follow in the award and approval ofcontracts for mobile instructional units. This process provides greaterflexibility to school districts and BOCES that elect to use a request forproposals process because they may consider factors other than cost inapproving such contracts.

Need for rule: The rule is necessary to comply with Chapter 464 ofthe Laws of 1997, which requires the Commissioner to establish aprocess for the approval of contracts awarded in response to a requestfor proposals for mobile instructional units.

Legal basis for rule: Education Law sections 207 and 305(14), asamended by Chapter 464 of the Laws of 1997.

170.3 – Instructional Support Services

Description of rule: The rule concerns the purchase of instructionalsupport services by school districts not a component of a BOCES,including a city school in a city having a population in excess of125,000, and defines for school districts what constitutes instructionalsupport services: staff and curriculum development programs, activi-ties, in-service and training for school district staff which enableschool districts to implement high learning standards, build their capa-city to support student learning, and develop an institutional account-ability system through public reporting.

Need for rule: The rule is necessary to implement the provisions ofChapter 436 of the Laws of 1997, by defining the term ‘‘instructionalsupport services’’ for purposes set forth in Education Law section1950(8-c).

Legal basis for rule: Education Law sections 101, 207 and 1950(8-c)and section 14 of Chapter 436 of the Laws of 1997.

170.8 –Annual School Budgets

Description of rule: The rule requires school districts to prepare an-nual budgets and budget-related materials in plain language andorganized in a manner that promotes public understanding of thematerial. The annual budgets must contain three components: anadministrative component; a program component; and a capitalcomponent.

Need for rule: The regulation is necessary to comply with the provi-sions of Chapter 436 of the Laws of 1997 which requires district toprepare annual budgets containing the above-specified components.

Legal basis for rule: Education Law sections 207, 1608 and 1716and sections 5 and 7 of Part A of section 1 of Chapter 436 of the Lawsof 1997.

Sections 200.1(o) and (q), 200.1(tt), (uu), 200.9(f)(2) and (f)(3)(iii),200.16 and 200.20(a)(1) and (3) - Special Education Programs andServices to Preschool Students with Disabilities

Description of rule: The rule establishes procedures relating to theevaluation of preschool students with disabilities and the recommen-

dation for appropriate special education programs and services in theleast restrictive environment. The rule also establishes approved ratesfor preschool programs and tuition reimbursement.

Need for rule: Sections 200.1(o) and (q), which were subsequentlyrelettered as (q) and (v), define the terms ‘‘full day session’’ and ‘‘half-day session’’ for preschool students with disabilities. These regula-tions are necessary to comply with paragraph (b) of subdivision 5 ofsection 4410 of the Education Law, which compels the Commissionerto promulgate definitions needed to ensure that the individualizededucation program (IEP) of a preschool child indicates the extent ofservices to be provided to the child when a half-day or full-dayprogram is recommended.

Sections 200.1(tt) and (uu), which were subsequently relettered (p)and (u), provide definitions of the terms ‘‘full-day preschool program’’and ‘‘half-day preschool program.’’ These regulations are necessary tocomply with paragraph (b) of subdivision 5 of section 4410 of theEducation Law, which compels the Commissioner to promulgatedefinitions needed to ensure that the IEP of a preschool child indicatesthe extent of services to be provided to the child when a half-day orfull-day program is recommended.

Section 200.9(f)(2) establishes that the tuition reimbursementmethodology for the calculation of tuition rates for programs approvedunder Articles 81 and 89 of the Education Law may include nondirectcare cost parameters and hold harmless percentage, the rate of growthadjustment factor, the annual inflation factor and other factors to beapplied in determining the tuition rate for the school year. This regula-tion is necessary in order to comply with section 4410(10) of theEducation Law, which requires the Commissioner to determine annu-ally the tuition rate for approved services or programs provided topreschool children pursuant to this section and in conformance with amethodology established pursuant to section 4405(4) of the EducationLaw.

Section 200.9(f)(3)(iii) of the Regulations of the Commissioner ofEducation establishes reconciliation rates for overpayment/underpayment adjustments for preschool programs prior to and includ-ing the 1994-95 school year and for the 1995-96 base year and there-after and for programs no longer in operation. This regulation isnecessary to ensure compliance with section 4410(11)(a)(ii) of theEducation Law, which authorizes a municipality to recover overpay-ments made to a preschool provider.

Section 200.16(c) of the Regulations of the Commissioner estab-lishes that: (1) for children in transition from early interventionprograms, with the consent of the parents, the most recent evaluationreport be provided to approved providers and the committee onpreschool special education (CPSE); (2) an approved provider or theCPSE may review other assessments or evaluations to determine ifthey fulfill the regulations of the Commissioner; (3) the required sum-mary report of a preschool evaluation omit information concerningthe general type, duration and frequency of special services andprograms needed and may not make reference to any specific providerof special services or program; and (4) prior to making a recommen-dation that would place a child in an approved program owned or oper-ated by the same agency that conducted the evaluation, a CPSE mayobtain an evaluation of the child from another approved evaluatorprior to making a recommendation. These regulations are necessary tocomply with section 4410.4(c) of the Education Law and to ensurethat that a CPSE has appropriate evaluation information to make anobjective recommendation on services and placement for the preschoolchild.

Section 200.16(d)(3) of the Regulations of the Commissioner (1)requires the CPSE to recommend approved appropriate services and/orspecial programs and the frequency, duration and intensity of suchservices including, but not limited to, the appropriateness of singleservices or half-day programs based on the needs of the preschoolchild; (2) establishes the sequence of considerations for the provisionof programs and services; (3) establishes that if a child needs a singlerelated service, such service must be provided as a related service onlyor, where appropriate, as a special education itinerant service; (4)establishes the least restrictive environment considerations and IEPdocumentation requirements for preschool students including a state-

ment of the reasons why a preschool child requires a structured learn-ing environment of 12 months’ duration to prevent substantial regres-sion, why less restrictive placements were not recommended when therecommendation is for the provision of special education services in asetting with no regular contact where age-appropriate peers withoutdisabilities can be found, and if the IEP recommendation for apreschool child differs from that preferred by the parent, why theCPSE recommended a different program or service than that preferredby the parent. These regulations are necessary to comply with sections4410(4)(c), 4410(5)(b)(i) and 4410(5)(h) of the Education Law toensure that preschool students with disabilities receive needed ser-vices only in the least restrictive environment and are not unnecessar-ily recommended for more extensive services.

Section 200.16(h)(3)(iii) of the Regulations of the Commissionerallows special classes for preschool students to be provided on a half-day or a full-day basis. This regulation is necessary to comply withsection 4410(5)(b)(i).

Section 200.16(h)(3)(v) of the Regulations of the Commissionerstates that (1) 12-month education services to preschool children mustbe consistent with the students’ individual needs, as specified in theIEPs; and (2) nothing would prohibit a CPSE from recommending aspecial program or service, frequency or duration for a July and Augustfor a preschool child that differs in services, programs, frequency orduration from the child’s school year program. This regulation is nec-essary to comply with section 4410(5)(h) of the Education Law and toprovide flexibility on the part of CPSEs to recommend only those ser-vices a preschool child might need during the months of July andAugust.

Section 200.20(a)(1) and (2) of the Regulations of the Commis-sioner of Education states that no new or expanded preschool programsshall be given conditional or final approval subject to the moratoriumestablished in section 4410(9)(iii) of the Education Law.

Legal basis for rule: Education Law sections 207 and 4410, asamended by sections 164, 165, 166 and 169 of Chapter 474 of theLaws of 1996.

Section 200.2(c) - District Plans for Special Education Programsand Services

Description of rule: This rule requires that a district plan be filedconsistent with the time intervals required in section 3602(10), andthat the district plan include an estimated budget.

Need for rule: The rule is necessary to ensure consistency withEducation Law section 3602(10), which requires that district plans berevised and made available for public inspection and review by theCommissioner every two years.

Legal basis for rule: Education Law sections 207, 3602(3) and (10),4402(1), (2) and (3), and 4410(13).

Section 200.6(b)(6) - Specially Designed Reading Instruction toStudents with Disabilities

Description of rule: The rule adds specially designed readinginstruction, provided by an individual who holds a certificate valid fora reading teacher, to the continuum of services that may be recom-mended for a student with a disability and authorizes the provision ofsuch instruction.

Need for rule: The rule is necessary to ensure that specially designedreading instruction is provided by individuals with certification andexpertise in the area of reading.

Legal basis for rule: Education Law section 207 and 4403(3).

Section 200.9(f)(4) - Reimbursement of Transportation Expensesfor Preschool Students with Disabilities

Description of rule: The rule establishes a standardized methodol-ogy to develop regional maximum per trip rates for the reimbursementof transportation expenses incurred by municipalities providing ser-vices to preschool students with disabilities.

Need for rule: The rule is necessary to implement section 4410(c)(1)of the Education Law, which requires the Commissioner to establishregional ceilings for each region of the State on the maximum allow-able State reimbursement and sets out factors the Commissioner mustconsider in developing such ceilings, and thus ensure that thetransportation rates for preschool children between counties in thesame geographic regions of the State are not widely discrepant.

Legal basis for rule: Education Law sections 207, 4401(4), 4402(4),4405(2) and 4410(8), (10) and (13), and sections 171 and 175 ofChapter 474 of the Laws of 1996.

Sections 276.1(c), 276.10 and Part 279 - State Level Review ofImpartial Hearing Officer Determinations Regarding Services forStudents with Disabilities

Description of rule: The rule clarifies procedures for pendencydeterminations, school board initiated appeals, cross-appeals andreview of interim issues, relating to impartial hearings concerning ser-vices for students with disabilities.

Need for rule: The rule is necessary to ensure that impartial hearingofficers (IHOs) are made aware of their responsibilities to determineissues of pendency pursuant to statute; to ensure clear identification ofthe sections of an IHO’s decision being challenged and relief sought;to clarify procedures, including timelines, to be followed when a boardof education initiates an appeal from an impartial hearing officer’s de-cision; to clarify procedures for cross-appeals; to conform appealspractice to Federal and State requirements; and to otherwise ensurethat disagreements regarding a student’s status during the due processproceeding are addressed in a timely manner.

Legal basis for rule: Education Law sections 207, 311, 4403(1) and(3), 4404(2) and 4410(13).

Jhone M. Ebert

(518) 474-3862

nysedp12@nysed.gov

Part 247- Vocational Rehabilitation Program

Description of rule: This rule enacted certain amendments to Part247 to conform State regulations relating to the vocational rehabilita-tion program to changes in Federal law made by the reauthorization ofthe Rehabilitation Act (Public Law 102-569) and the subsequentpromulgation of Federal regulations.

Need for rule: These regulations are necessary to ensure that thevocational rehabilitation program is conducted according to Federalrequirements set forth in the 1992 amendments to the RehabilitationAct and the corresponding Federal regulations which took effectMarch 13, 1997. The regulations were again amended in 1999 and2001 to conform to subsequent Federal requirements.

Legal basis for rule: Education Law sections 207 and 1004(1).

Kevin G. Smith

Deputy Commissioner

518-474-2714

3.8, 3.9 and 3.15 - Chief Operating Officer

Description of rule: The rule replaces the term ‘‘Executive DeputyCommissioner’’ with the term ‘‘Chief Operating Officer’’ and desig-

nates the chief operating officer as the deputy commissioner of educa-tion as specified in Education Law section 101.

Need for rule: The rule is necessary to implement a change in theinternal organization of the State Education Department which re-places the position of Executive Deputy Commissioner with the posi-tion of Chief Operating Officer.

Legal basis for rule: Education Law section 101.

Alison Bianchi

(518) 474-6400

legal@nysed.gov

185.5 and 185.12 - Local Government Records

Description of rule: Paragraph (3) of subdivision (a) of Section185.5 was amended to remove the date of the last revision (1994) andadd the date of the current revision (1997) of ED-1, retention schedulefor school districts, boards of cooperative educational services, teacherresources and computer training centers and county vocational educa-tion and extension boards. In addition, section 185.12 was amended toremove the date of an earlier revision (1993) and add the date of thecurrent revision (1997) of ED-1.

Need for rule: the rule is necessary to update references to RecordsRetention and Disposition Schedule ED-1, which was substantiallyrevised from its last issue in 1993-94.

Legal basis for rule: Education Law section 207 and Arts andCultural Affairs Law section 57.25(2).

185.10(a) - Local Government Records

Description of rule: The rule removed a requirement that each localgovernment develop and approve a records management plan before-hand, in order to be eligible to apply to the Commissioner for a re-cords management improvement grant.

Need for rule: The rule was adopted in order to streamline the re-cords management improvement grant application process by remov-ing the burdensome requirement that a records management plan bedeveloped and approved before that local government is eligible toapply for such grant.

Legal basis for rule: Education Law section 207 and Arts andCultural Affairs Law section 57.35(1) and (2).

185.1, 185.7, 185.8, 188.2 and 188.20 - Local and State Govern-ment Records Management

Description of rule: The rule was adopted to update language toreflect current technologies; to remove two definitions of “digital im-ages” and “source code” that are no longer necessary (185.1); to add anew and more current definition of “automated information system”(185.1); to add a new definition of “SARA” (185.1); to remove themandate that duplicate eye-readable copies be retained for certain re-cords maintained as digitized images by local government (185.7);and update the definition of “State Archives and Records Administra-tion” (188.2). In addition, section 185.8 was repealed and section188.20 was amended to consolidate in one regulation the provisionsconcerning the retention and preservation of electronic records of lo-cal and state government.

Need for rule: The rule was adopted to remove the sometimesburdensome requirement that local government officials must maintainthe paper original, or a paper copy, or a microform copy of allelectronically imaged records which are scheduled to be retained forten or more years. The rule reduces paperwork because local govern-ments no longer need to keep or create and file a paper or microformcopy of certain electronically imaged records. In addition, the repealof section 185.8 and amendment of 188.20 consolidated in one regula-

tion the provisions concerning the retention and preservation ofelectronic records of local and State government.

Legal basis for rule: Education Law section 207 and Arts andCultural Affairs Law sections 57.05, 57.17, 57.23(2) and (3) and 57.29.

188.21 - State Government Records Management

Description of rule: Section 188.21 of the Regulations of the Com-missioner of Education was amended to update the schedule of fees toreflect changes in the organization of State government and to estab-lish a process for the Division of the Budget to reduce or waive feesunder certain conditions.

Need for rule: the rule is necessary to implement Arts and CulturalAffairs Law section 57.05(9) and (11)(i) and (j), which authorizes theCommissioner of Education to implement a fee schedule to supportrecords management activities for State government agencies and topromulgate rules and regulations setting forth fees to be paid for re-cords management services.

Legal basis for rule: Education Law section 207 and Arts andCultural Affairs Law section 57.05(9) and (11)(i) and (j).

Tom Ruller

State Education Department

(518) 474-5561

Section 24.3(c) - Waiver of Citizenship/Immunizations Require-ment

Description of rule: This Regents Rule authorizes the Board ofRegents to grant time-limited waivers of the statutory citizenship orimmunizations status requirements for licensure in medicine. The ruleestablishes conditions for obtaining the waiver, including applicationsfor medical licensure, satisfaction of remaining statutory licensureprovisions, maintenance of lawful immigration status, and practice inan underserved area.

Need for rule: This rule is required to implement statutory amend-ments to the provisions of Education Law § 6524(b), which authorizesthe Board of Regents to grant time-limited waivers of the citizenshipor immigration status requirements for licensure in medicine.

Legal basis for rule: Education Law sections 207, 6504, 6506(1)and (10), 6507(4)(b) and 6524(6).

Section 24.7 (h) - Restoration of License

Description of rule: This rule establishes time constraints and feerequirements for the filing of petitions for restoration of professionallicenses which have been revoked or surrendered.

Need for rule: The Board of Regents is authorized to “…restore alicense which has been revoked” (Education Law § 6511). This rule isnecessary to implement a process for consideration by the Board ofRegents of petitions for the restoration of a professional license whichwas either revoked or surrendered.

Legal basis for rule: Education Law sections 207, 6504, 6506(1)and (10), 6508(4) and 6511.

