New York State Department of State - NY.gov

September 6, 2017 DEPARTMENT OF STATEVol. XXXIX Division of Administrative RulesIssue 36

NEW YORK STATE

REGISTER

INSIDE THIS ISSUE:

D Duty to Report Incidents Involving Vulnerable Persons to the Justice Center’s VulnerablePersons’ Central Register

D Excelsior ScholarshipD Enhanced Tuition Awards Program

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For notices published in this issue:

– the 45-day period expires on October 21, 2017– the 30-day period expires on October 6, 2017

ANDREW M. CUOMOGOVERNOR

ROSSANA ROSADOSECRETARY OF STATE

NEW YORK STATE DEPARTMENT OF STATE

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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 / Duty to Report Incidents Involving Vulnerable Persons to the Justice Center’s Vulnerable Persons’Central Register (EP)

Financial Services, Department of

2 / Title Insurance Agents, Affiliated Relationships, and Title Insurance Business (E)

5 / Assessment of Entities Regulated by the Banking Division of the Department of Financial Services(E)

Health, Department of

8 / Updating Certificate of Need Thresholds (A)

Higher Education Services Corporation

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

11 / Excelsior Scholarship (E)

13 / Enhanced Tuition Awards Program (E)

Motor Vehicles, Department of

15 / International Registration Plan (A)

People with Developmental Disabilities, Office for

16 / Reportable Incidents and Notable Occurrences (A)

16 / Agency Name Change Update (P)

Public Service Commission16 / Notice of withdrawal17 / Notice of Intent to Submeter Electricity (P)

17 / Clarification of the Commission’s Order Extending the BQDM Program (P)

17 / Notice of Intent to Submeter Electricity (P)

18 / Petition to Amend Bill Estimation Procedures for AMI (P)

18 / Clarification of Weather Normalization Adjustment Language (P)

Temporary and Disability Assistance, Office of

19 / Supplemental Nutrition Assistance Program (SNAP) Categorical Eligibility (A)

19 / Local District Child Support Enforcement Unit (A)

Workers’ Compensation Board

19 / Workers’ Compensation Board-Option to Self-Insure for Jockey Fund (E)

21 / Permanent Impairment Guidelines for Schedule Loss of Use Determinations (P)

Hearings Scheduled for Proposed Rule Makings / 25Action Pending Index / 27

Securities Offerings

77 / State Notices

Advertisements for Bidders/Contractors

79 / Sealed Bids

Miscellaneous Notices/Hearings

New York State Register September 6, 2017/Volume XXXIX, Issue 36

83 / Notice of Abandoned Property Received by the State Comptroller

83 / Public Notice

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

EMERGENCY/PROPOSED

RULE MAKING

NO HEARING(S) SCHEDULED

Duty to Report Incidents Involving Vulnerable Persons to theJustice Center’s Vulnerable Persons’ Central Register

I.D. No. CFS-36-17-00005-EP

Filing No. 656

Filing Date: 2017-08-21

Effective Date: 2017-08-21

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

Proposed Action: Amendment of section 433.3 of Title 18 NYCRR.

Statutory authority: Social Services Law, sections 20(3)(d), 34(3)(f) and491

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

Specific reasons underlying the finding of necessity: The emergencyadoption will amend existing regulations for mandated reporters of report-able incidents to the Justice Center for the Protection of People withSpecial Needs Vulnerable Persons’ Central Register (VPCR) which arenecessary to ensure reports involving multiple mandated reporters areproperly made and documented and to protect the health, safety, andwelfare of individuals receiving services in the OCFS system.

The emergency amendments will amend the existing regulations formandated reporters of reportable incidents to the VPCR and are necessary

so that reports involving multiple reporters are properly made anddocumented. The regulations must be filed on an emergency basis tocomply with recent guidance from the Justice Center for the Protection ofPeople with Special Needs regarding mandated reporters.Subject: Duty to report incidents involving vulnerable persons to theJustice Center’s Vulnerable Persons’ Central Register.Purpose: To implement statutory requirement to report incidents involv-ing vulnerable persons.Text of emergency/proposed rule: Section 433.3 of Title 18 New YorkCodes, Rules and Regulations is amended as follows:

(a) Reportable Incidents as defined in this Part and in section 488 of theSocial Services Law shall be reported immediately upon discovery to theVulnerable Persons’ Central Register (VPCR), in accordance with section491 of the Social Services Law. Discovery occurs when the mandatedreporter witnesses a suspected reportable incident or when another personwho was involved in or witnessed the incident, including the vulnerableperson, comes before the mandated reporter in the mandated reporter’sprofessional or official capacity and provides the mandated reporter withreasonable cause to suspect that the vulnerable person has been subjectedto a reportable incident.

(b) Each mandated reporter who has reasonable cause to suspect that avulnerable person has been subjected to a reportable incident as describedabove, is required to make a report to the VPCR unless the mandatedreporter has actual knowledge that the reportable incident has alreadybeen reported to the VPCR and that the mandated reporter has beennamed as a person with knowledge of the incident in such report.

(c) Nothing contained herein shall affect or diminish the obligation ofpersons who are mandated to make reports to the Statewide Central Regis-ter of Child Abuse and Maltreatment pursuant to section 413 of the SocialServices Law.

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

Text of rule and any required statements and analyses may be obtainedfrom: Leslie Robinson, New York State Office of Children and FamilyServices, 52 Washington Street, Rensselaer, New York 12144, (518) 474-3333, email: [email protected]

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

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

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.

Section 501(5) and 532-e of the New York State Executive Lawauthorizes the Commissioner of OCFS to promulgate rules and regula-tions for the establishment, operation and maintenance of division facili-ties and programs.

Section 490 of the SSL as found in Chapter 501 of the Laws of 2012requires the Commissioner of OCFS to promulgate regulations that containprocedures and requirements consistent with guidelines and standardsdeveloped by the Justice Center and addressing incident managementprograms required by the Chapter Law.

2. Legislative objectives:The proposed changes to the regulations concerning a mandated

reporter’s duty to report reportable incidents involving vulnerable personsin programs licensed, certified or operated by OCFS are necessary to fur-ther the legislative objective that vulnerable persons be safe and affordedappropriate care.

1

mailto: [email protected]

3. Needs and benefits:The proposed changes to the regulations concerning the obligations of a

mandated reporter are necessary to preserve the health, safety and welfareof vulnerable persons residing in an OCFS operated, licensed or certifiedprogram. The proposed regulatory changes provide necessary guidance onthe duty to report when there are multiple mandated reporters who witnessa suspected reportable incident or have reasonable cause to suspect that avulnerable person has been subjected to a reportable incident. They allowfor procedures to relieve the necessity for multiple reports; thus, reducingthe issues that can arise when multiple reports are being made for a singleincident and lessening the potential of employees who are needed toprovide care to vulnerable persons being required to spend significant timeaway from these duties in order to make reports that have already beenreported.

OCFS is also proposing to adopt these regulatory changes to conformwith recent regulations that were promulgated by other state oversightagencies that are under the Justice Center’s purview. Accordingly, theseregulatory changes would provide consistency among the state oversightagencies on obligations of mandated reporters and improve the safety andwelfare of vulnerable persons.

4. Costs:The proposed regulatory changes are not expected to have an adverse

fiscal impact on authorized agencies, residential runaway and homelessyouth programs, family type homes for adults, certified detention pro-grams, OCFS operated juvenile justice programs, or any local departmentof social services that runs a detention program or has a contract with anauthorized agency for detention services or has a contract(s) for care offoster children in out-of-state facilities. There may potentially be somesavings for facilities and provider agencies as the regulatory changes mayreduce the likelihood of employees needing to be paid overtime in order tomake required reports.

5. Local government mandates:The proposed regulations will not impose any additional mandates on

social services districts.6. Paperwork:The proposed regulations do not require any additional paperwork.7. Duplication:The proposed regulations do not duplicate any other State or Federal

requirements.8. Alternatives:These regulations are required to comply with Chapter 501 of the Laws

of 2012.9. Federal standards:The regulatory amendments do not conflict with any federal standards.10. Compliance schedule:The regulations will be effective upon filing.

Regulatory Flexibility Analysis1. Types and estimated number of small businesses and local

governments:Social services districts and voluntary authorized agencies contracting

with such social services districts to provide residential foster care ser-vices to children, authorized agencies providing juvenile detention ser-vices, runaway and homeless youth shelters and adult family type homeswill be affected by the proposed regulatory changes, as well as state oper-ated juvenile justice facilities.

2. Reporting, recordkeeping and compliance requirements; and profes-sional services:

No adverse impact. Mandated reporters have a duty to report reportableincidents immediately upon discovery to the Justice Center’s VulnerablePersons’ Central Register. The proposed regulatory changes provide nec-essary guidance on the duty to report when there are multiple mandatedreporters who witness a suspected reportable incident or have reasonablecause to suspect that a vulnerable person has been subjected to a report-able incident and allows for procedures to relieve the necessity for multiplereports.


fiscal impact. All affected programs such as provider agencies and facili-ties are currently subject to requirements governing reporting, record keep-ing, management of approved procedures and policies. As such, theproposed regulatory changes should not impose any additional costs as-sociated with those functions. There may potentially be some savings forfacilities and provider agencies as the proposed regulatory changes mayreduce the likelihood of employees needing to be paid overtime in order tomake required reports.

4. Economic and technological feasibility:The proposed regulatory changes would not require any additional

technology and should not have any adverse economic consequences forregulated parties.

5. Minimizing adverse impact:

The proposed changes to the regulations will not impose additionalcosts or operating requirements on small businesses or local governments;therefore, it is designed on its face to minimize adverse impact.

6. Small business and local government participation:Potential changes to the regulations will be thoroughly addressed

through statewide trainings and guidance documentation distributed to lo-cal representatives of social services, authorized agencies and facilities.

Rural Area Flexibility Analysis1. Types and estimated number of rural areas:Social services districts in rural areas and voluntary authorized agencies

contracting with such social services districts to provide residential fostercare services to children, authorized agencies providing juvenile detentionservices, runaway and homeless youth shelters and adult family typehomes will be affected by the proposed regulations, as well as state oper-ated juvenile justice facilities.

2. Reporting, recordkeeping and compliance requirements; and profes-sional services:

No anticipated impact. Mandated reporters have a duty to report report-able incidents immediately upon discovery to the Justice Center’s Vulner-able Persons’ Central Register. The proposed regulatory changes providenecessary guidance on the duty to report when there are multiple mandatedreporters who witness a suspected reportable incident or have reasonablecause to suspect that a vulnerable person has been subjected to a report-able incident and allows for procedures to relieve the necessity for multiplereports.


fiscal impact. All affected programs such as provider agencies and facili-ties are currently subject to requirements governing reporting, record keep-ing, management of approved procedures and policies. As such, theproposed regulatory changes should not impose any additional costs as-sociated with those functions. There may potentially be some savings forfacilities and provider agencies serving rural communities as the proposedregulatory changes may reduce the likelihood of employees needing to bepaid overtime in order to make required reports.

4. Minimizing adverse impact:The proposed changes to the regulations will not impose additional

costs or operating requirements on authorized agencies and facilities thatserve rural areas; therefore, it is designed on its face to minimize adverseimpact.

5. Rural area participation:Potential changes to the regulations will be thoroughly addressed

through statewide trainings and guidance documentation distributed to lo-cal representatives of social services, authorized agencies and facilities,including those that serve rural communities.

Job Impact StatementThe proposed regulations are not expected to have a negative impact onjobs or employment opportunities in either public or private sector serviceproviders. A full job statement has not been prepared for the proposedregulations as it is not anticipated that the proposed regulations will haveany adverse impact on jobs or employment opportunities.

Department of Financial Services

EMERGENCY

RULE MAKING

Title Insurance Agents, Affiliated Relationships, and TitleInsurance Business

I.D. No. DFS-18-17-00022-E

Filing No. 653




Action taken: Amendment of Parts 20 (Regulations 9, 18, and 29), 29(Regulation 87), 30 (Regulation 194) and 34 (Regulation 125); addition ofPart 35 (Regulation 206) to Title 11 NYCRR.

Statutory authority: Financial Services Law, sections 202 and 302; Insur-ance Law, sections 107(a)(54), 301, 2101(k), 2109, 2112, 2113, 2119,2120, 2122, 2128, 2129, 2132, 2139, 2314 and 6409

NYS Register/September 6, 2017Rule Making Activities

2

Finding of necessity for emergency rule: Preservation of general welfare.Specific reasons underlying the finding of necessity: Long-sought andcritically needed legislation to license title insurance agents was enactedas part of Chapter 57 of the New York Laws of 2014, which was signedinto law by the governor on March 31, 2014. Chapter 57 took effect onSeptember 27, 2014.

A number of existing regulations that apply to insurance producers gen-erally are amended to make them applicable to title insurance agents.Specifically, Part 20 addresses temporary licenses (Insurance Regulation9), addresses appointment of insurance agents (Insurance Regulation 18),and regulates premium accounts and fiduciary responsibilities of insur-ance agents and insurance brokers (Insurance Regulation 29), and areamended to include references to title insurance agents. Part 29 (InsuranceRegulation 87) addresses special prohibitions regarding sharing compensa-tion with other licensees with respect to certain governmental entities andis amended to address a limited exception for title insurance businessinsuring State of New York Mortgage Agency and certain othercircumstances. Part 30 (Insurance Regulation 194) addresses insuranceproducer compensation transparency and is amended to reflect specificrequirements in new Insurance Law section 2113 for title insurance agents.Part 34 (Insurance Regulation 125) governs insurance agents and brokersthat maintain multiple offices and is amended to clarify the applicability ofthe regulation to title insurance agents. In addition, a new Part 35 (Insur-ance Regulation 206) is added that address unique circumstances regard-ing title insurance agents.

It is critical for the protection of the public that appropriate rules andregulations are in place on and after the effective date of Chapter 57 to ap-ply to newly-licensed title insurance agents and the title insurance busi-ness generated. Although the Department has diligently developed regula-tions to implement Chapter 57, due to the short time frame, it is necessaryto promulgate the rules on an emergency basis for the furtherance of thegeneral welfare.

Subject: Title insurance agents, affiliated relationships, and title insurancebusiness.

Purpose: To implement requirements of chapter 57 of Laws of 2014regarding title insurance agents and placement of title insurance business.

Substance of emergency rule (Full text is posted at the following Statewebsite: http://www.dfs.ny.gov): The following sections are amended:

Section 20.1, which specifies forms for temporary licenses, is amendedto make technical changes and to add references to title insurance agents.

Section 20.2, which specifies forms of notice for termination of agents,is amended to make technical changes and to add references to title insur-ance agents.

Section 20.3, which governs fiduciary responsibility of insurance agentsand brokers, including maintenance of premium accounts, is amended tomake technical changes and to add references to title insurance agents.

Section 20.4, which governs insurance agent and broker recordkeepingrequirements for fiduciary accounts, is amended to make technical changesand to add references to title insurance agents.

Section 29.5, which implements Insurance Law section 2128, govern-ing placement of insurance business by licensees with governmental enti-ties, is amended to make technical changes and to conform to amendmentsto section 2128, with respect to title insurance agents.

Section 29.6 is amended to remove language regarding return ofdisclosure statements.

Section 30.3, which governs notices by insurance producers regardingthe amount and extent of their compensation, is amended by adding a newsubdivision that modifies the requirements of the section with respect totitle insurance agents, in order to conform to new Insurance Law section2113(b).

Section 34.2, which governs satellite offices for insurance producers, isamended by adding a new subdivision that exempts from certain provi-sions of that section a title insurance agent that is a licensed attorney trans-acting title insurance business from the agent’s law office.

A new Part 35 is added governing the activities of title insurance agentsand the placement of title insurance business. The new sections are:

Section 35.1 contains definitions for new Part 35.Section 35.2 specifies forms for title insurance agent licensing

applications.Section 35.3 specifies change of contact information required to be filed

with the Department.Section 35.4 addresses affiliated business relationships.Section 35.5 addresses referrals by affiliated persons and the required

disclosures in such circumstances.Section 35.6 addresses minimum disclosure requirements for title insur-

ance corporations and title insurance agents with respect to fees chargedby such corporation or agent, including discretionary or ancillary fees.

Section 35.7 provides certain other minimum disclosure requirements.Section 35.8 governs the use of title closers by title insurance agents

and title insurance corporations.

Section 35.9 establishes record retention requirements for title insur-ance agents.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. DFS-18-17-00022-P, Issue ofMay 3, 2017. The emergency rule will expire October 16, 2017.

Text of rule and any required statements and analyses may be obtainedfrom: Paul Zuckerman, New York State Department of Financial Ser-vices, One State Street, New York, NY 10004, (212) 480-5286, email:[email protected]

Consolidated Regulatory Impact Statement1. Statutory authority: The Superintendent’s authority to promulgate

these amendments and the new Part derives from sections 202 and 302 ofthe Financial Services Law (“FSL”) and sections 107(a)(54), 301, 2101(k),2109, 2112, 2113, 2119, 2120, 2122, 2128, 2129, 2132, 2139, 2314, and6409 of the Insurance Law.

FSL section 202 establishes the office of the Superintendent anddesignates the Superintendent as the head of the Department of FinancialServices (“Department”).

FSL section 302 and Insurance Law section 301 authorize the Superin-tendent to effectuate any power accorded to the Superintendent by the In-surance Law, the Banking Law, the Financial Services Law, or any otherlaw of this state and to prescribe regulations interpreting the InsuranceLaw, among other things.

Insurance Law section 107(a)(54) defines title insurance agent.Insurance Law section 2101(k) defines insurance producer to include

title insurance agent.Insurance Law section 2109 addresses temporary licenses for title in-

surance agents and other insurance producers.Insurance Law section 2112 addresses appointments by insurers of in-

surance agents and title insurance agents.Insurance Law section 2113 requires that title insurance agents and

persons affiliated with such title insurance agents provide certain disclo-sures to applicants for insurance when referring such applicants to personswith which they are affiliated. Section 2113 also requires the Superinten-dent to promulgate regulations to enforce the affiliated person disclosurerequirements and to consider any relevant disclosures required by thefederal real estate settlement procedures act of 1974 (“RESPA”), asamended.

Insurance Law section 2119 permits title insurance agents to chargefees for certain ancillary services not encompassed within the rate ofpremium provided its pursuant to a written memorandum.

Insurance Law section 2120 addresses the fiduciary responsibility oftitle insurance agents and other producers.

Insurance Law section 2122 addresses advertising by title insuranceagents and other insurance producers.

Insurance Law section 2128 prohibits fee sharing with respect to busi-ness placed with governmental entities.

Insurance Law section 2132 governs continuing education for title in-surance agents and other insurance producers.

Insurance Law section 2139 is the licensing section for title insuranceagents.

Insurance Law section 2314 prohibits title insurance corporations andtitle insurance agents from deviating from filed rates.

Insurance Law section 2324 prohibits rebating, improper inducementsand other discriminatory behavior with respect to most kinds of insurance,including title insurance.

Insurance Law section 6409 contains specific prohibitions against rebat-ing, improper inducements and other discriminatory behavior with respectto title insurance.

2. Legislative objectives: Long-sought and critically needed legislationto license title insurance agents was enacted as part of Chapter 57 of theNew York Laws of 2014, which was signed into law by the governor onMarch 31, 2014 and took effect on September 27, 2014. By way ofbackground, title insurance agents in New York: (a) handle millions ofdollars of borrowers’ and sellers’ funds, (b) record documents, and (c) payoff mortgages. Yet for years, title insurance agents have conducted busi-ness in New York without licensing or other regulatory oversight, stan-dards or guidelines. Because, as a matter of practice in New York, the titleinsurance agents control the bulk of the title insurance business, includingbringing in customers, conducting the searches and other title work, thetitle insurance corporations often have little choice but to deal with title in-surance agents who they may otherwise consider questionable orunscrupulous. Without licensing or regulatory oversight, an unscrupuloustitle insurance agent who was fired by one title insurer could simply takethe business to another title insurer, who is usually more than willing toappoint that title insurance agent.

This lack of State regulation over title insurance agents made for an

NYS Register/September 6, 2017 Rule Making Activities

3

alarming weakness in New York law, and specifically New York law ad-dressing title insurance rebating and inducement. For example, lack ofregulatory oversight and licensing created a gaping loophole, which led toserious breaches of fiduciary duties and exploitation by unscrupulous ac-tors to commit fraud in the mortgage origination and financing process.Over the years, this gap in New York law and lack of regulatory oversightallowed these actors to freely engage in theft, abuse, charging of excessivefees, and illegal rebates and inducements to the detriment of consumers,with little fear of prosecution. These abuses cost consumers of the Statemillions of dollars and at least one New York title insurer became insolventbecause of the activities of its title insurance agents.

3. Needs and benefits: Now that New York law requires title insuranceagents to be licensed, a number of existing regulations governing insur-ance producers need to be amended in order include title insurance agentsor to address unique circumstances involving them, including affiliatedpersons’ arrangements and required consumer disclosures. Specifically,Insurance Regulation 9 addresses temporary licenses; Insurance Regula-tion 18 addresses appointment of insurance agents; and Insurance Regula-tion 29 regulates premium accounts and fiduciary responsibilities of insur-ance agents and insurance brokers; and each is amended to includereferences to title insurance agents. Insurance Regulation 87 addressesspecial prohibitions regarding sharing compensation with other licenseeswith respect to certain governmental entities and is amended to address alimited exception for title insurance business insuring State of New YorkMortgage Agency and certain other circumstances. Insurance Regulation194 addresses insurance producer compensation transparency and isamended to reflect specific requirements in new Insurance Law section2113 for title insurance agents. Insurance Regulation 125 governs insur-ance agents and brokers that maintain multiple offices and is amended toclarify the applicability of the regulation to title insurance agents. Regula-tion 125 also is amended to address unique circumstances involving titleinsurance agents who are also licensed attorneys.

New Insurance Regulation 206 addresses a number of miscellaneous is-sues involving title insurance agents. Some of these changes simply addprovisions that are similar to those that apply to other insurance producers;for example, it prescribes the form of applications and requires licenseesto notify the Department of any change of business or residence address.Other provisions of Regulation 206 set forth the new disclosure require-ments; require title insurance agents to comply with a rate service organi-zation’s annual statistical data call; and address the obligation of title in-surance agents and title insurance corporations with respect to title closers.Of particular significance are provisions of the regulations that codifyDepartment opinions regarding affiliated business relations with respect tothe applicability of Insurance Law section 6409, which prohibits rebates,inducements and certain other discriminatory behaviors.

4. Costs: Regulated parties impacted by these rules are title insuranceagents, which heretofore were not licensed by the Department, and title in-surance corporations. They may need to provide new disclosures in accor-dance with the regulation if they are not already making such disclosuresbut they already have an obligation to make changes to notices pursuant tothe legislation. There are also new reporting requirements to the Depart-ment but these are the same that apply with respect to other licensees. Inany event, although the cost impact will likely vary among the agents andinsurers affected by this regulation, the costs of these new disclosures andreporting requirements should not be significant.

Although the Department already was handling complaints andinvestigating matters regarding title insurance, because licensing title in-surance agents is a new responsibility for the Department, anticipatedcosts to the Department are at this time uncertain. Existing personnel andline titles will handle any new licensing applications or enforcements is-sues initially.

These rules impose no compliance costs on any state or localgovernments.

5. Local government mandates: The new rules and amendments imposeno new programs, services, duties or responsibilities on any county, city,town, village, school district, fire district or other special district.

6. Paperwork: The amendments and new rules now apply certainrequirements that are applicable to other insurance producers to title insur-ance agents as well. For example, title insurance agents are made subjectto the same reporting requirements as other insurance producers whenchanging addresses, maintaining records, and submitting applications, andtitle insurers are required to file certificates of appointment of their title in-surance agents with the Department. In addition, to reflect the specific no-tice requirements of Insurance Law section 2113, the disclosure require-ments to insureds under Insurance Regulation 194 are modified for titleinsurance agents to reflect the statutory requirements. The new law alsocontains certain new disclosure requirements and the new rules implementthose changes, and require certain other disclosures to applicants for insur-ance, such as a notice advising insureds or applicants for insurance aboutthe different kinds of title policies available to them.

7. Duplication: The amendments do not duplicate any existing laws orregulations.

8. Alternatives: Prior to proposing the consolidated rules in July, 2014,the Department circulated drafts of the proposed rules to a number ofinterested parties and, as a result, the Department made a number ofchanges to the initial proposed new Regulation 206, particularly with re-spect to affiliated business relationships, and title insurance corporation ortitle insurance agent responsibility for title insurance closers. The Depart-ment initially submitted the regulation as a proposed rulemaking that waspublished in the State Register on July 23, 2014. Because of the criticalneed to have regulations in effect on and after the September 27, 2014 ef-fective date of Chapter 57, the Department promulgated emergency regula-tions effective on that date. In response to comments received during thepublic comment period, the Department made additional changes thatwere incorporated into the emergency rules, in order to clarify or eliminateunnecessary requirements. Because the proposed regulation has expired,the Department anticipates submitting a new, revised proposal in 2017that will incorporate additional public comments that the Department hasreceived regarding the initial proposal. To prevent disruption and confu-sion in the industry until the rules are finalized, however, the emergencyregulation is continued unchanged from the versions in effect sinceSeptember 27, 2014.

9. Federal standards: RESPA, and regulations thereunder, containcertain requirements and disclosures that apply to residential real estatesettlement transactions. These requirements are minimum requirementsand do not preempt state laws that provide greater consumer protection.The amendments and new rules are not inconsistent with RESPA and, con-sistent with New York law, provide greater consumer protection to thepublic.

10. Compliance schedule: Chapter 57 of the New York Laws of 2014took effect on September 27, 2014. In order to facilitate the orderlyimplementation of the new law, the Superintendent was authorized topromulgate regulations in advance of the effective date, but to make suchregulations effective on that date. The emergency rules have continuedunchanged since September 27, 2014.

Consolidated Regulatory Flexibility Analysis1. Effect of the rule: These rules affect title insurance corporations au-

thorized to do business in New York State, title insurance agents andpersons affiliated with such corporations and agents.

No title insurance corporation subject to the amendment falls within thedefinition of “small business” as defined in State Administrative Proce-dure Act section 102(8), because no such insurance corporation is both in-dependently owned and has less than one hundred employees.

It is estimated that there are about 1,800 title insurance agents doingbusiness in New York currently. Since they are not currently licensed bythe Department of Financial Services (“Department”), it is not known howmany of them are small businesses, but it is believed that a significantnumber of them may be small businesses.

Persons affiliated with title insurance agents or title insurance corpora-tions would not, by definition, be independently owned and would thusnot be small businesses.

The rule does not impose any impact, including any adverse impact, orreporting, recordkeeping, or other compliance requirements on any localgovernments.

2. Compliance requirements: The proposed rules conform and imple-ment requirements regarding title insurance agents and placement of titleinsurance business with Chapter 57 of the Laws of 2014, which made titleinsurance agents subject to licensing in New York for the first time. Anumber of the rules will make title insurance agents subject to the samerequirements that apply to other insurance producers. There are alsodisclosure requirements unique to title insurance.

3. Professional services: This amendment does not require any personto use any professional services.

4. Compliance costs: Title insurance agents will need to provide newdisclosures in accordance with the regulation if they are not already mak-ing such disclosures but they already have an obligation to make changesto notices pursuant to the legislation. There are also new reporting require-ments to the Department but these are the same that apply with respect toother licensees. In any event, the costs of these new disclosures and report-ing requirements should not be significant. The proposed rules now subjecttitle insurance agents to requirements regarding the maintenance of fidu-ciary accounts that already apply to other insurance producers. The costimpact on title insurance agents will likely vary from agent to agent butshould not be significant.

5. Economic and technological feasibility: Small businesses that maybe affected by this amendment should not incur any economic or techno-logical impact as a result of this amendment.

6. Minimizing adverse impact: This rule should have no adverse impacton small businesses.

7. Small business participation: The Department initially submitted the


4

regulation as a proposed rulemaking on July 23, 2014. Prior to submis-sion, interested parties, including an organization representing title insur-ance agents, were given an opportunity to comment on a draft version ofthese rules, in addition to their opportunity to review and comment on theproposed rulemaking when it was published. The proposed regulation hasnow expired and the Department anticipates submitting a new, revisedproposal in 2017 that will incorporate additional public comments that theDepartment has received regarding the initial proposal. However, toprevent disruption and confusion in the industry until the rules are final-ized, the emergency regulation is continued unchanged from the versionsin effect since September 27, 2014.Consolidated Rural Area Flexibility Analysis

The Department of Financial Services (“Department”) finds that thisrule does not impose any additional burden on persons located in rural ar-eas, and will not have an adverse impact on rural areas. This rule appliesuniformly to regulated parties that do business in both rural and non-ruralareas of New York State.

Rural area participation: The Department initially submitted the regula-tion as a proposed rulemaking on July 23, 2014. Prior to submission,interested parties, including those located in rural areas, were given an op-portunity to review and comment on a draft version of these rules, in addi-tion to their opportunity to review and comment on the proposed rulemak-ing when it was published. The proposed regulation has now expired andthe Department anticipates submitting a new, revised proposal in 2017that will incorporate additional public comments that the Department hasreceived regarding the initial proposal. However, to prevent disruption andconfusion in the industry until the rules are finalized, the emergencyregulation is continued unchanged from the versions in effect sinceSeptember 27, 2014.

Consolidated Job Impact StatementThe Department of Financial Services finds that these rules should haveno negative impact on jobs and employment opportunities. The rulesconform to and implement the requirements of, with respect to title insur-ance agents and the placement of title insurance business, Chapter 57 ofthe Laws of 2014, which make title insurance agents subject to licensingin New York for the first time and, by establishing a regulated marketplace,may lead to increased employment opportunity.

Assessment of Public CommentThe agency received no public comment.

EMERGENCY

RULE MAKING

Assessment of Entities Regulated by the Banking Division of theDepartment of Financial Services

I.D. No. DFS-36-17-00004-E

Filing No. 655




Action taken: Addition of Part 501 to Title 3 NYCRR.

Statutory authority: Banking Law, section 17; Financial Services Law,section 206

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

Specific reasons underlying the finding of necessity: Pursuant to theFinancial Services Law (“FSL”), the New York State Banking Department(“Banking Department”) and the New York State Insurance Departmentwere consolidated, effective October 3, 2011, into the Department ofFinancial Services (“Department”).

Prior to the consolidation, assessments of institutions subject to theBanking Law (“BL”) were governed by Section 17 of the BL; effective onOctober 3, 2011, assessments are governed by Section 206 of the FinancialServices Law, provided that Section 17 continues to apply to assessmentsfor the fiscal year which commenced April 1, 2011.

Both Section 17 of the Banking Law and Section 206 of the FinancialServices Law provide that all expenses (compensation, lease costs andother overhead) of the Department in connection with the regulation andsupervision (including examination) of any person or entity licensed,registered, incorporated or otherwise formed pursuant to the BL are to becharged to, and paid by, the regulated institutions subject to the supervi-sion of in the Banking Division of the Department (the “BankingDivision”). Under both statutes, the Superintendent is authorized to assessregulated institutions in the Banking Division in such proportions as theSuperintendent shall deem just and reasonable.

Litigation commenced in June, 2011 challenged the methodology usedby the Banking Department to assess mortgage bankers. On May 3, 2012,the Appellate Division invalidated this methodology for the 2010 StateFiscal Year, finding that the former Banking Department had not followedthe requirements of the State Administrative Procedures Act.

In response to this ruling, the Department has determined to adopt thisnew rule setting forth the assessment methodology applicable to all enti-ties regulated by the Banking Division for fiscal years beginning with fis-cal year 2011.

The emergency adoption of this regulation is necessary to implementthe requirements of Section 17 of the Banking Law and Section 206 of theFinancial Services Law in light of the determination of the Court and theongoing need to fund the operations of the Department withoutinterruption.

Subject: Assessment of entities regulated by the Banking Division of theDepartment of Financial Services.

Purpose: New Part 501 implements Section 17 of the Banking Law andSection 206 of the Financial Services Law and sets forth the basis for al-locating all costs and expenses attributable to the operation of the BankingDivision of the Department of Financial Services among and between anyperson or entity licensed, registered, incorporated or otherwise formedpursuant the Banking Law.

Text of emergency rule: Part 501BANKING DIVISION ASSESSMENTS§ 501.1 Background.Pursuant to the Financial Services Law (“FSL”), the New York State

Banking Department (“Banking Department”) and the New York State In-surance Department were consolidated on October 3, 2011 into theDepartment of Financial Services (“Department”).

Prior to the consolidation, assessments of institutions subject to theBanking Law (“BL”) were governed by Section 17 of the BL. EffectiveOctober 3, 2011, assessments are governed by Section 206 of the FSL,provided that Section 17 of the BL continues to apply to assessments forthe fiscal year commencing on April 1, 2011.

Both Section 17 of the BL and Section 206 of the FSL provide that allexpenses (including, but not limited to, compensation, lease costs andother overhead costs) of the Department attributable to institutions subjectto the BL are to be charged to, and paid by, such regulated institutions.These institutions (“Regulated Entities”) are now regulated by the Bank-ing Division of the Department. Under both Section 17 of the BL and Sec-tion 206 of the FSL, the Superintendent is authorized to assess RegulatedEntities for its total costs in such proportions as the Superintendent shalldeem just and reasonable.

The Banking Department has historically funded itself entirely fromindustry assessments of Regulated Entities. These assessments havecovered all direct and indirect expenses of the Banking Department, whichare activities that relate to the conduct of banking business and the regula-tory concerns of the Department, including all salary expenses, fringebenefits, rental and other office expenses and all miscellaneous andoverhead costs such as human resource operations, legal and technologycosts.

This regulation sets forth the basis for allocating such expenses amongRegulated Entities and the process for making such assessments.

§ 501.2 Definitions.The following definitions apply in this Part:

(a) “Total Operating Cost” means for the fiscal year beginning onApril 1, 2011, the total direct and indirect costs of operating the BankingDivision. For fiscal years beginning on April 1, 2012, “Total OperatingCost” means (1) the sum of the total operating expenses of the Depart-ment that are solely attributable to regulated persons under the BankingLaw and (2) the proportion deemed just and reasonable by the Superinten-dent of the other operating expenses of the Department which under Sec-tion 206(a) of the Financial Services Law may be assessed against personsregulated under the Banking Law and other persons regulated by theDepartment.

(b) “Industry Group“ means the grouping to which a business entityregulated by the Banking Division is assigned. There are three IndustryGroups in the Banking Division:

(1) The Depository Institutions Group, which consists of all bankingorganizations and foreign banking corporations licensed by the Depart-ment to maintain a branch, agency or representative office in this state;

(2) The Mortgage-Related Entities Group, which consists of allmortgage brokers, mortgage bankers and mortgage loan servicers; and

(3) The Licensed Financial Services Providers Group, which consistsof all check cashers, budget planners, licensed lenders, sales financecompanies, premium finance companies and money transmitters.

(c) “Industry Group Operating Cost” means the amount of the TotalOperating Cost to be assessed to a particular Industry Group. The amountis derived from the percentage of the total expenses for salaries and fringe


5

benefits for the examining, specialist and related personnel represented bysuch costs for the particular Industry Group.

(d) “Industry Group Supervisory Component” means the total of theSupervisory Components for all institutions in that Industry Group.

(e) “Supervisory Component” for an individual institution means theproduct of the average number of hours attributed to supervisory oversightby examiners and specialists of all institutions of a similar size and type,as determined by the Superintendent, in the applicable Industry Group, orthe applicable sub-group, and the average hourly cost of the examinersand specialists assigned to the applicable Industry Group or sub-group.

(f) “Industry Group Regulatory Component” means the Industry GroupOperating Cost for that group minus the Industry Group SupervisoryComponent and certain miscellaneous fees such as application fees.

(g) “Industry Financial Basis” means the measurement tool used todistribute the Industry Group Regulatory Component among individualinstitutions in an Industry Group.

The Industry Financial Basis used for each Industry Group is as follows:(1) For the Depository Institutions Group: total assets of all institu-

tions in the group;(2) For the Mortgage-Related Entities Group: total gross revenues

from New York State operations, including servicing and secondary mar-ket revenues, for all institutions in the group; and

(3) For the Licensed Financial Services Providers Group: (i.) forbudget planners, the number of New York customers; (ii.) for licensedlenders, the dollar amount of New York assets; (iii.) for check cashers, thedollar amount of checks cashed in New York; (iv.) for money transmitters,the dollar value of all New York transactions; (v.) for premium financecompanies, the dollar value of loans originated in New York; and (vi.) forsales finance companies, the dollar value of credit extensions in New York.

(h) “Financial Basis” for an individual institution is that institution’sportion of the measurement tool used in Section 501.2(g) to develop theIndustry Financial Basis. (For example, in the case of the DepositoryInstitutions Group, an entity’s Financial Basis would be its total assets.)

(i) “Industry Group Regulatory Rate” means the result of dividing theIndustry Group Regulatory Component by the Industry Financial Basis.

(j) “Regulatory Component” for an individual institution is the productof the Financial Basis for the individual institution multiplied by theIndustry Group Regulatory Rate for that institution.

§ 501.3 Billing and Assessment Process.The New York State fiscal year begins April 1 and ends March 31 of the

following calendar year. Each institution subject to assessment pursuantto this Part is billed five times for a fiscal year: four quarterly assessments(each approximately 25% of the anticipated annual amount) based on theBanking Division’s estimated annual budget at the time of the billing, anda final assessment (or “true-up”), based on the Banking Division’s actualexpenses for the fiscal year. Any institution that is a Regulated Entity forany part of a quarter shall be assessed for the full quarter.

§ 501.4 Computation of Assessment.The total annual assessment for an institution shall be the sum of its

Supervisory Component and its Regulatory Component.§ 501.5 Penalties/Enforcement Actions.All Regulated Entities shall be subject to all applicable penalties,

including late fees and interest, provided for by the BL, the FSL, the StateFinance law or other applicable laws. Enforcement actions for nonpay-ment could include suspension, revocation, termination or other actions.

§ 501.6 Effective Date.This Part shall be effective immediately. It shall apply to all State Fis-

cal Years beginning with the Fiscal Year starting on April 1, 2011.

This notice is intended to serve only as a notice of emergency adoption.This agency intends to adopt this emergency rule as a permanent rule andwill publish a notice of proposed rule making in the State Register at somefuture date. The emergency rule will expire November 18, 2017.

Text of rule and any required statements and analyses may be obtainedfrom: Christine M. Tomczak, Esq., Department of Financial Services, OneState Street, New York, New York 10004, (212) 709-1642, email:[email protected]

Regulatory Impact Statement1. Statutory AuthorityPursuant to the Financial Services Law (“FSL”), the New York State

Banking Department (the “Banking Department”) and the New York StateInsurance Department were consolidated, effective October 3, 2011, intothe Department of Financial Services (the “Department”).

Prior to the consolidation, assessments of institutions subject to theBanking Law (“BL”) were governed by Section 17 of the BL; effective onOctober 3, 2011, assessments are governed by Section 206 of the FinancialServices Law, provided that Section 17 continues to apply to assessmentsfor the fiscal year which commenced April 1, 2011.

Both Section 17 of the BL and Section 206 of the FSL provide that allexpenses (compensation, lease costs and other overhead) of the Depart-

ment in connection with the regulation and supervision of any person orentity licensed, registered, incorporated or otherwise formed pursuant tothe BL are to be charged to, and paid by, the regulated institutions subjectto the supervision of the Banking Division of the Department (the “Bank-ing Division”). Under both statutes, the Superintendent is authorized to as-sess regulated institutions in the Banking Division in such proportions asthe Superintendent shall deem just and reasonable.

In response to a court ruling, In the Matter of Homestead FundingCorporation v. State of New York Banking Department et al., 944 N.Y.S.2d 649 (2012) (“Homestead”), that held that the Department should adoptchanges to its assessment methodology for mortgage bankers through aformal assessment rule pursuant to the requirements of the State Adminis-trative Procedures Act (“SAPA”), the Department has determined to adoptthis new regulation setting forth the assessment methodology applicable toall entities regulated by the Banking Division for fiscal years beginningwith fiscal year 2011.

2. Legislative ObjectivesThe BL and the FSL make the industries regulated by the former Bank-

ing Department (and now by the Banking Division of the new Depart-ment) responsible for all the costs and expenses of their regulation by theState. The assessments have covered all direct and indirect expenses of theBanking Department, which are activities that relate to the conduct ofbanking business and the regulatory concerns of the Department, includ-ing all salary expenses, fringe benefits, rental and other office expensesand all miscellaneous and overhead costs such as human resource opera-tions, legal and technology costs.

This reflects a long-standing State policy that the regulated industriesare the appropriate parties to pay for their supervision in light of thefinancial benefits it provides to them to engage in banking and otherregulated businesses in New York. The statute specifically provides thatthese costs are to be allocated among such institutions in the proportionsdeemed just and reasonable by the Superintendent.

While this type of allocation had been the practice of the former Bank-ing Department for many decades, Homestead found that a change to themethodology for mortgage bankers to include secondary market andservicing income should be accomplished through formal regulationssubject to the SAPA process. Given the nature of the Banking Division’sassessment methodology - - the calculation and payment of the assessmentis ongoing throughout the year and any period of uncertainty as to the ap-plicable rule would be extremely disruptive - - the Department hasdetermined that it is necessary to adopt the rule on an emergency basis soas to avoid any possibility of disrupting the funding of its operations.

3. Needs and BenefitsThe Banking Division regulates more than 250 state chartered banks

and licensed foreign bank branches and agencies in New York with totalassets of over $2 trillion. In addition, it regulates a variety of other entitiesengaged in delivering financial services to the residents of New York State.These entities include: licensed check cashers; licensed money transmit-ters; sales finance companies; licensed lenders; premium finance compa-nies; budget planners; mortgage bankers and brokers; mortgage loanservicers; and mortgage loan originators.

Collectively, the regulated entities represent a spectrum, from some ofthe largest financial institutions in the country to the smallest,neighborhood-based financial services providers. Their services are vitalto the economic health of New York, and their supervision is critical toensuring that these services are provided in a fair, economical and safemanner.

This supervision requires that the Banking Division maintain a core oftrained examiners, plus facilities and systems. As noted above, these costsare by statute to be paid by all regulated entities in the proportions deemedjust and reasonable by the Superintendent. The new regulation is intendedto formally set forth the methodology utilized by the Banking Division forallocating these costs.

4. CostsThe new regulation does not increase the total costs assessed to the

regulated industries or alter the allocation of regulatory costs between thevarious industries regulated by the Banking Division. Indeed, the onlychange from the allocation methodology used by the Banking Departmentin the previous state fiscal years is that the regulatory costs assessed to themortgage banking industry will be divided among the entities in that groupon a basis which includes income derived from secondary market andservicing activities. The Department believes that this is a more appropri-ate basis for allocating the costs associated with supervising mortgagebanking entities.

5. Local Government MandatesNone.6. PaperworkThe regulation does not change the process utilized by the Banking

Division to determine and collect assessments.7. Duplication


6

The regulation does not duplicate, overlap or conflict with any otherregulations.

8. AlternativesThe purpose of the regulation is to formally set forth the process

employed by the Department to carry out the statutory mandate to assessand collect the operating costs of the Banking Division from regulatedentities. In light of Homestead, the Department believes that promulgatingthis formal regulation is necessary in order to allow it to continue to assessall of its regulated institutions in the manner deemed most appropriate bythe Superintendent. Failing to formalize the Banking Division’s allocationmethodology would potentially leave the assessment process open to fur-ther judicial challenges.

9. Federal StandardsNot applicable.10. Compliance ScheduleThe emergency regulations are effective immediately. Regulated institu-

tions will be expected to comply with the regulation for the fiscal yearbeginning on April 1, 2011 and thereafter.

Regulatory Flexibility Analysis1. Effect of the Rule:The regulation does not have any impact on local governments.The regulation simply codifies the methodology used by the Banking

Division of the Department of Financial Services (the “Department”) toassess all entities regulated by it, including those which are smallbusinesses. The regulation does not increase the total costs assessed to theregulated industries or alter the allocation of regulatory costs between thevarious industries regulated by the Banking Division.

Indeed, the only change from the allocation methodology used by theBanking Department in the previous state fiscal years is that the regulatorycosts assessed to the mortgage banking industry will be divided among theentities in that group on a basis which includes income derived from sec-ondary market and servicing activities. The Department believes that thisis a more appropriate basis for allocating the costs associated withsupervising mortgage banking entities. It is expected that the effect of thischange will be that larger members of the mortgage banking industry willpay an increased proportion of the total cost of regulating that industry,while the relative assessments paid by smaller industry members will bereduced.

2. Compliance Requirements:The regulation does not change existing compliance requirements. Both

Section 17 of the Banking Law and Section 206 of the Financial ServicesLaw provide that all expenses (compensation, lease costs and otheroverhead) of the Department in connection with the regulation andsupervision of any person or entity licensed, registered, incorporated orotherwise formed pursuant to the Banking Law are to be charged to, andpaid by, the regulated institutions subject to the supervision of the Bank-ing Division. Under both statutes, the Superintendent is authorized to as-sess regulated institutions in the Banking Division in such proportions asthe Superintendent shall deem just and reasonable.

3. Professional Services:None.4. Compliance Costs:All regulated institutions are currently subject to assessment by the

Banking Division. The regulation simply formalizes the Banking Divi-sion’s assessment methodology. It makes only one change from the alloca-tion methodology used by the Banking Department in the previous statefiscal years. That change affects only one of the industry groups regulatedby the Banking Division. Regulatory costs assessed to the mortgage bank-ing industry are now divided among the entities in that group on a basiswhich includes income derived from secondary market and servicingactivities. Even within the one industry group affected by the change, ad-ditional compliance costs, if any, are expected to be minimal.

5. Economic and Technological Feasibility:All regulated institutions are currently subject to the Banking Division’s

assessment requirements. The formalization of the Banking Division’s as-sessment methodology in a regulation will not impose any additional eco-nomic or technological burden on regulated entities which are smallbusinesses.

6. Minimizing Adverse Impacts:Even within the mortgage banking industry, which is the one industry

group affected by the change in assessment methodology, the change willnot affect the total amount of the assessment. Indeed, it is anticipated thatthis change may slightly reduce the proportion of mortgage bankingindustry assessments that is paid by entities that are small businesses.

7. Small Business and Local Government Participation:This regulation does not impact local governments.This regulation simply codifies the methodology which the Banking

Division uses for determining the just and reasonable proportion of theBanking Division’s costs to be charged to and paid by each regulatedinstitution, including regulated institutions which are small businesses.

The overall methodology was adopted in 2005 after extensive discussionwith regulated entities and industry associations representing groups ofregulated institutions, including those that are small businesses.

Thereafter, the Banking Department applied assessments against allentities subject to its regulation. In addition, for fiscal 2010, the BankingDepartment changed its overall methodology slightly with respect to as-sessments against the mortgage banking industry to include incomederived from secondary market and servicing activities. Litigation wascommenced challenging this latter change, and in a recent decision, In theMatter of Homestead Funding Corporation v. State of New York BankingDepartment et al., 944 N.Y.S. 2d 649 (2012), the court determined that theDepartment should adopt a change to its assessment methodology formortgage bankers through a formal assessment rule promulgated pursuantto the requirements of the State Administrative Procedures Act. The chal-lenged change in methodology had the effect of increasing the proportionof assessments against the mortgage banking industry paid by its largermembers, while reducing the assessments paid by smaller participants,including those which are small businesses.

Rural Area Flexibility AnalysisTypes and Estimated Numbers:There are entities regulated by the New York State Department of

Financial Services (formerly the Banking Department) located in all areasof the State, including rural areas. However, this rule simply codifies themethodology currently used by the Department to assess all entitiesregulated by it. The regulation does not alter that methodology, and thus itdoes not change the cost of assessments on regulated entities, includingregulated entities located in rural areas.

Compliance Requirements:The regulation would not change the current compliance requirements

associated with the assessment process.Costs:While the regulation formalizes the assessment process, it does not

change the amounts assessed to regulated entities, including those locatedin rural areas.

Minimizing Adverse Impacts:The regulation does not increase the total amount assessed to regulated

entities by the Department. It simply codifies the methodology which theSuperintendent has chosen for determining the just and reasonable propor-tion of the Department’s costs to be charged to and paid by each regulatedinstitution.

Rural Area Participation:This rule simply codifies the methodology which the Department cur-

rently uses for determining the just and reasonable proportion of theDepartment’s costs to be charged to and paid by each regulated institution,including regulated institutions located in rural areas. The overallmethodology was adopted in 2005 after extensive discussion withregulated entities and industry associations representing groups ofregulated institutions, including those located in rural areas. It followedthe loss of several major banking institutions that had paid significant por-tions of the former Banking Department’s assessments.

Thereafter, the Department applied assessments against all entitiessubject to its regulation. In addition, for fiscal 2010, the Departmentchanged this overall methodology slightly with respect to assessmentsagainst the mortgage banking industry to include income derived fromsecondary market income and servicing income. This latter change waschallenged by a mortgage banker, and in early May, the Appellate Divi-sion determined that the latter change should have been made in confor-mity with the State Administrative Procedures Act. The challenged part ofthe methodology had the effect of increasing the proportion of assess-ments against the mortgage banking industry paid by its larger members,while reducing the assessments paid by smaller participants.

Job Impact StatementThe regulation is not expected to have an adverse effect on employment.All institutions regulated by the Banking Division (the “Banking Divi-

sion”) of the Department of Financial Services are currently subject to as-sessment by the Department. The regulation simply formalizes the assess-ment methodology used by the Banking Division. It makes only onechange from the allocation methodology used by the former BankingDepartment in the previous state fiscal years.

That change affects only one of the industry groups regulated by theBanking Division. It somewhat alters the way in which the BankingDivision’s costs of regulating mortgage banking industry are allocatedamong entities within that industry. In any case, the total amount assessedagainst regulated entities within that industry will remain the same.


7

Department of Health

NOTICE OF ADOPTION

Updating Certificate of Need Thresholds

I.D. No. HLT-22-17-00009-A

Filing No. 662




Action taken: Amendment of section 710.1 of Title 10 NYCRR.

Statutory authority: Public Health Law, section 2803(2)(a)

Subject: Updating Certificate of Need Thresholds.

Purpose: To update Certificate of Need review thresholds.

Text or summary was published in the May 31, 2017 issue of the Register,I.D. No. HLT-22-17-00009-P.

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: [email protected]

Initial Review of RuleAs a rule that does not require a RFA, RAFA or JIS, this rule will beinitially reviewed in the calendar year 2022, which is no later than the 5thyear after the year in which this rule is being adopted

Assessment of Public CommentThe New York State Department of Health (the Department) received

three sets of comments regarding the proposed amendments to section710.1 of Title 10 of the Official Compilation of Codes, Rules and Regula-tions of the State of New York.

Two sets of comments were received from associations representinggeneral hospitals and other health care providers, which were similar incontent. They expressed support for the proposed updates to the Certifi-cate of Need (CON) threshold regulations.

One set of comments was received from MergerWatch, a health policyand advocacy organization. MergerWatch does not object to the proposedregulations because they do not raise the dollar threshold for applicationsproposing the decertification of beds or services or the conversion of bedsto other purposes. However, MergerWatch raises the following additionalpoints:

Comment: The proposed regulations essentially eliminate the expecta-tion that a local Health Systems Agency (HSA) make a recommendationon a CON application, since most of the state now does not have an HSA.While the lack of HSA input cannot be addressed by the proposed regula-tions, the Department should use its upcoming policy workshops as an op-portunity to discuss how other local health planning entities could replacethe missing HSAs in assessing whether CON applications meet healthplanning goals in their respective regions.

Response: The proposed change to 10 NYCRR § 710.1(c)(3)(i), whichincreases the monetary threshold for administrative review of the construc-tion projects by general hospitals, also clarifies existing language relatedto HSAs. Specifically, the existing language provides that administrativereview may occur when an application has been recommended for ap-proval by the local HSA, and the proposal would clarify that administra-tive review may occur when an application has not been recommended fordisapproval by the HSA. This is a technical change reflecting the fact, asnoted in the comment, that HSAs no longer exist in most of the State.

As the comment acknowledges, the Department is holding a series ofpolicy workshops with external stakeholders to examine health carestatutes, regulations and policies in certain key areas for the purpose ofachieving better alignment with changes in the health care system. Infor-mation about this Regulatory Modernization Initiative (RMI) is availableat https://www.health.ny.gov/regulations/regulatory_modernization_initiative. One of the workshops will focus onpotential changes to the CON process, including ways to increase publicengagement. The Department will ensure that this comment is consideredas part of that process.

Comment: The Department of Health should consider making thefollowing: additional future changes to the rules and regulations related toCON: (1) require full review for applications to decertify categories of

hospital services, which would allow an opportunity for public commentcomment; (2) cap the number of hospital beds that can be converted ordecertified through limited or administrative review to a small number ofbeds, with applications pertaining to larger numbers of beds requiring fullCON review; and (3) cap the number of limited or administrative reviewapplications that can be submitted by a single facility in one year to avoidgradual downsizing of a facility without an opportunity for publiccomment.

Response: As the comment acknowledges, these suggestions are forfuture potential changes and do not impact the CON threshold changescurrently being proposed. Further, as indicated above, one of the RMIworkshops will focus on potential changes to the CON process, includingways to increase public engagement. The Department will ensure that thiscomment is considered as part of that process.

Higher Education ServicesCorporation

EMERGENCY

RULE MAKING

New York State Science, Technology, Engineering andMathematics Incentive Program

I.D. No. ESC-36-17-00001-E

Filing No. 651




Action taken: Addition of section 2201.13 to Title 8 NYCRR.

Statutory authority: Education Law, sections 653, 655 and 669-e


Specific reasons underlying the finding of necessity: This statement isbeing submitted pursuant to subdivision (6) of section 202 of the StateAdministrative Procedure Act and in support of the New York State HigherEducation Services Corporation’s (“HESC”) Emergency Rule Makingseeking to add a new section 2201.13 to Title 8 of the Official Compilationof Codes, Rules and Regulations of the State of New York.

This regulation implements a statutory student financial aid programproviding for awards to be made to students beginning with the fall 2014term. Emergency adoption is necessary to avoid an adverse impact on theprocessing of awards to eligible scholarship applicants. The statuteprovides for tuition benefits to college-going students who, beginningAugust 2014, pursue an undergraduate program of study in science,technology, engineering, or mathematics at a New York State publicinstitution of higher education. High school students entering college inAugust must inform the institution of their intent to enroll no later thanMay 1. Therefore, it is critical that the terms of the program as provided inthe regulation be available immediately in order for HESC to processscholarship applications so that students can make informed choices. Toaccomplish this mandate, the statute further provides for HESC topromulgate emergency regulations to implement the program. For thesereasons, compliance with section 202(1) of the State Administrative Pro-cedure Act would be contrary to the public interest.

Subject: New York State Science, Technology, Engineering and Mathemat-ics Incentive Program.

Purpose: To implement the New York State Science, Technology,Engineering and Mathematics Incentive Program.

Text of emergency rule: New section 2201.13 is added to Title 8 of theNew York Code, Rules and Regulations to read as follows:

Section 2201.13 New York State Science, Technology, Engineering andMathematics Incentive Program.

(a) Definitions. The following definitions apply to this section:(1) “Award” shall mean a New York State Science, Technology,

Engineering and Mathematics Incentive Program award pursuant to sec-tion 669-e of the New York State education law.

(2) “Employment” shall mean continuous employment for at leastthirty-five hours per week in the science, technology, engineering ormathematics field, as published on the corporation’s web site, for a publicor private entity located in New York State for five years after the comple-


8

https://www.health.ny.gov/regulations/regulatory_modernization_initiative

https://www.health.ny.gov/regulations/regulatory_modernization_initiative

tion of the undergraduate degree program and, if applicable, a higherdegree program or professional licensure degree program and a grace pe-riod as authorized by section 669-e(4) of the education law.

(3) “Grace period” shall mean a six month period following a recip-ient’s date of graduation from a public institution of higher education and,if applicable, a higher degree program or professional licensure degreeprogram as authorized by section 669-e(4) of the education law.

(4) “High school class” shall mean the total number of studentseligible to graduate from a high school in the applicable school year.

(5) “Interruption in undergraduate study or employment” shall meana temporary period of leave for a definitive length of time due to circum-stances as determined by the corporation, including, but not limited to,maternity/paternity leave, death of a family member, or military duty.

(6) “Program” shall mean the New York State Science, Technology,Engineering and Mathematics Incentive Program codified in section 669-eof the education law.

(7) “Public institution of higher education” shall mean the stateuniversity of New York, as defined in subdivision 3 of section 352 of theeducation law, a community college as defined in subdivision 2 of section6301 of the education law, or the city university of New York as defined insubdivision 2 of section 6202 of the education law.

(8) “School year” shall mean the period commencing on the first dayof July in each year and ending on the thirtieth day of June next following.

(9) “Science, technology, engineering and mathematics” programsshall mean those undergraduate degree programs designated by thecorporation on an annual basis and published on the corporation’s website.

(10) “Successful completion of a term” shall mean that at theend of any academic term, the recipient: (i) met the eligibility require-ments for the award pursuant to sections 661 and 669-e of the educationlaw; (ii) completed at least 12 credit hours or its equivalent in a course ofstudy leading to an approved undergraduate degree in the field of science,technology, engineering, or mathematics; and (iii) possessed a cumulativegrade point average (GPA) of 2.5 as of the date of the certification by theinstitution. Notwithstanding, the GPA requirement is preliminarily waivedfor the first academic term for programs whose terms are organized insemesters, and for the first two academic terms for programs whose termsare organized on a trimester basis. In the event the recipient’s cumulativeGPA is less than a 2.5 at the end of his or her first academic year, the re-cipient will not be eligible for an award for the second academic term forprograms whose terms are organized in semesters or for the third aca-demic term for programs whose terms are organized on a trimester basis.In such case, the award received for the first academic term for programswhose terms are organized in semesters and for the first two academicterms for programs whose terms are organized on a trimester basis mustbe returned to the corporation and the institution may reconcile thestudent’s account, making allowances for any other federal, state, orinstitutional aid the student is eligible to receive for such terms unless: (A)the recipient’s GPA in his or her first academic term for programs whoseterms are organized in semesters was a 2.5 or above, or (B) the recipient’sGPA in his or her first two academic terms for programs whose terms areorganized on a trimester basis was a 2.5 or above, in which case theinstitution may retain the award received and only reconcile the student’saccount for the second academic term for programs whose terms areorganized in semesters or for the third academic term for programs whoseterms are organized on a trimester basis. The corporation shall issue aguidance document, which will be published on its web site.

(b) Eligibility. An applicant for an award under this program pursuantto section 669-e of the education law must also satisfy the general eligibil-ity requirements provided in section 661 of the education law.

(c) Class rank or placement. As a condition of an applicant’s eligibility,the applicant’s high school shall provide the corporation:

(1) official documentation from the high school either (i) showing theapplicant’s class rank together with the total number of students in suchapplicant’s high school class or (ii) certifying that the applicant is in thetop 10 percent of such applicant’s high school class; and

(2) the applicant’s most current high school transcript; and(3) an explanation of how the size of the high school class, as defined

in subdivision (a), was determined and the total number of students insuch class using such methodology. If the high school does not rank thestudents in such high school class, the high school shall also provide thecorporation with an explanation of the method used to calculate the top 10percent of students in the high school class, and the number of students inthe top 10 percent, as calculated. Each methodology must comply with theterms of this program as well as be rational and reasonable. In the eventthe corporation determines that the methodology used by the high schoolfails to comply with the term of the program, or is irrational or unreason-able, the applicant will be denied the award for failure to satisfy theeligibility requirements; and

(4) any additional information the corporation deems necessary to

determine that the applicant has graduated within the top 10 percent ofhis or her high school class.

(d) Administration.(1) Applicants for an award shall:

(i) apply for program eligibility on forms and in a mannerprescribed by the corporation. The corporation may require applicants toprovide additional documentation evidencing eligibility; and

(ii) postmark or electronically transmit applications for programeligibility to the corporation on or before the date prescribed by thecorporation for the applicable academic year. Notwithstanding any otherrule or regulation to the contrary, such applications shall be received bythe corporation no later than August 15th of the applicant’s year of gradu-ation from high school.

(2) Recipients of an award shall:(i) execute a service contract prescribed by the corporation;(ii) apply for payment annually on forms specified by the corpora-

tion;(iii) confirm annually their enrollment in an approved undergradu-

ate program in science, technology, engineering, or mathematics;(iv) receive such awards for not more than four academic years of

full-time undergraduate study or five academic years if the program ofstudy normally requires five years, as defined by the commissioner pursu-ant to article thirteen of the education law, excluding any allowable inter-ruption of study; and

(v) respond to the corporation’s requests for a letter from theiremployer attesting to the employee’s job title, the employee’s number ofhours per work week, and any other information necessary for thecorporation to determine compliance with the program’s employmentrequirements.

(e) Amounts.(1) The amount of the award shall be determined in accordance with

section 669-e of the education law.(2) Disbursements shall be made each term to institutions, on behalf

of recipients, within a reasonable time upon successful completion of theterm subject to the verification and certification by the institution of the re-cipient’s GPA and other eligibility requirements.

(3) Awards shall be reduced by the value of other educational grantsand scholarships limited to tuition, as authorized by section 669-e of theeducation law.

(f) Failure to comply.(1) All award monies received shall be converted to a 10-year student

loan plus interest for recipients who fail to meet the statutory, regulatory,contractual, administrative or other requirement of this program.

(2) The interest rate for the life of the loan shall be fixed and equal tothat published annually by the U.S. Department of Education for under-graduate unsubsidized Stafford loans at the time the recipient signed theservice contract with the corporation.

(3) Interest shall begin to accrue on the day each award payment isdisbursed to the institution.

(4) Interest shall be capitalized on the day the award recipientviolates any term of the service contract or the date the corporation deemsthe recipient was no longer able or willing to perform the terms of the ser-vice contract. Interest on this amount shall be calculated using simpleinterest.

(5) Where a recipient has demonstrated extreme hardship as a resultof a total and permanent disability, labor market conditions, or other suchcircumstances, the corporation may, in its discretion, postpone convertingthe award to a student loan, temporarily suspend repayment of the amountowed, prorate the amount owed commensurate with service completed,discharge the amount owed, or such other appropriate action. Where a re-cipient has demonstrated in-school status, the corporation shall temporar-ily suspend repayment of the amount owed for the period of in-schoolstatus.


Text of rule and any required statements and analyses may be obtainedfrom: Cheryl B. Fisher, NYS Higher Education Services Corporation, 99Washington Avenue, Room 1325, Albany, New York 12255, (518) 474-5592, email: [email protected]

Regulatory Impact StatementStatutory authority:The New York State Higher Education Services Corporation’s

(“HESC”) statutory authority to promulgate regulations and administerthe New York State Science, Technology, Engineering and MathematicsIncentive Program (“Program”) is codified within Article 14 of the Educa-tion Law. In particular, Part G of Chapter 56 of the Laws of 2014 createdthe Program by adding a new section 669-e to the Education Law. Subdivi-


9

sion 5 of section 669-e of the Education Law authorizes HESC topromulgate emergency regulations for the purpose of administering thisProgram.

Pursuant to Education Law § 652(2), HESC was established for thepurpose of improving the post-secondary educational opportunities ofeligible students through the centralized administration of New York Statefinancial aid programs and coordinating the State’s administrative effort instudent financial aid programs with those of other levels of government.

In addition, Education Law § 653(9) empowers HESC’s Board of Trust-ees to perform such other acts as may be necessary or appropriate to carryout the objects and purposes of the corporation including the promulgationof rules and regulations.

HESC’s President is authorized, under Education Law § 655(4), topropose rules and regulations, subject to approval by the Board of Trust-ees, governing, among other things, the application for and the grantingand administration of student aid and loan programs, the repayment ofloans or the guarantee of loans made by HESC; and administrative func-tions in support of state student aid programs. Also, consistent with Educa-tion Law § 655(9), HESC’s President is authorized to receive assistancefrom any Division, Department or Agency of the State in order to properlycarry out his or her powers, duties and functions. Finally, Education Law§ 655(12) provides HESC’s President with the authority to perform suchother acts as may be necessary or appropriate to carry out effectively thegeneral objects and purposes of HESC.

Legislative objectives:The Education Law was amended to add a new section 669-e to create

the “New York State Science, Technology, Engineering and MathematicsIncentive Program” (Program). This Program is aimed at increasing thenumber of individuals working in the fields of science, technology,engineering and mathematics (STEM) in New York State to meet theincreasingly critical need for those skills in the State’s economy.

Needs and benefits:According to a February 2012 report by President Obama’s Council of

Advisors on Science and Technology, there is a need to add to the Ameri-can workforce over the next decade approximately one million more sci-ence, technology, engineering and mathematics (STEM) professionalsthan the United States will produce at current rates in order for the countryto stay competitive. To meet this goal, the United States will need toincrease the number of students who receive undergraduate STEM degreesby about 34% annually over current rates. The report also stated that fewerthan 40% of students who enter college intending to major in a STEMfield complete a STEM degree. Further, a recent Wall Street Journal articlereported that New York state suffers from a shortage of graduates in STEMfields to fill the influx of high-tech jobs that occurred five years ago. At aplant in Malta, about half the jobs were filled by people brought in fromoutside New York and 11 percent were foreigners. According to the article,Bayer Corp. is due to release a report showing that half of the recruitersfrom large U.S. companies surveyed couldn’t find enough job candidateswith four-year STEM degrees in a timely manner; some said that had ledto more recruitment of foreigners. About two-thirds of the recruiterssurveyed said that their companies were creating more STEM positionsthan other types of jobs. There are also many jobs requiring a two-yeardegree. In an effort to deal with this shortage, companies are using moreinternships, grants and scholarships.

The Program is aimed at increasing the number New York graduateswith two and four year degrees in STEM who will be working in STEMfields across New York state. Eligible recipients may receive annualawards for not more than four academic years of undergraduate full-timestudy (or five years if enrolled in a five-year program) while matriculatedin an approved program leading to a career in STEM.

The maximum amount of the award is equal to the annual tuitioncharged to New York State resident students attending an undergraduateprogram at the State University of New York (SUNY), including stateoperated institutions, or City University of New York (CUNY). The cur-rent maximum annual award for the 2014-15 academic year is $6,170.Payments will be made directly to schools on behalf of students upon cer-tification of their successful completion of the academic term.

Students receiving a New York State Science, Technology, Engineeringand Mathematics Incentive Program award must sign a service agreementand agree to work in New York state for five years in a STEM field andreside in the State during those five years. Recipients who do not fulfilltheir service obligation will have the value of their awards converted to astudent loan and be responsible for interest.

Costs:a. It is anticipated that there will be no costs to the agency for the

implementation of, or continuing compliance with this rule.b. The maximum cost of the program to the State is $8 million in the

first year based upon budget estimates.c. It is anticipated that there will be no costs to Local Governments for

the implementation of, or continuing compliance with, this rule.

d. The source of the cost data in (b) above is derived from the New YorkState Division of the Budget.

Local government mandates:No program, service, duty or responsibility will be imposed by this rule

upon any county, city, town, village, school district, fire district or otherspecial district.

Paperwork:This proposal will require applicants to file an electronic application for

each year they wish to receive an award up to and including five years ofeligibility. Recipients are required to sign a contract for services inexchange for an award. Recipients must submit annual status reports untila final disposition is reached in accordance with the written contract.

Duplication:No relevant rules or other relevant requirements duplicating, overlap-

ping, or conflicting with this rule were identified.Alternatives:The proposed regulation is the result of HESC’s outreach efforts to

financial aid professionals with regard to this Program. Several alterna-tives were considered in the drafting of this regulation. For example, sev-eral alternatives were considered in defining terms/phrases used in theregulation as well as the academic progress requirement. Given the statu-tory language as set forth in section 669-e of the Education Law, a “no ac-tion” alternative was not an option.

Federal standards:This proposal does not exceed any minimum standards of the Federal

Government, and efforts were made to align it with similar federal subjectareas as evidenced by the adoption of the federal unsubsidized Staffordloan rate in the event that the award is converted into a student loan.

Compliance schedule:The agency will be able to comply with the regulation immediately

upon its adoption.

Regulatory Flexibility AnalysisThis statement is being submitted pursuant to subdivision (3) of section

202-b of the State Administrative Procedure Act and in support of the NewYork State Higher Education Services Corporation’s (“HESC”) Emer-gency Rule Making, seeking to add a new section 2201.13 to Title 8 of theOfficial Compilation of Codes, Rules and Regulations of the State of NewYork.

It is apparent from the nature and purpose of this rule that it will notimpose an adverse economic impact on small businesses or localgovernments. HESC finds that this rule will not impose any compliancerequirement or adverse economic impact on small businesses or localgovernments. Rather, it has potential positive impacts inasmuch as itimplements a statutory student financial aid program that provides tuitionbenefits to college students who pursue their undergraduate studies in thefields of science, technology, engineering, or mathematics at a New YorkState public institution of higher education. Students will be rewarded forremaining and working in New York, which will provide an economicbenefit to the State’s small businesses and local governments as well.

Rural Area Flexibility AnalysisThis statement is being submitted pursuant to subdivision (4) of section

202-bb of the State Administrative Procedure Act and in support of theNew York State Higher Education Services Corporation’s Emergency RuleMaking, seeking to add a new section 2201.13 to Title 8 of the OfficialCompilation of Codes, Rules and Regulations of the State of New York.

It is apparent from the nature and purpose of this rule that it will notimpose an adverse impact on rural areas. Rather, it has potential positiveimpacts inasmuch as it implements a statutory student financial aidprogram that provides tuition benefits to college students who pursue theirundergraduate studies in the fields of science, technology, engineering, ormathematics at a New York State public institution of higher education.Students will be rewarded for remaining and working in New York, whichwill benefit rural areas around the State as well.

This agency finds that this rule will not impose any reporting, recordkeeping or other compliance requirements on public or private entities inrural areas.

Job Impact StatementThis statement is being submitted pursuant to subdivision (2) of section

201-a of the State Administrative Procedure Act and in support of the NewYork State Higher Education Services Corporation’s Emergency RuleMaking seeking to add a new section 2201.13 to Title 8 of the OfficialCompilation of Codes, Rules and Regulations of the State of New York.

It is apparent from the nature and purpose of this rule that it will nothave any negative impact on jobs or employment opportunities. Rather, ithas potential positive impacts inasmuch as it implements a statutorystudent financial aid program that provides tuition benefits to collegestudents who pursue their undergraduate studies in the fields of science,technology, engineering, or mathematics at New York State public institu-tion of higher education. Students will be rewarded for remaining andworking in New York, which will benefit the State as well.


10

EMERGENCY

RULE MAKING

Excelsior Scholarship

I.D. No. ESC-36-17-00006-E

Filing No. 657




Action taken: Addition of section 2201.18 to Title 8 NYCRR.Statutory authority: Education Law, sections 653, 655 and 669-hFinding of necessity for emergency rule: Preservation of general welfare.Specific reasons underlying the finding of necessity: This statement isbeing submitted pursuant to subdivision (6) of section 202 of the StateAdministrative Procedure Act and in support of the New York State HigherEducation Services Corporation’s (HESC) Emergency Rule Making seek-ing to add a new section 2201.18 to Title 8 of the Official Compilation ofCodes, Rules and Regulations of the State of New York.

This regulation implements a statutory student financial aid programproviding for awards to be made to students beginning with the fall 2017term, which generally starts in August. Emergency adoption is necessaryto avoid an adverse impact on the processing of awards to eligible scholar-ship applicants. The statute provides for full tuition benefits to college-going students pursuing their undergraduate studies at a New York Statepublic institution of higher education. Decisions on applications for thisProgram are made prior to the beginning of the term. Therefore, it is criti-cal that the terms of the Program as provided in the regulation be effectiveimmediately in order for HESC to process scholarship applications in atimely manner. To accomplish this mandate, the statute further providesfor HESC to promulgate emergency regulations to implement the Program.For these reasons, compliance with section 202(1) of the State Administra-tive Procedure Act would be contrary to the public interest.

Subject: Excelsior Scholarship.