Part 65 - Licensure in Podiatry

Description: Part 65 was amended on August 1, 1997 to require allindividuals who apply for licensure in podiatry on or after July 1,2000 to have completed one year of supervised postgraduate hospitaltraining in podiatry, acceptable to the Department.

Need for rule: Pursuant to Education Law § 7004(3) the Commis-sioner is authorized to establish experience requirements for licensurein podiatry. In 1992, the Department ceased requiring a practical ex-amination for the licensure of podiatrists. The aforementioned regula-tion was added to assure that podiatrists have adequate clinical experi-

ence, given discontinuance of the practical examinations as anevaluative method of determining minimal competence.

Legal basis for rule: Education Law sections 207, 6501, 6504,6506(1), 6507(2)(a) and (3)(a), 7004(3) and (4) and 7007(1)(c).

Section 61.15 - Dentistry

Description of rule: The subject matter of this rule implementsmandatory continuing education requirements for dentists. The regula-tion includes provisions for exemptions, conditional registrations andother procedures needed to implement the law.

Need for rule: The regulation is needed to implement EducationLaw section 6604-a for dentists, by establishing standards for whatconstitutes acceptable formal continuing education, education require-ments when there is a lapse in practice, requirements for licenseesunder conditional registration and standards for the approval of spon-sors of continuing education to licensed dentists.

Legal basis for rule: Education Law sections 207, 212(3), 6502(1),6504, 6507(2)(a), 6508(1) and 6604-a(1)(a), (b) and (c), (2), (3), (4)and (5).

Section 61.16 - Dental Hygiene

Description of rule: The subject matter of this regulation imple-ments mandatory continuing education requirements for dentalhygienists. The regulation includes provisions for exemptions,conditional registrations and other procedures needed to implementthe law.

Need for rule: The regulation is needed to implement EducationLaw section 6609-a, by establishing standards for what constitutes ac-ceptable formal continuing education, educational requirements whenthere is a lapse in practice, requirements for licensees under conditionalregistration and standards for the approval of sponsors of continuingeducation to licensed dental hygienists.

Legal basis for rule: Education Law sections 207, 212(3), 6502(1),6504, 6507(2)(a), 6508(1) and 6609-a(1)(a), (b) and (c), (2),(3),(4)and (5).

Section 63.7 - Pharmacy

Description of rule: The subject matter of the regulation imple-ments mandatory continuing education requirements for pharmacists.The regulation includes provisions for exemptions, conditionalregistrations and other procedures needed to implement the law.

Need for rule: The regulation is needed to implement EducationLaw section 6827, by establishing standards for what constitutes ac-ceptable formal continuing education, education requirements whenthere is a lapse in practice, requirements for licensees under conditionalregistration and standards for the approval of sponsors of continuingeducation to licensed pharmacists.

Legal basis for rule: Education Law sections 207, 212(3), 6502(1),6504, 6507(2)(a), 6508(1) and 6827(1)(a), (b) and (c), (2), (3), (4), (5)and (6).

Section 29.10 - Public Accountancy

Description of rule: The subject matter of the rule relates tounprofessional conduct in the practice of public accountancy. Section29.10 was amended to update and clarify the special provisions forthis profession by: (1) conforming the standards for unprofessionalconduct in the Regents Rules with those prescribed by national andState standard-setting bodies; (2) limiting instances where acceptingcontingent fees would constitute unprofessional conduct; (3) eliminat-ing references to outdated pronouncements of the American Instituteof Certified Public Accountants; and (4) limiting a licensee’s responsi-bility to clients for uncompensated work products and clarifying alicensee’s responsibility to provide copies of documents.

Need for rule: The need for the amendment to Part 29.10 was three-fold. It provided that contingent fees would be allowable in specificcircumstances. Categories of professional accountancy services weredelineated where 3rd party reliance occurred. These changes werepredicated on a U.S. Federal Trade Commission (FTC) suit filedagainst the American Institute of Certified Public Accountants(AICPA) because of its prohibitions of contingent fees. The FTCcharged that the AICPA prohibitions were anti-competitive in nature.At the time the changes were approved, 30 of 54 licensing jurisdic-

tions had modified their rules or regulations to conform to the modi-fied AICPA model resulting from the FTC suit. Second, outdated ref-erences to industry practice standards were removed from the Rules(e.g., specific references to provisions of generally accepted account-ing principles and generally accepted auditing standards). Third,clarifications were made to the Rules regarding client records. Underthe revision, licensees were required to provide only single copies ofexcerpts only of accountants’ working papers of work performed onbehalf of the client. The amendments also brought section 29.10 intoconformity with the general provisions of Part 29.1(b)(7).

Legal basis for rule: Education Law sections 207, 6504, 6506(1)and (9), 6508(1) and 6509(9).

Sections 29.13 - Massage Therapy

Description of rule: This rule updates and clarifies the special provi-sions for unprofessional conduct in the profession of massage therapyby: (1) specifying which type of advertising is appropriate, while limit-ing that which is inappropriate; (2) explaining the employment rela-tionship between a licensed massage therapist and an unlicensedowner of a massage therapy practice; and (3) conforming the regula-tory language to the statutory terms of massage therapy and massagetherapist.

Need for rule: The rule is necessary to clarify and define unprofes-sional conduct in the practice of massage therapy and to conformregulatory language to statutory terms of massage therapy and mas-sage therapist.

Legal basis for rule: Education Law sections 207, 6504, 6506(1)and (9), 6508(1) and 6509(9).

52.15, 78.1, 78.2, 78.3 and 78.4 - Massage Therapy

Description of rule: The rule: (1) increases, from 500 to 1000 hours,the amount of instruction and specifies minimum hours in certain cur-ricular areas for the registration of professional massage therapyprograms; (2) ensures that the massage therapy licensing examinationmeasures candidates’ knowledge of both western and oriental mas-sage; (3) conforms the regulatory language to that in statute of theterms massage therapy and massage therapist; and (4) ensures thatpersons licensed as massage therapists on the basis of endorsement oflicensure in other jurisdictions meet acceptable education, examina-tion and practice standards.

Need for rule: The rule is needed to ensure the quality of applicants’preparation for entry level licensure in massage therapy by upgradingeducational requirements for professional programs to include subjectmatter and modalities used in contemporary practice and to ensure thecompetency of individuals licensed through the endorsement of alicense issued by another jurisdiction by establishing education, ex-amination and practice standards.

Legal basis for rule: Education Law sections 207, 210, 6501, 6504,6506(6), 6507(2)(a) and (4)(a), 6508(1), 7801, 7804(2) and 7805(3).

78.4(b) - Massage Therapy

Description of rule: The rule amended subdivision (b) of section78.4 to replace the term ‘‘grant’’ with the term ‘‘recommend’’,concerning State Education Department actions taken with respect tolicensure by endorsement.

Need for Rule: The rule is necessary to provide clarification that theState Education Department recommends to the Regents the endorse-ment of a license issued by another jurisdiction and that the Regentsmake the decision concerning whether to grant licensure byendorsement.

Legal basis for rule: Education Law sections 207, 6501, 6504,6506(6), 6507(2)(a) and 7804(2).

52.10, 72.1, 72.2 and 72.3 - Psychology

Description of rule: The rule: (1) revises the curricular requirementsfor the registration of professional programs in psychology to conformthe education requirements to nationally accepted standards; (2)consolidates and clarifies the experience requirement; (3) admits tothe licensing exam, applicants who have completed the required doc-toral education and one year of supervised experience; and (4) cor-rects the name of the exam provider.

Need for rule: The rule is needed to ensure the quality of applicants’

preparation for entry-level licensure in psychology by upgradingeducational requirements for professional programs. The rule speci-fies required core education coursework, while permitting a diversityof specializations in educational programs. Entry-level competency isfurther ensured by requiring that registered doctoral programs leadingto licensure include one year of applied training.

Legal basis for rule: Education Law sections 207, 210, 6501, 6504,6507(2)(a) and (4)(a), 6508(1), 7603(2), (3) and (4) and 7605(2) and(3).

Albany, NY 12234

(518) 486-1765

opdepcom@nysed.gov

85.1 and 85.2 - Mentor-Teacher Internship Program

Description of rule: The rule: (1) makes the requirements for andlimitations on interns and mentors who participate in the Mentor-Teacher Internship Program and allowable costs for that program con-sistent with changes in statutory requirements; (2) removes an unnec-essary reference to licenses issued by the City School District of theCity of New York; and (3) clarifies that the budget for the programmay include up to 10 percent of the salary of each mentor per mentor-intern relationship.

Need for rule: The rule is needed to conform the Commissioner’sRegulations with the requirements and limitations for interns and men-tors set forth in Education Law section 3033, as amended by section117-b of Part A of section 1 of Chapter 436 of the Laws of 1997.

Legal basis for rule: Education Law sections 207 and 3033(4) and(5) and section 117-b of Part A of section 1 of Chapter 436 of theLaws of 1997.

145-9 - Merit Scholarships

Description of rule: The rule establishes criteria, definitions andprocedures for the Merit Scholarships for Academic ExcellenceProgram, including selection criteria for scholarship nominees, defini-tion of high schools that will receive an allocation of scholarshipawards, and reporting requirements for the high schools.

Need for rule: The rule is necessary to implement the requirementsof Education Law section 605-a and 670-b, as promulgated by sec-tions 11 and 12 of Chapter 309 of the Laws of 1996. Section 605-arequires the Commissioner to establish selection criteria for scholar-ship nominees at those high schools which do not offer the Regentsexaminations enumerated in statute. Section 605-a requires the Com-missioner to define the high schools that would receive an allocationof scholarships for their students. The rule also establishes reportingprocedures for participating high schools in order to implement theprogram.

Legal basis for rule: Education Law section 207, 605-a(1)(a) and(b) and 670-b(1) and sections 11 and 12 of Chapter 309 of the Laws of1996.

John D’Agati

(518) 486-3633

Department of Environmental Conservation

Introduction

Each year, pursuant to SAPA, the department publishes a Review ofRules in the State Register and on its website. This is a review ofdepartment rules adopted 3 years previous.

SAPA Section 207 -- 3-Year Rule Review

The following rules were adopted by the New York State Depart-ment of Environmental Conservation (Department or DEC) during2014, and pursuant to SAPA Section 207 have been reviewed. Com-ments on the rules that are being amended this year should be directedto the contact person listed in the main body of the Regulatory Agenda.Comments on any rules that are not being changed at this time will beaccepted for 45 days from the date of publication in the State Registerand should be directed to the regulatory coordinator for the appropri-ate program, as listed below the rules.

6 NYCRR Section 200.1, Definitions. On September 3, 2014 DECfinalized an amendment to section 200.1 that modified the definitionof “nonattainment area” in subdivision 200.1(av). This action removedparagraph 200.1(av)(2) – which had previously listed counties innonattainment for PM2.5 – since it was no longer applicable (i.e., allcounties in New York State attained the PM2.5 National Ambient AirQuality Standards). This continues to hold true, so no further actionsregarding section 200.1(av) are planned.

6 NYCRR Part 227-3, 237, and 238 Implement Cap-and-Tradeprograms that reduce NOx and SO2 emissions from Major StationarySources. Repealed.

Contact: Richard McAuley, Regulatory Coordinator for the Divi-sion of Air Resources, New York State Department of EnvironmentalConservation, 625 Broadway, Albany, NY 12233-3258. Telephone:518-402-8438. E-mail: air.regs@dec.ny.gov

Division of Fish and Wildlife

6 NYCRR Part 59. State Boat-Launching Sites, Fishing-AccessSites and Fishing Rights Areas. Section 59.4. Aquatic invasive speciescontrol at state boat launch and fishing access sites. StatutoryAuthority: 3-0301,9-0105, 9-1709, 11-0303, 11-0305, 11-0317, 11-0325, 11-1301, 11-1303, 11-1316, 11-2101). This new section wasadded to Part 59 in 2014 to prevent the spread of aquatic invasive spe-cies to and from Department-administered boating access facilities.These regulations remain adequate for this purpose and no amend-ments are required at this time.

6 NYCRR Part 1, Section 1.31, Hunting black bear. Hunting seasonsfor black bear. Statutory Authority: Environmental Conservation LawSection 11-0907. In 2014, this amendment expanded black bear hunt-ing opportunities to help stabilize or reduce bear populations. In 2017,we are proposing an amendment to this regulation to expand bear hunt-ing seasons to three Wildlife Management Units in the Southern Zoneto better manage the black bear population and minimize bear-humanconflicts.

6 NYCRR Part 180, Section 180.12, Taking of Free-RangingEurasian Boars and Interference with Department Authorized Eradica-tion Efforts. Statutory authority: Environmental Conservation LawSections 11-0514 and 11-0303. In 2014, Section 180.12 was added toprohibit the taking of Eurasian boars by hunting or trapping in order tosupport eradication efforts of USDA and DEC. This regulation willnot be amended at this time.

6 NYCRR Part 2, Section 2.3, Hunting with a crossbow. StatutoryAuthority: Environmental Conservation Law Sections 11-0303 and11-1901. In 2014, this regulation amended section 2.3 to authorize useof a crossbow during certain big game and small game huntingseasons. This regulation will not be amended at this time.

6 NYCRR Part 1, Section 1.24, Special firearms deer season in Suf-folk County. Statutory authority: Environmental Conservation LawSections 11-0303, 11-0903, 11-0907, 11-0911, 11-0913, 11-0929 and11-0931. In 2014, this regulation expanded and simplified deer hunt-ing seasons and regulations in Suffolk County. This regulation willnot be amended at this time.

6 NYCRR Part 189, Chronic Wasting Disease. Statutory Authority:Environmental Conservation Law Sections 3-0301, 11-0325, and 11-1905. The rule adopted in 2014 prevented the importation of chronicwasting disease infectious material from Ohio into New York State.We are proposing an amendment to this regulation during 2017 to pro-hibit the use of urine-based lures for deer hunting, to prohibit theimportation of wild cervid carcasses from outside the state and toincrease the testing and monitoring associated with activities that posea threat of introduction or movement of Chronic Wasting Disease inNew York.

Contact: Lucretia Paulsen, Regulatory Coordinator for the Divisionof Fish and Wildlife, New York State Department of EnvironmentalConservation, 625 Broadway, Albany, NY 12233-4750. Telephone:(518) 402-8924. E-mail: lucretia.paulsen@dec.ny.gov

6 NYCRR Part 575, Prohibited and Regulated Invasive Species.Environmental Conservation Law article 9, Title 17, EnvironmentalConservation Law sections 1-0101, 3-0301, 9-0105, 9-1303, 9-1701,9-1705, 9-1707, 9-1709,11-0507,11-0509,11-0511, 71-0703, 71-0307and Agriculture and Markets Law (AML) section 167 (3-a), AMLarticle 9, article 11 and article 14. This regulation is needed to controlinvasive species by reducing the introduction of new and the spread ofexisting populations in the state. No amendments to this regulation areplanned for the coming year since implementation has beensatisfactory.

6 NYCRR Part 59 and Part 190, Transport of Aquatic Invasive Spe-cies To and From Department Boat Launches. Environmental Conser-vation Law sections, 11-0303-01, 11-0305-09,11-2101, 3-0301(d),9-0105 (1) and 9-1709. This regulation is needed to prevent the spreadof aquatic invasive species to and from waters that the Departmentprovides boating access to. No amendments to this regulation areplanned for the coming year since implementation has beensatisfactory.

Contact: Linda Kashdan-Schrom, Regulatory Coordinator for theDivision of Lands and Forests, New York State Department ofEnvironmental Conservation, 625 Broadway, Albany, NY 12233-4250Telephone: (518) 402-9405 E-mail: linda.kashdan-schrom@dec.ny.gov

6 NYCRR Part 41, Sanitary Condition of Shellfish Lands. StatutoryAuthority: Environmental Conservation Law sections 13-0307 and13-0319. Part 41 was amended to reclassify portions of shellfish grow-ing areas in Hempstead Bay, Nicoll Bay, Moriches Bay, ShinnecockBay, Cold Spring Pond, Three Mile Harbor, Acabonac Harbor, GullPond, Great Peconic Bay, Smithtown Bay, and Lloyd Harbor as closedto the harvest of shellfish based on recent analyses of bacteriologicalwater quality data from these areas. Shellfish harvested from growingareas that fail to meet bacteriological water quality standards maycause illness in those individuals who consume them. Bacteriologicalwater quality testing is an ongoing task; shellfish lands will be classi-fied as necessary based on the results of the water quality studies. Part41 will be amended as needed.