Purpose: To implement the Excelsior Scholarship.


Section 2201.18 Excelsior Scholarship.(a) Definitions. For purposes of this section and Education Law, section

669-h, the following definitions shall apply:(1) Award shall mean an Excelsior Scholarship award pursuant to

Education Law, section 669-h.(2) Full-time attendance or full-time study, for purposes of Education

Law, section 669-h(1)(c), shall mean enrollment in at least 12 credits persemester and completion of at least 30 combined credits per year follow-ing the student’s start date, or its equivalent, applicable to his or herprogram of study, excluding any permissible interruption of study asdetermined by the corporation, and except as provided in subdivision (b)of this section and Education Law, section 669-h(1)(c). Noncredit coursesshall not be considered as contributing toward full-time attendance.

(3) Half-time shall mean enrollment in at least six but less than 12credits, or the equivalent, per semester.

(4) Interruption in undergraduate study shall mean a temporary pe-riod of leave for a definitive length of time due to circumstances asdetermined by the corporation, including, but not limited to, death of afamily member, medical leave, military service, service in the Peace Corpsor parental leave.

(5) Program shall mean the Excelsior Scholarship codified in Educa-tion Law, section 669-h.

(6) Public institution of higher education shall mean the StateUniversity of New York, as defined in Education Law, section 352(3), acommunity college as defined in Education Law, section 6301(2), or theCity University of New York as defined in Education Law, section 6202(2).

(7) Satisfactory progress shall have the same meaning as successfulcompletion.

(8) Student’s start date (i) for purposes of Education Law, section669-h(1)(b), shall mean the date the student began attendance as a firsttime college student; and (ii) for purposes of Education Law, section 669-h(1)(c), shall mean the date the college determines such recipient was firstin attendance at that institution.

(9) Successful completion shall mean a student has earned at least 30combined credits in each consecutive year following the student’s startdate, or its equivalent, applicable to his or her program or programs ofstudy except as provided in subdivision (b) of this section and EducationLaw, section 669-h(1)(c).

(b) Eligibility. In addition to the requirements of Education Law, sec-tion 669-h, an applicant must also satisfy the general eligibility require-ments provided in Education Law, section 661. As authorized by Educa-tion Law, section 669-h, the following exceptions and modifications to theeligibility requirements shall apply:

(1) College credit earned toward a recipient’s program(s) of studywhile a high school student or other non-matriculated status shall beconsidered as contributing toward full-time attendance. For a recipientwho earned college credit toward his or her program(s) of study prior toenrolling in college as a matriculated student and who is making satisfac-tory progress toward timely completion of his or her program(s) of study,and is enrolled in coursework not applicable toward his or her program(s)of study, such coursework outside of his or her program(s) of study shallbe considered as contributing toward full-time attendance.

(2) A recipient must be in full-time attendance as defined in thissection.

(3) For purposes of Education Law, section 669-h(1)(b), an applicantmust have completed at least 30 combined credits in each consecutiveyear following his or her start date applicable to his or her program(s) ofstudy which were accepted by his or her current institution at the time ofapplication for this award, except for any permissible interruption of studyas determined by the corporation. Notwithstanding, an applicant whoenrolled in a program(s) of study leading to an undergraduate degree andenrolled as a first-time college student: (i) in the 2015-16 academic yearwho earned at least 54 combined credits applicable to his or her pro-gram(s) of study by the end of the 2016-17 academic year, shall becomeeligible to receive an award in the 2018-19 academic year and thereafterif such student completes at least 90 combined credits applicable to his orher program(s) of study by the end of the 2017-18 academic year; or (ii)in the 2016-17 academic year who earned at least 24 combined creditsapplicable to his or her program(s) of study by the end of the 2016-17 ac-ademic year, shall become eligible to receive an award in the 2018-19 ac-ademic year and thereafter if such student completes at least 60 combinedcredits applicable to his or her program(s) of study by the end of the2017-18 academic year.

(4) For students who are disabled as defined by the Americans withDisabilities Act of 1990, 42 USC 12101, the full-time attendance require-ment is eliminated, subject to the parameters of paragraph 4 of subdivi-sion d of this section.

(c) Administration. In addition to the requirements contained in Educa-tion Law, section 669-h, the following requirements shall also apply.

(1) Applicants for an award shall:(i) apply for program eligibility on forms and in a manner pre-

scribed by the corporation. The corporation may require applicants toprovide additional documentation evidencing eligibility; and

(ii) electronically transmit applications for program eligibility tothe corporation on or before the date prescribed by the corporation for theapplicable academic year.

(2) Recipients of an award shall:(i) execute a contract with the corporation agreeing to reside in

New York State for a continuous number of years equal to the duration ofthe award received and, if employed during such time, to be employed inNew York State;

(ii) apply for payment annually on forms specified by the corpora-tion; and

(iii) receive such awards for not more than two academic years offull-time undergraduate study if enrolled in an eligible two year programof study or four academic years of full-time undergraduate study or fiveacademic years if the program of study normally requires five years, asdefined by the commissioner pursuant to article thirteen of the educationlaw, excluding any allowable interruption of study as defined in thissection. For purposes of this subparagraph, a recipient’s academic yearshall begin with the term he or she was first in attendance at the institutionin which he or she is currently enrolled.

(3) For each recipient, institutions shall certify on forms and in themanner prescribed by the corporation the tuition rate charged by theinstitution, eligibility to receive the award, the number of credits completedeach academic term, the cumulative credits at the end of each academicterm, the type and amount of each student financial aid award received,excluding loans and work study, and any other information requested bythe corporation.

(d) Amounts.(1) The amount of the award shall be determined in accordance with

Education Law, section 669-h.(2) Disbursements shall be made each term to institutions, on behalf

of recipients, within a reasonable time subject to the verification and certi-fication by the institution of the recipient’s full-time status and othereligibility and certification requirements.

(3) Awards shall be reduced by the value of other educational grantsand scholarships that cover the cost of attendance unless the award is


11

exclusively for non-tuition expenses as authorized by Education Law, sec-tion 669-h.

(4) For students who are disabled as defined by the Americans withDisabilities Act of 1990, 42 USC 12101, upon each certification by thecollege or university, payment eligibility shall be determined and mea-sured proportionally in equivalence with full-time study.

(e) Contractual obligation.(1) For the purpose of complying with Education Law, section 669-

h(4)(e), military personnel, including those in the Military Reserves andROTC or CSPI, for whom New York is his or her legal state of residenceshall be deemed to reside and be employed in New York State regardless ofwhere the individual is stationed or deployed.

(2) For the purpose of complying with Education Law, section 669-h(4)(e), for a recipient who is no longer eligible to receive award pay-ments, the duration he or she resides in New York State while completingundergraduate or graduate study, including medical residency, shall becredited toward the time necessary to satisfy the recipient’s residency andemployment requirement.

(3) Where a recipient, within six months of receipt of his or her finalaward payment, fails to maintain permanent domicile in New York Statefor a continuous number of years equal to the duration of the awardreceived or, during such time, is employed in any other state, the corpora-tion shall convert all award monies received to a 10-year student loan,without interest. However, the requirement to maintain permanent domi-cile, and only be employed, in New York State, may be deferred to completeundergraduate study or attend graduate school, including medicalresidency, on at least a half-time basis.

(4) Where a recipient has demonstrated extreme hardship as a resultof a disability, labor market conditions, or other such circumstances, thecorporation may, in its discretion, postpone converting the award to astudent loan, temporarily suspend repayment of the amount owed, dis-charge the amount owed, or take such other appropriate action. Notwith-standing, the corporation shall prorate the amount owed commensuratewith the length of time the recipient complied with the residency andemployment requirements.



Regulatory Impact StatementStatutory authority:The New York State Higher Education Services Corporation’s (HESC)

statutory authority to promulgate regulations and administer the ExcelsiorScholarship (Program) is codified within Article 14 of the Education Law.In particular, Part HHH of Chapter 59 of the Laws of 2017 created theProgram by adding a new section 669-h to the Education Law. Subdivi-sion 6 of section 669-h of the Education Law authorizes HESC topromulgate emergency regulations for the purpose of administering thisProgram.




Legislative objectives:The Education Law was amended to add a new section 669-h to create

the Excelsior Scholarship (Program). This Program makes college tuition-free for New York’s middle class families at all State University of NewYork (SUNY) and City University of New York (CUNY) two-year andfour-year colleges.

Needs and benefits:Many studies have underscored the importance of a college degree in

today’s global economy. According to a report by the Center on Educationand the Workforce (CEW) at Georgetown University, by 2020, 65 percentof all jobs will require some form of postsecondary education or training,compared to 59 percent of jobs in 2010. The CEW report finds that havinga skilled workforce is critical if the United States is to “remain competi-tive, attract the right type of industry, and engage the right type of talent ina knowledge-based and innovative economy.” At the current pace, theUnited States will fall short of its skilled workforce needs by 5 millionworkers. The disparity in earning potential between high school graduatesand college graduates has never been greater, nor has the student loan debt– which stands at $1.3 trillion – being carried by those who have pursued apostsecondary education. Recognizing the growing need for workers withpostsecondary education and training, the wage earnings benefits for thosewith training beyond high school, the rapidly rising college costs andmounting student loan debt, this Program makes college tuition-free forNew York’s students attending a State University of New York (SUNY) orCity University of New York (CUNY) two-year or four-year college.

The Program provides for annual tuition awards up to $5,500 for resi-dent, undergraduate students from households with incomes of up to$125,000, when fully phased in. Students must be on track to complete anassociate’s degree in two years or a bachelor’s degree in four years by tak-ing at least 30 credits each year. Awards are reduced by other financial aidreceived by the student, such as a Tuition Assistance Program (TAP)award. Any remaining tuition expense will be covered through a collegecredit. Payments will be made directly to the public college or universityon behalf of the student upon certification of his or her successful comple-tion of the academic term.

Students receiving an Excelsior Scholarship award must sign a contractagreeing to live in New York State for a number of years equal to the dura-tion of the award received and, if employed, work within the State duringthis time. Recipients who do not satisfy this obligation will have the valueof their awards converted to an interest-free student loan.


implementation of, or continuing compliance with this rule.b. The maximum cost of the program to the State is $87 million in the

first year based upon budget estimates.c. It is anticipated that there will be no costs to Local Governments for

the implementation of, or continuing compliance with, this rule.d. The source of the cost data in (b) above is derived from the New York

State Division of the Budget.Local government mandates:No program, service, duty or responsibility will be imposed by this rule



each year they wish to receive an award up to and including five years ofeligibility. Recipients are required to sign a contract agreeing to live inNew York State, and not be employed outside the State, in exchange for anaward. Recipients must submit annual status reports until a final disposi-tion is reached in accordance with the written contract.



financial aid professionals with regard to this Program. Several alterna-tives were considered in the drafting of this regulation, such as the ap-plication of the credit requirement. Given the statutory language as setforth in section 669-h of the Education Law, a “no action” alternative wasnot an option.


Government.Compliance schedule:The agency will be able to comply with the regulation immediately

upon its adoption.


202-b of the State Administrative Procedure Act and in support of the NewYork State Higher Education Services Corporation’s (HESC) EmergencyRule Making, seeking to add a new section 2201.18 to Title 8 of the Of-ficial Compilation of Codes, Rules and Regulations of the State of NewYork.

It is apparent from the nature and purpose of this rule that it will notimpose an adverse economic impact on small businesses or localgovernments. HESC finds that this rule will not impose any compliance


12

requirement or adverse economic impact on small businesses or localgovernments. Rather, it has potential positive impacts inasmuch as itimplements a statutory student financial aid program that provides full tu-ition benefits to college students who pursue their undergraduate studies ata New York State public institution of higher education. Students will berewarded for remaining and working in New York, which will provide aneconomic benefit to the State’s small businesses and local governments aswell.Rural Area Flexibility Analysis

This statement is being submitted pursuant to subdivision (4) of section202-bb of the State Administrative Procedure Act and in support of theNew York State Higher Education Services Corporation’s Emergency RuleMaking, seeking to add a new section 2201.18 to Title 8 of the OfficialCompilation of Codes, Rules and Regulations of the State of New York.

It is apparent from the nature and purpose of this rule that it will notimpose an adverse impact on rural areas. Rather, it has potential positiveimpacts inasmuch as it implements a statutory student financial aidprogram that provides full tuition benefits to college students who pursuetheir undergraduate studies at a New York State public institution of highereducation. Students will be rewarded for remaining and working in NewYork, which will benefit rural areas around the State as well.


Job Impact StatementThis statement is being submitted pursuant to subdivision (2) of section

201-a of the State Administrative Procedure Act and in support of the NewYork State Higher Education Services Corporation’s Emergency RuleMaking seeking to add a new section 2201.18 to Title 8 of the OfficialCompilation of Codes, Rules and Regulations of the State of New York.

It is apparent from the nature and purpose of this rule that it will nothave any negative impact on jobs or employment opportunities. Rather, ithas potential positive impacts inasmuch as it implements a statutorystudent financial aid program that provides full tuition benefits to collegestudents who pursue their undergraduate studies at a New York State pub-lic institution of higher education. Students will be rewarded for remain-ing and working in New York, which will benefit the State as well.

EMERGENCY

RULE MAKING

Enhanced Tuition Awards Program

I.D. No. ESC-36-17-00007-E

Filing No. 658




Action taken: Addition of section 2201.19 to Title 8 NYCRR.

Statutory authority: Education Law, sections 653, 655 and 667-d


Specific reasons underlying the finding of necessity: This statement isbeing submitted pursuant to subdivision (6) of section 202 of the StateAdministrative Procedure Act and in support of the New York State HigherEducation Services Corporation’s (HESC) Emergency Rule Making seek-ing to add a new section 2201.19 to Title 8 of the Official Compilation ofCodes, Rules and Regulations of the State of New York.

This regulation implements a statutory student financial aid programproviding for awards to be made to students beginning with the fall 2017term, which generally starts in August. Emergency adoption is necessaryto avoid an adverse impact on the processing of awards to eligible scholar-ship applicants. The statute provides for tuition benefits to college-goingstudents pursuing their undergraduate studies at a New York State privateinstitution of higher education. Decisions on applications for this Programare made prior to the beginning of the term. Therefore, it is critical that theterms of the Program as provided in the regulation be effective im-mediately in order for HESC to process scholarship applications in atimely manner. To accomplish this mandate, the statute further providesfor HESC to promulgate emergency regulations to implement the Program.For these reasons, compliance with section 202(1) of the State Administra-tive Procedure Act would be contrary to the public interest.

Subject: Enhanced Tuition Awards program.

Purpose: To implement the Enhanced Tuition Awards program.


Section 2201.19 Enhanced Tuition Awards.(a) Definitions. For purposes of this section and Education Law, section

667-d, the following definitions shall apply:(1) Award shall mean an Enhanced Tuition Award pursuant to Educa-

tion Law, section 667-d.(2) Full-time attendance or full-time study, for purposes of Education

Law, section 667-d(1)(d)(ii), shall mean enrollment in at least 12 creditsper semester and completion of at least 30 combined credits per year fol-lowing the student’s start date, or its equivalent, applicable to his or herprogram of study, excluding any permissible interruption of study asdetermined by the corporation, and except as provided in subdivision (b)of this section and Education Law, section 667-d(1)(d)(ii). Noncreditcourses shall not be considered as contributing toward full-timeattendance.

(3) Half-time shall mean enrollment in at least six but less than 12credits, or the equivalent, per semester.

(4) Interruption in undergraduate study shall mean a temporary pe-riod of leave for a definitive length of time due to circumstances asdetermined by the corporation, including, but not limited to, death of afamily member, medical leave, military service, service in the Peace Corpsor parental leave.

(5) Program shall mean the Enhanced Tuition Awards codified inEducation Law, section 667-d.

(6) Satisfactory progress shall have the same meaning as successfulcompletion.

(7) Student’s start date (i) for purposes of Education Law, section667-d(1)(d)(i), shall mean the date the student began attendance as a firsttime college student; and (ii) for purposes of Education Law, section 667-d(1)(d)(ii), shall mean the date the college determines such recipient wasfirst in attendance at that institution.

(8) Successful completion shall mean a student has earned at least 30combined credits in each consecutive year following the student’s startdate, or its equivalent, applicable to his or her program or programs ofstudy except as provided in subdivision (b) of this section and EducationLaw, section 667-d(1)(d)(ii).

(b) Eligibility. In addition to the requirements of Education Law, sec-tion 667-d, an applicant must also satisfy the general eligibility require-ments provided in Education Law, section 661. As authorized by Educa-tion Law, section 667-d, the following exceptions and modifications to theeligibility requirements shall apply:

(1) College credit earned toward a recipient’s program(s) of studywhile a high school student or other non-matriculated status shall beconsidered as contributing toward full-time attendance. For a recipientwho earned college credit toward his or her program(s) of study prior toenrolling in college as a matriculated student and who is making satisfac-tory progress toward timely completion of his or her program(s) of study,and is enrolled in coursework not applicable toward his or her program(s)of study, such coursework outside of his or her program(s) of study shallbe considered as contributing toward full-time attendance.

(2) A recipient must be in full-time attendance as defined in thissection.

(3) For purposes of Education Law, section 667-d(1)(d)(i), an ap-plicant must have completed at least 30 combined credits in each consecu-tive year following his or her start date applicable to his or her program(s)of study which were accepted by his or her current institution at the timeof application for this award, except for any permissible interruption ofstudy as determined by the corporation. Notwithstanding, an applicantwho enrolled in a program(s) of study leading to an undergraduate degreeand enrolled as a first-time college student: (i) in the 2015-16 academicyear who earned at least 54 combined credits applicable to his or herprogram(s) of study by the end of the 2016-17 academic year, shall becomeeligible to receive an award in the 2018-19 academic year and thereafterif such student completes at least 90 combined credits applicable to his orher program(s) of study by the end of the 2017-18 academic year; or (ii)in the 2016-17 academic year who earned at least 24 combined creditsapplicable to his or her program(s) of study by the end of the 2016-17 ac-ademic year, shall become eligible to receive an award in the 2018-19 ac-ademic year and thereafter if such student completes at least 60 combinedcredits applicable to his or her program(s) of study by the end of the2017-18 academic year.

(4) For students who are disabled as defined by the Americans withDisabilities Act of 1990, 42 USC 12101, the full-time attendance require-ment is eliminated, subject to the parameters of paragraph 3 of subdivi-sion e of this section.

(c) Recipient selection. If there are more applicants than availablefunds, the following provisions shall apply:

(1) In the program’s first year:(i) First priority shall be given to eligible applicants who are cur-

rently in attendance at an institution of higher education. If there are moreapplicants than available funds, recipients shall be chosen by lottery.


13

(ii) Second priority shall be given to eligible applicants who arematriculated in an approved program leading to an undergraduate degreeat a private not-for-profit degree granting institution of higher educationlocated in New York State, except those institutions set forth in EducationLaw, section 661(4)(b), for the first time. If there are more applicants thanavailable funds, recipients shall be chosen by lottery.

(2) After the program’s first year:(i) First priority shall be given to eligible applicants who have

received payment of an award pursuant to this section in a prior year andare currently in attendance at a private not-for-profit degree grantinginstitution of higher education located in New York State, except thoseinstitutions set forth in Education Law, section 661(4)(b). If there are moreapplicants than available funds, recipients shall be chosen by lottery.

(ii) Second priority shall be given to eligible applicants who havenot received payment of an award in a prior year and are currently in at-tendance at an institution of higher education. If there are more applicantsthan available funds, recipients shall be chosen by lottery.

(iii) Third priority shall be given to eligible applicants who arematriculated in an approved program leading to an undergraduate degreeat a private not-for-profit degree granting institution of higher educationlocated within New York State, except those institutions set forth in Educa-tion Law, section 661(4)(b), for the first time. If there are more applicantsthan available funds, recipients shall be chosen by lottery.

(d) Administration. In addition to the requirements contained in Educa-tion Law, section 667-d, the following requirements shall also apply.

(1) Applicants for an award shall:(i) apply for program eligibility on forms and in a manner pre-

scribed by the corporation. The corporation may require applicants toprovide additional documentation evidencing eligibility; and

(ii) electronically transmit applications for program eligibility tothe corporation on or before the date prescribed by the corporation for theapplicable academic year.

(2) Recipients of an award shall:(i) execute a contract with the corporation agreeing to reside in

New York State for a continuous number of years equal to the duration ofthe award received and, if employed during such time, to be employed inNew York State;

(ii) apply for payment annually on forms specified by the corpora-tion; and

(iii) receive such awards for not more than two academic years offull-time undergraduate study if enrolled in an eligible two year programof study or four academic years of full-time undergraduate study or fiveacademic years if the program of study normally requires five years, asdefined by the commissioner pursuant to article thirteen of the educationlaw, excluding any allowable interruption of study as defined in thissection. For purposes of this subparagraph, a recipient’s academic yearshall begin with the term he or she was first in attendance at the institutionin which he or she is currently enrolled.

(3) Institutions.(i) Certification. For each recipient, institutions shall certify on

forms and in the manner prescribed by the corporation the tuition ratecharged by the institution, the amount of the institution’s matching award,eligibility to receive the award, the number of credits completed each aca-demic term, the cumulative credits at the end of each academic term, andany other information requested by the corporation.

(ii) College Option. (A) An institution may annually choose to par-ticipate in the Program or to opt out of the Program in the mannerprescribed by the corporation; (B) Institutional participation shall be foran entire academic year; (C) An institution may establish a cap on itsparticipation based on a dollar threshold or a maximum number ofstudents; (D) An institution that opts out of the Program shall continue toprovide the institutional matching award and applicable tuition rate to allaward recipients until such recipients have exhausted eligibility or are nolonger eligible for award payments.

(e) Amounts.(1) The amount of the award shall be determined in accordance with

Education Law, section 667-d.(2) Disbursements shall be made each term to institutions, on behalf

of recipients, within a reasonable time subject to the verification and certi-fication by the institution of the recipient’s full-time status and othereligibility and certification requirements.

(3) For students who are disabled as defined by the Americans withDisabilities Act of 1990, 42 USC 12101, upon each certification by thecollege or university, payment eligibility shall be determined and mea-sured proportionally in equivalence with full-time study.

(f) Contractual obligation.(1) For the purpose of complying with Education Law, section 667-

d(1)(f), military personnel, including those in the Military Reserves andROTC or CSPI, for whom New York is his or her legal state of residenceshall be deemed to reside and be employed in New York State regardless ofwhere the individual is stationed or deployed.

(2) For the purpose of complying with Education Law, section 667-d(1)(f), for a recipient who is no longer eligible to receive award pay-ments, the duration he or she resides in New York State while completingundergraduate or graduate study, including medical residency, shall becredited toward the time necessary to satisfy the recipient’s residency andemployment requirement.

(3) Where a recipient, within six months of receipt of his or her finalaward payment, fails to maintain permanent domicile in New York Statefor a continuous number of years equal to the duration of the awardreceived or, during such time, is employed in any other state, the corpora-tion shall convert all award monies received to a 10-year student loan,without interest. However, the requirement to maintain permanent domi-cile, and only be employed, in New York State, may be deferred to completeundergraduate study or attend graduate school, including medicalresidency, on at least a half-time basis.

(4) Where a recipient has demonstrated extreme hardship as a resultof a disability, labor market conditions, or other such circumstances, thecorporation may, in its discretion, postpone converting the award to astudent loan, temporarily suspend repayment of the amount owed, dis-charge the amount owed, or take such other appropriate action. Notwith-standing, the corporation shall prorate the amount owed commensuratewith the length of time the recipient complied with the residency andemployment requirements.



Regulatory Impact StatementStatutory authority:The New York State Higher Education Services Corporation’s (HESC)

statutory authority to promulgate regulations and administer EnhancedTuition Awards (Program) is codified within Article 14 of the EducationLaw. In particular, Part III of Chapter 59 of the Laws of 2017 created theProgram by adding a new section 667-d to the Education Law. Subdivi-sion 9 of section 667-d of the Education Law authorizes HESC topromulgate emergency regulations for the purpose of administering thisProgram.




Legislative objectives:The Education Law was amended to add a new section 667-d to create

the Enhanced Tuition Awards program (Program). This Program is aimedat reducing tuition costs and accelerating completion rates for studentswho attend a private college in New York State.

Needs and benefits:Many studies have underscored the importance of a college degree in

today’s global economy. According to a report by the Center on Educationand the Workforce (CEW) at Georgetown University, by 2020, 65 percentof all jobs will require some form of postsecondary education or training,compared to 59 percent of jobs in 2010. The CEW report finds that havinga skilled workforce is critical if the United States is to “remain competi-tive, attract the right type of industry, and engage the right type of talent ina knowledge-based and innovative economy.” At the current pace, theUnited States will fall short of its skilled workforce needs by 5 millionworkers. The disparity in earning potential between high school graduatesand college graduates has never been greater, nor has the student loan debt


14

– which stands at $1.3 trillion – being carried by those who have pursued apostsecondary education.

Recognizing the growing need for workers with postsecondary educa-tion and training, the wage earnings benefits for those with training be-yond high school, the rapidly rising college costs and mounting studentloan debt, this Program awards students up to $6,000 to offset students’ tu-ition costs through a combination of a New York State Tuition AssistanceProgram (TAP) award, the Enhanced Tuition Award and a match fromthose private colleges who elect to participate in the Program. When fullyphased in, Program awards will be available to resident, undergraduatestudents from households with incomes of up to $125,000. To be eligiblefor a Program award, students must be on track to complete an associate’sdegree in two years or a bachelor’s degree in four years by taking at least30 credits each year. Payments will be made directly to colleges anduniversities on behalf of students upon certification of their successfulcompletion of the academic term.

Students receiving Enhanced Program Awards must sign a contractagreeing to live in New York State for the number of years equal to theduration of the award received and, if employed, work within the Stateduring this time. Recipients who do not satisfy this obligation will havethe value of their awards converted to an interest-free student loan.


implementation of, or continuing compliance with this rule.b. Private colleges that opt to participate in the Program are required to

credit each recipients remaining tuition expenses in an amount equal to therecipient’s award (“matching award”). Such credit will be applied after therecipient has received an institutional aid package, if any, to ensure thatthis program does not reduce institutional aid that would otherwise begranted. The maximum amount of the matching award to a recipient is$3,000.

c. The maximum cost of the program to the State is $19 million in thefirst year based upon budget estimates.

d. It is anticipated that there will be no costs to Local Governments forthe implementation of, or continuing compliance with, this rule.

e. The source of the cost data in (c) above is derived from the New YorkState Division of the Budget.

Local government mandates:No program, service, duty or responsibility will be imposed by this rule



each year they wish to receive an award up to and including five years ofeligibility. Recipients are required to sign a contract agreeing to live inNew York State, and not be employed outside the State, in exchange for anaward. Recipients must submit annual status reports until a final disposi-tion is reached in accordance with the written contract.



financial aid professionals with regard to this Program. Several alterna-tives were considered in the drafting of this regulation, such as the ap-plication of the credit requirement. Given the statutory language as setforth in section 667-d of the Education Law, a “no action” alternative wasnot an option.


Government.Compliance schedule:The agency will be able to comply with the regulation immediately

upon its adoption.


202-b of the State Administrative Procedure Act and in support of the NewYork State Higher Education Services Corporation’s (HESC) EmergencyRule Making, seeking to add a new section 2201.19 to Title 8 of the Of-ficial Compilation of Codes, Rules and Regulations of the State of NewYork.

This rule implements a statutory student financial aid program thatprovides tuition benefits to college students who pursue their undergradu-ate studies at a New York State private institution of higher education.Colleges that opt to participate in the Program are required to credit eachrecipients remaining tuition expenses in an amount equal to the recipient’saward (“matching award”). Such credit will be applied after the recipienthas received an institutional aid package, if any, to ensure that this programdoes not reduce institutional aid that would otherwise be granted. Themaximum amount of the matching award to a recipient is $3,000.

Notwithstanding, HESC finds that this rule will not impose any compli-ance requirement or adverse economic impact on small businesses or localgovernments. Rather, it has potential positive impacts by offering $19 mil-lion in new financial aid support for students seeking to enroll in a privatecollege in New York state and providing students with additional tuitionaward benefits. Students will be rewarded for remaining and working inNew York, which will provide an economic benefit to the State’s smallbusinesses and local governments as well.

Rural Area Flexibility Analysis

This statement is being submitted pursuant to subdivision (4) of section202-bb of the State Administrative Procedure Act and in support of theNew York State Higher Education Services Corporation’s Emergency RuleMaking, seeking to add a new section 2201.19 to Title 8 of the OfficialCompilation of Codes, Rules and Regulations of the State of New York.

It is apparent from the nature and purpose of this rule that it will notimpose an adverse impact on rural areas. Rather, it has potential positiveimpacts inasmuch as it implements a statutory student financial aidprogram that provides tuition benefits to college students who pursue theirundergraduate studies at a New York State private institution of highereducation. Students will be rewarded for remaining and working in NewYork, which will benefit rural areas around the State as well.


Job Impact Statement

This statement is being submitted pursuant to subdivision (2) of section201-a of the State Administrative Procedure Act and in support of the NewYork State Higher Education Services Corporation’s Emergency RuleMaking seeking to add a new section 2201.19 to Title 8 of the OfficialCompilation of Codes, Rules and Regulations of the State of New York.

It is apparent from the nature and purpose of this rule that it will nothave any negative impact on jobs or employment opportunities. Rather, ithas potential positive impacts inasmuch as it implements a statutorystudent financial aid program that provides tuition benefits to collegestudents who pursue their undergraduate studies at a New York Stateprivate institution of higher education. Students will be rewarded forremaining and working in New York, which will benefit the State as well.

Department of Motor Vehicles

NOTICE OF ADOPTION

International Registration Plan

I.D. No. MTV-27-17-00008-A

Filing No. 663




Action taken: Amendment of sections 28.2(l) and 28.4(g) of Title 15NYCRR.

Statutory authority: Vehicle and Traffic Law, sections 215(a) and 405-i

Subject: International Registration Plan.

Purpose: Allows trip permits to be performed via electronic technologiesthat may be acceptable to the International Registration Bureau.

Text or summary was published in the July 5, 2017 issue of the Register,I.D. No. MTV-27-17-00008-P.


Text of rule and any required statements and analyses may be obtainedfrom: Heidi A. Bazicki, Department of Motor Vehicles, 6 Empire StatePlaza, Rm. 522A, Albany, NY 12228, (518) 474-0871, email:[email protected]

Assessment of Public Comment

The agency received no public comment.


15

Office for People withDevelopmental Disabilities

NOTICE OF ADOPTION

Reportable Incidents and Notable Occurrences

I.D. No. PDD-27-17-00009-A

Filing No. 661




Action taken: Amendment of section 624.5(d) of Title 14 NYCRR.Statutory authority: Mental Hygiene Law, sections 13.07, 13.09(b) and16.00Subject: Reportable Incidents and Notable Occurrences.Purpose: To amend existing regulations for mandated reporters of report-able incidents to the Justice Center.Text or summary was published in the July 5, 2017 issue of the Register,I.D. No. PDD-27-17-00009-EP.Final rule as compared with last published rule: No changes.Text of rule and any required statements and analyses may be obtainedfrom: Office of Counsel, Bureau of Policy and Regulatory Affairs, Officefor People With Developmental Disabilities (OPWDD), 44 Holland Ave-nue 3rd Floor, Albany, NY 12229, (518) 474-7700, email:[email protected]

Additional matter required by statute: Pursuant to the requirements of theState Environmental Quality Review Act, OPWDD, as lead agency, hasdetermined that the action described herein will have no effect on theenvironment and an E.I.S. is not needed.

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.


PROPOSED RULE MAKING


Agency Name Change Update

I.D. No. PDD-36-17-00014-P

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

Proposed Action: This is a consensus rule making to amend Parts 630 and671 of Title 14 NYCRR.

Statutory authority: Mental Hygiene Law, section 13.09(b)

Subject: Agency Name Change Update.

Purpose: To update the agency name in Title 14 NYCRR Parts 630 and671.

Text of proposed rule: Section 630.1 is amended as follows:D … [of Mental Retardation and] for People With Developmental Dis-

abilities [(OMRDD)] (OPWDD)...Section 630.2 is amended as follows:D Subdivision (a)(a)… [OMRDD] OPWDD... [OMRDD] OPWDD...D Subdivision (b)(b)… [OMRDD] OPWDD…D Paragraphs (b)(1) and (2)

(1)…[OMRDD] OPWDD…[OMRDD] OPWDD…(2)… [OMRDD] OPWDD…[OMRDD] OPWDD…

(c)… define [“mental retardation” and] …Section 630.3 is amended as follows:D Section 630.3. Determination of eligibility for services in the

[OMRDD] OPWDD systemD… [OMRDD] OPWDD…[OMRDD] OPWDD… [OMRDD] OPWD-

D…[OMRDD] OPWDD…

Section 630.4 is amended as follows:D Subdivisions (a), (b) and (c)(a)… [OMRDD] OPWDD...(b)… [OMRDD] OPWDD…[OMRDD] OPWDD…(c) … [OMRDD] OPWDD...D Paragraph (c)(2)

(2)… [OMRDD] OPWDD...Section 630.5 is amended as follows:D Section 630.5. Eligibility for [OMRDD] OPWDD ServicesD The following policy of [OMRDD] OPWDD entitled “Eligibility for

[OMRDD] OPWDD Services” is hereby inserted into this PartD New York State Office [of Mental Retardation and] for People With

Developmental DisabilitiesD ELIGIBILITY FOR [OMRDD] OPWDD SERVICESD … [OMRDD] OPWDD … [OMRDD] OPWDD … [OMRDD]

OPWDD… [OMRDD] OPWDD…… [OMRDD] OPWDD… [OMRDD]OPWDD … [OMRDD] OPWDD…[OMRDD] OPWDD…… [OMRDD]OPWDD… [OMRDD] OPWDD…

Subparagraph 671.5 is amended as follows:D Paragraph (b)(1) and (2)

(1)… [OMRDD] OPWDD…(2)… [OMRDD] OPWDD…

Text of proposed rule and any required statements and analyses may beobtained from: Office of Counsel, Bureau of Policy and Regulatory Af-fairs, Office for People With Developmental Disabilities (OPWDD), 44Holland Avenue 3rd Floor, Albany, NY 12229, (518) 474-7700, email:[email protected]



Additional matter required by statute: Pursuant to the requirements of theState Environmental Quality Review Act, OPWDD, as lead agency, hasdetermined that the action described herein will have no effect on theenvironment and an E.I.S. is not needed.

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

Consensus Rule Making DeterminationIn conformance with Mental Hygiene Law, OPWDD is updating exist-

ing regulations, in Title 14 NYCRR Parts 630 and 671, to change theagency’s name from “Office of Mental Retardation (OMRDD)” to “Officefor People With Developmental Disabilities (OPWDD).”

OPWDD has determined that due to the nature and purpose of theseamendments, and the support for these amendments from individuals withdevelopmental disabilities, family members, and other interested parties,no person is likely to object to the rule as written.

Job Impact StatementOPWDD is not submitting a Job Impact Statement for this proposed

rulemaking because this rulemaking will not have a substantial adverseimpact on jobs or employment opportunities.

The proposed regulations update terminology found in Title 14 NYCRRto change the agency’s name from “Office of Mental Retardation (OM-RDD)” to “Office for People With Developmental Disabilities (OPWDD).”The amendments will not result in any increased costs, including staffingcosts, or compliance activities. Consequently, the proposed regulationswill not have a substantial adverse impact on jobs or employmentopportunities.

Public Service Commission

NOTICE OF WITHDRAWAL

PURSUANT TO THE PROVISIONS OF THE StateAdministrative Procedure Act, NOTICE is hereby given of thefollowing actions:

The following rule makings have been withdrawn fromconsideration:

I.D. No. Publication Date of ProposalPSC-39-06-00018-P September 27, 2006PSC-39-06-00019-P September 27, 2006PSC-39-06-00022-P September 27, 2006PSC-40-06-00005-P October 4, 2006PSC-42-06-00011-P October 18, 2006PSC-44-06-00014-P November 1, 2006


16


PSC-45-06-00007-P November 8, 2006PSC-01-07-00031-P January 3, 2007



Notice of Intent to Submeter Electricity

I.D. No. PSC-36-17-00008-P


Proposed Action: The Commission is considering the Notice of Intent ofBowery Residents’ Committee to submeter electricity at 233 LandingRoad, Bronx, New York and request for a waiver of the 16 NYCRR§ 96.5(k)(3), energy audit requirement.

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: Notice of Intent to submeter electricity.

Purpose: To consider the Notice of Intent to submeter electricity at 233Landing Road, Bronx, New York and waiver request.

Substance of proposed rule: The Commission is considering the Noticeof Intent of Bowery Residents’ Committee filed on August 1, 2017, tosubmeter electricity at 233 Landing Road, Bronx, New York, located inthe service territory of Consolidated Edison Company of New York, Inc.The Commission is also considering the Bowery Residents’ Committeerequest for a waiver of 16 NYCRR § 96.5(k)(3), which requires proof thatan energy audit has been conducted when 20 percent or more of theresidents receive income-based housing assistance. The full text of theNotice of Intent and waiver request may be reviewed online at the Depart-ment of Public Service web page: www.dps.ny.gov. The Commission mayadopt, reject or modify, in whole or in part, the relief proposed and mayresolve 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: [email protected]

Data, views or arguments may be submitted to: Kathleen H. Burgess,Secretary, Public Service Commission, 3 Empire State Plaza, Albany, NewYork 12223-1350, (518) 474-6530, email: [email protected]


Regulatory Impact Statement, Regulatory Flexibility Analysis, RuralArea Flexibility Analysis and Job Impact StatementStatements and analyses are not submitted with this notice because theproposed rule is within the definition contained in section 102(2)(a)(ii) ofthe State Administrative Procedure Act.(17-E-0467SP1)



Clarification of the Commission’s Order Extending the BQDMProgram

I.D. No. PSC-36-17-00009-P


Proposed Action: The Public Service Commission is considering a peti-tion by Consolidated Edison Company of New York, Inc. seeking clarifica-tion of the Commission’s Order Extending Brooklyn/Queens DemandManagement (BQDM) Program, issued July 13, 2017.

Statutory authority: Public Service Law, sections 22 and 66(1)

Subject: Clarification of the Commission’s Order Extending the BQDMProgram.

Purpose: To consider Con Edison’s petition for clarification of the Com-mission’s Order Extending BQDM Program.

Substance of proposed rule: The Public Service Commission is consider-ing the petition submitted on August 14, 2017 by Consolidated EdisonCompany of New York, Inc. (Con Edison or Company) for clarification ofthe Commission’s Order Extending Brooklyn/Queens Demand Manage-ment (BQDM) Program, issued July 13, 2017. Specifically, the Company

is seeking clarification that non-wires alternative projects, including anyadditional deferral or offset of the Glendale Project, subsequent to exhaus-tion of BQDM Program funding would be separate from the BQDMProgram and would be considered eligible for shareholder incentives. Thefull text of the petition may be reviewed online at the Department of Pub-lic Service web page: www.dps.ny.gov. The Commission may adopt, rejector modify, in whole or in part, the petition 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: [email protected], views or arguments may be submitted to: Kathleen H. Burgess,Secretary, Public Service Commission, 3 Empire State Plaza, Albany, NewYork 12223-1350, (518) 474-6530, email: [email protected]






I.D. No. PSC-36-17-00010-P


Proposed Action: The Commission is considering the Notice of Intent ofThe Heritage Dean Street, LLC, to submeter electricity at 470 Dean Street,Brooklyn, New York.



Purpose: To consider the Notice of Intent of The Heritage Dean Street,LLC, to submeter electricity at 470 Dean St, Brooklyn, New York.

Substance of proposed rule: The Commission is considering the Noticeof Intent of The Heritage Dean Street, LLC filed on July 27, 2017, tosubmeter electricity at 470 Dean Street, Brooklyn, New York, located inthe service territory of Consolidated Edison Company of New York, Inc.The full text of the Notice of Intent may be reviewed online at the Depart-ment of Public Service web page: www.dps.ny.gov under case number 17-E-0457. The Commission may adopt, reject or modify, in whole or in part,the relief proposed and may resolve related matters.








I.D. No. PSC-36-17-00011-P



17




Proposed Action: The Commission is considering the Notice of Intent of229 Cherry Street LLC to submeter electricity at 229 Cherry Street, NewYork, New York and request for a waiver of the 16 NYCRR § 96.5(k)(3),energy audit requirement.



Purpose: To consider the Notice of Intent to submeter electricity at 229Cherry Street, New York, New York and waiver request.

Substance of proposed rule: The Commission is considering the Noticeof Intent of 229 Cherry Street LLC (Applicant) filed on August 4, 2017, tosubmeter electricity at 229 Cherry Street, New York, New York, located inthe service territory of Consolidated Edison Company of New York, Inc.The Commission is also considering the Applicant’s request for a waiverof 16 NYCRR § 96.5(k)(3), which requires proof that an energy audit hasbeen conducted when 20 percent or more of the residents receive income-based housing assistance. The full text of the Notice of Intent and waiverrequest may be reviewed online at the Department of Public Service webpage: www.dps.ny.gov under case number 17-E-0473. The Commissionmay adopt, reject or modify, in whole or in part, the relief proposed andmay resolve related matters.







Petition to Amend Bill Estimation Procedures for AMI

I.D. No. PSC-36-17-00012-P


Proposed Action: The Commission is considering the petition of Consoli-dated Edison Company of New York, Inc., to amend its bill estimationprocedures for advanced metering infrastructure (AMI) for residential andnon-residential electric and gas customers.


Subject: Petition to amend bill estimation procedures for AMI.

Purpose: To consider the petition of Con Edison to amend its current billestimation procedures for AMI.

Substance of proposed rule: The Commission is considering the June 26,2017 petition of Consolidated Edison Company of New York, Inc. toamend its current bill estimation procedures for advanced meteringinfrastructure (AMI) for residential and non-residential electric and gascustomers. The amendments modify the current bill estimation calculationmethodologies for customers with AMI meters, while leaving in place theCompany’s existing estimating methodologies for customers without AMImeters, or in certain instances where the new AMI methodologies fail toproduce an estimate. The purpose of the new AMI estimation methodolo-gies is to yield more accurate customer bills and reduce the number ofsubsequent billing adjustments. The full text of the petition may bereviewed online at the Department of Public Service web page:www.dps.ny.gov. The Commission may adopt, reject or modify, in wholeor in part, the relief proposed and may resolve related matters.




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

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

(17-M-0520SP1)



Clarification of Weather Normalization Adjustment Language

I.D. No. PSC-36-17-00013-P


Proposed Action: The Commission is considering tariff amendments filedby Consolidated Edison Company of New York, Inc. to clarify languageregarding Weather Normalization Adjustments contained in General Infor-mation Section IX.1. (B), P.S.C. No. 9 — Gas.

Statutory authority: Public Service Law, sections 65(1), 66(1), (12)(a)and (14)

Subject: Clarification of Weather Normalization Adjustment language.

Purpose: To consider clarification of Weather Normalization Adjustmentlanguage.

Substance of proposed rule: The Public Service Commission (Commis-sion) is considering a proposal filed by Consolidated Edison Company ofNew York, Inc. (Con Edison or the Company), to clarify language in itsgas tariff schedule, P.S.C. No. 9, regarding Weather NormalizationAdjustments. Con Edison proposes revisions to its tariff to General Infor-mation Section IX.1. (B) to explicitly state that only the weather normal-ization factors for the 21 billing cycles will be filed each month with thePublic Service Commission. The proposed amendments have an effectivedate of December 1, 2017. The full text of the proposal may be reviewedonline at the Department of Public Service web page: www.dps.ny.gov.The Commission may adopt, reject or modify, in whole or in part, therelief proposed and may resolve related matters.




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

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

(17-G-0518SP1)


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Office of Temporary andDisability Assistance

NOTICE OF ADOPTION

Supplemental Nutrition Assistance Program (SNAP) CategoricalEligibility

I.D. No. TDA-23-17-00015-A

Filing No. 659




Action taken: Amendment of section 387.14 of Title 18 NYCRR.Statutory authority: United States Code, title 7, ch. 51 (generally), 7U.S.C. sections 2011, 2013; 7 Code of Federal Regulations, section273.2(j)(2); Social Services Law, sections 17(a)-(b), (j), 20(3)(d) and 95;L. 2012, ch. 41Subject: Supplemental Nutrition Assistance Program (SNAP) categoricaleligibility.Purpose: To align State regulations with current SNAP policy and practiceregarding categorical eligibility for SNAP.Text or summary was published in the June 7, 2017 issue of the Register,I.D. No. TDA-23-17-00015-P.Final rule as compared with last published rule: No changes.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, 16-C, Albany, NY 12243-0001, (518) 486-7503, email: richard.rhodesjr@otda. ny.gov



NOTICE OF ADOPTION

Local District Child Support Enforcement Unit

I.D. No. TDA-25-17-00001-A

Filing No. 660




Action taken: Amendment of section 347.3 of Title 18 NYCRR.

Statutory authority: Social Services Law, sections 17(a)-(b), (j), 20(3)(d),34(3)(f), 111-a, 111-c; United States Code, Title 42, sections 651-657,660, 663-664, 666-667; Code of Federal Regulations, Title 45, section302.12

Subject: Local district child support enforcement unit.

Purpose: To afford social services districts greater flexibility in selecting aname for the local entity responsible for child support activities withineach social services district, update current State regulation language toreflect current terminology, and correct regulatory citations.

Text or summary was published in the June 21, 2017 issue of the Register,I.D. No. TDA-25-17-00001-P.


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, 16-C, Albany, NY 12243-0001, (518) 486-7503, email: [email protected]


Assessment of Public CommentThe Office of Temporary and Disability Assistance received one com-

ment relative to the regulation.The comment, which supports the regulation, states that “this proposed

rule is a step in the right direction toward changing the perception of the[child support] program and engaging more custodial and noncustodialparents” and “[i]t puts us on a path that is consistent with the directionmore recently taken by the federal Health and Human Services, Adminis-tration for Children and Families … to have a more family-centered ap-proach, and other states … to remove the word ‘enforcement’ from thenames of their child support offices.”

Workers’ Compensation Board

EMERGENCY

RULE MAKING

Workers’ Compensation Board-Option to Self-Insure for JockeyFund

I.D. No. WCB-36-17-00003-E

Filing No. 652




Action taken: Addition of Part 320 to Title 12 NYCRR.

Statutory authority: Workers’ Compensation Law, section 117


Specific reasons underlying the finding of necessity: This amendment isadopted as an emergency measure because time is of the essence. On April10, 2017, the New York Legislature adopted Chapter 59 of the Laws of2017, which, among other things, significantly altered the New YorkJockey Injury Compensation Fund, Inc. (hereinafter, Jockey Fund or Fund)(see Racing, Pari-Mutuel Wagering and Breeding Law section 221[6][b],as amended by L 2017, ch 59, part SS). Under Racing, Pari-Mutuel Wa-gering and Breeding Law section 221(6), the Jockey Fund is required tosecure workers’ compensation coverage for the benefit of all jockeys, ap-prentice jockeys, and exercise persons licensed pursuant to Racing, Pari-Mutuel Wagering and Breeding Law articles two and four. Under theamended law, the Jockey Fund may now elect to secure workers’ compen-sation insurance coverage through a form of self-insurance (see id.). Thisamendment to the Jockey Fund took effect immediately (see L 2017, ch59, part SS, section 12). Therefore, it is imperative that the Board adoptemergency regulations regarding the procedure the Jockey Fund must fol-low to self-insure before the Fund elects to become self-insured.

Subject: Workers’ Compensation Board-option to self-insure for JockeyFund.

Purpose: Allows the option for the Jockey Fund to self-insure for Work-ers’ Compensation coverage.

Text of emergency rule: Subchapter B of Title 12 NYCRR is amended toadd a new Part 320, as follows:

Part 320. New York Jockey Injury Compensation Fund, Inc.Section 320.1. Definitions(a) “Fund” means the New York Jockey Injury Compensation Fund,

Inc.(b) “Board” means the New York State Workers’ Compensation Board.(c) “Chair” means the chairperson of the New York State Workers’

Compensation Board.(d) “Self-insure” and “self-insurance” shall have the same meaning as

set forth under section 50 of the workers’ compensation law.(e) “Employees of licensed trainers or owners” shall have the same

meaning as subdivision twenty-four of section 2 of the workers’compensa-tion law.

Section 320.2. Application to Self-Insure(a) In order for the Fund to self-insure pursuant to subdivision three of

section 50 of the workers’ compensation law and paragraph b of subdivi-sion six of section 221 of the racing, pari-mutuel wagering and breedinglaw, the Fund shall furnish satisfactory proof to the chair of its financialability to pay workers’ compensation. Such proof shall consist of a noticeof intent to self-insure and satisfactory proof of the financial ability to self-insure.


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(b) Satisfactory proof of the financial ability to self-insure shallconsist of the following: (1) the posting of a security deposit with theBoard, as determined and calculated by the Board using full annualpayroll by class code; and (2) proof of excess insurance coverage in anamount determined by the Board.

(c) The proof provided to the chair shall also contain audited financialstatements as prescribed by the Board.

(d) The chair may determine that the proof of financial ability to payworkers compensation is insufficient for good cause shown, in that theFund has failed to tender satisfactory proof of its financial ability to self-insure.

(e) Upon the chair’s approval to self-insure, the Fund shall also obtainapproval to self-insure from the gaming commission, pursuant to para-graph b of subdivision six of section 221 of the racing, pari-mutuel wager-ing and breeding law.

(f) The Fund will be deemed to be self-insured pursuant to subdivisionthree of section 50 of the workers’ compensation law as of the date thegaming commission grants approval to self-insure.

Section 320.3. Annual Coverage and Assessments(a) Upon approval to self-insure by both the chair of the Board and the

gaming commission, on the date established pursuant to paragraph f ofPart 320.2 of this Subchapter, the Fund shall remit to the Board the as-sessment established by the chair pursuant to section 151 of the workers’compensation law, in the manner consistent with subdivision five of sec-tion 151 of the workers’compensation law, and the assessment establishedby the chair and the department of audit and control pursuant to paragraph(c) of subdivision five of section 50 of the workers’ compensation law, inthe manner set forth in paragraph (e) of subdivision five of section 50 ofthe workers’ compensation law.

(b) Annually, no later than April first of each fiscal year, and for theduration that the Fund elects to self-insure, the Fund shall submit to theboard all financial statements, payroll information, and workers’ compen-sation claims to continue its status as a self-insurer pursuant to subdivi-sion 3 of section 50 of the workers’ compensation law.

(c) Annually, based upon the financial information submitted, the Chairshall reassess the Fund’s proof of the financial ability to self-insure. Uponcompletion of such review, the Chair may adjust the required security. Ifadditional security is required to be posted, the Fund shall submit suchamounts within 90 days of notification. In the event that such additionalsecurity is not posted, the chair may determine that the proof of financialability to pay workers compensation is insufficient for good cause shown,and the Fund’s self-insurance status may be terminated.

(d) Any owner or trainer that is licensed under article two or four of theracing, pari-mutuel wagering and breeding law and that is a member ofthe Fund shall not charge any jockey, apprentice jockey, or exercise personfor any portion of the cost of joining and/or being a member of the Fund.In the event the Fund elects, with the approval of the gaming commission,to secure workers’ compensation insurance for employees of licensedtrainers or owners, owners and licensed trainers that are members of theFund shall not charge said employees for any portion of the cost of joiningand/or being a member of the Fund.

Section 320.4. Reserve(a) Following approval to self-insure by the chair and the gaming com-

mission, the Fund shall establish a self-insurance reserve to provide cover-age in the event that the Fund is deficient. The board of directors of theFund shall establish an annual fee to be paid by owners and licensed train-ers that are members of the Fund for the purposes of contributing to thereserve. The reserve shall be established no later than 60 days followingthe approval to self-insure by both the chair and the gaming commission,on that date set forth pursuant to paragraph f of Part 320.2 of thisSubchapter. At the time of establishment and annually thereafter, the Fundshall provide the Board with detailed information concerning the reserve.Such information shall include the financial institution holding the reserveas well as account information, the account balance, and any deposits toand debits from such reserve in the preceding year.

(b) The Fund may at any time in its discretion expend moneys in suchreserve to pay any liability of the plan.

(c) In the event the Fund no longer self-insures, all moneys remainingin such reserve in excess of an amount sufficient to satisfy all accrued andcontingent liabilities, shall be refunded to the owners and licensed train-ers that are members of the Fund in such manner as may be established bythe board of directors of the Fund.


Text of rule and any required statements and analyses may be obtainedfrom: Heather MacMaster, Workers’ Compensation Board, 328 StateStreet, Schenectady, NY 12305, (518) 486-9564, email:[email protected]

Regulatory Impact Statement1. Statutory Authority:The Board is authorized to amend Title 12 of the NYCRR to add a new

section 320. The Board’s authority is derived from WCL § 117(1), whichauthorizes the Chair of the Board to adopt reasonable regulations consis-tent with and supplemental to the provisions of the WCL and the LaborLaw. The Board’s authority also stems from Racing, Pari-Mutuel Wager-ing and Breeding Law § 221(6)(b), as amended by Chapter 59 of the Lawsof 2017, which allows the Jockey Fund to secure workers’ compensationinsurance through a form of self-insurance, “provided that the fund hasmet the requirements of the [Board], including, without limitation,subdivision three of section fifty of the workers’ compensation law.”

2. Legislative Objectives:WCL § 117(1) authorizes the Chair to adopt reasonable regulations to

supplement the WCL. The WCL was enacted for socio-economic remedia-tion purposes to protect workers and their dependents from economic hard-ship in case of injury on the job (see Matter of Post v Burger & Gohlke,216 NY 544 [1916]; see also Matter of LaCroix v Syracuse Exec. Air Serv.,Inc., 8 NY3d 348 [2007]). The proposed rule will advance these objectivesby protecting employees of the Jockey Fund, including jockeys, apprenticejockeys, and exercise persons, from economic hardship by ensuring thatthe Jockey Fund has adequate resources to compensate them for work-related injuries in the event that the Fund elects to self-insure.

3. Needs and Benefits:Pursuant to Racing, Pari-Mutuel Wagering and Breeding Law § 221(6),

the Jockey Fund is required to secure workers’ compensation coverage forthe benefit of all jockeys, apprentice jockeys, and exercise persons licensedpursuant to Racing, Pari-Mutuel Wagering and Breeding Law articles twoand four. As recently amended by Chapter 59, Part SS, of the Laws of2017, the Jockey Fund may now elect to secure workers’ compensation in-surance coverage through a form of self-insurance (see Racing, Pari-Mutuel Wagering and Breeding Law § 221[6][b]). The Board believes thatthis proposed rule is necessary to ensure that, in the event that the JockeyFund opts to self-insure, the Fund has adequate resources to compensateinjured employees for work-related injuries.

Under existing law, employers who wish to self-insure must submitcertain financial records to establish their financial ability to self-insureand tender a security deposit to the Board (see WCL § 50[3],[4]; 12NYCRR parts 315, 316). The Board’s self-insurance office reviews thisinformation to determine adequate security amounts for each self-insurer.The proposed rule would impose similar requirements on the Jockey Fundif it wishes to self-insure. As such, the proposed regulation brings theJockey Fund’s new ability to self-insure in line with existing workers’compensation law and clarifies the procedures the Jockey Fund must fol-low to be deemed a self-insurer by the Board. The Board is also cognizantof the fact that the employees of the Jockey Fund, including jockeys, ap-prentice jockeys, and exercise persons, are exposed to an inherentlydangerous work environment given the nature of their employment. Assuch, it is the Board’s position that the requirements to self-insure set forthin the proposed rule are necessary to protect those workers who face ahigh likelihood of work-related injuries.

4. Costs:This proposal will impose a cost only on owners and licensed trainers

who are subject to Racing, Pari-Mutuel Wagering and Breeding Lawarticles two and four, and only in the event that the Jockey Fund elects toself-insure. Specifically, the rule requires such owners and licensed train-ers to pay an annual fee into a self-insurance reserve created under thisregulation. The amount to be paid by the owners and licensed trainers willbe determined by the board of directors of the Jockey Fund. However, theproposed rule allows for all moneys remaining in the reserve in excess ofan amount sufficient to satisfy all accrued and contingent liabilities to berefunded to the owners and licensed trainers that are members of theJockey Fund. The proposed rule does not impose costs on other regulatedparties, the Board, the State, or local governments for its implementationand continuation.

5. Local Government Mandates:The proposed regulation does not impose any program, service, duty, or

responsibility upon any county, city, town, village, school district, firedistrict, or other special district.

6. Paperwork:This proposed rule requires the Jockey Fund, in the event it elects to

self-insure, to submit to the Board an application for self-insurance andthe following financial statements to demonstrate satisfactory proof of itsfinancial ability to pay workers’ compensation: (1) the posting of a secu-rity deposit with the Board, (2) proof of excess insurance coverage in anamount determined by the Board, and (3) audited financial statements.The proposed rule also requires the Jockey Fund to submit to the Board,on an annual basis for the duration that the Fund self-insures, all financialstatements, payroll information, workers’ compensation claims, and proofof the Fund’s financial ability to self-insure. The proposed rule does not


20

require any entity other than the Jockey Fund to comply with any report-ing requirements.

7. Duplication:The proposed rule does not duplicate or conflict with any state or federal

requirements.8. Alternatives:One alternative discussed was to take no action. However, the Board

felt that it was more prudent to take action out of concern that failing to as-sess the Jockey Fund’s financial ability to self-insure would result in therebeing insufficient funds to compensate employees of the Jockey Fund. TheBoard did not believe that taking such a risk was reasonable given thedangerous nature of employment engaged in by employees of the JockeyFund.

9. Federal Standards:There are no federal standards applicable to this proposed rule.10. Compliance Schedule:It is expected that the affected parties will be able to comply with this

change immediately.

Regulatory Flexibility Analysis1. Effect of rule:This proposed rule applies to the Jockey Fund, a not-for-profit corpora-

tion that employs certain jockeys, apprentice jockeys, and exercise personsperforming services for an owner or trainer in connection with the trainingor racing of a thoroughbred horse, as set forth in articles two and four ofthe Racing, Pari-Mutuel Wagering and Breeding Law. The proposed rulesets forth certain procedures that the Jockey Fund must follow in order tobecome a self-insurer under the WCL.

In addition, the rule would require owners and licensed trainers that aremembers of the Jockey Fund to pay an annual fee to fund the JockeyFund’s self-insurance reserve. Accordingly, in the event owners or licensedtrainers are organized as a small business, rather than individual propri-etors, this proposed rule would impose an additional financial obligationon certain small businesses. The rule will have no effect on localgovernments.

2. Compliance requirements:Under this new rule, the Jockey Fund will be required to file with the

Board a notice of intent to self-insure as well as financial statements in or-der to establish its financial ability to self-insure. Additionally, the newrule requires the Jockey Fund to submit annual financial statements to theBoard in order for the Board to annually reassess the Jockey Fund’sfinancial ability to self-insure.

The proposed regulation would also require owners and licensed train-ers that are members of the Jockey Fund to pay an annual fee into a self-insurance reserve created under this regulation. The amount to be paid bythe owners and licensed trainers will be determined by the board of direc-tors of the Jockey Fund. Therefore, to the extent that the owners andlicensed trainers are organized as small businesses, this rule imposes anaffirmative obligation on specific small businesses that are members of theJockey Fund.

3. Professional services:The Board believes that no professional services will be needed to

comply with this rule. Under existing law, the Jockey Fund must obtainworkers’ compensation insurance. The Board therefore expects that theJockey Fund will be able to use the same resources it would devote tosecuring workers’ compensation insurance from an insurance carrier toadhering to the Board’s self-insurance procedures.

4. Compliance costs:This proposal will impose an additional cost on any owners and licensed

trainers who are members of the Jockey Fund. Specifically, the regulationrequires owners and licensed trainers, who are subject to articles two andfour of the Racing, Pari-Mutuel Wagering and Breeding Law, to pay anannual fee into a self-insurance reserve created under this regulation. Theamount to be paid by the owners and licensed trainers will be determinedby the board of directors of the Jockey Fund.

5. Economic and technological feasibility:No implementation or technology costs are anticipated for small busi-

nesses and local governments for compliance with the proposed rule.Therefore, it will be economically and technologically feasible for smallbusinesses and local governments affected by the proposed rule to complywith the rule.

6. Minimizing adverse impact:The Board anticipates that the proposed rule may have an adverse eco-

nomic impact on small businesses operated by owners and licensed train-ers who are members of the Jockey Fund inasmuch as the proposal requiresowners and trainers who are members of the Jockey Fund to pay an annualfee to fund the Jockey Fund’s self-insurance reserve. However, the Boardcould not design the rule in such a way as to avoid the economic impact onthis class of small businesses. The intent of the regulation is to protect em-ployees of the Jockey Fund by assuring that the Jockey Fund is financiallyable to compensate them for work-related injuries. The Board believes

that it is necessary and equitable for the employers, including owners andlicensed trainers, to pay into a reserve in the event that the Jockey Fundself-insures and is deficient. In addition, the proposed rule allows for allmoneys remaining in the reserve in excess of an amount sufficient tosatisfy all accrued and contingent liabilities to be refunded to the ownersand licensed trainers that are members of the Jockey Fund. Therefore, theproposed regulation ensures that owners and licensed trainers do not paymore than is necessary to protect the employees of the Fund.

7. Small business and local government participation:Because time is of the essence, the Board has not yet had an opportunity

to consult with small businesses or local governments during the rule-drafting process. However, the Board anticipates that this rule will bepublished for public comment in the near, if not immediate, future, atwhich time the Board will assess any comments made by the small busi-ness community and local governments.

Rural Area Flexibility Analysis1. Types and estimated numbers of rural areas:This rule applies to the Jockey Fund, a not-for-profit corporation that,

under the WCL, is considered the “employer” of certain jockeys, ap-prentice jockeys, and exercise persons performing services for an owneror trainer in connection with the training or racing of a thoroughbred horse,as set forth in articles two and four of the Racing, Pari-Mutuel Wageringand Breeding Law. The proposal would also affect the owners and trainersthat are members of the Jockey Fund. As such, the rule is expected to haveno impact on rural areas insofar as it pertains only to a specific corporationand its members, and the benefits derived from the rule will be seen byemployees of the Jockey Fund in all areas of the state.

2. Reporting, recordkeeping and other compliance requirements:Under this new rule, the Jockey Fund will be required to file with the

Board a notice of intent to self-insure as well as financial statements in or-der to prove its financial ability to self-insure. Additionally, the new rulerequires the Jockey Fund to submit annual financial statements to theBoard in order for the Board to annually reassess the Jockey Fund’sfinancial ability to self-insure. These reporting and compliance require-ments will affect only the Jockey Fund in the event it decides to self-insureand will not affect rural areas.

3. Costs:This proposal will not impose any compliance costs on rural areas. The

rule solely establishes a procedure the Jockey Fund must undergo in orderto self-insure.

4. Minimizing adverse impact:This proposed rule is designed to minimize the adverse impact that em-

ployees of the Jockey Fund may face in the event that the Jockey Fund isfinancially unable to compensate its employees for their work-relatedinjuries. This rule establishes a procedure that the Jockey Fund must fol-low before becoming self-insured as well as an annual financial reassess-ment process to ensure that the Jockey Fund is financially capable of pay-ing injured workers for their workers’ compensation claims. Therefore, theproposal will benefit employees of the Jockey Fund, including jockeysand exercise persons, statewide.

5. Rural area participation:The Board received input from persons within the Board’s self-

insurance unit to ensure that the requirements set forth in the proposedrule will allow the Board to accurately assess the financial stability of theJockey Fund and are comparable to self-insurance requirements of otherentities statewide.

Job Impact StatementThe proposed regulation will not have an adverse impact on jobs. Theregulation merely establishes the procedure that the Jockey Fund must fol-low with the Workers’ Compensation Board (hereinafter, the Board) in or-der to be permitted to self-insure pursuant to Workers’ Compensation Law(WCL) § 50(3) and Racing, Pari-Mutuel Wagering and Breeding Law§ 221(6)(b). These regulations will ultimately benefit the Jockey Fund byproviding a clear path for self-insurance, while also benefitting theparticipants to the workers’ compensation system by ensuring that theJockey Fund has sufficient resources to compensate injured employees forwork-related injuries.



Permanent Impairment Guidelines for Schedule Loss of UseDeterminations

I.D. No. WCB-36-17-00015-P



21

Proposed Action: Amendment of section 300.2; and addition of sections300.39 and 325-1.6 to Title 12 NYCRR.Statutory authority: Workers’ Compensation Law, section 13(3)(x)Subject: Permanent Impairment Guidelines for Schedule Loss of UseDeterminations.Purpose: Incorporate Workers’ Compensation Impairment Guidelines fordetermination of permanent impairment.Substance of proposed rule (Full text is posted at the following Statewebsite:http://www.wcb.ny.gov/content/main/ wclaws/newlaws.jsp): Sec-tion 300.2 of Title 12 NYCRR is amended to clarify when a claimant mayrequest an independent medical examination; to state that all independentmedical examinations performed for the purpose of evaluating permanentimpairment in order to make a schedule loss of use determination in accor-dance with section 15(3)(a-v) of the Workers’ Compensation Law, must beperformed consistent with the requirements set forth in the Workers’Compensation Guidelines for Determining Impairment as set forth in sec-tion 325-1.6 of Subchapter C of this Title; to clarify which treating medi-cal providers must receive a copy of a report of independent medical ex-amination; and to require the claimant to cooperate in the conduct of theindependent medical examination.

A new section 300.39 is added to Title 12 of NYCRR that reads asfollows:

Schedule loss of use determinations are made for permanent impair-ments to an extremity, permanent loss of vision or hearing, or permanentfacial disfigurement, as provided in Workers’ Compensation Law Section15 subdivision (3)(a-t). A schedule loss of use award is a legal determina-tion that sets forth a percentage loss of use, based upon the evidence in thefile, reflective of the judgment of the Board as to the permanent impact onclaimant’s earning power. A schedule loss of use award compensates forthe permanent loss of earning power resulting from the residual anatomi-cal or functional impairments that result from an injury. A schedule loss ofuse determination is made by the Board upon attainment of maximummedical improvement and upon presentation of the required documentaryevidence.

a) An evaluation of permanent impairment which is submitted regard-ing schedule loss of use must address the following:

1. Whether the injured worker has reached maximum medical improve-ment, which occurs when the worker has recovered from the injury to thegreatest extent that is expected and no further improvement in his or hercondition is reasonably expected. The need for palliative or symptomatictreatment does not preclude a finding of maximum medical improvement.

2. Whether there is a permanent impairment of one or more extremitylisted in paragraphs (a) through (l) of subdivision 3 of section 15 of theWorkers’ Compensation Law.

3. Whether the impairment involves anatomical and/or functionaldeficits.

4. Restrictions at the time of evaluation.b) Medical evidence of an evaluation of permanent impairment must be

completed in the format prescribed by the Chair and be based upon correctapplication of the Workers’ Compensation Guidelines for DeterminingPermanent Impairment.

c) If the same accident results in multiple injuries, including consequen-tial injuries, and one or more of such injuries are not subject to a determi-nation pursuant to Workers’ Compensation Law Section 15 subdivision(3)(a-t) (e.g., back, neck, head, depression), all injuries not amenable to aschedule loss of use determination shall have reached maximum medicalimprovement and be found by the provider to have fully resolved, with noresidual impairment.

d) An intake in the format prescribed by the Chair (SLU-1) must becompleted by the claimant (with the assistance of counsel if the claimantis represented). A portion of the form shall be completed by the medicalprovider with respect to restrictions at the time of evaluation. The SLU-1form is designed to capture information about the impact of the injuryupon claimant’s earning power, including medical. restrictions and wageand work-schedule information.

1. Medical restrictions noted must refer to documents in the claims file.2. The SLU-1 is affirmative evidence proffered by the claimant, and the

claimant’s attorney may not seek to produce the claimant as a witness inlieu of, or to bolster, the SLU-1 form.

3. Cross-examination by the carrier is not permitted except upon an of-fer of proof regarding a key issue and upon a grant by the WCLJ. Such agrant or denial of cross-examination shall not be reviewable by the Boardunder Workers’ Compensation Law section 23 until a decision has beenmade by a WCLJ disposing of the issues surrounding permanent impair-ment,

e) In making a schedule loss of use determination, the Board mayconsider if applicable whether the injury is amenable to a schedule loss ofuse award in accordance with examples listed in the Workers’ Compensa-tion Guidelines for Determining Impairment section 1.3.

f) Upon submission of medical evidence of permanency, the Board willutilize the appropriate method for development of the record to resolve theissue of schedule loss of use by:

1. Approval, if proper, of proposed stipulation of the parties pursuant topart 312 of this Chapter;

2. Approval, if proper, of formal stipulation of the parties pursuant tosection 300.5 of this Part;

3. Proposed conciliation decision, finalized if no timely objectionreceived, pursuant to Part 312 of this Chapter;

4. Waiver agreement per section 32 of the Workers’ Compensation Law;5. Reserve decision by workers’ compensation law judge following off-

calendar development of the record; or6. If there is a dispute, through the formal hearing process.g) The board may decline to issue a schedule loss of use award upon a

finding that the claimant failed to cooperate with a medical examination,including failure to accurately complete the SLU intake form (currentlythe SLU-1).

Add a new 325-1.6325-1.6 The Impairment Examination for Schedule Loss of Use

DeterminationsRegardless of the date of accident or disablement, when an examination

is performed by a medical provider for the purpose of evaluating perma-nent impairment for use in a schedule loss of use determination, the fol-lowing rules shall be followed:

a) Treating medical providers and independent medical examiners.1. Medical providers must have treated the claimant for the injury that

is the subject of the evaluation. Such medical provider must be authorizedby the Chair in accordance with section 13-b of the Workers’ Compensa-tion Law. Treating podiatrists, authorized pursuant to section 13-k, whohave treated the claimant for a foot injury may evaluate the claimant’s per-manent impairment.

2. Medical providers authorized by the Chair to perform independentmedical examinations in accordance with section 137(3) of the Workers’Compensation Law may evaluate a claimant’s permanent impairment onbehalf of the insurance carrier or self-insured employer, or when expresslypermitted by the Board, the claimant.

3. Medical providers performing impairment evaluations of claimantsliving in New York, and medical providers with offices in New York whoperform impairment evaluations, must be authorized by the Workers’Compensation Board. Medical providers who do not practice in New Yorkmay perform an impairment evaluation on a claimant who does not live inNew York, but must comport with Workers’ Compensation Guidelines forDetermining Impairment, and must submit his or her evaluation in theformat prescribed by the Chair.

b) All evaluations of permanent impairment for use in a schedule loss ofuse determination shall be performed in accordance with the Workers’Compensation Guidelines for Determining Impairment, First Edition,September 1, 2017, effective January 1, 2018, which is herein incorporatedby reference.

c) All evaluations of permanent impairment for use in a schedule loss ofuse determination must be completed in the format prescribed by the Chairand shall include the Chair prescribed intake form (currently the SLU-1)completed by the claimant, with assistance from counsel if represented,and verified by the treating medical provider. A portion of the SLU-1 formshall be completed by the medical provider as part of the evaluation ofpermanent impairment, with respect to restrictions. When the first impair-ment evaluation is completed by an independent medical examiner onbehalf of the insurance carrier or self-insured employer:

1. the claimant may bring a completed SLU-1 to the examination forreview by the independent medical examiner; or

2. the SLU-1 may be supplied to the independent medical examiner af-ter the impairment evaluation and considered by him or her in an ad-dendum to the report of independent medical examination.

d) Criteria for performing a permanent impairment evaluation.1. Review the Workers’ Compensation Guidelines for Determining

Impairment.2. Review the medical records.3. Perform a thorough history and physical examination and recount the

relevant medical history, examination findings and appropriate test results.4. State the work related medical diagnosis(es) based upon the relevant

medical history, examination and test results.5. Identify the affected body part or system.6. Prepare and attest to a medical opinion on impairment, which should

consist of the following elements:i. Whether claimant is at Maximum Medical Improvement.ii. Whether the claimant’s injury is permanent, and amenable to sched-

ule (see 1.3, above).iii. Identification of the injury(ies) in terms of severity.iv. For each injury, once the applicable severity of the category of injury

is selected, the medical evaluator measures the anatomical or functional


22

losses with respect to: (1) range of motion (2) strength, and (3) pain (ifapplicable). Other losses may be specifically noted, pursuant to theGuideline for the relevant body part or injury (for example impairment ofgait and deformity for leg injuries).

v. State the work restrictions, if any, and explain in detail how theserestrictions will, or are expected to, impact the claimant’s ability to func-tion in the workplace.