6 NYCRR Part 41, Sanitary Condition of Shellfish Lands. StatutoryAuthority: Environmental Conservation Law sections 13-0307 and13-0319. Part 41 was amended to reclassify portions of shellfish grow-ing areas in Great South Bay, Sag Harbor, Northwest Creek, WickhamCreek, Mattituck Creek, Hashamomuck Pond as seasonally uncerti-fied (closed seasonally) or uncertified (closed) to the harvest of shell-fish based on recent analyses of bacteriological water quality datafrom these areas. Shellfish harvested from growing areas that fail tomeet bacteriological water quality standards may cause illness in thoseindividuals who consume them. Bacteriological water quality testingis an ongoing task; shellfish lands will be classified as necessary basedon the results of the water quality studies. Part 41 will be amended asneeded.

6 NYCRR Part 40 Marine Fish. Statutory authority: EnvironmentalConservation Law sections 11-0303, 13-0105, 13-0340-b, and 13-0340-f. Part 40 was amended to decrease the recreational size limit forsummer flounder, reduce the recreational fishing season and increasethe possession limit. These regulations also reduced the recreationalfishing season for black sea bass. This rule has since been modified in2015 and 2016 to ensure that New York State continues to satisfy therequirements of the Atlantic States Marine Fisheries Commission sum-mer flounder and black sea bass fishery management plan. Part 40 willbe amended as necessary for New York to remain in compliance withfederal rules and interstate management plans.

6 NYCRR Part 10, Sportfishing; Part 11, More Than One Species;Part 19, Use of Bait; Part 36, Gear and Operation of Gear; Part 37,Sale of Certain Lake Ontario Fish Prohibited; and Part 40, MarineFish. Statutory authority: Environmental Conservation Law, sections3-0301, 11-0303,11-0305, 11-0306, 11-0317, 11-0319, 11-1301, 11-1303, 11-1305, 11-1319, 11-1501, 11-1503, 11-1505, 13-0105, 13-0339-a and 13-0371. These amendments were necessary to reducefishing mortality of American eel in New York State to promote stablefish populations, and to remain in compliance with the Atlantic StatesMarine Fisheries Commission interstate fishery management plan forAmerican eel. These regulations will be amended as necessary forNew York to remain in compliance with federal rules and interstatemanagement plans.

6 NYCRR Part 40 Marine Fish. Statutory authority: EnvironmentalConservation Law, sections 11-0303 and 13-0338. Part 40 wasamended to ensure State regulations are consistent with Federal rulesand maintain compliance with the ASMFC Interstate Fishery Manage-ment Plan for Coastal Sharks. Part 40 will be amended as necessaryfor New York to remain in compliance with federal rules and interstatemanagement plans.

Contact: Maureen Davidson, Regulatory Coordinator for the Divi-sion of Marine Resources, New York State Department of Environ-mental Conservation, 205 North Belle Mead Road, Suite 1, EastSetauket, NY 11733 Telephone: (631) 444-0483 E-mail:maureen.davidson@dec.ny.gov

Introduction

Each year, pursuant to SAPA, the department publishes a Review ofRules in the State Register and on its website. This is a review ofdepartment rules adopted 5 years previous.

SAPA Section 207 -- 5-Year Rule Review

The following rules were adopted by the New York State Depart-ment of Environmental Conservation (Department or DEC) during2012, and pursuant to SAPA Section 207 have been reviewed. Com-ments on the rules that are being amended this year should be directedto the contact person listed in the main body of the Regulatory Agenda.Comments on any rules that are not being changed at this time will beaccepted for 45 days from the date of publication in the State Registerand should be directed to the regulatory coordinator for the appropri-ate program, as listed below the rules.

6 NYCRR Part 200, General Provisions. Statutory Authority:Environmental Conservation Law Sections 1-0101, 1-0303, 3-0301,3-0303, 11-0303, 11-0305, 11-0535, 13-0105, 15-0109, 15-1903, 16-0111, 17-0303, 19-0103, 19-0105, 19-0107, 19-0301, 19-0302, 19-0303, 19-0305, 19-0306, 19-0311, 19-0319, 19-0323, 24-0103, 25-0102, 34-0108, 49-0309, 70-0109, 71-2103, 71-2105, 72-0303;Energy Law Sections 3-101, 3-103; Public Authorities Law Sections1850, 1851, 1854, 1855; Federal Clean Air Act Sections 160-169,171-193 [42 U.S.C. 7470-7479; 7501-7515]. Amendments to Part 200were most recently adopted in January 2016. These revisions amendedPart 200 to incorporate by reference the most recent editions of 40CFR 60 (2013), Subpart A, Subparts D - FFFF, Subparts KKKK - end;and 40 CFR 63 (2012 and 2013), Subpart A, Subpart B, Subparts F - I,Subparts L - YYYY, Subparts AAAAA - IIIII, Subparts LLLLL - HH-HHHH, and Subparts LLLLLL - end. The amendments also removedall references to the now outdated 40 CFR 63 Subpart ZZZZ (2009)(reciprocating engines). The Department did not incorporate 40 CFR63 Subpart ZZZZ (2013). These changes will achieve parity betweenexisting federal requirements and the State’s regulatory program.

These amendments were adopted in January 2016. No further amend-ments will be made at this time.

6 NYCRR Part 218, Emission Standards for Motor Vehicles andMotor Vehicle Engines. Statutory Authority: Environmental Conser-vation Law Sections 1-0101, 1-0303, 3-0301, 19-0103, 19-0105, 19-0107, 19-0301, 19-0303, 19-0305, 19-1101, 19-1103, 19-1105, 71-2103, 71-2105; Federal Clean Air Act, § 177. Part 218 was amendedin 2012, 2015, and 2016 to incorporate California’s low emission ve-hicle (LEV), zero emission vehicle (ZEV), and greenhouse gas (GHG)new vehicle emission standards, and environmental performance label,aftermarket catalytic converter, and warranty requirements. Thesechanges were necessary to maintain the federal Clean Air Act Section177 identicality requirement, to achieve necessary emission reduc-tions for the attainment and maintenance of ozone and carbon monox-ide standards, and to realize greenhouse gas emission reductions. TheDepartment may amend Part 218 to clarify aftermarket catalyticconverter requirements under Subpart 218-7, Aftermarket Parts.

6 NYCRR Subpart 219-9, Emission Guidelines and ComplianceSchedules for Existing Sewage Sludge Incineration Units. Statutoryauthority: Public Health Law, §§ 1271, 1276; Environmental Conser-vation Law, §§ 1-0101, 3-0301, 3-0303, 19-0103, 19-0105, 19-0107,19-0301, 19-0302, 19-0303, 19-0305, 19-0306, 19-0311, 19-0319, 20-0109, 71-2103, 71-2105. Subpart 219-9 was amended in May 2012.No amendments planned at this time.

6 NYCRR Part 231, New Source Review for New and ModifiedFacilities. Statutory Authority: Environmental Conservation Law Sec-tions 1-0101, 3-0301, 3-0303, 19-0103, 19-0105, 19-01017, 19-0301,19-0302, 19-0303, 19-0305; Federal Clean Air Act Sections 160-169,171-193 [42 U.S.C. 7470-7479; 7501-7515]. Part 231 was amended in2011. Further amendments are currently being evaluated.

6 NYCRR Part 248, Use of Ultra Low Sulfur Diesel Fuel and BestAvailable Retrofit Technology for Heavy Duty Vehicles. StatutoryAuthority: Environmental Conservation Law Sections 1-0101, 3-0301,19-0103, 19-0105, 19-0301, 19-0303, 19-0305, 19-0323, 71-2103, 71-2105. Part 248 was adopted and amended in 2013 to make it consis-tent with the amendments to New York ECL 19-0323 and related courtdecisions. No further amendments will be made at this time.

6 NYCRR Part 251, CO2 Performance Standards for Major ElectricGenerating Facilities. Statutory authority: Environmental Conserva-tion Law sections, 1-0101, 1-0303, 3-0301, 19-0103, 19-0105, 19-0107, 19-0301, 19-0303, 19-0305, and 19-0312. Part 251 was adoptedin June 2012. Further amendments are currently being evaluated.

Contact: Richard McAuley, Regulatory Coordinator for the Divi-sion of Air Resources, New York State Department of EnvironmentalConservation, 625 Broadway, Albany, NY 12233-3258. Telephone:518-402-8438. E-mail: air.regs@dec.ny.gov

Office of Environmental Justice

6 NYCRR Part 487, Analyzing Environmental Justice Issues in Sit-ing of Major Electric Generating Facilities Pursuant to Public ServiceLaw Article 10. Statutory authority: Public Health Law, §§ 1271,1276; Environmental Conservation Law, §§ 1-0101, 3-0301, 3-0303,19-0103, 19-0105, 19-0107, 19-0301, 19-0302, 19-0303, 19-0305, 19-0306, 19-0311, 19-0319, 20-0109, 71-2103, 71-2105. No amendmentsplanned at this time.

Contact: Lisa DeJesus, Acting Director for the Office of Environ-mental Justice. New York State Department of Environmental Conser-vation, 625 Broadway, Albany, NY 12233-1750. Telephone: 518-402-8556. E-mail: lisa.king-dejesus@dec.ny.gov

Division of Environmental Permits

6 NYCRR Part 617.20 Appendixes A-C, Statutory AuthorityEnvironmental Conservation Law, Article 8. This rule amends theenvironmental assessment forms. The purpose of the rule is to updatethe environmental assessment forms. This rule was finalized on Janu-ary 25, 2013. No further amendments will be made at this time.

Contact: Kent Sanders, Regulatory Coordinator for the Division ofEnvironmental Permits. New York State Department of EnvironmentalConservation, 625 Broadway, Albany, NY 12233-1750. Telephone:518-402-9178. E-mail: depprmt@dec.ny.gov

Division of Fish, Wildlife, and Marine Resources

6 NYCRR Part 10. Sportfishing Regulations. Statutory Authority:3-0301,11-0303, 11-0305, 11-0306, 11-0315, 11-0317, 11-0319, 11-0325, 11-1301, 11-1303, 11-1305, 11-1316, 11-1319, 11-1501, 11-1503, 11-505, 13-0105, 13-0339, 13-0371;arts. 3, 11, 13. These regula-tions are typically amended biannually for the purposes of adjustingthe regulations pertaining to the management of freshwater sportfishincluding appropriate adjustments to freshwater fishing seasons andallowable creel limits and size limits, as well as for gear requirements,the use of baitfish and other requirements related to freshwaterangling. The review process also results in eliminating special regula-tions that are no longer warranted. This rule was amended through theestablishment of subsequent sportfishing rules for the 2015 licensingyear (effective April 1, 2015) and amendments are also proposed forthe 2017 licensing year (effective April 1, 2017).

6 NYCRR Part 35. Licenses. Section 35.2. Taking bait fish withnets and traps for commercial purposes. Statutory Authority: 3-0301,9-0105, 11-0303, 11-0305, 11-0306, 11-0315, 11-0317, 11-0319, 11-0325, 11-1301, 11-1303, 11-1305, 11-1315 - 11-1317, 11-1319, 11-1501, 11-1503, 11-505, 11-2101,13-0105, 13-0339, 13-071). Theseregulations apply to the commercial collection and sale of bait fish inNew York State. Section 19.2 provides a list of waters where bait fishcan be legally harvested for commercial purposes. Seven waters wereadded to the list in 2012. This list is adequate and no further amend-ments are required at this time.

6 NYCRR Part 155. Sale of Black Bass. Statutory Authority: 11-0507-01, 11-13-19, 11-1909, 11-1909-02). These regulations governthe transportation and sale of hatchery reared black bass (primarilylargemouth bass and smallmouth bass) in New York State. The 2012amendment was designed to expand opportunities for live black bassraised by aquaculturists to be sold for food in New York State. Thechanges made in 2012 remain adequate to accomplish this objectiveand no amendments are required at this time.

6 NYCRR Part 189, Chronic Wasting Disease. Statutory Authority:Environmental Conservation Law Sections 3-0301, 11-0325, and 11-1905. The rule adopted in 2012 prevented the importation of chronicwasting disease infectious material from Maryland into New YorkState. We are proposing an amendment to this regulation during 2017to prohibit the use of urine-based lures for deer hunting, to prohibit theimportation of wild cervid carcasses from outside the state and toincrease the testing and monitoring associated with activities that posea threat of introduction or movement of Chronic Wasting Disease inNew York.

6 NYCRR Part 1, Section 4.1, Hunting Deer and Bear and WildlifeManagement Unit Descriptions. Statutory authority: EnvironmentalConservation Law Sections 11-0303, 11-0903, 11-0907, 11-0911, 11-0913, 11-0929 and 11-0931. The rule adopted in 2012 implementedstrategies of the Management Plan for White-tailed Deer in New YorkState including establishing a 3-day youth firearms season for deer,lengthening the bowhunting seasons in the Southern Zone, lengthen-ing regular seasons (bowhunting only) in Westchester County, adjust-ing the Northern Zone muzzleloader and regular season start dates, al-lowing bowhunting during the late muzzleloading season in theNorthern, allowing Deer Management Permits (DMPs) to be usedduring Northern Zone bow and early muzzleloader seasons, establish-ing mandatory antler restrictions in Wildlife Management Units(WMUs) 3A, 4G, 4O, 4P, 4R, 4S, and 4W, simplifying the descriptionof the area open for deer hunting during the January firearms seasonon Long Island (Suffolk County), establishing provisions for designa-tion of Deer Management Focus Areas to intensify use of traditionalhunting in specifically designated geographic areas to assist communi-ties with the burden of overabundant deer populations, adjusting bearseasons to remain consistent with bow, muzzleloader and regularseasons for deer, correcting boundary descriptions for WMUs, andreorganizing and clarifying various sections of Part 1 to make deerhunting regulations easier to understand and eliminate inconsistenciesor redundancy. In 2017, the Department is proposing to amendmultiple sections of Part 1 to increase hunter opportunity and improvemanagement effectiveness in areas with overabundant deerpopulations.

Contact: Lucretia Paulsen, Regulatory Coordinator for the Divisionof Fish and Wildlife, New York State Department of Environmental

Conservation, 625 Broadway, Albany, NY 12233-4750. Telephone:(518) 402-8924. E-mail: lucretia.paulsen@dec.ny.gov

6 NYCRR Part 196, Mechanically Propelled Vessel Use Restric-tions on Thirteenth Lake. Environmental Conservation Law sections,1-0101(3)(b), 1-0101(3)(d), 3-0301(1)(b), 3-0301(1)(d),3-0301(2)(m), 9-0105(1), Executive Law section 816(3) and ArticleXIV, section 1 of the New York State Constitution. This regulation isneeded to prohibit the use of mechanically propelled vessels, otherthan electric powered vessels on Thirteenth Lake. No amendments tothis regulation are planned for the coming year since implementationhas been successful.

6 NYCRR Part 193, Protected Native Plants. Environmental Con-servation Law sections, 9-0105(1), 9-0105(3) and 9-1503. This regula-tion is needed to protect endangered, threatened, and exploitablyvulnerable plants by updating the Protected Native Plants list. Noamendments to this regulation are planned for the coming year sinceimplementation has been successful.

6 NYCRR Part 192, Firewood Restrictions to Protect Forests fromInvasive Species. Environmental Conservation Law sections,1-0101(3)(b), 1-0101(3)(d), 3-0301(1)(b), 3-0301(1)(d),3-0301(2)(m), 9-0105(1), 9-0105(3) and 9-1303. This regulation isneeded to protect New York State’s forests from invasive insects anddiseases carried on firewood and introduced into non- infested forests.No amendments to this regulation are planned for the coming yearsince implementation has been successful.

Contact Linda Kashdan-Schrom, Regulatory Coordinator for theDivision of Lands and Forests, New York State Department ofEnvironmental Conservation, 625 Broadway, Albany, NY 12233-4250. Telephone: 518-402-9417. Email: linda.kashdan-schrom@dec.ny.gov

6 NYCRR Part 41, Sanitary Condition of Shellfish Lands. StatutoryAuthority: Environmental Conservation Law sections 13-0307 and13-0319. Part 41 was amended to close portions of shellfish growingareas in Nicoll Bay, Connetquot River, and the New Suffolk marina tothe harvest of shellfish based on recent analyses of bacteriological wa-ter quality data from these areas. Shellfish harvested from growing ar-eas that fail to meet bacteriological water quality standards may causeillness in those individuals who consume them. Bacteriological waterquality testing is an ongoing task; shellfish lands will be classified asnecessary based on the results of the water quality studies. Part 41 willbe amended as needed.

6 NYCRR Part 40, Marine Fish. Statutory authority: EnvironmentalConservation Law sections 11-0303, 13-0105 and 13-0340-d. Part 40was amended to decrease the recreational fishing season for tautog(blackfish) and increase the minimum size for both the recreationaland commercial tautog fisheries. These regulations were necessary toprevent New York State anglers and harvesters from exceeding theState’s assigned harvest limit for tautog and allow New York State toremain in compliance with the Atlantic States Marine Fisheries Com-mission (ASMFC) tautog management plan. Part 40 will be amendedas necessary for New York to remain in compliance with federal rulesand interstate fishery management plans.

6 NYCRR Part 42, Sanitary Control Over Shellfish; Part 48, MarineHatcheries, On-Bottom and Off-Bottom Culture of Marine Plant andAnimal Life; and Part 49, Shellfish Management. 13-0316, 13-0319,13-0323, and 13-0327. The amendments were necessary to authorizethe sale and shipment of cultivated bay scallops and oysters of lessthan legal size for consumption and resale. The amendments exemptcultured bay scallops and oysters from the size limits for wild caughtbay scallops and oysters. This regulation will not be amended at thistime.

6 NYCRR Part 40 Marine Fish. Statutory authority: EnvironmentalConservation Law sections 13-0105, 13-0340-b, 13-0340-e, and 13-0340-f. Part 40 was amended to increase the summer flounderrecreational possession limit and to reduce the recreational minimumlength; to adjust the scup recreational season and increase the scuprecreational possession limit; and to adjust the black sea bass recre-ational season and increase the recreational possession limit. This rule

has since been modified in 2013, 2014, 2015, and 2016 to ensure thatNew York State continues to satisfy the requirements of the AtlanticStates Marine Fisheries Commission summer flounder, scup and blacksea bass fishery management plan. Part 40 will be amended as neces-sary for New York to remain in compliance with federal rules and in-terstate management plans.

6 NYCRR Part 10, Sportfishing; Part 11, More Than One Species;Part 18, Taking Bait; Part 19, Use of Bait; Part 35, Licenses; Part 36,Gear and Operation of Gear; and Part 40, Marine Fish. EnvironmentalConservation Law, sections 11-0303, 11-0305, 11-0315, 11-0317, 11-0319, 11-1301, 11-1303, 11-1305, 13-0105 and 13-0339. Theseamendments were necessary to reduce fishing mortality of river her-ring stocks in New York and to achieve a sustainable river herringfishery as required by the ASMFC amendment to the fishery manage-ment plan. These regulations will be amended as necessary for NewYork to remain in compliance with federal rules and interstate manage-ment plans.

6 NYCRR Part 41 - Sanitary Condition of Shellfish Lands. Statu-tory Authority: Environmental Conservation Law sections 13-0307and 13-0319. Part 41 was amended to classify portions of shellfishgrowing areas in Tobay Marina-Boat Basin, western Long IslandSound, Cold Spring Harbor, Bellport Bay, North Sea Harbor, DavisCreek, Northwest Harbor, Schoolhouse Creek, Port Jefferson Harbor,and Setauket Harbor as seasonally certified (open for limited times ofyear) or uncertified (closed) for the harvest of shellfish based on recentanalyses of bacteriological water quality data from these areas.Bacteriological water quality testing is an ongoing task; shellfish landswill be classified as necessary based on the results of the water qualitystudies. Part 41 will be amended as needed.

6 NYCRR Part 40, Marine Fish. Statutory authority: EnvironmentalConservation Law sections 11-0303, 13-0105 and 13-0340-d. Thisrule making is a continuation of the Part 40 rule review describedabove. Part 40 was amended to decrease the recreational fishing seasonfor tautog (blackfish) and increase the minimum size for both therecreational and commercial tautog fisheries. These regulations werenecessary to prevent New York State anglers and harvesters fromexceeding the State’s assigned harvest limit for tautog and allow NewYork State to remain in compliance with the Atlantic States MarineFisheries Commission (ASMFC) tautog management plan. Part 40will be amended as necessary for New York to remain in compliancewith federal rules and interstate fishery management plans.

6 NYCRR Part 44, Lobsters and Crabs. Environmental Conserva-tion Law, sections 3-0301, 13-0105 and 13-0329. Part 44 was amendedto implement mandatory V-notching rules for legal size female egg-bearing American lobster and comply with the ASMFC AmericanLobster Fishery Management Plan. This amendment requires that alllegal size egg-bearing female lobsters captured in certain areas have aV-notch cut on their tails and be immediately released back in thewater. This amendment is in compliance with the ASMFC AmericanLobster Fishery Management Plan (FMP) to reduce harvest of lobsterin Southern New England (SNE) by 10 percent to initiate stockrebuilding. This regulation will not be amended at this time.

Contact: Maureen Davidson, Regulatory Coordinator for the Divi-sion of Marine Resources, New York State Department of Environ-mental Conservation, 205 North Belle Mead Road, Suite 1, EastSetauket, NY 11733 Telephone: (631) 444-0483 E-mail:maureen.davidson@dec.ny.gov

Higher Education Services Corporation

Pursuant to Section 207 of the State Administrative Procedure Act(SAPA), notice is hereby provided of the following rules which theNew York State Higher Education Services Corporation (HESC)intends to review in 2017. Public comment on the continuation ormodification of these regulations must be received within 45 days ofthe date of publication of this notice.

The following regulations are subject to review in the 2017 calendaryear:

8 NYCRR Part 2400 through Part 2411

Description of Rules: The enacted 2011-12 New York State Budget

amended section 661(4) of the Education Law to authorize HESC tomake Tuition Assistance Program (TAP) awards available to full-timeresident undergraduate students previously ineligible for such awardsand to adopt rules and regulations accordingly. These rules implementthe statutory provisions.

Legal Basis for Rules: Education Law §§ 653, 655, 661(4)(b) and661(4)(b-1).

Need for Rules: These rules are necessary for the continued andconsistent administration of the Tuition Assistance Program for thesestudents.

HESC Review: HESC intends to continue these rules withoutmodification.

8 NYCRR § 2206.3 – Methods of payment

Description of Rule: This rule establishes the methods of payment,including prepayments, of awards to postsecondary institutions onbehalf of students.

Legal Basis for Rule: Education Law §§ 653, 655, and 665(3)(c).

Need for Rule: This rule is necessary to administer the awardprograms in a consistent and efficient manner.

HESC Review: HESC intends to amend this rule to simplify themethod for prepayments.

Agency Contact Information

Public comment on the continuation or modification of the aboverules is invited. Comments must be received within 45 days of thedate of publication of this notice. Comments or requests for informa-tion should be submitted to:

Cheryl B. Fisher, Supervising Attorney

NYS Higher Education Services Corporation

99 Washington Avenue, Room 1315

Telephone: (518) 474-5592

Email: regcomments@hesc.ny.gov

Office of Information Technology Services

Office of Information Technology Services, Notice of Review ofExisting Regulations Pursuant to State Administrative Procedure ActSection 207 (Calendar Years 2012, 2007, and 2001)

Section 207 of the State Administrative Procedure Act (SAPA)requires that each State agency review, after five years and, thereafter,at five year intervals, each of its rules adopted on or after January 1,1997 to determine whether such rules should be modified or continuedwithout modification.

Pursuant to section 207 of SAPA, the Office of InformationTechnology Services (ITS) submits the following rules that wereadopted during calendar years 2012, 2007, and 2001, and invites pub-lic comment on the continuation or modification of such rules. All sec-tion and part references are to Title 9 of the Official Compilation ofthe Codes, Rules and Regulations of the State of New York (NYCRR)unless otherwise indicated.

The following information relates to regulations promulgated in2012, 2007 and 2001 that are scheduled for review during calendaryear 2017:

1. 9 CRR-NY N 540 Electronic Signatures and Records Act

Action taken: This rule was modified by Notices in the NYS Regis-ter on July 18, 2012 (Proposed Rulemaking) and Sept. 19, 2012(Adoption), to add the recording of real property instruments to theregulation.

Analysis of need: This rule is necessary to establish standards andprocedures governing the use and authentication of electronicsignatures and the utilization of electronic records in accordance witharticle III of the State Technology Law, which establishes the Elec-tronic Signatures and Records Act (ESRA).

Legal basis: State Technology Law, §§ 103, 303, 304, 305; RealProperty Law, § 291-i.

Comments regarding this rule should be sent to the attention of the

following agency contact: Regulations Attorney, New York State Of-fice of Information Technology Services, Division of Legal Affairs(DLA), Empire State Plaza, PO Box 2062, Albany, NY 12220-006252.Email: its.sm.dla@its.ny.gov Comments must be received within 45days of the date of publication of this Notice. Please reference RuleReview in the subject line of the email.

2. 9 CRR-NY N 552 State Agency Internet Posting of ApplicationForms

Action taken: This rule was originally filed July 12, 2007 eff. Aug.1, 2007.

Analysis of need: Section 164-d of the Executive Law provides thatthe State and every State agency, department, bureau, board, authority,office, commission, or any other instrumentality of the State shallmake those various application forms developed and distributed bysuch agency or instrumentality for public use that are readily convert-ible to internet form and that are intended to be commonly used by thegeneral public available on the internet. This rule is necessary to to es-tablish a process for the entities that are subject to section 164-d to usein prioritizing the application forms to be made available on theinternet and establishing the timing for making such application formsavailable on the internet.

Legal basis: Executive Law, § 164-d; State Technology Law, § 103.

Comments regarding this rule should be sent to the attention of thefollowing agency contact: Regulations Attorney, New York State Of-fice of Information Technology Services, Division of Legal Affairs(DLA), Empire State Plaza, PO Box 2062, Albany, NY 12220-006252.Email: its.sm.dla@its.ny.gov Comments must be received within 45days of the date of publication of this Notice. Please reference RuleReview in the subject line of the email.

3. 9 CRR-NY N 550 Public Access to the Records of the Office forTechnology [sic]

Action taken: This rule was originally filed July 20, 2001 eff. Aug.8, 2001.

Analysis of need: This rule is necessary to provide informationconcerning the procedures by which records may be obtained from theNew York State Office of Information Technology Services.

Legal basis: Public Officers Law, art. 6; Executive Law, §§ 206-a[11], 208].

4. 9 CRR-NY N 551 Access to Personal Information

Action taken: This rule was originally filed Nov. 6, 2001 eff. Nov.21, 2001.

Analysis of need: This rule is necessary for the Office of Informa-tion Technology Services to fully comply with the provisions of article6-A of the Public Officers Law, the Personal Privacy Protection Law.

Legal basis: Public Officers Law, art. 6-A, § 94[2]; Executive Law,§ 206-a[11].

Department of Law

Pursuant to SAPA section 207, the Law Department submits thefollowing list of its rules that were adopted during calendar year 2012and invites public comment on the continuation or modification of

such rules. Comments should be sent to the respective agency repre-sentative listed below for each particular rule, and must be receivedwithin 45 days of the date of publication of this Notice.

RULES ADOPTED IN 2012

(1) LAW-25-12-00004-A -- Names and Addresses of Agencies,Disclosures Concerning Federal Deposit Insurance, Consistency ofTerms, Number of Certain Items.

Amendment of Parts 16-18 and 20-25 of Title 13 NYCRR

Analysis of the need for the rule: To ensure the accuracy and con-sistency of the Department of Law’s regulations by making non-substantive changes to several names, dates, addresses, amounts, andterms.

Legal basis for the rule: General Business Law, section 352-e(2-b).

(2) LAW-50-11-00002-A -- Determining When Funds Escrowed inConnection with the Offer or Sale of Cooperative Interests in RealtyMay be Released.

Amendment of sections 18.3(b)(p), 20.3(o), 21.3(l), 22.3(c)(k),23.3(q), 24.3(m) and 25.3(l) of Title 13 NYCRR.

Analysis of the need for the rule: To eliminate the Attorney Gene-ral’s role in adjudicating escrow disputes.

Legal basis for the rule: General Business Law, section 352-e(2)(b)and (6).

Agency Representative: Written comments concerning the continu-ation or modification of the above rule may be submitted to:Jackie.Dischell@ag.ny.gov, Assistant Attorney General, 120 Broad-way, 23rd Floor, New York, NY 10271, (212) 416-8655.

Pursuant to SAPA section 207, the Law Department submits thefollowing list of its rules that were adopted during calendar year 2002and invites public comment on the continuation or modification ofsuch rules. Comments should be sent to the respective agency repre-sentative listed below for each particular rule, and must be receivedwithin 45 days of the date of publication of this Notice.

RULES ADOPTED IN 2002

(1) LAW-45-10-00009-A Franchise Registration Requirements.

Amendment of Part 200 of Title 13 NYCRR.

Analysis of the need for the rule: To clarify ambiguities, simplifycompliance with New York’s existing franchise regulations andharmonize the New York registration requirements with the 10 otherstates which have franchisee registration laws.

Legal basis for the rule: General Business Law, section 694.2.

Agency Representative: Written comments concerning the continu-ation or modification of the above rule may be submitted to: JosephPunturo, Section Chief, 120 Broadway, 23rd Floor, New York, NY10271, (212) 416-8211, Joseph.Punturo@ag.ny.gov.

NOTICE is hereby given that the Public Service Commission hasreviewed the rules adopted in 2001, 2006 and 2011 as required byState Administrative Procedure Act § 207, and determined that thefollowing rules will continue without change:

1. 16 NYCRR Subpart 85-2 and Parts 86 and 88 (Case No. 06-M-1019).

a. Description of rules:

Amended 16 NYCRR Subpart 85-2, Procedures with Respect to AllElectric Transmission Lines and Fuel Gas Transmission Lines 10 orMore Miles Long, General Exhibits Part 86, and Part 88, Exhibits forElectric Transmission Filings.

b. Statutory authority: PSL §§ 4(1), 20(1), 122(1)(f)

c. No hearings or public meetings are scheduled.

d. The rules are in effect and will continue.

e. Need for and legal basis of rules:

The rules speed up the application process for NIETC projects byprecisely specifying the information required on an application toinstall an electric transmission line, thus enabling the Public ServiceCommission to act on the proposed project within a year.

Pursuant to 207 of the State Administrative Procedure Act: Reviewof Existing Rules, notice is hereby provided that the Public ServiceCommission proposes to continue the following rules adopted in 1997,2002, 2007, and 2012 without modification or as revised. Commentsare welcome on proposed continuation of the rules. Five copies ofcomments should be sent to: Kathleen H. Burgess, Secretary to theCommission, 3 Empire State Plaza, Albany, New York 12223-1350,within 45 days of the date of publication of this Notice. Informationabout the rules may be obtained from: John C. Graham, AssistantCounsel, 3 Empire State Plaza, Albany, New York 12223-1350; (518)474-7687.

1. 16 NYCRR Part 96, Residential Electric Submetering (Case No.11-M-0710).

a. Description of rules: amends Public Service Law (PSL), Title 16,Part 96, to apply PSL § 53, the Home Energy Fair Practices Act(HEFPA), to submeterers, ensures that submeters are of a sufficientquality and are regularly calibrated to help assure accurate billing, andprovides remedies for when submeterers fail to adhere to tariffed ser-vice conditions and fail to cure such failure(s).

b. Statutory authority: PSL §§ 4, 30-53, 65 and 66.

e. Need and legal basis of rules: the amended rules increase energyefficiency benefits, improve the submetering approval process, clarifythe service conditions pursuant to HEFPA for submeterers, improvethe standards of submetering equipment and provide remedies theDepartment of Public Service may use when a submeterer fails to cureservice conditions violations.