7. The lowest percentage impairment identified in the Categorization ofInjuries table for each member body part shall be the starting point foreach permanent impairment evaluation of a particular work related injury.

8. For permanent impairment evaluations to the arm and legs, the medi-cal provider may add to the lowest percentage impairment identified in theCategorization of Injuries table for each member body part up to 5 ad-ditional percentage points for loss of range of motion, strength and pain,provided that:

i. When there is no loss of range of motion or strength, pain percentagepoints may not be added to the lowest percentage impairment identified inthe Categorization of Injuries table for each member body part.

ii. When the pain score is greater than 2, the medical provider shouldconsider whether the injury is amenable to a permanent impairment evalu-ation for a schedule loss of use determination.

9. A medical provider may evaluate a permanent impairment of multipledigits as a permanent impairment of the hand or foot as set forth in theWorkers’ Compensation Guidelines for Determining Impairment subjectthe applicability of subdivision (3)(q) of section 15 of the Workers’Compensation Law.

e) Claimant’s cooperation in the conduct of the evaluation of permanentimpairment is essential to an accurate assessment. A medical providermust note when and how a claimant fails to cooperate.

f) Obtaining the Workers’ Compensation Guidelines for DeterminingImpairment. The Workers’ Compensation Guidelines for DeterminingImpairment incorporated by reference herein may be examined at the of-fice of the Department of State, 99 Washington Avenue, Albany, New York,12231, the Legislative Library, the libraries of the New York StateSupreme Court, and the district offices of the Board. Copies may bedownloaded from the Board’s website or obtained from the Board bysubmitting a request in writing, with the appropriate fee, identifying thespecific guideline requested and the choice of format to Publications, NewYork State Workers’ Compensation Board, 328 State Street, Schenectady,New York 12305-2318. Information about the Workers’ CompensationGuidelines for Determining Impairment can be requested by email [email protected], or by telephone at 1-800-781-2362. The Workers’ Compensation Guidelines for DeterminingImpairment are available on paper or compact disc. A fee of ten dollarswill be charged for the guideline requested in paper format, and a fee offive dollars will be charged for a compact disc. Payment of the fee shall bemade by check or money order payable to ‘‘Chair WCB.’’

Text of proposed rule and any required statements and analyses may beobtained from: Heather MacMaster, Workers’ Compensation Board, 328State Street, Schenectady, NY 12305-2318, (518) 486-9564, email:[email protected]



Additional matter required by statute: Workers’ Compensation Guidelinesfor Determining Impairment, First Edition, September 1, 2017, effectiveJanuary 1, 2018 is incorporated by reference.

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

Regulatory Impact Statement1. Statutory authority: The Workers’ Compensation Board (hereinafter

referred to as Board) is authorized to amend 12 NYCRR 300.2, and to add12 NYCRR 300.39 and 325-1.6. Workers’ Compensation Law (WCL)Sections 141 and 117(1) authorize the Chair to adopt reasonable rules con-sistent with and supplemental to the provisions of the WCL. WCL section15(x) requires the Board to adopt new permanency impairment guidelines.

2. Legislative objectives: Section 15(x) of the WCL requires the Boardto consult with labor, business, medical, and insurance representatives onrevisions to the permanency impairment guidelines. The Board mustpropose for public comment revised permanency impairment guidelinesby September 1, 2017, for the schedule loss of use injuries covered byparagraphs (a) through (v) of subdivision (3) of section 15 of the WCL.The revisions will reflect the advances in modern medicine that result inbetter outcomes. The Board must adopt the new permanency guidelines byJanuary 1, 2018. The 2012 Permanency Guidelines paragraphs pertainingto WCL § 15(3)(a)-(v) will be repealed on January 1, 2018.

3. Needs and benefits: Section 325-1.6 incorporates by reference theproposed 2017 Workers’ Compensation Guidelines for DeterminingImpairment. Sections 300.2, 300.39, and 325-1.6 provide additional rules

for the conduct of medical examinations performed for the purpose ofevaluating permanent impairment and the determination of schedule lossof use awards.

4. Costs: There are no additional projected costs to regulated partieswho may be affected by the amendment, as the regulation adopts perma-nency impairment guidelines designed to reflect improved healing andoutcomes. There are no projected costs to the Board, State and localgovernments.

5. Local government mandates: The proposed amendment does notimpose any additional mandate, duty or responsibility upon any municipal-ity or governmental entity.

6. Paperwork: The proposed regulations provide additional directionsconcerning Doctor’s Report of MMI/Permanent Impairment, but do notsignificantly increase the amount of paperwork.

7. Duplication: The statutory authority for the revision to the impair-ment guidelines exists in section 15(x) of the WCL. It explicitly requiresregulations to adopt revised permanency impairment guidelines.

8. Alternatives: There were no significant alternative proposals underconsideration.

9. Federal standards: There are no applicable federal standards whichaddress the standards contained in the proposed regulation.

10. Compliance schedule: There is no new compliance burden onemployers.

Regulatory Flexibility Analysis1. Effect of rule:This proposed rule applies to any claimant seeking a schedule loss of

use determination. It provides impairment guidelines for conductingimpairment evaluations and making schedule loss of use determinations.The rule will have no effect on local governments.

2. Compliance requirements:Under this new rule, medical evidence in an evaluation of permanent

impairment must be completed in the format prescribed by the Chair, us-ing the Workers’ Compensation Guidelines for Determining Impairment.A claimant must complete an intake form.

3. Professional services:The Board believes that no professional services will be needed to

comply with this rule. This new rule simply offers more guidelines onmaking schedule loss of use determinations. Those who have conductedindependent medical examinations in the past may continue, but theseguidelines will apply.

4. Compliance costs:This proposal does not involve any new compliance costs. It offers a

new and improved system for making schedule loss of use determinations.5. Economic and technological feasibility:No implementation or technology costs are anticipated for small busi-

nesses and local governments for compliance with the proposed rule.Therefore, it will be economically and technologically feasible for smallbusinesses and local governments affected by the proposed rule to complywith the rule.

6. Minimizing adverse impact:The Board does not anticipate any increased costs or adverse impact,

other than a new set of guidelines to follow in making schedule loss of usedeterminations. The new rules establish a system and guidelines for mak-ing those determinations in response to a legislative mandate.

7. Small business and local government participation:The Board has not yet had an opportunity to consult with small busi-

nesses or local governments during the rule-drafting process. However,pursuant to the legislative mandate the Board conferred and consultedwith labor, business, medical providers, insurance carriers and self-insuredemployers on the draft Impairment Guidelines on August 15, 2017 atBoard offices around the State.

Rural Area Flexibility Analysis1. Types and estimated numbers of rural areas:This rule applies to any schedule loss of use determinations for claim-

ants in New York State, regardless of geographical location. The proposedregulations provide a new and improved system for impairment guidelines,but apply to all claimants.

2. Reporting, recordkeeping and other compliance requirements:Under this rule, the evaluations of permanent impairment for use in

schedule loss of use determinations must be made in the format prescribedby the Chair. Additionally, a claimant must complete an intake form. Thereare no specific reporting or compliance requirements affecting rural areas.

3. Costs:This proposal will not impose any compliance costs on rural areas. The

role solely implements a new system for schedule loss of usedeterminations.

4. Minimizing adverse impact:This proposed rule is in response to a legislative mandate, and estab-

lishes a new and better system for schedule loss of use determinations


23


through the impairment guidelines. This rule establishes clear guidelinesfor making schedule loss of use determinations and guidelines for conduct-ing impairment evaluations in arriving at these determinations.

5. Rural area participation:The Board is implementing these guidelines in response to a legislative

mandate.

Job Impact Statement1. Nature of ImpactThe impairment guidelines proposed in these rules are not expected to

have any impact on jobs in New York State. These guidelines simply cre-ate a system to help in making schedule loss of use determinations.

2. Categories and Numbers AffectedAny claimant seeking a schedule loss of use determination will be af-

fected by these proposed regulations, but the impairment guidelines arenot expected to have any adverse impact on jobs.

3. Regions of Adverse ImpactThe impairment guidelines do not affect any region specifically, but

impact across the state – however, these guidelines are for making sched-ule loss of use determinations and are not expected to have any impact onjobs.

4. Minimizing Adverse ImpactThe proposed rules provide that medical examinations in determining

impairment comply with the Workers’ Compensation Guidelines forDetermining Impairment and provide other guidelines for making sched-ule loss of use determinations. There is not expected to be any impact onjobs with these guidelines.


24

HEARINGS SCHEDULED

FOR PROPOSED RULE MAKINGS

Agency I.D. No. Subject Matter Location—Date—Time

Liquor Authority, State

LQR-35-17-00002-P . . . . . . . . . . . . . . . . . . . . . . . . Updated price posting rules, and recordkeep-ing requirements, and repeal of license dura-tions and whiskey dividend rules

State Liquor Authority, 317 Lenox Ave., 4thFl., New York, NY—October 25, 2017, 10:00a.m.

Public Service Commission

PSC-23-17-00022-P . . . . . . . . . . . . . . . . . . . . . . . . Changes in regulation of ESCOs, includingrestrictions on or prohibitions of marketing oroffering certain products or services

Department of Public Service, Agency Bldg. 3,19th Fl. Boardroom, Albany, NY—September6, 2017, 10:00 a.m. and daily on succeedingbusiness days as necessary (EvidentiaryHearing)**On occasion there are requests to rescheduleor postpone evidentiary hearing dates. If such arequest is granted, notification of anysubsequent scheduling changes will be avail-able at the DPS website (www.dps.ny.gov)under Cases 15-M-0127, 12-M-0476 and98-M-1343.

PSC-27-17-00014-P . . . . . . . . . . . . . . . . . . . . . . . . Major electric rate filing Department of Public Service, Agency Bldg. 3,19th Fl. Boardroom, Albany, NY—October 2,2017, 10:00 a.m. and continuing daily asneeded (Evidentiary Hearing)**On occasion there are requests to rescheduleor postpone evidentiary hearing dates. If such arequest is granted, notification of anysubsequent scheduling changes will be avail-able at the DPS website (www.dps.ny.gov)under Cases 17-E-0238 and 17-G-0239.

PSC-27-17-00017-P . . . . . . . . . . . . . . . . . . . . . . . . Major gas rate filing Department of Public Service, Agency Bldg. 3,19th Fl. Boardroom, Albany, NY—October 2,2017, 10:00 a.m. and continuing daily asneeded (Evidentiary Hearing)**On occasion there are requests to rescheduleor postpone evidentiary hearing dates. If such arequest is granted, notification of anysubsequent scheduling changes will be avail-able at the DPS website (www.dps.ny.gov)under Cases 17-E-0238 and 17-G-0239.


25

ACTION PENDING

INDEX

The action pending index is a list of all proposed rules whichare currently being considered for adoption. A proposed rule isadded to the index when the notice of proposed rule making isfirst published in the Register. A proposed rule is removedfrom the index when any of the following occur: (1) the pro-posal is adopted as a permanent rule; (2) the proposal isrejected and withdrawn from consideration; or (3) the propos-al’s notice expires.Most notices expire in approximately 12 months if the agencydoes not adopt or reject the proposal within that time. Theexpiration date is printed in the second column of the actionpending index. Some notices, however, never expire. Thosenotices are identified by the word “exempt” in the secondcolumn. Actions pending for one year or more are preceded byan asterisk(*).For additional information concerning any of the proposals

listed in the action pending index, use the identification numberto locate the text of the original notice of proposed rule making.The identification number contains a code which identifies theagency, the issue of the Register in which the notice wasprinted, the year in which the notice was printed and the no-tice’s serial number. The following diagram shows how to readidentification number codes.

Agencycode

Issuenumber

Yearpublished

Serialnumber

ActionCode

AAM 01 12 00001 P

Action codes: P — proposed rule making; EP — emergencyand proposed rule making (expiration date refers to proposedrule); RP — revised rule making

Agency I.D. No. Expires Subject Matter Purpose of Action

ALCOHOLISM AND SUBSTANCE ABUSE SERVICES, OFFICE OF

ASA-24-17-00017-P . . . . . . . . . . . 06/14/18 General service standards for chemicaldependence outpatient (CD-OP) and opioidtreatment programs (OTP)

Conforms HIV and Hepatitis testing inaccordance with the public health law; clarifiesthe services a peer may provide

ASA-24-17-00018-P . . . . . . . . . . . 06/14/18 Residential services Conforms HIV and Hepatitis testingrequirements in residential settings with publichealth law

CHILDREN AND FAMILY SERVICES, OFFICE OF

CFS-32-17-00001-EP . . . . . . . . . . . 08/09/18 Mandated reporter requirements foremployees of residential domestic violenceprograms

To implement mandated reporter requirementsfor employees of residential domestic violenceprograms

CFS-36-17-00005-EP . . . . . . . . . . . 09/06/18 Duty to report incidents involving vulnerablepersons to the Justice Center’s VulnerablePersons’ Central Register.

To implement statutory requirement to reportincidents involving vulnerable persons.

CIVIL SERVICE, DEPARTMENT OF

CVS-35-16-00004-P . . . . . . . . . . . 08/31/17 Jurisdictional Classification To classify positions in the exempt class

CVS-35-16-00005-P . . . . . . . . . . . 08/31/17 Jurisdictional Classification To delete positions from and classify positionsin the non-competitive class.

CVS-35-16-00006-P . . . . . . . . . . . 08/31/17 Jurisdictional Classification To classify a position in the exempt class




CVS-35-16-00010-P . . . . . . . . . . . 08/31/17 Jurisdictional Classification To classify positions in the non-competitiveclass

CVS-35-16-00011-P . . . . . . . . . . . 08/31/17 Jurisdictional Classification To classify a position in the non-competitiveclass

NYS Register/September 6, 2017 Action Pending Index

27






CVS-44-16-00004-P . . . . . . . . . . . 11/02/17 Jurisdictional Classification To classify a position in the exempt class andto delete a position from the non-competitiveclass

CVS-44-16-00005-P . . . . . . . . . . . 11/02/17 Jurisdictional Classification To delete a position from and classify aposition in the non-competitive class








CVS-46-16-00004-P . . . . . . . . . . . 11/16/17 Jurisdictional Classification To delete a position from and classify aposition in the exempt class


CVS-01-17-00007-P . . . . . . . . . . . 01/04/18 Jurisdictional Classification To delete a position from and classify positionsin the non-competitive class








NYS Register/September 6, 2017Action Pending Index


28



CVS-01-17-00017-P . . . . . . . . . . . 01/04/18 Jurisdictional Classification To delete positions from and classify positionsin the non-competitive class







CVS-07-17-00007-P . . . . . . . . . . . 02/15/18 Jurisdictional Classification To classify a position non-competitive class.


CVS-12-17-00005-P . . . . . . . . . . . 03/22/18 Jurisdictional Classification To delete a position from and classify aposition in the non-competitive class.

CVS-12-17-00006-P . . . . . . . . . . . 03/22/18 Jurisdictional Classification To delete positions from and classify positionsin the non-competitive class.




CVS-12-17-00010-P . . . . . . . . . . . 03/22/18 Jurisdictional Classification To delete positions from and classify positionsin the exempt class

CVS-17-17-00002-P . . . . . . . . . . . 04/26/18 Supplemental military leave benefits To extend the availability of supplementalmilitary leave benefits for certain New YorkState employees until December 31, 2017









29









CVS-18-17-00014-P . . . . . . . . . . . 05/03/18 Jurisdictional Classification To classify positions in the exempt and non-competitive classes



CVS-18-17-00017-P . . . . . . . . . . . 05/03/18 Jurisdictional Classification To classify positions in the exempt class anddelete positions from the non-competitive class















30











CVS-30-17-00014-P . . . . . . . . . . . 07/26/18 Jurisdictional Classification To classify a position in the non-competitiveclass.






CVS-30-17-00020-P . . . . . . . . . . . 07/26/18 Jurisdictional Classification To delete positions from and classify positionsin the exempt class and to delete positionsfrom the non-competitive class.

CVS-30-17-00021-P . . . . . . . . . . . 07/26/18 Jurisdictional Classification To add a subheading and to classify positionsin the non-competitive class






CVS-33-17-00005-P . . . . . . . . . . . 08/16/18 Jurisdictional Classification To delete a position from and classify aposition in the non-competitive class



31





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-35-17-00001-EP . . . . . . . . . . . 08/30/18 Officials of the Department of Corrections andCommunity Supervision

To designate certain employees of theDepartment as officials with peace officerstatus

CRIMINAL JUSTICE SERVICES, DIVISION OF

CJS-30-17-00025-P . . . . . . . . . . . 07/26/18 Familial Search Policy To codify a familial search policy

CJS-31-17-00004-P . . . . . . . . . . . 08/02/18 Handling of Ignition Interlock Cases InvolvingCertain Criminal Offenders

To promote public/traffic safety, offenderaccountability and quality assurance throughthe establishment of minimum standards

EDUCATION DEPARTMENT

EDU-04-17-00005-ERP . . . . . . . . . . . 01/25/18 Continuing education requirements forveterinarians and veterinary technicians

Provides that veterinarians may provide freespaying and neutering services as part of theircontinuing education requirements

EDU-21-17-00006-P . . . . . . . . . . . 05/24/18 Education requirements for certification as acertified athletic trainer

To conform to current national educationstandards for certification by eliminating 79-7.2(b) education pathway by July 1, 2022

EDU-21-17-00007-P . . . . . . . . . . . 05/24/18 Unit of Study Requirements for Career andTechnical Education in Grades 7 and 8

To implement Regents policy relating to careerand technical education units of study

EDU-21-17-00008-P . . . . . . . . . . . 05/24/18 The education of homeless children andyouths (McKinney-Vento HomelessAssistance Act)

Required by the federal McKinney-VentoHomeless Assistance Act (42 U.S.C. section11431 et seq.), as amended by ESSA

EDU-21-17-00010-EP . . . . . . . . . . . 05/24/18 Teaching Certificates in Career and TechnicalEducation

Establish flexibility in the requirements forteaching certificates in career & technicaleducation to address teacher shortage

EDU-27-17-00006-P . . . . . . . . . . . 07/05/18 Interstate Compact for EducationalOpportunity for Military Children and PhysicalEducation Requirements for a Diploma.

To implement Ch. 328 of the Laws of 2014 andto provide flexibility in the physical educationdiploma requirements.

EDU-27-17-00010-EP . . . . . . . . . . . 07/05/18 Academic Intervention Services To revise the methodology by which schooldistricts shall identify students in grades 3 – 8who receive AIS

EDU-27-17-00011-EP . . . . . . . . . . . 07/05/18 Local Assistance Plan (LAP) and FocusSchools

To remove the requirement that LAP and FocusSchools be identified using assessment resultsfrom 2015-16 and subsequent years



32

EDUCATION DEPARTMENT

EDU-28-17-00011-P . . . . . . . . . . . 07/12/18 Interstate Compact for EducationalOpportunity for Military Children and PhysicalEducation Requirements for a Diploma

To implement Ch. 328 of the Laws of 2014 andto provide flexibility in the physical educationdiploma requirements

EDU-28-17-00012-EP . . . . . . . . . . . 07/12/18 Conditional initial certificates for classroomteachers

Allow out-of-state teachers to obtain aconditional certificate while completing theiredTPA requirement during their first year ofemployment in NY

EDU-28-17-00013-EP . . . . . . . . . . . 07/12/18 Higher Education Opportunity Programs To implement Chapter 494 of the Laws of 2016and make technical clarifying amendments

EDU-31-17-00006-P . . . . . . . . . . . 08/02/18 Members on the Library and Museum Council The purpose of the proposed amendment is toincrease the membership of the Library andMuseum Councils

ELECTIONS, STATE BOARD OF

SBE-21-17-00002-P . . . . . . . . . . . 05/24/18 Administrative Complaint Procedure forResolution of Violations of Title III Provisionsof HAVA

To streamline the HAVA complaint procedureand clarify that Counsel’s Office at SBOEadministers the procedure

SBE-21-17-00005-P . . . . . . . . . . . 05/24/18 Designation of treasurer removal committeeand related procedures

To implement the process of treasurer removalprovided for by Part C of Chapter 286 of theLaws of 2016

SBE-28-17-00004-P . . . . . . . . . . . 07/12/18 Use of independent automated audit tools To implement the amendment to Election Law9-211 permitting use of independent automatedaudit tools

ENVIRONMENTAL CONSERVATION, DEPARTMENT OF

*ENV-11-16-00004-RP . . . . . . . . . . . 09/05/17 Solid Waste Management Regulations Amend the rules that implement the solidwaste program in New York State toincorporate changes in law and technology

*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-06-17-00001-P . . . . . . . . . . . 03/31/18 Amendments to 6 NYCRR Part 617 (whichimplement the State Environmental QualityReview Act [Article 8 of the ECL])

The purpose of the rule making is to streamlinethe SEQR process without sacrificingmeaningful environmental review

ENV-09-17-00001-P . . . . . . . . . . . 03/01/18 Regional Hunting Regulations To repeal regional hunting regulations

ENV-14-17-00001-P . . . . . . . . . . . 05/25/18 Prevention and Control of EnvironmentalPollution by Radioactive Materials

To amend regulations pertaining to disposaland release of radioactive materials to theenvironment

ENV-16-17-00003-P . . . . . . . . . . . 04/19/18 Permits for taking surfclams To reduce paperwork and streamline thesurfclam permitting process

ENV-17-17-00006-P . . . . . . . . . . . 04/26/18 Protection of diamondback terrapin To close the open season on diamondbackterrapin



33

ENVIRONMENTAL CONSERVATION, DEPARTMENT OF

ENV-19-17-00003-P . . . . . . . . . . . 06/30/18 Part 232 regulates entities that operate drycleaning machines.

Repeal and replace Part 232 to reducealternative solvent and perc emissions.

ENV-22-17-00001-EP . . . . . . . . . . . 05/31/18 Regulations governing the recreationalharvest of summer flounder

To revise regulations concerning therecreational harvest of summer flounder in NewYork State

ENV-24-17-00005-P . . . . . . . . . . . 06/14/18 Lower Salmon River State Forest To protect public safety and natural resourceson the Lower Salmon River State Forest

ENV-27-17-00007-P . . . . . . . . . . . 07/05/18 Repeal 6 NYCRR Part 500 and Amend/Repeal references to Parts 750-758

To correct or remove outdated references inthe Department’s regulations.

ENV-28-17-00003-P . . . . . . . . . . . 07/12/18 Management of crustaceans, horseshoecrabs (HSC) and whelk; protection of terrapin

Modify rules on terrapin excluder device, HSCharvest limit and whelk reporting

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-RP . . . . . . . . . . . 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-48-16-00006-RP . . . . . . . . . . . 11/30/17 Life Insurance and Annuity Non-guaranteedElements

To establish standards for the determinationand readjustment of non-guaranteed elementsfor life insurance and annuities

DFS-11-17-00003-P . . . . . . . . . . . 03/15/18 Continuing Care Retirement Communities Amend rules related to permitted investments,financial transactions, reporting requirementsand add new optional contract type

DFS-18-17-00019-P . . . . . . . . . . . 05/03/18 Financial Risk Transfer Agreements BetweenInsurers and Accountable Care Organizations

To permit insurers to enter into financial risktransfer agreements with Accountable CareOrganizations

DFS-18-17-00020-P . . . . . . . . . . . 05/03/18 Establishment And Operation Of MarketStabilization Mechanisms For Certain HealthInsurance Markets

To allow for the implementation of a marketstabilization pool for the small group healthinsurance market

DFS-18-17-00021-P . . . . . . . . . . . 05/03/18 Title Insurance Rates, Expenses and Charges To insure proper, non-excessive rates,compliance with Ins. Law 6409(d), andreasonable charges for ancillary services

DFS-18-17-00022-P . . . . . . . . . . . 05/03/18 Title insurance agents, affiliated relationships,and title insurance business

To implement requirements of Chapter 57 ofLaws of NY 2014 re: title insurance agents andplacement of title insurance business

DFS-20-17-00001-P . . . . . . . . . . . 05/17/18 Private Passenger Motor Vehicle InsuranceMulti-Tier Programs

To ensure education level attained/occupationalstatus in initial tier placement/movement doesnot result in unfair rate

DFS-25-17-00002-EP . . . . . . . . . . . 06/21/18 Minimum standards for form, content and saleof health insurance, including standards of fulland fair disclosure

To ensure coverage for essential healthbenefits in all individual, small group, andstudent accident and health policies

DFS-25-17-00007-EP . . . . . . . . . . . 06/21/18 Transportation network companies, minimumrequirements for financial responsibilitypolicies and other requirements

Implements Part AAA of Chapter 59 of theLaws of 2017, providing for the operation oftransportation network companies in NY



34

FINANCIAL SERVICES, DEPARTMENT OF

DFS-29-17-00004-EP . . . . . . . . . . . 07/19/18 Permitted use of Nationwide MultistateLicensing System and Registry (NMLS) insubmissions to the Department

To provide for the voluntary use of NMLS toallow for electronic filing of submissions to theDepartment

DFS-32-17-00017-P . . . . . . . . . . . 08/09/18 Holding Companies To make technical correction to and clarificationof 11 NYCRR section 80-1.6(3)

DFS-35-17-00003-P . . . . . . . . . . . 08/30/18 Privacy of Consumer Financial and HealthInformation, General Provisions

To incorporate recent changes to federalprivacy laws regarding information maintainedby financial institutions

GAMING COMMISSION, NEW YORK STATE

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-32-17-00005-P . . . . . . . . . . . 08/09/18 New York Lottery draw game rules, includingrules implementing changes to the MegaMillions lottery game

Implement nationwide changes to the MegaMillions multi-state lottery game

HEALTH, DEPARTMENT OF

*HLT-14-94-00006-P . . . . . . . . . . . . exempt Payment methodology for HIV/AIDSoutpatient services

To expand the current payment to incorporatepricing for services

HLT-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-RP . . . . . . . . . . . 12/13/17 Medical Use of Marihuana To comprehensively regulate the manufacture,sale and use of medical marihuana

HLT-41-16-00002-ERP . . . . . . . . . . . 01/10/18 Residential Health Care Facility Quality Pool To reward NYS facilities with the highest qualityoutcomes as determined by methodologydeveloped by regulation

HLT-07-17-00009-P . . . . . . . . . . . 02/15/18 Public Water Systems To incorporate federal rules and revisions toPublic Health Law

HLT-20-17-00013-P . . . . . . . . . . . 05/17/18 Lead Testing in School Drinking Water Requires lead testing and remediation ofpotable drinking water in schools

HLT-21-17-00001-EP . . . . . . . . . . . 05/24/18 Physician and Pharmacies; Prescribing,Administering and Dispensing for theTreatment of Narcotic Addiction

To allow any authorized practitioner toprescribe, administer & dispensebuprenorphine for the treatment of narcoticaddiction.

HLT-25-17-00009-EP . . . . . . . . . . . 06/21/18 Hospital Indigent Care Pool PaymentMethodology

To extend the methodology for indigent carepool payments to general hospitals for another3 year period - 1/1/16 - 12/31/18

HLT-25-17-00010-P . . . . . . . . . . . 06/21/18 Communication Between Clinical LaboratoryPhysicians and Patients

To allow lab physicians to discuss the meaningand interpretation of test results with patientsunder certain circumstances

HLT-27-17-00005-P . . . . . . . . . . . 07/05/18 Managed Care Organizations To amend prior approval requirementspertaining to asset transfers for managed careorganizations.



35

HEALTH, DEPARTMENT OF

HLT-28-17-00001-P . . . . . . . . . . . 07/12/18 Children’s Behavioral Health and HealthServices

To authorize Medicaid coverage of newbehavioral health and health services forchildren under 21 years of age

HLT-28-17-00009-P . . . . . . . . . . . 08/17/18 Early Intervention Program To conform existing program regulations tofederal regulations and state statute

HLT-33-17-00022-P . . . . . . . . . . . 08/16/18 Medical Conditions For Which An ExemptionFrom Restrictions On Tinted Glass May BeIssued

Amend the existing list of medical conditionsfor a NYSregistered driver or habitualpassenger for an exemption to tinted glass

JOINT COMMISSION ON PUBLIC ETHICS, NEW YORK STATE

JPE-34-17-00002-EP . . . . . . . . . . . 08/23/18 Records access To update regulations governing recordsaccess

JPE-34-17-00003-P . . . . . . . . . . . 08/23/18 Comprehensive lobbying regulations To set forth comprehensive lobbyingregulations that implement the provisions of theLobbying Act

JPE-34-17-00004-P . . . . . . . . . . . 08/23/18 Source of funding reporting. To make consistent with the newcomprehensive lobbying regulations at Part943 and clarify exemption procedures.

LIQUOR AUTHORITY, STATE

LQR-33-17-00009-P . . . . . . . . . . . 08/16/18 Repeal of archaic rules regarding localboards, removals of package stores, andretail price affirmations

To repeal archaic rules regarding local boards,removals of package stores, and retail priceaffirmations

LQR-35-17-00002-P . . . . . . . . . . . 10/25/18 Updated price posting rules, andrecordkeeping requirements, and repeal oflicense durations and whiskey dividend rules

To update price posting rules, andrecordkeeping requirements, and repeal oflicense duration rules and whiskey dividendrules

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-28-17-00010-P . . . . . . . . . . . . exempt Low income customer program provisions ofthe Authority’s Tariff for Electric Service

To update the Authority’s low income programsconsistent with the rest of New York State

MENTAL HEALTH, OFFICE OF

OMH-31-17-00001-P . . . . . . . . . . . 08/02/18 Early and Periodic Screening, Diagnostic andTreatment Services for Children

To promote the expansion of behavioral healthservices for children and youth under 21 yearsof age



36

MOTOR VEHICLES, DEPARTMENT OF

MTV-26-17-00003-EP . . . . . . . . . . . 06/28/18 Insurance requirements for TNC vehicles Technical amendment regarding insurancerequirements for TNC vehicles

MTV-28-17-00002-P . . . . . . . . . . . 07/12/18 Private Service Bureaus To replace the outdated DMV website addressin the regulation

NIAGARA FALLS WATER BOARD

*NFW-04-13-00004-EP . . . . . . . . . . . . exempt Adoption of Rates, Fees and Charges To pay for the increased costs necessary tooperate, maintain and manage the system, andto achieve covenants with bondholders

*NFW-13-14-00006-EP . . . . . . . . . . . . exempt Adoption of Rates, Fees and Charges To pay for increased costs necessary tooperate, maintain and manage the system andto achieve covenants with the bondholders

NIAGARA FRONTIER TRANSPORTATION AUTHORITY

NFT-23-17-00016-P . . . . . . . . . . . 06/07/18 Procurement Guidelines of the NiagaraFrontier Transportation Authority and NiagaraFrontier Transit Metro System, Inc.

To amend Procurement Guidelines to reflectchanges in law, clarifying provisions andchange signing authority level

PEOPLE WITH DEVELOPMENTAL DISABILITIES, OFFICE FOR

PDD-08-17-00006-P . . . . . . . . . . . 02/22/18 Certification of Facilities and Home andCommunity Based Services (HCBS)

To update, reorganize, and relocate existingrequirements for certification of programs andservices in OPWDD’s system

PDD-29-17-00005-EP . . . . . . . . . . . 07/19/18 Home and Community Based Services(HCBS) Waiver and Non-Waiver EnrolledRespite Services

To amend the existing regulations for HCBSWaiver Respite and create five separatecategories of Respite

PDD-31-17-00003-P . . . . . . . . . . . 08/02/18 Representative Payee To regulate the management of benefit fundsreceived by facility directors acting asrepresentative payees

PDD-34-17-00001-P . . . . . . . . . . . 08/23/18 Developmental Disability Definition Update To conform OPWDD’s definition ofdevelopmental disability in existing regulationswith Mental Hygiene Law

PDD-36-17-00014-P . . . . . . . . . . . 09/06/18 Agency Name Change Update To update the agency name in Title 14 NYCRRParts 630 and 671.

POWER AUTHORITY OF THE STATE OF NEW YORK

*PAS-01-10-00010-P . . . . . . . . . . . . exempt Rates for the sale of power and energy Update ECSB Programs customers’ servicetariffs to streamline them/include additionalrequired information

PUBLIC SERVICE COMMISSION

*PSC-09-99-00012-P . . . . . . . . . . . . exempt Transfer of books and records by CitizensUtilities Company

To relocate Ogden Telephone Company’sbooks and records out-of-state

*PSC-15-99-00011-P . . . . . . . . . . . . exempt Electronic tariff by Woodcliff Park Corp. To replace the company’s current tariff with anelectronic tariff



37


*PSC-12-00-00001-P . . . . . . . . . . . . exempt Winter bundled sales service election date byCentral Hudson Gas & Electric Corporation

To revise the date

*PSC-44-01-00005-P . . . . . . . . . . . . exempt Annual reconciliation of gas costs by CorningNatural Gas Corporation

To authorize the company to include certaingas costs

*PSC-07-02-00032-P . . . . . . . . . . . . exempt Uniform business practices To consider modification

*PSC-36-03-00010-P . . . . . . . . . . . . exempt Performance assurance plan by Verizon NewYork

To consider changes

*PSC-40-03-00015-P . . . . . . . . . . . . exempt Receipt of payment of bills by St. LawrenceGas Company

To revise the process

*PSC-41-03-00010-P . . . . . . . . . . . . exempt Annual reconciliation of gas expenses andgas cost recoveries

To consider filings of various LDCs andmunicipalities

*PSC-41-03-00011-P . . . . . . . . . . . . exempt Annual reconciliation of gas expenses andgas cost recoveries

To consider filings of various LDCs andmunicipalities

*PSC-44-03-00009-P . . . . . . . . . . . . exempt Retail access data between jurisdictionalutilities

To accommodate changes in retail accessmarket structure or commission mandates

*PSC-02-04-00008-P . . . . . . . . . . . . exempt Delivery rates for Con Edison’s customers inNew York City and Westchester County bythe City of New York

To rehear the Nov. 25, 2003 order

*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.




38


*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



39


*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-43-06-00014-P . . . . . . . . . . . . exempt Electric delivery services by Strategic PowerManagement, Inc.

To determine the proper mechanism for therate-recovery of costs

*PSC-04-07-00012-P . . . . . . . . . . . . exempt Petition for rehearing by Orange andRockland Utilities, Inc.

To clarify the order

*PSC-06-07-00015-P . . . . . . . . . . . . exempt Meter reading and billing practices by CentralHudson Gas & Electric Corporation

To continue current meter reading and billingpractices for electric service



40


*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.



41


*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



42


*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



43


*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



44


*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



45


*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



46


*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’’



47


*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



48


*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



49


*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-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



50


*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-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.



51


*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-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.



52


*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.



53


*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



54


*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



55


*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-32-14-00012-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.



56


*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.