2. 16 NYCRR Chapter X, Certification of Major Electric Generat-ing Facilities (Case 12-F-0036).

a. Description of rules: the rules implement Article 10 of the PublicService Law, enacted in Chapter 388 of the Laws of 2011 andempower the Siting Board to issue Certificates of EnvironmentalCompatibility and Public Need (CECPN), authorizing the construc-tion and operation of major electric generating facilities. Article 10ensures that state and local regulatory certification regarding theconstruction and operation of major electric generating facilities isdetermined in a unified and expeditious manner, and provides for ac-tive public involvement.

b. Statutory authority: PSL §§ 160(8), 161(1) and (3), 163(1)(h), (2)and (4)(b), 164(1), (2), (3), (4) and 6 (b), 165(2), (4)(b) and (5), and167(1)(b) and (4).

e. Need and legal basis of rules: the rules establish procedures forapplications for CECPNs and other matters affecting the constructionor operation of major electric generating facilities pursuant to Article10 of the Public Service Law and establish procedures for matters af-fecting the construction or operation of major electric generating fa-cilities pursuant to former Articles VIII and X of the Public ServiceLaw.

3. 16 NYCRR § 753 (Case No. 95-M-1007).

This enactment added Subchapter F of Chapter VII of 16 NYCRR,entitled “Protection of Underground Facilities,” implemented revi-sions to Public Service Law (PSL) § 119-b and General Business Law(GBL) Article 36, and replaced the Department of Labor’s “Code Rule53” (12 NYCRR § 53).

The rules establish precepts for the protection of underground facil-ities (UGF) to assure public safety and to prevent damage to publicand private property by expanding excavator and operator knowledgeof the One Call notification system (One Call). The rules require anexcavator to contact One Call before work commences and to provideOne Call with the work zone location. One Call coordinates excava-tion by notifying the owner of any UGF at the work location (theOperator) and informs the Operator to clearly mark the UGF withinthe regulatory prescribed time frame and before excavation or demoli-tion begins.

b. Statutory authority: PSL § 119-b and General Business LawArticle 36.

e. Need for and legal basis of rules:

The legal basis for a new Part 753 are PSL § 119-b and GBL Article36. The new regulations were enacted to protect underground pipe-lines, conduits, ducts, cables, wires, manholes, and vaults installed byOperators of UGFs to furnish electricity, gases, steam, liquid petro-leum products, telephone or telegraph communications, cable televi-sion, sewage removal, traffic control systems, or water from damageby excavation or demolition. This regulation protects consumers’steady supply of public utility services and protects UGFs fromdamage.

4. 16 NYCRR § 262 (Case No. 97-G-0230).

Amendments were made to 16 NYCRR Part 262 in order to bringthe New York State pipeline safety regulations into conformance withthe federal Department of Transportation (DOT) statutes, the mostsignificant pertaining to alcohol testing and the addition of an AlcoholMisuse Program.

b. Statutory authority: PSL §§ 65(1), 66(1).

e. Need and legal basis of rules:

The intent of the amendments was to bring the State’s pipelinesafety regulations into conformance with the counterpart federalDepartment of Transportation regulations which had been amendedseveral times. The amendments were designed to prevent accidentsand injuries that result from the misuse of alcohol by employees ofoperators of certain pipeline facilities. The regulation requires opera-tors to develop an alcohol misuse plan that outlines methods andprocedures for federal compliance, and to promulgate educationalmaterials to disseminate the operators’ policy on misuse of alcohol.

5. 16 NYCRR §§ 90.3, 91.1, 225.3, 402.3, 510.3, 600.3, 633.9(g)(Case 97-M-0623).

The Commission adopted interest rates applicable to customerdeposits held by utilities, replacing the actual Customer Deposit Ratestated in the regulations with a formula.

b. Statutory authority: PSL §§ 36(3), 117.

Prior to enactment of this regulatory amendment the actual Cus-tomer Deposit Rate was specifically stated in the regulations andadjustment of the rate to account for current monetary trends wasonerous. To assure a consistent interpretation, staff recommended thatan advisory letter be issued each time the rate is revised, to publicizethe new rate.

6. 16 NYCRR Parts 600, 631, 633 (Case No. 96-C-1114).

Part 600 and 631 amendments pertaining to non-residential custom-ers streamlined the existing rules governing provision of service tonon-residential customers by eliminating unnecessary details andfurnishing companies that provide service greater flexibility. The newrules eliminate detailed record keeping requirements for companieswith respect to the kind of records to be kept regarding customerdeposits, deposit refund requirements, type of receipts and informa-tion about deposits that must be given to customers.

b. Statutory authority: PSL §§ 4(1), 92(1), 94(2), 96(1).

Part 633 was removed from Subchapter C, Rates and Charges, andplaced in Subchapter A, Service, and then renumbered to create a new

Part 609 that better reflects current policy and applies only to basic,local, residential telephone service, including radio telephone utilities.The definitions list was consolidated, and minor changes to DeferredPayment Agreements and Proof of Identity as a condition for serviceswere enacted.

Office of Temporary and Disability Assistance

Pursuant to the State Administrative Procedure Act (SAPA) § 207,the Office of Temporary and Disability Assistance (OTDA) mustreview at regular intervals those regulations that were adopted on orafter January 1, 1997. The purpose of the review is to determinewhether the regulations should be retained as written or modified. OnJanuary 6, 2016, OTDA published in the New York State Register alist of regulations from Title 18 of the New York Codes, Rules andRegulations (NYCRR) that OTDA adopted in 2013, 2011, 2006, and2001. Those regulations are set forth below:

Rules adopted in 2013

1. TDA-36-12-00001 Fair Hearings Process for the Home EnergyAssistance Program (HEAP)*

Amended 18 NYCRR §§ 358-3.5(b)(4) and 393.5(e) to eliminatethe requirement that a fair hearing request concerning the HEAP mustbe made within 105 days of the social services district’s termination ofthe receipt of HEAP applications for the program year.

Analysis of the need for the rule: These amendments are necessaryto comply with a court order and stipulation of settlement stemmingfrom Pedersen v. Hansell, by eliminating the 105 day statute of limita-tions imposed on requesting a fair hearing regarding HEAP funds, aswell as clarifies that federal HEAP funds are available for a finite pe-riod of time.

Statutory basis: SSL §§ 20(3)(d), 22(8), and 97; 42 USC § 8621, etseq.

2. TDA-49-12-00014 Child Support*

Amended 18 NYCRR §§ 346.2 and 347.17 to address child supportservices applications and notification requirements and the impositionof an annual service fee; and to set forth requirements concerning theprovision of legal services and the recovery of associated costs.

Analysis of the need for the rule: The amendment of § 346.2 wasmade to help ensure the state’s compliance with federal child supportapplication and notification requirements pursuant to 45 CFR§ 302.33, which requires that states must make available all servicesto any individual who files an application with the child supportagency, and must provide information describing available services,the individual’s rights and responsibilities, the state’s fees, costrecovery, and distribution policies that must accompany all applica-tions for services, and be provided to all applicants/recipients ofMedicaid and assistance programs. In addition, the amendment to§ 347.17 was made as a result of federal changes requiring the imposi-tion of an annual service fee of $25 for families who have neverreceived assistance.

Statutory basis: 42 USC § 654(6)(B)(ii); 45 CFR §§ 302.33 and303.2; SSL §§ 20(3)(d), 111-a, 111-c(4)(a), 111-g(3)(a) and (b); FCA§ 453(a).

3. TDA-38-13-00008 Standard Utility Allowances for the Supple-mental Nutrition Assistance Program (SNAP)*

Amended 18 NYCRR § 387.12 to update the Standard Utility Al-lowances for SNAP to the federally approved levels as of October 1,2013.

Analysis of the need for the rule: It was of great importance that thefederally mandated and approved standard utility allowances forSNAP were applied to SNAP benefit calculations effective October 1,2013. If the standard utility allowances were not updated on October1, 2013, it could have resulted in thousands of SNAP dependenthouseholds receiving underpayments each month. Thus, the rule wasnecessary for the preservations of the public health and general welfareof SNAP dependent households.

Legal basis for the rule: SSL §§ 20(3)(d) and 95; 7 USC§ 2014(e)(6)(C); 7 CFR § 273.9(d)(6)(iii).

4. TDA-35-10-00005 Child Support*

Amended 18 NYCRR §§ 347.2, 347.6, 347.7 and 347.8 to conformto State and federal statutes and federal requirements concerning theuse of locate sources.

Analysis of the need for the rule: These amendments conformedState regulations to federal regulations in regard to locator services,which require that location services be used in all cases referred to thechild support enforcement unit and in all cases applying for child sup-port services.

Legal basis for the rule: SSL §§ 20(3)(d), 34(3)(f), 111-a(1), 111-b(3), (4), 111-g, 111-h(9), 111-k(1), 111-r, 111-s(1), 111-v and 143;FCA § 542; 45 CFR §§ 301.1, 303.3(b)(1) and 303.101(b)(1); 42 USC666(c)(1).

5. TDA-41-10-00005 Public Assistance*

Repeal of 18 NYCRR § 351.24, amendment of 18 NYCRR§§ 351.1(b)(2)(iv), 352.17(d), 352.19(b)(3), 366.3 and 366.4(g) andaddition of 18 NYCRR § 366.11 to eliminate quarterly reporting as adistrict optional requirement for the majority of public assistancerecipients but keeping it a requirement for child assistance programparticipants.

Analysis of the need for the rule: These amendments were madedue to quarterly reporting being eliminated as a district optionalrequirement for the majority of public assistance recipients, but stillrequired for child assistance program recipients. Eliminating theoptional reporting requirement for public assistance recipients simpli-fies reporting requirements, reduces administrative requirements, andsaves money by no longer requiring the option to be included in theState’s Welfare Management System.

Legal basis for the rule: SSL §§ 20(3)(d), 34(3)(f), 131(1), 131-t,131-z(9) and 355(3).

6. TDA-16-11-00004 Standard Allowances for the Food Stamp Pro-gram*

Amended 18 NYCRR § 387.12(f)(3)(v)(a), (b) and (c); and added18 NYCRR § 387.12(f)(3)(v)(d) to update the standard utility allow-ances for SNAP to the federally approved levels as of April 1, 2011,and to set forth OTDA’s process for periodically reviewing and updat-ing the standard utility allowances.

Analysis of the need for the rule: It was of great importance that thefederally approved standard utility allowances for SNAP were appliedto SNAP benefit calculations effective April 1, 2011. If the standardutility allowances were not updated on April 1, 2011, it could haveresulted in thousands of SNAP dependent households receivingoverpayments each month. Overpayments to food stamp dependenthouseholds could have subjected the households to a 10% recoupmentof their monthly food stamp benefits until the overpayment wasrecovered. Thus, the rule was necessary for the preservations of thepublic health and general welfare of SNAP dependent households.

Legal basis for the rule: SSL §§ 20(3)(d) and 95; 7 USC§ 2014(e)(6)(C); and 7 CFR § 273.9(d)(6)(iii).

Note: Chapter 41 of the Laws of 2012 changed the name of NewYork’s Food Stamp Program to SNAP.

7. TDA-13-05-00001 Verification of School Attendance*

Amended 18 NYCRR § 369.4(f) to relieve social services districtsof verifying school attendance of children under the age of 18.

Analysis of the need for the rule: These amendments were devel-oped to make the requirements of 18 NYCRR § 369.4(f) consistentwith those of 18 NYCRR § 369.2(c) and to reduce the administrativeburden on social services districts.

Legal basis for the rule: SSL §§ 20(3)(d), 34(3)(f), 131(1) and355(3).

8. TDA-36-05-00003 Enforcement of Support Obligations and Is-suance of Income Executions*

Amended 18 NYCRR § 347.9 to implement State and federal lawsconcerning the process for issuing income execution orders in childsupport cases and to change the method for calculating the amount ofany additional deductions to be withheld from an employee’s incomeif the employee owes child support arrears or past due child support.

Analysis of the need for the rule: These amendments were devel-oped to implement section 314 of the Personal Responsibility andWork Opportunity Reconciliation Act of 1996 (P.L. 104-193) and theprovisions of Chapter 398 of the Laws of 1997 that amended section5241 of the Civil Practice Law and Rules (sections 20 through 28),concerning the process for issuing income execution orders in childsupport cases and the penalties to be imposed on employers for failingto comply with such orders. The amendments also revised the calcula-tion of the additional amount deducted from an employee’s salary tocollect child support arrears or past due child support. These revisionsallowed a higher additional amount when current support terminates,clarified the rules for deductions from lump sum payments, and clari-fied the rules for proving that the additional amount should be reducedor eliminated in certain cases.

Legal basis for the rule: SSL §§ 20(3)(d), 34(3)(f) and 111-a.

9. TDA-51-05-00006 Treatment of Lump Sum Income*

Amended 18 NYCRR §§ 352.23(b) and 352.29(h)(1) and (2) andadded 18 NYCRR § 352.23(b)(4) to implement Chapter 373 of theLaws of 2003, concerning the treatment of lump sum income.

Analysis of the need for the rule: This rule was developed to providethat any lump sum of income received by a public assistance applicantor recipient could be disregarded when determining eligibility forsuch assistance under certain circumstances.

Legal basis for the rule: SSL §§ 20(3)(d), 34(3)(f), 131(1), 131-a(12)(c), 131-n and 355(3).

10. TDA-43-00-00001 Cooperation with Social Services Officials

Amended 18 NYCRR § 351.1(b)(2) to require information concern-ing the non-legally responsible caretaker relatives of children whoreceive public assistance and information concerning the siblings ofchildren who are receiving public assistance to be provided to socialservices officials.

Analysis of the need for the rule: This rule was developed to helpthe State meet federal requirements concerning the furnishing of in-formation on families receiving assistance under the State’s public as-sistance programs funded under Temporary Assistance for NeedyFamilies program.

Legal basis for the rule: SSL §§ 20(3)(d), 34(3)(f) and 132.

11. TDA-43-00-00002 Safety Net Assistance

Amended 18 NYCRR § 370.4(b)(1)(ii) to exempt from the two yearlimit on receipt of safety net assistance work subsidies paid to anemployer or a third party for the cost of wages or benefits for a recipi-ent when the payment equals the full amount of the recipient’s safetynet assistance budget deficit.

Analysis of the need for the rule: This rule was developed to makeState requirements concerning the time limits for receipt of safety netassistance consistent with federal requirements concerning the timelimits for receipt of benefits funded under the Temporary Assistancefor Needy Families program.

Legal basis for the rule: SSL §§ 20(3)(d), 34(3)(f), 158(a) and art.5, title 3.

12. TDA-46-00-00004 Intentional Program Violations

Amended 18 NYCRR §§ 359.3(a) and 359.9(g) to make Stateregulations consistent with State law and a federal court decision.

Analysis of the need for the rule: This rule was developed to clarifythe circumstances under which a person would be determined to havecommitted an intentional program violation and to clarify the startdate of the disqualification period for an intentional program violationin the food stamp program.

Legal basis for the rule: SSL §§ 20(3)(d), 34(3)(f) and 145-c.

13. TDA-48-00-00002 Homeless Housing Assistance Program Proj-ects

Amended 18 NYCRR § 800.2(m) to provide additional funds toexisting homeless housing and assistance program projects.

Analysis of the need for the rule: This rule was developed to extendthe policy that authorized the creation of operating and capital replace-ment reserves to existing Homeless Housing and Assistance Programprojects.

Legal basis for the rule: SSL §§ 20(3)(d), 34(3)(f) and art. 2-A, title1.

14. TDA-19-01-00009 Food Stamp Benefit Increase

Amended 18 NYCRR § 387.17(e) to clarify existing federal policyregarding time frames due to change in household circumstances.

Analysis of the need for the rule: This rule was developed to imple-ment existing federal requirements regarding time frames for provid-ing an increase in food stamp benefits due to a change in householdcircumstances.

15. TDA-19-01-00010 Eligibility for Public Assistance

Amended 18 NYCRR § 351.2(e), (f) and (j) to conform eligibilityrequirements to existing policies and remove outdated terminology.

Analysis of the need for the rule: This rule was developed to maketechnical changes to conform to existing policies and to remove refer-ences to outdated terminology.

Legal basis for the rule: SSL §§ 20(3)(d), 34(3)(f), 158 and 349.

16. TDA-21-01-00004 Temporary Assistance for Needy FamiliesProgram

Amended 18 NYCRR § 369.4(d)(7) to establish uniform statewidestandards.

Analysis of the need for the rule: These amendments were devel-oped to establish uniform statewide standards for determining hard-ship under the Temporary Assistance for Needy Families program forpurposes of exempting certain households from the 60-month timelimit for eligibility.

Legal basis for the rule: SSL §§ 20(3)(d), 34(3)(f), 350(2) and art.5, title 10.

17. TDA-24-01-00001 Recoupment and Advance Allowances

Amended 18 NYCRR §§ 352.11 and 352.31(d)(2) to permit recoup-ment of 10 percent of Public Assistance benefits for recipients ofSafety Net Assistance and Family Assistance.

Analysis of the need for the rule: This rule was developed to permitrecoupment of overpayments of public assistance benefits from futurebenefit payments made to public assistance recipients, achieve consis-tency in the recoupment policy between the family assistance andsafety net assistance programs, ease administrative burdens for localsocial services districts, and make conforming changes to advanceallowances.

Legal basis for the rule: SSL §§ 20(3)(d), 34(3)(f), 158(1) and355(3).

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

As the conclusion of the public comment period on of March 7,2016, OTDA had not received substantive comments regarding itsRule Review published in the New York State Register on January 6,2016.

OTDA is considering amendments that may impact the regulatorychanges that were adopted in 2013, 2011, 2006, and 2001. OTDA isconsidering the following regulatory amendments: revise regulationsconcerning the provision of child support services in intergovernmen-tal cases; update regulations to reflect the current policy that standardallowances for heating/air conditioning, utility and telephone costs areused in calculating shelter expenses for SNAP; amend regulations toupdate references from “food stamps” to “SNAP”; update regulationpertaining to the establishment and modification of child supportorders; and delete SNAP monthly reporting/retrospective budgetingreferences and add provisions for change reporting. At this time,OTDA has determined that no additional modifications need to bemade to its regulations adopted in 2013, 2011, 2006 and 2001, asamended.

OTDA has determined that in the ensuing calendar year, it shouldreview its regulations from Title 18 NYCRR adopted in 2014, 2012,2007, 2002 and 1997. These regulations from 2014, 2012, 2007, 2002,and 1997 listed below, are subject to the provisions of SAPA § 207.The regulations must be reviewed to determine whether they shouldbe retained as written or modified. OTDA invites written commentson the continuation or modification of these regulations in order to as-

sist in the required review. We will consider only those comments thatare received by March 7, 2017.

A. TDA-14-14-00014 State Supplement Program (SSP)*

Repeal of 18 NYCRR Part 398; addition of a new Part 398 and§ 358-5.12 to set forth the process for OTDA’s administration of theSSP and allow for telephone hearings to challenge SSP determinations.

Analysis of the need for the rule: These regulations provide theframework for OTDA’s administration of the SSP. The regulationsprovide the initial and continuing eligibility requirements for ad-ditional State payments. They set forth the reporting responsibilitiesof applicants and recipients of the SSP benefits and the ramifications ifthey fail to comply with the requirements. The regulations address theissuance of notices of action and provide for administrative fairhearings. They also address when OTDA will replace additional Statepayments for recipients and when underpayments of such benefits willbe corrected. Conversely, the regulations also provide when OTDAwill recover overpayments and equivalent benefits from recipients.The regulations address OTDA’s administrative responsibilitiesincluding confidentiality and document retention requirements. Lastly,the regulations allow telephone hearings for applicants and recipientsof additional State payments.

Legal basis for the rule: SSL §§ 20(3)(d), 22(3)(f), (4), (8), 207, 211and 212.

B. TDA-36-14-00014 Noncompliance with SNAP Work Require-ments; SNAP Conciliation Process*

Amended 18 NYCRR §§ 385.11 and 385.12 to render State regula-tions governing noncompliance and the conciliation process consis-tent with federal requirements.

Analysis of the need for the rule: These regulations were developedto make OTDA regulations pertaining to noncompliance and noticerequirements consistent with federal regulations and policy. Theregulations, in part, provide that SNAP applicants who fail to complywith work requirements without good cause are no longer subject to adurational sanction, and SNAP recipients will have the opportunity toavoid the imposition of a SNAP sanction by timely demonstratingcompliance with the work requirements of the employment and train-ing program as assigned by the SSD.

Legal basis for the rule: SSL § 95(1)(b); 7 USC §§ 2011, 2013 and2029.

C. TDA-38-14-00023 Standard Utility Allowances for SNAP*

Amended 18 NYCRR § 387.12 to update the standard utility allow-ances for SNAP to the federally approved levels as of October 1, 2014.

Analysis of the need for the rule: It was of great importance that thefederally mandated and approved standard utility allowances for theSNAP were applied to SNAP benefit calculations effective October 1,2014. If the standard utility allowances were not updated on October1, 2014, it could have resulted in thousands of SNAP dependenthouseholds receiving underpayments each month. Thus, the rule wasnecessary for the preservations of the public health and general welfareof SNAP dependent households.

Legal basis for the rule: SSL §§ 20(3)(d) and 95; 7 USC§ 2014(e)(6)(C); 7 CFR § 273.9(d)(6)(iii).

D. TDA-17-11-00016 Fair Hearing Process*

Amended 18 NYCRR § 385-5.5 to revise the time frames withinwhich an Appellant or an Appellant’s authorized representative mustrequest that a defaulted fair hearing be rescheduled.

Analysis of the need for the rule: The regulation removed the 15-day and 45-day time frames within which an Appellant or Appellant’sauthorized representative is to request that a fair hearing berescheduled.

Legal basis for the rule: SSL §§ 20(3)(d), 22(8), and 34(3)(f).

E. TDA-22-12-00022 SNAP*

Repealed 18 NYCRR § 388.8 and amended 18 NYCRR §§ 351.2,384.3 and 387.9 to eliminate finger imaging for purposes of SNAP, asOTDA had implemented a new Statewide Clearance process designed

to prevent the receipt of duplicate SNAP benefits, in order to reducefood insecurity and improve nutrition.

Analysis of the need for the rule: On April 16, 2012, OTDAimplemented a new Statewide clearance system for SNAP applicantsand recipients designed to prevent the receipt of duplicate SNAPbenefits. Cases are matched based on Social Security number, date ofbirth, name, and gender. The statewide clearance function enablesboth local social services district eligibility and case workers in all 58districts to be able to check for duplicate participation in real time.

Legal basis for the rule: SSL §§ 20(3)(d), 95 and 131(1); 7 USC§ 2020(a).

F. TDA-26-12-00017 Food Stamp Program Renamed to be SNAP*

Amended 18 NYCRR § 387.0 and § 387.1 to change the name ofthe Food Stamp Program to SNAP pursuant to Chapter 41 of the Lawsof 2012.

Analysis of the need for the rule: Chapter 41 of the Laws of 2012changed the name of the Food Stamp Program to SNAP. The ruleimplemented this Chapter Law and clarified that references in theregulations to the Food Stamp Program refer to SNAP.

Legal basis for the rule: SSL § 95; 7 USC Chapter 51, §§ 2011 and2013; Chapter 41 of the Laws of 2012.

G. TDA-42-12-00001 Standard Utility Allowance for SNAP*

Amended 18 NYCRR § 387.12 to update the standard utility allow-ances for SNAP to the federally approved levels as of October 1, 2012.

Analysis of the need for the rule: It was of great importance that thefederally approved standard utility allowances for SNAP were appliedto SNAP benefit calculations effective October 1, 2012. If the stan-dard utility allowances were not updated on October 1, 2012, it couldhave resulted in thousands of SNAP dependent households receivingoverpayments each month. Overpayments to food stamp dependenthouseholds could have subjected the households to a 10% recoupmentof their monthly food stamp benefits until the overpayment wasrecovered. Thus, the rule was necessary for the preservations of thepublic health and general welfare of SNAP dependent households.

Legal basis for the rule: Social Services Law, §§ 20(3)(d) and 95; 7USC § 2014(e)(6)(c); 7 CFR § 273.9(d)(6)(iii).

H. TDA-41-06-00030 Child Support Standards Chart*

Amended 18 NYCRR § 347.10(a)(9), (b) and (c) to update the childsupport calculations formula as reflected in the child support stan-dards chart.

Analysis of the need for the rule: The amendments were developedto update the self-support reserve, the poverty level and the child sup-port standards chart in order to correctly reflect child support obliga-tion amounts.

Legal basis for the rule: SSL sections 20(3)(d), 34(3)(f), 111-a and111-i.

I. TDA-42-06-00015 HEAP*

Amended 18 NYCRR § 358-2.2(a)(14) to update the adequate no-tice requirements for HEAP determinations.

Analysis of the need for the rule: The amendments were developedto update the adequate notice requirements to reflect the current policyand practice of providing budget information in HEAP notices that arebased upon budget computations.

Legal basis for the rule: SSL sections 20(3)(d), 34(3)(f), 97 and131(1).

J. TDA-37-06-00011 Congregate Care Level 3 Enhanced Residen-tial Care*

Amended 18 NYCRR § 352.8(b)(4)(i), (ii), (5), (c)(1)(ii) and (d);and added 18 NYCRR § 352.8(b)(4)(iii) to authorize the provision ofan allowance for temporary assistance recipients residing in congre-gate care level 3 facilities.

Analysis of the need for the rule: This rule was developed to autho-rize the provision of an allowance for temporary assistance recipientsresiding in congregate care level 3 facilities in order to implement thereclassification adult homes and enriched housing programs certifiedby the Department of Health from congregate care level 2 to level 3.

Legal basis for the rule: SSL sections 20(3)(d), 34(3)(f), 131(1),131-o and 209.

Rules Adopted in 2002

K. TDA-37-01-00006 Applications for Safety Net Assistance*

Amended 18 NYCRR § 350.4(a) and (b) to describe the circum-stances when a person who is no longer eligible for family assistancebecause of the durational limits must apply for safety net assistance inorder to be eligible for such assistance.

Analysis of the need for the rule: This rule was developed to de-scribe the circumstances when a person who is no longer eligible forfamily assistance because of the durational limits must apply for safetynet assistance in order to be eligible for such assistance.

Legal basis for the rule: SSL sections 20(3)(d), 34(3)(f), 131(1) and355(3).

L. TDA-02-02-00005 Removals

Amended 18 NYCRR § 352.7(o) to revive regulations concerningthe circumstances under which a social services district may remove apublic assistance recipient to another state or country.

Analysis of the need for the rule: This rule was developed to reviveregulations concerning the circumstances under which a social ser-vices district may remove a public assistance recipient to another stateor country.

Legal basis for the rule: SSL sections 20(3)(d), 34(3)(f) and 121.

M. TDA-01-02-00005 HEAP

Amended 18 NYCRR §§ 358-3.5(b)(4), 393.2(b), 393.3(a)-(b),393.4(c)-(d) and 393.5(a), (c) and (e) to conform the regulationsconcerning HEAP with current policies and procedures of OTDA.

Analysis of the need for the rule: This rule was developed toconform the regulations concerning HEAP with OTDA’s policies andprocedures.

Legal basis for the rule: SSL sections 20(3)(d), 34(3)(f) and 97.

N. TDA-29-02-00010 Refugee Cash Assistance and Medical Assis-tance Programs*

Amended 18 NYCRR Part 373 to implement federal regulationsconcerning operation of the refugee cash assistance program and therefugee medical assistance program.

Analysis of the need for the rule: This rule was developed to imple-ment federal regulations concerning operation of the refugee cash as-sistance program and the refugee medical assistance program.

Legal basis for the rule: SSL sections 20(3)(d), 34(3)(f), 358(3) and358(4).

O. TDA-01-02-00006 Domestic Violence Waivers*

Amended 18 NYCRR § 351.2 to implement federal requirementsconcerning the establishment of domestic violence service plans andreview of domestic violence waivers.

Analysis of the need for the rule: This rule was developed to imple-ment federal requirements concerning the establishment of domesticviolence service plans and review of domestic violence waivers.

Legal basis for the rule: SSL sections 20(3)(d), 34(3)(f), 131-u and349-a.

P. TDA-50-01-00004 Desk Reviews of Child Support Payments*

Added 18 NYCRR § 347.25 to publish regulations on the conductof desk reviews. The desk reviews involve an examination of publicassistance and child support enforcement case records that will resultin a written determination to the requestor of how the collections weredistributed.

Analysis of the need for the rule: This rule was developed to formal-ize the procedures for the conduct of desk reviews upon the request ofcurrent and former recipients of public assistance who wish to obtainan accounting of the distribution of child support collected for monthsduring which they received assistance payments and who believe thatsuch distribution was incorrect.

Legal basis for the rule: SSL sections 20(3)(d), 34(3)(f) and 111-a.

Rules Adopted in 1997

Q. SCS-07-96-00005 Shelters for Adults

Amended 18 NYCRR Part 491 to ease the burden on social services

districts and other operators of shelters for adults in relation to theoperation of such shelters.

Analysis of the need for the rule: The regulatory amendments,among other things, expanded the options for granting waivers of non-statutory requirements of 18 NYCRR Parts 485, 486 and 491 relatingto shelters for adults; increased the time period during which a shelterfor adults could be operated above the certified capacity; and repealedenvironmental standards that were duplicative of local codes or otherState requirements.

Legal basis for the rule: SSL §§ 20(3)(d), 34(3)(f), 460 and 461.

R. SCS-13-96-00003 Personal Interviews for Applicants

Amended 18 NYCRR § 350.3(c) to require that an interview withan applicant for public assistance be scheduled within seven ratherthan five working days after an application is submitted.

Analysis of the need for the rule: The regulatory amendment as-sisted social services districts in the effective and efficient administra-tion of public assistance programs by providing additional time fordistricts to schedule interviews with public assistance applicants.

Legal basis for the rule: SSL §§ 17, 20(3)(d), 34(3)(f), 158(a) and355(3).

S. SCS-25-96-00016 Temporary Housing Assistance for HomelessFamilies

Amended 18 NYCRR Parts 900 and 1000 to consolidate and modifyexisting requirements for family shelters and shelters for pregnantwomen.

Analysis of the need for the rule: The regulatory amendmentprovided administrative flexibility to, and reduced the administrativeburden on, social services districts and homeless shelter providers byconsolidating and modifying existing requirements for family sheltersand shelters for pregnant women.

Legal basis for the rule: SSL §§ 20(3)(d), 34(3)(f) and 153, Chapter562 of the Laws of 1953, and Chapter 53 of the Laws of 1992.

T. SCS-31-96-00001 Copies of Documents for Fair Hearings

Amended 18 NYCRR §§ 358-3.7 and 358-4.2 to set forth standardsfor making documents available to appellants in fair hearings.

Analysis of the need for the rule: The regulatory amendmentsrelieved social services districts from costly mandates by conformingOffice regulations to federal requirements regarding the provision ofcopies of documents from the case file by social services districts toappellants at fair hearings.

Legal basis for the rule: SSL §§ 20(3)(d), 34(3)(f) and 22(8).

U. SCS-41-96-00017 Food Stamp Program

Amended 18 NYCRR §§ 359.9, 387.1, 387.2, 387.9, 387.10,387.11, 387.12, 387.14 and 387.19 to implement the provisions of thePersonal Responsibility and Work Opportunity Reconciliation Act of1996 (Pub. L. 104-193) relating to the food stamp program.

Analysis of the need for the rule: The regulatory amendments weredeveloped to implement the provisions of the Personal Responsibilityand Work Opportunity Reconciliation Act of 1996 (P.L. 104-193) re-lating to the food stamp program.

V. SCS-11-97-00019 1996 Self-Support Reserve and Child SupportStandards Chart

Amended 18 NYCRR § 347.10 to reflect the 1996 self-supportreserve and child support standard chart.

Analysis of the need for the rule: The regulatory amendment ad-vised the social services districts and the family courts of the correctamount of the 1996 self-support reserve when calculating the basicchild support obligation for parties in child support proceedings. Thiswas consistent with federal requirements that States implement childsupport standards that were used in the calculation of child supportobligations and that the standards took into account the non-custodialparent’s income.