57


*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-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



58


*PSC-13-15-00028-P . . . . . . . . . . . . exempt Whether to permit the use of the SATECEM920 electric meter

To permit necessary to permit the use of theSATEC EM920 electric meter

*PSC-13-15-00029-P . . . . . . . . . . . . exempt Whether to permit the use the Triacta PowerTechnologies 6103, 6112, 6303, and 6312electric submeters

To permit the use of the Triacta submeters

*PSC-17-15-00007-P . . . . . . . . . . . . exempt To consider the petition of LeatherstockingGas Company, LLC seeking authority to issuelong-term debt of $2.75 million

To consider the petition of Leatherstocking GasCompany, LLC seeking authority to issue long-term debt of $2.75 million

*PSC-18-15-00005-P . . . . . . . . . . . . exempt Con Edison’s Report on its 2014 performanceunder the Electric Service ReliabilityPerformance Mechanism

Con Edison’s Report on its 2014 performanceunder the Electric Service ReliabilityPerformance Mechanism

*PSC-19-15-00011-P . . . . . . . . . . . . exempt Gas Safety Performance Measures andassociated negative revenue adjustments

To update the performance measuresapplicable to KeySpan Gas East Corporationd/b/a National Grid

*PSC-22-15-00015-P . . . . . . . . . . . . exempt To consider the request for waiver of theindividual residential unit meter requirementsand 16 NYCRR 96.1(a)

To consider the request for waiver of theindividual residential unit meter requirementsand 16 NYCRR 96.1(a)

*PSC-23-15-00005-P . . . . . . . . . . . . exempt The modification of New York AmericanWater’s current rate plan

Whether to adopt the terms of the JointProposal submitted by NYAW and DPS Staff

*PSC-23-15-00006-P . . . . . . . . . . . . exempt The modification of New York AmericanWater’s current rate plan

Whether to adopt the terms of the JointProposal submitted by NYAW and DPS Staff

*PSC-25-15-00008-P . . . . . . . . . . . . exempt Notice of Intent to Submeter electricity. To consider the request of 165 E 66Residences, LLC to submeter electricity at 165East 66th Street, New York, New York.

*PSC-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



59


*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-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-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-01-16-00005-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



60


*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-06-16-00010-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-11-16-00017-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-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-12-16-00008-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-13-16-00009-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-14-16-00008-P . . . . . . . . . . . . exempt Resetting retail markets for ESCO massmarket customers.

To ensure consumer protections with respect toresidential and small non-residential ESCOcustomers.

*PSC-15-16-00012-P . . . . . . . . . . . . exempt Adequate service of Verizon New York, Inc. To consider the adequacy of Verizon New YorkInc.’s service quality

*PSC-18-16-00013-P . . . . . . . . . . . . exempt Amendments to the Uniform BusinessPractices of ESCOs.

To ensure consumer protection for ESCOcustomers.





61


*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-20-16-00008-P . . . . . . . . . . . . exempt Consideration of consequences againstGlobal Energy Group, LLC for violations ofthe Uniform Business Practices (UBP).

To consider consequences against GlobalEnergy Group, LLC for violations of theUniform Business Practices (UBP).

*PSC-20-16-00010-P . . . . . . . . . . . . exempt Deferral and recovery of incrementalexpense.

To consider deferring costs of conducting leaksurvey and repairs for subsequent recovery.

*PSC-20-16-00011-P . . . . . . . . . . . . exempt Enetics LD-1120 Non-Intrusive LoadMonitoring Device in the StatewideResidential Appliance Metering Study.

To consider the use of the Enetics LD-1120Non-Intrusive Load Monitoring Device.

*PSC-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-24-16-00009-P . . . . . . . . . . . . exempt Petition to submeter gas service. To consider the Petition of New York CityEconomic Development Corp. to submeter gasat Pier 17, 89 South Street, New York, NY.

*PSC-25-16-00009-P . . . . . . . . . . . . exempt To delay Companies’ third-party assessmentsof customer personally identifiable informationuntil 2018.

To extend the time period between theCompanies’ third-party assessments ofcustomer personally identifiable information.

*PSC-25-16-00018-P . . . . . . . . . . . . exempt Proposed Community Choice AggregationData Security Agreement.

To ensure appropriate consumer protections inCommunity Choice Aggregation programs.

*PSC-25-16-00024-P . . . . . . . . . . . . exempt Pole Attachment Rules. To determine that the Commission’s existingpole attachment rules apply to wirelessproviders.

*PSC-25-16-00025-P . . . . . . . . . . . . exempt Acquisition of all water supply assets ofWoodbury Heights Estates Water Co., Inc. bythe Village of Kiryas Joel.

To consider acquisition of all water supplyassets of Woodbury Heights Estates WaterCo., Inc. by the Village of Kiryas Joel.

*PSC-25-16-00026-P . . . . . . . . . . . . exempt Use of the Badger E Series Ultrasonic ColdWater Stainless Steel Meter, in residential fireservice applications.

To consider the use of the Badger E SeriesUltrasonic Cold Water Stainless Steel Meter infire service applications.

*PSC-28-16-00017-P . . . . . . . . . . . . exempt A petition for rehearing of the Order Adoptinga Ratemaking and Utility Revenue ModelPolicy Framework.

To determine appropriate rules for andcalculation of the distributed generationreliability credit.

*PSC-29-16-00024-P . . . . . . . . . . . . exempt Participation of NYPA customers insurcharge-funded clean energy programs.

To consider participation of NYPA customers insurcharge-funded clean energy programs.

*PSC-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.



62


*PSC-30-16-00007-P . . . . . . . . . . . . exempt The Municipal Electric and Gas Alliance’sCommunity Choice AggregationImplementation Plan

To ensure appropriate consumer protections

*PSC-32-16-00012-P . . . . . . . . . . . . exempt Benefit-Cost Analysis Handbooks. To evaluate proposed methodologies of benefit-cost evaluation.

*PSC-33-16-00001-EP . . . . . . . . . . . . exempt Use of escrow funds for repairs. To authorize the use of escrow account fundsfor repairs.

*PSC-33-16-00005-P . . . . . . . . . . . . exempt Exemption from certain charges for delivery ofelectricity to its Niagara Falls, New Yorkfacility.

Application of System Benefits Charges,Renewable Portfolio Standard charges andClean Energy Fund surcharges.

*PSC-34-16-00005-P . . . . . . . . . . . . exempt Community Choice Aggregation (CCA) DataServices.

To consider the implementation of fees for CCAData Services requested by CCAAdministrators.

















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-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



63


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-40-16-00017-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-40-16-00025-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.

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-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-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-45-16-00011-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-45-16-00018-P . . . . . . . . . . . . exempt Proposed water supply agreement betweenNYAW and Glen Cove.

To consider the proposed water supplyagreement between NYAW and Glen Cove.

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



64





PSC-49-16-00005-P . . . . . . . . . . . . exempt Waiver of certain rules and requirementspertaining to cable television franchise.

To determine whether to waive any regulations.

PSC-52-16-00003-P . . . . . . . . . . . . exempt Transfer of controlling interest and associatedfinancial transactions.

To consider the transfer of controlling interestand associated financial transactions.

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-01-17-00022-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

PSC-02-17-00010-P . . . . . . . . . . . . exempt Implementation of the four EAMs. To consider the implementation of EAMs forRG&E.

PSC-02-17-00012-P . . . . . . . . . . . . exempt Implementation of the four EAMs. To consider the implementation of EAMs forNYSEG.

PSC-03-17-00003-P . . . . . . . . . . . . exempt Good Energy, L.P.’s Community ChoiceAggregation Implementation Plan and DataProtection Plan.

To ensure appropriate consumer protections.

PSC-04-17-00010-P . . . . . . . . . . . . exempt The inclusion of interest in a paymentcompensating developer for work performedin preparation for electric service

To consider whether to include interest in thecalculation of the amount owed incompensation

PSC-06-17-00004-P . . . . . . . . . . . . exempt Waiver to permit National Fuel Resources,Inc. to serve low-income customers

To consider the Petition for a waiver

PSC-06-17-00008-P . . . . . . . . . . . . exempt Waiver to permit Ambit New York, LLC toserve low-income customers.

To consider the Petition for a waiver.

PSC-06-17-00011-P . . . . . . . . . . . . exempt A waiver to permit Zone One Energy LLC toserve low-income customers.

To consider the Petition for a waiver.

PSC-07-17-00019-P . . . . . . . . . . . . exempt Deferral and recovery of incremental costs To consider deferring costs related to watermain leak repairs for subsequent recovery

PSC-08-17-00007-P . . . . . . . . . . . . exempt Notice of Intent to submeter electricity. To consider the Notice of Intent to submeterelectricity at 327 Central Park West, New York,New York.

PSC-09-17-00008-P . . . . . . . . . . . . exempt Petition to submeter electricity To consider the petition of Red Hook 160, LLCto submeter electricity at 160 Imlay Street,Brooklyn, New York



65


PSC-11-17-00006-P . . . . . . . . . . . . exempt Use of the Itron 100W+, to collect andtransmit meter data, in water meteringapplications.

To consider the use of the Itron 100W+, tocollect and transmit meter data in watermetering applications.

PSC-11-17-00007-P . . . . . . . . . . . . exempt Minor rate filing. To consider an increase in annual revenues ofabout $395,756, or 5.3%.

PSC-11-17-00009-P . . . . . . . . . . . . exempt Petition to submeter electricity. To consider the petition of 8th and C HDFC tosubmeter electricity at 334 East 8th Street,New York, New York.

PSC-12-17-00012-P . . . . . . . . . . . . exempt Amendments to the UBP. To consider amendments to the UBP.

PSC-12-17-00017-P . . . . . . . . . . . . exempt Amendments to the UBP. To consider the petition for amendments to theUBP.

PSC-13-17-00003-P . . . . . . . . . . . . exempt Rehearing of Commission’s January 25, 2017Order Approving Electric and Gas Rate Plansin Cases 16-E-0060 and 16-G-0061.

To consider Petitions for Rehearing regardingcertain metering costs as addressed in Cases16-E-0060 and 16-G-0061.

PSC-13-17-00010-P . . . . . . . . . . . . exempt Rehearing of Commission’s January 25, 2017Order Approving Electric and Gas Rate Plansin Cases 16-E-0060 and 16-G-0061.

To consider Petitions for Rehearing regardingcertain metering costs as addressed in Cases16-E-0060 and 16-G-0061.

PSC-14-17-00009-P . . . . . . . . . . . . exempt Waiver to the prohibition on service to low-income customers by ESCOs.

To consider the petition for a waiver to theprohibition on service to low-income customersby ESCOs.













PSC-14-17-00016-P . . . . . . . . . . . . exempt Waiver to the prohibition on service to low-income customers by ESCOs..


PSC-14-17-00017-P . . . . . . . . . . . . exempt Petition for Full-Scale Deployment of AMI andto Establish an AMI Surcharge.

To consider the petition for Full-ScaleDeployment of AMI and to Establish an AMISurcharge.



66


PSC-14-17-00019-P . . . . . . . . . . . . exempt Notice of Intent to submeter electricity. To consider the Notice of Intent to submeterelectricity at 94 North 3rd St., Brooklyn, NY andwaiver of 16 NYCRR § 96.5(k)(3).

PSC-16-17-00004-P . . . . . . . . . . . . exempt Proposed transfer of assets of Corbin Hill tothe Town and dissolution of the Company

To consider the transfer of assets of Corbin Hillto the Town and dissolution of the Company

PSC-18-17-00023-P . . . . . . . . . . . . exempt Second stage rate filing. To consider an increase in rate year revenuesby approximately $247,086 or 8.24%.

PSC-18-17-00024-P . . . . . . . . . . . . exempt A petition for rehearing or reconsideration ofthe Order Addressing Public PolicyTransmission Need for AC TransmissionUpgrades

To determine whether Public PolicyTransmission Need/Public Policy Requirementscontinue to exist.

PSC-18-17-00025-P . . . . . . . . . . . . exempt A petition for rehearing or reconsideration ofthe Order on Remand Denying Refunds.

To determine whether IPANY and individualpay telephone providers are entitled to refundsfrom Verizon New York Inc.

PSC-18-17-00026-P . . . . . . . . . . . . exempt Revisions to the Dynamic Load Managementsurcharge.

To consider revisions to the Dynamic LoadManagement surcharge.

PSC-18-17-00027-P . . . . . . . . . . . . exempt A petition for rehearing or clarification of theMarch 9, 2017 Order.

To determine appropriate treatment ofsubmetered energy users in communitydistributed generation programs.

PSC-18-17-00028-P . . . . . . . . . . . . exempt A petition for rehearing, reconsideration, orclarification of the March 9, 2017 Order.

To determine appropriate treatment ofenvironmental attributes related to distributedenergy resources.

PSC-18-17-00029-P . . . . . . . . . . . . exempt Commission oversight of distributed energyresource suppliers.

To consider proposed standards forCommission oversight of distributed energyresource suppliers.

PSC-18-17-00031-P . . . . . . . . . . . . exempt Notice of Intent to submeter electricity andwaiver of energy audit requirement.

To consider the Notice of Intent to submeterelectricity at 1328 Fulton Street, Brooklyn, NYand waiver of 16 NYCRR § 96.5(k)(3).

PSC-18-17-00032-P . . . . . . . . . . . . exempt Application of Gas Safety Metrics to NFGD’s2014 Records and Field audits.

To consider NFGD’s appeal of Gas SafetyMetrics as applied to NFGD’s 2014 Recordsand Field audits.

PSC-18-17-00033-P . . . . . . . . . . . . exempt Use of the ROMET AdEM-T volumetriccorrector.

To consider the use of the ROMET AdEM-Tvolumetric corrector.

PSC-18-17-00034-P . . . . . . . . . . . . exempt Use of the ROMET AdEM-PTZ volumetriccorrector.

To consider the use of the ROMET AdEM-PTZvolumetric corrector.

PSC-19-17-00004-P . . . . . . . . . . . . exempt NYAW’s request to defer and amortize, forfuture rate recognition, pension settlementpayout losses incurred in 2016.

Consideration of NYAW’s petition to defer andamortize, for future rate recognition, pensionpayour losses incurred in 2016.

PSC-20-17-00007-P . . . . . . . . . . . . exempt Minor rate filing. To consider an increase in annual revenues ofabout $319,412 or 12.9%.

PSC-20-17-00008-P . . . . . . . . . . . . exempt Compressed natural gas as a motor fuel fordiesel fueled vehicles.

To consider a report filed by National Grid NYregarding the potential for adoption ofcompressed natural gas as a motor fuel.

PSC-20-17-00010-P . . . . . . . . . . . . exempt Compressed natural gas as a motor fuel fordiesel fueled vehicles.

To consider a report filed by National Gridregarding the potential for adoption ofcompressed natural gas as a motor fuel.



67


PSC-20-17-00011-P . . . . . . . . . . . . exempt Notice of Intent to submeter electricity. To consider the Notice of Intent of FreeWythe,LLC to submeter electricity at 60 South 2ndStreet, Brooklyn, New York.

PSC-21-17-00012-P . . . . . . . . . . . . exempt Compensation for distributed generationsystems located at farms.

To consider appropriate compensation andpolicies for distributed generation systemslocated at farms.

PSC-21-17-00013-P . . . . . . . . . . . . exempt The establishment and implementation ofEarnings Adjustment Mechanisms.

To consider the establishment andimplementation of Earnings AdjustmentMechanisms.

PSC-21-17-00014-P . . . . . . . . . . . . exempt Grandfathering provisions for sites served bymultiple remote net metered projects.

To consider appropriate grandfatheringprovisions for sites served by multiple remotenet metered projects.

PSC-21-17-00015-P . . . . . . . . . . . . exempt Expansion of Energy Efficiency and AdvancedMetering Infrastructure Programs, andimplementation of NWA framework.

To consider expanded Energy Efficiency andAMI programs and framework for implementingNWA projects and related cost recovery.

PSC-21-17-00016-P . . . . . . . . . . . . exempt Compensation for distributed energyresources through the Value Stackmethodology.

To implement appropriate compensationmethodologies for distributed energy resources.

PSC-21-17-00017-P . . . . . . . . . . . . exempt Petition to defer incremental vegetationmanagement funding and relief of 2016 SAIFInegative revenue adjustment.

To consider the petition for deferral accountingand relief of 2016 SAIFI negative revenueadjustment.

PSC-21-17-00018-P . . . . . . . . . . . . exempt Proposed agreement for the provision ofwater service by Saratoga Water Services,Inc.

To consider a waiver and approval of terms ofa service agreement.

PSC-21-17-00019-P . . . . . . . . . . . . exempt Notice of Intent to submeter electricity andwaiver request.

To consider the Notice of Intent to submeterelectricity at 918 East New York Avenue,Brooklyn, NY and waiver request.

PSC-21-17-00020-P . . . . . . . . . . . . exempt Mitigation of distributed energy resourceproject costs and bill impacts.

To implement policies that mitigate costs ofdistributed energy resource projects.

PSC-22-17-00004-P . . . . . . . . . . . . exempt Financial incentives to create customersavings and develop market-enabling tools,with a focus on outcomes and incentives

To consider the proposed InterconnectionSurvey Process and Earnings AdjustmentMechanisms

PSC-22-17-00006-P . . . . . . . . . . . . exempt Revisions to the delivery discount andmonthly customer charge for SC No. 3 andthe commodity price for SC 15

To consider revisions to the delivery discountand monthly customer charge for SC No. 3 andthe commodity price for SC 15

PSC-22-17-00007-P . . . . . . . . . . . . exempt Certain Commission requirements related toblockable central office codes

To consider a change to certain Commissionrequirements related to blockable central officecodes

PSC-22-17-00008-P . . . . . . . . . . . . exempt Petition to submeter electricity and waiverrequest

To consider the petition to submeter electricityat 412-14 East 10th Street, New York, NewYork and waiver of 16 NYCRR § 96.2(b)

PSC-23-17-00019-P . . . . . . . . . . . . exempt Clean Energy Standard To promote and maintain renewable and zero-emission electric energy resources

PSC-23-17-00021-P . . . . . . . . . . . . exempt Petition to transfer cable systems. To consider Nicholville et. al.’s request totransfer cable systems in an internalrestructuring.



68


PSC-23-17-00022-P . . . . . . . . . . . . exempt Changes in regulation of ESCOs, includingrestrictions on or prohibitions of marketing oroffering certain products or services.


PSC-24-17-00006-P . . . . . . . . . . . . exempt Development of the Utility Energy Registry. Improved data access.

PSC-24-17-00008-P . . . . . . . . . . . . exempt Notice of Intent to submeter electricity. To consider the Notice of Intent of 320 East82nd Owner, LLC to submeter electricity at 320East 82nd Street, New York, NY.

PSC-24-17-00010-P . . . . . . . . . . . . exempt Petition to submeter electricity. To consider the petition of Bay View HomeAssociation, Inc. to submeter electricity at 67147th Street Brooklyn, New York.

PSC-24-17-00011-P . . . . . . . . . . . . exempt Suez Water Westchester, Inc.’s privatehydrant rates.

To consider whether Suez Water Westchester,Inc.’s private hydrant rates should be madetemporary and subject to refund.


To consider the Notice of Intent to submeterelectricity at 425 East 161 Street and waiverrequest of 16 NYCRR § 96.5(k)(3).

PSC-24-17-00013-P . . . . . . . . . . . . exempt Notice of Intent to submeter electricity. To consider the Notice of Intent to submeterelectricity at 28-10 and 28-30 Jackson Ave. and28-40 Queens Blvd., Queens, NY.

PSC-24-17-00014-P . . . . . . . . . . . . exempt An alternative methodology for calculatingbilling adjustments.

To consider an alternative methodology forcalculating billing adjustments.

PSC-24-17-00015-P . . . . . . . . . . . . exempt Notice of Intent to submeter electricity. To consider the Notice of Intent of 522-528LLC to submeter electricity at 509 PacificStreet, Brooklyn, New York.

PSC-24-17-00016-P . . . . . . . . . . . . exempt Notice of Intent to submeter electricity. To consider the Notice of Intent of 56 LeonardStreet Condominium to submeter electricity at56 Leonard Street, New York, NY.

PSC-25-17-00005-P . . . . . . . . . . . . exempt Minor rate filing To consider an increase in annual revenues by$154,329 or 116%

PSC-25-17-00006-P . . . . . . . . . . . . exempt Notice of Intent to submeter electricity To consider the Notice of Intent of The CharlesCondominiums, LLC to submeter electricity at1355 First Avenue, New York, NY

PSC-26-17-00004-P . . . . . . . . . . . . exempt Revisions to the delivery discount andmonthly customer charge for SC Nos. 15 and16 and the commodity price for SC 15.

To consider revisions to the delivery discountand monthly customer charge for SC 15 and16 and the commodity price for SC 15.

PSC-26-17-00005-P . . . . . . . . . . . . exempt Notice of Intent to submeter electricity. To consider the Notice of Intent to submeterelectricity at 125 Waverly Street, Yonkers, NewYork.


To consider the Notice of Intent to submeterelectricity and waiver request.

PSC-26-17-00007-P . . . . . . . . . . . . exempt To effectuate amendments to 49 CFR Part192 mandated by the Pipeline and HazardousMaterials Safety Administration.

To consider revisions to its gas tariff scheduleregarding the installation of excess flow valves.

PSC-26-17-00008-P . . . . . . . . . . . . exempt To revise its provisions regarding no-accessfor meter reading.

To consider revisions to NMPC’s no accessprovisions related to meter reading in its gastariff schedule.



69


PSC-26-17-00009-P . . . . . . . . . . . . exempt To revise its provisions regarding no-accessfor meter reading.

To consider revisions to KEDLI’s no accessprovisions related to meter reading in its gastariff schedule.

PSC-27-17-00012-P . . . . . . . . . . . . exempt Conclusion of the Energy Efficiency PortfolioStandard programs.

To address the conclusion of EEPS programs,award EEPS 1 and 2 shareholder incentives,and remediate EEPS 1 overspending.

PSC-27-17-00013-P . . . . . . . . . . . . exempt Issuance by Corning Natural Gas of long-termindebtedness.

To consider Corning to issue long-termindebtedness in the amount of $44,064,353.

PSC-27-17-00014-P . . . . . . . . . . . . exempt Major electric rate filing. To consider an increase in NMPC’s electricdelivery revenues by approximately $326million (or 13.0% in total revenues).

PSC-27-17-00015-P . . . . . . . . . . . . exempt Whether a proposed agreement for theprovision of water service by Saratoga WaterServices, Inc. is in the public interest.

To consider a waiver and the terms of aservice agreement.

PSC-27-17-00016-P . . . . . . . . . . . . exempt Modification of interim build-out targets. To consider a settlement agreement thatmodifies Section I(B)(1)(c) of Appendix A of theCommission’s January 8, 2016 Order.

PSC-27-17-00017-P . . . . . . . . . . . . exempt Major gas rate filing. To consider an increase in NMPC’s gasdelivery revenues by approximately $81 million(14.0% in total revenues).

PSC-28-17-00006-P . . . . . . . . . . . . exempt To effectuate amendments to 49 CFR Part192 mandated by the Pipeline and HazardousMaterials Safety Administration

To consider revisions to its gas tariff scheduleregarding the installation of excess flow valves

PSC-28-17-00007-P . . . . . . . . . . . . exempt Property tax reconciliation surcharge To consider the continued deferral of $487,095in property taxes

PSC-28-17-00008-P . . . . . . . . . . . . exempt FASB update on pension and OPEB netperiodic costs

To consider whether to adopt the FASB update

PSC-29-17-00006-P . . . . . . . . . . . . exempt Petition to submeter gas. To consider the petition of LaGuardia GatewayPartners, to submeter gas at LaGuardia AirportCentral Terminal B, Flushing, NY.


To consider the Notice of Intent to submeterelectricity and waiver request of 16 NYCRR§ 96.5(k)(3).

PSC-30-17-00027-P . . . . . . . . . . . . exempt The extension of the compensation term forcertain community distributed generationprojects.

To determine the appropriate compensationterm for certain community distributedgeneration projects.

PSC-30-17-00028-P . . . . . . . . . . . . exempt Proposed tariff filing to modify the DailyDelivery Service Program and the treatmentof certain non-firm revenues.

To consider tariff revisions modifying the DailyDelivery Service Program and the treatment ofcertain non-firm revenues.

PSC-30-17-00029-P . . . . . . . . . . . . exempt Proposed amendments to the modified criteriato grandfathering established in a December16, 2016 Order.

To consider modifying the monetary remote netmetering grandfathering criteria in response toa developer request.

PSC-30-17-00030-P . . . . . . . . . . . . exempt Time of Use Rates. To consider the establishment of a new TOUrate for customers not currently taking serviceunder Central Hudson’s TOU rate.



70


PSC-30-17-00031-P . . . . . . . . . . . . exempt Proposed tariff filing to implement electric rateoptions on a pilot basis for the Energy SmartCommunity Project.

To consider tariff revisions implementingelectric rate options on a pilot basis for theEnergy Smart Community Project.

PSC-30-17-00032-P . . . . . . . . . . . . exempt VDER Tranche allocations and policies. To consider modifications to VDER Trancheallocations and policies.

PSC-31-17-00007-P . . . . . . . . . . . . exempt Notice of intent to submeter electricity To consider the notice of intent of 685 FirstRealty Compamy, LLC to submeter electricityat 685 1st Avenue, New York, New York

PSC-31-17-00008-P . . . . . . . . . . . . exempt Petition to submeter electricity and waiverrequest.

To consider the petition to submeter electricityand waiver request of 16 NYCRR § 96.5(k)(3).

PSC-31-17-00009-P . . . . . . . . . . . . exempt Issuance of promissory notes To consider the petition of National Fuel GasDistribution Corp. to issue up to $400 million inpromissory notes

PSC-31-17-00010-P . . . . . . . . . . . . exempt Notice of intent to submeter electricity To consider the notice of intent of 11737Owners Corp. to submeter electricity at 117East 37th Street, New York, New York

PSC-31-17-00011-P . . . . . . . . . . . . exempt Notice of intent to submeter electricity andwaiver request

To consider the notice of intent to submeterelectricity and waiver request of 16 NYCRR§ 96.5(k)(3)

PSC-31-17-00012-P . . . . . . . . . . . . exempt Minor rate filing. To consider an increase in annual revenues ofabout $304,629 or 14%.

PSC-32-17-00006-P . . . . . . . . . . . . exempt Petition to amend bill estimation proceduresfor AMI.

To consider the petition of Con Edison toamend its current bill estimation procedures forAMI.


To consider the petition of Orange andRockland to amend its current bill estimationprocedures for AMI.

PSC-32-17-00008-P . . . . . . . . . . . . exempt Consideration of the National Grid companies’Implementation Plan and auditrecommendations.

To consider the National Grid companies’Implementation Plan.

PSC-32-17-00009-P . . . . . . . . . . . . exempt Pilot project, request to include capital costsin rate base and deferral of incrementalexpense.

To consider the pilot project, request to includecapital costs in rate base and deferral ofincremental expense.

PSC-32-17-00010-P . . . . . . . . . . . . exempt Consideration of NFGD’s Implementation Planand audit recommendations.

To consider NFGD’s Implementation Plan.

PSC-32-17-00011-P . . . . . . . . . . . . exempt Minor rate filing. To consider an increase in annual revenues ofabout $625,974 or 14.6%.

PSC-32-17-00012-P . . . . . . . . . . . . exempt Consideration of O&R’s Implementation Planand audit recommendations.

To consider O&R’s Implementation Plan.

PSC-32-17-00013-P . . . . . . . . . . . . exempt Consideration of NYSEG and RG&E’sImplementation Plan and auditrecommendations.

To consider the NYSEG and RG&EImplementation Plan.

PSC-32-17-00014-P . . . . . . . . . . . . exempt Consideration of Central Hudson’sImplementation Plan and auditrecommendations.

To consider Central Hudson’s ImplementationPlan.



71


PSC-32-17-00015-P . . . . . . . . . . . . exempt Consideration of Con Edison’sImplementation Plan and auditrecommendations.

To consider Con Edison’s Implementation Plan.

PSC-32-17-00016-P . . . . . . . . . . . . exempt Initial Tariff Schedule and escrow accountwhich includes rates, charges, rules andregulations for water service.

To consider the proposed Initial Tariff Schedule,initial rate, and escrow account.

PSC-33-17-00012-P . . . . . . . . . . . . exempt Notice of intent to submeter electricity. To consider the notice of intent of BOPGreenpoint G LLC to submeter electricity at 37Blue Slip, Brooklyn, New York.

PSC-33-17-00013-P . . . . . . . . . . . . exempt The obligation of electric utilities to pay for theextension of electric service to residentialdevelopments.

To consider if National Grid should change itspractices and compensate the petitioners forpast charges.

PSC-33-17-00014-P . . . . . . . . . . . . exempt Request for waiver of 16 NYCRR sections96.2(b) and 96.5(m).

To consider the request of 8th and C HDFC forwaiver of 16 NYCRR sections 96.2(b) and96.5(m).

PSC-33-17-00015-P . . . . . . . . . . . . exempt Electric energy storage systems to importfrom and export to Con Edison’s distributionsystem.

To consider revisions to P.S.C. No. 10 -Electricity related to electric energy storagesystems.

PSC-33-17-00016-P . . . . . . . . . . . . exempt Gas service to power generators. To consider proposals in the report regardingservice to power generators and relatedproposed tariff revisions.

PSC-33-17-00017-P . . . . . . . . . . . . exempt Notice of intent to submeter electricity. To consider the notice of intent of Bridge LandVestry LLC to submeter electricity at 70 VestryStreet, New York, New York.

PSC-33-17-00018-P . . . . . . . . . . . . exempt Notice of intent to submeter electricity. To consider the notice of intent to submeterelectricity at 242 West 53rd Street, New York,New York.

PSC-33-17-00019-P . . . . . . . . . . . . exempt Petition to submeter electricity. To consider the petition of 225 East 74thApartments Corp. to submeter electricity at 225East 74th Street New York, New York.

PSC-33-17-00020-P . . . . . . . . . . . . exempt Gas service to power generators. To consider proposals in the report regardingservice to power generators and relatedproposed tariff revisions.

PSC-33-17-00021-P . . . . . . . . . . . . exempt Notice of intent to submeter electricity. To consider the notice of intent of 1 DSAOwner LLC to submeter electricity at 242Broome Street, New York, New York.

PSC-34-17-00005-P . . . . . . . . . . . . exempt Proposed electric and gas energy efficiencybudget and metrics plan

To establish an energy efficiency budget andmetrics plan for the Company’s electric andgas portfolios for the years 2017-2020

PSC-34-17-00006-P . . . . . . . . . . . . exempt Proposed gas energy efficiency budget andmetrics plan

To establish an energy efficiency budget andmetrics plan for the Company’s gas portfolio forthe years 2017-2020


To establish an energy efficiency budget andmetrics plan for the Companies’ electric andgas portfolios for 2019-2020



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To establish an energy efficiency budget andmetrics plan for the Company’s electric andgas portfolios for 2019-2020



PSC-34-17-00010-P . . . . . . . . . . . . exempt Appointment of one company as a temporaryoperator of a gas utility system abandoned bythree separate companies

To ensure safe and adequate gas service tocustomers in the service territory abandonedby the owners of the gas system

PSC-34-17-00011-P . . . . . . . . . . . . exempt Waiver to permit Energy Cooperative ofAmerica to serve low-income customers

To consider the petition for a waiver







PSC-34-17-00015-P . . . . . . . . . . . . exempt Notice of intent to submeter electricity To consider the notice of intent to submeterelectricity and waiver request of 16 NYCRR§ 96.5(k)(3)

PSC-34-17-00016-P . . . . . . . . . . . . exempt Proposed transfer of ownership interests inthe James A. FitzPatrick Nuclear Power Plantand related assets

To consider the proposed transfer of ownershipinterests in the James A. FitzPatrick NuclearPower Plant and related assets

PSC-34-17-00017-P . . . . . . . . . . . . exempt Use of the Honeywell Mercury EC350volumetric corrector in gas meteringapplications

To consider the use of the Honeywell MercuryEC350 volumetric corrector in gas meteringapplications

PSC-34-17-00018-P . . . . . . . . . . . . exempt Use of the Arteche UCE-7, URJ-17, VCE-17and CRB-17 transformers in electric meteringapplications

To consider the use of the Arteche UCE-7,URJ-17, VCE-17 and CRB-17 transformers inelectric metering applications

PSC-34-17-00019-P . . . . . . . . . . . . exempt Development of an aggregation standard forrelease of whole-building energy data tobuilding owners

Improved energy data access to support stateenergy efficiency and demand reduction goals

PSC-35-17-00007-EP . . . . . . . . . . . . exempt Reviews, inspections, assessments, repairsand supplements to electrical systems andequipment, and increased reporting

To safeguard and maintain adequate electricutility service to the MTA subway system

PSC-36-17-00008-P . . . . . . . . . . . . exempt Notice of Intent to submeter electricity. To consider the Notice of Intent to submeterelectricity at 233 Landing Road, Bronx, NewYork and waiver request.

PSC-36-17-00009-P . . . . . . . . . . . . exempt Clarification of the Commission’s OrderExtending the BQDM Program.

To consider Con Edison’s petition forclarification of the Commission’s OrderExtending BQDM Program.

PSC-36-17-00010-P . . . . . . . . . . . . exempt Notice of Intent to submeter electricity. To consider the Notice of Intent of The HeritageDean Street, LLC, to submeter electricity at470 Dean St, Brooklyn, New York.



73


PSC-36-17-00011-P . . . . . . . . . . . . exempt Notice of Intent to submeter electricity. To consider the Notice of Intent to submeterelectricity at 229 Cherry Street, New York, NewYork and waiver request.


To consider the petition of Con Edison toamend its current bill estimation procedures forAMI.

PSC-36-17-00013-P . . . . . . . . . . . . exempt Clarification of Weather NormalizationAdjustment language.

To consider clarification of WeatherNormalization Adjustment language.

STATE, DEPARTMENT OF

DOS-26-17-00001-P . . . . . . . . . . . 06/28/18 Appraisal experience log To clarify and update Department of Statepolicy in reviewing appraisal experience

DOS-26-17-00002-P . . . . . . . . . . . 06/28/18 Distance learning for qualifying real estateappraisal courses.

To authorize distance learning for qualifyingreal estate appraisal courses.

DOS-28-17-00005-P . . . . . . . . . . . 07/12/18 Electronic storage of safety data sheets To permit appearance enhancement licenseesto maintain safety data sheets electronically

DOS-30-17-00001-P . . . . . . . . . . . 07/26/18 Esthetics curriculum and waxing procedures To update the qualifying curriculum foresthetics and ensure that waxing proceduresare safe and sanitary.

DOS-30-17-00002-P . . . . . . . . . . . 07/26/18 Cease and desist zone for Queens and BronxCounties.

To adopt cease and desist zones for Queensand Bronx Counties.

DOS-31-17-00005-P . . . . . . . . . . . 08/02/18 Continuing education requirements To amend the education requirements toinclude 1 hour of instruction on telecoil (t-coil)and other assistive listening devices

DOS-32-17-00002-P . . . . . . . . . . . 08/09/18 Alarm installation, servicing and maintenance Update current regulations for industryimprovement and to make technical changes toexisting text

STATE UNIVERSITY OF NEW YORK

SUN-06-17-00003-P . . . . . . . . . . . 02/08/18 proposed amendments to traffic and parkingregulations at SUNY Binghamton

Amend existing regulations to update trafficand parking regulations

SUN-30-17-00003-EP . . . . . . . . . . . 07/26/18 State University of New York Tuition and FeesSchedule

To amend the Tuition and Fees Schedule toincrease tuition for students in all programs inthe State University of New York.

SUN-30-17-00004-P . . . . . . . . . . . 07/26/18 State basic financial assistance for theoperating expenses of community collegesunder the program of SUNY and CUNY.

To modify limitations formula for basic StateFinancial assistance and conform to theEducation Law and the 2017-18 Budget Bill

SUN-30-17-00024-P . . . . . . . . . . . 07/26/18 The governance, structure and operations ofSUNY authorized charter schools pertainingto teacher compliance

Provide alternative teacher certificationcompliance pathways for SUNY charter schoolswith strong student performance.

TAXATION AND FINANCE, DEPARTMENT OF

TAF-51-16-00002-EP . . . . . . . . . . . 12/21/17 Metropolitan Transportation Business TaxSurcharge

To provide metropolitan transportation businesstax rate for tax year 2017



74

TAXATION AND FINANCE, DEPARTMENT OF

TAF-27-17-00004-EP . . . . . . . . . . . 07/05/18 City of New York withholding tables and othermethods.

To provide current City of New York withholdingtables and other methods.