Legal basis for the rule: SSL §§ 20(3)(d), 34(3)(f), 111-a and 111-i.

* The asterisks identify rules for which a regulatory flexibility anal-ysis, rural area flexibility analysis, or job impact statement wasprepared.

The rule review may be accessed on OTDA’s website at http://otda.ny.gov/legal/rule-review-2016.pdf.

Any comments should be submitted to: Joseph C. Mazza, Office ofTemporary and Disability Assistance, 40 N. Pearl St., 16th Fl., Albany,NY 12243, (518) 474-0574, e-mail: Joseph.Mazza@otda.ny.gov.

ADVERTISEMENTS FORBIDDERS/CONTRACTORS

SEALED BIDS

DEMOLISHBUILDINGS

Griffin LaboratorySlingerlands, Albany County

Sealed bids for Project No. M3076-C, for Construction Work,Demolish Buildings 6, 7, 25, Griffin Laboratory, Route 155, 5668State Farm Road, Slingerlands (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 theDepartment of Health, until 2:00 p.m. on Wednesday, January 11,2017, when they will be publicly opened and read. Each bid must beprepared and submitted in accordance with the Instructions to Biddersand must be accompanied by a certified check, bank check, or bidbond in the amount of $24,100 for C.

All successful bidders on a multiple trade project or the successfulbidder on a single trade project will be required to furnish a Perfor-mance Bond and a Labor and Material Bond in the statutory form ofpublic bonds required by Sections 136 and 137 of the State FinanceLaw, each for 100% of the amount of the Contract estimated to be be-tween $250,000 and $500,000 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 notice of intent tosolicit offers through final award and approval of the ProcurementContract by OGS D&C and Office of the State Comptroller (“restrictedperiod”) to other than designated staff unless it is a contact that isincluded among certain statutory exceptions set forth in State FinanceLaw § 139-j(3)(a). Designated staff are Frank Peris and Carl Ruppertin 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 new Legislative and State Finance Law require-ments and will be expected to affirm that they understand and agree tocomply on the bid form. Further information about these requirementscan be found within the project manual or at: http://ogs.ny.gov/aboutogs/regulations/defaultAdvisoryCouncil.asp.

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 and

completion of the Work must be within 100 days after the Agreementis approved by the Comptroller. Due to the tightness of the construc-tion schedule, bidders should consider the necessity for an increasedwork 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 December 29, 2016 at GriffinLaboratory, Route 155, 5668 State Farm Road, Slingerlands, NY. Pro-spective bidders are urged to visit the site at this time. Prospective bid-ders or their representatives attending the pre-bid site visit will not beadmitted on facility grounds without proper photo identification. Notethat parking restrictions and security provisions will apply and allvehicles will be subject to search.

For assistance pertaining to the site visit only, please phone GregHaze (518) 485-8755.

It is the policy of the State and the Office of General Services toencourage meaningful minority- and women-owned business enter-prise participation in this project by contractors, subcontractors andsuppliers under the Contract, and all bidders are expected to cooperatein implementing this policy. OGS hereby establishes an overall goalof 30% for MWBE participation, 15% for Minority-Owned BusinessEnterprises (“MBE”) participation and 15% for Women-Owned Busi-ness Enterprises (“WBE”) participation (based on the current avail-ability of qualified MBEs and WBEs). The total contract goal can beobtained by utilizing any combination of MBE and /or WBE participa-tion for subcontracting and supplies acquired 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 at the OGS website for ordering and paymentinstructions: http://www.ogs.ny.gov/bu/dc/esb/acquirebid.asp.

For questions about purchase of bid documents, please send ane-mail to D&C.Plans@ogs.ny.gov, or call 1-877-647-7526.

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

REPLACEDOMESTIC HOT WATER PIPING

Franklin Correctional FacilityMalone, Franklin County

Sealed bids for Project Nos. 45211-C, 45211-P, comprising separatecontracts for Construction Work and Plumbing Work, Replace Do-mestic Hot Water Piping, Buildings 1, 3, 4, 5, 6, 7, 11, 12, 13, 14,16,18, 19, Franklin Correctional Facility, 62 Bare Hill Road, Malone(Franklin County), NY, will be received by the Office of General Ser-vices (OGS), Design & Construction Group (D&C), Division ofContract Management, 35th Fl., Corning Tower, Empire State Plaza,

Albany, NY 12242, on behalf of the Department of Corrections andCommunity Supervision, until 2:00 p.m. on Wednesday, January 18,2017, when they will be publicly opened and read. Each bid must beprepared and submitted in accordance with the Instructions to Biddersand must be accompanied by a certified check, bank check, or bidbond in the amount of $22,600 for C and $25,400 for P.

All successful bidders on a multiple trade project or the successfulbidder on a single trade project will be required to furnish a Perfor-mance Bond and a Labor and Material Bond in the statutory form ofpublic bonds required by Sections 136 and 137 of the State FinanceLaw, each for 100% of the amount of the Contract estimated to be be-tween $250,000 and $500,000 for C and between $500,000 and$1,000,000 for P.

The substantial completion date for this project is 520 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 10:00 a.m. on January 5, 2017 at Malone FieldOffice, 30 Bare Hill Road, Malone, NY. Prospective bidders are urgedto visit the site at this time. Prospective bidders or their representa-tives attending the pre-bid site visit will not be admitted on facilitygrounds without proper photo identification. Note that parking restric-tions and security provisions will apply and all vehicles will be subjectto search.

Phone the office of Garrick Monroe, (518) 483-8170 Ext. 103 aminimum of 72 hours in advance of the date to provide the names ofthose who will attend the pre-bid site visit.

It is the policy of the State and the Office of General Services toencourage meaningful minority- and women-owned business enter-prise participation in this project by contractors, subcontractors andsuppliers under the Contract, and all bidders are expected to cooperatein implementing this policy. OGS hereby establishes an overall goalof 30% for MWBE participation, 15% for Minority-Owned BusinessEnterprises (“MBE”) participation and 15% for Women-Owned Busi-ness Enterprises (“WBE”) participation (based on the current avail-ability of qualified MBEs and WBEs). The total contract goal can beobtained by utilizing any combination of MBE and /or WBE participa-tion for subcontracting and supplies acquired under this Contract.

REPLACESALT STORAGE BUILDING

Department of Transportation Region 8New City, Rockland County

Sealed bids for Project Nos. 45481-C, 45481-E, comprising sepa-rate contracts for Construction Work and Electrical Work, ReplaceSalt Storage Building, DOT Region 8, 275 Ridge Road, New City(Rockland County), NY, will be received by the Office of General Ser-vices (OGS), Design & Construction Group (D&C), Division ofContract Management, 35th Fl., Corning Tower, Empire State Plaza,Albany, NY 12242, on behalf of the Department of Transportation,until 2:00 p.m. on Wednesday, January 18. 2017, when they will bepublicly opened and read. Each bid must be prepared and submitted inaccordance with the Instructions to Bidders and must be accompaniedby a certified check, bank check, or bid bond in the amount of $24,200for C and $4,200 for E.

All successful bidders on a multiple trade project or the successfulbidder on a single trade project will be required to furnish a Perfor-mance Bond and a Labor and Material Bond in the statutory form ofpublic bonds required by Sections 136 and 137 of the State FinanceLaw, each for 100% of the amount of the Contract estimated to be be-tween $250,000 and $500,000 for C and between $25,000 and $50,000for E.

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 andcompletion of the Work must be completed by October 1, 2017, afterthe Agreement is approved by the Comptroller. Due to the tightness ofthe construction schedule, bidders should consider the necessity for anincreased work force and shift operations.

NYS Register/January 4, 2017Advertisements for Bidders/Contractors

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 January 5, 2017 at DOT Region8, Rockland County, 275 Ridge Road, New City, NY. Prospective bid-ders are urged to visit the site at this time. Prospective bidders or theirrepresentatives attending the pre-bid site visit will not be admitted onfacility grounds without proper photo identification. Note that parkingrestrictions and security provisions will apply and all vehicles will besubject to search.

For assistance pertaining to the site visit only, please phone RobinGriffiths (845) 365-0730 Ext. 101.

It is the policy of the State and the Office of General Services toencourage meaningful minority- and women-owned business enter-prise participation in this project by contractors, subcontractors andsuppliers under the Contract, and all bidders are expected to cooperatein implementing this policy. OGS hereby establishes an overall goalof 30% for MWBE participation, 15% for Minority-Owned BusinessEnterprises (“MBE”) participation and 15% for Women-Owned Busi-ness Enterprises (“WBE”) participation (based on the current avail-ability of qualified MBEs and WBEs) for Construction Work. Thetotal contract goal can be obtained by utilizing any combination ofMBE and /or WBE participation for subcontracting and suppliesacquired under this Contract.

NYS Register/January 4, 2017 Advertisements for Bidders/Contractors

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 State

Notice of Review of Request forBrownfield Opportunity AreaConformance Determination

Project: 291 Homer Street SiteLocation: Northwest Quadrant Brownfield Opportunity Area

City of Olean, Cattaraugus County

In accordance with General Municipal Law, Article 18 - C, Section970-r, the Secretary of State designated the Northwest QuadrantBrownfield Opportunity Area, in the City of Olean, on December 4,2015. The designation of the Northwest Quadrant Brownfield Op-portunity Area was supported by a Nomination or a comprehensiveplanning tool that identifies strategies to revitalize the area which isaffected by one or more known or suspected brownfield sites.

Pursuant to New York State Tax Law, Article 1, Section 21, theeligible taxpayer(s) of a project site located in a designated BrownfieldOpportunity Area may apply for an increase in the allowable tangibleproperty tax credit component of the brownfield redevelopment taxcredit if the Secretary of State determines that the project conforms tothe goals and priorities established in the Nomination for a designatedBrownfield Opportunity Area.

On December 13, 2016, Rock One Development submitted arequest for the Secretary of State to determine whether the 291 HomerStreet Sites project, which will be located within the designated North-west Quadrant Brownfield Opportunity Area, conforms to the goalsand priorities identified in the Nomination that was prepared for thedesignated Northwest Quadrant Brownfield Opportunity Area.

The public is permitted and encouraged to review and provide com-ments on the request for conformance. For this purpose, the full ap-plication for a conformance determination is available online at: http://www.dos.ny.gov/opd/programs/pdfs/BOA/BOA1602OleanAppFull.pdf

Comments must be submitted no later than January 16, 2017, either

by mail to: Christopher Bauer, Department of State, Office of Plan-ning and Development, 65 Court St., Suite 208, Buffalo, NY 14202,or by email to: chris.bauer@dos.ny.gov

PUBLIC NOTICESusquehanna River Basin Commission

Actions Taken at December 8, 2016, MeetingSUMMARY: As part of its regular business meeting held on

December 8, 2016, in Annapolis, Maryland, the Commission took thefollowing actions: 1) approved the applications of certain water re-sources projects; 2) accepted settlements in lieu of penalties fromPanda Hummel Station LLC, Panda Liberty LLC, Panda Patriot LLC,and Montage Mountain Resorts, LP; and 3) took additional actions, asset forth in the Supplementary Information below.

DATES: The business meeting was held on December 8, 2016.Comments on the proposed consumptive use mitigation policy may besubmitted to the Commission on or before January 30, 2017.

ADDRESSES: Comments may be mailed to: Jason E. Oyler, Esq.,General Counsel, Susquehanna River Basin Commission, 4423 N.Front St., Harrisburg, PA 17110-1788, or submitted electronically athttp://mdw.srbc.net/ProposedRulemakingSeptember2016/.

FOR FURTHER INFORMATION CONTACT: Jason E. Oyler,General Counsel, telephone: (717) 238-0423, ext. 1312; fax: (717)238-2436; e-mail: joyler@srbc.net. Regular mail inquiries may besent to the above address. See also Commission website atwww.srbc.net.

SUPPLEMENTARY INFORMATION: In addition to the actionstaken on projects identified in the summary above and the listingsbelow, the following items were also presented or acted upon at thebusiness meeting: 1) adoption of a resolution urging President-electTrump and the United States Congress to provide full funding for theGroundwater and Streamflow Information Program, thereby support-ing the Susquehanna Flood Forecast & Warning System; 2) approval/ratification of a contract and two agreements; 3) approval to extendthe comment deadline for the Consumptive Use Mitigation Policy toJanuary 30, 2017; 4) a report on delegated settlements with the fol-lowing project sponsors, pursuant to SRBC Resolution 2014-15:Lewistown Borough Municipal Authority, in the amount of $5,250;Columbia Water Company, in the amount of $7,500; Eagle Lake Com-munity Association, in the amount of $7,500; and Fox Hills CountryClub, in the amount of $5,000; and 5) approval to extend the term ofan emergency certificate with Hazleton City Authority to December 8,2017.

Compliance Matters:

The Commission approved settlements in lieu of civil penalties forthe following projects:

1. Panda Hummel Station LLC, Hummel Station, Shamokin DamBorough and Monroe Township, Snyder County, Pa. - $22,750.

2. Panda Liberty LLC, Liberty Station, Asylum Township, BradfordCounty, Pa. - $30,000.

3. Panda Patriot LLC, Clinton Township, Lycoming County, Pa. -$44,250.

4. Montage Mountain Resorts, LP, City of Scranton, LackawannaCounty, Pa. - $72,000.

Project Applications Approved:

The Commission approved the following project applications:

1. Project Sponsor and Facility: Cabot Oil & Gas Corporation(Bowman Creek), Eaton Township, Wyoming County, Pa. Renewal ofsurface water withdrawal of up to 0.290 mgd (peak day) (Docket No.20121201).

2. Project Sponsor and Facility: Cabot Oil & Gas Corporation(Susquehanna River), Susquehanna Depot Borough, SusquehannaCounty, Pa. Renewal with modification of surface water withdrawalof up to 1.500 mgd (peak day) (Docket No. 20120903).

3. Project Sponsor and Facility: Chester Water Authority, East andWest Nottingham Townships, Chester County, Pa. Interconnectionwith the Town of Rising Sun of up to 1.800 mgd (peak day).

4. Project Sponsor and Facility: Conyngham Borough Authority,Sugarloaf Township, Luzerne County, Pa. Groundwater withdrawal ofup to 0.120 mgd (30-day average) from Well 6.

5. Project Sponsor: Exelon Generation Company, LLC. ProjectFacility: Muddy Run Pumped Storage Project, Drumore and MarticTownships, Lancaster County, Pa. Authorization for continued opera-tion under Section 801.12 of an existing hydroelectric facility.

6. Project Sponsor: Future Power PA, LLC. Project Facility: GoodSpring NGCC, Porter Township, Schuylkill County, Pa. Consumptivewater use of up to 0.063 mgd (peak day).

7. Project Sponsor: Future Power PA, LLC. Project Facility: GoodSpring NGCC, Porter Township, Schuylkill County, Pa. Groundwaterwithdrawal of up to 0.252 mgd (30-day average) from Well RW-1.

8. Project Sponsor: Future Power PA, LLC. Project Facility: GoodSpring NGCC, Porter Township, Schuylkill County, Pa. Groundwaterwithdrawal of up to 0.252 mgd (30-day average) from Well RW-2.

9. Project Sponsor and Facility: Gilberton Power Company, WestMahanoy Township, Schuylkill County, Pa. Renewal of consumptivewater use of up to 1.510 mgd (peak day) (Docket No. 19851202).

10. Project Sponsor and Facility: Gilberton Power Company, WestMahanoy Township, Schuylkill County, Pa. Groundwater withdrawalof up to 1.870 mgd (30-day average) from the Gilberton Mine Pool.

11. Project Sponsor and Facility: Keystone Clearwater Solutions,LLC (Moshannon Creek), Snow Shoe Township, Centre County, Pa.Renewal of surface water withdrawal of up to 0.999 mgd (peak day)(Docket No. 20120910).

12. Project Sponsor: Lycoming County Water and Sewer Authority.Project Facility: Halls Station System, Muncy Township, LycomingCounty, Pa. Groundwater withdrawal of up to 0.158 mgd (30-day aver-age) from Well PW-1.

13. Project Sponsor and Facility: Moxie Freedom LLC, SalemTownship, Luzerne County, Pa. Minor modification to add a newsource (Production Well 2) to existing consumptive use approval (noincrease requested in consumptive use quantity) (Docket No.20150907).

14. Project Sponsor and Facility: Moxie Freedom LLC, SalemTownship, Luzerne County, Pa. Groundwater withdrawal of up to0.062 mgd (30-day average) from Production Well 2.

15. Project Sponsor and Facility: Town of Nichols, Tioga County,N.Y. Groundwater withdrawal of up to 0.250 mgd (30-day average)from Well PW-1.

16. Project Sponsor and Facility: Town of Nichols, Tioga County,N.Y. Groundwater withdrawal of up to 0.250 mgd (30-day average)from Well PW-2.

17. Project Sponsor and Facility: Town of Rising Sun, Rising SunDistrict, Cecil County, Md. Interconnection with the Chester WaterAuthority of up to 1.800 mgd (peak day).

18. Project Sponsor and Facility: Sunoco Pipeline, L.P. (Conodogui-net Creek), North Middleton Township, Cumberland County, Pa.Surface water withdrawal of up to 2.880 mgd (peak day).

19. Project Sponsor and Facility: Sunoco Pipeline, L.P. (FrankstownBranch Juniata River), Frankstown Township, Blair County, Pa.Surface water withdrawal of up to 2.880 mgd (peak day).

20. Project Sponsor and Facility: Sunoco Pipeline, L.P. (Susque-hanna River), Highspire Borough and Lower Swatara Township,

Dauphin County, Pa. Surface water withdrawal of up to 2.880 mgd(peak day).

21. Project Sponsor and Facility: Sunoco Pipeline, L.P. (SwataraCreek), Londonderry Township, Dauphin County, Pa. Surface waterwithdrawal of up to 2.880 mgd (peak day).

22. Project Sponsor and Facility: Sunoco Pipeline, L.P. (TuscaroraCreek), Lack Township, Juniata County, Pa. Surface water withdrawalof up to 2.880 mgd (peak day).

23. Project Sponsor and Facility: SWEPI LP (Cowanesque River),Deerfield Township, Tioga County, Pa. Surface water withdrawal ofup to 2.000 mgd (peak day).

24. Project Sponsor and Facility: Transcontinental Gas Pipe LineCompany, LLC. Project: Atlantic Sunrise (Fishing Creek), HemlockTownship, Columbia County, Pa. Surface water withdrawal of up to2.880 mgd (peak day).

25. Project Sponsor and Facility: Transcontinental Gas Pipe LineCompany, LLC. Project: Atlantic Sunrise (Fishing Creek), HemlockTownship, Columbia County, Pa. Consumptive water use of up to0.100 mgd (peak day).

Project Applications Approved Involving a Diversion:

The Commission approved the following project applicationsinvolving a diversion:

1. Project Sponsor and Facility: Gilberton Power Company, WestMahanoy Township, Schuylkill County, Pa. Into-basin diversion fromthe Delaware River Basin of up to 0.099 mgd (peak day) from WellsAN-P03 and AN-P04.

2. Project Sponsor and Facility: JKLM Energy, LLC, RouletteTownship, Potter County, Pa. Into-basin diversion from the Ohio RiverBasin of up to 1.100 mgd (peak day) from the Goodwin and Son’sSand and Gravel Quarry.

AUTHORITY: Pub.L. 91-575, 84 Stat. 1509 et seq., 18 CFR Parts806, 807, and 808.

Dated: December 20, 2016.

Stephanie L. Richardson,

Secretary to the Commission.

NYS Register/January 4, 2017Miscellaneous Notices/Hearings

OPINIONS OF THEATTORNEY GENERAL

The full text of an informal or formal opinion of the Attorney Gen-eral may be obtained by writing to the Office of Legal Records,Department of Law, State Capitol, Albany, NY 12224. Please includethe identification number, the date, the section(s) of law consideredand the subject of the opinion.

INFORMAL

OPINIONS

No. 2016-3Agriculture & Markets Law §§ 109(1)(a), 109(1)(c), 109(1)(e),109(1)(f), 111(1), 114, 117(1)(a), 117(4), 117(6); Session Laws, L.1978, CH. 220 § 2

A consistently- and accurately-maintained list of dogs licensed by atown may constitute a valid component of a system whereby ownersredeem their seized dogs by producing proof of the identity of theowner and, if necessary, of the dog. December 12, 2016.

No. 2016-4County Law §§ 193, 400(1), 400(2), 400(3-a), 400(3-b), 400(4-a),400(4-b), 671(1), 671(1)(b), 673, 673(2), 674(2), 674(3)(a), 674(4),677(4)

The positions of elected county coroner and chief investigator forthe district attorney are not compatible. December 12, 2016.

No. 2016-5Town Law §§ 271, 271(1), 271(4), 271(5), 271(9); Municipal HomeRule Law §§ 10, 10(1), 10(1)(ii)(a), 10(1)(ii)(d)(3), 22(1)

A town can decrease the length of the terms of the members of itsplanning board by local law. December 13, 2016.

COURTNOTICES

AMENDMENT OF RULEUniform Rules for the Supreme and County Courts

Pursuant to the authority vested in me, and with the advice andconsent of the Administrative Board of the Courts, I hereby amend,effective December 20, 2016, section 202.12-a of the Uniform Rulesfor the Supreme Court and the County Court, addressing residentialmortgage foreclosure actions, to read as follows:

========================§ 202.12-a Residential Mortgage Foreclosure Actions; Settlement

Conference(a) Applicability. This section shall be applicable to residential

mortgage foreclosure actions involving a home loan secured by amortgage on a one- to four-family dwelling or condominium, in whichthe defendant is a resident of the property subject to foreclosure.

(b) Request for judicial intervention.(1) At the time that proof of service of the summons and com-

plaint is filed with the county clerk, plaintiff shall file with the countyclerk a specialized request for judicial intervention (RJI), on a formprescribed by the Chief Administrator of the Courts, applicable to res-idential mortgage foreclosure actions covered by this section. The RJIshall contain the name, address, telephone number and e-mail address,if available, of the defendant in the action, and the name of themortgage servicer, and shall request that a settlement conference bescheduled. If the mortgage servicer involved in the case and listed onthe RJI is changed at any time following the filing of the RJI, plaintiffshall file with the court and serve on all the parties a notice settingforth the name and contact information of the new or substitutedmortgage servicer.

(2) Upon the filing of the RJI, the court shall send either a copyof the RJI, or the defendant’s name, address and telephone number (ifavailable), to a housing counseling agency or agencies funded [on alist designated] by the New York State Office of the Attorney General’sHomeowner Protection Program [Division of Housing and Com-munity Renewal] for the judicial district in which the defendantresides, for the purpose of that agency making the homeowner awareof free [housing counseling and] foreclosure prevention services andoptions available to the parties.

(3) In such county or counties as the Chief Administrator shalldirect, in the event that a plaintiff fails to file proof of service of thesummons and complaint in a residential mortgage foreclosure actionwith the county clerk within one hundred twenty days after the com-mencement of the action, or fails to file the RJI at the time of the filingof proof of service, the county clerk shall provide the Chief Adminis-trator [Administrative Judge] with the case name, index number, prop-erty address, and contact information of parties and counsel in theaction. The Chief Administrator may take such further action as shedeems fit with respect to such case or cases, including but not limitedto (a) placing a case on a delinquency calendar; (b) providing case in-formation to a housing counseling agency or agencies; and (c) order-ing a status conference.

(c) Settlement conference.(1) The court shall promptly send to the parties a Notice schedul-

ing a settlement conference to be held within 60 days after the date ofthe filing of the RJI. The Notice shall be mailed to all parties or theirattorneys, which must include mailing to the address of the propertysubject to the mortgage. The Notice shall be on a form prescribed by

the Chief Administrator, and it shall set forth the purpose of the confer-ence, the requirements of CPLR Rule 3408, instructions to the partieson how to prepare for the conference, and what information and docu-ments to bring to the conference as specified in CPLR Rule 3408(e).The Notice shall further provide that the defendant contact the courtby telephone, no later than seven days before the conference isscheduled, to advise whether the defendant will be able to attend thescheduled conference. The court shall also provide in such mailing acopy of the current Consumer Bill of Rights published by the NewYork State Department of Financial Services pursuant to RPAPL§ 1303-3-a.

(2) The conference shall be held to conduct [include] settlementdiscussions pertaining to the relative rights and obligations of the par-ties under the mortgage loan documents, including determiningwhether the parties can reach a mutually agreeable resolution to helpthe defendant avoid losing his or her home, and evaluating thepotential for a resolution in which payment schedules or amounts maybe modified or other workout options may be agreed to, including butnot limited to loan modifications, “short sales” and “deeds in lieu offoreclosure” or any other loss mitigation options. The court may alsouse the conference for whatever other purposes the court deemsappropriate. Where appropriate, the court may permit [a] representa-tives of [the plaintiff] either party to attend the conference telephoni-cally or by video-conference. Any representative participating in theconference, whether in person, telephonically or by video conference,shall be fully authorized to dispose of the case, as required by CPLRRule 3408(c).

(3) If the parties appear by counsel, such counsel must be fullyauthorized to dispose of the case. If the defendant appears at theconference without counsel, the court shall treat the defendant as hav-ing made a motion to proceed as a poor person and shall determinewhether permission to so appear shall be granted pursuant to the stan-dards set forth in CPLR § 1101. If the court appoints defendant counselpursuant to CPLR § 1102(a), it shall adjourn the conference to a datecertain for appearance of counsel and settlement discussions, andotherwise shall proceed with the conference.

(4) The parties shall engage in settlement discussions in goodfaith to reach a mutually agreeable resolution, including a loanmodification if possible, consistent with CPLR Rule 3408(f). The courtshall ensure that each party fulfills its obligation to negotiate in goodfaith and shall see that conferences not be unduly delayed or subject towillful dilatory tactics so that the rights of both parties may beadjudicated in a timely manner. The court shall ensure that proceduresare in place to enforce the duty to negotiate in good faith, as defined inCPLR Rule 3408(f), consistent with the mandates of CPLR Rule3408(i), (j) and (k).

(5) Documents.(i) Plaintiff and Defendant shall [should] bring all documents

enumerated in CPLR Rule 3408(e) to each conference held pursuantto CPLR Rule 3408, in addition to any other documents required bythe judge, referee or judicial hearing officer presiding over the case.[the following documents to the conference: current payoff and rein-statement documents; mortgage and note; payment history; workoutforms or packet; copies of any recent paperwork regarding reinstate-ment, settlement offers or loan modification proposals; and an itemiza-tion of the amounts needed to cure and pay off the loan. The ChiefAdministrator may require that the parties bring additional documentsto the settlement conference.]

[(ii) Defendants should bring the following documents to theconference: current income documentation, including pay stubs andbenefits information; list of monthly expenses; recent mortgage state-ments, property tax statements, and income tax returns; loan resolu-tion proposals; and any information from previous workout attempts.]

(6) At the first conference held pursuant to CPLR Rule 3408, thecourt shall determine if the defendant has answered the complaint andshall provide defendants who have not answered information asmandated by CPLR Rule 3408(1). The court shall ensure that proce-dures are in place to note the vacatur of any defaults upon service andfiling of answers pursuant to CPLR Rule 3408(m). The court shall[may] schedule such other conferences as may be necessary to helpresolve the action.

(7) [Motions]All motions, other than motions addressing compli-ance with CPLR Rule 3408 or this rule, shall be held in abeyancewhile settlement conferences are being held pursuant to this section. Aparty may not charge, impose or otherwise require payment from theother party for any cost, including but not limited to attorneys’ fees,for appearance at or participation in the settlement conference.

(8) Plaintiff must file a notice of discontinuance or stipulation ofdiscontinuance and vacatur of the notice of pendency [lis pendens]within 90 [150] days after any settlement agreement or loan modifica-tion agreement is fully executed.

(d) Training. The Chief Administrator shall establish requirementsfor education and training of all judges and nonjudicial personnel as-signed to conduct foreclosure conferences pursuant to this section.

(e) Reports. The Chief Administrator shall submit a report no laterthan the first day of November of each year to the Governor, and tothe legislative leaders set forth in section 10-a(2) of chapter 507 of theLaws of 2009, on the adequacy and effectiveness of the settlementconferences, which shall include number of adjournments, defaults,discontinuances, dismissals, conferences held and the number ofdefendants appearing with and without counsel.

(f) The Chief Administrator of the Courts may continue to requirecounsel to file affidavits or affirmations confirming the scope of in-quiry and the accuracy of papers filed in residential mortgage foreclo-sure actions addressing both owner-occupied and (notwithstandingsection [a] supra) non-owner-occupied residential properties.

AMENDMENT OF RULEDepartments of the Appellate Division of the Supreme Court

The Departments of the Appellate Division of the Supreme Court,pursuant to the authority vested in them, do hereby amend, effectiveJanuary 1, 2017, Rules 1.0(x), 1.6(c), 1.18, 4.4(b) and 7.3 of Part 1200of Title 22 of the Official Compilation of Codes, Rules and Regula-tions of the State of New York, entitled “Rules of ProfessionalConduct,” as follows:

==============§ 1200.0 Rules of Professional ConductRule 1.0. Terminology* * *(x) ‘‘Writing’’ or ‘‘written’’ denotes a tangible or electronic record

of a communication or representation, including handwriting, type-writing, printing, photocopying, photography, audio or video record-ing, [and] e-mail or other electronic communication or any other formof recorded communication or recorded representation. A ‘‘signed’’writing includes an electric sound, symbol or process attached to orlogically associated with a writing and executed or adopted by aperson with the intent to sign the writing.

* * ** * *Rule 1. 6. Confidentiality of Information* * *(c) A lawyer shall [exercise reasonable care to prevent the lawyer’s

employees, associates, and others whose services are utilized by thelawyer from disclosing or using confidential information of a client,except that a lawyer may reveal the information permitted to bedisclosed by paragraph (b) through an employee.] make reasonable ef-

forts to prevent the inadvertent or unauthorized disclosure or use of,or unauthorized access to, information protected by Rules 1.6, 1.9(c),or 1.18(b).

Rule 1.18. Duties to Prospective Clients

(a) [A] Except as provided in Rule 1.18(e), a person who [discusses]consults with a lawyer about the possibility of forming a client-lawyerrelationship with respect to a matter is a “prospective client”.

(b) Even when no client-lawyer relationship ensues, a lawyer whohas [had discussions with] learned information from a prospective cli-ent shall not use or reveal that information [learned in the consulta-tion], except as Rule 1.9 would permit with respect to information of aformer client.

* * *(e) A person [who] is not a prospective client within the meaning of

paragraph (a) if the person:(1) communicates information unilaterally to a lawyer, without

any reasonable expectation that the lawyer is willing to discuss thepossibility of forming a client-lawyer relationship; or

(2) communicates with a lawyer for the purpose of disqualifyingthe lawyer from handling a materially adverse representation on thesame or a substantially related matter[, is not a prospective clientwithin the meaning of paragraph (a)].

* * ** * *Rule 4.4 Respect for Rights of Third Persons* * *(b) A lawyer who receives a document, electronically stored infor-

mation, or other writing relating to the representation of the lawyer’sclient and knows or reasonably should know that [the document] itwas inadvertently sent shall promptly notify the sender.

* * ** * *Rule 7.3 Solicitation and Recommendation of Professional Employ-

ment* * *(b) For purposes of this Rule, ‘‘solicitation’’ means any advertise-

ment initiated by or on behalf of a lawyer or law firm that is directedto, or targeted at, a specific recipient or group of recipients, or theirfamily members or legal representatives, the primary purpose of whichis the retention of the lawyer or law firm, and a significant motive forwhich is pecuniary gain. It does not include a proposal or other writ-ing prepared and delivered in response to a specific request [of a pro-spective client].

(c) A solicitation directed to a recipient in this State shall be subjectto the following provisions:

* * *(5) The provisions of this paragraph shall not apply to...

(ii) a web site maintained by the lawyer or law firm, unless theweb site is designed for and directed to or targeted at [a prospectiveclient] persons affected by an identifiable actual event or occurrenceor by an identifiable prospective defendant; or

NYS Register/January 4, 2017Court Notices

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