TAF-35-17-00004-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 periodOctober 1, 2017 through December 31, 2017

TEMPORARY AND DISABILITY ASSISTANCE, OFFICE OF

TDA-31-17-00002-EP . . . . . . . . . . . 08/02/18 Mandated reporter requirement andbackground checks

To implement the State regulations as requiredby Part Q of Chapter 56 of the Laws of 2017

TDA-35-17-00005-P . . . . . . . . . . . 08/30/18 Application process for the SupplementalNutrition Assistance Program (SNAP)

To align State regulations for SNAP applicationprocess with federal statutory and regulatoryrequirements and SNAP policy

TRANSPORTATION, DEPARTMENT OF

TRN-24-17-00001-P . . . . . . . . . . . 06/14/18 Railroad Bridge Inventory and Inspection Render state railroad bridge inspection andinventory regulations consistent with Title 49CFR Part 237

WORKERS’ COMPENSATION BOARD

WCB-36-17-00015-P . . . . . . . . . . . 09/06/18 Permanent Impairment Guidelines forSchedule Loss of Use Determinations

Incorporate Workers’ CompensationImpairment Guidelines for determination ofpermanent impairment



75

SECURITIESOFFERINGS

STATE NOTICES

Published pursuant to provisions of General Business Law[Art. 23-A, § 359-e(2)]

DEALERS; BROKERS

Adjoy, Inc.1906 N. Armenia, Tampa, FL 33607State or country in which incorporated — Delaware

AG Energy Partners II Offshore Holdings, L.P.c/o Angelo, Gordon & Co., L.P., 245 Park Ave., New York, NY 10167Partnership — Angelo, Gordon Energy II GP LLC

Andela Inc.129 W. 29th St., 4th Fl., New York, NY 10001State or country in which incorporated — Delaware

CAGP V Co-Investment, L.P.c/o The Carlyle Group, 1001 Pennsylvania Ave. NW, Suite 220 S,Washington, DC 20004Partnership — CAGP V, L.P., general partner

Cidel Global Equity Fund LLCc/o Cidel Asset Management Inc., 60 Bloor St. W, Suite 900, Toronto,Ontario Canada M4W 3B8

Clarksville Towers, LLC410 Jericho Tpke., Suite 320, Jericho, NY 11753

Colchis Income Fund, Ltd.c/o Opus Fund Services (Bermuda) Ltd., 12 Church St., 4th Fl., P.O.Box HM 2022, Hamilton, HM11 BermudaState or country in which incorporated — Cayman Islands

Concord Nulu B LLC11410 Common Oaks Dr., Raleigh, NC 27614

Cynvec, LLC120 W. 45th St., Suite 3600, New York, NY 10036

Dad Park City Holdings, LP255 Alhambra Circle, Suite 760, Coral Gables, FL 33134Partnership — Dad Park City Holdings GP, LLC

Dawson James Securities, Inc.One N. Federal Hwy., Suite 500, Boca Raton, FL 33432State or country in which incorporated — Florida

East Aurora Cooperative Market, Inc.591 Main St., East Aurora, NY 14052State or country in which incorporated — New York

EnCap Energy Capital Fund VIII Co-Investors, L.P.1100 Louisiana St., Suite 4900, Houston, TX 77002Partnership — EnCap Equity Fund VIII GP, L.P.

EnCap Energy Capital Fund VIII Co-Investors B, L.P.1100 Louisiana St., Suite 4900, Houston, TX 77002Partnership — EnCap Equity Fund VIII Cayman GP, LLC

Federal Highway Capital 318, LLCc/o National Realty Investment Advisors, LLC, 1325 Paterson PlankRd., 2nd Fl., Secaucus, NJ 07094State or country in which incorporated — Florida limited liabilitycompany

GMI-Portland 121, LP251 O’Connor Ridge Blvd., Suite 100, Irving, TX 75038Partnership — GMI-Portland 121 GP, LLC

Grand Cove Capital Management, LLC110 Stone Hill Rd., Colts Neck, NJ 07722

Herbert J. Sims & Co., Inc.2150 Post Rd., Suite 301, Fairfield, CT 06824State or country in which incorporated — Delaware

Kimura Fund US L.P.4th Fl., Harbour Place, 103 S. Church St., PO Box 10240, Grand Cay-man, Cayman Islands, KY1-100Partnership — Kimura US GP Ltd

Lifestyle Delivery Systems Inc.820-1130 Pender St. W, Vancouver, British Columbia V6E 4A4State or country in which incorporated — Canada

Medici Ventures, Inc.700 W. Coliseum Way, Midvale, UT 84047State or country in which incorporated — Delaware

Meristem High Yield Municipal Fund, LLC601 Carlson Pkwy., Suite 800, Minnetonka, MN 55305

N. Ocean Capital 707, LLCc/o National Realty Investment Advisors, LLC, 1325 Paterson PlankRd., 2nd Fl., Secaucus, NJ 07094State or country in which incorporated — Florida limited liabilitycompany

Neural Capital Fund I, L.P.665 3rd St., Suite 150, San Francisco, CA 94107Partnership — Neural Capital GP, LLC

Nexus Special Situations II, L.P.11100 Santa Monica Blvd., Suite 265, Los Angeles, CA 90025Partnership — Nexus Special Situations GP II, L.P.

77

Nexus Special Situations II (Cayman), L.P.11100 Santa Monica Blvd., Suite 265, Los Angeles, CA 90025Partnership — Nexus Special Situations GP II, L.P.

NGP Natural Resources XII, L.P.5221 N. O’Connor Blvd., Suite 1100, Irving, TX 75039Partnership — GFW Energy XII, L.P.

NGP Natural Resources XII Parallel Fund, L.P.5221 N. O’Connor Blvd., Suite 1100, Irving, TX 75039Partnership — GFW Energy XII, L.P.

Novume Solutions, Inc.14420 Albemarle Point Place, Suite 200, Chantilly, VA 20151State or country in which incorporated — Delaware

Nxt-ID, Inc.285 North Dr., Suite D, Melbourne, FL 32904State or country in which incorporated — Delaware

Physician’s Equity, LLC60 E. Simpson Ave., P.O. Box 2869, Jackson, WY 83001Partnership — Advanced Life Settlement Portfolio 2017-6, LLC

Player To Be Named Later Limited Liability Companyc/o Foresight Theatrical LLC, 1650 Broadway, Suite 800, New York,NY 10019

Portfolia Enterprise Fund, LLC1155 Jones St., Suite 406, San Francisco, CA 94109State or country in which incorporated — Delaware

REI Energy 2017 Acquisition Fund, L.P.1901 N. Central Expwy., Suite 300, Richardson, TX 75080Partnership — REI Energy, LLC 2017 Acquisition Series

SE Columbus MM, LLC350 N. LaSalle St., Suite 800, Chicago, IL 60654State or country in which incorporated — Delaware limited liabilitycompany

Silvan Real Estate Income Fund, LPc/o Silvan REIF GP, LLC, 825 Third Ave., 31st Fl., New York, NY10022Partnership — Silvan REIF GP, LLC

Sondors, Inc.23823 Malibu Rd., Suite 50, #129, Malibu, CA 90265State or country in which incorporated — Delaware

Soundcore Capital Partners Acquisition IV, L.P.600 Madison Ave., 20th Fl., New York, NY 10022Partnership — Soundcore Capital Partners Acquisition IV GP, L.P.

Soundcore Capital Partners Fund II, L.P.600 Madison Ave., 20th Fl., New York, NY 10022Partnership — Soundcore Capital Partners Fund II GP, L.P.

Soundcore Capital Partners Fund II-A, L.P.600 Madison Ave., 20th Fl., New York, NY 10022Partnership — Soundcore Capital Partners Fund II GP, L.P.

Soundcore Capital Partners Fund II-B, L.P.600 Madison Ave., 20th Fl., New York, NY 10022Partnership — Soundcore Capital Partners Fund II GP, L.P.

Spark New Zealand LimitedLevel 2, Spark City, 167 Victoria St. W, Auckland 1142, New ZealandState or country in which incorporated — New Zealand

Summit Partners Subordinated Debt Fund V-A, L.P.222 Berkeley St., 18th Fl., Boston, MA 02116Partnership — Summit Partners SD V, L.P.

Summit Partners Subordinated Debt Fund V-B, L.P.222 Berkeley St., 18th Fl., Boston, MA 02116Partnership — Summit Partners SD V, L.P.

Trimountain ULC, LLC33 Manchester Rd., Brookline, MA 02446State or country in which incorporated — Delaware

Turnpoint Medical Devices, Inc.Riverwalk Office Complex, Building B, 201 S. Main St., Lambertville,NJ 08530State or country in which incorporated — Delaware

VP Distributors LLC101 Munson St., Greenfield, MA 01301State or country in which incorporated — Delaware

Washington Park Holdings, LLCSeven E. Congress St., Suite 900, Savannah, GA 31401

Windjammer Fund, LLC 2XL Series141 W. Jackson Blvd., Annex Suite 2100A, Chicago, IL 60604

NYS Register/September 6, 2017Securities Offerings

78

ADVERTISEMENTS FORBIDDERS/CONTRACTORS

SEALED BIDS

REHABILITATEPARKING LOT

Taberg Residential Center for GirlsTaberg, Oneida County

Sealed bids for Project No. Q1687-C, for Construction Work,Rehabilitate Parking Lot and Provide Additional Parking, Taberg Res-idential Center for Girls, 10011 Taberg – Florence Road, Taberg(Oneida County), NY 13471 will be received by the Office of GeneralServices (OGS), Design & Construction Group (D&C), Division ofContract Management, 35th Fl., Corning Tower, Empire State Plaza,Albany, NY 12242, on behalf of the Office of Children and FamilyServices, until 2:00 p.m. on Wednesday, September 13, 2017, whenthey will be publicly opened and read. Each bid must be prepared andsubmitted in accordance with the Instructions to Bidders and must beaccompanied by a certified check, bank check, or bid bond in theamount of $34,000 for C.

All successful bidders will be required to furnish a PerformanceBond and a Labor and Material Bond in the statutory form of publicbonds required by Sections 136 and 137 of the State Finance Law,each for 100% of the amount of the Contract estimated to be betweenbetween $500,000 and $1,000,000.

Pursuant to State Finance Law §§ 139-j and 139-k, this solicitationincludes and imposes certain restrictions on communications betweenOGS D&C and a bidder during the procurement process. A bidder isrestricted from making contacts from the earliest posting, on the OGSwebsite, in a newspaper of general circulation, or in the ContractReporter of written notice, advertisement or solicitation of offersthrough final award and approval of the contract by OGS D&C andthe Office of the State Comptroller (“Restricted Period”) to other thandesignated staff unless it is a contact that is included among certainstatutory exceptions set forth in State Finance Law § 139-j(3)(a).Designated staff are Carl Ruppert and Pierre Alric in the Division ofContract Management, telephone (518) 474-0203, fax (518) 473-7862and John Lewyckyj, Deputy Director, Design & Construction Group,telephone (518) 474-0201, fax (518) 486-1650. OGS D&C employeesare also required to obtain certain information when contacted duringthe restricted period and make a determination of the responsibility ofthe bidder pursuant to these two statutes. Certain findings of non-responsibility can result in rejection for contract award and in theevent of two findings within a four-year period, the bidder is debarredfrom obtaining governmental Procurement Contracts. Bidders re-sponding to this Advertisement must familiarize themselves with theState Finance Law requirements and will be expected to affirm thatthey understand and agree to comply on the bid form. Further infor-mation about these requirements can be found within the project man-ual or at: http://www.ogs.ny.gov/aboutOGS/regulations/defaultAdvisoryCouncil.html

The substantial completion date for this project is 110 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 9:00 a.m. on August 31, 2017 at Taberg Resi-dential Center, 10011 Taberg Florence Road, Taberg, NY. Prospectivebidders are urged to visit the site at this time. Prospective bidders or

their representatives attending the pre-bid site visit will not be admit-ted on facility grounds without proper photo identification. Note thatparking restrictions and security provisions will apply and all vehicleswill be subject to search.

For assistance pertaining to the site visit only, please phone TracyGualtieri (315) 339-6820.

Pursuant to New York State Executive Law Article 15-A and therules and regulations promulgated thereunder, OGS is required topromote opportunities for the maximum feasible participation of NewYork State-certified Minority- and Women-owned Business Enter-prises (“MWBEs”) and the employment of minority group membersand women in the performance of OGS contracts. All bidders areexpected to cooperate in implementing this policy. OGS herebyestablishes an overall goal of 30% for MWBE participation, 15% forMinority-Owned Business Enterprises (“MBE”) participation and15% for Women-Owned Business Enterprises (“WBE”) participation(based on the current availability of qualified MBEs and WBEs). Thetotal contract goal can be obtained by utilizing any combination ofMBE and /or WBE participation for subcontracting and suppliesacquired under this Contract.

The 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 [email protected], or call (518) 474-0203.

For additional information on this project, please use the link belowand then click on the project number: https://online.ogs.ny.gov/dnc/contractorConsultant/esb/ESBPlansAvailableIndex.asp.

By John D. Lewyckyj, Deputy DirectorOGS - Design & Construction Group

REPLACEGENERATOR

Tonawanda Indian Community HouseAkron, Erie County

Sealed bids for Project No. 45262-E, for Electrical Work, ReplaceGenerator, Tonawanda Indian Community House, 372 BloomingdaleRoad, Akron (Erie County), NY, will be received by the Office of Gen-eral Services (OGS), Design & Construction Group (D&C), Divisionof Contract Management, 35th Fl., Corning Tower, Empire StatePlaza, Albany, NY 12242, on behalf of the Office of Children andFamily Services, until 2:00 p.m. on Wednesday, September 13, 2017,when they will be publicly opened and read. Each bid must be pre-pared and submitted in accordance with the Instructions to Biddersand must be accompanied by a certified check, bank check, or bidbond in the amount of $16,300 for E.

All successful bidders will be required to furnish a PerformanceBond and a Labor and Material Bond in the statutory form of public

79

http://www.ogs.ny.gov/aboutOGS/regulations/defaultAdvisoryCouncil.html


http://www.ogs.ny.gov/bu/dc/esb/acquirebid.asp

https://online.ogs.ny.gov/dnc/contractorConsultant/esb/ESBPlansAvailableIndex.asp


bonds required by Sections 136 and 137 of the State Finance Law,each for 100% of the amount of the Contract estimated to be between$100,000 and $250,000 for E.

Pursuant to State Finance Law §§ 139-j and 139-k, this solicitationincludes and imposes certain restrictions on communications betweenOGS D&C and a bidder during the procurement process. A bidder isrestricted from making contacts from the earliest posting, on the OGSwebsite, in a newspaper of general circulation, or in the ContractReporter of written notice, advertisement or solicitation of offersthrough final award and approval of the contract by OGS D&C andthe Office of the State Comptroller (“Restricted Period”) to other thandesignated staff unless it is a contact that is included among certainstatutory exceptions set forth in State Finance Law § 139-j(3)(a).Designated staff are Frank Peris, Carl Ruppert and Pierre Alric in theDivision of Contract Management, telephone (518) 474-0203, fax(518) 473-7862 and John Lewyckyj, Deputy Director, Design &Construction Group, telephone (518) 474-0201, fax (518) 486-1650.OGS D&C employees are also required to obtain certain informationwhen contacted during the restricted period and make a determinationof the responsibility of the bidder pursuant to these two statutes.Certain findings of non-responsibility can result in rejection forcontract award and in the event of two findings within a four-year pe-riod, the bidder is debarred from obtaining governmental ProcurementContracts. Bidders responding to this Advertisement must familiarizethemselves with the State Finance Law requirements and will beexpected to affirm that they understand and agree to comply on the bidform. Further information about these requirements can be foundwithin the project manual or at: http://www.ogs.ny.gov/aboutOGS/regulations/defaultAdvisoryCouncil.html


The 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 9:00 a.m. on August 31, 2017 at TonawandaIndian Community House, 372 Bloomingdale Road, Akron, 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 AllysonYoudsavage (716) 937-4200.

Pursuant to New York State Executive Law Article 15-A and therules and regulations promulgated thereunder, OGS is required topromote opportunities for the maximum feasible participation of NewYork State-certified Minority- and Women-owned Business Enter-prises (“MWBEs”) and the employment of minority group membersand women in the performance of OGS contracts. All bidders areexpected to cooperate in implementing this policy. OGS herebyestablishes an overall goal of 30% for MWBE participation, 15% forMinority-Owned Business Enterprises (“MBE”) participation and15% for Women-Owned Business Enterprises (“WBE”) participation(based on the current availability of qualified MBEs and WBEs). Thetotal contract goal can be obtained by utilizing any combination ofMBE and /or WBE participation for subcontracting and suppliesacquired under this Contract.



For questions about purchase of bid documents, please send ane-mail to [email protected], or call (518) 474-0203.



PROVIDECONCRETE PAVER COURTYARD AND SIDEWALKS

Henderson Smith State Office BuildingHornell, Steuben County

Sealed bids for Project No. 45373-C, for Construction Work,Provide Concrete Paver Courtyard and Sidewalks, Henderson SmithState Office Building, 107 Broadway, Hornell (Steuben County), NY,will be received by the Office of General Services (OGS), Design &Construction Group (D&C), Division of Contract Management, 35thFl., Corning Tower, Empire State Plaza, Albany, NY 12242, on behalfof the Office of General Services, until 2:00 p.m. on Wednesday,September 20, 2017, when they will be publicly opened and read.Each bid must be prepared and submitted in accordance with theInstructions to Bidders and must be accompanied by a certified check,bank check, or bid bond in the amount of $25,900 for C.

All successful bidders will be required to furnish a PerformanceBond and a Labor and Material Bond in the statutory form of publicbonds required by Sections 136 and 137 of the State Finance Law,each for 100% of the amount of the Contract estimated to be between$500,000 and $1,000,000 for C.

Pursuant to State Finance Law §§ 139-j and 139-k, this solicitationincludes and imposes certain restrictions on communications betweenOGS D&C and a bidder during the procurement process. A bidder isrestricted from making contacts from the earliest posting, on the OGSwebsite, in a newspaper of general circulation, or in the ContractReporter of written notice, advertisement or solicitation of offersthrough final award and approval of the contract by OGS D&C andthe Office of the State Comptroller (“Restricted Period”) to other thandesignated staff unless it is a contact that is included among certainstatutory exceptions set forth in State Finance Law § 139-j(3)(a).Designated staff are, Carl Ruppert and Pierre Alric in the Division ofContract Management, telephone (518) 474-0203, fax (518) 473-7862and John Lewyckyj, Deputy Director, Design & Construction Group,telephone (518) 474-0201, fax (518) 486-1650. OGS D&C employeesare also required to obtain certain information when contacted duringthe restricted period and make a determination of the responsibility ofthe bidder pursuant to these two statutes. Certain findings of non-responsibility can result in rejection for contract award and in theevent of two findings within a four-year period, the bidder is debarredfrom obtaining governmental Procurement Contracts. Bidders re-sponding to this Advertisement must familiarize themselves with theState Finance Law requirements and will be expected to affirm thatthey understand and agree to comply on the bid form. Further infor-mation about these requirements can be found within the project man-ual or at: http://www.ogs.ny.gov/aboutOGS/regulations/defaultAdvisoryCouncil.html


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 September 7, 2017 at HendersonSmith State Office Building, 107 Broadway, Hornell, NY. Prospectivebidders are urged to visit the site at this time. Prospective bidders ortheir representatives attending the pre-bid site visit will not be admit-ted on facility grounds without proper photo identification. Note thatparking restrictions and security provisions will apply and all vehicleswill be subject to search.

For assistance pertaining to the site visit only, please phone VickiThiegles (585) 658-2900.

Pursuant to New York State Executive Law Article 15-A and therules and regulations promulgated thereunder, OGS is required to

NYS Register/September 6, 2017Advertisements for Bidders/Contractors

80








promote opportunities for the maximum feasible participation of NewYork State-certified Minority- and Women-owned Business Enter-prises (“MWBEs”) and the employment of minority group membersand women in the performance of OGS contracts. All bidders areexpected to cooperate in implementing this policy. OGS herebyestablishes an overall goal of 30% for MWBE participation, 15% forMinority-Owned Business Enterprises (“MBE”) participation and15% for Women-Owned Business Enterprises (“WBE”) participation(based on the current availability of qualified MBEs and WBEs). Thetotal contract goal can be obtained by utilizing any combination ofMBE and /or WBE participation for subcontracting and suppliesacquired under this Contract.



For questions about purchase of bid documents, please send ane-mail to [email protected], or call(518) 474-0203.



NYS Register/September 6, 2017 Advertisements for Bidders/Contractors

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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 Civil Service

PURSUANT to the Open Meetings Law, the New York State CivilService Commission hereby gives public notice of the following:

Please take notice that the regular monthly meeting of the StateCivil Service Commission for September 2017 will be conducted onSeptember 19 and September 20 commencing at 10:00 a.m. This meet-ing will be conducted at NYS Media Services Center, Suite 146, SouthConcourse, Empire State Plaza, Albany, NY with live coverage avail-able at https://www.cs.ny.gov/commission/.

For further information, contact: Office of Commission Opera-tions, Department of Civil Service, Empire State Plaza, Agency Bldg.1, Albany, NY 12239, (518) 473-6598

PUBLIC NOTICEHomes and Community RenewalDraft 2018 Annual Action Plan

Public Comment Period Announcement

To participate in certain federal community development and hous-ing programs, the State of New York an annual Action Plan andprovide opportunities for citizens to participate in its development. Aspart of this process, New York State invites interested persons toreview and comment on the Annual Action Plan for 2018 during anupcoming public comment period.

The Annual Action Plan focuses principally on five federalprograms: the New York State Community Development Block GrantProgram (CDBG); the HOME Investment Partnerships Program(HOME); Housing Trust Fund (HTF); the Housing Opportunities forPersons with AIDS Program (HOPWA); and the Emergency ShelterGrants Program (ESGP).

The Annual Action Plan will describe the State’s planned use offederal Fiscal Year 2018 CDBG, HOME, HOPWA and ESGP funds itadministers to address the needs identified by its five-year Consoli-

dated Plan and further the Consolidated Plan’s objectives, and willalso describe the State’s methods for distributing these funds.

The 30-day public comment period will begin on Wednesday,September 6, 2017 and extend through close of business Thursday,October 5, 2017. Beginning on September 6, 2017, New York State’sdraft Annual Action Plan for 2018 may be viewed on and downloadedfrom the New York State Housing and Community Renewal (HCR)website at www.nyshcr.org. In addition, copies can be requested byemail ([email protected]) or by calling 1-866-ASK-DHCR(275-3427).

Comments should be mailed to: NYS HCR, Attention: AlisonMurphy, 38-40 State St., Albany, NY 12207 or emailed [email protected]. Comments must be received by close ofbusiness Thursday, October 5, 2017.

PUBLIC NOTICENew York City Deferred Compensation Plan

The New York City Deferred Compensation Plan (the “Plan”) isseeking qualified vendors to provide international value investmentmanagement services for the International Equity Fund (“the Fund”)investment option of the Plan. The objective of the Fund is to providean opportunity for exposure to the broad international stock market.To be considered, vendors must submit their product information toMilliman Investment Consulting at the following e-mail address:[email protected]. Please complete the submis-sion of product information no later than 4:30 P.M. Eastern Time onSeptember 25, 2017.

Consistent with the policies expressed by the City, proposals fromcertified minority-owned and/or women-owned businesses or propos-als that include partnering arrangements with certified minority-ownedand/or women-owned firms are encouraged. Additionally, proposalsfrom small and New York City-based businesses are also encouraged.

PUBLIC NOTICEDepartment of State

F-2017-0256Date of Issuance - September 6, 2017

The New York State Department of State (DOS) is required byFederal regulations to provide timely public notice for the activitiesdescribed below, which are subject to the consistency provisions ofthe Federal Coastal Zone Management Act of 1972, as amended.

The applicant has certified that the proposed activity complies withand will be conducted in a manner consistent with the approved NewYork State Coastal Management Program. The applicant’s consis-tency certification and accompanying public information and data areavailable for inspection at the New York State Department of State of-fices located at One Commerce Plaza, 99 Washington Avenue, inAlbany, New York.

In F-2017-0256, Peckham Materials Corporation, is proposing theAthens Facility Project, at Two Union Street Ext. Village of Athens,Greene County. The applicant proposes to install rock rip rap alongtheir shoreline to stabilize an existing breakwall.

Any interested parties and/or agencies desiring to express theirviews concerning any of the above proposed activities may do so by

83

filing their comments, in writing, no later than 4:30 p.m., 15 days fromthe date of publication of this notice, or, September 21, 2017.

Comments should be addressed to the Consistency Review Unit,Department of State, Office of Planning and Development, One Com-merce Plaza, 99 Washington Ave., Albany, NY 12231, (518) 474-6000,Fax (518) 473-2464. Electronic submissions can be made by email at:[email protected].

This notice is promulgated in accordance with Title 15, Code ofFederal Regulations, Part 930.

PUBLIC NOTICEDepartment of State

F-2017-0351Date of Issuance – September 6, 2017

The New York State Department of State (DOS) is required byFederal regulations to provide timely public notice for the activitiesdescribed below, which are subject to the consistency provisions ofthe Federal Coastal Zone Management Act of 1972, as amended.

The applicant has certified that the proposed activity complies withand will be conducted in a manner consistent with the approved NewYork State Coastal Management Program. The applicant’s consis-tency certification and accompanying public information and data areavailable for inspection at the New York State Department of State of-fices located at One Commerce Plaza, 99 Washington Avenue, inAlbany, New York.

In F-2017-0351, or the “Cornwall Yacht Club Breakwater Installa-tion” the applicant – the Cornwall Yacht Club – proposes to constructa 225-linear foot breakwater of large diameter riprap within thefootprint of a sunken barge located in the Hudson River. The project islocated at the south end of Shore Road in the Village of Cornwall onHudson, Orange County. The purpose of the project is to create aquiescent mooring area and protect the marina from wind and waveaction and ice flows. The existing sunken barge, also known as theArmistead, has been in place for decades; however, the deterioratedcondition of the structure has been significantly damaged over time.The New York State Historic Preservation Office has determined theArmistead to be eligible for listing in the National Register of HistoricPlaces and has accepted the applicant’s proposal to mitigate foradverse effects resulting from the proposed activity.

The proposed activities would be undertaken adjacent to the State-designated Significant Coastal Fish and Wildlife Habitat (SCFWH)unit of the Hudson Highlands and within the Hudson Highlands Sce-nic Area of Statewide Significance (SASS) subunit HH-26. Informa-tion on this habitat and protected scenic landscape to be evaluated inconsidering this project may be found on the Office of Planning andDevelopment’s website:

D http://www.dos.ny.gov/opd/programs/consistency/Habitats/HudsonRiver/Hudson_Highlands_FINAL.pdf

D http://www.dos.ny.gov/opd/programs/consistency/scenicass.html

Any interested parties and/or agencies desiring to express theirviews concerning the above proposed activities may do so by filingtheir comments, in writing, no later than 4:30 p.m., 30 days from thedate of publication of this notice, or, October 6, 2017.

Comments should be addressed to the Consistency Review Unit,Department of State, Office of Planning and Development, One Com-merce Plaza, 99 Washington Ave., Albany, NY 12231, (518) 474-6000;Fax (518) 473-2464. Electronic submissions can be made by email at:[email protected].

This notice is promulgated in accordance with Title 15, Code ofFederal Regulations, Part 930.

PUBLIC NOTICENew York State and Local Retirement System

Pursuant to Retirement and Social Security Law, the New York Stateand Local Employees’ Retirement System hereby gives public noticeof the following:

The persons whose names and last known addresses are set forth

below appear from records of the above named Retirement System tobe entitled to accumulated contributions held by said retirementsystem whose membership terminated pursuant to Section 40,Subdivision f, of the Retirement and Social Security Law on or beforeJuly 31, 2017. This notice is published pursuant to Section 109 of theRetirement and Social Security Law of the State of New York. A listof the names contained in this notice is on file and open to publicinspection at the office of the New York State and Local RetirementSystem located at the 110 State St, in the City of Albany, New York.At the expiration of six months from the date of the publication of thisnotice. The accumulated contributions of the persons so listed shall bedeemed abandoned and shall be placed in the pension accumulationfund to be used for the purpose of said fund. Any accumulatedcontributions so deemed abandoned and transferred to the pension ac-cumulation fund may be claimed by the persons who made such ac-cumulated contributions or, in the event of his death, by his estate orsuch person as he shall have nominated to receive such accumulatedcontributions, by filing a claim with the State Comptroller in suchform and in such a manner as may be prescribed by him, seeking thereturn of such abandoned contributions. In the event such claim isproperly made the State Comptroller shall pay over to the person orpersons or estate making the claim such amount of such accumulatedcontributions without interest.

Hazen, Peter C - Clarence Center, NY



The persons whose names and last known addresses are set forthbelow appear from records of the above named Retirement System tobe entitled to accumulated contributions held by said retirementsystem whose membership terminated pursuant to Section 517-a ofthe Retirement and Social Security Law on or before July 31, 2017.This notice is published pursuant to Section 109 of the Retirement andSocial Security Law of the State of New York. A list of the namescontained in this notice is on file and open to public inspection at theoffice of the New York State and Local Retirement System located atthe 110 State St, in the City of Albany, New York. At the expiration ofsix months from the date of the publication of this notice. The ac-cumulated contributions of the persons so listed shall be deemedabandoned and shall be placed in the pension accumulation fund to beused for the purpose of said fund. Any accumulated contributions sodeemed abandoned and transferred to the pension accumulation fundmay be claimed by the persons who made such accumulated contribu-tions or, in the event of his death, by his estate or such person as heshall have nominated to receive such accumulated contributions, byfiling a claim with the State Comptroller in such form and in such amanner as may be prescribed by him, seeking the return of suchabandoned contributions. In the event such claim is properly made theState Comptroller shall pay over to the person or persons or estatemaking the claim such amount of such accumulated contributionswithout interest.

Borrelli-Ilardi, Jean F - Patterson, NY

Capers, Javon C - Brooklyn, NY

Castro-Milano, Sonia E - Hicksville, NY

Cole, Eric M - Hamburg, NY

Dicaro, Janet M - Rochester, NY

Estil-Green, Diania - Wellington, FL

Green, Karen M - Auburn, NY



The persons whose names and last known addresses are set forth

NYS Register/September 6, 2017Miscellaneous Notices/Hearings

84

http://www.dos.ny.gov/opd/programs/consistency/Habitats/HudsonRiver/Hudson_Highlands_FINAL.pdf

http://www.dos.ny.gov/opd/programs/consistency/Habitats/HudsonRiver/Hudson_Highlands_FINAL.pdf

http://www.dos.ny.gov/opd/programs/consistency/scenicass.html

below appear from records of the above named Retirement System tobe entitled to accumulated contributions held by said retirementsystem whose membership terminated pursuant to Section 613 of theRetirement and Social Security Law on or before July 31, 2017. Thisnotice is published pursuant to Section 109 of the Retirement andSocial Security Law of the State of New York. A list of the namescontained in this notice is On file and open to public inspection at theoffice of the New York State and Local Retirement System located atthe 110 State St., in the City of Albany, New York. At the expiration ofsix months from the date of the publication of this notice. The ac-cumulated contributions of the persons so listed shall be deemedabandoned and shall be placed in the pension accumulation fund to beused for the purpose of said fund. Any accumulated contributions sodeemed abandoned and transferred to the pension accumulation fundmay be claimed by the persons who made such accumulated contribu-tions or, in the event of his death, by his estate or such person as heshall have nominated to receive such accumulated contributions, byfiling a claim with the State Comptroller in such form and in such amanner as may be prescribed by him, seeking the return of suchabandoned contributions. In the event such claim is properly made theState Comptroller shall pay over to the person or persons or estatemaking the claim such amount of such accumulated contributionswithout interest.

Abernathy, Yveanne - Calverton, NY

Abrams, Jill F - Rockville Centre, NY

Adamkoski, Irene M - Amsterdam, NY

Adams, Frank J - Hicksville, NY

Adkison, Crystal N - Horseheads, NY

Ahearn, Robert E - Wantagh, NY

Aldous, Tammy L - Colton, NY

Alemany, Janelle R - Croton Hdsn, NY

Alguera, Clementina - Kissimmee, FL

Allen, Shawn M - Cleveland, NY

Alston, Lydia M - Rochester, NY

Anapolis, Luke D - Glenville, NY

Anderson, Ann - Johnson City, NY

Anderson, Ebony D - Lockport, NY

Anderson, Karen L - Endicott, NY

Anderson, Ramel A - Calverton, NY

Anderson, Tierra M - Buffalo, NY

Andrade, Nora L - Yonkers, NY

Andrews, Krista L - Mechanicville, NY

Andrushkevich, Mariya - Albany, NY

Anobile, David G - North Bellmore, NY

Antzoulis, Jennifer - Mandeville, LA

Apfel, Stuart C - West Hempstead, NY

Aragon, Yvette S - Buffalo, NY

Araos, Joaquin B - Ithaca, NY

Argueta, Juana M - Roosevelt, NY

Armstrong, Kristine A - Berkshire, NY

Ashworth, David R - E Syracuse, NY

Assad, Abakar Mahamoud - Bronx, NY

Auguste, Marie C - Roosevelt, NY

Avery, Domini F - Millerton, PA

Azim, Bibi Z - Bronx, NY

Badal, Brian M - Montville, NJ

Bahl, Saurabh - Dix Hills, NY

Bailey, Jesse L - Lockport, NY

Baker, Cherry - Lawrenceville, GA

Baker, Melodie - Buffalo, NY

Baker, Thon M - Corinth, NY

Baldwin-Sasso, Jane A - Camillus, NY

Ballard, Denise R - Owego, NY

Baracaldo, Vanessa D - Oyster Bay, NY

Barber, Arthur - Rochester, NY

Barletti, Kathleen S - Yorktown Heights, NY

Barone, Conner A - Ulm, MT

Barr, John M - Rensslaer Fls, NY

Barrett, Luani - Monroe, NY

Bascom, Lori A - New Hartford, NY

Basher, Meghan M - Tarrytown, NY

Battisti, Patricia A - Las Vegas, NV

Beach, Margot A - Saratoga Springs, NY

Beach, Mylinda - Freeport, NY

Beams, Bethany R - Gaithersburg, MD

Beechay, Tracey A - Massapequa, NY

Beeman, Kyle L - Peru, NY

Bellantoni, Jennifer - White Plains, NY

Benjamin, Cassandra - Albany, NY

Bennett, Jessica L - Tacoma, WA

Benton, Mary K - Rosedale, NY

Berenshteyn, Sergey - Albany, NY

Berkowitz, Darek M - Glens Falls, NY

Bermudez, Judith - Rochester, NY

Berna, Lisa M - Penn Yan, NY

Best, Allie L - Charlotte, NC

Betances, Jose - Bronx, NY

Bikowsky, Marc E - Hamilton, NY

Billstone, Jayson J - Russell, PA

Bishop, Krishna - Broadalbin, NY

Bisio, Derek P - Homosassa, FL

Blackburn, Michael - Long Beach, NY

Blackwell, William P - S Pasadena, CA

Blake, Donovan R - Albany, NY

Bliss, Lisa M - Alfred Station, NY

Blum, Lauren M - East Patchogue, NY

Bonfante, Danielle M - Congers, NY

Bourne, Leah K - Rochester, NY

Bowe, Tahira K - Westbury, NY

Boyce, Eric J - Bergen, NY

Boyle, Daniel J - North Babylon, NY

Boyle, Lara J - Cape Vincent, NY

Brabham, John G - East Syracuse, NY

Brace, Jessica M - Troy, NY

Bramlage, Adrian J - Carmel, IN

Brandstetter, Charity A - Auburn, NY

Brandt, Erin E - Ithaca, NY

Brandt, Neal - Bethpage, NY

Brathwaite, Christopher - New York, NY

Braunwart, Jessica M - Brewster, NY

Brentano, Kerri A - Thornwood, NY

Brew, Stephanie L - Corning, NY

Brewer, Geoffrey R - Rensselaer, NY

Buchalski, Ian W - Lewiston, NY

Bueti, Sara Marie - Holbrook, NY

Bunkiewicz, James A - Roselle, NJ

Buonanno, Susan M - Rockaway Park, NY

Burgess, Sally J - Clayton, NY

Burke, Michael F - Red Hook, NY

Burns, Edward J - New Providence, PA

Burrows, Morgan L - Middletown, NY

Burton, Jacqueline M - New Orleans, LA

NYS Register/September 6, 2017 Miscellaneous Notices/Hearings

85

Butler, David C - Hume, NY

Byrne, Nancy A - Shelter Island, NY

Bystricky, Debra M - Bradenton, FL

Calame, Brian - Hauppauge, NY

Campbell, Carolyn N - Greene, RI

Camperlango, Leonard W - Queensbury, NY

Canales, Calixto - West Babylon, NY

Canning, Katelyn C - Tulsa, OK

Carello, Anthony M - East Syracuse, NY

Carfora, Jonathan F - Glen Cove, NY

Carlson, Kerri L - Coral Springs, FL

Carman, Maurice A - Denver, CO

Carmona, Blanca L - Carol Stream, IL

Carney, John P - Endicott, NY

Castro, Andrea S - Brooklyn, NY

Catsaros, Victoria E - Bohemia, NY

Celella, Paul C - E Patchogue, NY

Cercone, Ermo - Lancaster, NY

Cerio, Janice R - East Syracuse, NY

Chabon, Marissa - Peekskill, NY

Charlier, Lynne M - Lindley, NY

Chaudhry, Khyzar - Corona, NY

Childs, Holly E - Manchester, NY

China, Anna - Oceanside, NY

Chiza, Saira A - Staten Island, NY

Chrispell, Denise E - Indiana, PA

Christman, Nicole K - Schenevus, NY

Church, Brett A - Mohawk, NY

Ciaravino, Maureen T - Centerport, NY

Cinsov, James A - Ossining, NY

Cipoletti, Deanna E - Schenectady, NY

Clark, Maria A - Lockport, NY

Clark, Mary C - Mohawk, NY

Clay, Laura F - Rochester, NY

Clifford, Erica E - Ilion, NY

Cline, Amanda L - Herkimer, NY

Clinkscales, Beverly A - Rochester, NY

Collette, Josh P - Evans Mills, NY

Collins, Amanda E - Baldwinsville, NY

Collyer, Kenneth J - Queensbury, NY

Conhiser-Andera, Catherine E - Allegany, NY

Cooley, Crystal M - Tampa, FL

Cooney, Judith M - Montgomery, NY

Crescenzo, Valerie L - Rockville Ctr, NY

Cresente, Jose A - Atlanta, GA

Crumb, Kelly E - Pittsford, NY

Crump, Eric E - Bronx, NY

Cruse, Andrea K - Springville, NY

Cuff, Morag E - Middletown, NY

Currier, Kelsey L - Peru, NY

Curry, Gail E - Lowville, NY

Cusey, William A - Hyattville, MD

Cuteri, Anthony J - East Meadow, NY

D’Agostino, Samuel D - Caledonia, NY

Dacus, Darel W - Saratoga Spgs, NY

Daniel, Annamma - Bellerose, NY

De Benedetto, Robin R - Auburn, NY

De Feo, Veronica L - Cleveland, OH

De Lauro, Theresa A - East Meadow, NY

De Presco, Angela - Islip Terrace, NY

Delgado, Evangelina - Passaic, NJ

Delisfort, Guy J - Newburgh, NY

Delvecchio, Joseph - Rochester, NY

Demas, Stephanie - Astoria, NY

Den Bleyker, Norma J - Clay, NY

Denehan, Thomas G - Smithtown, NY

Dening, Lori S - Lowville, NY

Dennison, Arin E - Elmira, NY

Desir, Jean-Joseph Thales - Brooklyn, NY

Di Lecce, Jason G - Harriman, NY

Diaz, Lisa T - New York, NY

Dobies, Emily K - Buffalo, NY

Dodge, Vincent F - Middle Island, NY

Donohue, Thomas J - Holtsville, NY

Dooley, Susan Warner - Chicago, IL

Douglas, Mary A - Kirkville, NY

Doxtater, Brian M - Evans Mills, NY

Drake, Christopher L - Big Flats, NY

Dranger, Theresa A - Ogdensburg, NY

Du Bois, Robert A - Greenfield Ctr, NY

Dukett, John R - Saranac Lake, NY

Dupuis, Danielle J - Malone, NY

Dupuis, Donna M - Latham, NY

Duran, Sylvia - San Francisco, CA

Durango, Alejandra - New York, NY

Durkee, David A - Morrisonville, NY

Duval, Lindsey M - Saratoga Spgs, NY

Dwyer, Donita M - Keuka Park, NY

Dyda, Christopher J - Greenville, MS

Ebora, Cristina A - Philadelphia, PA

Edgbert, Taija N - Clarksville, TN

Edwards, Richard E - Long Beach, CA

El-Khawam, Rania - Amityville, NY

Elias, Samantha L - Syracuse, NY

Elser, Rachel S - Allegany, NY

Emekli, Esra - Medford, NY

Emery, Adam W - Schenectady, NY

Emlen, Nina C - Oberlin, OH

English, Jo Ann M - Greene, NY

Evans, Lendcy B - Shoreham, NY

Evers, Jaime L - Clifton Park, NY

Factora-Galang, Jonathan T - Syracuse, NY

Fajen, Tammy J - Schaghticoke, NY

Famighetti, Christopher T - Brooklyn, NY

Farnan, Jeanne M - Rockville Centre, NY

Farnham, Laticia S - Freeville, NY

Farrell, Andrew M - New York, NY

Fasy, Madge S - Rochester, NY

Fazio, Amy K - Lake Luzerne, NY

Fazio, Caitlin J - Northport, NY

Fazio, David L - Brooklyn, NY

Feldman, Catherine A - Batavia, NY

Feldman, Kristina D - Plainview, NY

Fernandez, Gerald F - Ballston Lake, NY

Ferro, George P - Feura Bush, NY

Ferry, Amy L - Brooklyn, NY

Finley, Megan P - Nanuet, NY

Finney, Emily H - Endicott, NY


86

Fiorentino, Melissa M - Canandaigua, NY

Fiorino, Jamie L - Troy, NY

Fitzgerald, Catherine M - Westbury, NY

Fitzpatrick, Crystal L - Kingston, NY

Flanagan, Peter J - Hamburg, NY

Fleurinord, Jucrepin - Stony Brook, NY

Fontanilla, Morris J - Spring Valley, NY

Foster, Eric L - Homer, NY

Fraga, Kathleen - Vero Beach, FL

Frank, Christopher M - Steamburg, NY

Franklin, Diane L - Ashville, NY

Frarey, Kimberly L - Sherrill, NY

Fraser, Nicole K - Brooklyn, NY

Froelich, Shawna L - Syracuse, NY

Furlong, Rayanne A - Fort Myers, FL

Gabryszak, Laura A - Cheektowaga, NY

Galluccio, Gina M - Farmingdale, NY

Garcia, Marisel D - Herkimer, NY

Garcia, Walter I - Delmar, NY

Garrison, Justin S - Walden, NY

Gartung, Amber R - Rochester, NY

Gaylord, Joseph F - Holley, NY

Gazi, Farhad M - Woodside, NY

Gecaj, Mirjeta - Wappingers Fl, NY

Geiger, Benjamin R - Tupper Lake, NY

George, Michael D - Fishers Island, NY

Geroulakis, Andreas G - Staten Island, NY

Gersten, Daniel - Monticello, NY

Ghosh, Debansu - Alexandria, VA

Gibbons, Martin M - Averill Park, NY

Gicewicz, Sarah A - Clifton Park, NY

Gill, Mary Jo - Buffalo, NY

Gilliland, Erin C - Orchard Park, NY

Glenn, Timothy J - Jamestown, NY

Gloss, Lorraine M - Lancaster, NY

Glow, Melanie C - Little Valley, NY

Godios, Kathryn M - Hamburg, NY

Golen, Melissa A - Cheektowaga, NY

Gonzalez, Misty L - Saint Louis, MO

Goodman-Lewis, Lisa R - Sayville, NY

Goodspeed, Kelly D - Austin, AR

Gould, Tracy E - Dupont, WA

Grabowski, Antoni - Centereach, NY

Grady, Betty - Syracuse, NY

Graham, Tiffany C - Menands, NY

Grant, Adam T - Garnerville, NY

Grates, Laurene L - Carmel, NY

Gray, Deborah A - Baldwinsville, NY

Gregg, Amber E - East Hampton, NY

Griem, Jai - Brooklyn, NY

Grishaber, Jennifer M - Bronx, NY

Grizzanti, Michael N - Webster, NY

Grobosky, Meghan E - Clarskville, TN

Grossetto, Jennifer A - Oakdale, NY

Gu, Michelle R - New Hartford, NY

Guareno, Evelin A - Bronx, NY

Guillaume, Jean R - Freeport, NY

Guinta, Julie D - Livonia, NY

Gutierrez, Manuel - Bronx, NY

Gwizdala, Michael D - Albany, NY

Hackett, Amanda L - Bolivar, NY

Hadden, Meggin G - Franklin, TN

Hagele, Aaron B - South Salem, NY

Hall, Angel M - Tucson, AZ

Hamel, Johanna L - Gansevoort, NY

Hammer, Walter J - Lancaster, NY

Harang, Tony A - Lake Peekskill, NY

Harbour, Molly E - Menands, NY

Harby, Amy S - Walton, NY

Harmon, Mechelle L - Ocala, FL

Harpine, Heather L - Burnt Hills, NY

Harrington, Travis L - Vestal, NY

Hart, Erika - Patchogue, NY

Haskaris, Konstantina - Bayside, NY

Hatem, Doris A - Ridge, NY

Haughie, Robert P - Hottsville, NY

Havel, Vicky M - Newark Valley, NY

Hayes, Donald R - Lancaster, NY

Hayes, Larrin E - Saratoga Springs, NY

Healy, Jody L - Nanuet, NY

Heaton, Kelly A - South Glens Falls, NY

Henderson, Tyquana L - Jamaica, NY

Henry, Juliet E - Troy, NY

Herisse, Michael C - Spring Valley, NY

Herman, Sarah A - Midlothian, VA

Hernandez, Helena - Albany, NY

Heslin, Lauren E - Binghamton, NY

Hess, Patricia L - Port Saint Lucie, FL

Hicks, Jerrod I - Spring Valley, NY

Higgins, Pamela J - Troy, NY

Higgins, Trisha K - Oakfield, NY

Hill, Carey L - Gasport, NY

Hirsch, Allison C - Clifton Park, NY

Hitt, Shannon C - Cheshire, MA

Hoffman-Palmer, Carrie B - Desert Hot Springs, CA

Hoffman, Susan K - Woodruff, SC

Holden, Matthew D - Schenectady, NY

Hollander, Gavi E - Jersey City, NJ

Holliday, Sandra C - Randolph, NY

Holt, Makeda T - Buffalo, NY

Horton, Brendan M - Hopewell Junction, NY

Horton, Jenny J - Addison, NY

Houser, Patricia A - Carmel, NY

Houston, Reginald L - Rochester, NY

Howe, Allison C - Montgomery, NY

Howell, Faith A - Pelham, NY

Hudson, Trisha A - Westfield, NY

Hughes, Michael E - Tupper Lake, NY

Hultberg, Angela A - New Rochelle, NY

Hunter, Brian M - Setauket, NY

Huston, Deborah M - Chatham, NY

Hynes, Christina M - Elma, NY

Imbriano, Sandra - Rocky Point, NY

Inserra, Andrew J - Utica, NY

Interiano, Hector A - Brentwood, NY

Irby, Eli - Funta Gorda, FL

Iriarte, Marisa C - Newburgh, NY

Islam, Asma - Shrewsbury, MA


87

Jackson, Jennie L - Moravia, NY

Jamieson, Josephine S - Central Islip, NY

Jarvais, Joseph A - Schenectady, NY

Jayasekara, Anuththara L - Island Park, NY

Jazak, Monica A - Rochester, NY

Jemola, Tina L - Syracuse, NY

Jenkins, Diondra S - Watervliet, NY

Jesionowski, Wanda M - Brocton, NY

Jimenez Madiedo, Carolina - Providence, RI

Jock, Laurie J - Constable, NY

Johnson, Amy E M - Ithaca, NY

Johnson, Beryl S - Fort Pierce, FL

Johnson, Christina L - South New Berlin, NY

Johnson, Clinton T - East Syracuse, NY

Johnson, Rodney E - Lakewood, NY

Johnson, Sandrene - Brooklyn, NY

Johntry, Tara Ann - Yaphank, NY

Jones, Ashley M - High Point, NC

Jones, Brittannia S - Jamaica, NY

Jones, Kasey M - Herkimer, NY

Jordan, Mary E - Huntington, NY

Joseph, Beverly - West Hempstead, NY

Joyce, Patricia L - Dudley, MA

Joykutty, Samuel T - Selden, NY

Kader, Danielle S - Webster, NY

Kammerer, Robert J - Carle Place, NY

Kaplan, Heather R - Austin, TX

Karagiannis, Christos G - Merrick, NY

Karambatsakis, John - Bethpage, NY

Kasny, Kerry E - Carle Place, NY

Kauer, Linda M - Bay Shore, NY

Keefe, Lisa J - N Syracuse, NY

Keitt, Tykeysha M - Brooklyn, NY

Kelleher, Laura A - Cortlandt Mnr, NY

Kelly, Tara M - Carle Place, NY

Kemp, Kyle J - Peru, NY

Kendrick-Gaffney, Mary E - Skaneateles, NY

Kenny, John J - New York, NY

Kenol, Rebecca - Middletown, NY

Kessler, Lauren A - Rochester, NY

Ketcham, Brianna P - Spring Lake, NC

Kicha, Katherine E - Patchogue, NY

Kim, Young Shin - New York, NY

Kinsey, Cara V W - Chatham, VA

Kirkpatrick, Stacey L - Carthage, NY

Klein, Melissa A - Bay Shore, NY

Knauff, Rachel L - Alden, NY

Kniffen, Deborah L - Biloxi, MS

Knight, Joy P - Bronx, NY

Knoedl, Cathy E - Johnson City, TN

Knuuti, David L - Churchville, NY

Koons, Suzanne M - Tonawanda, NY

Kosiorowski, Tova - Williston Pk, NY

Koster, Hope E - Carthage, NY

Koutoulas, Marie E - Eastchester, NY

Kracker, Rachael L - Buffalo, NY

Kreutter, Stephanie M - Buffalo, NY

Kulangara, Jason - Culver City, CA

Kuper, Carissa E - Lutz, FL

Kurian, Mon - Irving, TX

Kwiek, Eric A - Syracuse, NY

La Barbera, Anthony V - Herkimer, NY

La Lima, Joseph D - Kingston, NY

Lacey, Lakisha J - Syracuse, NY

Lafrance, Shari L - Clifton Park, NY

Landry, Kristopher J - Chazy, NY

Lane, Stacy - Amityville, NY

Lapreziosa, Christina A - Mastic Beach, NY

Latus, Finette A - Spring Valley, NY

Le Brun, Jacqueline A - Rockingham, NC

Lee, Joanna T - Franklin Square, NY

Leigh, Jamai A - Beacon, NY

Leitner, Adina B - Brooklyn, NY

Lemieux, Sandra A - Canada,

Lemise, Deborah A - Barnegat, NJ

Lento, Laura A - Kent Lakes, NY

Lentz, Jon William P - New York, NY

Lepore, Stephanie - West Babylon, NY

Lesinski, Julie K - Fort Riley, KS

Levenstein, Heather J - Commack, NY

Liebman, Michelene C - Novi, MI

Liriano, Carmen - Stony Point, NY

Liu, Na - Brooklyn, NY

Lo, Chun Hong - Fairport, NY

Lockett, Nathan J - Lansing, NY

Lodato, Emily M - Medford, NY

Long, Julia P - Annapolis, MD

Long, Lloyd E - Salamanca, NY

Lopez, Leo - New York, NY

Lopez, Meredith R - Plainview, NY

Lozada, Rose M - Tucson, AZ

Lucas, Danielle N - Albany, NY

Luciano, Nicholas D - Wappingers Falls, NY

Luongo, Marta - Brooklyn, NY

Lyerly, David A - New Rochelle, NY

Lynch, Sandra A - Oneonta, NY

Lyons, Zachary J - Liberty, NY

Madeira, Ana C - New Rochelle, NY

Mahoney, Jonathan M - Durham, NC

Mallet, Charly A - Dorchester, MA

Mandell, Melissa A - Corning, NY

Mannion, Michael F - Bronx, NY

Marino, Valentina A - Ponte Vedra Beach, FL

Marks, Karen L - Baldwin, NY

Maroney, Marie K - Cornwall, NY

Marro, Jennifer L - Ilion, NY

Martell, Brett F - White Plains, NY

Martinez, Donna M - Smithtown, NY

Martinez, Eric A - Buffalo, NY

Marzigliano, John N - Merrick, NY

Mathews, Deena - Congers, NY

Maule, Devron - Staten Island, NY

Maxwell, Melissa A - Farmington, NY

Mazza, Christina M - Camillus, NY

Mazza, Dennis E - Utica, NY

Mc Adory, Ciara C - Buffalo, NY

Mc Allister, Nicole - Clifton Park, NY

Mc Alvin, Kristen M - N Patchogue, NY


88

Mc Calley, Kaitlin A - Somers, NY

Mc Carthy, Johanna M - Batavia, NY

Mc Clain, Susan M - Suffern, NY

Mc Cleary, Chanequa E - Troy, NY

Mc Coy, Michael A - Cooperstown, NY

Mc Donough, Jesse R - Norwich, CT

Mc Fadden-Scott, Sally A - Yonkers, NY

Mc Grath, Tracy A - Franklin Square, NY

Mc Hargue, John F - Troy, NY

Mc Ilvain, Patrick P - Oakdale, NY

Mc Kessy, Matthew D - Fairport, NY

Mc Monagle, Valicia J - Florence, KY

Mc Mullen, Susan - Syracuse, NY

Mc Namara, David F - Auburn, NY

Meehan, Michael T - Woodside, NY

Mejia De Palacios, Lidia Y - Central Islip, NY

Mendoza, Tricia P - Portsmouth, NH

Menieur, Ayleen - Guaynabo, PR

Merrihew, Joseph P - Saranac Lake, NY

Metz, Melanie - Commack, NY

Meyer, Mary E - N Chesterfld, VA

Michel, Evelyn - Spring Valley, NY

Michelman, Gregory C - Long Beach, NY

Migliore, Jeanine M - East Islip, NY

Mihalic, Caitlin A - Buffalo, NY

Miller, Alyson M - Poughkeepsie, NY

Miller, Christopher M - Ogdensburg, NY

Miller, Eric J - Albany, NY

Miller, Ralph E - Lisbon, NY

Millspaugh, Caroline - Bardonia, NY

Minaratul, Ara - New Windsor, NY

Mir, Brianna H - Liberty, NY

Mirrione, Nicholas T - East Meadow, NY

Monaco, Maggie A - Utica, NY

Mondesir, Carole M - New Rochelle, NY

Mongwa, Mbu - Champaign, IL

Monroe, Christina J - Schenectady, NY

Montanaro, Deborah A - Shirley, NY

Montroy, Allison M - Buffalo, NY

Moore, Jeanne M - Syracuse, NY

Moore, Laura A - Highland Falls, NY

Moore, Michelle M - Lockport, NY

Morehouse, Adam M - Penn Yan, NY

Morgan, Elizabeth A - Ballston Spa, NY

Morse, Samantha L - Little Falls, NY

Moshfeghi, Angela - Sayville, NY

Mundy, Christina A - Maspeth, NY

Munno, Oreste - Lake Grove, NY

Murphy, Brenna L - Rochester, NY

Naccarato, Sallyann - New Paltz, NY

Nadeau, Elizabeth J - Lyons, NY

Nagel, Dawn Marie - Cary, NC

Napolitano, Anthony - Shirley, NY

Napper, Jeffery S - Yonkers, NY

Near, Steven J - Copake Falls, NY

Neaverth, Theresa K - Boca Raton, FL

Negron, Constance M - New Hyde Park, NY

Nesbitt, Stacey L - Albion, NY

Nettnin, Laura N - Rochester, NY

New, Amy L - Lockport, NY

Newey, Kathleen R - Rochester, NY

Ngai, Nancy - Brooklyn, NY

Nie, Wei - Warwick, NY

Nieves, Aurialis - South Daytona, FL

Nocera, Yeritza I - Black River, NY

Nolette, Alvin B - Willsboro, NY

Norek, Tammy L - Lancaster, NY

Nowicki, Patricia - Sebastian, FL

O’Brien, Matthew V - Cobleskill, NY

O’Connor, Frank E - Islip Terrace, NY

O’Connor, Mary T - Savona, NY

O’Keefe, Lynn M - New Windsor, NY

O’Leary, Sean J - Santa Monica, CA

O’Neill, Austin A - Tupper Lake, NY

O’Neill, Marisa A - Rochester, NY

Oakley, Gerald J - Canastota, NY

Ocvil, Fadette - New City, NY

Oh, Ja Young - Flushing, NY

Olivas, James R - Hilton, NY

Olmstead, Donald - Waterville, NY

Omoregie, Eghosa - New Rochelle, NY

Orologio, Timothy J - Norwood, NY

Orsini, Kristen M - Huntington Station, NY

Ortiz, Lisa R - Long Island City, NY

Osenbaugh, Paul C - Jay, NY

Osgood, Laurie J - Fort Ann, NY

Paige, Frank I - Norwood, NY

Palermo, Stephen A - Washingtonville, NY

Palladino, Kenneth J - Accord, NY

Palladino, Pamela A - Manlius, NY

Parker, Patricia A - Spring Valley, NY

Parkinson, Valrie A - Bronx, NY

Paterno, Jessica L - Rocky Point, NY

Paul, Kerrith M - Rock Hill, SC

Paz, Rochelle L - Glen Burnie, MD

Pealo, George R - Bridgeport, NY

Pellicier, Oliver L - Bronx, NY

Penirelli, Lianna - Mahopac, NY

Peran, Natalie - Babylon, NY

Perham, Richard W - Mayfield, NY

Perlaza, Adriana - Mineola, NY

Perry, Robert V - Brentwood, NY

Peter, Cynthia M - St James, NY

Peterson, Justin A - Astoria, NY

Pikas, Erik - Shandaken, NY

Pillet, Lisa M - Middletown, NY

Platania, Erik J - Wassaic, NY

Podniesinski, Darcie A - Cheektowaga, NY

Poisella, Jamie A - Plainview, NY

Polkhousky, Valentina - Whitesboro, NY

Popielarski, Debra A - N Massapequa, NY

Post, Janelle L - Westfield, NY

Powell, Richard B - Lancaster, NY

Powers, Benita S - Moravia, NY

Powers, Jillian E - Englewood, CO

Powers, Timothy J - Peru, NY

Preda, Elena - Brooklyn, NY

Primerano, Jessica M - Syracuse, NY


89

Prisco, Justin T - Pomona, NY

Provost, Emillie A - Peru, NY

Provost, Mark A - Morrisonville, NY

Purcell-Ritter, Angela L - Hyde Park, NY

Quick, Jason M - Cohoes, NY

Quinto, Odilia B - Westbury, NY

Radford, Alice A - Wantagh, NY

Raduns, Ashton E - Batavia, NY

Rai, Paulinder - Brightwaters, NY

Ramirez, Jessica - Buffalo, NY

Randesi, Anthony J - Endicott, NY

Rappa, Giuseppina - New York, NY

Ravner, Louise A - Jericho, NY

Rawleigh, Michael P - East Hampton, NY

Realmuto, Barbara J - Massapequa Park, NY

Reasoner, Nora A - Riverside, CT

Reffitt, Richard L - Northville, NY

Regnier, Arnold J - Point Lookout, NY

Reid, Andrew J - Fayetteville, NC

Reiner, Carla - Altamont, NY

Reinhart, Lauren A - Smithtown, NY

Rembert, Orlando - Buffalo, NY

Resch, Pamela M - Constantia, NY

Reyes, Kimberly A - Columbia City, IN

Reynolds-Sheehan, Vickie L - New Paltz, NY

Rich, Michelle M - Berkshire, NY

Richardson, Nerita D - Dayton, OH

Richter, Alexander M - Dunwoody, GA

Rimer, Sandra L - Bradford, PA

Rios, Matthew J - Ravena, NY

Rivera, Hector N - Pocono Summit, PA

Rivera, Nydia V - Bronx, NY

Rivera, Rebecca - West Islip, NY

Roberts, Hugh T - Bridgewater, NY

Robinette, Jeffrey D - South Salem, NY

Rodriguez-Olivo, Christina - Orlando, FL

Rodriguez, Donna L - Cortlandt Manor, NY

Rodriguez, Juan C - Brooklyn, NY

Rodriguez, Victoria E - Elmont, NY

Roehr, Elizabeth J - Ballston Spa, NY

Romero-Carcamo, Maria T - New City, NY

Rose, Melissa K - Voorheesville, NY

Rosen, Marlene L - West Hempstead, NY

Roser, Lauren L - Kingwood, TX

Roshia, James M - Norwood, NY

Rosinski, Donna S - Williamsville, NY

Rossin, Alexander M - Forest Hills, NY

Rouin, Jess M - Buffalo, NY

Roychoudhury, Arindam - Rockville Centre, NY

Rubbo, John T - Yonkers, NY

Rumbea, Sandra M - Clermont, FL

Runfola, Peter R - Schenectady, NY

Russell, James D - Ogdensburg, NY

Ruvinova, Sara - Brooklyn, NY

Saif, Sumbal - Brooklyn, NY

Sainz, Karen K - Lake Peekskill, NY

Salameh, Sarah E - Hobbs, NM

Salvesen, Karen E - East Rockaway, NY

Sander, Autumn M - Grand Island, NY

Sanford, Robin L - Brunswick, ME

Sankaran, Vanitha A - Cupertino, CA

Santana, Darrin J - Monroe, NY

Santana, Johanna - Lowell, MA

Santiago, Jose M - West Park, FL

Saul, Stacey L - Kirkwood, NY

Sauler, Jennifer R - Bronx, NY

Schmitt, Joanne T - Daytona Beach, FL

Schneider, Vincent J - Deferiet, NY

Schueler, Janette A - Cheektowaga, NY

Schultz, Jenna M - Akron, NY

Schwab, George E - Mechanicville, NY

Schwarz, Alyssa C - Bellport, NY

Sclafani, Doretta - Seaford, NY

Scott, Heather L - Germantown, NY

Sealy, Ted A - Brentwood, NY

Searing-Burke, Jennifer L - Leeds, NY

Sears, Trapper F - Hillsborough, NC

Sebro, Neffatia M - Brooklyn, NY

Seitz, Kelly A - Angola, NY

Seltzer, Jared I - Dix Hills, NY

Semkiw, Gina-Marie - Fultonville, NY

Seshadri, Sangeetha - Smithtown, NY

Severino, Laura D - Brooklyn, NY

Sfiroudis, Christina - Brooklyn, NY

Shaw, Stephen J - Marysville, OH

Sheehan, Milton J - Buffalo, NY

Sheffield, Stephen P - Fabius, NY

Shelton, Sylvia D - Hempstead, NY

Shepherd, Paul R - Whitehall, NY

Shujauddin, Sadahf - Yonkers, NY

Sichel, Lauren R - Port Washington, NY

Siedlecky, Jonathan J - Binghamton, NY

Sigismonti, Susan A - Bronx, NY

Silberstein, Dana R - Hazlet, NJ

Silvani, Dorothy A - Rome, PA

Simmons, Charisse - White Plains, NY

Simmons, Katrina M - Greenville, SC

Singh, Betty - Orlando, FL

Slansky, Adam P - Millwood, NY

Sloan, Dail A - Stanford, NY

Slojkowski, Michael - West Seneca, NY

Smith, Harry - Dix Hills, NY

Smith, Michelle R - Cartersville, GA

Smith, Victoria S - Oceanside, NY

Snizek, Matthew J - Vermontville, NY

Snowburg, Sarah S - Horseheads, NY

Snyder, Deborah S - Mayfield, NY

Solomon, Garron - Cary, NC

Sorrell, Clara J - Albany, NY

Soto, Crystal M - Bronx, NY

Spence, Nathanael - Otisville, NY

Sportelli, Anthony Y - Endwell, NY

Squeo, Regina - Holbrook, NY

St Juste, Norma - Dix Hills, NY

Starr, Taylor B - Rochester, NY

Stencel, Steven M - Depew, NY

Stevens, Holly E - Galveston, TX

Stewart, Melody A - Pine City, NY


90

Stogianos, Angeliki - Deer Park, NY

Sukumaran, Anand - New Haven, CT

Sullivan, Christopher M - New York, NY

Suman, Hridya - Queens Village, NY

Suppo, Crystal A - Ripley, NY

Swan, Chenell D - Poughkeepsie, NY

Sweeney, Sandra R - Zebulon, NC

Syed, Noor Y - Dix Hills, NY

Szelewski, Anna N - Syracuse, NY

Tablada, Michelle E - Encino, CA

Tabor, Amanda M - Spencerport, NY

Tebo, Matthew S - Norwood, NY

Terchunian, Linda J - Riverhead, NY

Terwilleger, Joseph A - Middletown, NY

Tesseyman, Janice M - Suffern, NY

Thomas, David C - Ithaca, NY

Thomas, Delores J - Mt Vernon, NY

Thomas, Keanna J - Charlotte, NC

Thomopoulos, Irene C - Old Westbury, NY

Thompson, Shelley L - Washington, DC

Thompson, Teresa D - Bronx, NY

Thorne, Jennifer E - Seneca Falls, NY

Tobar, Cynthia - Brooklyn, NY

Toledo, Natasha - Huntingtn Sta, NY

Torres, Rachael N - Antelope, CA

Towey, Eileen M - Buffalo, NY

Townsend, Andrea A - Duanesburg, NY

Treadwell, Matthew Q - Montrose, NY

Treanor, James P - Poughquag, NY

Trembley, Michael A - Syracuse, NY

Tully, Mildred A - Lyons Falls, NY

Tylec, Aidan J - Modena, NY

Uhrig, Suzette M - Baldwinsville, NY

Ulloa, Edwin J - Sayville, NY

Urgo, Tina M - Florence, SC

Uwimana, Allison C - Laurel, MD

Van Deven, Stephanie - Cherry Hill, NJ

Van Scott, Donna L - Lyons, NY

Vanderburg, Tara M - Lynbrook, NY

Varas, Yudelka - North Bergen, NJ

Varela, Dionis A - Yonkers, NY

Verdone, Robert - Sayvill, NY

Vicente, James E - Brooklyn, NY

Vine, Sarah C - Ogdensburg, NY

Vitha, Shraddha C - New Hyde Park, NY

Vogel, Robert G - Staten Island, NY

Vondracek, Corey T - Cayuta, NY

Vu, Thuy - Syracuse, NY

Wade, Mischell L - Jefferson, NY

Walden, Kimberly K - Colorado Springs, CO

Walter, Derek W - Liverpool, NY

Warren, Debra Y - Binghamton, NY

Watson, Jane M - Machias, NY

Weber, Cynthia M - Pleasant Vly, NY

Wein, Andrew J - Clifton Park, NY

Welby, Susan B - Suffern, NY

Wells, Lisa A - Plattsburgh, NY

West, Jenna L - Connelly, NY

Westby, Cynthia M - Ransomville, NY

Whelan, Nancy L - Northport, NY

Whipple, Shannon M - Penn Yan, NY

White, Lisa A - Ballston Lake, NY

Whitt, William N - Lumberton, NC

Whittaker, Barbara E - Kingston, NY

Wilkes, Andre M - Niagara Falls, NY

Willette, Christina M - Rochester, NY

Willig, Maureen - Stanfordville, NY

Wilson, Divinity S - Batavia, NY

Wims, Jacques N - Rochester, NY

Wing, Renee M - Brockport, NY

Winters, Michelle D - Warners, NY

Wixson, Elizabeth V - Buffalo, NY

Woitaszek, Kenneth S - Lancaster, NY

Wolfford, Zakiyyah M - Buffalo, NY

Woodard, Karen M - Elmira, NY

Woodruff, Jamie R - Endicott, NY

Woodworth, Stephanie G - Nunda, NY

Worden, Angele - New Hartford, NY

Woythaler, Meredith - Rockville Center, NY

Wright, Shawn D - Cuba, NY

Wright, Yarvon E L - Syracuse, NY

Wrisley, Sara A - Salt Point, NY

Wrona, Joseph R - Tn Of Tona, NY

Wyatt, Karen L - Mattydale, NY

Yang, Shin-Chieh - Orlando, FL

Yearwood, Michelle L - Oceanside, CA

Younce, Amy - Castle Rock, CO

Young, Cheryl L - Queensbury, NY

Zalis, Eliza A - Plattsburgh, NY

Zamcheck, Abraham M - Bronx, NY

Zapasek, Juliet S - Calverton, NY

Zeh, Sharon - Schenectady, NY

Zhang, Ju - Pasadena, CA

Zimmerman, Lisa M - Eden, NY

Zippel, Robert M - Mastic Beach, NY

Zlicha, Lesley A - Wantagh, NY

Zona, Tammy J - Las Cruces, NM

Zucco, Karen A - Oceanside, NY

Zumpano, Samantha L - New Hartford, NY

Zurcher, Matthew R - Horseheads, NY

For further information contact: Kimberly Zeto, New York StateRetirement Systems, 110 State St., Albany, NY 12244, (518) 474-3502

PUBLIC NOTICEUniform Code Regional Boards of Review

Pursuant to 19 NYCRR 1205, the petitions below have beenreceived by the Department of State for action by the Uniform CodeRegional Boards of Review. Unless otherwise indicated, they involverequests for relief from provisions of the New York State UniformFire Prevention and Building Code. Persons wishing to review anypetitions, provide comments, or receive actual notices of any subse-quent proceeding may contact Brian Tollisen, Building Standards AndCodes, Department of State, One Commerce Plaza, 99 WashingtonAve., Albany, NY 12231, (518) 474-4073 to make appropriatearrangements.

2017-0121 Barbara Khouri, 70 East 10th Street, Apt. 17K, NewYork, NY 10003, for a variance concerning the required constructionabove the Design Flood Elevation.

Involved are additions and alterations to an existing one-familydwelling, one story in height, approximately 1,745 square feet in area


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and of type VB construction. Located at 33 Tarpon Road, East Quogue,Town of Southampton, Suffolk County, New York 11942.

2017-0187 Joseph Graupmann, 3101 Wilson Boulevard, Arlington,VA 22301, for a variance concerning requirements for locks andlatches in I-2 (Hospital) occupancies.

Involved is the construction of a new building of an I-2 (Hospital)occupancy, eight stories in height, approximately 1,417,430 squarefeet in area and of type IA construction, located at Stony Brook Medi-cal Center, East Campus, 101 Nicolls Road, Stony Brook, SuffolkCounty, New York 11794.

2017-0239 Tahir Qureshi, PE, 27 Casey Lane, Mt. Sinai, NY 11766,for a variance concerning the minimum permitted ceiling, soffit andgirder heights in a basement.

Involved are additions and alterations to an existing one-familydwelling, one story in height, approximately 2,200 square feet in areaand of type VB construction, located at 241 Coronado Street, IslipTerrace, Town of Islip, Suffolk County, New York 11752.

2017-0299 Matter of Lorraine Biechele. The location of the prop-erty is at 807 Coddington Road, Town of Ithaca, Tompkins County.The petitioner requests a variance from 2015 NYS Residential CodeReference 905.1.2 Ice Barrier Requirements. The petitioner requestsrelief from the installation of ice barrier from the exterior wall (24Inches required, 6 inches actually installed).

2017-0300 Matter of Westons Manor. The location of the propertyis at 1351 Olen-Portville Road, Town of Portville, Cattaraugus County.The petitioner requests a variance from 2015 NYS Building CodeReference 903.2.6 Sprinkler System Requirements. The petitionerrequest relief from the installation of Sprinkler.

2017-0302 Matter of Mark Laufer (Notting Hill Farm). The loca-tion of the property is at 13375 Warner Hill Road, Town of Wales,Erie County. The petitioner requests a variance from 2015 NYS Build-ing Code reference 903.2.1.3 Sprinker System Requirements. The pe-tition request relief from the installation of a sprinkler system.

2017-0340 Matter of Wildzfor Balan, PO box 813, Utica, NY 13503for a variance concerning fire safety and multiple residence lawrequirements including requirements for fire retarded cellar ceilingsand cellar stairway enclosure.

Involved is an existing multiple residence occupancy, three storiesin height, located at 1513-1515 Sunset Avenue, City of Utica, OneidaCounty, New York.


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New York State Department of State - NY.gov

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